The instruction is in the file let me know if you have a problem opening it.
Project 2/Assignment4 DRP
1
Professor Glenn Marchi
Mercy College, Cybersecurity Program
IASP 330 Disaster Recovery and Business Continuity, CRN 9360, DLA
Assignment-4: Disaster Recovery Plan (DRP)
Learning Objectives
• Learn how to build a Disaster Recovery Plan (DRP) using a system generator tool from ready.gov
FEMA website
• Learn best practices from the Brandeis University 2015 Disaster Recovery Tabletop Exercise
Plan (ExPlan)
Instructions
• Download and EXTRACT the Business Continuity Planning Suite, which that provides tools to
build a DRP/BCP.
• Read Brandeis University 2015 Disaster Recovery Tabletop Exercise Plan (ExPlan)
• Use the DRP Generator to create a DRP to recovery from the ExPlan.
• Make assumptions when building your DRP on information you may not know.
https://www.ready.gov/business-continuity-planning-suite
https://www.ready.gov/business-continuity-planning-suite
2
1. Download and EXTRACT the Business Continuity Planning Suite. It downloads and automatically
extracted BCPS.
2. Double click on BCPS folder
3. Click on STARTNOW
4. Displayed main menu
3
Click on Disaster Recovery Plan Generator (IT Recovery)
Run
Run
4
OK
OK
5
Yes
Main menu displays
New User
Email:
First:
Last:
Password:
Register
Start Now
6
Create a New Plan
Enter a document plan name: DRP FirstInitialLAST (e.g., DRP GMarchi)
Password
Submit
7
Address all sections until complete.
Make assumptions on your organization.
Project 2/Brandeis University 2015 Disaster Recovery TTX Plan (ExPlan)
Page | 1
Brandeis University 2015 Disaster Recovery
Tabletop Exercise Plan (ExPlan)
08 Fall
Page | 2
Table of Contents
EXERCISE AGENDA …………………………………………………………………………………………………………………………………………… 3
ACKNOWLEDGMENTS……………………………………………………………………………………………………………………………………… 3
PARTICIPANT LIST ………………………………………………………………………………………………………………………………………….. 4
INTRODUCTION …………………………………………………………………………………………………………………………………………………….. 5
PURPOSE ……………………………………………………………………………………………………………………………………………………………… 5
SCOPE ………………………………………………………………………………………………………………………………………………………………….. 5
GOALS ………………………………………………………………………………………………………………………………………………………………….. 5
OBJECTIVES ………………………………………………………………………………………………………………………………………………………….. 5
PLANNING ASSUMPTIONS ……………………………………………………………………………………………………………………………………… 6
STRUCTURE ………………………………………………………………………………………………………………………………………………………….. 6
GUIDELINES …………………………………………………………………………………………………………………………………………………………. 6
GROUND RULES ……………………………………………………………………………………………………………………………………………………. 6
MODULE 1: INCIDENT & INITIAL RESPONSE (9-10AM) ……………………………………………………………………………… 8
MODULE 1: DISCUSSION QUESTIONS ………………………………………………………………………………………………………….. 10
MODULE 2: SECONDARY IMPACT (10-11AM) ……………………………………………………………………………………………. 12
MODULE 2: DISCUSSION QUESTIONS ………………………………………………………………………………………………………….. 13
MODULE 3: TERTIARY IMPACT (11-11:30) ……………………………………………………………………………………………….. 15
MODULE 3: DISCUSSION QUESTIONS ………………………………………………………………………………………………………….. 16
HOTWASH (11:30-12) …………………………………………………………………………………………………………………………………… 17
FEMA ONLINE TRAINING ………………………………………………………………………………………………………………………………. 18
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EXERCISE AGENDA
0830–0900 Welcome and opening remarks
0900–1000 Module 1
1000–1010 [Break]
1015–1100 Module 2
1100-11:30 Module 3
1130–1200 Combined Discussion
At 8:55 am, the operations team will call the leadership team meeting location and a round of
introductions will take place. As long as the exercise does not preclude it, electronic services (e.g.,
Google Apps) may be used.
ACKNOWLEDGMENTS
This document was prepared by Michael Corn, Deputy CIO, Library and Technology Services at
Brandeis University. Christina Maryland provided valuable feedback regarding emergency
communications and Peter Nash provided valuable feedback regarding professional services
training.
Page | 4
PARTICIPANT LIST
Note: some last minute delegation, substitutes, or observers should be expected
Name Unit Role in TTX
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Introduction
All organizations experience unexpected and unwanted disruptions to their day-to-day
operations. Too often organizations view an IT emergency as something solely handled by their IT
unit. However as more and more of the University’s mission requires a working IT infrastructure,
it becomes increasingly important to look at the broader impact of an IT systems or infrastructure
disaster on Brandeis’ operations.
Fortunately while it is impossible to predict when and what sort of emergency will occur, it is
possible to prepare in advance. Only by regularly practicing responding to a simulated disaster
can an organization gain confidence that when a real incident occurs, it’ll be prepared to respond.
Purpose
A tabletop exercise is a review of the processes and procedures that would generally be used
during a real crisis. The goal of this exercise is to detect issues that may interfere with response
and recovery during an actual emergency.
Scope
The scope of this exercise should be strictly limited to online education and specifically the impact
of the Latte system being unavailable. Do not spend time discussing how to recover from
additional systems that would (in a real event) also be disabled by the simulated incident. Aspects
of the exercise are necessarily contrived – some suspension of belief is always required.
Note to all participants and facilitator: due to the compressed nature of the ‘incident time’ vs.
actual time, it will be necessary to treat incident time in an elastic fashion. Once the exercise
begins the facilitator will start the ‘incident clock’ and we will attempt to work to the degree
possible in real-time. However the facilitator should feel free to move forward in incident time if
necessary to push the discussion forward.
Goals
The primary objective of this exercise is to explore many of the issues that will arise during an IT
disaster scenario, some technical, some mission related. This is the first step to the creation of a
rigorous disaster recovery plan and thus to provide Brandeis with the capabilities to respond and
recover effectively. We want to identify gaps and establish best practices that should be addressed
when creating a disaster recovery plan. Although this is a timed event, our goal is not to race to
some arbitrary point of resolution.
Objectives
Exercise teamwork: focus on relationship and team building
Provide us tools for crisis response, and a forum for discussing and developing emergency
plans
Test assumptions
Enhance Brandeis emergency resiliency
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Planning Assumptions
The participants in this exercise will be separated into two teams, one operations and one
leadership. The operations team should focus on returning impacted services to availability. The
leadership team will be discussing questions related to general emergency response (such as the
availability of an emergency operations center) and addressing questions related to policy or
resources beyond the capacity or authority of the operations team. Both rooms will have phones
in them, though participants are free to communicate with others as desired and within the
constraints of the scenario.
Structure
This will be a facilitated tabletop exercise (TTX). Players will participate in the following three
distinct modules:
Module 1: Incident + Initial Response
Module 2: Secondary Impact
Module 3: Tertiary Impact
Each module begins with an update that summarizes the key events occurring within a specific
time period. Following the updates, participants review the situation and engage in a plenary
group discussion of appropriate response issues.
Questions have been included after each module to stimulate discussion and the flow of
information around departmental procedures and encourage interdepartmental collaboration.
Each exercise participant will receive this Exercise Plan (ExPlan), which provides a written
scenario and situation updates. Following each module is a series of questions that highlight
pertinent issues for consideration. These questions are supplied as catalysts for the group
discussions; participants are not required to answer every question, nor are they limited to those
topics. Participants are encouraged to use this ExPlan as a reference throughout the exercise.
Guidelines
Although you may look ahead in this plan, it is important to address only the current and prior
events in each module. You may not move forward or discuss items that have not yet occurred.
This is a time to discuss the specific actions you will—or be assigned—to undertake. Always
consider how long each action might take. Take whatever time is necessary to discuss your
process, procedures and protocol.
Ground Rules
The follow ground rules will apply to this exercise:
This is a no-fault exercise and is not a test.
Varying viewpoints, even disagreements, are expected. This is intended to be an open, low-
stress environment.
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The exercise setting is the ideal opportunity to consider different approaches and suggest
improvements to current resources, plans, and training.
Responses should be based on current capabilities.
Fight the problems, not the scenario.
Respect the speaker.
Start on time, end on time, and use the timers.
Look through the windshield and not the rear view mirror.
Enough, Let’s Move On (E.L.M.O.) will be used to keep the group moving forward and avoid
becoming entrenched in the minutiae
There are no “hidden agendas” or trick questions intended to mislead participants.
All participants will receive the same information at the same time.
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MODULE 1: INCIDENT & INITIAL RESPONSE (9-10AM)
Incident Background
Incident
Monday, November 2nd 2015 at 3:00am
Event 1: 3am November 2
nd
2015
At 3am a disgruntled ex-employee entered Feldberg – he were terminated on October 30th and his
card access had not yet be terminated so he was able to enter the building and all LTS
communications rooms and data centers.
Once in the building he took a crow bar and smashes the CISCO ACE 30 load balancer impacting
Moodle services and then he pulled the alarm bar and turned off building power (by pressing the
circuit disconnect in room 104A).
Event 2: 3:15am November 2
nd
Brandeis University police arrive and seeing the smashed equipment quickly disable the alarm
and declare the data center a crime scene. The police do not allow anyone to touch the core power
switch for the building until a fingerprint expert arrives and tests the switch for fingerprints.
Event 3: 5am November 2
nd
After hiding in the Library for the last couple of hours, the ex-employee made his way to the
Goldfarb data center and physically removes the CISCO ACE 30 in this data center. This load
balancer is also crushed and left on the floor in pieces.
Current Situation
Anyone who feels they would have already been engaged in the incident should summarize what they
believe their actions would have been.
Inject 1, 9am: The LTS Helpdesk opens to a queue of 100 messages from students reporting that
they are unable to log into Latte. 30 similar messages are from faculty who have early morning
classes and are unable to access Latte.
Inject 2, 9:45: Social media is describing some sort of event requiring law enforcement on campus
and the first calls from worried parents are starting to come in. The main Brandeis website
(www.brandeis.edu) is seeing an increasing load. (nb: this inject will primarily be of significance
to the communications staff and the leadership team).
Planning Considerations:
The following services are affected (i.e., “in play”):
http://www.brandeis.edu/
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Latte
Feldberg and Goldfarb data center
The following services are unaffected (i.e., “out of play”):
DNS
Internet connectivity
Other systems running on the virtualized infrastructure
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MODULE 1: DISCUSSION QUESTIONS
Group
1. In an actual incident, what would have taken place by the time of the exercise kick-off?
2. Based on the information presented, what are your top priorities at this time?
3. What department is the lead in response?
4. Who will be coordinating between departments?
5. How would you be alerted to a possible access breach and large-scale service interruption?
6. Where would the leadership meet in an actual incident (where is the EOC)? How would
they have been notified? What is the chain of command for institutionally scoped
decisions?
University Services
1. What processes or procedures would you implement in response to the situation
presented? What procedures are in place to access the environmental hazard from the
liquid in Goldfarb?
1. Who would you look to coordinate your response?
2. Who or when would you engage the University’s leadership?
Library and Technology
1. What alarms or monitoring would have been triggered by the incident as described?
2. What coordination among departments is necessary at this point?
3. What plans, policies, and/or procedures are in place to prevent or respond to a large-scale
service interruption?
4. What information sources could you contact to get further information about this service
interruption?
5. Due to the information presented, would there be any immediate operational changes in
your department? Would this involve a change in security protocol, either physical or
logical?
Academic Units
1. How would you expect to first hear about the incident?
2. What procedures or communications might you undertake once learning about the
incident?
Communications
1. When would you expect to be notified?
2. How does Office of Communications respond to this type of incident?
3. Is this protocol discussed in the Brandeis Crisis Communications Plan? Has this plan been
provided to communications liaisons university-wide? Are they aware of the protocol?
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Public Safety
1. Does the University police department possess resources or personnel capable of
investigating access breaches/crimes?
2. What coordination among departments is necessary at this point?
3. What information sources at LTS would you contact to get further information?
4. Due to the information presented, would there be any immediate operational changes in
your department? Would this involve a change in security protocol, either physical or
logical?
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MODULE 2: SECONDARY IMPACT (10-11AM)
Inject 3, 10am: Brandeis University police, working with Waltham police have collected all the
evidence they need from the Feldberg data center and allow LTS staff to re-enter to and to enable
power to the building.
Inject 4, 10:15am: The volume of calls to the Helpdesk and to the general Brandeis operator are so
large that general phone service is starting to fail – callers are getting busy signals and in general the
phones are of intermittent use, even on campus.
Inject 5, 10:45am: Using CCTV footage and in consultation with HR, Brandeis police were able to
identify the suspect in the incident under discussion and are working with area law enforcement
to apprehend him. He is not believed to be on campus at this time. The individual is an ex-LTS
employee who was terminated for cause on Friday. The suspect had privileged access to all LTS
facilities and professional knowledge of the Brandeis computing environment.
Planning Considerations:
The following services are affected (i.e., “in play”):
Latte
Feldberg and Goldfarb data center
Brandeis phone system
Brandeis primary website
The following services are unaffected (i.e., “out of play”):
DNS
Internet connectivity
Other systems running on the virtualized infrastructure
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MODULE 2: DISCUSSION QUESTIONS
Group question
1. Based on the information presented, what are your top priorities at this time?
2. Is there a list of critical contact information for network, security, or senior-level
administrators? Where is this located?
