3333
[Organization Name] Devolution of
Operations
Plan Template
[Month Day, Year]
July 2011
[Organization Name]
[Street Address]
[City, State Zip Code]
[Insert
Organization Symbol H
ere]
[Month Day
,
Year]
[
Organization Name] Manual [####.#]
This page intentionally left blank
[Organization Name]
[City, State Zip Code]
[Organization
Name
]
Directives Management System
[
Enter
Organization Symbol H
ere
]
Distribution:
[Enter o
rganization distribution category and/or
information here]
MANUAL
####.#
Number
Date (signed)
[
Organization
[####.#]
[Month Day, Year]
Enter Symbol here]
[Organization Name]
Devolution of Operations Plan
Foreword
The foreword should introduce readers to your devolution of operations plan and establish the
Organization’s rationale for creating the plan. It must also include a signature block for the
director of the
Organization so that he/she may sign the plan once approved to make it a valid plan.
Sample text for this section includes:
The
[Organization Name]
supports the overall
[e
nter parent o
rganization name here]
mission
by
[enter text to describe how your org
anization supports the mission of the parent
organization here]
. To accomplish its mission,
[Organization Name]
must
ensure that operations
continue, with minimal disruptions to essential functions, especially during an emergency.
To support this
mission
,
[Organization Name]
must be prepared to continue its essential functions
during any type of threat or emergency and to effectively resume its mission and essential functions
if an interruption threatens. This document provides planning and program guida
nce to ensure the
continuation of
[Organization Name]
’s essential functions in the event that
the
[Organization
Name]
primary operating facility
is incapacitated and personnel are unavailable or incapable of
activating or deploying to the normal continuity
facility.
This plan has been developed in accordance with guidance in National Security Presidential
Directive (NSPD) 51/Homeland Security Presidential Directive (HSPD) 20,
National Continuity
Policy
; the
National Continuity Policy Implementation Plan
; Federal Continuity Directive 1,
Federal Executive Branch National Continuity Program and Requirements
;
and other related
Directives and guidance.
[Director signs here]
[Enter Director’s name here]
_________________________
Director
[Organization Name]
Note: This document has been updated to reflect the change from the color
-
coded Homeland
Security Advisory System (HSAS) to the Department of Homeland Security’s National Terrorism
Advisory System (NTAS) which was implemented in April
2011.
[Month Day
,
Year]
[Organization
Name] Manual [####.#]
***
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[Month Day
,
Year]
[Organization
Name] Manual [####.#]
v
TABLE OF CONTENTS
TABLE OF CONTENTS
................................
................................
................................
.....................
v
CHAPTER 1:
INTRODUCTION
................................
................................
................................
1
-
1
1.1
P
URPOSE
................................
................................
................................
................................
.
1
-
1
1.2
P
LAN
O
RGANIZATION
................................
................................
................................
.............
1
-
1
1.3
O
BJECTIVES
................................
................................
................................
............................
1
-
2
1.4
A
PPLICABILITY AND
S
COPE
................................
................................
................................
....
1
-
2
1.5
A
SSUMPTIONS
................................
................................
................................
.........................
1
-
3
1.6
A
UTHORITIES
................................
................................
................................
..........................
1
-
3
1.7
R
EFERENCES
................................
................................
................................
...........................
1
-
4
1.8
R
ESPONSIBILITIES
................................
................................
................................
...................
1
-
4
1.9
D
EFINITIONS
................................
................................
................................
...........................
1
-
5
CHAPTER 2:
CONCEPT OF OPERATIONS
................................
................................
............
2
-
1
2.1
D
ISRUPTION OF
O
PERATIONS
................................
................................
................................
..
2
-
1
2.2
D
EVOLUTION OF
O
PERATIONS
S
ITES
................................
................................
.......................
2
-
1
2.3
D
EVOLUTION OF
O
PERATIONS
A
CTIVATION
C
ONDITIONS
................................
.......................
2
-
1
2.3.1
Active Measures
................................
................................
................................
..........
2
-
1
2.3.2
Passive Measures
................................
................................
................................
.........
2
-
2
2.4
D
EVOLUTION
S
CENARIOS
................................
................................
................................
.......
