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EMERGENCY READINESS FOR DEPARTMENTAL CONTINUITY

DAO 210-1: EMERGENCY READINESS FOR DEPARTMENTAL CONTINUITY
Number: DAO 210-1
Effective Date: 2009-11-04

SECTION 1. PURPOSE.

.01 This Order prescribes Department of Commerce (the “Department”) policies to develop, establish, maintain, and implement plans and programs to ensure continuity of the Department’s essential functions during any emergency or situation that may disrupt normal operations.

.02 This revision: combines Department Administrative Orders (DAOs) 210-1, “Emergency Readiness Actions,” 210-2, “Vital Records Program,” and 210-10, “Emergency Operations for Departmental Continuity,” into a single Order; changes the title of the Order; and updates responsibilities for developing and maintaining plans and procedures for performing continuity of operations in the Department.

SECTION 2. OBJECTIVE.

Effective emergency continuity planning requires the identification and support of mission essential functions (MEFs) that must be performed during any emergency situation, the development of continuity plans for performing these functions, the development of the capability to execute those plans, and a program to validate such plans through testing, training, and exercises. The development, maintenance, and implementation of continuity plans enhance the ability of the Department to prepare and mobilize for, respond to, and recover from any emergency situation or incident.

SECTION 3. SCOPE.

This Order applies to all Departmental offices, operating units, and bureaus. The Department’s units must establish the capability to perform their identified MEFs and supporting activities under all conditions. In addition, each operating unit or bureau that performs nationally recognized Primary Mission Essential Functions (PMEFs) in support of National Essential Functions (NEFs) shall be responsible for ensuring their capability to perform identified PMEFs on a priority basis.

SECTION 4. POLICY.

Each Departmental office, operating unit, and bureau shall establish and maintain a viable continuity capability to ensure the continued performance of identified MEFs and PMEFs from an alternate site during any emergency or situation that may disrupt normal operations for up to 30 days or until normal operations are restored. Continuity programs are outlined in National Security and Homeland Security Presidential Directive NSPD-51/HSPD-20, National Continuity Policy, and Federal Continuity Directive 1 (FCD 1), Federal Executive Branch National Continuity Program and Requirements. Department continuity programs shall include plans and procedures that identify and maintain: (a) essential functions; (b) orders of succession; (c) delegations of authority; (d) continuity facilities; (e) continuity communications; (f) vital records management; (g) human capital; (h) tests, training, and exercises; (i) devolution of control and direction; and (j) reconstitution.

SECTION 5. DEFINITIONS.

a. Alert Notification System. A process that provides notification to senior officials, key continuity personnel, and other employees about an emergency situation, event, or incident prior to or during an emergency to protect Departmental personnel, facilities, operations, and activities. During an emergency incident or event, senior officials may activate a phased security alert notification process to provide facility managers with a graduated approach to increasing appropriate protective measures in Federal facilities or in public sectors (e.g., transportation, energy, telecommunications, etc.) when a threat to the Department increases.

b. Catastrophic Emergency. Any natural or man-made event or incident, including terrorism, that results in extraordinary levels of mass casualties, damage, or disruption severely affecting the population, infrastructure, environment, economy, national morale, and/or government functions. A catastrophic emergency could result in a sustained national impact over a prolonged period of time, almost immediately exceed resources normally available to state, local, tribal, and private sector authorities, and significantly interrupt governmental operations and emergency services to such an extent that national security could be threatened.

c. Continuity of Government (COG). A coordinated effort within the Federal government’s executive branch to ensure that NEFs continue to be performed during a catastrophic emergency.

d. Continuity of Operations (COOP). A coordinated effort within the Department to ensure that MEFs and PMEFs will continue to be performed during a wide range of emergencies, disruptive incidents, or situations focused on, or a threat to, the Department, its personnel, or its facilities, including localized acts of nature, accidents, and technological or attack-related emergencies.

e. COOP Working Group (CWG). The principal intra-agency forum for discussion of COOP matters such as policy guidance, plans and procedures, and dissemination of information to Departmental offices, operating units, and bureaus for developing and improving their organizational COOP plans.