University Services
1. With the partial or complete failure of the campus phone system, how are US operations
affected?
2. Who are the building wardens? How is this information provided to staff? Do they play a
role in your response?
Library and Technology
1. Specifically, what interdepartmental coordination is necessary at this point?
2. What steps must be taken to ensure critical evidence is preserved? Are procedures in place
for this action?
3. Will this incident impact library operations for the day/week? What is the business
continuity plan? If there is an impact, how will this be communicated to the staff and
campus community?
Communications
1. How does this team respond to the incident as it escalates?
2. Who is notified of the disruptions, within your department and across the university or the
public?
3. What coordination among departments is necessary at this point? When should the release
of incident related information be provided to coordinating departments?
4. When are senior university leaders provided a brief of the incident scope?
5. What consideration is given to the release of service interruption alerts to campus
community members? What is the protocol for rumor control?
6. Due to the information presented, would there be any immediate operational changes in
your department?
Academic Units
1. What internal processes or communications with your faculty or students would you be
implementing?
2. What information might you be putting on your website about this incident?
3. What information do you need to know to plan your response accordingly?
Public Safety
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1. How are decisions made about protecting the system/data versus investigating this
problem as a crime? Who makes the decision?
2. What steps must be taken to ensure critical evidence is preserved? Are procedures in place
for this action?
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MODULE 3: TERTIARY IMPACT (11-11:30)
Inject 6, 11am: A Facebook posting claims that a bomb went off on the Brandeis campus and
that’s why no one can get through on the phone. The Brandeis homepage receives 100x of times
its normal load and becomes unresponsive.
Planning Considerations:
The following services are affected (i.e., “in play”):
Latte
Feldberg and Goldfarb data center
Brandeis phone system and primary website
The following services are unaffected (i.e., “out of play”):
DNS
Internet connectivity
Other systems running on the virtualized infrastructure
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MODULE 3: DISCUSSION QUESTIONS
Group question
1. Based on the information presented, what are your top priorities at this time?
2. What are the long-term effects associated with the situations presented?
3. What is your department’s role in the continuing investigation? How would this be
coordinated with university efforts?
University Services
1. Can US assist in shifting IT operations to alternative facilities on campus? Is this feasible?
2. Can additional classroom space be made available for courses traditionally held online?
Library and Technology
1. What is the priority of repair or restoration of systems?
Communications
1. How would you monitor the dissemination of this rumor?
2. What previously untargeted departments or demographics would now require
communications?
Academic Units
1. What is your role in responding to inquiries from parents or alumni?
Public Safety
1. How would you monitor the dissemination of this rumor?
2. What previously untargeted departments or demographics would now require
communications?
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HOTWASH (11:30-12)
At 11:30 the leadership team will move to the larger Gardner Jackson room where the operations
team is located. A general discussion of the exercise and lessons learned will take place.
1. Based on this exercises would you take any proactive approaches to prepare for an
actual event? How would you prepare?
2. Were the University phone operators prepared to respond to calls?
3. What is the maximum amount of time that Latte can be unavailable? How do we create
procedures to address continuity of operations during this interval?
4. If Latte can only be restored from a backup – how far back in time can that back up
come from (i.e., how many days of lost data can we tolerate?)
5. If resources need to be procured (IT equipment, leased space…) who can authorize
these expenses?
6. What would be the reputational impact to Brandeis of this event and how would you
address that?
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FEMA ONLINE TRAINING
FEMA provides a host of online incident training material. A few of the core courses are listed
here; it is recommended that all members of the University’s and LTS’ leadership complete IS100
and IS 700.
FEMA – Emergency Management Institute (EMI) Course | IS-700.A: National Incident
Management System (NIMS) An Introduction
https://training.fema.gov/is/courseoverview.aspx?code=IS-700.a
FEMA – Emergency Management Institute (EMI) Course | IS-100.B: Introduction to Incident
Command System, ICS-100 https://training.fema.gov/is/courseoverview.aspx?code=IS-
100.b
https://training.fema.gov/is/courseoverview.aspx?code=IS-700.a
https://training.fema.gov/is/courseoverview.aspx?code=IS-100.b
https://training.fema.gov/is/courseoverview.aspx?code=IS-100.b
Page | 19
Project 2/Business_Continuity_Planning_Suite.zip
Business_Continuity_Planning_Suite/media/BCP Exercise Planner Instructions_FINAL_v6_APR 25 x
Business Continuity Plan Test
Exercise Planner Instructions
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For Exercise Use Only
Exercise Planner and Facilitator Instructions Major Earthquake TTX
For Exercise Use Only
Exercise Planner Instructions BCP Test
Appendix A: Adapting TTX Documents 16 DHS NPPD/IP
For Exercise Use Only
Instructions 5
For Exercise Use Only
The Basics of a Tabletop Exercise
A tabletop exercise (TTX) assembles key staff and decisionmakers in an informal setting intended to generate discussion of various issues regarding a hypothetical, simulated emergency incident. TTXs can be used to enhance awareness, validate plans and procedures, and/or assess the types of systems needed to guide prevention of, protection from, response to, and recovery from a defined incident.
General Characteristics
The exercise begins with a general setting which establishes the stage for the hypothetical situation. In your TTX, the facilitator stimulates discussion by providing situation updates. The updates describe major or detailed events and may be addressed either to individual participants or to participating departments or agencies. Recipients of the updates then discuss the actions they would take in response. The discussion is then facilitated with key questions that focus on roles (how the participants would respond in a real situation), plans, coordination, the effect of decisions on other organizations, and similar concerns. A TTX focuses on discussion of roles rather than simulation. In this TTX, equipment and resources are not deployed.
Application
A TTX has several important applications: the exercise lends itself to a low-stress discussion of coordination, plans, and policy; it provides a good environment for problem solving; and it provides an opportunity for key agencies and partners to become acquainted with one another, their inter-related roles, and their respective responsibilities.
Leadership
A facilitator leads the TTX discussion. This person briefs the scenario to participants, asks questions, fosters discussion, and guides the participants toward sound decisions.
Time
The agenda for your TTX is designed for approximately four hours of exercise play; however, the length is ultimately at your discretion. During the TTX, discussion times are open-ended, and participants are encouraged to take their time in arriving at in-depth decisions without time pressures. Although the facilitator maintains an awareness of time allocation for each area of discussion, the group does not have to complete every item in order for the exercise to be a success; rather, the goal is to ensure the exercise objectives are met.
For Exercise Use Only
Exercise Planner and Facilitator Instructions Major Earthquake TTX
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11 Key Steps to a Successful Exercise
Enclosed you will find everything needed to conduct a TTX that conforms to Federal Emergency Management Agency Homeland Security Exercise and Evaluation Program (HSEEP) standards. All recommended actions in this guide assume that you will begin planning three months or more before the desired TTX date.
The purpose of the Business Continuity Plan (BCP) Test is to create an opportunity for businesses to identify and examine the issues and capability gaps they are likely to face in implementing their BCPs and in recovering from business operation disruptions.
The BCP Test focuses on a facility’s recovery efforts following selected business disruptions intended to represent a broad spectrum of disruption threats: hurricane, earthquake, ice storm, and blackout. The intent is to improve the overall recovery capabilities and actions and the collective decisionmaking process. It is designed to be an open, thought-provoking exchange of ideas to help develop and expand existing knowledge of policies and procedures within the framework of BCP implementation.
Step 1: Review Documents
(Task should be accomplished three months or more prior to the actual TTX)
Below is a list of supporting exercise documents provided in your TTX:
· Exercise Planner Instructions – The instructions function as a guide for the exercise planner. This document provides step-by-step instructions on how to develop and execute the tabletop exercise.
· Situation Manual (SitMan) – The SitMan includes a detailed description of the scenario and potential questions to be used during the exercise. Throughout the exercise, participants are encouraged to use the manual to supplement the information presented and stimulate discussion.
· Presentation – These PowerPoint slides mirror the SitMan and are used by the exercise facilitator to guide participants through the scenarios and discussion questions.
· Facilitator & Evaluator Handbook (Handbook) – The handbook functions as a guide for the facilitator and evaluators. This document provides instructions and examples to properly capture information and feedback during the exercise for review and development of an After Action Report and Improvement Plan (AAR/IP).
· Participant Feedback Form – A feedback form that is utilized to gather recommendations and key outcomes from the exercise and feedback on the exercise design and conduct from the participants.
Step 2: Decide Who Is Coming
(Task should be accomplished three months or more prior to the actual TTX)
Participants may include the following:
· Players: Individuals who will respond to the situation presented, based on expert knowledge of current plans, procedures, and insights derived from training and experience.
· Observers: Individuals who will observe the exercise without directly participating in the moderated discussion.
· Facilitators: Individuals who will provide situation updates and moderate discussions. They also provide additional information or resolve questions as required.
· Evaluators: Individuals who will be responsible for gathering relevant data arising from facilitated discussions during the exercise. They will then use this information to collectively build an AAR/IP Report and Improvement Plan.
Please note that Facilitators may also assume the role of Evaluator, especially when dealing with staffing constraints.
Players must be chosen carefully to adequately represent their discipline/agency/organization and must have the authority to speak on its behalf. Based on past exercises, there are common participants, both internal and external, that may be invited depending on the complexity of a specific exercise. Organizations may initially choose to have exercises with only participants internal to the organization and include external organizations in later exercises.
Common internal players:
· Owners/management;
· Security;
· Information Technology (IT)
· Public Information Officer (PIO);
· Engineering; and
· Operations.
Common external players:
· DHS Protective Service Advisors (PSA);
· Federal/State/local law enforcement;
· State/local Office of Emergency Management (OEM) or Emergency Operations Center (EOC) personnel;
· State or local transportation agencies;
· Regulating agencies;
· Public health agencies;
· Emergency medical services and other local first responders;
· Other Federal partners; and
· International partners.
Use this list of desired attendees to send out a “save the date” pre-invitation noting the desired day (or week of the potential day) of the exercise, along with the desired location. Send this out in the form of an email or calendar invite as soon as you have your list of desired attendees (about three months before the TTX). Send a more formal invitation once the logistics are finalized (please refer to the included invitation letter).
Step 3: Logistics
(Task should be accomplished three months prior to the actual TTX)
Meeting Space
· Make sure the room is large enough to seat all desired participants and observers and is accessible to both internal and external invitees. It would be beneficial if the required space was open the evening prior to the exercise for setup and to work through any technical issues. There should also be an area for the facilitator(s) and evaluators to meet prior to and after the exercise.
· The room must also have adequate audio/video capability in order to run your presentation. Having a room with dimmable lights is a must for seeing the projector screen(s), and having at least two wireless microphones to pass around the room is recommended.
· It is always beneficial to book a backup room in case of unforeseen cancellations, etc.
Refreshments
· At your discretion, you can provide snacks, refreshments, and/or lunch. At a minimum, water and coffee are desirable. Plan with your facility/organization, or an outside vendor, accordingly.
Directions/Parking/Access
· For the upcoming invitation, you will need to provide directions to the facility. If special parking or access directions are required, you must include that as well. You can simply explain the process in words or go as far as drawing a map.
Step 4: Staffing and Layout
(Task should be accomplished two and one-half months prior to the actual TTX)
Plenary
In a plenary format, the players are organized as a single group, without regard for functional area grouping (e.g., owners, management, local representatives; facility security; engineering; law enforcement). This format requires only a single facilitator and/or evaluator, but a note-taker is also required. A co-facilitator can ease the burden of a single facilitator and help with evaluation and note-taking efforts. This format is generally best for a group of no more than 40 players, and when only a few people are available to fill the roles of facilitator, evaluator, and note-taker.
Multi-Table
Under a multi-table format, there are multiple individual tables organized by discipline or agency/organization. A lead facilitator first frames the scenario and poses discussion questions to all players. Then, group discussions occur at the individual tables, ideally facilitated by someone with functional area expertise.
Under this approach, there should be a facilitator, evaluator, and/or note-taker present in each breakout group. If feasible, it may be desirable to assign both a facilitator and a note-taker to each breakout group so that the facilitator can focus on addressing issues related to exercise objectives while the note-taker focuses on capturing general discussion issues.
Be sure to address all staff and facility access requirements and other needs in the formal invitation letter. For example, the facility being utilized for the exercise might require a “visitor request form.” In this case, you would ensure that all the external players fill out the form and return it to you well before the exercise date.
Step 5: Hold a Planning Meeting
(Task should be accomplished 2.5 months prior to the actual TTX)
It is recommended that a small planning conference be held at least two months before the actual TTX to ensure all parties’ objectives will be incorporated and to maximize the value and productivity of the exercise for all involved. The planning conference participants should include most of the lead planning authorities from the sponsoring facility/organization.
During the planning conference, participants should review the process and procedures for exercise conduct, drafts of all exercise materials, all logistical plans, and the proposed list of invitees.
Be sure to carefully plan this team, because it will be exposed to the scenario prior to the exercise and should not be expected to play. An invitation to this planning meeting will also need to be sent out at least several weeks in advance.
