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Homeland Security Presidential Directive-20 (HSPD-20)

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This report provides an in-depth analysis of Homeland Security Presidential Directive-20 (HSPD-20), a crucial component of the national preparedness framework in the United States. Issued by President George W. Bush on May 9, 2007, HSPD-20 establishes a comprehensive national policy on the continuity of Federal Government structures and operations after a catastrophic emergency. The directive defines "national essential functions" of the federal government, specifies continuity requirements for executive branch departments and agencies, and provides guidance for state, local, territorial, and tribal governments1. It also provides for a National Continuity Coordinator who will oversee the development and implementation of federal continuity policies1.

Purpose and Scope of HSPD-20

HSPD-20 aims to ensure the preservation of the U.S. form of government under the Constitution and the continuing performance of National Essential Functions (NEFs) under all conditions2. It establishes a single National Continuity Coordinator, the Assistant to the President for Homeland Security and Counterterrorism, responsible for coordinating the development and implementation of Federal continuity policies2. This signifies a move towards a more centralized approach to national preparedness, shifting the responsibility from the Department of Homeland Security to the Assistant to the President2. The policy establishes "National Essential Functions," prescribes continuity requirements for all executive departments and agencies, and provides guidance for State, local, territorial, and tribal governments1. In addition to the directive, the National Continuity Coordinator leads the development of a National Continuity Implementation Plan, which includes prioritized goals and objectives, a concept of operations, performance metrics, procedures for continuity and incident management activities, and guidance to promote interoperability of Federal Government continuity programs and procedures with State, local, territorial, and tribal governments1.

The scope of HSPD-20 encompasses a wide range of potential emergencies, including localized acts of nature, accidents, technological emergencies, and military or terrorist attack-related incidents2. It emphasizes "geographic dispersion of leadership, staff, and infrastructure to alternate facilities to increase survivability and maintain uninterrupted Government Functions." 3 The directive requires the application of risk management principles “to ensure that appropriate operational readiness decisions are based on the probability of an attack or other incident and its consequences.” 3

HSPD-20 identifies eight NEFs that 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: 2

  1. Ensuring the continued functioning of our form of government under the Constitution, including the functioning of the three separate branches of government.
  2. Providing leadership visible to the Nation and the world and maintaining the trust and confidence of the American people.
  3. Defending the United States against all enemies, foreign and domestic, and preventing or interdicting attacks against the United States or its people, property, or interests.
  4. Maintaining and fostering effective relationships with foreign nations.
  5. Protecting against threats to the homeland and bringing to justice perpetrators of terrorist attacks and other criminal activity.
  6. Providing for the public health and safety.
  7. Protecting the Nation’s critical infrastructure, key resources, and assets.
  8. Providing for economic security.

Continuity of Operations Planning

A continuity of operations plan (COOP), as defined in the National Continuity Policy Implementation Plan and HSPD-20, is an effort within individual executive departments and agencies to ensure that Primary Mission Essential Functions (PMEFs) continue to be performed during a wide range of emergencies, including localized acts of nature, accidents, and technological or attack-related emergencies4. The critical business functions a COOP plan for are those which must be:

  • Operational not later than 12 hours after activation.
  • Capable of maintaining sustained operations for up to 30 days5.

It is important to emphasize that HSPD-20 requires continuity planning to be incorporated into the daily operations of all executive departments and agencies3. This proactive approach ensures that agencies are better prepared for unexpected disruptions and can maintain essential functions with minimal interruption.

Continuity Requirements for Federal, State, and Local Governments

HSPD-20 outlines specific continuity requirements for all levels of government, emphasizing the importance of coordination and interoperability with federal government efforts6. It encourages governments to incorporate continuity planning into daily operations and apply risk management principles to inform planning decisions3.

Federal Government

HSPD-20 outlines specific continuity requirements for federal government agencies, including:

  • Essential Functions: Identifying and prioritizing essential functions that must be performed during emergencies7.
  • Orders of Succession: Establishing clear lines of succession for leadership roles in case of incapacitation or unavailability8.
  • Delegations of Authority: Pre-planning and documenting the delegation of authority during emergencies8.
  • Alternate Sites: Ensuring the availability of alternate operating locations with necessary resources and infrastructure8.
  • Communications: Maintaining redundant communication capabilities to support connectivity between key personnel and the public8.
  • Human Resources: Planning for the safety and well-being of employees during emergencies7.
  • Vital Records: Safeguarding essential records and providing access to them during emergencies7.
  • Reconstitution: Developing plans for recovering from catastrophic emergencies and resuming normal operations7.
  • Testing, Training, and Exercises: Conducting regular exercises to validate continuity plans and ensure preparedness7.
  • Budget Prioritization: Prioritizing budget resources for continuity capabilities, consistent with the directive1.
  • Presidential Succession Act: Ensuring appropriate support is available to the Vice President and others involved as necessary to be prepared at all times to implement the provisions of the Presidential Succession Act of 19476.

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 Region1. The President determines and issues the COGCON Level, and executive departments and agencies comply with the requirements and assigned responsibilities under the COGCON program1.