2
-
2
2.5
R
ELATIONSHIP
B
ETWEEN
C
ONTINUITY AND
D
EVOLUTION OF
O
PERATIONS
...........................
2
-
2
2.6
D
EVOLUTION OF
O
PERATIONS
T
HREAT
C
ONDITIONS AND
P
OTENTIAL
R
ESPONSES
.................
2
-
3
2.7
A
SSUMPTION OF
[O
RGANIZATION
N
AME
]
E
SSENTIAL
F
UNCTIONS AND
M
ISSION
...................
2
-
4
2.8
O
RDERS OF
S
UCCESSION
................................
................................
................................
.........
2
-
4
2.9
D
ELEGATIONS OF
A
UTHORITY
................................
................................
................................
2
-
5
CHAPTER 3:
ORGANIZATION AND RESPONSIBILITIES
................................
..................
3
-
1
3.1
R
ESPONSIBILITIES OF T
HE
[O
RGANIZATION
N
AME
]
D
EVOLUTION
W
ORKING
G
ROUP
.............
3
-
1
3.2
R
ESPONSIBILITIES
OF THE
[O
RGANIZATION
N
AME
]
D
EVOLUTION
E
MERGENCY
R
ESPONSE
G
ROUP
................................
................................
................................
................................
....
3
-
1
3.3
O
RGANIZATION
................................
................................
................................
.......................
3
-
2
CHAPTER 4:
DEVOLUTION OF OPERATIONS IMPLEMENTATION
...............................
4
-
1
4.1
P
HASE
I:
R
EADINESS AND
P
REPAREDNESS
................................
................................
.............
4
-
2
4.2
P
HASE
II:
A
CTIVATION AND
T
RANSFER OF
A
UTHORITY
................................
.........................
4
-
2
4.2.1
Alert and Notification
................................
................................
................................
..
4
-
2
4.2.2
Transitioning to the Devolution Emergency Response Group
................................
....
4
-
3
4.3
P
HASE
III:
D
EVOLUTION
O
PERATIONS
................................
................................
...................
4
-
3
4.4
P
HASE
IV:
R
ECONSTITUTION
................................
................................
................................
.
4
-
5
CHAPTER 5:
SUPPORT REQUIREMENTS
................................
................................
............
5
-
1
5.1
P
ERSONNEL
C
OVERAGE
P
ROCEDURES
D
URING
DERG
A
CTIVATIONS
................................
....
5
-
1
5.1.1
Procedures for Coverage Durin
g a Devolution of Operations Situation:
....................
5
-
1
5.2
V
ITAL
R
ECORDS
M
ANAGEMENT
................................
................................
.............................
5
-
2
5.3
P
RE
-
P
OSITIONED
I
NFORMATION
................................
................................
.............................
5
-
2
5.4
C
ONTINUITY
C
OMMUNICATIONS
................................
................................
.............................
5
-
2
5.5
T
ESTS
,
T
RAINING
,
AND
E
XERCISE
P
ROGRAM
................................
................................
..........
5
-
3
5.6
S
ECURITY
................................
................................
................................
...............................
5
-
4
5.7
B
UDGETING AND
A
CQUISITION
................................
................................
...............................
5
-
4
5.8
H
UMAN
C
APITAL
................................
................................
................................
....................
5
-
4
[Month Day
,
Year]
[Organization
Name] Manual [####.#]
vi
5.8.1
DERG Personnel
................................
................................
................................
.........
5
-
5
5.8.2
Primary Operating Facility Personnel
................................
................................
.........
5
-
5
5.8.3
All Staff
................................
................................
................................
.......................
5
-
6
APPENDIX A:
[ORGANIZATION NAME] ESSENTIAL FUNCTIONS
................................
....
A
-
1
APPENDIX B:
RESOURCE REQUIREMENTS
................................
................................
............
B
-
1
APPENDIX C:
DEVOLUTION OF OPERATIONS SITES
................................
...........................
C
-
1
APPENDIX D:
DEVOLUTION COUNTERPARTS
................................
................................
......
D
-
1
APPENDIX E:
ACRONYMS
................................
................................
................................
..........