Step 6: Send the Formal Invitation
(Task should be accomplished two months prior to the actual TTX)
Unlike the informal “save the date” invitation, this formal invitation should come from your facility’s management in the form of either an email or signed/scanned letter. The formal invitation should include the exact date, location, time of the event, directions to facility, security/access requirements, and what kind of food/refreshments will be provided. Ensure that you send the formal invitation after holding the planning meeting; therefore, any additions/subtractions to the participants or changes to the logistics made during the planning meeting can be captured before the invitation is sent out.
Step 7: Adapt Documents
(Task should be accomplished 1.5 months prior to the actual TTX)
This TTX is unique in that it allows you to adapt the scenario to meet the objectives of your organization. The documents provided will need to be adjusted to meet your organization’s needs. Please review the SitMan for any areas highlighted in gray and the presentation for any areas highlighted in red; these areas provide an opportunity for customization and require your input. Any items that are changed in one of the products will need to be changed throughout the entire package (i.e., SitMan and PowerPoint).
Step 8: Print Documents
(Task should be accomplished one week prior to the actual TTX)
When printing documents, make sure you print one SitMan for each participant, as well as a SitMan and a Handbook for each facilitator and evaluator. Printing the presentation and reference documents for each participant is at your discretion.
Step 9: Conducting the Exercise
In a plenary format, the players are organized as a single group, without regard for functional area grouping (e.g., owners, management, and local representatives; facility security; engineering). The facilitator(s) brief the modules and moderate the questions for the entire group.
Under a multi-table format, there are multiple individual tables organized by discipline or agency/organization. A lead facilitator first frames the scenario and poses discussion questions to all players. Then, group discussions occur at the individual tables, ideally facilitated by someone with functional area expertise.
After breakout sessions take place, the entire group typically reconvenes to address any key issues, cross-disciplinary issues, or conflicting recommendations that were identified during breakout group discussions. Each breakout group briefs the key points of their discussions to the group at large. Although individual facilitators are assigned to record discussions within a designated group, all facilitators, evaluators, and/or note-takers should capture information on cross-cutting issues.
All facilitators should take and compile notes relevant to their group’s discussions. This information will be used to generate the AAR/IP and exercise notes.
Under both formats, players should discuss their responses based on their knowledge of current plans, procedures, and capabilities.
In addition, players and observers should receive a Participant Feedback Form that requests their input regarding the exercise’s strengths and areas for improvement. At a minimum, the questions on this feedback form will solicit the following:
· Impressions about exercise conduct and logistics; and
· Substantive information on the most pertinent issues discussed and potential corrective actions to address these issues.
Information collected from feedback forms contributes to the issues, observations, recommendations, and corrective actions in the AAR/IP.
Prior to the exercise, instruct the evaluators and note-takers to keep an accurate written record of what is observed. To be reliable, they should take notes as players discuss actions, make decisions, and discuss their capabilities during the exercise. Collect this information at the conclusion of the exercise as these notes will form the basis of the analysis for the AAR/IP. At the conclusion of the exercise, it is also beneficial for the after-action process to conduct a hot wash involving players, facilitators, evaluators and note-takers. Once the hot wash is finished, collect all participant feedback forms. These forms will help gauge the participants’ perspective on the exercise and will assist with the development of the AAR/IP.
For more information on the note-taking process, please refer to the Facilitator & Evaluator Handbook under the “Observing and Evaluating the Exercise” heading.
Step 10: Evaluate
(Task should be accomplished immediately after the actual TTX)
After completing the TTX, instruct the evaluators to consolidate the data collected during the exercise and transform it into narratives, or exercise write-ups, which address the course of exercise play, demonstrated strengths, and areas for improvement. A template for an exercise write-up (and analysis of the identified issues) is provided in Appendix A of the Facilitator & Evaluator Handbook.
For more information on writing up your recommendations, please refer to the Facilitator & Evaluator Handbook under the “Identify Root Causes and Develop Recommendations” heading.
Step 11: After Action Report/Improvement Plan
(Task should be accomplished 30 days after the actual TTX)
The end goal of the exercise is to produce an AAR/IP with recommendations for improving preparedness capabilities for your organization. The Improvement Plan will provide the timelines for the improvement recommendation implementations and assignments to responsible parties. Implementing this plan should be an ongoing effort by your organization.
For more information on the HSEEP AAR process and recommendations, please refer to the Facilitator & Evaluator Handbook under the AAR/IP heading.
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Business Continuity Plan Test
Facilitator & Evaluator Handbook
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For Exercise Use Only
Facilitator & Evaluator Handbook
(Handbook) BCP Test
Preface
The Business Continuity Plan Test is the final component of the Business Continuity Planning Suite. It was developed as a mechanism for testing Business Continuity Plans developed through the Suite’s Business Continuity Plan Generator.
This Facilitator and Evaluator Handbook is an unclassified exercise document and is intended FOR EXERCISE USE ONLY. Due to the nature of the information discussed, special considerations may be applicable for document access and storage. All exercise participants should use the appropriate guidelines to protect this material in accordance with their jurisdictional directives.
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Preface i
For Exercise Use Only
Handling Instructions
The title of this document is the Business Continuity Plan Test Facilitator & Evaluator Handbook.
Information derived from the Facilitator & Evaluator Handbook should be handled according to the facility/organization guidelines based on sensitivity of information.
At a minimum, the attached materials should only be disseminated on a need-to-know basis to applicable partners.
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Handling Instructions iii
For Exercise Use Only
Table of Contents
Preface
i
Handling Instructions
iii
Table of Contents
v
Recommended Agenda
vii
Introduction
1
Appendix A: Exercise Write-Up Template
A-
1
Appendix B:
Target
Capabilities
B-
1
Appendix C: Acronym List
C-
1
Table of Contents v
For Exercise Use Only
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Recommended Agenda
Registration: 8:30 a.m. – 9:00
Introduction: 9:00 – 9:15
Scenario Module 1: 9:15 – 10:00
Scenario Module 2: 10:00 – 10:45
Break: 10:45 – 11:00
Scenario Module 3: 11:00 – 11:45
Hot Wash: 11:45 – 12:30 p.m.
End: 12:30 p.m.
Note: This agenda assumes that a facility is exercising three of the four possible scenarios. An organization is free to exercise as many of the scenarios as it chooses. The agenda should be adjusted accordingly if an organization elects to exercise more than three scenarios.
Facilitators and evaluators will meet for about one hour after the exercise for a debriefing.
For Exercise Use Only
Facilitator & Evaluator Handbook
(Handbook) BCP Test
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_________________________________________________________________________________________________
Agenda vii
For Exercise Use Only
Introduction
Purpose
The purpose of the Business Continuity Plan (BCP) Test is to create an opportunity for businesses to identify and examine the issues and capability gaps they are likely to face in implementing their BCPs and in recovering from business operation disruptions.
Scope
The BCP Test focuses on a facility’s recovery efforts following selected business disruptions intended to represent a broad spectrum of disruption threats: hurricane, earthquake, ice storm, and blackout. The intent is to improve the overall recovery capabilities and actions and the collective decisionmaking process. It is designed to be an open, thought-provoking exchange of ideas to help develop and expand existing knowledge of policies and procedures within the framework of BCP implementation.
Target Capabilities
The National Planning Scenarios and the establishment of the National Preparedness Priorities have steered the focus of homeland security toward a capabilities-based planning approach. Capabilities-based planning focuses on planning under uncertainty, since the next danger or disaster can never be forecast with complete accuracy. Therefore, capability-based planning takes an all-hazards approach to planning and preparation, thus building capabilities that can be applied to a wide variety of incidents. The capabilities below provided the foundation for developing the exercise objectives and scenario:
· Planning (see Appendix B for more information related to this capability);
· Economic and Community Recovery (see Appendix B for more information related to this capability).
For additional reading and insight into the Target Capabilities List (TCL) and evaluation process, please refer to the links below. The purpose of this exercise is to measure and validate performance of these capabilities and their associated critical tasks. Not all the capabilities may be applicable to your facility.
TCL: http://www.fema.gov/pdf/government/training/tcl
TCL User Guide: http://www.iaem.com/committees/GovernmentAffairs/documents/TargetCapabilitiesUserGuide_17February2009
Recommended Objectives
Listed below are recommended objectives for the BCP Test. It is the decision of the exercise planner/facilitator to cover some or all of the four objectives and/or draft new objectives. Ensure the “Exercise Objectives” slide of the BCP Test PowerPoint presentation and page 1 of the Situation Manual correctly identify the objectives selected.
1. Discuss and validate internal BCP implementation procedures in response to various incidents in accordance with existing plans and procedures.
2. Discuss and validate the effectiveness of BCP functions in directing and controlling recovery activities in accordance with existing plans and procedures.
3. Assess the ability to identify critical functions, actions, and timeframes to facilitate short- and long-term recovery.
4. Identify gaps, redundancies, developmental activities, and best practices in the event of a catastrophic incident.
5. Add personalized exercise objectives as necessary.
Exercise Participants
Players respond to the situation presented based on knowledge of current plans, procedures, and insights derived from training and experience.
Observers observe the exercise; they are not participants in the moderated discussion.
Facilitators provide situation updates and moderate discussion. They also provide additional information or resolve questions as required.
Evaluators are responsible for gathering relevant data arising from facilitated discussions during the exercise. They will then use this information to collectively build an After Action Report and Improvement Plan (AAR/IP).
Exercise Structure
The BCP Test is a moderated discussion-based exercise that allows participants to interact in accordance with their respective responsibilities and expertise to coordinate the response to and recovery from a significant incident.
The entire BCP Test is a recommended three- to four-hour, scenario-driven, facilitated exercise. Players will utilize between one and four exercise scenario modules. The number of modules utilized will be decided by the exercise planner(s). A series of general questions following the scenario summary will guide the facilitated discussion of critical issues in each of the modules. The questions are not meant to constitute a definitive list of items or concerns to be addressed, nor is there a requirement to discuss every question. Participants may identify additional critical questions, issues, and decisions as they pertain to the specific module. Based on exercise priorities, time dedicated to each module will be managed by the facilitator.
Exercise Guidelines
This is an open, low-stress, no-fault environment. Varying viewpoints, even disagreements, are expected.
Comments will be non-attribution, using the “Chatham House” rule.
Responses should be based on knowledge of current plans and capabilities (i.e., use only existing capabilities) and insights derived from training.
Decisions are not precedent-setting and may not reflect your organization’s final position on a given issue. This is an opportunity to discuss and present multiple options and possible solutions.
Problem-solving efforts should be the focus. Issue identification is not as valuable as suggestions and recommended actions.
The situation updates, written material, and resources provided are the basis for discussion; there are no situational, or surprise injects.
Assumptions and Artificialities
In any exercise, a number of assumptions and artificialities may be necessary to complete play in the time allotted. During this exercise, the following apply:
The scenarios are plausible and events occur as they are presented;
There are neither “hidden agendas,” nor any “trick questions;”
All players receive information at the same time;
The scenarios are completely artificial; and
Assume cooperation and support from other responders and agencies as appropriate.
Observing and Evaluating the Exercise
Facilitators and evaluators must keep an accurate written record of what occurs. To be reliable, they should take notes as players discuss actions, make decisions, and present their capabilities. Notes should identify the following:
Who made the decision (by name or position);
What occurred (the observed decision);
Why the decision was made (the trigger);
How the decision was made (the process); and
What was the outcome of decisions? Was a solution identified? Who is responsible for the identified solution? In what time frame will the solution be completed/implemented?
Effective notes will assist when writing the final analysis. During the exercise, it is important to concentrate on recording what is happening, specifically what is discussed by the group as it relates to the exercise objectives and capabilities identified. Lengthy and detailed writing during the exercise can cause evaluators to miss important discussions among participants.
Knowing which events are important makes recording the action manageable, eliminates superfluous information, and provides the kind of data most useful for the after-action process.
Items and issues to be aware of during the discussion include:
Existing plans or procedures which will help the organization achieve the stated exercise objective(s) and demonstrate the appropriate capability;
Deviations from those plans and implementation procedures;
Roles and responsibilities of players with actions and decisions related to the exercise objectives and capabilities (if applicable);
Decisions made by exercise players;
Recommendations offered by players; and
Any unresolved issues discussed during the exercise.
Hot Wash
Immediately after the exercise, a “hot wash” will be conducted with the players, facilitators, and evaluators. A hot wash affords players the ability for self-assessment and discussion on the outcomes of the exercise. During the hot wash, the lead facilitator gives every participant the opportunity to provide feedback on what went well during the exercise as well as areas for improvement.
The hot wash also provides the evaluators with the opportunity to clarify points or collect any missing information from the players before they leave the area. To supplement the information collected during the player hot wash, the evaluation team distributes participant feedback forms to obtain anonymous responses from participants on their perception of the exercise.
Facilitator and Evaluator Debriefing
Following the hot wash, facilitators and evaluators should conduct their own debriefing to reconcile conflicting outcomes and solidify common themes. At the debriefing, facilitators and evaluators will further discuss the performance of the exercise participants. In addition, facilitators and evaluators will provide what they thought were three strengths and three areas for improvement observed during the exercise. This is often referred to as “three ups” and “three downs.” These strengths and areas for improvement are based on the general impression of the facilitators and evaluators immediately after the exercise and should be relevant to the selected capabilities.
