Continuity Plan Template and Instructions for Non-Federal Governments and Community-Based Organizations

Continuity Plan Template and Instructions

for Non-Federal Entities and Community-

Based Organizations

[Department/Agency/Organization Name]

[Month Day, Year]

[Department/Agency/Organization Name]

[Street Address]

[City, State Zip Code]

[Department/Agency/Organization Symbol/Logo]

August 2018

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

CONTINUITY PLAN TEMPLATE AND INSTRUCTIONS

This template provides instructions, guidance, and sample text for the development of

Continuity Plans and programs in accordance with the Continuity Guidance Circular (CGC)

dated February 2018. The guidance in this template is designed for non-federal entities, and

may be useful for all levels of state, local, territorial, and tribal governments, the private

sector, non-governmental organizations, and community-based organizations. The first

portion of this template is dedicated to organizational operations associated with the

continuation of essential functions. The second portion of the template is reserved for

continuity program management and appendices. Annex 3 at the end of the document

contains a ready-to-use outline of this template.

This document is organized in a flexible format so that organizations may select all, or only

certain sections of the template to develop or improve their plan. While using this template to

assist in developing continuity plans and programs, organizations are encouraged to tailor the

template to meet their specific continuity planning requirements. It should be noted, that in its

current format, the template is unclassified; however, organizations should be aware of the

need to protect specific continuity planning information and secure their individual continuity

plans as appropriate. After using this template, jurisdictions and organizations may want to use

the Continuity Assessment Tool (CAT) to evaluate their continuity plan and program.

Note: Once organization-specific information is entered into the body of the template, delete

the italicized, highlighted instructions.

An electronic version of this document, in portable document format (PDF) and Microsoft®

Word is available on the FEMA National Continuity Programs, Continuity Resource Toolkit

website at https://www.fema.gov/continuity-resource-toolkit. Questions concerning this

template may be directed to fema-[email protected].

National Continuity Programs

Policy, Plans, and Evaluation Division

Federal Emergency Management Agency

500 C Street, SW, Suite 528

Washington, DC 20472

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

iii

PROMULGATION STATEMENT

This letter, when signed by the head of the organization, serves as a formal authorization of, and

introduction to, the plan and its purpose. It gives the plan official status, and the organization authority

and responsibility to perform their tasks.

Include the mission statement of the organization and summarize the scope and purpose of developing a

continuity plan (what the plan is, who it affects and the circumstances under which it should be executed).

The [Organization Name]’s mission is to [enter mission statement].

To accomplish this mission, the organization must ensure its most important and time critical operations

are performed efficiently and with minimal disruption, especially during an emergency. This document

provides guidance for implementing the Continuity Plan and programs to ensure the organization is

capable of conducting its essential missions and functions under all threats and conditions.

Key personnel who may be activated under this plan are collectively known as the [insert name of

group, such as Continuity Team]. Upon plan activation, these members [will/may] deploy to [insert

alternate location name or placed on telework status] where they will establish an operational

capability and perform essential functions within the designated recovery time objective (RTO) and

continue until normal operations can be resumed.

This plan is developed in accordance with guidance in the

• Continuity Guidance Circular, dated February 2018;

• Management Directive [enter Directive number and title]; and

• Other related directives and guidance [list].

[Organization Head signs here]

[Enter Organization Head’s name here]

[Enter Organization Head’s title here]

[Enter Organization Name here]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

CONFIDENTIALITY STATEMENT

Should include a description of any protections provided to the continuity plan to prevent disclosure of plan

tactics and personal information to those who may intend harm to the organization or its personnel.

Depending on the sector, this may include:

• Legislative exemption of continuity plans from public disclosure laws

• Designation of plan ‘For Official Use Only’

This document along with subsidiary plans and supporting documents, contains confidential information

and are for official use only as provided in [enter applicable regulation]. These documents are to be

controlled, stored, handled, transmitted, distributed, and disposed of in accordance with the standard

procedures followed for confidential information at [organization name] and are not to be released

without prior approval of the [organization head title] to the public or other employees who do not

have a valid “need to know.”

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Table of Contents

PROMULGATION STATEMENT ..................................................................................................................... iii

CONFIDENTIALITY STATEMENT .................................................................................................................... iv

ESSENTIAL FUNCTIONS ................................................................................................................................. 1

Business Impact Analysis Summary .......................................................................................................... 1

Essential Functions and Resource Summary............................................................................................. 1

Support Functions ..................................................................................................................................... 1

Interdependencies .................................................................................................................................... 1

Mutual Aid ............................................................................................................................................ 2

Expected Costs .......................................................................................................................................... 2

ESSENTIAL RECORDS AND IT FUNCTIONS ..................................................................................................... 4

Identification and Storage ......................................................................................................................... 4

Backup and Protection .............................................................................................................................. 4

Recovery .................................................................................................................................................... 5

HUMAN RESOURCES ..................................................................................................................................... 6

Roles and responsibilities .......................................................................................................................... 6

Senior Leadership ................................................................................................................................. 6

All Personnel ......................................................................................................................................... 7

Continuity Personnel ............................................................................................................................ 7

Succession and Delegations of Authority................................................................................................ 10

Additional Human Resources Considerations ......................................................................................... 12

Personal Recovery Assistance ............................................................................................................. 12

Replacing Staff .................................................................................................................................... 13

COMMUNICATIONS .................................................................................................................................... 14

Resilient Systems..................................................................................................................................... 14

Senior Leadership Communications ....................................................................................................... 14

Alert and Notification .............................................................................................................................. 15

Continuity Event Communications ......................................................................................................... 15

Contact Rosters ....................................................................................................................................... 16

Tracking the Threat ................................................................................................................................. 16

ALTERNATE LOCATIONS AND TELEWORK ................................................................................................... 17

Space and Infrastructure Summary ........................................................................................................ 17

Access to Communications, Internet, and Remote Servers .................................................................... 17

Contracts ................................................................................................................................................. 18

Maps, Directions, Security, and Access ................................................................................................... 18

Telework .................................................................................................................................................. 18

Activation/Relocation ............................................................................................................................. 19

RECONSTITUTION ........................................................................................................................................ 21

Procedures .............................................................................................................................................. 21

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Reconstitution Team ............................................................................................................................... 22

DEVOLUTION ............................................................................................................................................... 23

Contract ................................................................................................................................................... 23

Transfer of Essential Functions ............................................................................................................... 24

BUDGETING AND ACQUISITION .................................................................................................................. 26

Cost Prevention, Mitigation, and Reallocation ....................................................................................... 26

Emergency Procurement ........................................................................................................................ 26

MULTI-YEAR STRATEGIC PLANNING ........................................................................................................... 27

TRAINING, TESTING, AND EXERCISING (TT&E)............................................................................................ 28

Training ................................................................................................................................................... 29

Testing and Exercises .............................................................................................................................. 29

After-Action Evaluation and Improvement Planning .............................................................................. 32