E
-
1
[Month Day
,
Year]
[Organization Name] Manual ####.#
1
-
1
CHAPTER 1:
INTRODUCTION
The i
ntroduction should briefly stress how the
o
rganization supports the missions of its parent
organization and that a continued continuity of operations under any circumstance is needed to
ensure there is no disruption in service.
Sample text for this sectio
n includes:
The
[Organization Name]
supports the overall
[enter parent o
rganization name here]
mission
by
[enter text to describe how your organization supports the mission of the parent
organization here]
. To accomplish its mission,
[Organization Name]
must ensure that
operations continue efficiently, with minimal disruption to essential functions, especially during
an emergency. While the severity and consequences of an emergency cannot be predicted,
effective contingency planning can minimize the imp
act on
[Organization Name]
missions,
personnel, and facilities.
1.1
P
URPOSE
The Purpose section should
briefly
address the devolution of operations concept for the
o
rganization and its relationship to continuity of operations.
Sample text for this section
inc
ludes:
This Devolution of Operations Plan supports overall
[Organization Name]
Continuity of
Operations planning, and provides procedures, guidance, and organizational structure to ensure
the continuation of
[Organization Name]
essential functions in the
event that
the
[Organization
Name]
primary operating facility
is incapacitated and personnel are unavailable or incapable of
deploying to the
[e
nter continuity facility name here]
. In this situation, management,
leadership responsibility, and essential fu
nctions will devolve to the designated
[Organization
Name]
devolution of o
perations sites in
[enter location information here]
, along with several
other satellite and subcomponent offices.
1.2
P
LAN
O
RGANIZATION
The plan o
rganization section should briefly orie
nt readers to the layout of the devolution of
operations plan for the
o
rganization.
Sample text for this section includes:
Chapter 1
of the plan outlines the basic policies, definitions, and assumptions that form the
framework for the plan.
Chapter 2
introduces concepts relevant to the development and
execution of the Devolutio
n of Operations Plan.
Chapter 3
assigns responsibilities to the
respective
[Organization Name]
offices and divisions
tasked with planning and imp
lementing
devolution.
Chapter 4
provides an operational overview of devoluti
on implementation, and
Chapter 5
addresses specific devolution of o
perations support procedures and requirements.
The appendices, A through E, serve to amplify or expand upon information discussed in the plan
an
d may prove useful in understanding new concepts introduced in the body of the plan.
Appendix A contains a list of the essential functions of the
[Organization Name]
offices and
d
ivisions. Appendix B pr
ovides specific information on vital r
ecords and
con
tinuity
communications requirements, and Appendix C prov
ides information regarding the devolution of
o
perations sites. Appendix D provides a listing of all
[Organization Name]
d
evolution
of
o
perations
Emergency
Response
Group (DERG) personnel
, including
h
eadquarters, r
egional, and
subcomponent
staff. Appendix E is an alphabetical listing of the acronyms
used in
this plan.
[Month Day
,
Year]
[Organization Name] Manual ####.#
1
-
2
1.3
O
BJECTIVES
The o
bjectives section should include the objectives of the
o
rganization’s devolution of
operations plan, in order of priori
ty, if possible.
Sample text for this section includes:
The Devolution of Operations Plan addresses a key component of continuity of operations
planning identified in Federal Continuity Directive 1,
Federal Executive Branch National
Continuity Program an
d Requirements
; dated February 2008, in the event that devolution of
operations procedures are necessary. At a minimum, the plan will meet the following objectives:
1.
Identify prioritized essential functions and determine necessary resources to facilitate
their immediate and seamless transfer to a devolution site;
2.
Include a roster identifying organization points
-
of
-
contact (POCs) at the designated
devolution site with overall responsibility for the fully equipped and trained personnel
who will perform essen
tial functions and activities when the devolution option of
continuity is activated;
3.
Identify the likely activation
protocols
(triggers) that would initiate or activate the
Devolution of Operations Plan;
4.
Specify how and when direction and control of organi
zation operations will transfer to
the devolution of operations site(s);
5.
List necessary resources (people, equipment, and materials) to perform essential
functions at the devolution site;
6.
Establish reliable processes and procedures to acquire resources nec
essary to continue
essential functions and sustain operations for extended periods; and
7.
Establish capabilities to restore or reconstitute organization authorities to their pre
-
event
status upon termination of devolution.
