Continuity of Operations Plan

May 2016

Document Control – Record of Changes

The COOP is a living document subject to changes in order to reflect new policy or procedures. In order to stay current with federal directives, it is reviewed anually. As changes are made, version numbers will be updated (e.g., change version 1.0 to 1.1 for small changes; version 1.0 to 2.0 for major changes).

Version / Release Date / Changes

This Plan has been developed in accordance with guidance contained within Executive Order 12656, Assignment of Emergency Preparedness Responsibilities; National Security Presidential Directive 51/Homeland Security Presidential Directive 20, National Continuity Policy; Homeland Security Council, National Continuity Policy Implementation Plan; Federal Continuity Directives 1 and 2, Federal Executive Branch National Continuity Program and Requirements, October 2012; USAID ADS 531 – Continuity of Operations, USAID ADS 103 – Delegations of Authority; USAID ADS 511 – Vital Records Program;and other related directives and guidance.

Alfonso E. Lenhardt

Deputy Administrator

USAID

Approved - Action Memorandum dated 5/13/16

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Handling Instructions

This is the United States Agency for International Development (USAID) Continuity of

Operations (COOP) Plan, also referred to as the “COOP Plan” or"thePlan”.

Labeled “Sensitive But Unclassified” (SBU), it may contain personal, sensitive, and/or

private information. As a result, USAID may exempt this plan from mandatorydisclosureunder the Freedom of Information Act (see 5 United States Code §552; 41Code ofFederal Regulations Part 105-60).

USAID does not authorize the release of this Plan to the public or other personnelwhodo not have appropriate need-to-know without the explicit approval from theUSAIDContinuity Coordinator.

Please control, store, handle, transmit, distribute, and dispose of this Plan inaccordance with USAID policies and procedures for the handling of sensitiveinformation.

Some information in this Plan, if made public, could endanger the security andcontinuity of USAID operations and personnel. Also, disclosure of information in thisPlan to unauthorized persons could compromise USAID property, equipment, services, and systems, and could impair USAID’s ability to successfully continue itsoperations.

Points of contact for this Plan are:

Jon Brause, M/DAA

USAID ContinuityCoordinator

Phone: (202) 712-4073

EmoryFristoe

USAID ContinuityManager

Phone: (202)712-4015

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Message from the USAID Continuity Coordinator

Dear Colleagues:

USAID has no higher priority than the safety and welfare of its personnel. This requiresa collective commitment to emergency preparedness. Please familiarize yourself withUSAID emergency and continuity procedures and the activities you can do at hometo increaseyour personal readiness, such as creating an emergency kit and a FamilyPreparednessPlan.

In the event of an emergency, the Agency seeks to continue working effectively and withminimaldisruption. Such emergencies may deny use of parts orall of the USAIDheadquarters facility. This Plan describes preparedness activities,response actions that facilitate decision making in a crisis, and recovery andreconstitution activities.

Employees with responsibilities during an incident are referred to collectively as USAID ContinuityPersonnel. Upon Plan activation, these staff may move to a USAID Alternate OperatingFacility (AOF) or a virtual work location (a place other than their normal USAIDworkplace),i.e., their residence or other safe location.

This Plan was developed in line with all applicable federal regulations, guidelines, directives and authorities as outlined beginning on Page 5 of this document.

This Plan is a living document. It requires routine maintenance, testing, training andvalidation. We welcome your participation, suggestions, and questions . Thank you for your support and cooperation.