APPENDIX A: LIST OF SUPPORT APPENDICES .............................................................................................. 33

APPENDIX B: AUTHORITIES AND REFERENCES............................................................................................ 34

APPENDIX C: ACRONYMS ............................................................................................................................ 35

APPENDIX D: PLAN MAINTENANCE ............................................................................................................ 36

Annual Review......................................................................................................................................... 36

Record of Distribution ............................................................................................................................. 36

ANNEX 1: JOB AID – Synchronization Matrix .............................................................................................. 37

ANNEX 2: JOB AID – Alternate Location MOU Template ............................................................................ 41

ANNEX 3: Continuity Plan Outline............................................................................................................... 52

Table 1: SAMPLE Essential Function Table .................................................................................................... 2

Table 2: SAMPLE Essential Records Database .............................................................................................. 4

Table 3: SAMPLE Continuity Personnel Roster ............................................................................................. 8

Table 4: SAMPLE Assignment of Responsibilities ......................................................................................... 9

Table 5: SAMPLE Go Kit Contents ............................................................................................................... 10

Table 6: SAMPLE Order of Succession List .................................................................................................. 11

Table 7: SAMPLE Communications Systems Tracking Table ....................................................................... 14

Table 8: SAMPLE Continuity Event Communications Tracking Table ......................................................... 16

Table 9: SAMPLE Alternate Location Checklist ........................................................................................... 20

Table 10: SAMPLE Reconstitution Checklist ............................................................................................... 21

Table 11: SAMPLE Reconstitution Team Responsibility Chart .................................................................... 22

Table 12: SAMPLE TT&E Documentation .................................................................................................... 28

Table 13: SAMPLE Corrective Action Program Documentation ................................................................. 32

Table 14: SAMPLE Continuity Program Review Table ................................................................................. 36

Table 15: SAMPLE Continuity Plan Distribution Record ............................................................................. 36

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

ESSENTIAL FUNCTIONS

This section should include a list of the organization’s most time critical and essential functions (EFs) that

cannot be left undone for 30 days without risking failure of mission or loss of trust, respect, and funding.

The Continuity Plan should identify the resources, space requirements, costs, interdependencies, work flow

processes, and support functions that ensure the continued performance of the organization’s EFs.

The CGC describes the process of identifying and prioritizing EFs, conducting a business process analysis

(BPA), conducting a business impact analysis (BIA), and developing risk mitigation strategies. (Reference

CGC pg. 14-16, 18.) Jurisdictions and organizations may choose to complete this section in narrative

format, use the table on the following page, or both, to outline their EFs.

Business Impact Analysis Summary

The BIA may be an important reference for all the organization’s disaster management plans. A single

analysis should be shared and referenced in each plan to ensure consistent strategies. (Reference CGC pg.

17-18.)

Summarize the results of the BIA, noting how threats affect:

• Requirements for a continuity facility and infrastructure

• Risks to essential records, servers, data lines, and IT equipment

• Risk prevention and mitigation tactics

Essential Functions and Resource Summary

Summarize the results of the BPA for each EF, including:

• Recovery time objectives (RTO)

• Staffing (workers and managers) required to complete the function

• Equipment, supplies, records, IT access, and communications necessary to conduct work

• Facility space and infrastructure requirements

• Supporting activities

• Dependencies

• Expected costs for continuity

Include a work flow process description and/or diagram or reference the appropriate standard operating

procedure (SOP) that details every step to complete each EF. (Imagine that a temporary employee with

the required credentials, but without knowledge of organization-specific procedures comes in to assist;

outline the steps so they complete the work as intended.) (Reference CGC pg. 16.)

Support Functions

Describe internal support activities that will help ensure the ability to support EFs, including issues like

plans for pay and benefits, administrative support, and establishing a break schedule for Continuity Team

members. (Reference CGC pg. 21)

Interdependencies

Explain how interdependencies will be managed.

• Who does the organization count on to complete your EFs?

o Discuss what is needed.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

o How would these needs be accessed or accomplished if either or both organizations are in

continuity operations?

o What are the RTOs?

• What other entities depend on you to complete their EFs? Does this create additional EFs for you?

Mutual Aid

Where applicable include memoranda of understanding (MOU), memoranda of agreement (MOA),

emergency contracts, or service level agreements (SLAs) that have been put in place to augment resources

to support the continuation of essential functions. (Reference CGC pg. 21.)

Expected Costs

Outline or summarize the costs associated with the continuation of essential functions. This is different

from the continuity program budget. These costs are directly related to the implementation of the

supporting activities associated with the essential functions. (Reference CGC pg. 18.)

Using CGC guidance, the organization has identified its EFs, a limited set of its overall functions that

must be continued throughout, or resumed rapidly after, a disruption of normal activities. These EFs

have been approved by [official title], are listed in [Table 1] below in priority order.

Table 1: SAMPLE Essential Function Table

Essential Function

Recovery

Time

Objective

Responsible Personnel

[List max time

to resume

function.]

[List staff and managers responsible for essential function.]

Resources

[Insert required equipment, supplies, records, etc.]

Work Location & Space Requirements

[Insert organizational

essential function

here]

[Insert continuity facility or telework location, IT, and communications access

needs.]

Supporting Activities

[Insert essential supporting activities.]

Interdependencies

[Insert other entities who provide required work or resources. Include mutual aid

agreements where applicable.]

Expected Costs

[Insert the costs associated with the implementation of the essential function.]

Note: Repeat this table for each EF.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Note: Repeat this work flow process for each EF.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

ESSENTIAL RECORDS AND IT FUNCTIONS

This section addresses essential records management requirements needed to support EFs and sustain

legal and financial responsibilities during a continuity event. Identification, protection, and ready

availability of databases, software, and electronic and hard copy documents are critical elements of a

successful Continuity Plan and program. (Reference CGC pg. 24.)

Identification and Storage

It is critical to thoroughly and accurately identify every document, record, microfilm/fiche, photo, piece of

data, software program, or other hard copy or electronic information required to conduct each EF or

reconstitute full operations. Identify who is responsible for maintaining this list, and where it is stored.

The organization should establish a system for naming and storing documents that makes them easy to

locate on primary or backup storage devices if desktop maps are lost. Consult with the IT division for best

practices for naming and storing files, and train staff on these systems.

[Insert office/title] maintains a complete inventory of essential records, along with their locations and

instructions for access at [insert location/office].

Table 2: SAMPLE Essential Records Database

Essential Record,

File, or Database

Support

Essential

Function

Form of

Record

(e.g.,

hardcopy,

electronic)

Pre-

positioned

Alternate

Location

Hand

Carried to

Alternate

Location

Multiple

Storage

Location(s)

Y/N

Maintenance

Frequency

Mapping Database

Function

Electronic

X Y

Monthly

Licensed Spill

Cleanup

Contractors List

Function

#1 & 3

Hardcopy

X N

Quarterly

Regional Dams List

Function

Hardcopy

X N

Annually

Pollution/Chemical

Incident Database

Function

#3 & 4

Electronic

X N

Monthly

Public and Private

Sewage System

Records

Function

#3, 4, & 5

Electronic

X Y

Quarterly

To ensure rapid identification and recovery, essential records will be named and stored according to

policies developed by IT. This policy is included in the Essential Records Annex and [other location(s)].