1.4
A
PPLICABILITY AND
S
COPE
The applica
bility and s
cope section should identify who and what the devolution of operations
plan applies to and the staff that should be familiar with the plan.
Sample text for this section
includes:
This plan applies to the functions, operations, and resources n
ecessary to ensure the continuation
of
[Organization Name]
essential functions
if
disaster
, attack, or catastrophe renders personnel
incapable or unavailable to sustain operational capability at the
[Organization Name]
primary
operating
facility or the
[en
ter continuity facility here]
. This plan applies to
[enter the names
of all
o
rganization and subcomponents this plan applies to here]
and counterparts.
[Organization Name]
staff must be familiar with
devolution of o
perations policies and
p
rocedures and t
heir respective devolution of o
perations roles and responsibilities.
[Month Day
,
Year]
[Organization Name] Manual ####.#
3
-
2
responsibilitie
s
. The offices
supporting devolution
designate their DERG members based on
the
se
requirements:
•
The
ability to identify
predetermined essential functions that must be performed,
regardless of the functional status of the
[Organization Name]
building and
personnel;
•
K
nowledge a
nd expertise in performing the
essential functions
;
•
The understanding that
DERG
members
are precluded from being members of any other
emergency team while they are supporting their DERG responsibilities during a
devolution of o
peratio
ns
situation.
3.3
O
RGANIZATION
This section formally establishes the need for your organization organizations to transfer their
essential functions to specific counterparts. The section also refers readers to where they can
find more information on your actua
l coverage scheme to ensure adequate personnel will be
available to assume operations and where they can find a list of key points
-
of
-
contact.
Sample
text for this section includes:
Specific organizational structures are required to successfully devolve
[Organization Name]
mission and essential functions to the Devolution of Operations sites. The
[Organization
Name]
mission and essential functions
must transfer to specific
counterpart
office
s
to continue
the mission of
[Organization Name]
. Refer
to
Sect
ion Five for specific personnel requirements
and office coverage schemes and Appendix
D
for a list of the
[Organization Name]
and DERG
personnel.
[Month Day
,
Year]
[Organization Name] Manual ####.#
4
-
1
CHAPTER 4:
DEVOLUTION OF
OPERATIONS IMPLEMENTATION
This chapter focuses on the four stages needed to devo
lve operations. The four sections expand
on the stages of readiness and preparedness, activation and relocation, devolution operations,
and reconstitution. During each phase, your devolution of operations plan
must
identify the
procedures, objectives, an
d logistics needed to effectively devolve
organization
operations.
Once identified, your organization can include all information in your plan or work on plan
implementation with the offices within your organization and their devolution counterparts.
Sam
ple text for this section includes:
The DERG will implement the
[Organization Name]
Devolution of Operations Program in four
phases, as illustrated in
Figure 4
-
1
:
•
Phase I:
Readiness and Preparedness
, includes all continuity readiness and preparedness
actions
including
plan
development, review, and revision
, TT&E, risk management, etc;
•
Phase II:
Activation and
Transfer of Authority
,
which occurs immediately upon
confirmation that
[Organization Name]
’s primary operating facility
is unavailable or
incapa
ble of performing its essential functions, after either the Director,
[Organization
Name]
,
or the Devolution Director activate the Devolution of Operations Plan in
accordance with the activation triggers;
•
Phase III:
Devolution Operations
, which continue un
til the emergency operations can be
terminated; and
•
Phase IV:
Reconstitution
, which is conducted after the emergency or disruption ceases
and is unlikely to resume.
F
IGURE
4
-
1
:
D
EVOLUTION OF
O
PERATIONS
I
MPL
EMENTATION
P
HASES
[
Organization]
ERG
and
DERG
are
notified of event.
Director,
[
Organization]
, (Active
Trigger) or Director,
DERG
, (Passive
Trigger) activates the Devolution of
Operations Plan or continues to monitor
the situation.
DERG deploys to
their DERG sites.
Enter
Official Seal
Here
[
Organization Name
]
DEVOP is terminated.
Operations and essential functions
transferred to [
Organization
]
primary operating facility.
Return to normal operation.
