Federal Continuity Directive 1 (FCD 1) requires all Federal Executive Branch Departments and Agencies to develop a devolution plan.

This lesson will cover how organizations can determine whether they need to devolve and how devolution will take place.

At the completion of this lesson, students will be able to:

1. State the definition of devolution.
2. Identify the requirements for devolution included in FCD 1 (Annex L).
3. Identify situations in which devolution is necessary.
4. Identify possible triggers for devolution.
5. Identify triggers for devolution and state the actions that your organization must take to devolve.

Devolution is defined as:

The capability to transfer statutory authority and responsibility for essential functions from an organization's primary operating staff and facilities to other organization employees and facilities, and to sustain that operational capability for an extended period.

Devolution is required as a strategy for continuity in the event of a threatened or actual catastrophic incident. The devolution plan may also be implemented:

• When the alternate facility has been damaged or is not accessible.
• When agency staff is unable to relocate.
• As a temporary measure until the Emergency Relocation Group (ERG) assumes operations from the alternate facility.

Some of the greatest concerns about devolution include:

• Ability to perform your organization’s essential functions from a devolution site.
• Identification and training of personnel to take over essential functions.
• Access to vital records needed to perform essential functions.
• Communication with partners and stakeholders who may or may not be in a devolution or continuity situation.
• Additional resources (funding, personnel, and equipment) available to support devolution operations.

It is important for you to keep in mind that devolution is a part of the overall continuity planning. Both the continuity plan and the devolution plan must provide mechanisms for ensuring the continuity of an organization's essential functions.

• The continuity plan provides overarching policy with respect to the relocation of selected staff (e.g., Emergency Relocation Group members) to an organization's relocation site.
• The devolution plan accounts for the loss or incapacitation of agency staff in addition to the facility. It describes the overarching policy regarding the circumstances and execution of transfer of essential functions to another facility, designated as the continuity (devolution) facility.

Federal Continuity Directive 1 (FCD 1) (https://www.gpo.gov/docs/default-source/accessibility-privacy-coop-files/January2017FCD1-2.pdf)

(Annex L, Devolution of Control and Direction) requires all Federal Executive Branch Departments and Agencies to develop a devolution plan that:

• Includes all elements of a viable continuity capability.
• Addresses notice and no-notice events.
• Addresses how organizations will identify and transfer its essential functions and/or leadership authorities to the devolution site.

Minimum Requirements

FCD 1 establishes eight minimum requirements for devolution plans. Devolution plans must:

1. Include the following elements of a viable continuity capability: Program plans and procedures; budgeting and acquisitions; essential functions; orders of succession; delegations of authority; interoperable communications; vital records management; staff; test, training, and exercise (TT&E) capabilities; and reconstitution capabilities.
2. Identify essential functions, define tasks that support those essential functions, and determine the necessary resources to facilitate those functions’ immediate and seamless transfer to the devolution site.
3. Include a roster that identifies fully equipped and trained personnel who will be stationed at the designated devolution site and who will have the authority to perform essential functions and activities when the devolution operation of the continuity plan is activated.
4. Identify what would likely activate or "trigger" the devolution option

Minimum Requirements (continued)

5. Specify how and when direction and control of an organization’s operations will be transferred to and from the devolution site.
6. List the necessary resources (i.e., equipment and materials) to facilitate the performance of essential functions at the devolution site. (Examples include: Security clearance or access to the computer system and software.)
7. Establish and maintain reliable processes and procedures for acquiring the resources necessary to continue essential functions and to sustain those operations for extended periods.
8. Establish and maintain a capability to restore or reconstitute an organization’s authorities to their pre-event status upon termination of devolution.

Note: Devolution plans are also required to include the same elements of continuity plans (e.g., TT&E and establishment of a corrective action program).

Devolution may be planned for using one or both of two strategies:

1. Devolution shall be used by organization's as a long-term strategy to ensure continuity when the organization's ERG and/or alternate facility is not available as a result of a catastrophic event. Agencies use this strategy for devolution when their regional or other offices are fully capable of performing some or all of the agencies' Mission Essential Functions (MEFs) and Primary Mission Essential Functions (PMEFs). Some agencies devolve to multiple offices, with each devolution site having responsibility for specific MEFs.
2. Devolution may be used as a short-term strategy that consists of a planned, temporary transfer of essential functions to a devolution site until the primary continuity site is operational. Agencies use this strategy for devolution when essential functions cannot be interrupted, even for a short period of time.

