[Weekly Compilation of Presidential Documents Volume 43, Number 19 (Monday, May 14, 2007)]
[Pages 593-598]
[Online from the Government Publishing Office, www.gpo.gov]
<R04>
Directive on National Continuity Policy
May 4, 2007
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
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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
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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
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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
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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,
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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
Note: This directive was released by the Office of the Press Secretary
on May 9.