MULTI-YEAR STRATEGIC PLANNING Describe how long-range planning over multiple budget years will be used to obtain strategies, resources, or services that would improve the continuity response, but which are currently unaffordable. Include things that could be procured in increments as well as those which may take time for funding sources to approve. (Reference CGC pg. 35.) A multi-year strategic plan has been established that provides for development, maintenance, and annual review of continuity capabilities, including: EFs Short- and long-term goals for plan and programs Potential obstacles to implementing the program, and strategies for addressing them Planning/TT&E activities and milestones Continuity Team members Infrastructure (IT, communications, etc.) Transportation and accommodations Other resources needed to support the program Risk management principles have been used to assess both the primary and alternate location to ensure appropriate operational readiness decisions based on probability of incident, likely consequences; geographic dispersion into daily operations; security strategies, physical security to protect personnel and facilities and information security to protect plans and essential records. The organization has developed a Continuity Multi-year Strategic Plan that provides for development, maintenance, and annual review of continuity capabilities, and integrates continuity into its multi-year strategic budget and links the budget directly to objectives and metrics set forth in the plan. A copy of this plan is found [location].
Exercising: Has the organization conducted testing of and notification procedures? The organization tests alert and notification procedures and implemented improvement action planning. Testing demonstrated an improvement compared to previous tests. Exercising: Has the organization conducted testing of activation procedures? The organization tested activation procedures and implemented improvement action planning. Testing demonstrated an improvement compared to previous Exercising: Has the organization conducted testing of accountability procedures? The organization tested accountability procedures and implemented improvement action planning. Testing demonstrated an improvement compared to previous tests. Exercising: Has the organization conducted testing of the interoperable and available communications capabilities that support identified essential functions? The organization tested communications capabilities with internal and external partners and implemented improvement action planning. Testing demonstrated an improvement compared to previous Exercising: Has the organization conducted testing of critical systems and equipment and strategies to meet associated recovery time objectives? The organization tested recovery time objectives for critical systems and equipment and implemented improvement action planning. Testing demonstrated an improvement compared to previous tests. Exercising: Has the organization regularly conducted organization-wide continuity exercises that include exercising of mitigation options that support the continuance of essential functions? The organization, including senior leadership, exercised the comprehensive continuity plan via functional or full scale exercises. The organization incorporated all or parts of the plan into organization-wide exercises and implemented improvement action planning. Exercising: Has the organization conducted exercises of the reconstitution plan or procedures to exercise recovery from the effects of an emergency and transitioning back to normal operations after continuity plan activation? The organization, including senior leadership, exercises the reconstitution plan via functional or full scale exercises. All or parts of the plan are incorporated into organization-wide exercises. Improvement action planning is being implemented. Exercising: Has the organization exercised with internal and external partners to coordinate continuity plans and programs? The organization exercised the synchronization of other inter- and intra-organizational continuity plans and programs with the organization's continuity plan and program and participated in associated improvement action planning to improve partner coordination. Maintaining Training: Has the organization regularly trained continuity personnel on continuity plans and strategies? All primary and alternate continuity personnel, to include leadership and/or elected officials, received up-to-date training within the past year and annually over a multi-year period. Training: Have continuity personnel participated in regular continuity training activities with other continuity programs (both internally and externally) on a regular basis? Continuity personnel participated in regular training with and on inter- and intra-organizational continuity plans and programs within the past year and annually over a multi-year period.
Evaluation and Improvement Planning Each exercise or actual even should be followed by an evaluation that allows participants and observers to record their insights and recommendations for improvement. (Reference CGC pg. 32.) A comprehensive debriefing or hot wash is conducted after each exercise, allowing participants to identify weaknesses in plans and procedures and recommend revisions to the organization’s continuity plan. Documentation from TT&E hot washes is found [insert location]. A corrective action plan (CAP) is completed to document and prioritize, issues identified during TT&E activities, assessments, and emergency operations. The CAP incorporates evaluations, action reviews (AARs), and lessons learned. CAP is maintained by the [insert office/title] and documentation is found at [insert location]. 13: SAMPLE Corrective Action Program Documentation Capability Observation Recommendation Corrective Action Capability Element Primary Responsible Office Organization POC Start Date End Date Planning Organization did not conduct a hotwash following 20xx exercise. Organization should conduct hotwashes in order to allow participants to provide suggestions on areas of strengths and weaknesses. Exercise director will plan and execute hotwash December 20xx exercise and incorporate comments into AAR. Planning [Organization Name] Exercise Director, Jon Doe, (111) 111-1111 Mar. 7, 20xx Dec. 1, 20xx