Backup and Protection

Once this has been done, these documents should be formally designated as essential records. As such,

they should be stored, backed up, and a Recovery Plan should be identified.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Every essential record should be backed up outside of the organization’s servers to ensure they can be

accessed if the server room is damaged by the incident. Solutions range in security and cost, so increased

protection may need to be included in the multi-year strategic plan (see Budgeting and Acquisition section).

Electronic backup storage options include, but are not limited to contracts with a data storage and

recovery facilities, maintaining offsite servers at other locations, cloud storage, portable media such as

external hard drives or thumb drives, tape backups, etc.

Hard copy backup storage options include, but are not limited to, maintaining blank copies of documents

or forms offsite, utilizing a government or private sector documents storage or library facility, or

maintaining secure duplicate files at the alternate location(s).

Electronic records, and the records inventory, are backed-up using [describe system and/or process].

Additional protection is provided using [describe system and/or process(es)]. If they are lost, recovery

will be conducted by [describe responsible party and/or process].

Hard copy records are backed-up using [describe system and/or process]. Additional protection is

provided using [describe system and/or process(es)]. If they are lost, recovery will be conducted by

[describe responsible party and/or process].

Recovery

Recovery experts should be identified to salvage damaged records. It may be necessary to obtain contracts

prior to an event to assure service within an established timeframe. Copies of the contract should be placed

in the Essential Records Database (Table 2).

Document and photo recovery is a very expensive process, so storage and backup protections should be as

careful and thorough as possible.

Recovery is expensive, time consuming, and may not be completely effective, so every effort should be

made to prevent damage to essential records. If essential records are damaged, recovery will be

conducted by [insert organization]. Plans to cover the costs of recovery are included in the Budgeting

and Acquisition section.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

HUMAN RESOURCES

Roles and responsibilities

Include a description of roles and responsibilities for:

• Senior leadership

o Procedures and authorities for activation of a continuity event

o Adjusted responsibilities to manage the limited EFs

• Non-continuity personnel

• Continuity Team personnel

• [Other personnel as necessary]

Senior Leadership

Continuity Plan activation is a scenario-driven process that allows flexible, scalable response to all

hazards/threats that might disrupt operations. Continuity Plan activation will not be required for all

emergencies or disruptions.

The process for activating the continuity plan has three basic steps:

(1) The [organization head] is aware of, or is notified, that a disruption to normal operations is

planned, is anticipated, or has occurred.

(2) The [organization head] evaluates the situation along with its potential, anticipated, or known

effects on agency operations and decides whether to activate the Continuity Plan.

(3) The [organization head] initiates the process to inform all employees of the situation and the

actions they should take.

This process may be repeated several times in relation to a single event. For example, a hurricane is

forecast to hit the state. After becoming aware of the initial forecast, leadership may decide only to inform

employees that the agency management is aware of the forecast and will be monitoring the situation. As

the hurricane comes closer to the state, leadership might decide to close the agency so that employees

can take shelter at home. After the hurricane hits, leadership may decide to activate the Continuity Plan.

Based on the type and severity of the emergency, the Continuity Plan may be activated by one of the

following methods:

(1) The state governor, county executive or county commissioner, local mayor, city mayor, or city

administrator may initiate continuity activation.

(2) The [Organization Head], or a designated successor, may initiate the Continuity Plan activation

for the entire organization, based on an emergency or threat directed at the organization.

(3) [Insert additional activation measures here].

The decision to activate the Continuity Plan and related actions will be tailored for the situation based

on projected or actual impact.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

SAMPLE: Decision Process

All Personnel

Every member of the organization will train and prepare in advance for a continuity event so they are

prepared to act quickly in an emergency. Each individual will also develop a Family Support Plan to

increase personal and family preparedness. The www.ready.gov

website provides guidance for

developing a Family Support Plan and includes a “Get Ready Now” pamphlet that explains the

importance of planning, and a template that can be tailored to meet family-specific planning

requirements.

Personnel Accountability

It is important to account for all personnel during a continuity event. The [insert office/title] will

account for personnel using [insert accountability process here, such as call trees, an automated

system, a 1-800 number, etc.]. Accountability information is reported to the [insert office/title] at

[insert number] hour intervals. The process will continue until all personnel have been accounted for.

Continuity Personnel

The organization has determined the positions necessary to conduct essential functions, and to

authorize and approve the work. Key positions include the Continuity Coordinator, Continuity Team

members, senior leadership and their successors, and others who are assigned continuity

responsibilities. These individuals will report to the alternate location or other assigned location. A copy

of the current roster is found at [insert location]. The [Insert office/title] is responsible for maintaining

the roster and ensuring personnel are correctly matched to required positions.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Table 3: SAMPLE Continuity Personnel Roster

Function

Title/ Position

Name

Telephone Numbers

Additional Information

EF #1: Approve

and oversee

cleanup of

contaminated

sites.

Division Head,

Enforcement

and Remediation

Division

John Smith

H: (###) ###-####

W: (###) ###-####

C: (###) ###-####

Insert other organization-

required information, i.e.

duty station and

addresses

Alternate:

Deputy Division

Head,

Enforcement and

Remediation

Division

Jane Doe

H: (###) ###-####

W: (###) ###-####

C: (###) ###-####

Insert other organization-

required information, i.e.

duty station and

addresses

Chief,

Enforcement

Branch

Sally Dune

H: (###) ###-####

W: (###) ###-####

C: (###) ###-####

Insert other organization-

required information, i.e.

duty station and

addresses

Alternate:

Deputy Chief,

Enforcement

Branch

Jim Rich

H: (###) ###-####

W: (###) ###-####

C: (###) ###-####

Insert other organization-

required information, i.e.

duty station and

addresses

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Table 4: SAMPLE Assignment of Responsibilities

Position

Responsibilities

Organization

Head

• Provide overall policy direction, guidance, and objectives for continuity planning.

• Provide necessary resources to support the implementation of the organization

Continuity Plan and supporting activities (e.g., training, exercise).

• Ensure adequate funding is available for emergency operations.

•

Ensure all organization components participate in TT&E activities.

Continuity

Coordinator/

Manager

• Provide strategic leadership and overarching policy direction for the continuity

program.

• Serve as the organization continuity program point of contact (POC).

• Implement the Continuity Plan when necessary, or when directed by a higher

authority.

• Maintain orders of succession and delegations of authority.

• Update Continuity Plan annually.

• Develop and lead continuity training.

• Plan continuity exercises.

• Update telephone rosters monthly.