Analyze Data
The goal of data analysis is to assess performance by identifying what aspects of the exercise went well and what areas need improvement. The analysis compares players’ discussions with existing plans and procedures. Steps to take to analyze the data include:
1. Reviewing exercise discussion notes;
2. Comparing player discussions to existing plans, identifying deviations and determining why they occurred; and
3. Listing recommendations to resolve issues.
During data analysis, the evaluator consolidates the data collected during the exercise and transforms it into narratives that address the course of exercise play, demonstrated strengths, and areas for improvement.
A template for an exercise write-up (and analysis of the identified issues) is provided in Appendix A of this handbook.
Identify Root Causes and Develop Recommendations
To produce an AAR/IP with recommendations for improving preparedness capabilities it is critical for evaluators to discover not only what happened, but why those actions were chosen. Evaluators must find the root cause for insufficient actions. A root cause is the source of, or underlying reason behind, an identified issue (as uncovered during analysis) toward which the evaluator can direct an improvement. To arrive at a root cause, an evaluator should attempt to trace each item back to its origin. Root cause analysis may require the review and evaluation of emergency plans, training programs, policies, and procedures.
Uncovering root causes enables the development of actionable solutions for improvement areas identified in the AAR/IP. These recommendations are based on the evaluation team’s experience and best judgment, although the responsibility for implementing recommendations ultimately lies with the leaders and managers of the participating agencies or organizations.
Evaluators should use the following questions as a guide for developing recommendations for improvement:
Were the objectives of the exercise met?
Did the discussion suggest that all personnel would be able to successfully complete the tasks necessary to execute the activity? If not, why?
What are the key decisions associated with each activity?
Did the discussion suggest that all personnel are adequately trained regarding the activities/tasks discussed to achieve the capability?
Did the discussion identify any resource shortcomings that could inhibit the ability to execute an activity?
Do the current plans, policies, and procedures support the performance of activities? Are players familiar with these documents?
Do personnel from multiple agencies or jurisdictions need to work together to perform a task, activity, or capability? If so, are there agreements or relationships in place to support the coordination required?
What was learned from this exercise?
What strengths were identified for each activity?
What areas for improvement are recommended for each activity, if any?
After Action Report and Improvement Plan
An AAR/IP is used to provide feedback to participating entities on their performance during the exercise. The AAR/IP summarizes exercise events and analyzes performance of the tasks identified as important during the planning process. It also evaluates achievement of the selected exercise objectives of the overall capabilities being validated. The Improvement Plan portion of the AAR/IP includes corrective actions for improvement, along with timelines for their implementation and assignment to responsible parties.
It is important for evaluators to exchange contact information with the facilitator. An abundance of data is captured by each evaluator and this information is consolidated to produce the AAR/IP.
If the execution of the exercise involves multiple tables, then each table’s evaluator should coordinate with the facilitator to ensure all relevant information is consolidated into a table report. Next, each table’s report should be consolidated and submitted to a single individual for the AAR/IP.
The facilitator must determine when exercise write-ups are due and ensure the evaluators are given a no later than date for submission. It is recommended the After Action Report portion of the AAR/IP is completed by a single individual utilizing the HSEEP process.
The table evaluator and the AAR representative can utilize the sample Exercise Write-up Template located in Appendix A.
For Exercise Use Only
Facilitator & Evaluator Handbook
(Handbook) BCP Test
a.
Introduction 1
For Exercise Use Only
Appendix A: Exercise Write-Up Template
Capability 1: [Capability Name]
Capability Summary: [Include a detailed overview of the capability, drawn from the TCL descriptions, and a description of how the capability was performed during an operations-based exercise or addressed during a discussion-based exercise. The exact length of this summary will depend on the scope of the exercise.]
Activity 1: [Using the Target Capabilities provided in the appendices, identify the activity to which the observation(s) below pertain.]
Observation 1.1: [Begin this section with a heading indicating whether the observation is a “Strength” or an “Area for Improvement.” A strength is an observed action, behavior, procedure, or practice that is worthy of recognition and special notice. An area for improvement is an area in which the evaluator observed that a necessary task was not performed, or that a task was performed with notable problems. Following this heading, insert a short sentence that describes the general observation.]
References: [List relevant plans, policies, procedures, laws, and regulations, or sections that apply. If no references apply to the observation, it is acceptable to simply list “N/A” or “Not Applicable.”]
1. [Name of the task and the applicable plans, policies, procedures, laws, and regulations and 1 – 2 sentences describing their relation to the task]
2. [Name of the task and the applicable plans, policies, procedures, laws, and regulations and 1 – 2 sentences describing their relation to the task]
Analysis: [The analysis section should be the most detailed section. Include a description of the behavior or actions at the core of the observation, as well as a brief description of what happened and the consequence(s) (positive or negative) of the action or behavior. If an action was performed successfully, include any relevant innovative approaches used by the exercise participants. If an action was not performed adequately, the root causes contributing to the shortcoming must be identified.]
Recommendations: [Insert recommendations to address identified areas for improvement based on the judgment and experience of the evaluation team. If the observation was identified as a strength, without corresponding recommendations, insert “None.”]
1. [Complete description of recommendation]
2. [Complete description of recommendation]
3. [Complete description of recommendation]
[Continue to add additional observations, references, analyses, and recommendations for each capability as necessary. Maintain numbering convention to allow for easy reference.]
Sample Write-Up
Capability 1: Intelligence and Information Sharing and Dissemination
Capability Summary: The Intelligence and Information Sharing and Dissemination capability provides necessary tools to enable efficient prevention, protection, response, and recovery activities. The goal is to get the right information to the right people at the right time. The University of California, Davis (UCD), utilized a variety of methods for information distribution on their campus to advertise the Flu Clinic to their population.
Activity 1.1: Develop and Maintain Plans, Procedures, Programs, and Systems
Observation 1.1: Strength—Standard activation procedures for the Yolo County Strategic National Stockpile (SNS) Plan include alerting each site being used that activation is imminent as soon as possible, so that they have enough time to assign personnel, set up, and gather supplies. The Health Department followed all standard activation procedures for this drill including California Health Alert Network (CAHAN) and fax communications beginning December 1, 2008.
References:
1. Yolo County Strategic National Stockpile Plan
Analysis: This was helpful for requesting information on procedures that could change from day to day (example: a CAHAN and fax were sent to UCD Emergency Operations Center (EOC) staff asking them to provide the procedure for driving access to Freeborn Hall on the day of the drill). Parking permits were then procured by the university and stored (in the front kiosk at the North-Quad entry gate) for county delivery personnel to utilize on the day of the drill. Since the university may have their own staging site on campus for supplies, the delivery gate could change depending on the incident and site(s) being used. This method of requesting information would be very important during an actual activation.
Activity 1.2: Develop and Maintain Training and Exercise Programs
Observation 1.2: Area for Improvement—While the activation protocols for this exercise functioned properly in this instance, it is recommended that these procedures be tested with all Push Partner entities, at least annually, so that they are familiar with the procedure.
Analysis: This drill was carefully planned by both UCD and the Yolo County Health Department, which enabled all those participating to be knowledgeable about the activation procedures. This method now needs to be tested with other participating jurisdictions so that all are fully aware of the procedure.
Recommendations:
1. Enroll more site facility administrators into the Health Alert Network and test it regularly.
Activity 1.3: Vertically Flow Information
Observation 1.3: Strength—This was the first Yolo County Health Department drill where the advertising and messaging about the clinic was completed by an outside entity (UCD). The university redistributed information from the Centers for Disease Control (CDC) Web site and local Health Department Public Information Officer in the form of press releases and advertising for the clinic.
References:
1. Centers for Disease Control Seasonal Influenza Web site http://www.cdc.gov/flu
2. UCD Developed Web site http://www.ucdavis.edu/help/safety.html
Analysis: Since the university has control over all methods of information distribution on their campus, it was very helpful that they were the entity pushing the message out. The methods of dissemination that they used for this included; writing on chalk boards in class rooms, creating and publicizing MySpace and Facebook events, placing ads in the student newspaper, setting up tables with ads prior to the event, posting articles in staff and student newspapers, creating a Web site, posting flyers on campus bulletin boards, posting events on Memorial Union electronic “event boards,” emailing flyers through student clubs (ASUCD, Honors Challenge, sororities/fraternities), distributing flyers through student housing and various other departments, canvassing campus the day before and day of the event to recruit participation, and posting signage at key junctions the day before and day of the event. It is also noteworthy to mention that most of the above-listed actions began on December 1, 2008 (two days before the actual clinic).
Recommendations:
1. For future exercises, try to get partner agencies to take an active role in information dissemination.
For Exercise Use Only
Facilitator & Evaluator Handbook
(Handbook) BCP Test
Appendix A: Exercise Write-Up Template A-1
For Exercise Use Only
Appendix B: Target Capabilities
The following excerpts are taken from the Department of Homeland Security’s September 2007 TCL.
Economic and Community Recovery
Economic and Community Recovery is the capability to implement short- and long-term recovery and mitigation processes after an incident. This will include identifying the extent of damage caused by an incident, conducting thorough post-event assessments and determining and providing the support needed for recovery and restoration activities to minimize future loss from a similar event.
Planning
Planning is the mechanism through which Federal, State, local and tribal governments, non-governmental
organizations (NGOs), and the private sector develop, validate, and maintain plans, policies, and procedures describing how they will prioritize, coordinate, manage, and support personnel, information, equipment, and resources to prevent, protect and mitigate against, respond to, and recover from Catastrophic events.
For Exercise Use Only
Facilitator & Evaluator Handbook
(Handbook) BCP Test
Appendix B: Target Capabilities B-1
For Exercise Use Only
Appendix C: Acronym List
Acronym
Definition
AAR/IP
After Action Report/Improvement Plan
DHS
U.S. Department of Homeland Security
FEMA
Federal Emergency Management Agency
HSEEP
Homeland Security Exercise and Evaluation Program
IP
Office of Infrastructure Protection
NPPD
National Protection and Programs Directorate
TCL
Target Capabilities List
UTL
Universal Task List
For Exercise Use Only
Facilitator & Evaluator Handbook
(Handbook) BCP Test
Appendix C: Acronym List C-1
For Exercise Use Only
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Business_Continuity_Planning_Suite/media/BCP Participant Feedback Form_FINAL x
Participant Feedback Form
Exercise Name: ________________________________
Exercise Date: _________________________________
Participant Name (optional): _______________________________ Title: ___________________________
Part I – Recommendations and Action Items
1. Based on the exercise today, list the top three (3) issues and/or areas that need improvement.
2. Identify the action items that should be taken to address the issues identified above. For each action item, indicate if it is a high, medium, or low priority.
3. Describe the action items that should be taken in your area of responsibility. Who should be assigned responsibility for each action item?
4. List the equipment, training, or plans/procedures that should be reviewed, revised, or developed. For each item, indicate if it is a high, medium, or low priority.
______________________________________________________________________________
Part II – Exercise Design and Conduct
1. What is your assessment of the exercise design and conduct?
Please rate, on a scale of 1 to 5, your overall assessment of the exercise relative to the statements provided below,
with 1 indicating strong disagreement with the statement and 5 indicating strong agreement.
Exercise Satisfaction Rating
Assessment Factor
Strongly Disagree
Strongly Agree
a.
The exercise was well structured and organized.
1
2
3
4
5
b.
The exercise scenario was plausible.
1
2
3
4
5
c.
The documentation used during the exercise was a valuable tool throughout the exercise.
1
2
3
4
5
d.
Participation in the exercise was appropriate for someone in my position.
1
2
3
4
5
e.
The participants included the right people in terms of level and mix of disciplines.
1
2
3
4
5
2. What changes would you make to improve this exercise?
Please provide any recommendations on how this exercise or future exercises could be improved or enhanced.
1
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Business_Continuity_Planning_Suite/media/BCP Presentation_FINAL_v3_APR 25.pptx
Business Continuity Plan Test
National Protection and Programs Directorate
Department of Homeland Security
The Office of Infrastructure Protection
[Insert Date]
FOR EXERCISE USE ONLY
Opening Remarks
[Add name and title here]
2
[Insert Date]
FOR EXERCISE USE ONLY
Participants
[List participating organizations here]
3
[Insert Date]
FOR EXERCISE USE ONLY
Welcome and Introductions
Please state your name and organization.
Please restate your name and organization when speaking.
4
[Insert Date]
FOR EXERCISE USE ONLY
Agenda [make changes as necessary]
Registration: 8:30 a.m. – 9:00 a.m.
Introduction: 9:00 a.m. – 9:15 a.m.
Scenario Module 1: 9:15 a.m. – 10:00 a.m.
Scenario Module 2: 10:00 a.m. – 10:45 a.m.
Break: 10:45 a.m. – 11:00 a.m.
Scenario Module 3: 11:00 a.m. – 11:45 a.m.
Hot Wash: 11:45 a.m. – 12:30 p.m.
End: 12:30 p.m.
5
[Insert Date]
FOR EXERCISE USE ONLY
5
For Exercise Use Only
6
This Situation Manual (SitMan) is intended FOR EXERCISE USE ONLY. This document should be safeguarded, handled, transmitted, and stored in accordance with the appropriate security directives.
At a minimum, the attached materials should only be disseminated on a need-to-know basis to applicable partners.
