CONTINUITY TRAINING AND EXERCISE PROGRAM

Kevin Clement, CEM®, TEM©

January 15, 2014

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PURPOSE

To provide information and highlight a recognized “best practices” in the

development of a continuity training and exercise program for Texas State Agencies.

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CONTINUITY TRAINING AND EXERCISE PROGRAMOverview

References Training Level I Level II ERG Teams Reconstitution Exercises Training Seminars Alert/Notification Drills Tabletop Exercises Full Scale Exercises

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CONTINUITY TRAINING AND EXERCISE PROGRAMLearning Objectives

1. Identify Texas requirements for State Agencies

2. Identify FEMA recommendations for TT&E Programs

Training of Continuity Manager

Training of Continuity Personnel

Training of Reconstitution Team

3. Understand “HSEEP-compliant” guidance

4. Understand “sequential and progressive” guidance

5. Identify COOP training and exercise “best practices”

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CONTINUITY TRAINING AND EXERCISE PROGRAM

TESTING AND TRAINING

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CONTINUITY TRAINING AND EXERCISE PROGRAMReferences

Primary references are:

Continuity Guidance Circular I (CGC 1),

Annex K: Testing, Training and Exercise Program

State Continuity Policy Letter, October 2013

Homeland Security Exercise and Evaluation Program (HSEEP), Department of Homeland Security, April 2013

IS-139, Exercise Design, FEMA Independent Study Course

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CONTINUITY TRAINING AND EXERCISE PROGRAMPolicy Letter Requirements

“By November 30, 2013, designate a Continuity Coordinator for the agency and provide contact information to SORM. A qualified Continuity Coordinator should be trained in continuity planning and certified by a recognized organization such as FEMA’s emergency management Institute (Continuity Practitioner Level I or Level II…” (page 2)

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FEMA CONTINUITY TRAINING

FEMA provides a robust training and certification program for: Continuity Practitioner – Level I, and Continuity Practitioner – Level II or Master

Continuity Practitioner (MCP)

Training is a combination of: Independent Study Classes Classroom Instruction Continuity Tabletop Exercises

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CONTINUITY TRAINING AND EXERCISE PROGRAMContinuity Practitioner – Level I

• IS-546.12: COOP Awareness Course• IS-547.a: Introduction to COOP• IS-242.a or equivalent E/L/G course: Effective Communication • IS 548: COOP Manager’s T-t-T Course • E/L/G 550: COOP Planner’s T-t-T Workshop or L 552: Continuity of Operations for Tribal

Government Course• IS-100.b: Intro to Incident Command System (ICS) • IS-200.b: Incident Command System (ICS) for Single Resources and Initial Action Incidents• IS-230.b : Fundamentals of Emergency Management• IS-700.a: Intro to National Incident Management System (NIMS)• IS-800.b: A National Response Framework (NRF), An Introduction• IS 139: Exercise Development Course/Exercise Design • Complete attendance in continuity exercise Pandemic Influenza (PI) Determined Accord

Workshop• IS 520: Introduction to Continuity of Operations Planning for Pandemic Influenzas and • IS 522: Exercising Continuity Plans for Pandemic Course ; or• Resilient Accord Cyber Security Workshop or Guardian Accord Terrorism Awareness

Workshop• ** NARA/CoSA Vital Records Training (optional, recommended)

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CONTINUITY TRAINING AND EXERCISE PROGRAMMaster Continuity Practitioner (MCP)

Applicants must attain a Continuity Excellence Series – Level I, Professional Continuity Practitioner• IS-130: Exercise Evaluation and Improvement Planning or E 132 (limited to EMI Resident

MEPP candidates) or G130: Exercise Evaluation• IS-240 or IS-240.a or equivalent E/L/G course: Leadership and Influence • E/L/G or IS 551: Devolution Planning Workshop• E/L 156: Design for Homeland Security T-t-T Course for Continuity of Operations or

E/L 155: Building Design for Homeland Security• E/L 262: Instructional Delivery for Subject Matter Experts or

G265:Instructional Delivery Skills (formerly G261: Instructional Presentation Skills) or E 605: Instructional Delivery or E/L 141: Instructional Presentation & Evaluation Skills Course

• Instruct E/L/G or IS 548: COOP Manager’s T-t-T Course• Facilitate E/L 550 or IS 551: Devolution Planning Workshop or Determined Accord

Pandemic Preparedness Workshop for Continuity Managers or Facilitate Resilient Accord or Guardian Accord or Reconstitution Planning Workshop

• Written Comprehensive Exam (150 questions) – Applicants are eligible to take the comprehensive exam once they have met all other Level II requirements

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CONTINUITY TRAINING AND EXERCISE PROGRAMPolicy Letter Requirements

“By October 31, 2014, develop an agency-level continuity training program to ensure mission-critical personnel are prepared to perform required continuity functions during an emergency.” (page 2)

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CONTINUITY TRAINING AND EXERCISE PROGRAMFEMA Training Recommendations

An organization’s training program should include:

1. Annual continuity awareness briefings (or other means of orientation) for the entire workforce.

2. Annual training for personnel (including host or contractor personnel) who are assigned to activate, support, and sustain continuity operations.