State Governments

HSPD-20 provides guidance for state governments to develop their own continuity plans, emphasizing the importance of coordination and interoperability with federal government efforts6. It encourages these governments to:

  • Incorporate continuity planning into daily operations.
  • Apply risk management principles to inform planning decisions.
  • Utilize alternate facilities and staffing to ensure continuity of essential functions3.

Local Governments

Local governments are encouraged to develop continuity plans that align with federal and state guidelines, ensuring the continued delivery of essential services to their communities during emergencies9.

Presidential Succession

HSPD-20 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 involved6. 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 provisions6.

Resources and Guidance Documents

HSPD-20 directs various federal agencies to develop and provide resources and guidance documents to support continuity planning efforts. For example, the Director of the Office of Science and Technology Policy is responsible for defining and issuing minimum requirements for continuity communications for executive departments and agencies, in consultation with the National Continuity Coordinator and the Assistant to the President for National Security Affairs1.

Implementation Examples

Federal Level

The Environmental Protection Agency (EPA) is required to execute its Continuity of Operations plan in the event of a national emergency10. The EPA plans and conducts routine internal testing, training, and exercises to ensure preparedness10. 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 authority1.

State Level

While specific examples of state-level implementation are limited in the provided research material, HSPD-20 emphasizes the importance of states having continuity programs that are consonant with their positions as coequal branches of government2.

Local Level

The research material does not provide specific examples of HSPD-20 implementation at the local level. However, it highlights the need for local governments to have operational governments capable of performing their essential functions under all conditions11.

Updates and Revisions

Although the research material does not provide specific updates or revisions to HSPD-20, it does mention that the directive updates longstanding continuity policy expressed in various directives issued by previous administrations2.

Conclusion

HSPD-20 represents a critical step in strengthening the nation's preparedness for catastrophic emergencies. By establishing a comprehensive framework for continuity planning, the directive ensures that essential government functions can be maintained or restored quickly in the face of a wide range of threats and disruptions. The emphasis on coordination and collaboration across all levels of government and with the private sector is crucial for a unified and effective national response12.

However, HSPD-20 has also faced criticism. Some argue that it grants excessive executive power, particularly in the event of a catastrophic emergency. Concerns have been raised about the potential for abuse of authority and the lack of clear oversight mechanisms. Additionally, the directive's reliance on classified annexes has limited transparency and public understanding of its full implications.

Despite these challenges, HSPD-20 remains a vital instrument for ensuring national preparedness. As the threat landscape continues to evolve, ongoing review and updates to the directive will be essential to ensure its continued relevance and effectiveness in safeguarding national security and the well-being of the American people. This includes addressing potential weaknesses, enhancing transparency, and promoting greater public awareness of the directive's provisions. Continuous improvement and adaptation are crucial to ensure that HSPD-20 remains a robust and effective framework for national continuity in the face of ever-changing threats and challenges.

Works cited

  1. Directive on National Continuity Policy May 4, 2007, accessed January 11, 2025, https://policy.defense.gov/portals/11/Documents/hdasa/references/HSPD-20.pdf
  2. National Continuity Policy: A Brief Overview - CRS Reports, accessed January 11, 2025, https://crsreports.congress.gov/product/pdf/RS/RS22674/5
  3. National Continuity Policy: A Brief Overview, accessed January 11, 2025, https://sgp.fas.org/crs/secrecy/RS22674.pdf
  4. ospi.k12.wa.us, accessed January 11, 2025, https://ospi.k12.wa.us/sites/default/files/2022-12/briefoverview-continuityofoperationsplanning.pdf
  5. Continuity of Operations Plan (COOP) Development - OSPI, accessed January 11, 2025, https://ospi.k12.wa.us/sites/default/files/2022-12/coopannexdevtemplate.pdf
  6. nspd_51.txt - FEMA, accessed January 11, 2025, https://www.fema.gov/txt/about/org/ncp/nspd_51.txt
  7. Federal Continuity Directive 1: Federal Executive Branch National Continuity Program and Requirements - U.S. Government Publishing Office, accessed January 11, 2025, https://www.gpo.gov/docs/default-source/accessibility-privacy-coop-files/January2017FCD1-2.pdf
  8. Unit 2: Requirements for Continuity Planning - Mississippi Emergency Management Agency, accessed January 11, 2025, https://www.msema.org/wp-content/uploads/2018/10/mgr_sm_unit2_06-09_kf1.pdf
  9. Continuity of Operations - OPM, accessed January 11, 2025, https://www.opm.gov/telework/training/employee-telework-fundamentals/Course/documents/Continuity_of_Operations.pdf
  10. Homeland Security Presidential Directives | US EPA, accessed January 11, 2025, https://www.epa.gov/emergency-response/homeland-security-presidential-directives
  11. coop_brochure.pdf - FEMA, accessed January 11, 2025, https://www.fema.gov/pdf/about/org/ncp/coop_brochure.pdf
  12. National Security and Homeland Security Presidential Directive - Wikipedia, accessed January 11, 2025, https://en.wikipedia.org/wiki/National_Security_and_Homeland_Security_Presidential_Directive