[Insert Date]
FOR EXERCISE USE ONLY
Administration
Classification Level: This exercise and all exercise-related documents and discussions are unclassified and intended FOR EXERCISE USE ONLY.
Cell Phone Use: Please turn your phones off during the exercise. If you need to use your phone or check email, please kindly move to the lobby area.
Materials: SitMan, seating chart, participant roster. [add any other materials the facility may use]
Safety & Evacuation
7
[Insert Date]
FOR EXERCISE USE ONLY
Exercise Purpose
The purpose of the Business Continuity Plan (BCP) Test is to create an opportunity for businesses to identify and examine the issues and capability gaps they are likely to face in implementing their Business Continuity Plans, and in recovering from business operation disruptions.
8
[Insert Date]
FOR EXERCISE USE ONLY
Exercise Scope
The BCP Test focuses on a facility’s recovery efforts following selected business disruptions intended to represent a broad spectrum of disruption threats: Hurricane, Earthquake, Ice Storm, and Blackout. The intent is to improve the overall recovery capabilities and actions and the collective decisionmaking process. It is designed to be an open, thought-provoking exchange of ideas to help develop and expand existing knowledge of policies and procedures within the framework of BCP implementation.
9
[Insert Date]
FOR EXERCISE USE ONLY
Exercise Structure
Scenario Module 1
Scenario Module 2
Scenario Module 3
Hot Wash
Each module begins with a scenario update that summarizes the key events occurring within that time period.
A series of general questions following the scenario summary will guide the facilitated discussion of critical issues in each of the modules.
Based on exercise priorities, time dedicated to each module will be managed by the facilitator.
10
[Insert Date]
FOR EXERCISE USE ONLY
10
Exercise Objectives
Discuss and validate internal BCP implementation procedures in response to various incidents in accordance with existing plans and procedures.
Discuss and validate the effectiveness of BCP functions in directing and controlling recovery activities in accordance with existing plans and procedures.
Assess the ability to identify critical functions, actions, and timeframes to facilitate short- and long-term recovery.
Identify gaps, redundancies, developmental activities, and best practices in the event of a catastrophic incident.
[Add personalized exercise objectives as necessary.]
11
[Insert Date]
FOR EXERCISE USE ONLY
11
Scenario Questions
Each scenario module of the Test will be followed by a facilitated discussion utilizing a set of discussion questions related to the scenario.
Module questions will focus on different elements of management and provide a framework for discussion.
Discussion questions in the SitMan are supplied as catalysts. All questions are not required to be answered, nor are the questions meant to limit topics that can be discussed.
Facilitator may ask additional, pertinent questions to stimulate further discussions.
12
[Insert Date]
FOR EXERCISE USE ONLY
Roles
Players respond to the situation presented based on expert knowledge of current plans, procedures, and insights derived from training and experience.
Observers observe the exercise; they are not participants in the moderated discussion.
Facilitators provide situation updates and moderate discussion. They also provide additional information or resolve questions as required.
Evaluators are responsible for gathering relevant data arising from facilitated discussions during the exercise. They will then use this information to collectively build an After Action Report and Improvement Plan.
13
[Insert Date]
FOR EXERCISE USE ONLY
Exercise Guidelines
This is an open, low-stress, no-fault environment. Varying viewpoints, even disagreements, are expected.
Comments will be non-attribution, using the “Chatham House” rule.
Responses should be based on knowledge of current plans and capabilities (i.e., use only existing capabilities) and insights derived from training.
14
[Insert Date]
FOR EXERCISE USE ONLY
Please note that this exercise will adopt the non-attribution, “Chatham House” rule.
When a meeting, or part thereof, is held under the Chatham House Rule, “participants are free to use the information received, but neither the identity nor the affiliation of the speaker(s), nor that of any other participant, may be revealed.” (Reference: Chatham House, http://www.chathamhouse.org.uk)
14
Exercise Guidelines (cont.)
Decisions are not precedent setting and may not reflect your organization’s final position on a given issue. This is an opportunity to discuss and present multiple options and possible solutions.
Problem-solving efforts should be the focus. Issue identification is not as valuable as suggestions and recommended actions.
The situation updates, written material, and resources provided are the basis for discussion; there are no hidden materials or scenarios.
15
[Insert Date]
FOR EXERCISE USE ONLY
During this exercise, the following apply:
The scenario is plausible, and events occur as they are presented;
There are neither “hidden agendas” nor “trick questions”;
All players receive information at the same time;
The scenario is completely artificial; and
Assume cooperation and support from other organizations and agencies as appropriate.
16
Assumptions and Artificialities
[Insert Date]
FOR EXERCISE USE ONLY
Please reference Appendix A
16
Scenario Module 1: Earthquake
Tuesday; Time
The (insert fault name) fault located approximately 40 miles (insert cardinal direction – N, S, E, or W) of your facility ruptures at a magnitude of 7.7 (Mw).
The released energy is felt as shaking from hundreds of miles away.
A large number of aftershocks have been triggered since the first earthquake. It is estimated that the aftershocks for the next 48 hours will include numerous events with magnitudes between 7.1 (Mw) and 3.0 (Mw).
17
Figure 1. Collapsed Building (DHS photo)
[Insert Date]
FOR EXERCISE USE ONLY
17
Scenario Module 1: Earthquake (cont.)
Unconfirmed news reports are estimating hundreds of fatalities and injuries in the (insert local) region. The (insert local) region is the most severely impacted region to be hit by this catastrophic disaster.
It is estimated that approximately 25% of your physical facility has been severely damaged and compromised due to structural failure such as collapsed walls and ceilings.
Wednesday; Time
Local police, fire department, hospital, and emergency services are operating at full capacity with volunteers mobilized; however, they are overwhelmed and have significant difficulty in providing services.
Limited do-not-drink and boil water alerts have been disseminated to the majority of hospitals, fire suppression, and some communities.
18
[Insert Date]
FOR EXERCISE USE ONLY
18
Scenario Module 1: Earthquake (cont.)
Broken drinking water lines are cross-contaminated from damaged wastewater lines.
Citizens may be unable to adhere to cautions to boil water for consumption due to the loss of electricity and natural gas.
Major electrical transmission and gas lines have experienced moderate damage and may result in intense fires.
There are rolling blackouts in the immediate area; partial restoration is not expected for the next few weeks.
19
[Insert Date]
FOR EXERCISE USE ONLY
19
Scenario Module 1: Earthquake (cont.)
Numerous highway bridges and railroad bridges have collapsed or are severely damaged and declared unsafe.
Many roads are either severely damaged or covered with debris, making movement difficult and unsafe, and frustrating for response elements.
Radio, telephone, cell phone, and internet connectivity is severely limited or busy.
Radio systems for city departments are sustaining limited functionality.
20
Figure 2. Bridge Destroyed by Earthquake (DHS photo)
[Insert Date]
FOR EXERCISE USE ONLY
20
Discussion Questions
Note: Not all questions may be relevant to your organization.
In this case, what would your organization do first?
What initial damage assessments, if any, could be conducted at this time?
Who will conduct these assessments, and what roles, responsibilities, and qualifications do these personnel have in conducting these assessments?
Does your Facilities Management/Security Team have any specific rules regarding re-entry into the facility?
21
[Insert Date]
FOR EXERCISE USE ONLY
21
Discussion Questions (cont.)
3. At what point would the organization declare a disaster?
How would this be done? Who makes this decision?
How would the employees be notified of a disaster declaration and by whom? What if power is out?
What criteria or conditions determine that your facility/organization cannot continue to operate?
Who makes the decision that operations must be slowed or ceased?
What notifications need to be made if your organization’s operations are slowed or ceased? How is this information communicated to your customers?
If operations are slowed or ceased, will your employees continue to be paid or will they need to take leave?
22
[Insert Date]
FOR EXERCISE USE ONLY
Discussion Questions (cont.)
4. What means of communication will be used to allow the facility and operational elements, components, and/or divisions to remain in contact with one another?
Are alternate and resilient means of communication available?
5. If your organization operates an Emergency Operations Center (EOC), would it be stood up?
How? Who makes that decision?
Where is it located? Do the appropriate people know its location?
How would your organization deal with travel restrictions or impassibility? What if personnel cannot get there? Are there alternatives?
23
[Insert Date]
FOR EXERCISE USE ONLY
Discussion Questions (cont.)
6. Would you relocate to your Alternate Site?
How would your Alternate Site be activated and by whom?
Where is your Alternate Site located? How would team members get there?
What functionality is available at the Alternate Site? Does it have full telecommunication capabilities?
What kinds of logistical arrangements might be needed if staff need to stay at the site for an extended period?
7. What preparations would you take for a possible long-term power outage?
Does your facility have a backup generator and fuel? If so, how long is emergency power available?
What kind of arrangement do you have with your fuel supplier?
If you lost power, how would your organization maintain communications?
24
[Insert Date]
FOR EXERCISE USE ONLY
Discussion Questions (cont.)
8. What data is most important to business operations?
Do you store backup data at an Offsite Storage Site? If so, where is this site located?
9. How much downtime is acceptable without significantly affecting business operations? Can anything be done to extend this period of time?
10. Does Human Resources (HR) have strategies in place to assist employees and their families?
11. Are policies in place to provide flexibility to displaced employees, such as policies for working alternate schedules and/or teleworking?
25
[Insert Date]
FOR EXERCISE USE ONLY
Discussion Questions (cont.)
12. Does your company carry business interruption insurance?
13. How long could it take to repair structural and physical damage?
How could this affect your business operations?
14. How will you restore disrupted services?
15. How will you clean the facility and remove all health and safety hazards?
16. What would be your business’ long term prospects in the face of this kind of disaster? What kinds of strategies might be needed in order to improve your resilience?
26
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 2: Ice Storm
Saturday, 7:00 p.m.
A powerful upper-level system begins to move into the State. The National Weather Service (NWS) Forecast Office is predicting one to two inches of freezing rain and issues a winter weather advisory.
27
Figure 3. Downed Trees (FEMA photo)
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 2: Ice Storm (cont.)
Sunday, 1:00 a.m.
The ice storm has downed tree limbs and power lines, and local utility reports indicate that approximately [68,400] people are without service. Many areas are reporting severe black ice conditions.
The hardest-hit area is the [insert your region – eastern, western, northern, southern, central] part of the State, which has received more than two inches of ice.
Telephone offices are running on generator power, but telephone and cell service are still available for most customers. Travel is discouraged in the [insert region] portion of the State, as well as the local metropolitan area.
28
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 2: Ice Storm (cont.)
Sunday, 4:00 a.m.
The State’s department of transportation has more than 200 vehicles clearing State roads, though progress is very slow. In addition to plowing many of the State-maintained roadways, the trucks are applying sand, salt, and magnesium chloride to the most impacted roads in the [insert region] part of the State.
29
Figure 4. Ice Storm (FEMA photo)
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 2: Ice Storm (cont.)
Sunday, 4:00 a.m. (cont.)
Meanwhile, police, fire, and EMS crews are being overwhelmed with weather-related calls; most first responders are handling nearly double their normal number of calls.
Requests are being made for drivers with 4-wheel drive vehicles and snow mobiles to report to local hospitals to assist in providing transportation for nurses and other critical staff.
Weather forecasts predict more freezing rain.
30
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 2: Ice Storm (cont.)
Monday, 5:30 a.m.
Most people awaken on Monday morning to find that numerous schools and businesses across the State have closed because of the inclement weather conditions, power outages, and treacherous roads. This includes your facility.
The NWS predicts another inch of freezing rain that day. Efforts to clear the roads are ongoing; however, travel will be extremely limited for several days, and efforts to restore partial power to the region could take several days.
31
[Insert Date]
FOR EXERCISE USE ONLY
Pre-Storm Discussion Questions
Note: Not all questions may be relevant to your organization.
In this case, what would your organization do first to prepare for a possible ice storm?
What means of communication will be used to allow the facility and operational elements, components, and/or divisions to remain in contact with one another?
Are alternate and resilient means of communication available?
32
[Insert Date]
FOR EXERCISE USE ONLY
Pre-Storm Discussion Questions (cont.)
3. What initial damage assessments, if any, could be conducted at this time?
Who will conduct these assessments, and what roles, responsibilities, and qualifications do these personnel have in conducting these assessments?
Does your Facilities Management/Security Team have any specific rules regarding re-entry into the facility?
4. What preparations would you take for a possible long-term power outage?
Does your facility have a backup generator and fuel? If so, how long is emergency power available?
What kind of arrangement do you have with your fuel supplier?
If you lost power, how would your organization maintain communications?
33
[Insert Date]
FOR EXERCISE USE ONLY
Pre-Storm Discussion Questions (cont.)
5. What data is most important to business operations?
Do you store backup data at an Offsite Storage Site? If so, where is this site located?
6. How much downtime is acceptable without significantly affecting business operations? Can anything be done to extend this period of time?
7. Once the storm hits, what would your organization do first?
34
[Insert Date]
FOR EXERCISE USE ONLY
Post-Storm Discussion Questions
8. Would your organization declare a disaster?
How would this be done? Who makes this decision?
How would the employees be notified of a disaster declaration and by whom? What if power is out?
What criteria or conditions determine that your facility/organization cannot continue to operate?
Who makes the decision that operations must be slowed or ceased?
