Identify the viable phases and elements of continuity Describe the Homeland Security Exercise and Evaluation (HSEEP) Methodology Identify the key aspects of designing a continuity exercise Design Continuity Exercises Create Continuity Exercise Documents Continuity Exercise Design – Online Class Preparation FEMA Independent Study 550 Instructor: Michelle Neisen, CBCP, MCP, MEP

Purpose The purpose of this overview of the Independent Study (IS) 550 online course is to provide you with the tools and knowledge necessary to successfully complete the IS 550 course and pass the required test. In addition, it will help you to begin thinking about developing continuity exercises for your organization. We will achieve this goal by explaining the unique aspects of continuity exercise design.

Basic Online Course Guidelines Includes Eight Lessons requiring anywhere from minutes each. (first one is overview) Set aside appropriate amount of time to focus on completion in one setting. You have to complete the entire course to get credit. If you step away, DO NOT CLOSE YOUR BROWSER or EXIT; you will have to start over. TIP: You can print the entire course in the Overview section so you can study before your final exam. Select this link to access the print version of each lesson in this course.

Why Training, Testing & Exercising (TT&E) for Continuity of Operations (COOP)? Helps to identify the capabilities that are required to perform essential functions. Identifies key continuity capabilities to test or exercise that aid the exercise design process. Trains continuity personnel to prepare them for an actual continuity event. Tests for system improvements. (tests are for systems/equipment; exercises are for plans/resources/people) Validates the continuity plan. (may reveal areas for improvement or gaps/risks) Evaluates continuity capability. (will the plan cover all hazards, improvement plan)

In a letter dated October 24, 2013 from Texas Department of Public Safety, Texas Office of Homeland Security and Texas Department of Information Resources which was sent to all state agency heads (e.g. Executive Commissioners, Directors) supporting agency continuity planning and recommending minimum standards for state agency continuity planning and continuity programs including Continuity Exercises. Texas State Agency Continuity Planning Policy Guidance Letter

AS STATED IN THE LETTER “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 preparingtexas.org. Exercises should be compliant with the Homeland Security Exercise and Evaluation Program (HSEEP) and should be sequential and progressive in terms of participants and objectives.”

FEMA Continuity Guidance & Directives National Security Presidential Directive 51 (NSPD- 51)/Homeland Security Presidential Directive (HSPD-20), National Continuity Policy (NCP) National Continuity Policy Implementation Plan (NCPIP) Federal Continuity Directive 1 (FCD 1) October 2012 Federal Continuity Directive 2 (FCD 2) July 2013 FEMA Continuity Guidance Circular 1 (CGC 1) July 2013 FEMA Continuity Guidance Circular 2 (CGC 2) Oct 2013 These can be found at

TEN Viable Elements of Continuity Capabilities Essential Functions Orders of Succession Delegations of Authority Continuity Facilities Continuity Communications Essential Records Management Human Capital/Resources TT&E Devolution of Control & Direction Reconstitution Operations Continuity exercise design utilizes the Continuity Phases and a specific continuity element remembering essential functions.

The Four Phases of Continuity Activation Phase I — Readiness and Preparedness – Planning – TT&E Phase II — Activation – Plans, procedures, and schedules to transfer activities, personnel, records, and equipment to alternate facilities are activated. Phase III — Continuity Operations – Full execution of essential operations at alternate facilities begin – Performance of essential functions Phase IV — Reconstitution – Return to full and normal operations

COOP Exercise Considerations Involve Senior Leadership!! (buy in is essential; Executive Sponsorship speaks volumes!!) Select a Continuity Phase to exercise (how many are there? What are they?) Exercise any of the 10 viable elements of a continuity capability (what are those??) Performing essential functions is the core capability under which continuity exercises fall. Continuity Exercises ARE NOT Response Exercises!

Exercise Cycle Homeland Security Exercise Evaluation Program HSEEP Overview An Interoperable Approach to Exercises

Exercise Cycle What is HSEEP? A consistent approach to capabilities-based exercise program management that uses a common methodology to measure progress toward building, sustaining, and delivering core capabilities. HSEEP provides a set of guiding principles for exercise programs as well as a common approach to exercise program management, design and development, conduct, evaluation and improvement planning.

Exercise Cycle Design and Development Builds on exercise program management to create individual exercises (progressive approach). Conduct Involves preparing for and managing exercise play and conducting immediate exercise wrap-up activities. Evaluation Assesses performance against exercise objectives, documents core capability levels and gaps, and identifies strengths and areas for improvement. Improvement Planning Tracks corrective actions from the After-Action Report/Improvement Plan (AAR/IP) to completion, ensuring exercises yield tangible preparedness improvements. UNDERSTANDING THE EXERCISE CYCLE Program Management Oversees and Integrates progressive exercises over time. This collaborative approach integrates resources, organizations, and individuals in order to identify and achieve program priorities. Engage senior management EARLY in the process for a successful program!!