f. Continuity of Government Readiness Conditions (COGCON) for COOP. Readiness levels that provide senior Departmental officials and managers with a graduated matrix of protective actions to safeguard Department personnel, facilities, or operations to ensure continuity of essential operations when the threat level rises (see FCD 1, Annex N, Continuity Plan Operation Phases and Implementation). The COGCON for COOP matrix consists of four levels ranging from Low Threat (COGCON 4) to High Threat (COGCON 1). The matrix provides guidance to maintain an appropriate level of readiness and operational capability at each phase of the threat to standardize deployment procedures. The President will determine and issue the COGCON Level, and the Department must comply with the requirements and assigned responsibilities under the COGCON program. During COOP activation, the Department shall report its readiness status through the Federal Emergency Management Agency (FEMA) to the Secretary of Homeland Security or his/her designee.

g. Emergency. Any situation or condition when a Departmental facility is subjected to a bomb or bomb threat, significant civil disturbance, terrorist assault, fire, explosion, major electrical or systems failure, significant chemical spill, gas leak, massive medical trauma, hurricane, tornado, flood, earthquake, or any other similar disabling situation.

h. Emergency Relocation Group (ERG). A carefully selected and appointed group of COOP emergency employees (government and contractor) assigned the responsibility to report to a continuity site, as required. ERG personnel must have the requisite knowledge, skills, and abilities to perform and continue the mission essential functions of the organization, or other COOP related operations, during any crisis or emergency requiring activation of the COOP plan.

i. Emergency Relocation Group (ERG) Employee. A person who has been assigned responsibility to report to an alternate facility, as required, and perform agency mission essential functions or other tasks related to continuity operations.

j. Enduring Constitutional Government (ECG). 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. ECG ensures 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 NEFs during a catastrophic emergency.

k. Essential Function. The critical activities performed by Departmental organizations, especially after a disruption of normal activities that enable the Department to accomplish its mission and serve its stakeholders. There are three categories of essential functions: NEFs, PMEFs, and MEFs.

l. Mission Essential Function (MEF). Essential functions in the Department that must be continued throughout or resumed rapidly after a disruption of normal activities. Once identified, MEFs serve as key continuity planning factors for the Department’s organizational elements to determine appropriate staffing, communications, information, facilities, training, and other continuity requirements.

m. National Essential Function (NEF). A government function necessary to lead and sustain the nation during a catastrophic emergency. NEFs will be the primary focus of the President and the national leadership during and following any emergency, and, therefore, must be supported through the Department’s continuity capabilities.

n. Occupant Emergency Plan (OEP). A facility-specific plan that provides guidance to designated officials and occupants in Federally occupied facilities to protect life, ensure safety, and reduce the risk to personnel, property, and other assets in the event of an emergency either inside or immediately surrounding the facility.

o. Preparedness. The range of plans, policies, procedures, activities, training, and equipment necessary to build, sustain, and improve the operational capabilities to prevent, protect against, respond to, and recover from an emergency. Preparedness is a continuous process involving efforts to identify threats, determine vulnerabilities, and identify required resources to reduce the risk to Departmental personnel, facilities, systems, or operations.

p. Primary Mission Essential Function (PMEF). Those MEFs that directly support NEFs. PMEFS must be performed by the Department to support or maintain NEFs before, during, and after an emergency. Generally, PMEFs must be uninterrupted, or if interrupted, then resumed within the first 12 hours after the occurrence of an emergency and maintained for up to 30 days or until full resumption of normal Departmental operations.

SECTION 6. RESPONSIBILITIES.

.01 The Director for Security shall serve as the principal Departmental official for coordinating and assisting in the establishment and continued maintenance of Department-wide emergency programs, to include emergency preparedness, occupant emergency programs for Departmental facilities, and Continuity of Operations/Continuity of Government programs.