Sincerely,

Jon Brause

USAID Continuity Coordinator

Table of Contents

HANDLINGINSTRUCTIONSII

MESSAGEFROMTHEUSAIDCONTINUITYCOORDINATOR III

TABLE OF CONTENTS IV

INTRODUCTION1

PURPOSE1

APPLICABILITYAND SCOPE2

POLICY 2

PLANNING ASSUMPTIONS 2

OBJECTIVES 3

ELEMENTS OF AVIABLECONTINUITY CAPABILITY 4

AUTHORITIES5

USAID ROLES ANDRESPONSIBILITIES6

PHASEI:READINESSANDPREPAREDNESS12

PHASE II:ACTIVATIONANDRELOCATION16

PHASEIII:CONTINUITYOPERATIONS19

PHASEIV:RECONSTITUTIONOPERATIONS20

DEVOLUTIONOF CONTROL AND DIRECTION22

ANNEXA: PROGRAMS PLANS AND PROCEDURES23

ANNEXB:RISKMANAGEMENT 29

ANNEXC:BUDGETING AND ACQUISITION OF RESOURCES31

ANNEXD:ESSENTIAL FUNCTIONS32

ANNEXE:ORDERS OFSUCCESSION35

ANNEX F:DELEGATIONSOFAUTHORITY36

ANNEX G:CONTINUITY FACILITIES37

ANNEXH:CONTINUITYCOMMUNICATIONS38

ANNEXI:ESSENTIALRECORDSMANAGEMENT40

ANNEX J:HUMANCAPITAL AND TALENT MANAGEMENT45

ANNEXK:TEST,TRAINING,ANDEXERCISE(TT&E)PROGRAM47

ANNEX L: DEVOLUTION OF CONTROL AND DIRECTION49

ANNEX M: RECONSTITUTION OPERATIONS56

SUPPLEMENTAL CHECKLISTS 68

ANNEX N: ACRONYMS 71

ATTACHMENTS 73

  1. ERG POSITION PLANNING GUIDE TEMPLATE73
  2. USAID MYSPMP73
  3. B/IO COOP Implementation Plan Template73
  4. AOF SOP73

AGENCY REFERENCES

1)RECONSTITUTION PLAN

2)DEVOLUTION PLAN

3)ALTERNATE OPERATING FACILITY-STANDARD OPERATING PROCEDURES

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Introduction

TheUSAIDAdministratorreceivesoverall foreignpolicyguidancefromthe SecretaryofState. The Administratormustbeabletoprovideup-to-date counselandinformationtotheSecretaryof State at all times. TheAdministratorcanonlydo thisifhe/shereceives asteadystream ofinformationfromessentialAgencypersonnel. USAIDbureausandindependentoffices(B/IOs)mustbeprepared tocontinuetofunctionduringan emergencyor threatof anemergency,andto efficientlyand effectivelycontinueMission Essential Functions(MEFs). Planningtomeetthedemandsof a widespectrumofemergencyscenarios is critical, andis accomplishedbyfollowing this COOPPlan.

Ina COOPevent,the media maybe the meansof issuing special instructions andannouncing closuresorchanges in working hours to employees. Personnel not initially

identified to support the COOP eventwill be available ona stand-bystatus,more thanlikely viatelework. Employeesworking in locationsnot affected by thecrisiswill reportfor work as usual. Decisionsonleave,telework, andpay status ina COOPeventwill bemade byTheOffice ofHumanCapital and Talent Management(HCTM), as soon as practical. The Bureau forLegislative and Public Affairs (LPA) will assist as necessary.

Theinformationcontainedwithin the main body of this plan is relevant toallUSAIDemployeesandclearedcontractor personnel. This information,including annexes, references, andB/IO implementation plans areavailable to those personnelinvolved in theCOOPprocess,such as employeeswhowouldrespond toa COOPevent, and other key Agency and Federal Governmentpersonnel as necessary.

Purpose

Continuityplanningissimplythe goodbusiness practice of ensuring the execution ofessential functions through all circumstances, and itis a fundamental responsibilityofpublicand private entitiesresponsible tostakeholders. USAID’s unique threatenvironmentandthe potential forno notice emergencies,including localized acts ofnature,accidents, technologicalemergencies, andmilitaryor terrorist attack-relatedincidents,justify the need for robustcontinuity capabilitiesandplanning that enableUSAID to continue itsMEFsandEssentialSupporting Activities (ESA) acrossa broadspectrum of disruptions, incidents, emergencies, anddisasters. This Plan serves to prepareUSAIDat thestrategicandconceptuallevel forall hazardstheAgency mayface.