•

Conduct alert and notification tests.

Essential

Records

Manager

• Review status of essential records, files, and databases.

• Provides for proper storage and protection of essential records.

Continuity

Personnel

• Be prepared to deploy and support organization EFs in the event of Continuity Plan

implementation.

• Provide current contact information to manager.

• Be familiar with continuity planning and know individual roles and responsibilities

in the event of Continuity Plan activation.

• Participate in continuity training and exercises as directed.

• Have a telework agreement in place, if applicable.

Department

Directors

(See list of

EFs)

• Appoint a POC for coordination and implementation of the Continuity Plan.

• Keep Continuity Coordinator/Manager informed of any changes in the designation

of the office continuity POC.

• Identify EFs to be performed when any element of the organization is relocated as

part of the Continuity Plan.

• Identify those functions that can be deferred or temporarily terminated in the

event the Continuity Plan is implemented.

• Maintain a current roster of Continuity Team members.

• Maintain current personnel emergency notification, accountability, and relocation

rosters.

• Prepare backup copies or updates of essential records.

• Ensure that the time and attendance function is represented on the Continuity

Team.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Continuity personnel are responsible for creating and maintaining go kits that are either pre-positioned

at the alternate location, or that they will carry with them when they go. The [insert office/title] will

work with staff to ensure currency of the go kits by [Insert procedures here, such as having continuity

personnel bring kits on annual exercises, quarterly inspections, or establishment of an acquisition

program to regularly replace agency-supplied items]. A typical go kit should contain those items listed

in the table below. (www.ready.gov

provides a list of items you can choose from to create a kit that

works for your needs).

Table 5: SAMPLE Go Kit Contents

Date added

Item

Most recent

replacement

date

mm/dd/yy

Succession and Delegations of Authority

This section should identify lines of succession for the organization head and key positions required to

authorize and approve EFs and reconstitution, and to maintain financial and legal responsibilities.

For each position that requires legal documentation to enable successors to assume responsibilities, a

delegation of authority document should be created. It should list the successors in the order they would

assume responsibility, outline the legal authority for individuals to make policy decisions during a

continuity event, describe the process for transferring authority between the primary job holder and

his/her successors, and designate responsibilities that may/may not be assumed. This document should be

reviewed by the legal division and signed by primary job holder and successors. Revisions should be

distributed to agency personnel as changes occur. (Reference CGC pg. 23-24.)

In the event the [enter organization head title] is rendered incapable or unavailable to fulfill their

duties, successors have been identified to ensure there is no lapse in decision-making authority.

Orders of succession should:

• Designate at least three individuals, where possible, to manage EFs and other critical operations.

• List successors in the order they would assume the role.

• Include devolution counterparts.

• Include geographically dispersed individuals, where possible, to ensure at least one candidate who

would not be subject to injury or illness in the primary facility.

• Be described by positions or titles, rather than names to limit revisions to plan.

• Be regularly reviewed by the organization’s legal department.

• Be designated and maintained as essential records.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Table 6: SAMPLE Order of Succession List

Position

Designated Successors

1. Deputy Director, Bureau of Water Management

Director, Bureau of Water Management

2. Division Head, Enforcement and Remediation Division

3. Division Head, Standards and Planning Division

[Insert office/title] is responsible for ensuring orders of succession are up-to-date, and copies can be

found at [insert location(s)]. When changes occur, they will be distributed to [insert offices/groups].

When the primary holder of one of these positions, or their acting successor, becomes unreachable or

incapable of performing their duties, the [insert office/title] will notify the next successor in line and

inform other internal and external stakeholders of the substitution.

Successor training will be conducted annually, and the dates and topics will be documented by [insert

office/title] and stored in the training records [insert location] which are essential records.

Delegations of authority are created for each position that requires legal documentation to enable

successors to assume responsibilities. These documents:

• List the successors in the order they would assume responsibility.

• Outline the legal authority for individuals to make policy decisions during a continuity event.

• Describe the process for transferring authority between the primary job holder and his/her

successors.

• Designate responsibilities that may/may not be assumed.

Delegations of authority documents are reviewed by the legal division and signed by primary job holder,

successors, the head of the legal division and head of entity. The delegations of authority are:

(1) Are designated and maintained as essential records.

(2) Are written in accordance with applicable laws and organization policy to ensure the

organization’s EFs continue to be performed.

(3) Outline explicitly the authority of an official to re-delegate functions and activities, as appropriate.

(4) Delineate the limits of and any exceptions to the authority and accountability for officials.

(5) Define the circumstances, including devolution, under which delegations would be activated and

terminated.

The organization has informed those officials who might be expected to assume authorities during a

continuity situation. Documentation is found at [insert location(s)]. Further, these officials are trained at

least annually. This training is reflected in agency training records located at [insert location].

The organization has identified the following positions that require delegations of authority:

• [Organization Head]

• [Insert additional delegations of authority here]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Additional Human Resources Considerations

The continuity program should coordinate with the organization or department/division regarding

additional human resources consideration including pay, benefits, employee schedules, and employee

assistance. There may be laws or applicable human resource regulations that must be adhered to during

a continuity event. Those considerations should be documented here, as well as the point of contact for

any questions or concerns during a continuity event. Instructions should include discussing pay and benefits

issues with the entity who cuts checks to ensure they align expectations and RTOs. (Reference CGC pg. 21-

24.)

The organization has developed guidance and direction for personnel regarding human resource issues

during a continuity event. This guidance is integrated into the Human Resources procedures, is

maintained by the [insert office/title] and stored at [insert file location (hyperlink or hardcopy)]. The

Continuity Coordinator/Manager works closely with the [insert appropriate human resources

office/title here] to resolve human resources issues related to a continuity event, update the Continuity

Plan, and communicate with managers regarding human resources needs to help continue EFs

throughout an event.

The organization has issued continuity guidance for human resources on the following issues:

• Additional Staffing: [Insert guidance here or location of guidance]

• Work Schedules and Leave/Time Off: [Insert guidance here or location of guidance]

• Employee Assistance Program: [Insert guidance here or location of guidance]

• Employees with Disabilities: [Insert guidance here or location of guidance]

• Benefits: [Insert guidance here or location of guidance]

• Premium and Annual Pay Limitations: [Insert guidance here or location of guidance]

• [Insert additional topics here]

Personal Recovery Assistance

The first priority for personnel will be recovery of their families, pets/livestock, homes, and other things

with personal value. Helping these individuals receive the assistance they need not only demonstrates that

the organization cares about their employees, but also helps each individual return to productive work as

quickly as possible. It may also be the law, and failure to meet requirements could result in heavy fines.

Describe which individuals are responsible for monitoring the well-being and recovery of personnel, and

the ways the organization can help keep them safe and healthy, or more quickly recover. This would include

detailing, or citing another document that covers, the emergency procedures for filing Workers’ Comp

claims, and accessing Employee Assistance Programs or other services and resources.

