| National
Security and Homeland Security Presidential Directive
NATIONAL SECURITY PRESIDENTIAL DIRECTIVE/NSPD 51
HOMELAND SECURITY PRESIDENTIAL DIRECTIVE/HSPD-20
Subject: National Continuity Policy
Purpose
(1) This directive establishes a comprehensive
national policy on the continuity of Federal Government structures and
operations and a single National Continuity Coordinator responsible for
coordinating the development and implementation of Federal continuity
policies. This policy establishes "National Essential
Functions," prescribes continuity requirements for all executive
departments and agencies, and provides guidance for State, local,
territorial, and tribal governments, and private sector organizations in
order to ensure a comprehensive and integrated national continuity program
that will enhance the credibility of our national security posture and
enable a more rapid and effective response to and recovery from a national
emergency.
Definitions
(2) In this directive:
(a) "Category" refers to the categories of
executive departments and agencies listed in Annex A to this directive;
(b) "Catastrophic Emergency" means any
incident, regardless of location, that results in extraordinary levels of
mass casualties, damage, or disruption severely affecting the U.S.
population, infrastructure, environment, economy, or government functions;
(c) "Continuity of Government," or
"COG," means a coordinated effort within the Federal
Government's executive branch to ensure that National Essential Functions
continue to be performed during a Catastrophic Emergency;
(d) "Continuity of Operations," or
"COOP," means an effort within individual executive departments
and agencies to ensure that Primary Mission-Essential Functions continue
to be performed during a wide range of emergencies, including localized
acts of nature, accidents, and technological or attack-related
emergencies;
(e) "Enduring Constitutional Government,"
or "ECG," means a cooperative effort among the executive,
legislative, and judicial branches of the Federal Government, coordinated
by the President, as a matter of comity with respect to the legislative
and judicial branches and 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;
(f) "Executive Departments and Agencies"
means the executive departments enumerated in 5 U.S.C. 101, independent
establishments as defined by 5 U.S.C. 104(1), Government corporations as
defined by 5 U.S.C. 103(1), and the United States Postal Service;
(g) "Government Functions" means the
collective functions of the heads of executive departments and agencies as
defined by statute, regulation, presidential direction, or other legal
authority, and the functions of the legislative and judicial branches;
(h) "National Essential Functions," or
"NEFs," means that subset of Government Functions that are
necessary to lead and sustain the Nation during a catastrophic emergency
and that, therefore, must be supported through COOP and COG capabilities;
and
(i) "Primary Mission Essential Functions,"
or "PMEFs," means those Government Functions that must be
performed in order to support or implement the performance of NEFs before,
during, and in the aftermath of an emergency.
Policy
(3) It is the policy of the United States 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 under all
conditions.
Implementation Actions
(4) Continuity requirements shall be incorporated
into daily operations of all executive departments and agencies. As a
result of the asymmetric threat environment, adequate warning of potential
emergencies that could pose a significant risk to the homeland might not
be available, and therefore all continuity planning shall be based on the
assumption that no such warning will be received. Emphasis will be placed
upon geographic dispersion of leadership, staff, and infrastructure in
order to increase survivability and maintain uninterrupted Government
Functions. Risk management principles shall be applied to ensure that
appropriate operational readiness decisions are based on the probability
of an attack or other incident and its consequences.
(5) The following NEFs 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, and therefore sustaining the following NEFs shall be the
primary focus of the Federal Government leadership during and in the
aftermath of an emergency that adversely affects the performance of
Government Functions:
(a) Ensuring the continued functioning of our form
of government under the Constitution, including the functioning of the
three separate branches of government;
(b) Providing leadership visible to the Nation and
the world and maintaining the trust and confidence of the American people;
(c) 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;
(d) Maintaining and fostering effective
relationships with foreign nations;
(e) 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;
(f) Providing rapid and effective response to and
recovery from the domestic consequences of an attack or other incident;
(g) Protecting and stabilizing the Nation's economy
and ensuring public confidence in its financial systems; and
(h) Providing for critical Federal Government
services that address the national health, safety, and welfare needs of
the United States.
(6) The President shall lead the activities of the
Federal Government for ensuring constitutional government. In order to
advise and assist the President in that function, the Assistant to the
President for Homeland Security and Counterterrorism (APHS/CT) is hereby
designated as the National Continuity Coordinator. The National Continuity
Coordinator, in coordination with the Assistant to the President for
National Security Affairs (APNSA), without exercising directive authority,
shall coordinate the development and implementation of continuity policy
for executive departments and agencies. The Continuity Policy Coordination
Committee (CPCC), chaired by a Senior Director from the Homeland Security
Council staff, designated by the National Continuity Coordinator, shall be
the main day-to-day forum for such policy coordination.