.02 The Office of Security (OSY) shall develop and maintain comprehensive emergency readiness programs. To plan, develop, and maintain such programs, OSY shall:

a. Coordinate and review emergency preparedness plans and programs for responsiveness and linkage to appropriate Federal laws, Executive Orders, regulations, and directives;

b. Establish and maintain an OEP for the Department’s headquarters and continuity sites and provide policy and guidance for OEP preparation throughout the Department;

c. Provide policy and program guidance to assist Departmental offices, operating units, and bureaus in developing contingency procedures for emergency operations;

d. Serve as the designated lead agent for the Department’s continuity activities and provide policy and program guidance to Departmental offices, operating units, and bureaus pertaining to the development, maintenance, implementation, and approval of emergency response programs, plans, and procedures;

e. Establish, implement, and maintain plans to ensure continuation of mission essential operations during an emergency event or situation that disrupts normal operations of the Department;

f. Oversee the development, maintenance, and implementation of COOP and COG plans for the Department and its operating units and bureaus to include the development and coordination of a COOP Multi-Year Strategy and Program Management Plan that includes a program budget to support a viable COOP capability;

g. Chair the Department’s COOP Working Group (CWG) that serves as the principal intra-agency forum for discussion of COOP matters such as policy guidance, plans, and procedures, and for dissemination of information to Departmental offices, operating units, and bureaus for developing, reviewing, and improving their individual COOP plans;

h. Provide policy and program guidance to Departmental offices, operating units, and bureaus on the requirements for the establishment and maintenance of continuity facilities;

i. Coordinate and monitor the COOP activities of Departmental offices, operating units, and bureaus;

j. Review and evaluate the COOP plans of Departmental offices, operating units, and bureaus;

k. Assess and evaluate the adequacy of Departmental office, operating unit, and bureau plans through participation in compliance reviews with the cooperation of other relevant OSY offices;

l. Coordinate the Department’s emergency preparedness activities with FEMA and all other appropriate organizations in accordance with FEMA’s FCD 1;

m. Notify the FEMA Operations Center (FOC) and other appropriate agencies within 24 hours of any changes in the location of or contact information for the Department’s continuity facility; and

n. Coordinate the Department’s Emergency Operations Center (EOC) related activities at a designated COOP site.

.03 The Office of the Chief Information Officer will ensure that appropriate Information Technology (IT) and telecommunications contingency plans are operational for the Department’s primary and continuity facilities.

.04 The Office of Administrative Services (OAS), in conjunction with the Office of Acquisition Management (OAM) and the Office of Financial Management (OFM), is responsible for the execution of interagency letters of agreement, memoranda of understanding, leases, and all other arrangements for continuity facilities for the Department’s headquarters. Within OAS, the Travel Management Division will facilitate all emergency travel through the travel management contract, and the Mail and Services Division will reroute or forward mail as necessary based on changes in office locations.

.05 The Office of Human Resources Management (OHRM) is responsible for the human capital and safety and health elements of continuity of operations. OHRM is also responsible for notifying principal human resources managers of any decision to close work operations within the National Capital Region (NCR) in the event of an emergency. The decision will be received from the Office of Personnel Management and pertain to the entire NCR, or announced by the Secretary and pertain specifically to Departmental personnel. Principal human resources managers are responsible for notifying heads of operating units or bureaus of the decision. OHRM shall:

a. Provide policy guidance to Departmental offices, operating units, and bureaus to assist in developing contingency procedures for employee dismissal and closure of facilities;

b. Assess Departmental office, operating unit, and bureau emergency and continuity plans regarding personnel and health and safety matters through periodic oversight reviews and provide recommendations and comments as appropriate;

c. Establish, maintain, and coordinate appropriate accountability procedures during any emergency situation or incident that affects Departmental organizations;

d. Designate a Safety Officer at the Department’s headquarters COOP site during COOP operations;

e. Provide safety, health, and workers compensation guidance to Departmental offices, operating units, and bureaus as they develop and implement their COOP plans; and

f. Provide guidance to Departmental offices, operating units, and bureaus regarding the use of telework as a viable means to accomplish essential missions. Telework lessens logistical and other support requirements at continuity sites; however, telework agreements must be established in advance in accordance with OHRM guidance. If telework options are used to perform or support essential functions, then such options must be documented in an organization’s COOP plan.

.06 OAM, in conjunction with OFM, will provide policy and guidance to Departmental entities in identifying and managing critical contracts; develop policy and guidance for the tracking/ reporting on critical contracts throughout an emergency event; and ensure the inclusion of appropriate contingency language in all identified critical contracts.

.07 Subject to the provisions of DAO 202-351, “Reduction in Force,” the Office of Budget is responsible for fiscal guidance and plans during a funding-related shutdown.