An event that requires the activation of the Continuity Plan may personally affect personnel. Therefore,

the [insert office] will create provisions and procedures to assist all personnel, especially those who are

disaster victims, or who have special Human Resources concerns following a catastrophic disaster. These

provisions and procedures are found at [insert location].

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Replacing Staff

It may become necessary to hire temporary or permanent replacement staff to ensure the presence of

qualified, credentialed workers to perform EFs. Outline the process and responsible parties to ensure rapid

replacement of staff.

It may be necessary to augment or replace personnel during a continuity event. The [insert office] will

be responsible for recruiting, hiring, and on-boarding staff during a continuity event.

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COMMUNICATIONS

This section should address communications systems needed to ensure connectivity during emergencies.

The ability to execute EFs depends on the availability to communicate. Resilient communications and IT

systems should be utilized to ensure communications can continue, even if some infrastructure becomes

disabled, and to support connectivity among organization leaders, internal personnel, and other

organizations, customers, and the public during the crisis. (Reference CGC pg. 25-26.)

Resilient Systems

Provide an overview of all methods of communication the organization can use, and where they can cross-

cover gaps or losses. This may be done using a table.

The organization has identified multiple, resilient communication systems, located at the primary and

alternate location(s), and telework or virtual office location. These systems will support the needs of the

organization during all hazards/threats. The organization also maintains communications equipment for

use by employees with disabilities and hearing impairment. During a pandemic, when the limiting factor

is loss of manpower rather than loss of facility or equipment, the diverse forms of communication can

support social distancing efforts. These systems and are documented at [insert location].

Table 7: SAMPLE Communications Systems Tracking Table

Communication

System

Support to

Essential

Function

Current

Provider

Specification

Alternate

Provider

Special

Notes

Non-Secure Phones

Secure Phones

Fax Lines

Cellular Phones

Satellite

Pagers

E-mail

Internet Access

Data Lines

Two-way Radios

GETS Cards

[Insert other options

here]

Communications and IT capabilities should be operational within the RTO. Additional detailed

information on the communications systems and requirements is found in [Reference].

Senior Leadership Communications

The organization possesses communications capabilities to support the organization’s senior leadership

while they are in transit to alternate location(s), at a remote site, or communications have failed at the

primary operating facility. These capabilities are maintained by the [insert office/title] and

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documentation regarding these communications capabilities is found at [insert location or list

capabilities below].

Alert and Notification

Explain how the organization will issue initial notification to staff that an incident has occurred. This might

include mass notification systems, alarms, public address systems within the building, emails, phone calls,

press releases, agency website banners, or other methods of communication.

In the event of a potential or actual interruption, [insert office/title] will take the following steps to

communicate the organization’s operating status:

(1) The [Organization Head] or designated successor will notify [insert office/title] of the

Continuity Plan activation.

(2) [Insert notification steps here. Include methods of notification and required responses to

verify that personnel have received the notification. If the organization maintains an advance

team to prepare the continuity site for arrival, include here].

(3) [Insert office/title] will notify family members, next of kin, and/or emergency contacts of

Continuity Plan activation.

(4) [Insert office/title] will notify external stakeholders of activation.

Continuity Event Communications

Once the organization has moved into continuity operations it is important for personnel to remain aware

of the recovery status of the workplace, and to know when/if they are required to step into an alternate

role. It is also important for the organization to remain aware of the health and personal recovery status

of personnel and to provide assistance to utilize the available workforce efficiently. In this section, describe:

• The expected frequency of ongoing communication.

• Who is primarily responsible for ensuring communication.

• Whether two-way communication is required to ensure receipt of messages.

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Table 8: SAMPLE Continuity Event Communications Tracking Table

Sender Receiver Method Message Frequency

Receipt

Notification

Contact Rosters

Contact rosters should be maintained in the Communications Annex for:

• Internal personnel

• External stakeholders (partners, media, funding entities, government contacts)

• Service providers (vendors, mail and courier services)

Contact Rosters are maintained by [insert responsible party] and stored in the essential records

database.

Tracking the Threat

It is important to continue monitoring the situation until the threat ceases to exist. Outline the processes

senior management will use to track the development of the incident (via online and broadcast news and

weather, emergency services, or other sources) and applying the effects of these developments to:

• The health and safety of personnel

• Execution of EFs

• Potential effects on communications and IT systems, facilities, equipment, and other essential

resources

The organization will remain informed of the threat environment using all available means, including:

• Emergency Communications Center

• Regional and local notification systems

• Direction and guidance from higher authorities

• News and weather media

[Head of organization] will evaluate all available information relating to:

• The health and safety of personnel

• The ability to execute EFs

• Changes in threat advisories

• Intelligence reports

• The potential or actual effects on communications systems, information systems, office

facilities, and other essential equipment

• The expected duration of the emergency

• [Insert other agency considerations here]

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ALTERNATE LOCATIONS AND TELEWORK

All organizations should identify and maintain at least one alternate location for the relocation of a limited

number of the organization’s key leaders and staff. This could include use of another brick and mortar

facility, or virtual office options. The alternate location should be located where it will not be vulnerable to

the same disrupting events that damage the primary operating facility.

The organization should have guaranteed access to their alternate location within an agreed upon time

following initiation of continuity operations. This should allow time for set-up so work can begin within the

recovery time objective. Annex 2 of this template contains an Alternate Location MOU/MOA template.

(Reference CGC pg. 19-20.)

Space and Infrastructure Summary

When selecting an alternate location, it is important to know the total space, and infrastructure

requirements to conduct work. These can be calculated in part by summing the requirements listed in the

BPA for each EF. Additional things to consider include access to, or availability of:

• Backup generators

• Equipment (such as computers, print/copy/fax, phones, specialized items)

• Bathrooms and break areas

• Residential accommodations and transportation

Describe these features, detailing how the facility meets requirements.

The alternate location(s) provide the following in sufficient quantities to sustain operations until normal

operations can be resumed (usually within 30 days):

• Space and equipment, including computer equipment and software. The alternate location can

accommodate [insert number] personnel. Facility floor plans, equipment inventory, and [insert

other applicable documents] are found at [insert location].

• Capability to perform EFs within the RTO. The facility will remain available until normal

operations can be resumed, often within 30 days.

• Reliable logistical support, services, and infrastructure systems. Details on these infrastructure

systems are available at [insert location].

• Consideration for health, safety, security, and emotional well-being of personnel. including

[insert considerations, such as physical security, fitness activities, access to the Employee

Assistance Program, and presence of security].

• Emergency/back-up power capability. Details on the power capability are available at [insert

location].

Access to Communications, Internet, and Remote Servers

Determine the number of internet and phone ports, and whether host security allows use of their internet

lines. Determine where replacement phone and computer equipment will be stored ahead of time, or

procured within the RTO.