What notifications need to be made if your organization’s operations are slowed or cease? How is this information communicated to your customers?
If operations are slowed or ceased, will your employees continue to be paid or do they need to take leave?
35
[Insert Date]
FOR EXERCISE USE ONLY
Post-Storm Discussion Questions (cont.)
9. If your organization operates an EOC, would it be stood up?
How? Who makes that decision?
Where is it located? Do the appropriate people know its location?
How would your organization deal with travel restrictions or impassibility? What if personnel cannot get there? Are there alternatives?
10. Would you relocate to your Alternate Site?
How would your Alternate Site be activated and by whom?
Where is your Alternate Site located? How would team members get there?
What functionality is available at the Alternate Site? Does it have full telecommunication capabilities?
What kinds of logistical arrangements might be needed if staff need to stay at the site for an extended period?
36
[Insert Date]
FOR EXERCISE USE ONLY
Post-Storm Discussion Questions (cont.)
11. Does your company carry business interruption insurance?
12. Are policies in place to provide flexibility to employees, such as policies for working alternate schedules and/or teleworking?
13. How will you restore disrupted services?
14. What would be your business’ short term prospects in the face of this kind of disaster? What kinds of strategies might be needed in order to improve your resilience?
37
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 3: Hurricane
Tropical Depression 6
Date -8; 9:00 a.m.
The National Hurricane Center (NHC) is tracking Tropical Depression 6, currently at 15 degrees north latitude, 55 degrees west longitude in the mid-Atlantic.
Hurricane Omni
Date -6; 11:45 a.m.
Tropical Depression 6 is upgraded to Tropical Storm Omni, then to Hurricane Omni.
It is currently a category 2, with winds at 100 mph and gusts in excess of 125 mph.
38
Figure 5. Hurricane (DHS photo)
Figure 5. Hurricane (DHS photo)
Figure 5. Hurricane (DHS photo)
Figure 5. Hurricane (DHS photo)
Figure 5. Hurricane (DHS photo)
Figure 5. Hurricane (DHS photo)
Figure 5. Hurricane (DHS photo)
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 3: Hurricane (cont.)
Omni Upgraded
Date -4; 1:25 p.m.
Omni is upgraded to a category 3 hurricane with sustained winds above 125 mph and gusts at 140 mph.
Path Shifts
Date -2; 3:45 p.m.
Omni turns north. Its eye is now located approximately 120 nautical miles (nm) east of [insert your city/county and State], with a storm diameter of 450 miles.
Hurricane-force winds extend to 95 nm from the eye. The storm travels at a speed of 15 mph with maximum sustained winds approaching 155 mph.
High winds and rain squalls lash the coast.
39
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 3: Hurricane (cont.)
Landfall Predicted
[Date -2; 10:15 a.m.]
The storm system has settled on a northwesterly track at 15 mph.
The NHC predicts potential landfall near [insert your city/county and State], within the next 36 hours.
Hurricane warnings have been issued for coastal areas. Extensive damage is predicted.
Massive evacuation within 5 to 10 miles of the shoreline could be required. Airline service in the area is suspended due to weather conditions.
Surge, winds, and heavy rains are experienced for hundreds of miles along the coast.
40
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 3: Hurricane (cont.)
Landfall
Month Day; 11:45 a.m.
The eye of category 3 Hurricane Omni reaches [insert your city/county and State].
Omni’s eye is 15 nm in diameter, with hurricane-force winds 120 nm from the center and tropical-storm-force winds up to 200 nm.
Storm surge measures in excess of 25 feet.
41
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 3: Hurricane (cont.)
Preliminary Assessments
Month, Day; 4:00 p.m.
Preliminary assessments of damage are in progress throughout the region as the storm passes and begins to weaken.
Casualties include persons trapped in congested traffic areas and collapsed structures.
Many are reported as missing or carried away by storm surge.
There is structural damage in low-lying areas from storm surge and subsequent water damage across the majority of residential and commercial structures.
42
Figure 6. Flooded Street (DHS photo)
Figure 6. Flooded Street (DHS photo)
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 3: Hurricane (cont.)
Preliminary Assessments (cont.)
Month, Day; 4:00 p.m.
There are significant amounts of debris on major roadways, preventing access by response teams.
Utility services are severely degraded:
Power lines, high-voltage pylons, and street-level utility poles damaged by high winds and flying debris.
Water and waste systems are inoperable due to damaged facilities and potentially contaminated source water.
Underground tanks of gasoline and diesel fuel at service stations in lower-lying areas release uncontrolled amounts of fuels into floodwaters, and are carried into other areas as water levels subside.
43
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 3: Hurricane (cont.)
Infrastructure Damage
Date + 2
It is estimated that approximately 25% of your physical facility has been severely damaged and compromised due to wind/rain/flood damage.
Many businesses have experienced damage to buildings and infrastructure, as well as lost employees and customers.
All transportation routes are damaged to some degree and have limited use.
44
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 3: Hurricane (cont.)
Service Gaps
Date + 5
Service disruptions remain numerous.
Power is restored to essential areas and systems.
Most communication failures are addressed, but there are “dead spots” in areas that need continuous communication capabilities.
45
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 3: Hurricane (cont.)
Repair Problems
Date + 15
Hospitals are reporting a significant increase in worker-related injuries and respiratory problems.
Homes and businesses with roof damage have been patched with tarpaulins by area contractors to expedite return of those facilities to normal use.
Work-related safety issues arise as workers take shortcuts.
Mold and mildew pose a health hazard to responders working in damaged buildings.
46
[Insert Date]
FOR EXERCISE USE ONLY
Pre-Landfall Discussion Questions
Note: Not all questions may be relevant to your organization.
In this case, what would your organization do first to prepare for possible landfall?
What means of communication will be used to allow the facility and operational elements, components, and/or divisions to remain in contact with one another?
Are alternate and resilient means of communication available?
What preparations would you take for a possible long-term power outage?
Does your facility have a backup generator and fuel? If so, how long is emergency power available?
What kind of arrangement do you have with your fuel supplier?
If you lost power, how would your organization maintain communications?
47
[Insert Date]
FOR EXERCISE USE ONLY
Pre-Landfall Discussion Questions (cont.)
4. What data is most important to business operations?
Do you store backup data at an Offsite Storage Site? If so, where is this site located?
5. How much downtime is acceptable without significantly affecting business operations? Can anything be done to extend this period of time?
6. Once landfall occurs, what would your organization do first?
7. What initial damage assessments, if any, could be conducted at this time?
Who will conduct these assessments, and what roles, responsibilities, and qualifications do these personnel have in conducting these assessments?
Does your Facilities Management/Security Team have any specific rules regarding re-entry into the facility?
48
[Insert Date]
FOR EXERCISE USE ONLY
Post-Landfall Discussion Questions
8. At what point would the organization declare a disaster?
How would this be done? Who makes this decision?
How would the employees be notified of a disaster declaration and by whom? What if power is out?
What criteria or conditions determine that your facility/organization cannot continue to operate?
Who makes the decision that operations must be slowed or ceased?
What notifications need to be made if your organization’s operations are slowed or ceased? How is this information communicated to your customers?
If operations are slowed or ceased, will your employees continue to be paid or do they need to take leave?
49
[Insert Date]
FOR EXERCISE USE ONLY
Post-Landfall Discussion Questions (cont.)
9. If your organization operates an EOC, would it be stood up?
How? Who makes that decision?
Where is it located? Do the appropriate people know its location?
How would your organization deal with travel restrictions or impassibility? What if personnel cannot get there? Are there alternatives?
10. Would you relocate to your Alternate Site?
How would your Alternate Site be activated and by whom?
Where is your Alternate Site located? How would team members get there?
What functionality is available at the Alternate Site? Does it have full telecommunication capabilities?
What kinds of logistical arrangements might be needed if staff need to stay at the site for an extended period?
50
[Insert Date]
FOR EXERCISE USE ONLY
Post-Landfall Discussion Questions (cont.)
11. Does your company carry business interruption insurance or flood insurance?
12. How long could it take to repair structural and physical damage?
How could this affect your business operations?
13. Does HR have strategies in place to assist employees and their families?
14. Are policies in place to provide flexibility to displaced employees, such as policies for working alternate schedules and/or teleworking?
15. How will you restore disrupted services?
51
[Insert Date]
FOR EXERCISE USE ONLY
Post-Landfall Discussion Questions (cont.)
16. How will you clean the facility and remove all health and safety hazards?
17. What would be your business’ long term prospects in the face of this kind of disaster? What kinds of strategies might be needed in order to improve your resilience?
52
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 4: Blackout
Tuesday; 9:00 a.m.
Temperatures have reached record highs in the region for four straight days. As a result, people are constantly running their air conditioning which is straining an already over-worked power grid. Officials have asked local residents to conserve power whenever possible.
Wednesday; 2:00 p.m.
A rolling blackout leaves many neighboring cities and towns in the dark at various times. The surrounding region is at a standstill. Local officials are struggling to get emergency information to thousands of people who now have no TV or Internet service.
53
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 4: Blackout (cont.)
Wednesday; 2:00 p.m. (cont.)
So far, the blackouts have not affected your immediate area, but local officials are preparing for the worst and are urging citizens to prepare their homes and businesses for a possible loss of power.
Your company has not yet been directly affected, but could be very soon.
54
Figure 7. Blackout (Cavus Media LLC )
Figure 6. Blackout (Photo Bucket)
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 4: Blackout (cont.)
Thursday; 10:00 a.m.
Transportation in the region has been severely impacted. The regional airport has been shut down, and dozens of outbound and inbound flights have been cancelled, stranding thousands of passengers. Public transportation operating off the power grid is inoperable.
Without power, gas stations are unable to pump fuel, leaving motorists and long-haul truckers low on fuel. Roads and highways are becoming clogged with vehicles stranded due to lack of fuel.
Cell phone service is spotty at best; providers are struggling to restore service.
Your facility loses power for the first time.
55
[Insert Date]
FOR EXERCISE USE ONLY
Scenario Module 4: Blackout (cont.)
Friday; 2:00 p.m.
Authorities begin restoring power on a rolling basis throughout the region.
Saturday; 7:30 a.m.
Your facility has its power restored, as well as phone and Internet capability.
56
[Insert Date]
FOR EXERCISE USE ONLY
Pre-Blackout Discussion Questions
Note: Not all questions may be relevant to your organization.
In this case, what would your organization do first to prepare for possible blackout?
What means of communication will be used to allow the facility and operational elements, components, and/or divisions to remain in contact with one another?
Are alternate and resilient means of communication available?
3. What preparations would you take for a possible long-term power outage?
Does your facility have a backup generator and fuel? If so, how long is emergency power available?
What kind of arrangement do you have with your fuel supplier?
If you lost power, how would your organization maintain communications?
57
[Insert Date]
FOR EXERCISE USE ONLY
Pre-Blackout Discussion Questions (cont.)
4. What data is most important to business operations?
Do you store backup data at an Offsite Storage Site? If so, where is this site located?
5. How much downtime is acceptable without significantly affecting business operations? Can anything be done to extend this period of time?
6. Once blackout occurred, what would your organization do first?
7. What initial damage assessments, if any, could be conducted at this time?
Who will conduct these assessments, and what roles, responsibilities, and qualifications do these personnel have in conducting these assessments?
Does your Facilities Management/Security Team have any specific rules regarding re-entry into the facility?
58
[Insert Date]
FOR EXERCISE USE ONLY
Post-Blackout Questions
8. At what point would the organization declare a disaster?
How would this be done? Who makes this decision?
How would the employees be notified of a disaster declaration and by whom?
What criteria or conditions determine that your facility/organization cannot continue to operate?
Who makes the decision that operations must be slowed or ceased?
What notifications need to be made if your organization’s operations are slowed or cease? How is this information communicated to your customers?
If operations are slowed or ceased, will your employees continue to be paid or do they need to take leave?
59
[Insert Date]
FOR EXERCISE USE ONLY
Post-Blackout Questions (cont.)
9. If your organization operates an EOC, would it be stood up?
How? Who makes that decision?
Where is it located? Do the appropriate people know its location?
How would your organization deal with travel restrictions or impassibility? What if personnel cannot get there? Are there alternatives?
10. Would you relocate to your Alternate Site?
How would your Alternate Site be activated and by whom?
Where is your Alternate Site located? How would team members get there?
What functionality is available at the Alternate Site? Does it have full telecommunication capabilities?
What kinds of logistical arrangements might be needed if staff need to stay at the site for an extended period?
60
[Insert Date]
FOR EXERCISE USE ONLY
Post-Blackout Questions (cont.)
11. Are policies in place to provide flexibility to displaced employees, such as policies for working alternate schedules and/or teleworking?
12. Does your company carry business interruption insurance?
13. How will you restore disrupted services?
14. What would be your business’ short term prospects in the face of this kind of disaster? What kinds of strategies might be needed in order to improve your resilience?
61
[Insert Date]
FOR EXERCISE USE ONLY
Hot Wash
62
What is a key strength you identified during the exercise?
What is a key area for improvement you identified during the exercise?
What suggestions or next steps do you have for addressing the issue you identified?
[Insert Date]
FOR EXERCISE USE ONLY
62
For more information visit:
www.dhs.gov/criticalinfrastructure
Business_Continuity_Planning_Suite/media/BCP Situation Manual_FINAL_v7_APR 25 x
Business Continuity Plan Test
Situation Manual
This page is intentionally blank.