ThisPlan provides for immediateemergencyresponseandservesas guidanceforAgencypersonnel for up to30 days, or untiltheevent has concluded. Itfacilitatesthepreparation of site-or activity-specificplansandprocedurescovering USAID personnellocated within theNational Capital Region (NCR), and allows USAID organizationalelementsto continue ESAsin order tocarry on MEFsinthe eventof an emergency or threatof an emergency. Continuity must be consideredin allaspects of Agency planning,from budget decisions to everydayoperations. As anextensionoftheirotherduties, USAID leadership must ensure that personnel areaware of their COOP responsibilities.

Applicability and Scope

This Plan applies to all USAID personnel located within the NCR. For the purposes of thisPlan, the Ronald Reagan Building (RRB)is considered the Primary Operating Facility (POF). Emergencies at USAID locations overseas are addressed according to ADS Chapter530,Emergency Planning Overseas and the USAID Bureau for Democracy, Conflict, andHumanitarian Assistance (DCHA), Office of U.S. Foreign Disaster Assistance (OFDA) Guidancefor Disaster Planning and Response.

Policy

It is the policy of USAID to continue to perform the MEFs and ESAs of the Agency in the eventthat an emergency renders, or threatens to render, the POF or portions thereof, unusable. These functions will continue by establishing critical elements of the Agency at a select AlternateOperating Facility (AOF) and, as soon as practical, reconstitute full Agency function, either back atthe affected location or a General Services Administration (GSA)-acquired replacement space.

Continuitycapabilities must be maintained at a high level of readiness. The Agency must be capableof continuing its mission once notified, either with or without warning. It must be able toachieve operational status at the AOF as quickly as possible—no later than 12 hours after notification and sustainedoperations maintained for up to 30 days or until event termination.

Planning Assumptions

The efficacy of this Plan is based on the following assumptions:

1)USAID’s POF within the NCR is vulnerable to being rendered unusable by one or moreof the full range of all hazards (man-made and natural disasters) identified in ExecutiveOrder 12656;

2) USAID is classified by the National Continuity Policy Implementation Plan(NCPIP) as a Category IV agency;

3) The Administrator, Continuity Coordinator, ordesignees have the authority toimplement this Plan during an incident ordisruption;

4) Successful implementation of this Plan will result in the continuity of USAID’sMEFs and ESAs;

5) USAID has the resources and plans to continue its MEFs and ESAs within 12hours and for at least 30 days or until normal operations can be resumed;

6) Appropriate resources and funding will be available to support the successfuldevelopment and maintenance of the USAID Continuity Program and tosupportoperationsduringan actualincident or disruption;

7) USAID staffareproperlytrained andequipped to work usingteleworkin order tocontinuetoperform, orresume asquicklyas practical, USAID’s MEFsandESAs;

8) USAID personnelwho are requiredtodeployto theUSAID AOF have beenidentifiedby HCTM via an EmergencyRelocationGroup (ERG) Notification of Selection memo asmembersoftheUSAID ERG.

9) USAID personnelwho are requiredtocontinueMEFsandESAs in the absence of the ERG havebeenpre-designated bytheUSAIDContinuityCoordinator as membersof theUSAIDDevolutionEmergencyRelocationGroup(DERG);

10) EachB/IO is responsiblefor sending a senior representative to themonthlyUSAID ContinuityCoordinatorsWorkingGroup (CCWG)meeting. They also have the responsibility toprepareandmaintainaB/IO COOP Implementation Plan.

11) The USAIDOfficeoftheChiefInformationOfficer(M/CIO) is responsiblefordraftingrobustpreparedness,prevention,response,recovery, andmitigationplansfor anydisruptionaffectingUSAID’s communicationsandinformationtechnologies (IT)andconductingroutine risk assessmentsofallUSAID ITinfrastructures.

Objectives

1) Preventthe loss oflife,minimizedamageto,or lossof,propertyand the environment.

2) Ensurethat USAID cancontinuetoperform,or resume asquicklyas practical, itsMEFs andESAsunderallconditions.