Describe how members of the Continuity Team will access the organization’s primary servers, backup

storage, and essential records database in the event these servers are lost. If remote access will be used

to reach servers, ensure there are adequate licenses and that the internet is fast enough to support timely

transference of an appropriate volume of data.

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The alternate location(s) provides the following infrastructure to ensure access to primary servers,

backup storage, and the essential records database:

• Interoperable communications, and connections, for effective interaction. Additional

information on continuity communications is found in the Communications section of this plan.

• Capabilities to access and use Essential Records. Additional information on accessing Essential

Records is found in the Essential Records section of this plan.

• Systems and configurations that are used to complete EFs. IT support at the alternate location

can be accessed by [insert access to IT support]. Details on the systems and configurations are

available at [insert location].

Contracts

If a contract is necessary to ensure occupancy on demand, it should be obtained before the time of need,

and should outline use parameters and limitations. This contract should be classified as an essential record

and a copy included in the Alternate Facilities Annex.

A copy of the MOA/MOU is found at [insert location] and maintained by the [insert office name].

Maps, Directions, Security, and Access

Personnel must be able to reach the site to begin work within the RTO. Clearly spell out all security and site

access requirements. Maps and directions, including at least a primary and secondary route (in case a

disruption renders the primary route inaccessible) should be included in the Alternate Location(s) Annex.

The alternate location is located at [facility name and address]. A map of the surrounding area, including

directions and route from the primary operating facility, is located at [below/list location]. Additional

facility details are as follows:

(1) This facility is [rented/owned] by [insert entity].

(2) [Important contact information for the site, including security, medical, and on-site personnel]

(3) [Security and access requirements]

(4) [Medical support at or near the site]

(5) [Other amenities available at or near the site, including restaurants, stores, banks, and gas

stations]

Telework

In order to work remotely, it is usually necessary to have access to information on the organization’s

servers, backup storage sites, and/or essential records database. Each user must have a computer at home

or remote site with adequate capabilities, and that meets the security requirements to access servers and

to interface with other systems as required to conduct EFs.

Continuity operations will begin at the date and time stated in the plan activation notification. Within 8

hours of plan activation, the IT manager will determine if the infrastructure in the primary operating

facility is accessible and fully functional. The IT manager will provide personnel with the status of the

agency’s infrastructure and identify which IT resources they should use.

Once continuity operations have begun, all personnel will begin teleworking and will:

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• Contact their manager by email, text, or telephone to verify their arrival and ability to telework

from their location.

• Upon notification from the IT manager regarding which IT resources will be used, login to the

appropriate location.

• Report to their manager their ability to access essential records needed to perform their

functions or obstacles they are facing.

• Begin performing EFs or supporting activities within the RTO.

Activation/Relocation

In the event an incident requires activation of an alternate location(s), outline the process by which

personnel will be notified and relocated to the site(s). Note: Not all continuity events require the relocation

to an alternate location.

Upon activation of the Continuity Plan by [insert authority], EFs may relocate to the alternate

location(s). [Insert office/title] will notify the point of contact at the alternate location(s) of the

activation and need to occupy the space and ensure that the continuity operations can begin within the

RTO.

If the emergency occurs during work hours continuity activities will be implemented as follows.

• Advance Team and Continuity Team members will deploy to the designated alternate location

from the primary facility or their current location using [insert method of transportation, such

as privately owned vehicles, buses, etc. here. Include any provisions made regarding the

transport of disabled continuity employees].

• Non-continuity personnel will receive instructions from [insert office/title]. In most situations

they will be directed to return home to await further instructions.

• Information will be provided regarding safety precautions and clear routes to use when leaving

the primary operating facility.

If the emergency occurs during non-work hours continuity activities will be implemented as follows:

• Advance Team and Continuity Team members will deploy to the designated alternate location

from their current location using [insert method of transportation, such as privately owned

vehicles, buses, etc. here. Include any provisions made regarding the transport of disabled

continuity employees]. They should arrive by [insert time here, such as immediately, time

specified during notification, within a pre-designated number of hours or business hours,

etc.].

• Non-continuity personnel will remain at their residence or other designated location, but must

be prepared to replace or augment continuity personnel within [include hour] of notification, or

as advised. Staff replacements will be coordinated by the [insert office/title].

Non-continuity personnel may be required to replace or augment continuity personnel during activation

and should remain available as instructed. Notification of activation will include [include time from

notification till they are expected to arrive for work].These activities will be coordinated by the [insert

office/title].

The advance team will should arrive and prepare the alternate location(s) for use so that continuity

operations can be resumed within the RTO. The advance team will:

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• Ensure infrastructure systems, such as power and heating, ventilating, and air conditioning are

functional.

• Prepare check-in duty stations for the Continuity Team’s arrival.

• Address telephone inquiries from continuity and non-continuity staff.

• [Insert additional tasks here].

In-processing procedures include [insert steps to in-process continuity personnel here, including how

to obtain the roster of continuity personnel and how the organization will reach individuals who have

not in-processed for accountability, etc.].

Table 9: SAMPLE Alternate Location Checklist

Alternate Location Checklist

Upon arrival at the alternate location, continuity personnel will:

 Check in

 Receive instructions and equipment

 Report to work station as identified in [insert location] or as otherwise designated during the

activation process

 Retrieve pre-positioned or transported information and resources, and activate specialized systems

or equipment

 Monitor the status of personnel and resources

 Conduct EFs

 Prepare and disseminate reports, as required

 Comply with any additional continuity reporting requirements

 Communicate contact information to family members, next of kin, and emergency contacts

 [Insert additional tasks here]

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RECONSTITUTION

Organizations should identify and outline a plan to return to normal operations once senior management,

or their successors, determine the disaster no longer poses a threat. To ensure proper focus on each area

of work, separate individuals should staff the Reconstitution Team and Continuity Team. Note:

Organizations that use a Reconstitution Plan that is separate from their Continuity Plan should reference

that plan and include a summary of the information in this section. The referenced Reconstitution Plan

should be designated as an essential record. (Reference CGC pg. 29.)

Procedures

Within [insert time period] of an emergency relocation, and after receiving approval from the

appropriate state and local law enforcement and emergency services the Reconstitution Team will

initiate and coordinate operations to salvage, restore, and recover the primary operating facility and

resources:

Table 10: SAMPLE Reconstitution Checklist

Reconstitution Checklist

 Identify the Reconstitution Manager for all phases of the reconstitution process.

 Reconstitution will commence when the [Organization Head] or another authorized person

ascertains that the emergency situation has ended and is unlikely to reoccur.

 Within [insert number] hours of the Continuity Plan activation, each [Organization Name]

subcomponent will designate a reconstitution POC to work with the Reconstitution Team and to

update office personnel on developments regarding reconstitution.

 [Insert office/title] should determine the status of the primary operating facility affected by the

event by [insert methods here].

 [Organization Name], in conjunction with [insert offices and organizations here], will determine

how much time is needed to repair the primary operating facility and/or acquire a new facility.