Note: Devolution planning is not required for State, tribal, and local governments. However, it is highly recommended that all non-Federal organizations develop continuity plans.

What are some examples of devolution triggers for your organization?

Incidents that could require devolution plan activation may include:

• Terrorist attack.
• Flood warning.
• Major earthquake.
• Hazardous materials spill.
• Pandemic.

Devolution may be required under three general sets of conditions:

1. The organization receives a warning of an impending incident of a magnitude that devolution is required.
2. Occurrence of an incident that requires devolution (e.g., an incident that damages or destroys the organization’s primary and alternate facilities; incapacitates the staff; or severely disrupts the infrastructure).
3. The organization activates its continuity plan, which in turn, requires a short-term devolution of essential functions until the alternate facility becomes operational.

Active Protocols

Activation of the devolution continuity option may be either active or passive.

Active protocols are triggers based on a deliberate decision by senior authorities, such as when activating the devolution plan:

• Based on a threat assessment.
• Following an incident that incapacitates the facility and/or personnel.

Both types of activation triggers (Active or Passive) can be with or without warning.

Active Protocols Examples

Examples of active triggers include a:

• Credible threat that an organization's primary and continuity facilities will be attacked by terrorists within the next several days and the leadership decides to activate the devolution site. (active with warning)
• Train derailment has occurred, releasing thousands of gallons of chlorine. The organization's headquarters building is located directly under the plume, and the plume is moving toward the organization's continuity facility, so the leadership activates the devolution site. (active without warning)

Passive Protocols

Passive protocols are triggers that occur in situations where an organization's leadership is not available to initiate activation.For example:

• Media are reporting that a catastrophic incident has occurred near your organization's headquarters.
• An incident severely impacts the headquarters staff’s availability and ability to relocate to its alternate facility.

Note: Organizations should develop automatic thresholds to ensure that all personnel are aware of "triggers" for devolution decisions.

Let's assume an incident has occurred.

Headquarters (HQ) and the devolution counterpart are notified of the event.

Active or passive triggers then activate the Devolution of Operations (DEVOP) Plan or continue to monitor the situation.

Devolution Relocation Group (DRG) deploys to the devolution site.

Regardless of whether an active or a passive trigger is involved, the general procedure is similar.

The person activating the devolution plan may be:

• The organization's primary leadership or someone with delegated authority, OR
• A successor to that leadership if the organization’s primary leadership has become incapacitated or is unavailable to activate the devolution plan.

Within this general procedure, specific procedures, such as alert and notification procedures, are determined by the organization.

Threat conditions can be used for other types of incidents as well. For example:

Your office is located next to a railroad line. Hazardous materials are carried routinely on that line. The threat condition level for your office is yellow (elevated) for day-to-day operations.

Keep in mind, if the threat level were raised to orange due to a credible threat an organization may want to relocate to the continuity site and alert the devolution site to perform essential functions until the continuity site is fully operational and resumes control of the organization.

The following is an example of an incident containing a warning that would require devolution.

Incident With Warning:

A category 5 hurricane is on its way.

The weather announcer states that the city your organization is in will be in the direct line of this powerful storm.

Your continuity facility which is 50 miles away is also in the path of the hurricane. The governor of your state has ordered evacuation of all residents.

Activate the devolution site to perform essential functions until the HQ can resume performance of the functions.

This option will allow more time to establish operations and could be done at any stage prior to the storm making landfall.

The following is an example of an incident that would require devolution without warning.

Incident Without Warning:

There is a terrorist bombing.

The television news reports that a massive explosion occurs near your HQ building and extensive damage and casualties have occurred.

Your organization is unable to reach your HQ leadership and the status of the employees is unknown.

The acting successor will activate the devolution site and assume organizational leadership and performance of essential functions.

This scenario will be more stressful and activation will have less preparation time.

Now that you have completed this lesson, you should be able to:

1. State the definition of devolution.
2. Identify the requirements for devolution included in FCD 1 (Annex L).
3. Identify situations in which devolution is necessary.
4. Identify possible triggers for devolution.
5. Identify triggers for devolution and state the actions that your organization must take to devolve.

In Lesson 3 you will be introduced to special considerations for devolution planning and the Devolution Template.