3) ExecuteasuccessfulOrder of Succession withaccompanying delegatedauthorities in theeventadisruptionrendersUSAID’sleadershipunable,unavailable,or incapableofassuming andperforming theirauthoritiesandresponsibilities.

4) Reduceor mitigatedisruptionsto operations.

5) Ensurethat USAID staff areproperlytrainedandequippedtowork usingteleworkin order to continue toperform,or resumeas quicklyas practical,USAID MEFs andESAs.

6) Protect important facilities,equipment,records,andotherassetsin the eventof a disruption.

7) Achieve USAID’s timelyand orderlyrecovery and reconstitution/devolutionfrom

anemergencyor disruptionofoperations.

8) Establish communicationswith missionsandother federaldepartments and agencies (D/As).

9) EnsureandvalidateUSAID’scontinuityreadinessthrough a dynamic andintegratedcontinuityTest,Training,andExercise (TT&E)program andoperationalcapability.

Elementsof a ViableContinuityCapability

ThisPlan and its supportingproceduresaddresstheelementsofaviable continuity

capabilityrequired of all federalagencies, and includes: EssentialFunctions,OrdersofSuccession,DelegationsofAuthority,ContinuityFacilities,ContinuityCommunications,EssentialRecords, HumanResources,TT&E,Devolution,and Reconstitution. Itaddressestherequirements associated witheachelementasfoundin theFederalContinuityDirectives(FCD)1 and 2. Additionally, thisPlanandits proceduresaddressthesupportingelementsofcontinuity,includingProgramPlansand Procedures,Risk Management,BudgetingandAcquisition, andOperationalPhasesand Implementation. It also addressesrequirementsassociatedwith eachelementasfound inFCD-1.

Thisplanisreviewed andupdatedannually. TheUSAIDContinuityManagerdocumentsthedateofthereviewand thenamesofpersonnelconductingthereview. Major changes may require that the Plan be re-signed by the Administrator or Designated Representative in accordance with FCD-1.

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Authorities

1) National Security Presidential Directive (NSPD 51) and Homeland Security Presidential Directive (HSPD 20), National Continuity Policy, September 2007;

2) National ContinuityPolicyImplementationPlan (NCPIP),HomelandSecurityCouncil, August2007;

3) Federal ContinuityDirective 1,FederalExecutiveBranchNationalContinuityProgramand Requirements,RevisedOctober 26,2012;

4) Federal ContinuityDirective 2,FederalExecutiveBranchMissionEssentialFunctionandPrimaryMissionEssentialFunctionIdentificationandSubmissionProcess, RevisedJuly2013;

5) TeleworkEnhancement Actof2010,December2010;

6) Presidential PolicyDirective (PPD)8,NationalPreparedness,March30,2011;

7) National Response Framework (NRF),May2013;

8) National Disaster Recovery Framework (NDRF),September2011;

9) National Preparedness Goal,September2011;

10) Washington, DC, Area Dismissal and Closure Procedures,OfficeofPersonnelManagement(OPM),November2012;

11) NationalCommunicationSystem(NCS)Directive 3-10,MinimumRequirementsfor ContinuityCommunications Capabilities,November7, 2011;

12) Executive Order 13618,Assignmentof NationalSecurityandEmergencyPreparednessCommunicationsFunctions,July2012;

13) Executive Order 12656, Assignmentof EmergencyPreparednessResponsibilities, November 18, 1988,as amended;

14) Homeland SecurityPresidentialDirective 7,Critical InfrastructureIdentification,Prioritization, andProtection,December 17,2003;

15) ADS 531: ContinuityofOperationsProgram,revisedMarch 2016;

16) ADS 103: Delegationsof Authority,revisedMarch 2013;

17) ADS 106: Orders ofSuccession duringa NationalSecurityEmergency,revised December2012;

18) Themost recentSecurityADS Chapters 552, 561, 564, 565, and 568.

ConceptofOperations(CONOPS)

This sectionexplainshowUSAID plansfor, operatesduring,andrecovers/reconstitutesfrom a disruptionofoperations.