Why HSEEP? It is important to remember when planning a continuity exercise that HSEEP offers guidance for developing, conducting, and evaluating exercises. It is not mandatory that exercise planners use the HSEEP model. It is recommended that exercise planners adapt HSEEP guidance and the templates to meet the needs of your organization and the requirements of your continuity exercise program.

EXERCISE DESIGN & DEVELOPMENT During the design and development phase the focus is on the SCOPE and PURPOSE of the exercise. Questions COULD Include: What are some areas we need to improve our continuity plan? (10 continuity elements) What type of exercise do we want to conduct? (tabletop, drill, game, etc., think about progression of exercises) What critical task/essential function do we want to perform or discuss? Are there relevant corrective actions from After-Action Reports (AARs) and Improvement Plans (IPs) from real world and exercises? Are there Grant or cooperative agreement requirements that need to be met?

EXERCISE DESIGN & DEVELOPMENT MUST Include: A Planning Team with scheduled planning meetings (type and number of planning meetings are driven by the complexity of the exercise). Capability Targets are the performance thresholds for each core capability. They state the exact amount of capability that players aim to achieve during an exercise. Critical Tasks are the distinct elements required to perform a core capability. They may be derived from Mission Area Frameworks, organizational operations plans, or SOPs (discipline-specific standards).

Exercise Program Management Exercise program management is the process of overseeing and integrating a variety of exercises over time. It involves a collaborative approach that integrates resources, organizations, and individuals in order to identify and achieve program priorities.

Exercise Program Management Create a progressive exercise program management approach. ( a series of increasingly complex exercises with each exercise building upon the previous one - - replaces “building block approach”) Develop a multiyear training and exercise program priorities. (MYTEP) Maintain a rolling summary of exercise outcomes. Manage exercise program resources. (previous AAR, exercise scenario injects, etc.)

Two Types of Exercises Discussion-based exercises include: Seminars Workshops Tabletop exercises (TTXs) Games Discussion-based exercises focus on strategic, policy-oriented issues. Facilitators and/or presenters usually lead the discussion, keeping participants on track towards meeting exercise objectives.

Two Types of Exercises Operations-based exercises include: Drills Functional exercises (FEs) Full-scale exercises (FSEs) Operations-based exercises are characterized by actual reaction to an exercise scenario, such as initiating communications or mobilizing personnel and resources. These exercises can be used to validate plans, policies, agreements, and procedures; clarify roles and responsibilities; and identify resource gaps.

Developing Objectives SMART objectives are the type of objectives that should be developed for a continuity exercise. As described in the Homeland Security Exercise and Evaluation Program (HSEEP), SMART objectives are: Specific: Objectives should address the five "Ws"—who, what, when, where, and why. The objective specifies what needs to be done and provides a timeline for completion. Measurable: Objectives should include numeric or descriptive measures that define quantity, quality, cost, etc. Their focus should be on observable actions and outcomes. Achievable: Objectives should be within the control, influence, and resources of exercise play and participant actions. Relevant: Objectives should be instrumental to the mission of the organization and link to its goals or strategic intent. Time-Bound: A specified and reasonable timeframe should be incorporated into all objectives.

Developing Objectives In order to develop a SMART continuity objective, exercise planners should complete the following three steps: Select capability/continuity element. Identify and select critical tasks required to perform the capability/continuity element. Write continuity objectives that are either generic objectives or organization-specific objectives.

Exercise Documentation Each exercise will have its own required documentation. The online course will go into greater detail about each exercise documentation piece. High-level overview: Discussion-based Situation Manual (SITMAN) Master Scenario Events List (MSEL) Facilitator Guide Exercise Evaluation Guide (EEG) Operations-based Exercise Plan (EXPLAN) MSEL Controller/Evaluator (C/E) Handbook EEG Please note that the MSEL and EEG (in bold above) can be used in both discussion- based and operations-based exercises.

Exercise Evaluation Guides (EEGs) Exercise Evaluation Guides (EEGs) are consistent tools to guide exercise observations and data collection. The EEGs are aligned to exercise objectives and core capabilities, relevant capability targets, and critical tasks. EEGs provide evaluators with: information on what they should expect to see, space to record observations, and questions to address after the exercise.

SAMPLE EEG TEMPLATE The online course will go into greater detail on filling this out and having it ready for the evaluator. For purposes of the high level overview, we will not review those details.

EXAM TIME!! This presentation is a high overview of things you can expect to see in the online course. Remember, when you get to EXAM TIME it is recommended to set aside enough time to complete it in ONE SETTING!! You can use your notes during the exam, but cheating is extremely discouraged…somehow they know GOOD LUCK!!

QUESTIONS?? CONTACT INFORMATION: Michelle Neisen, CBCP, MCP, MEP OFFICE PHONE: Presentation can be made available on request!