CONTINUITY TRAINING
AND EXERCISE
PROGRAM
Kevin Clement, CEM®, TEM©
January 15, 2014
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 PROGRAM
Overview
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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 PROGRAM
Learning 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 PROGRAM
References
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 PROGRAM
Policy 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 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 PROGRAM
Continuity Practitioner – Level I
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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 PROGRAM
Master 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 PROGRAM
Policy 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 PROGRAM
FEMA 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.
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5. Annual
CONTINUITY TRAINING AND EXERCISE PROGRAM
FEMA 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 PROGRAM
FEMA 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 PROGRAM
Emergency 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 PROGRAM
Emergency 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 PROGRAM
Reconstitution 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 PROGRAM
Policy 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 intraorganization 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)
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9.
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 PROGRAM
Corrective 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 PROGRAM
Continuity 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 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 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 PROGRAM
Homeland 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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RECOMMENDATIONS
Annual 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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RECOMMENDATIONS
ERG 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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RECOMMENDATIONS
Tabletop 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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RECOMMENDATIONS
Full-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
Kevin M. Clement, CEM®, TEM©, MCP
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
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