.08 The head of each Departmental office, operating unit, or bureau shall perform the following activities to develop, maintain, and implement emergency plans and operations:

a. Ensure the safety and security of personnel, property, facilities, and information systems in their organization in accordance with applicable laws, regulations, Executive Orders, and Departmental directives;

b. Ensure organizational compliance with current laws, regulations, Executive Orders, Federal Continuity Directives, and other guidance pertaining to continuity requirements;

c. Appoint, in writing, a senior Emergency Coordinator and alternate(s) who shall be the contacts within their office, operating unit, or bureau for all emergency readiness matters; preparation of emergency plans; oversight of OEP and COOP planning, operations, and activities; and implementation of this Order;

d. Forward a copy of the appointment letters/orders of the names, office and home addresses, and telephone numbers of the designated Emergency Coordinators and their alternates(s) to OSY’s Continuity and Emergency Program Division (CEPD);

e. Identify and document essential functions that are necessary to maintain critical business or operational requirements of the organization; MEFs necessary to maintain continuity of operations during an emergency or disruption of normal activities; and PMEFs, as necessary, that are required to support NEFs;

f. Ensure the development, publication, and maintenance of plans and procedures to implement the provisions of this Order;

g. Identify, plan, program, and budget the resources (including IT) required to support continuity capabilities and operations during emergencies;

h. Conduct testing, training, and exercising (TT&E) of continuity capabilities to demonstrate, assess, and improve the ability to execute continuity programs, plans, and procedures. Training familiarizes continuity personnel with their roles and responsibilities in support of the performance of essential functions during an emergency. Tests and exercises serve to assess, validate, or identify for subsequent correction, all components of continuity plans, policies, procedures, systems, and facilities used in response to an emergency;

i. Designate emergency personnel and appropriate alternates and notify them annually by an official designation letter. Ensure that emergency personnel identified after the annual notification requirement receive designation letters when appointed; and

j. Ensure that the appropriate security readiness procedures corresponding to escalating threat conditions for the facilities under their jurisdiction are developed and implemented. Phased security procedures provide operating unit and bureau managers with the ability to increase their security operations to a higher level security posture to minimize or manage the risks.

SECTION 7. OCCUPANT EMERGENCY PLANS.

.01 An Occupant Emergency Plan (OEP) is an essential part of an emergency management and continuity of operations program. Properly developed and implemented plans can reduce risk to personnel, property, and other assets while minimizing work disruption during emergencies.

a. Departmental facilities vary in size and function, therefore, it is impractical to develop a standard OEP suitable for all offices. The Department’s Security Manual outlines the responsibilities for emergency planning in Departmental facilities, prescribes the OEP planning process, and provides guidance for the preparation and maintenance of plans to deal with emergency situations that could endanger personnel or affect facilities occupied by Department of Commerce personnel.

b. The Department’s Security Manual prescribes guidelines and procedures to follow when preparing a facility’s occupant emergency plan. Each plan must be tailored to accommodate local conditions and requirements. Workable, realistic plans must be developed with emphasis on safety and preservation of life. Some plans will be more elaborate than others due to the size and location of the facility or building, or the criticality of the
function(s) being performed.

c. All OEPs should include specific guidance to ensure the protection of personnel, facilities, property, equipment, and information systems. OEPs should provide guidance so that all personnel involved in emergencies will know what to do. OEP guidelines and a checklist to assist in formulating a sound plan are provided in the Security Manual. Facility managers responsible for OEP activities may contact OSY headquarters for additional information or assistance concerning OEP matters.

d. The potential exists for any OEP-related emergency to be elevated to a continuity scenario. Managers should always plan for the possibility that the continuity plan addressed throughout this Order will be activated during an OEP-related emergency.

.02 To assist Departmental offices, operating units, and bureaus in developing and implementing OEPs, OSY shall:

a. Coordinate, establish, and maintain a Departmental occupant emergency program to quickly and efficiently safeguard lives and property throughout the Department during all emergencies;

b. Provide standards, guidelines, and procedures for the development, coordination, and implementation of comprehensive OEPs in organizational units throughout the Department to protect occupants and workspaces; and

c. Develop a program to evaluate the effectiveness of OEPs in the Department’s operating unit and bureau facilities.

.03 The head of each operating unit or bureau is responsible for ensuring the safety and security of all personnel in their unit. This responsibility includes ensuring that OEPs are developed and implemented for each facility under his/her jurisdiction.