Preface
The Business Continuity Plan Test is the final component of the Business Continuity Planning Suite. It was developed as a mechanism for testing Business Continuity Plans developed through the Suite’s Business Continuity Plan Generator.
This Situation Manual is an unclassified exercise document and is intended FOR EXERCISE USE ONLY. Due to the nature of the information discussed, special considerations may be applicable for document access and storage. All exercise participants should use the appropriate guidelines to protect this material in accordance with their jurisdictional directives.
This page is intentionally blank.
For Exercise Use Only
Situation Manual (SitMan) BCP Test
Preface ii DHS NPPD/IP
For Exercise Use Only
Handling Instructions
1. The title of this document is the Business Continuity Plan Test Situation Manual.
2. This Situation Manual is intended FOR EXERCISE USE ONLY. This document should be safeguarded, handled, transmitted, and stored in accordance with the appropriate security directives.
For Exercise Use Only
Situation Manual (SitMan) BCP Test
3. At a minimum, the attached materials should only be disseminated on a need-to-know basis to applicable partners.
Handling Instructions iii DHS NPPD/IP
For Exercise Use Only
For Exercise Use Only
Situation Manual (SitMan) BCP Test
This page is intentionally blank.
Handling Instructions iv DHS NPPD/IP
For Exercise Use Only
Table of Contents
Preface
i
Handling Instructions
iii
Table of Contents
v
Introduction
1
Scenario Module 1: Earthquake
5
Scenario Module 2: Ice Storm
8
Scenario Module 3: Hurricane
12
Scenario Module 4: Blackout
17
Appendix A: Acronym List
A-
1
Handling Instructions v DHS NPPD/IP
For Exercise Use Only
This page is intentionally blank.
Handling Instructions vi DHS NPPD/IP
For Exercise Use Only
Introduction
Purpose
The purpose of the Business Continuity Plan (BCP) Test is to create an opportunity for businesses to identify and examine the issues and capability gaps they are likely to face in implementing their BCPs and in recovering from business operation disruptions.
Scope
The BCP Test focuses on a facility’s recovery efforts following selected business disruptions intended to represent a broad spectrum of disruption threats: hurricane, earthquake, ice storm, and blackout. The intent is to improve the overall recovery capabilities and actions and the collective decisionmaking process. It is designed to be an open, thought-provoking exchange of ideas to help develop and expand existing knowledge of policies and procedures within the framework of BCP implementation.
Exercise Objectives
Exercise design objectives are focused on improving the understanding of information sharing and incident management activities, and developing recommended actions and procedural adjustments to address potential problem areas. Sample objectives are as follows:
1. Discuss and validate internal BCP implementation procedures in response to various incidents in accordance with existing plans and procedures.
2. Discuss and validate the effectiveness of BCP functions in directing and controlling recovery activities in accordance with existing plans and procedures.
3. Assess the ability to identify critical functions, actions, and timeframes to facilitate short- and long-term recovery.
4. Identify gaps, redundancies, developmental activities, and best practices in the event of a catastrophic incident.
5. Add personalized exercise objectives as necessary.
Roles
Players respond to the situation presented based on expert knowledge of current plans, procedures, and insights derived from training and experience.
Observers observe the exercise; they are not participants in the moderated discussion.
Facilitators provide situation updates and moderate discussion. They also provide additional information or resolve questions as required.
Evaluators are responsible for gathering relevant data arising from facilitated discussions during the exercise. They will then use this information to collectively build an After Action Report and Improvement Plan (AAR/IP).
Exercise Structure
The following is an approximate breakdown of a schedule for the exercise:
Registration: 8:30 a.m. – 9:00 a.m.
Introduction: 9:00 a.m. – 9:15 a.m.
Scenario Module 1: 9:15 a.m. – 10:00 a.m.
Scenario Module 2: 10:00 a.m. – 10:45 a.m.
Break: 10:45 a.m. – 11:00 a.m.
Scenario Module 3: 11:00 a.m. – 11:45 a.m.
Hot Wash: 11:45 a.m. – 12:30 p.m.
End: 12:30 p.m.
Players in the Test will participate in the modules listed above. Each module begins with a scenario update that summarizes the key events occurring within that time period. A series of general questions following the scenario summary will guide the facilitated discussion of critical issues in each of the modules. Based on exercise priorities, time dedicated to each module will be managed by the facilitator.
Exercise Guidelines
This is an open, low-stress, no-fault environment. Varying viewpoints, even disagreements, are expected.
Comments will be non-attribution, using the “Chatham House” rule.[footnoteRef:1] [1: “When a meeting, or part thereof, is held under the Chatham House Rule, participants are free to use the information received, but neither the identity nor the affiliation of the speaker(s), nor that of any other participant, may be revealed.” (Reference: Chatham House, http://www.chathamhouse.org)]
Responses should be based on knowledge of current plans and capabilities (i.e., use only existing capabilities) and insights derived from training.
Decisions are not precedent setting and may not reflect your organization’s final position on a given issue. This is an opportunity to discuss and present multiple options and possible solutions.
Problem-solving efforts should be the focus. Issue identification is not as valuable as suggestions and recommended actions.
The situation updates, written material, and resources provided are the basis for discussion; there are no hidden materials or scenarios.
Exercise Assumptions and Artificialities
In any exercise, a number of assumptions and artificialities may be necessary to complete play in the time allotted. During this exercise, the following apply:
The scenario is plausible, and events occur as they are presented;
There are neither “hidden agendas” nor any “trick questions;”
All players receive information at the same time;
The scenario is completely artificial; and
For Exercise Use Only
Situation Manual (SitMan) BCP Test
Assume cooperation and support from other organizations and agencies as appropriate.
Introduction 4 DHS NPPD/IP
For Exercise Use Only
For Exercise Use Only
Situation Manual (SitMan) BCP Test
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Scenario Module 1: Earthquake
Tuesday; Time
· The (insert fault name) fault located approximately 40 miles (insert cardinal direction – N, S, E, or W) of your facility ruptures at a magnitude of 7.7 (Mw).[footnoteRef:2]2 [2: 2 Mw refers to the “moment magnitude scale” (abbreviated as MMS, but denoted as Mw), which is used by seismologists to measure the size of earthquakes in terms of the energy released. The scale was developed in the 1970s to succeed the 1930s era Richter magnitude scale. Even though the formulae are different, the new scale retains the familiar continuum of magnitude values defined by the older one. The MMS is now the scale used to estimate magnitudes for all modern large earthquakes by the United States Geological Survey. (Reference: USGS Earthquake Magnitude Policy, http://earthquake.usgs.gov/aboutus/docs/020204mag_policy.php)]
· The released energy is felt as shaking from hundreds of miles away.
· (
Figure 1.
Collapsed Building (DHS Photo)
)A large number of aftershocks have been triggered since the first earthquake. It is estimated that the aftershocks for the next 48 hours will include numerous events with magnitudes between 7.1 (Mw) and 3.0 (Mw).
· Unconfirmed news reports are estimating hundreds of fatalities and injuries in the (insert local) region. The (insert local) region is the most severely impacted region to be hit by this catastrophic disaster.
· It is estimated that approximately 25% of your physical facility has been severely damaged and compromised due to structural failure, such as collapsed walls and ceilings.
Wednesday; Time
· Local police, fire department, hospital, and emergency services are operating at full capacity with volunteers mobilized, but are overwhelmed and have significant difficulty in providing services.
· Limited do-not-drink and boil water alerts have been disseminated to the majority of hospitals, fire suppression, and some communities.
· Broken drinking water lines are cross-contaminated from damaged wastewater lines.
· Citizens may be unable to adhere to cautions to boil water for consumption due to the loss of electricity and natural gas.
· Major electrical transmission and gas lines have experienced moderate damage and may result in intense fires.
· There are rolling blackouts in the immediate area; partial restoration is not expected for the next few weeks.
· Numerous highway bridges and railroad bridges have collapsed or are severely damaged and declared unsafe.
· Many roads are either severely damaged or covered with debris, making movement difficult and unsafe, and frustrating for response elements.
· Radio, telephone, cell phone, and internet connectivity is severely limited or busy.
· Radio systems for city departments are sustaining limited functionality.
Discussion Questions
Note: Not all questions may be relevant to your organization.
1. (
Figure 2.
Bridge Destroyed by Earthquake
(DHS p
hoto)
)In this case, what would your organization do first?
2. What initial damage assessments, if any, could be conducted at this time?
a. Who will conduct these assessments, and what roles, responsibilities, and qualifications do these personnel have in conducting these assessments?
b. Does your Facilities Management/Security Team have any specific rules regarding re-entry into the facility?
3. At what point would the organization declare a disaster?
a. How would this be done? Who makes this decision?
b. How would the employees be notified of a disaster declaration and by whom? What if power is out?
c. What criteria or conditions determine that your facility/organization cannot continue to operate?
d. Who makes the decision that operations must be slowed or ceased?
e. What notifications need to be made if your organization’s operations are slowed or ceased? How is this information communicated to your customers?
f. If operations are slowed or ceased, will your employees continue to be paid or will they need to take leave?
4. What means of communication will be used to allow the facility and operational elements, components, and/or divisions to remain in contact with one another?
a. Are alternate and resilient means of communication available?
5. If your organization operates an Emergency Operations Center (EOC), would it be stood up?
a. How? Who makes that decision?
b. Where is it located? Do the appropriate people know its location?
c. How would your organization deal with travel restrictions or impassibility? What if personnel cannot get there? Are there alternatives?
6. Would you relocate to your Alternate Site?
a. How would your Alternate Site be activated and by whom?
b. Where is your Alternate Site located? How would team members get there?
c. What functionality is available at the Alternate Site? Does it have full telecommunication capabilities?
d. What kinds of logistical arrangements might be needed if staff need to stay at the site for an extended period?
7. What preparations would you take for a possible long-term power outage?
a. Does your facility have a backup generator and fuel? If so, how long is emergency power available?
b. What kind of arrangement do you have with your fuel supplier?
c. If you lost power, how would your organization maintain communications?
8. What data is most important to business operations?
a. Do you store backup data at an Offsite Storage Site? If so, where is this site located?
9. How much downtime is acceptable without significantly affecting business operations? Can anything be done to extend this period of time?
10. Does Human Resources have strategies in place to assist employees and their families?
11. Are policies in place to provide flexibility to displaced employees, such as policies for working alternate schedules and/or teleworking?
12. Does your company carry business interruption insurance?
13. How long could it take to repair structural and physical damage?
a. How could this affect your business operations?
14. How will you restore disrupted services?
15. How will you clean the facility and remove all health and safety hazards?
16. What would be your business’ long term prospects in the face of this kind of disaster? What kinds of strategies might be needed in order to improve your resilience?
For Exercise Use Only
Situation Manual (SitMan) BCP Test
For Exercise Use Only
Situation Manual (SitMan) BCP Test
17.
Module 1: Response Phase Questions 8 DHS NPPD/IP
For Exercise Use Only
Scenario Module 1: Earthquake 7 DHS NPPD/IP
For Exercise Use Only
Scenario Module 2: Ice Storm
Saturday, 7:00 PM
· A powerful upper-level system begins to move into the State. The National Weather Service (NWS) Forecast Office is predicting one to two inches of freezing rain and issues a winter weather advisory.
· Overnight, warm, moist air lifts over the surface Arctic air that sits in place across much of the State, forcing temperatures below freezing. With the warm air about 1,000 feet above the surface, precipitation begins to fall in the form of freezing rain.
Sunday, 1:00 AM
· The ice storm has downed tree limbs and power lines, and local utility reports indicate that approximately [68,400] people are without service. Many areas are reporting severe black ice conditions.
· (
Figure 3.
Downed trees (FEMA photo).
)The hardest-hit area is the [insert your region – eastern, western, northern, southern, central] part of the State, which has received more than two inches of ice.
· Telephone offices are running on generator power, but telephone and cell service are still available for most customers. Travel is discouraged in the [insert region] portion of the State, as well as the local metropolitan area.
Sunday, 4:00 AM
· The State department of transportation has more than 200 vehicles clearing State roads, though progress is very slow. In addition to plowing many of the State-maintained roadways, the trucks are applying sand, salt, and magnesium chloride to the most impacted roads in the [insert region] part of the State.
· Meanwhile, police, fire, and EMS crews are being overwhelmed with weather-related calls; most first responders are handling nearly double their normal number of calls.
· Requests are being made for drivers with 4-wheel drive vehicles and snow mobiles to report to local hospitals to assist in providing transportation for nurses and other critical staff.
· Weather forecasts predict more freezing rain.
Monday, 5:30 AM
· (
Figure 4.
Ice Storm (FEMA photo)
)Most people awaken on Monday morning to find that numerous schools and businesses across the State have closed because of the inclement weather conditions, power outages, and treacherous roads. This includes your facility.
· The NWS predicts another inch of freezing rain that day. Efforts to clear the roads are ongoing; however, travel will be extremely limited for several days, and efforts to restore partial power to the region could take several days.
Pre-Storm Discussion Questions
Note: Not all questions may be relevant to your organization.