3. Annual training for the organization’s leadership on that organization’s essential functions, including training on individual position responsibilities.

4. Annual training for all organization personnel who assume the authority and responsibility of the organization’s leadership if that leadership is incapacitated or becomes otherwise unavailable during a continuity situation.

5. Annual

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CONTINUITY TRAINING AND EXERCISE PROGRAMFEMA Training Recommendations

5. Annual training for all pre-delegated authorities for making policy determinations and other decisions, at the field, satellite, and other organizational levels, as appropriate.

6. Personnel briefings on organization continuity plans that involve using, or relocating to continuity facilities, existing facilities, or virtual offices.

7. Annual training on the capabilities of communications and IT systems to be used during an incident.

8. Annual training regarding identification, protection, and ready availability of electronic and hardcopy documents, references, records, information systems, and data management software and equipment needed to support essential functions during a continuity situation.

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CONTINUITY TRAINING AND EXERCISE PROGRAMFEMA Training Recommendations

9. Annual training on an organization’s devolution option for continuity, to address how each organization will identify and conduct its essential functions during an increased threat situation or in the aftermath of a catastrophic emergency.

10. Annual training for all reconstitution plans and procedures to resume normal organization operations from the original or replacement primary operating facility.

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CONTINUITY TRAINING AND EXERCISE PROGRAM

EMERGENCY RELOCATION GROUPS (ERG)

TRAINING

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CONTINUITY TRAINING AND EXERCISE PROGRAMEmergency Relocation Teams (ERG)

• Pre-designated staff who move to a relocation site to continue essential functions in the event that their normal work locations are threatened or have been incapacitated by an incident. The ERG is composed of an advance team plus emergency personnel.

• Normally, ERGs must be able to alert, assemble, and deploy to the agency’s designated facility in order to reestablish essential functions within 12 hours

• Drills.

– Alert and assemble within a specified timeline

– Inventory drive away kits

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CONTINUITY TRAINING AND EXERCISE PROGRAMEmergency Relocation Teams (ERG)

Identify and describe specific functions and tasks

Identify required skill sets to perform essential function(s)

If more than one essential function is addressed, members should be cross-trained and vertically trained

– Accepted practice in the event of a pandemic influenza

– Able to perform the functions of their peers

– Able to perform the functions of the person above and below them during emergencies

Identify required reporting and communications requirements Developing Emergency Relocation Group (ERG) Member Planning Guides, June 2009

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CONTINUITY TRAINING AND EXERCISE PROGRAM

RECONSTITUTION TRAINING

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CONTINUITY TRAINING AND EXERCISE PROGRAMReconstitution Training

Some suggested courses:

IS 208.a State Disaster Management Course

IS 559: Local Damage Assessment

IS-395: FEMA Risk Assessment Database

Rapid Damage Assessment

FEMA 452 Risk Assessment

FEMA 455 Rapid Visual Screening for Buildings

L-156: Building Design for Homeland Security

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CONTINUITY TRAINING AND EXERCISE PROGRAM

CONTINUITY EXERCISES

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CONTINUITY TRAINING AND EXERCISE PROGRAMPolicy Letter Requirements

“Beginning as soon as practicable, but no later than Fiscal Year 2015, conduct an annual exercise of agency continuity plans and report completion to SORM. Schedule and post exercise information on www.preparingtexas.org. Exercises should be compliant with the Homeland Security Exercise and Evaluation Program (HSEEP) and should be sequential and progressive in nature.” (page 2)

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CONTINUITY TRAINING AND EXERCISE PROGRAM

An organization’s exercise program should include:

1. An annual opportunity for continuity personnel to demonstrate their familiarity with continuity plans and procedures and to demonstrate the organization’s capability to continue its essential functions.

2. An annual exercise that incorporates the deliberate and preplanned movement of continuity personnel to an alternative facility or other continuity location.

3. Communications capabilities and both inter- and intra-organization dependencies.

4. An opportunity to demonstrate that backup data and records required to support essential functions at continuity facilities or locations are sufficient, complete, and current.

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CONTINUITY TRAINING AND EXERCISE PROGRAM

5. An opportunity for continuity personnel to demonstrate their familiarity with the reconstitution procedures to transition from a continuity environment to normal activities as appropriate.

6. An opportunity for continuity personnel to demonstrate their familiarity with the devolution procedures to reconstitute from a continuity environment to normal activities as appropriate.

7. A comprehensive debriefing after each exercise, which allows participants to identify systemic weakness in plans and procedures and to recommend revisions to the organization’s continuity plan.