ANNEX 1: JOB AID – Synchronization Matrix The Continuity Synchronization Matrix outlines the responsibilities of the required personnel during the four phases of continuity. Element Phase I: Readiness and Preparedness Phase II: Alert and Notification Phase III: Continuity Operations Phase IV: Reconstitution Senior Leadership Ensure all organization employees understand the plan. Provide overall policy direction, guidance, and objectives for continuity planning. Provide necessary resources to support the implementation of the organization Continuity Plan and supporting activities (e.g., training, exercise). Ensure adequate funding is available for emergency operations. Ensure all organization components participate in continuity exercises. Activate Continuity Plan. Approve relocation and telework options Receive updates; provide guidance on performance of essential functions. Delegate authority (if required). Coordinate with the Continuity Manager. Maintain situational awareness. Monitor conduct of continuity operations. Provide guidance as required. Ensure appropriate resources are available. Provide visible leadership to reconstitution operations
Continuity Manager Provide strategic leadership and overarching policy direction for the continuity program. Serve as the organization Continuity Program POC. Implement the Continuity Plan when necessary, or when directed by a higher authority. Update and promulgate orders of succession and delegations of authority. Update Continuity Plan annually. Develop and lead Continuity training. Plan Continuity exercises. Update telephone rosters monthly. Conduct alert and notification tests. Conduct TT&E. Ensure Team is equipped and has access to all essential records and supporting materials. Receive notice of continuity event Assess situation Initiate of CT Notify/Status of Continuity Facility Establish contact with Senior Agency leaders Decision: Relocate to Continuity Facility or Devolution to agency(s) Coordinate w/PIO, HR, Fac Mgr Determine Telework options Receive periodic updates from CT Provide updates to senior leaders Notify external partners of relocation Monitor conduct of Essential Functions Mitigate disruptions Ensure availability of required resources Monitor expenditures and documentation Oversee integration of temp hires Emphasize safety Notify external partners of status of return to primary facility Conduct Hotwash of Continuity Ops by CT and support agencies/personnel Lead in the development of AAR of Continuity Operations Develop Corrective Action Plan (CAP) Resume Phase I activities.
Continuity Team (CT) Review and understand responsibilities related to continuity support functions at alternate location. Provide current contact information to supervisor and Continuity Manager. Participate in continuity TT&E. Alert all CT personnel CT reports notification of all members and names of non-responders Retrieve personal "Go Kits" Accountability of CT Members CT Ldr provides Situation Depart for Alternate Location Begin to track expenditures Verify status - needed resources/requirements Ensure supplies on hand for 30 days ops Inventory materials and utility functions Conduct Essential Functions/Continuity Ops Update and protect essential records Provide periodic status reports Establish schedule to reconstitute Essential Functions at primary facility Coordinate with Reconstitution Manager Relocate/Reconstitute IAW schedule Conduct Hotwash Reconstitute Section "Go Kits" Reconstitution Manager Establish reconstitution policies and guidance Assemble and train reconstitution team. Conduct TT&E activities. Coordinate with Continuity Manager. Assess primary facility Decision: Decide if primary facility is suitable for continued use Coordinate with Security Team Notify Continuity Manager Initiate calls to Reconstitution Team Assemble Reconstitution Team Begin reconstitution planning Initiate operations to salvage, restore and/or recover building, equipment, and systems Implement emergency contracts • Develop Reconstitution Plan Oversee and monitor work on primary facility Plan phased transition of essential functions to primary facility Plan for: Standard Continuity Transition to normal operations Devolution to normal operations Decision: Primary (or new) facility can support Essential Functions. Inform Senior Leaders Provide instructions for resumption of normal operations Supervise orderly return of personnel, supplies, and equipment to primary facility Conduct Action Review/Develop CAP [Insert other positions as required]
Date:_______________________________ Date:_______________________________
ESSENTIAL RECORDS AND IT FUNCTIONS Identification and Storage [INSERT essential records list and database here.] Table 2: SAMPLE Essential Records Database Essential Record, File, or Database Support to Essential Function Form of Record (e.g., hardcopy, electronic) at Alternate Location Hand Carried to Alternate Location Multiple Storage Location(s) Y/N Maintenance Frequency Mapping Database Function #1 Electronic X Y Monthly Licensed Spill Cleanup Contractors List Function #1 & 3 Hardcopy X N Quarterly Regional Dams List Function #2 Hardcopy X N Annually Pollution/Chemical Incident Database Function #3 & 4 Electronic X N Monthly Public and Private Sewage System Records Function #3, 4, & 5 Electronic X Y Quarterly Backup and Protection [INSERT process for backing up and protection essential records here.] Recovery [INSERT process for restoring damaged records here.]
APPENDIX D: PLAN MAINTENANCE Annual Review [INSERT the process for conducting an annual review of the plan here.] Table 14: SAMPLE Continuity Program Review Table Element Reviewed Date of Last Review Individuals Conducting Review Continuity Plan Essential Functions Risk Assessment Business Impact Analysis Business Process Analysis Alternate Location(s) Suitability and Functionality Alternate Location(s) MOA/MOU Continuity Communications’ ability to support Essential Functions Record of Distribution [INSERT the process for distributing the plan to internal and external partners here.] Table 15: SAMPLE Continuity Plan Distribution Record Date of Delivery Number of Copies Delivered Method of Delivery Name, Title, and Organization of Receiver