Should [Organization Name] decide to repair the facility, [insert office/title] has the responsibility

of supervising the repair process and should notify [insert office/title] of the status of repairs,

including estimates of when the repairs will be completed.



Before relocating to the recovered or replaced primary operating facility, the [insert office/title]

will conduct appropriate security, safety, and health assessments to determine building suitability.



[Insert office/title] will verify that all systems, communications, and other required capabilities are

available and operational and that the [Organization Name] is fully capable of accomplishing all

essential functions and operations at the new or restored primary operating facility.



Upon verification that the required capabilities are available and operational, and that the

[Organization Name] is fully capable of accomplishing all essential functions and operations at the

new or restored facility, the [insert office/title] will begin supervising a return of personnel,

equipment, and documents to the primary operating facility.



The phase-down and return of personnel, functions, and equipment will follow the priority-based

plan and schedule outlined below; the [Organization Name] will develop return plans based on the

incident and facility within [insert number] hours of plan activation.

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Reconstitution Team

Individuals should not be assigned to both the Continuity and Reconstitution Team as both require

significant time and effort, and the responsibilities overlap. Reference the roster of Reconstitution Team

members (in the Communications Annex).

Describe the expectations for members of the team. These may include:

• Communication between senior leadership and building managers or repair crews

• Recovery of resources from the damaged building (if safe to do so)

• Coordination of repairs to re-occupy the damaged facility

• Searching for a new permanent or semi-permanent facility

• Procuring resources, setting up/installing, and testing the permanent facility for operability

• Assisting in creation of a return-to-work schedule to recover operations in the order of greatest

need (often the EFs will continue from the alternate location until the new permanent one has

been tested and proved fully operational).

Table 11: SAMPLE Reconstitution Team Responsibility Chart

Position

Responsibilities

Organization

Head

• Provide overall policy direction, guidance, and objectives for continuity planning.

• Provide necessary resources to support the implementation of the organization

Continuity Plan and supporting activities (e.g., training, exercise).

• Ensure adequate funding is available for emergency operations.

•

Ensure all organization components participate in TT&E activities.

Reconstitution

Manager

• Provide strategic leadership and overarching policy direction for reconstitution

activities.

• Serve as the organization reconstitution POC.

• Implement the Reconstitution Plan when necessary, or when directed by a higher

authority.

• Update Reconstitution Plan annually.

• Assemble and train reconstitution team.

• Conduct TT&E activities.

• Coordinate with Continuity Manager.

• Oversee and monitor work on primary facility.

•

Plan phased transition of EF to primary facility.

Reconstitution

Team

Personnel

• Be prepared to deploy and support reconstitution activities

• Provide current contact information to manager.

• Be familiar with reconstitution planning and know individual roles and

responsibilities in the event of activation.

• Participate in continuity training and exercises as directed.

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DEVOLUTION

Devolution planning should support overall continuity planning and addresses the full spectrum of all-

hazard/threat emergency events that may render an organization’s leadership or staff unavailable or

incapable of, supporting execution of the organization’s EFs from either its primary operating facility or

alternate location. In some instances, devolution may not be a viable option for an organization. If EFs

require widely-divergent expertise, you may wish to have more than one devolution partner. Note:

Organizations that use a Devolution Plan that is separate from their Continuity Plan should include baseline

information from their Devolution Plan in this section including references to where this information is

located in their Devolution Plan. The separate Devolution Plan should be designated as an essential record.

(Reference CGC pg. 20-21.)

Contract

Include a copy of the contract if devolution will be to a separate organization.

The organization is prepared to transfer all its EFs (or list specific ones) and responsibilities to personnel

at [alternate division or organization, and location] if events render leadership or staff unavailable to

support the execution of EFs.

[Insert office/title] maintains responsibility for ensuring the currency of the Devolution Plan. This plan:

• Is located at [insert location].

• Includes program plans and procedures, budgeting and acquisitions, EFs, orders of succession

and delegations of authority specific to the devolution site, interoperable communications,

essential records management, staff, TT&E, and reconstitution.

• Identifies prioritized EFs, defines tasks that support, and resources to facilitate, those functions.

The list of prioritized EFs for devolution is found at [insert location].

• Includes a roster that identifies fully equipped and trained personnel who will be stationed at

the designated devolution site and the authority to perform EFs and activities when the

devolution option of the Continuity Plan is activated. The devolution personnel roster is found at

[insert location].

• Identifies events that might “trigger” devolution and specifies how and when control and

direction of the operations will be transferred between entities. Devolution activation protocols

are found at [insert location or insert below].

• Lists or references the necessary resources (i.e., equipment and materials) to facilitate the

immediate and seamless transfer of EFs to the devolution site. The list of necessary resources

for devolution is found at [insert location].

• Establishes and maintains reliable processes and procedures for acquiring the resources

necessary to continue EFs and to sustain those operations for extended periods. The [insert

office/title] is responsible for acquiring resources during a devolution situation. Acquisition

processes and procedures are found [insert location].

• Establishes and maintains the ability to restore, or reconstitute, authority to the primary

organization upon termination of devolution.

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• Outlines the devolution organization’s responsibilities to maintain situational awareness and

ongoing communications with senior leadership and personnel.

• Provides an overview of procedures outlining workforce protection strategies to prevent the

need to devolve. This may include strategies such as social distancing, telework, split shifts, or

increased workplace hygiene.

Transfer of Essential Functions

Outline the procedures for transferring responsibility for the implementation of EFs to a different

organization, or geographically separated division within the primary organization.

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Continuity Program Management

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BUDGETING AND ACQUISITION

Identify the resources necessary for successful implementation and management of the continuity

program including:

• Personnel

• Communications and IT equipment, connections, and security

• Facilities and infrastructure

• Transportation and accommodations

In addition, the organization should outline strategies to limit loss, and mitigate and/or re-allocate to cover

costs of recovery. Multi-year strategic planning may be necessary to spread the cost of complex, expensive

items over multiple budget years. (Reference CGC pg. 34-35.)

Within the [organization policy title(s)] the organization budgets for resources and capabilities essential

to continuity operations. A copy of the continuity budget is found at [insert location, office].

Risk management methodology [insert methodology here] is used to identify, prioritize, and justify the

reallocation of budgetary resources. A copy of the risk management documents can be found [insert

location, office].

The organization integrates the continuity budget with its long-term strategic plan and links the budget

directly to objectives and metrics set forth in that plan. A copy of the strategic plan is found at [insert

location].

Contracts vital to the support of EFs, include contractor statements of work covering provision of

staffing, services, and resources during emergency conditions. A list of vital contracts is found at [insert

location] and is maintained by the [insert office/title]. During an emergency, the [insert office/title] is

responsible for oversight and handling of emergency work by contractors.