8. A cycle of events that incorporates evaluations, AARs, and lessons learned into the development and implementation of a Corrective Action Program, including an Improvement Plan (IP)

9.

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CONTINUITY TRAINING AND EXERCISE PROGRAM

9. Organizational participation: conducting and documenting annual assessments of their continuity TT&E programs and continuity plans and programs.

10. Each organization should develop a Corrective Action Plan (CAP) to assist in documenting, prioritizing, and resourcing continuity issues identified during TT&E, assessments, and emergency operations

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CONTINUITY TRAINING AND EXERCISE PROGRAMCorrective Action Plan (CAP)

The purpose of CAP is to accomplish the following:

a. Identify continuity deficiencies and other areas requiring improvement and provide responsibilities and a timeline for corrective action;

b. Identify program and other continuity funding requirements for submission to the organization leadership;

c. Identify and incorporate efficient acquisition processes, and where appropriate, collect all inter-organization requirements into one action; and

d. Identify continuity personnel requirements for an organization’s leadership and their supporting Human Resource Offices.

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CONTINUITY TRAINING AND EXERCISE PROGRAMContinuity Guidance Circular I – Annex K

An organization’s testing program should include:

1. Annual testing (at a minimum) of alert, notification, and activation procedures for continuity personnel, with recommended quarterly testing of such procedures for continuity personnel.

2. Annual testing of plans for recovering vital records (both classified and unclassified), critical information systems, services, and data.

3. Annual testing of primary and backup infrastructure systems and services (e.g., for power, water, fuel) at continuity facilities.

4. Annual testing/exercising of required physical security

capabilities.

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CONTINUITY TRAINING AND EXERCISE PROGRAMContinuity Guidance Circular I – Annex K

5. Testing and validating equipment to ensure the internal and external interoperability and viability of communications systems, through quarterly testing of the continuity communications capabilities outlined in Annex H (e.g., secure and non-secure voice and data communications).

6. Annual testing of the capabilities required to perform an organization’s essential functions, as identified in the BPA.

7. A process for formally documenting and reporting tests and their results.

8. Conducting annual testing of internal and external interdependencies identified in the organization’s continuity plan, with respect

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CONTINUITY TRAINING AND EXERCISE PROGRAMContinuity Guidance Circular I – Annex K

NOTE:

The aforementioned guidance does not require separate training events. Multiple requirements can be incorporated into one exercise event.

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CONTINUITY TRAINING AND EXERCISE PROGRAMHomeland Security Exercise and Evaluation Program

The Homeland Security Exercise and Evaluation Program (HSEEP) doctrine consists of fundamental principles that frame a common approach to exercises.

Applying these principles to both the management of an exercise program and the execution of individual exercises is critical to the effective examination of capabilities.

Further information found at: https://www.llis.dhs.gov/HSEEP

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RECOMMENDATIONSAnnual Continuity Plan Training Seminar

“Teach the Plan” through annual Training Seminar

- Assumes that not everyone reads the plan

All personnel attend (both leadership and employees)

Ensures that all have a base threshold of knowledge

- Typically this is a PowerPoint presentation that takes personnel thru each phase of the plan

This scripted presentation can be turned into a Webinar for New Hires or personnel absent at the time of presentation

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RECOMMENDATIONSERG Drills

Conduct periodic Alert/Activation Drills for the ERG Team

No Notice

Recommend drills be conducted at least quarterly

Inspect “Drive Away” Kits

Both Section and Personal

Reward for meeting timelines and having complete kits (?)

Compensatory Time or Time off (?)

Letter of Commendation (?)

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RECOMMENDATIONSTabletop Exercise - Leadership

Conduct an annual Tabletop Exercise (TTX) for agency leadership (to include leaders of the ERG Team)

The TTX is used to simulate a continuity event in an informal, stress-free environment.

The participants, usually people on a decision-making level, gather around a table to discuss general problems and procedures in the context of an emergency scenario.

The focus is on training and familiarization with roles, procedures, or responsibilities

Integrate use of the synchronization matrix

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RECOMMENDATIONSFull-Scale Exercise

Conduct a Full Scale Exercise for Continuity Personnel.

Note: It is not necessary to involve or send the entire agency home per a continuity event – for them, it is business as usual.

ERG team alerts, assembles, and deploys to its alternate facility and performs tasks necessary to perform its essential functions.

- Meets accepted timelines

- Evaluated by another agency’s ERG Team members**

Agency leaders are engaged in receiving reports and making decisions in accordance with exercise play.

Followed by a Hotwash and After Action Report

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Comments and Discussion

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Contact Information

Texas Office of Homeland Security

1033 La Posada Drive, Suite 160

Austin, Texas 78752

512.377.0031 (Office)

512.626.5413 (Cell)

Kevin.Clement@dps.texas.gov

Kevin M. Clement, CEM®, TEM©, MCP