.04 Facility managers of Department-owned or leased facilities are responsible for the development and implementation of their OEPs. Each plan must adhere to the standards, guidelines, and procedures for occupant emergency plans enumerated in the Department of Homeland Security OEP Guide and Chapter 7 of the Department’s Security Manual. Where Departmental personnel are tenants in a facility administered by another Federal department or agency, their responsibility is to ensure that the OEP meets Department standards enumerated in Chapter 7 of the Security Manual. Coordination and assistance from OSY is available upon request from the operating unit or bureau.

SECTION 8. CONTINUITY OF OPERATIONS PLANS AND PROGRAMS.

.01 Continuity of Operations (COOP) plans ensure the continuity of the Department’s MEFs and PMEFs in an emergency by providing for succession and delegation of authority in accordance with applicable laws; safekeeping of essential resources, facilities, and records; and establishing emergency operating capabilities.

.02 To ensure the development and implementation of COOP programs in the Department, OSY shall:

a. Establish and maintain a COOP program throughout the Department to ensure continuity of the Department’s MEFs and PMEFs during all emergencies;

b. Establish staff and provide sufficient resources for a continuity program that is responsible for the management and oversight of continuity programs in the Department;

c. Provide guidance for establishing policies, standards, and procedures to develop, maintain, and implement comprehensive COOP actions during emergency situations or conditions that may disrupt normal operations; and

d. Develop and maintain a program to evaluate the effectiveness of COOP plans for all Departmental offices, operating units, and bureaus.

.03 To establish a COOP program, the head of a Departmental office, operating unit, or bureau shall develop, implement, and maintain the necessary plans to ensure MEFs and PMEFs continue to be performed during all emergencies. The head of a Departmental office, operating unit, or bureau shall:

a. Establish and maintain an organizational COOP program to include the development, approval, and maintenance of organizational COOP plans and procedures;

b. Designate Emergency Relocation Group (ERG) personnel in writing required to perform continuity functions, review and update ERG rosters at least twice a year, and provide updated contact information for organizational successor to the Department’s Emergency Operations Center (EOC) as necessary during COOP operations or exercises;

c. Establish a viable continuity capability to ensure continued performance of MEFs and PMEFs from continuity facilities during an emergency or a situation that may disrupt normal operations;

d. Develop a COOP Multi-Year Strategy and Program Management Plan that includes a program budget to support a viable COOP capability based on FCD 1;

e. Conduct tests, training, and exercises (TT&E) of organizational COOP plans, to include a full deployment exercise, at least annually or as mandated. TT&E activities will include full documentation of all training of COOP personnel and testing of essential systems, equipment, and access to vital records to ensure timely implementation of COOP plans and procedures;

f. Participate in intra-agency and interagency (as directed) COOP exercises to ensure effective coordination and mutual support;

g. Participate in intra-Departmental COOP efforts and initiatives with policies, plans, and activities in accordance with laws, Executives Orders, regulations, and directives related to preparedness to include terrorism, critical infrastructure protection, and pandemic influenza planning;

h. Initiate appropriate intra/interagency letters or memoranda of agreement or understanding, leases, or other intra/interagency arrangements, as appropriate, that relate to an operating unit’s or a bureau’s continuity facilities; and

i. Appoint a Safety Officer for their COOP facilities and integrate safety and health into their COOP plans. The safety and health of Departmental personnel during a COOP event shall be protected. It is the responsibility of the Safety Officer to ensure that safety and health risks are identified and that controls are implemented to reduce those risks.

.04 Each Departmental office, operating unit, or bureau emergency coordinator and designated alternate shall assist the head of their respective organization to develop, coordinate, and implement emergency response programs, plans, and procedures. Emergency coordinators shall:

a. Serve as the designated point of contact for their unit’s continuity of operations and assist in the development, coordination, and implementation of continuity plans in their organizations;

b. Provide guidance on the Department’s continuity policy and program activities to senior managers and employees in their organization. In addition, operating unit and bureau emergency coordinators shall provide assistance as necessary to establish and maintain their organization’s continuity facility;

c. Assist their Departmental office, operating unit, or bureau to establish, implement, and maintain continuity plans to ensure continuation of MEFs and PMEFs during an emergency;

d. Review, update, and evaluate COOP plans of their organization and forward approved plans to OSY for periodic review; and

e. Coordinate their organization’s emergency preparedness activities with OSY and notify the Department’s EOC of any change in location or contact information of their unit’s continuity facility operations within 12 hours of change during a COOP deployment.