(7) For continuity purposes, each executive
department and agency is assigned to a category in accordance with the
nature and characteristics of its national security roles and
responsibilities in support of the Federal Government's ability to sustain
the NEFs. The Secretary of Homeland Security shall serve as the
President's lead agent for coordinating overall continuity operations and
activities of executive departments and agencies, and in such role shall
perform the responsibilities set forth for the Secretary in sections 10
and 16 of this directive.
(8) The National Continuity Coordinator, in
consultation with the heads of appropriate executive departments and
agencies, will lead the development of a National Continuity
Implementation Plan (Plan), which shall include prioritized goals and
objectives, a concept of operations, performance metrics by which to
measure continuity readiness, procedures for continuity and incident
management activities, and clear direction to executive department and
agency continuity coordinators, as well as guidance to promote
interoperability of Federal Government continuity programs and procedures
with State, local, territorial, and tribal governments, and private sector
owners and operators of critical infrastructure, as appropriate. The Plan
shall be submitted to the President for approval not later than 90 days
after the date of this directive.
(9) Recognizing that each branch of the Federal
Government is responsible for its own continuity programs, an official
designated by the Chief of Staff to the President shall ensure that the
executive branch's COOP and COG policies in support of ECG efforts are
appropriately coordinated with those of the legislative and judicial
branches in order to ensure interoperability and allocate national assets
efficiently to maintain a functioning Federal Government.
(10) Federal Government COOP, COG, and ECG plans and
operations shall be appropriately integrated 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. The Secretary of Homeland
Security shall coordinate the integration of Federal continuity plans and
operations with State, local, territorial, and tribal governments, and
private sector owners and operators of critical infrastructure, as
appropriate, in order to provide for the delivery of essential services
during an emergency.
(11) Continuity requirements for the Executive
Office of the President (EOP) and executive departments and agencies shall
include the following:
(a) The continuation of the performance of PMEFs
during any emergency must be for a period up to 30 days or until normal
operations can be resumed, and the capability to be fully operational at
alternate sites as soon as possible after the occurrence of an emergency,
but not later than 12 hours after COOP activation;
(b) Succession orders and pre-planned devolution of
authorities that ensure the emergency delegation of authority must be
planned and documented in advance in accordance with applicable law;
(c) Vital resources, facilities, and records must be
safeguarded, and official access to them must be provided;
(d) Provision must be made for the acquisition of
the resources necessary for continuity operations on an emergency basis;
(e) Provision must be made for the availability and
redundancy of critical communications capabilities at alternate sites in
order to support connectivity between and among key government leadership,
internal elements, other executive departments and agencies, critical
partners, and the public;
(f) Provision must be made for reconstitution
capabilities that allow for recovery from a catastrophic emergency and
resumption of normal operations; and
(g) Provision must be made for the identification,
training, and preparedness of personnel capable of relocating to alternate
facilities to support the continuation of the performance of PMEFs.
(12) In order to provide a coordinated response to
escalating threat levels or actual emergencies, the Continuity of
Government Readiness Conditions (COGCON) system establishes executive
branch continuity program readiness levels, focusing on possible threats
to the National Capital Region. The President will determine and issue the
COGCON Level. Executive departments and agencies shall comply with the
requirements and assigned responsibilities under the COGCON program.
During COOP activation, executive departments and agencies shall report
their readiness status to the Secretary of Homeland Security or the
Secretary's designee.
(13) The Director of the Office of Management and
Budget shall:
(a) Conduct an annual assessment of executive
department and agency continuity funding requests and performance data
that are submitted by executive departments and agencies as part of the
annual budget request process, in order to monitor progress in the
implementation of the Plan and the execution of continuity budgets;
(b) In coordination with the National Continuity
Coordinator, issue annual continuity planning guidance for the development
of continuity budget requests; and
(c) Ensure that heads of executive departments and
agencies prioritize budget resources for continuity capabilities,
consistent with this directive.
(14) The Director of the Office of Science and
Technology Policy shall:
(a) Define and issue minimum requirements for
continuity communications for executive departments and agencies, in
consultation with the APHS/CT, the APNSA, the Director of the Office of
Management and Budget, and the Chief of Staff to the President;
(b) Establish requirements for, and monitor the
development, implementation, and maintenance of, a comprehensive
communications architecture to integrate continuity components, in
consultation with the APHS/CT, the APNSA, the Director of the Office of
Management and Budget, and the Chief of Staff to the President; and
(c) Review quarterly and annual assessments of
continuity communications capabilities, as prepared pursuant to section
16(d) of this directive or otherwise, and report the results and
recommended remedial actions to the National Continuity Coordinator.