USAID Roles and Responsibilities

USAID Incident Command

Inaccordancewith HSPD–5, USAID isrequired to utilize the IncidentCommandSystem (ICS) duringincidents or disruptions. Thefollowing ICS roles andresponsibilitieshavebeendesignated.

/ Title / USAID Incident Command Roles
Designated Official (M/MS) / Incident Commander
Chief,M/MS/HMD / DeputyIncidentCommander
EmergencyManager(M/MS/HMD) / PlanningSectionChief
Continuity Coordinator (DAA/M) / OperationsSectionChief
ChiefFinancialOfficer (M/CFO) / FinanceSectionChief
ChiefInformationOfficer (M/CIO) / InformationTechnologyOfficer
Representative from LPA / PublicInformationOfficer
OccupationalSafetyandHealth (M/MS/HMD) / SafetyOfficer

As identifiedintheNational Response Framework (NRF), USAID's responsibility in anAll-hazardsemergency or National Special Security Event (NSSE) is to help coordinatethe invitationandentryofinternationaldisaster response teams, if they are askedtocome to the UnitedStates for an incidentofsufficient magnitude. USAID is also listedas a supportagency in three Emergency Support Functions (ESFs):

  • ESF 8,"PublicHealthand MedicalServices”;
  • ESF 9,"UrbanSearchand Rescue”; and,
  • ESF 15,“ExternalAffairs.”

USAID is not limited to supporting just these three sectors, however, and may be askedto help in all areas where there is an international component to the event.

USAID Administrator /
  • Providesstrategicleadershipandoverarchingpolicydirection;
  • Orders theactivationofthe COOP Planwhen necessary;
  • Ensuresparticipationincontinuityexercisesandtraining and ensures adequatefunding for emergency operations involving all organizational components.

Assistant Administrator, Bureau for Management (AA/M)
*Note: Per ADS 524.2,the Assistant Administrator for the Bureau for Management (AA/M) is the Continuity Coordinator responsible for overseeing the programs that support emergency preparedness throughout the Agency. The AA/M has delegated this duty to the DAA/M); /
  • Activates the COOP Plan if the Administrator or designee is unreachable;
*Serves as USAID’s Continuity Coordinator:
  • Leads the Crisis Management Team (CMT)and manages ERG;
  • Once the decision is made to activate the COOP Plan, immediately notifies the Bureau for Management, Office of Management Services (M/MS), so that necessary preparatory actions may be taken for full implementation of this plan;
  • Notifies the Federal Emergency Management Agency (FEMA) Operations Center (FOC)(1-800-634-7084/
1- 540-665-6100), and other appropriate agencies when relocation occurs, as delegated by the Administrator;
  • Executes the deployment of pre-selected personnel (the CMT and ERG) collectively known as the ERG to the AOF;
  • Obtains additional resources, as needed, to resolve the crisis and perform the Agency’s essential MEFs and ESAs;
  • Directs COOP activity during the crisis;
  • Is accountable for reporting the status of Agency personnel to the U.S. Office of Personnel Management (OPM);
  • Responsible for reconstituting the Agency’s key staff positions with successor personnel under the COOP Plan;
  • Ensures full Agency reconstitution and resumption of normal operations after the event has concluded.

Office of the General
Counsel (GC) /
  • EnsuresthattheAgencycomplieswiththedesignatedOrdersofSuccessiontotheAdministrator.

Continuity
Coordinator (DAA/M) /
  • Oversees developmentandmaintenanceof theUSAIDCOOPPlan;
  • Implements elements of the COOP Program as necessaryor asdirected (see *Note above);
  • Submitsbudgetrequestsforcontinuityacquisitions.