.05 Departmental offices, operating units, and bureaus shall develop, implement, and maintain COOP plans to minimize disruption of business operations and to provide for continued performance of MEFs and PMEFs, as required, under all conditions. In accordance with FCD 1, Section 9, such plans shall include the elements listed below.

a. Plans and Procedures. The COOP plan shall provide procedures for the development of employee contact lists, notification, and relocation of COOP personnel to include directions and maps to continuity facilities. Plans and procedures shall also ensure operational capabilities of the COOP site within 12 hours of activation, or as otherwise directed by the COGCON matrix, for up to 30 days in the event of a catastrophic emergency; provide for the ability to coordinate activities with non-COOP personnel; and provide for the requirement and maintenance of drive-away kits, movement of non-prepositioned records from primary to alternate facilities, the ordering of necessary equipment and supplies not already pre-positioned at continuity facilities, and the provision for information systems availability, including the reconstitution of facilities when required.

b. Essential Functions. Identification of essential functions that enable the Department, an operating unit, or a bureau to continue to accomplish its mission and serve its stakeholders during an emergency or a disruption to normal operations.

c. Delegations of Authority. The identification of specific positions authorized to act on behalf of the Department, an operating unit, or a bureau head as well as other identified key officials (key decision makers at all levels) ensures that the organizational unit has the capability to respond to any emergency requiring COOP plan implementation and to make policy determinations and decisions at the organization’s headquarters, regional, field, or satellite level. For Presidential appointed, Senate confirmed (PAS) positions, under the Vacancies Reform Act, only an authorized first assistant or an individual appointed by the President may serve in an acting capacity. For PAS positions, other individuals delegated authority or listed in an order of succession may only perform the non-exclusive functions of the office from which authority is delegated/succeeded and may not use the term “Acting.”

d. Orders of Succession. The establishment of orders of succession provides an orderly, and predefined, transition of leadership in the event Departmental, operating unit, or bureau leadership is unavailable or incapable of performing their legally authorized duties, roles, and responsibilities. Similarly to Delegation of Authority, for Presidential appointed, Senate confirmed (PAS) positions, under the Vacancies Reform Act, only an authorized first assistant or an individual appointed by the President may serve in an acting capacity. For PAS positions, other individuals delegated authority or listed in an order of succession may only perform the non-exclusive functions of the office from which authority is delegated/succeeded and may not use the term “Acting.”

e. Continuity Facilities. The Department, operating units, and the bureaus shall establish continuity facilities designated by the heads of their respective organizational units to perform MEFs and PMEFs, as required, during an emergency. Continuity facilities shall conform to the Federal guidance outlined in FCD 1 concerning location and distance from the NCR and will include the identification, preparation, and maintenance of space, supplies, data records, telecommunications needs, and other critical items necessary to temporarily operate in a continuity facility.

f. Continuity Communications. The ability of an organization to execute its MEFs and PMEFs at a continuity facility is dependent upon the identification, availability, and redundancy of critical communications and IT systems to support connectivity between critical internal and external partners, customers, and organizations.

g. Vital Records Management. The identification, protection, and accessibility of identified vital records, databases, and supporting information systems necessary to perform MEFs and PMEFs, is a required component for organizational continuity and disaster recovery plans, where/how they are stored, and their accessibility. Vital records management must be conducted in accordance with FCD 1, Annex I, Vital Records Management; DAO 205-1, Records Management; and the Department’s Records Management Policy.

h. Human Capital. Human capital planning encompasses the identification and designation of ERG personnel; plans and procedures to support ERG personnel at designated continuity facilities during deployment; plans and procedures to communicate with non-ERG personnel during and after an emergency; plans and procedures for
re-staffing should it be required; personnel accountability procedures (Federal and non-Federal); and development and maintenance of employee assistance programs.

i. Validation of Capabilities. Testing, training, and exercising COOP capabilities are necessary to assess, validate, and improve the ability of organizations to execute their COOP plans, procedures, systems, or facilities required in an emergency.