DERG assumes [
Organization
]
operations, conducting all essential
functions and other DEVOP tasks
from the devolution sites.
Phase IV:
Reconstitution
Phase II
:
Activation & Transfer
Phase I
II
:
Devolution Operations
* Phase I: Readiness and Preparedness
Not Shown in Figure
4
-
1
[Month Day
,
Year]
[Organization Name] Manual ####.#
4
-
2
Each of these phases is presented in more detail in the following sections. Implementation of the
[Organization Name]
Devolution of Operations Plan depends on the type of emergency, the
warning conditions, the location of
personnel when notified, and the extent of damage or threat
to the primary operating facility and its occupants.
4.1
P
HASE
I:
R
EADINESS AND
P
REPAREDNESS
Readiness is the ability of an organization to respond to a continuity event. This phase includes
all age
ncy continuity readin
ess and preparedness activities for devolution
.
Sample text for this
section includes:
[Organization Name]
participates in the full spectrum of readiness and preparedness activities
to ensure its Devolution of Operations plan is viable.
[Organization Name]
readiness activities
include
:
•
[E
nter readiness and preparedness activities here]
.
4.2
P
HASE
I
I
:
A
CTIVATION
AND
T
RANSFER OF
A
UTHORITY
This section focuses on the aspects of activating and transferring authority to your DERG. It
includes the actions the DERG will take when activated for an event with prior warning and for
an event without any advanced warning.
This section also includes a sub
-
section covering how
to transfer responsibilities once the DERG activates.
Sample text for this section includes:
4.2.1
A
LERT AND
N
OTIFICATION
This phase begins with the activation of the
[Organization Name]
Devolution of
Operations
Plan and the transfer of its mission, authority, responsibility and essential functions to the
DERG. This phase ends with the establishment of the mission
-
capable DERG.
If a catastrophic event is likely to occur, the DERG will take the followin
g actions:
•
The Director,
[Organization Name]
,
or designated
successor will notify the Devolution
Director to activate the Devolution of Operations Plan
.
•
[Enter your organization’s notification chain here].
The Devolution Director will
contact the
[enter y
our primary and/or alternate operations center names here]
to
initiate the automated emergency notification system. If the main notification system is
not operational, the
[enter your alternate operations center name here
, if applicable
]
will notify key
[Organization Name]
devolution officials, who will contact all DERG
members and non
-
DERG members. Each division official will notify the
[enter your
primary and/or alternate operations center names here]
upon completion of the
notification process
.
•
DERG
members will immediately report to their devolution o
perating
site (during duty
and non
-
duty hours)
.
•
The
[enter your primary and/or alternate operations center names here]
will notify
[enter appropriate notification offices here]
that an emergency relocat
ion of
[Organization Name]
is anticipated or is in progress.
[Month Day
,
Year]
[Organization Name] Manual ####.#
4
-
3
If an unwarned catastrophic event occurs, the Devolution Director will order the following
actions:
•
DERG members will immediately report to their devolution of o
perations
site (during
duty and no
n
-
duty hours).
•
DERG members will perform the
[Organization Name]
mission and essential functions.
•
The
[enter your primary and/or alternate operations center names here]
will notify
[enter appropriate off
i
ces here]
that an emergency relocation of
[Organizat
ion Name]
is anticipated or is in progress.
As appropriate, news media, outside customers, vendors, and other service providers will be
notified by an official spokesperson from the DERG, (via pre
-
recorded message where
appropriate) that
[Organization Name
]
has temporarily relocated to its devolution of o
perations
sites.
4.2.2
T
RANSITIONING TO THE
D
EVOLUTION
E
MERGENCY
R
ESPONSE
G
ROUP
Immediately following a devolution of o
perations
activation, the DERG will:
•
Assume all authority and responsibility for execution of
the
[Organization Name]
mission and essential functions
.
•
Execute notification plans
.
•
The Devolution Director will ensure the
[enter your primary and/or alternate
operations center names here]
completes notification of all
[Organization Name]
regional offi
ces, other Federal or State, territorial, tribal, or local organizations, and
national leadership or
[enter other notification organizations here]
using the pre
-
established call
-
down lists
.
•
Prepare to receive representatives from other Federal or State, te
rritorial, tribal, or local
organizations as required.