(15) An official designated by the Chief of Staff to
the President shall:
(a) Advise the President, the Chief of Staff to the
President, the APHS/CT, and the APNSA on COGCON operational execution
options; and
(b) Consult with the Secretary of Homeland Security
in order to ensure synchronization and integration of continuity
activities among the four categories of executive departments and
agencies.
(16) The Secretary of Homeland Security shall:
(a) Coordinate the implementation, execution, and
assessment of continuity operations and activities;
(b) Develop and promulgate Federal Continuity
Directives in order to establish continuity planning requirements for
executive departments and agencies;
(c) Conduct biennial assessments of individual
department and agency continuity capabilities as prescribed by the Plan
and report the results to the President through the APHS/CT;
(d) Conduct quarterly and annual assessments of
continuity communications capabilities in consultation with an official
designated by the Chief of Staff to the President;
(e) Develop, lead, and conduct a Federal continuity
training and exercise program, which shall be incorporated into the
National Exercise Program developed pursuant to Homeland Security
Presidential Directive-8 of December 17, 2003 ("National
Preparedness"), in consultation with an official designated by the
Chief of Staff to the President;
(f) Develop and promulgate continuity planning
guidance to State, local, territorial, and tribal governments, and private
sector critical infrastructure owners and operators;
(g) Make available continuity planning and exercise
funding, in the form of grants as provided by law, to State, local,
territorial, and tribal governments, and private sector critical
infrastructure owners and operators; and
(h) As Executive Agent of the National
Communications System, develop, implement, and maintain a comprehensive
continuity communications architecture.
(17) The Director of National Intelligence, in
coordination with the Attorney General and the Secretary of Homeland
Security, shall produce a biennial assessment of the foreign and domestic
threats to the Nation's continuity of government.
(18) The Secretary of Defense, in coordination with
the Secretary of Homeland Security, shall provide secure, integrated,
Continuity of Government communications to the President, the Vice
President, and, at a minimum, Category I executive departments and
agencies.
(19) Heads of executive departments and agencies
shall execute their respective department or agency COOP plans in response
to a localized emergency and shall:
(a) Appoint a senior accountable official, at the
Assistant Secretary level, as the Continuity Coordinator for the
department or agency;
(b) Identify and submit to the National Continuity
Coordinator the list of PMEFs for the department or agency and develop
continuity plans in support of the NEFs and the continuation of essential
functions under all conditions;
(c) Plan, program, and budget for continuity
capabilities consistent with this directive;
(d) Plan, conduct, and support annual tests and
training, in consultation with the Secretary of Homeland Security, in
order to evaluate program readiness and ensure adequacy and viability of
continuity plans and communications systems; and
(e) Support other continuity requirements, as
assigned by category, in accordance with the nature and characteristics of
its national security roles and responsibilities
General Provisions
(20) This directive shall be implemented in a manner
that is consistent with, and facilitates effective implementation of,
provisions of the Constitution concerning succession to the Presidency or
the exercise of its powers, and the Presidential Succession Act of 1947 (3
U.S.C. 19), with consultation of the Vice President and, as appropriate,
others involved. Heads of executive departments and agencies shall ensure
that appropriate support is available to the Vice President and others
involved as necessary to be prepared at all times to implement those
provisions.
(21) This directive:
(a) Shall be implemented consistent with applicable
law and the authorities of agencies, or heads of agencies, vested by law,
and subject to the availability of appropriations;
(b) Shall not be construed to impair or otherwise
affect (i) the functions of the Director of the Office of Management and
Budget relating to budget, administrative, and legislative proposals, or
(ii) the authority of the Secretary of Defense over the Department of
Defense, including the chain of command for military forces from the
President, to the Secretary of Defense, to the commander of military
forces, or military command and control procedures; and
(c) Is not intended to, and does not, create any
rights or benefits, substantive or procedural, enforceable at law or in
equity by a party against the United States, its agencies,
instrumentalities, or entities, its officers, employees, or agents, or any
other person.
(22) Revocation. Presidential Decision Directive 67
of October 21, 1998 ("Enduring Constitutional Government and
Continuity of Government Operations"), including all Annexes thereto,
is hereby revoked.
(23) Annex A and the classified Continuity Annexes,
attached hereto, are hereby incorporated into and made a part of this
directive.
(24) Security. This directive and the information
contained herein shall be protected from unauthorized disclosure, provided
that, except for Annex A, the Annexes attached to this directive are
classified and shall be accorded appropriate handling, consistent with
applicable Executive Orders.
GEORGE W. BUSH
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Source: http://www.whitehouse.gov/news/releases/2007/05/print/20070509-12.html
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