1. In this case, what would your organization do first to prepare for a possible ice storm?
2. What means of communication will be used to allow the facility and operational elements, components, and/or divisions to remain in contact with one another?
a. Are alternate and resilient means of communication available?
3. What initial damage assessments, if any, could be conducted at this time?
a. Who will conduct these assessments, and what roles, responsibilities, and qualifications do these personnel have in conducting these assessments?
b. Does your Facilities Management/Security Team have any specific rules regarding re-entry into the facility?
4. What preparations would you take for a possible long-term power outage?
a. Does your facility have a backup generator and fuel? If so, how long is emergency power available?
b. What kind of arrangement do you have with your fuel supplier?
c. If you lost power, how would your organization maintain communications?
5. What data is most important to business operations?
a. Do you store backup data at an Offsite Storage Site? If so, where is this site located?
6. How much downtime is acceptable without significantly affecting business operations? Can anything be done to extend this period of time?
Post-Storm Discussion Questions
7. Once the storm hits, what would your organization do first?
8. Would your organization declare a disaster?
a. How would this be done? Who makes this decision?
b. How would the employees be notified of a disaster declaration and by whom? What if power is out?
c. What criteria or conditions determine that your facility/organization cannot continue to operate?
d. Who makes the decision that operations must be slowed or ceased?
e. What notifications need to be made if your organization’s operations are slowed or cease? How is this information communicated to your customers?
f. If operations are slowed or ceased, will your employees continue to be paid or do they need to take leave?
9. If your organization operates an EOC, would it be stood up?
a. How? Who makes that decision?
b. Where is it located? Do the appropriate people know its location?
c. How would your organization deal with travel restrictions or impassibility? What if personnel cannot get there? Are there alternatives?
10. Would you relocate to your Alternate Site?
a. How would your Alternate Site be activated and by whom?
b. Where is your Alternate Site located? How would team members get there?
c. What functionality is available at the Alternate Site? Does it have full telecommunication capabilities?
d. What kinds of logistical arrangements might be needed if staff need to stay at the site for an extended period?
11. Does your company carry business interruption insurance?
12. Are policies in place to provide flexibility to employees, such as policies for working alternate schedules and/or teleworking?
13. How will you restore disrupted services?
14. What would be your business’ short term prospects in the face of this kind of disaster? What kinds of strategies might be needed in order to improve your resilience?
15.
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Module 2: Ice Storm 8 DHS NPPD/IP
For Exercise Use Only
Module 2: Ice Storm 11 DHS NPPD/IP
For Exercise Use Only
Scenario Module 3: Hurricane
Tropical Depression 6
Date -8; 9:00 am
· The National Hurricane Center (NHC) is tracking Tropical Depression 6, currently at 15 degrees north latitude, 55 degrees west longitude in the mid-Atlantic.
Hurricane Omni
Date -6; 11:45 am
· Tropical Depression 6 is upgraded to Tropical Storm Omni, then to Hurricane Omni.
· (
Figure 5.
Hurricane (DHS photo)
)It is currently a category 2, with winds at 100 mph and gusts in excess of 125 mph.
Omni Upgraded
Date -4; 1:25 pm
· Omni is upgraded to a category 3 hurricane with sustained winds above 125 mph and gusts at 140 mph.
Path Shifts
Date -2; 3:45 pm
· Omni turns north. Its eye is now located approximately 120 nautical miles (nm) east of [insert your city/county and State], with a storm diameter of 450 miles.
· Hurricane-force winds extend to 95 nm from the eye. The storm travels at a speed of 15 mph with maximum sustained winds approaching 155 mph.
· High winds and rain squalls lash the coast.
Landfall Predicted
[Date -2; 10:15 am]
· The storm system has settled on a northwesterly track at 15 mph.
· The NHC predicts potential landfall near [insert your city/county and State], within the next 36 hours.
· Hurricane warnings have been issued for coastal areas. Extensive damage is predicted.
· Massive evacuation within 5 to 10 miles of the shoreline could be required. Airline service in the area is suspended due to weather conditions.
· Surge, winds, and heavy rains are experienced for hundreds of miles along the coast.
Landfall
Month Day; 11:45 am
· The eye of category 3 Hurricane Omni reaches [insert your city/county and State].
· Omni’s eye is 15 nm in diameter, with hurricane-force winds 120 nm from the center and tropical-storm-force winds up to 200 nm.
· Storm surge measures in excess of 25 feet.
Preliminary Assessments
Month, Day; 4:00 pm
· Preliminary assessments of damage are in progress throughout the region as the storm passes and begins to weaken.
· Casualties include persons trapped in congested traffic areas and collapsed structures.
· (
Figure 6.
Flooded Street (DHS photo)
)Many are reported as missing or carried away by storm surge.
· There is structural damage in low-lying areas from storm surge and subsequent water damage across the majority of residential and commercial structures.
· There are significant amounts of debris on major roadways, preventing access by response teams.
· Thousands are homeless and without transportation, placing a major burden on shelter and mass care facilities.
· Utility services are severely degraded:
· Power lines, high-voltage pylons, and street-level utility poles damaged by high winds and flying debris.
· Water and waste systems are inoperable due to damaged facilities and potentially contaminated source water.
· Underground tanks of gasoline and diesel fuel at service stations in lower-lying areas release uncontrolled amounts of fuels into floodwaters and are carried into other areas as water levels subside.
Infrastructure Damage
[Date + 2]
· It is estimated that approximately 25% of your physical facility has been severely damaged and compromised due to wind/rain/flood damage.
· Many businesses have experienced damage to buildings and infrastructure as well as lost employees and customers.
· All transportation routes are damaged to some degree and have limited use.
Service Gaps
Date + 5
· Service disruptions remain numerous.
· Power is restored to essential areas and systems.
· Most communication failures are addressed, but there are “dead spots” in areas that need continuous communication capabilities.
Repair Problems
Date + 15
· Hospitals are reporting a significant increase in worker-related injuries and respiratory problems.
· Homes and businesses with roof damage have been patched with tarpaulins by area contractors to expedite return of those facilities to normal use.
· Work-related safety issues arise as workers take shortcuts.
· Mold and mildew pose a health hazard to responders working in damaged buildings.
Pre-Landfall Discussion Questions
Note: Not all questions may be relevant to your organization.
1. In this case, what would your organization do first to prepare for possible landfall?
2. What means of communication will be used to allow the facility and operational elements, components, and/or divisions to remain in contact with one another?
a. Are alternate and resilient means of communication available?
3. What preparations would you take for a possible long-term power outage?
a. Does your facility have a backup generator and fuel? If so, how long is emergency power available?
b. What kind of arrangement do you have with your fuel supplier?
c. If you lost power, how would your organization maintain communications?
4. What data is most important to business operations?
a. Do you store backup data at an Offsite Storage Site? If so, where is this site located?
5. How much downtime is acceptable without significantly affecting business operations? Can anything be done to extend this period of time?
Post-Landfall Discussion Questions
6. Once landfall occurs, what would your organization do first?
7. What initial damage assessments, if any, could be conducted at this time?
a. Who will conduct these assessments, and what roles, responsibilities, and qualifications do these personnel have in conducting these assessments?
b. Does your Facilities Management/Security Team have any specific rules regarding re-entry into the facility?
8. At what point would the organization declare a disaster?
a. How would this be done? Who makes this decision?
b. How would the employees be notified of a disaster declaration and by whom? What if power is out?
c. What criteria or conditions determine that your facility/organization cannot continue to operate?
d. Who makes the decision that operations must be slowed or ceased?
e. What notifications need to be made if your organization’s operations are slowed or ceased? How is this information communicated to your customers?
f. If operations are slowed or ceased, will your employees continue to be paid or do they need to take leave?
9. If your organization operates an EOC, would it be stood up?
a. How? Who makes that decision?
b. Where is it located? Do the appropriate people know its location?
c. How would your organization deal with travel restrictions or impassibility? What if personnel cannot get there? Are there alternatives?
10. Would you relocate to your Alternate Site?
a. How would your Alternate Site be activated and by whom?
b. Where is your Alternate Site located? How would team members get there?
c. What functionality is available at the Alternate Site? Does it have full telecommunication capabilities?
d. What kinds of logistical arrangements might be needed if staff need to stay at the site for an extended period?
11. Does your company carry business interruption insurance or flood insurance?
12. How long could it take to repair structural and physical damage?
a. How could this affect your business operations?
13. Does HR have strategies in place to assist employees and their families?
14. Are policies in place to provide flexibility to displaced employees, such as policies for working alternate schedules and/or teleworking?
15. How will you restore disrupted services?
16. How will you clean the facility and remove all health and safety hazards?
17. What would be your business’ long term prospects in the face of this kind of disaster? What kinds of strategies might be needed in order to improve your resilience?
Module 3: Hurricane 12 DHS NPPD/IP
For Exercise Use Only
Module 3: Hurricane 16 DHS NPPD/IP
For Exercise Use Only
Scenario Module 4: Blackout
Tuesday; 9:00 am
· Temperatures have reached record highs in the region for four straight days. As a result, people are constantly running their air conditioning which is straining an already over-worked power grid. Officials have asked local residents to conserve power whenever possible.
Wednesday; 2:00 pm
· A rolling blackout leaves many neighboring cities and towns in the dark at various times. The surrounding region is at a standstill. Local officials are struggling to get emergency information to thousands of people who now have no TV or Internet service.
· (
Figure 7
.
Blackout (
Cavus
Media LLC
)
)So far, the blackouts have not affected your immediate area, but local officials are preparing for the worst and are urging citizens to prepare their homes and businesses for a possible loss of power.
· Your company has not yet been directly affected, but could be very soon.
Thursday; 10:00 am
· Transportation in the region has been severely impacted. The regional airport has been shut down and dozens of outbound and inbound flights have been cancelled, stranding thousands of passengers. Public transportation operating off the power grid is inoperable.
· Without power, gas stations are unable to pump fuel, leaving motorists and long-haul truckers low on fuel. Roads and highways are becoming clogged with vehicles stranded due to lack of fuel.
· Cell phone service is spotty at best; providers are struggling to restore service.
· Your facility loses power for the first time.
Friday; 2:00 pm
· Authorities begin restoring power on a rolling basis throughout the region.
Saturday; 7:30 am
· Your facility has its power restored, as well as phone and Internet capability.
Pre-Blackout Discussion Questions
Note: Not all questions may be relevant to your organization.
In this case, what would your organization do first to prepare for possible blackout?
What means of communication will be used to allow the facility and operational elements, components, and/or divisions to remain in contact with one another?
Are alternate and resilient means of communication available?
What preparations would you take for a possible long-term power outage?
Does your facility have a backup generator and fuel? If so, how long is emergency power available?
What kind of arrangement do you have with your fuel supplier?
If you lost power, how would your organization maintain communications?
What data is most important to business operations?
Do you store backup data at an Offsite Storage Site? If so, where is this site located?
How much downtime is acceptable without significantly affecting business operations? Can anything be done to extend this period of time?
Post-Blackout Discussion Questions
Once blackout occurred, what would your organization do first?
What initial damage assessments, if any, could be conducted at this time?
a. Who will conduct these assessments, and what roles, responsibilities, and qualifications do these personnel have in conducting these assessments?
b. Does your Facilities Management/Security Team have any specific rules regarding re-entry into the facility?
At what point would the organization declare a disaster?
How would this be done? Who makes this decision?
How would the employees be notified of a disaster declaration and by whom?
What criteria or conditions determine that your facility/organization cannot continue to operate?
Who makes the decision that operations must be slowed or ceased?
What notifications need to be made if your organization’s operations are slowed or cease? How is this information communicated to your customers?
If operations are slowed or ceased, will your employees continue to be paid or do they need to take leave?
If your organization operates an EOC, would it be stood up?
How? Who makes that decision?
Where is it located? Do the appropriate people know its location?
How would your organization deal with travel restrictions or impassibility? What if personnel cannot get there? Are there alternatives?
Would you relocate to your Alternate Site?
How would your Alternate Site be activated and by whom?
Where is your Alternate Site located? How would team members get there?
What functionality is available at the Alternate Site? Does it have full telecommunication capabilities?
What kinds of logistical arrangements might be needed if staff need to stay at the site for an extended period?
Are policies in place to provide flexibility to displaced employees, such as policies for working alternate schedules and/or teleworking?
Does your company carry business interruption insurance?
How will you restore disrupted services?
What would be your business’ short term prospects in the face of this kind of disaster? What kinds of strategies might be needed in order to improve your resilience?
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Module 4: Blackout 17 DHS NPPD/IP
For Exercise Use Only
Module 4: Blackout 21 DHS NPPD/IP
For Exercise Use Only
Appendix A: Acronym List
Acronym
Definition
AAR/IP
After Action Report/Improvement Plan
DHS
U.S. Department of Homeland Security
EAP
Emergency Action Plan
EMS
Emergency Medical Service
EOC
Emergency Operations Center
FEMA
Federal Emergency Management Agency
HazMat
Hazardous Materials
HSEEP
Homeland Security Exercise and Evaluation Program
IP
DHS NPPD Office of Infrastructure Protection
MMS
Moment Magnitude Scale
MOU
Memorandum of Understanding
Mw
See MMS
N/A
Not Applicable
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Situation Manual (SitMan) BCP Test
Appendix A: Acronym List A-1 DHS NPPD/IP
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