•
[Enter additional
transition procedures
here]
.
4.3
P
HASE
II
I
:
D
EVOLUTION
O
PERATIONS
This section provides details covering how long the DERG will remain activated and how the
Devolution Director will
confirm the transfer of authority to each devolution counterpart. A
major portion of this section involves establishing the DERG Initial Status Call and subsequent
call, and including the logistics needed to make the call happen. Items included in this s
ection
for the call include the telephone number to use, who determines the time of each call and how
that decision gets out to the group members, and the recommended script for call participants to
follow.
Sample text for this section includes:
The DERG
will continue to operate as the
[Organization Name]
until the
[Organization
Name]
primary operating facility
reconstitutes and reassumes its mission authority. All
[Organization Name]
organizations will devolve to
[Enter designated office name or
designa
tion here]
initially. Responsibility will transfer to each organization’s actual devolution
of o
perations
counterparts after the DERG Initial Status Call using
[enter the number for your
initial status call here]
.
[Month Day
,
Year]
[
Organization
Name] Manual [####.#]
A
-
2
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[Month Day
,
Year]
[
Organization
Name] Manual [####.#]
B
-
3
Table 3: Additional
Continuity Communications Employed
by
[enter Office/Division name]
Office or
Division
Voice
Radio
Data
Video
[
Office/Division
Name
]
•
Homeland Security
Information Network
(HSIN)
•
National Interorganization
Incident Conference Line
•
Commercial
Satellite
Connectivity
[Month Day
,
Year]
[
Organization Name] Manual [####.#]
B
-
4
This page intentionally left blank
[Month Day
,
Year]
[
Organization Name] Manual [####.#]
C
-
1
APPENDIX C:
DEVOLUTION OF OPERAT
IONS SITES
Enter the location, contact, and leadership information for each of your
devolution sites in
Appendix C. Include maps that will give readers a better idea of where your devolution site is
located. However, be sure to avoid providing any classified location information for your sites.
Sample text for this
appendix
includes:
[Enter office name here]
Location:
[Enter location description here]
Phone numbers:
[Enter main switchboard phone numbers here]
Address:
[Enter street address here]
[Enter City, State and Zip Code here]
Office Leadership:
[Enter Devolution Director office name here]
[Enter phone numbers here]
F
IGURE
C
-
1:
L
OCATION OF
[
O
RGANIZATION
N
AME
]
D
EVOLUTION OF
O
PERATIONS
S
ITE
(
S
)
[Enter map
(s)
of
and directions to
your devolution of operations site
(s)
here
, as applicable
and
appropriate
]
[Month Day
,
Year]
[
Organization Name] Manual [####.#]
C
-
2
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[Month Day
,
Year]
[
Organization Name] Manual [####.#]
D
-
1
APPENDIX D:
DEVOLUTION
COUNTERPARTS
Enter the information for your key personnel within each office and division within your
organization. For Figure D
-
1, always use positions and titles instead of the actual names o
f
individuals to avoid having to make more frequent changes to your plan each time key personnel
within your organization change.
Sample text for this
appendix
includes:
To enable the efficient transfer of essential functions to the devolution site, each primary
operating facility continuity member has a devolution counterpart. The corresponding positions
are listed in the table below.
[Enter office/division]
has responsibility for maintaining current
names, telephone numbers, and addresses for the roster and updates the roster
[enter time
period]
. A copy of this roster is found
[insert
location
]
.
F
IGURE
D
-
1:
[
O
RGANIZATION
N
AME
]
C
ONTINUITY
C
OUNTERPARTS
Offic
e/Division
Primary Operating
Facility Continuity
Personnel Name and
Telephone Number
Devolution Emergency
Response
Group
Counterpart
Contact Information
[
Office/Division Name
]
[Position & Phone #
(###
-
###
-
####)]
[Enter position, phone number, and address
of counterpart here]
[Position & Phone #
(###
-
###
-
####)]
[Enter position, phone number, and address
of counterpart here]
[
Office/Division Name
]
[Position & Phone #
(###
-
###
-
####)]
[Enter position, phone number, and address
of counterpart here]
[Month Day
,
Year]
[
Organization Name] Manual [####.#]
D
-
2
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