j. Devolution of Control and Direction. Devolution is the process by which the Department and/or an operating unit’s or a bureau’s headquarters transfers authority and leadership from the primary operating facility to a specifically designated distant facility during times of increased threat or in the aftermath of a catastrophic emergency. The devolution plan shall address how each Departmental office, operating unit, or bureau transfers its statutory authority, powers, and responsibility for leadership from the organization’s primary facility to a location that offers a safe and secure environment in which essential functions can continue to be performed until such time as the unit’s headquarters staff is capable of resuming leadership.

k. Reconstitution. Extensive coordination is necessary to obtain a new operating site once an organization suffers loss of its primary operating facility or in the event that collateral damage from a disaster renders the structure unsafe for reoccupation. Reconstitution is the process by which pre-identified organizational personnel implement pre-existing and incident-specific plans and procedures for recovery and resumption of normal operations and return to the primary operating facility or a new operating facility at the conclusion of an emergency.

.06 Plans for continued operations by Departmental offices, operating units, and bureaus shall also contain procedures for the notification of senior executive branch and Departmental officials concerning the emergency and a decision to close work operations and dismiss employees, the implementation of the emergency response program, changes of location or telephone numbers as a result of the emergency, criteria governing decisions about leave situations and how the decisions will be communicated to employees, and any other critical operational data needed to provide continuity. These plans shall also provide procedures to notify continuity personnel and non-deployed personnel of the emergency conditions and to provide instructions relative to working assignments and locations.

.07 To lessen the risk of any emergency incident or threat to Departmental personnel or facilities and to provide a safe and secure environment that is as responsive as practicable to mission requirements, facility managers, security personnel, and those with responsibility to protect Departmental personnel and property are required to develop and implement phased security procedures for their facility corresponding to changing threat conditions, based on FCD 1, Annex N, Continuity Plan Operational Phases and Implementation. Phased security procedures provide the operating unit and bureau managers with the ability to immediately increase their security posture to a higher security readiness level to manage or minimize the risks. Such security procedures shall be established and published in standard operating procedure documents or in other internal guidance. Operating unit and bureau managers must periodically conduct training of response personnel to increase their organization’s capability to respond to emergency events, incidents, or situations. These security procedures may be controlled by facility managers or performed in cooperation with employee or contract security guards.

.08 Each Departmental office, operating unit, or bureau shall update and submit copies of their Continuity of Operations plans to OSY by September 30th of each year, or as directed.

SECTION 9. CONTINUITY OF GOVERNMENT PLANS AND PROGRAMS.

.01 Federal laws, regulations, and Presidential directives provide guidance for the Federal government to establish plans and programs to ensure survival of a constitutional form of government and the continuity of essential Federal functions. The Continuity of Government (COG) plans and programs support these objectives by providing a coordinated means for each branch of the Federal government to fulfill minimum essential responsibilities and maintain an enduring constitutional government during a catastrophic emergency.

.02 The COG program activities are supported by various operating units and bureaus in the Department. These organizational units are responsible for identifying potential members and notifying the OSY for appropriate processing into the program. Additionally, the operating units and bureaus are responsible for maintaining associated materials for their team members.

.03 OSY, in direct support to the Chief of Staff of the Department, manages the Department’s participation in the COG program activities. OSY is responsible for maintaining a roster of participants, ensuring members are provided current information with respect to their mission, and coordinating all associated training. Procedures for COG program activities may be found in controlled documents maintained in OSY.

SECTION 10. EFFECT ON OTHER ORDERS.

This Order supersedes DAO 210-1, “Emergency Readiness Actions,” dated January 3, 1977, and revokes
DAO 210-2, “Vital Records Program,” dated February 9, 1977, and DAO 210-10, “Emergency Operations for Departmental Continuity,” dated February 23, 1996.

Signed by: Director of Security

Approved by: Chief Financial Officer and Assistant Secretary for Administration

Office of Primary Interest: Office of Security

Questions and Comments

Send Questions or Comments on the Commerce Directives Management program to Directives@doc.gov.

Office of Privacy and Open Government
Office of the Chief Financial Officer and Assistant Secretary for Administration
U.S. Department of Commerce

 

Page last updated: February 28, 2011