ManagementServices (M/MS) /
  • Develops and exercises COOP plans and procedures;
  • Coordinates facility access for local emergency first responders (fire, police, etc.);
  • In an emergency with warning, facilitates AOF preparatory actions for implementation of the Plan. In coordination with the Continuity Coordinator, notifies the FEMA Operations Center at 1-800-634-7084/1- 540-665-6100; and other appropriate agencies when relocation occurs, as delegated

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Management Services (M/MS)Cont. / by the Administrator;
  • In coordination with the Continuity Coordinator, ensures all necessary reporting requirements to FEMA are met;
  • Ensures daily function of the AOF;
  • Ensures, in coordination with M/CIO, that all electronic essential records filed by COOP Coordinators are stored on the LAN (V-drive), and are routinely backed up and properly maintained;
  • Ensures, in coordination with B/IOs, that non-electronic essential records have been identified and are secured, backed up off-site, or are re-constructible from an off-site record storage facility;
  • Evaluates and determines that the location of these records storage facilities, and the means of accessing these files, are included in the COOP Plan. Coordinates with GSA in acquiring space for the reconstitution of the Agency, should relocation be required or if there is projected to be an extended period before the POF can be reoccupied;
  • Coordinates transportation for devolution personnel to the AOF or Devolution AOF, including international flights as necessary (this does not cover local transportation);
  • Makes arrangements for the diversion of official mail during the period of the emergency.

Continuity Manager (M/MS/HMD) /
  • Updates COOP plan annually;
  • Properly documents and implements corrective actions. Develops and leads COOP training. Updates telephone rosters monthly;
  • Updates and posts Orders of Succession and Delegations of Authority;
  • Conducts alert and notification tests;
  • Plans COOP exercises;
  • Maintainsdocumentationforcontinuityactivities.

B/IO ContinuityCoordinators /
  • Shouldbeat thepositionofSeniorAMSOfficerorDeputy Assistant Administrator for the B/IO;
EnsurethattheirB/IOSupplementaryCOOPPlanisupdatedandreadytoimplement;
EnsureB/IODelegationsofAuthorityandOrdersofSuccessionareinplace;
Ensureessentialrecordsandcriticaldatasystemsare
pre-positioned and available at the AOF;
  • Notify B/IO critical personnel (SMEs) to remain on alert or standby via telework;
  • Establish communications with all employees and convey needed information to them regarding situations which may require activation of the COOP Plan;
  • Inform employees of their roles and responsibilities during the COOP event;
  • Designate critical MEF supporting personnel for inclusion on the ERG roster;
  • Activate the Supplemental COOP Plan for their respective B/IOs;

B/IO Continuity CoordinatorsCont. /
  • Account for each B/IO employee working within the NCR, including employees on temporary duty assignments.

Missions /
  • Establish and maintain communications with field missions and convey needed information, including how they should operate during COOP;
  • Respond to instructions issued by USAIDheadquarters;
  • May be notified to implement pre-arranged duties (selected USAID missions), if necessary.

Essential Records Manager (M/IRD) /
  • Reviews status of vital files, records, and databases. Ensures proper storage and transmission of vital records. In an emergency, coordinates with ERG for continuity of the vital records program.

Telework Managing Officer (TMO) /
  • Serves as an advisor for Agency leadership, a resource for managers and employees, and is USAID's primary point of contact for OPM on telework matters. In accordance with the Telework Enhancement Act of 2010, the USAID TMO assists the USAID Continuity Coordinator and USAID Continuity Manager in developing an unscheduled telework strategy, capacity, and capability for use during continuity incidents.

Chief Human Capital and Talent Management (HCTM) /
  • Ensures accountability of personnel;
  • Notifies OPM about the COOP status of the Agency;
  • Issues Selection/Appointment Orders to ERG personnel.

/
  • Facilitates IT users’ access toelectronic vital records and essential records;
  • Begins mission critical systems recovery if IT operationsfrom the RRB and other facilities are rendered down;
  • Arranges for the dispatch and receipt of cables from the U.S. Department of State (DOS);
  • Supports mission critical systems from the AOF;
  • Provides systems administration of the LAN and supporting hardware and software;
  • Provides comprehensive security support, including physical security in coordination with site security, to the deployed ERG, as required;
  • Certifies USAID employees’ security eligibility to the National Security Council (NSC) and to other federal agencies during an emergency, as required.