Cost Prevention, Mitigation, and Reallocation

Include an overview of the BIA, and strategies that are currently used, or are goals for future program

development that would:

• Lessen the recovery cost for the most likely disasters

• Transfer risk to another entity

Consider current budget income and allocations, as well as funding constraints or covenants that limit re-

allocation of funds to determine where the increased costs of continuity and recovery operations would be

obtained.

Emergency Procurement

Summarize or name the location of SOPs or other documents that detail the abilities and limitations of

emergency procurement, and the individual or department responsible for conducting these activities.

During continuity operations, it may be necessary for the organization to procure replacement

personnel, equipment, and supplies on an emergency basis to sustain operations until normal

operations can be resumed. [Insert office/title/authority] maintains authority for emergency

acquisition. Instructions for this process are found [insert instructions below or insert location of

instructions if found in another document].

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MULTI-YEAR STRATEGIC PLANNING

Describe how long-range planning over multiple budget years will be used to obtain strategies, resources,

or services that would improve the continuity response, but which are currently unaffordable. Include

things that could be procured in increments as well as those which may take time for funding sources to

approve. (Reference CGC pg. 35.)

A multi-year strategic plan has been established that provides for development, maintenance, and

annual review of continuity capabilities, including:

• EFs

• Short- and long-term goals for plan and programs

• Potential obstacles to implementing the program, and strategies for addressing them

• Planning/TT&E activities and milestones

• Continuity Team members

• Infrastructure (IT, communications, etc.)

• Transportation and accommodations

• Other resources needed to support the program

Risk management principles have been used to assess both the primary and alternate location to ensure

appropriate operational readiness decisions based on probability of incident, likely consequences;

geographic dispersion into daily operations; security strategies, physical security to protect personnel

and facilities and information security to protect plans and essential records.

The organization has developed a Continuity Multi-year Strategic Plan that provides for development,

maintenance, and annual review of continuity capabilities, and integrates continuity into its multi-year

strategic budget and links the budget directly to objectives and metrics set forth in the plan. A copy of

this plan is found [location].

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TRAINING, TESTING, AND EXERCISING (TT&E)

All organizations should develop and maintain a continuity TT&E program that includes:

• Conducting and documenting TT&E activities

• Identifying the components, processes, and requirements for training, and preparedness of

personnel to support the continuation of EFs.

(Reference CGC pg. 31-32.)

The organization participates in the full spectrum of readiness and preparedness activities to ensure

personnel can continue EFs in an all-hazard/threat environment. The readiness activities are divided into

two key areas:

• Organizational readiness and preparedness

• Staff readiness and preparedness

In addition, the organization conducts the following continuity readiness and preparedness activities:

[insert any additional organization readiness and preparedness measures for organization personnel

here, such as orientation training, brown bags or working lunch informational sessions, and senior

management addresses to the organization regarding continuity, etc.].

The organization has established a TT&E program to support preparedness and validate continuity

capabilities during any disruption of operations. It is essential to demonstrate, assess, and improve the

ability to execute the continuity program procedures.

All continuity TT&E events are documented, including the

• Event date,

• Event type,

• Participants

• Test results,

• Feedback forms, participant questionnaires, and other documents resulting from the event.

Documentation is managed by the [insert office/title] and is found at [insert location].

Table 12: SAMPLE TT&E Documentation

Event

Event Type

and Purpose

Date

Confirmation Initials

or Signature

Continuity Facility

Communications

Check

Test and validate equipment

to ensure internal / external

interoperability and viability

of communications systems

August 1, 2010

[insert signature]

Participants

Office

Phone/Email

Jane Doe

Office of the Director

222-222-2222

jane.doe@agency.gov

/s/ Jane Doe

Jon Smith

Human Resources

111-111-1111

jon.smith@agency.gov

/s/ John Smith

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Training

Include a summary plan for each of the following:

• Awareness training for all personnel

• Cross training for continuity, reconstitution, and devolution staff

• Succession training

Testing and Exercises

Describe how each component will be rigorously tested for areas of improvement. Over time exercises

should cover every section of the plan, and based on prior lessons learned should shift between:

• Simple tests and comprehensive examinations

• Testing of single components, multiple sections, or the entire plan

• Tests and exercises help planners assess, and validate or identify for subsequent correction, all

components of continuity plans, policies, procedures, systems, and facilities used in response to a

continuity event. Periodic testing also ensures that equipment and procedures are kept in a

constant state of readiness.

FEMA’s Continuity Assessment Tool contains training and exercise objectives, which may be used to guide

an organization in building a TT&E program that supports a well-rounded continuity program. The tool

divides the objectives into three implementation categories: initiating, building, and maintaining a

continuity capability. The table below lists the training and exercise objectives and the description for each

“objective achieved.”

Continuity Training and Exercise Objectives

Description of Objective Achieved

Initiating

Training: Have those individuals with

continuity roles and responsibilities received

continuity training?

All individuals with continuity roles and responsibilities,

including leadership and the planning team, have received

continuity training. The continuity planners/managers have

received advanced training, such as achieving their FEMA

Level I and Level II Continuity Practitioner certificate.

Exercising: Has the organization identified

and incorporated the results from previous

exercises and real-world events to guide the

development of the continuity program?

The organization used results from all previous exercises and

real-world events to guide current planning efforts.

Building

Training: Have all staff members completed

continuity awareness training?

All required staff completed awareness training on the

continuity plan and roles, responsibilities, and expectations

upon its activation.

Training: Has the organization trained

continuity personnel on continuity plans and

strategies?

All primary and alternate continuity personnel, to include

leadership and/or elected officials, have received up-to-date

training.

Training: Has continuity personnel

participated in regular continuity training

activities with other continuity programs

(both internally and externally)?

The organization trained all continuity planning team

members on other inter- and intra-organizational continuity

programs.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Continuity Training and Exercise Objectives

Description of Objective Achieved

Exercising: Has the organization conducted

testing of alert and notification procedures?

The organization tests alert and notification procedures and

implemented improvement action planning. Testing

demonstrated an improvement compared to previous tests.

Exercising: Has the organization conducted

testing of activation procedures?

The organization tested activation procedures and

implemented improvement action planning. Testing

demonstrated an improvement compared to previous tests.

Exercising: Has the organization conducted

testing of accountability procedures?

The organization tested accountability procedures and

implemented improvement action planning. Testing

demonstrated an improvement compared to previous tests.

Exercising: Has the organization conducted

testing of the interoperable and available

communications capabilities that support

identified essential functions?

The organization tested communications capabilities with

internal and external partners and implemented

improvement action planning. Testing demonstrated an

improvement compared to previous tests.

Exercising: Has the organization conducted

testing of critical systems and equipment

and strategies to meet associated recovery

time objectives?

The organization tested recovery time objectives for critical

systems and equipment and implemented improvement

action planning. Testing demonstrated an improvement

compared to previous tests.

Exercising: Has the organization regularly

conducted organization-wide continuity

exercises that include exercising of

mitigation options that support the

continuance of essential functions?

The organization, including senior leadership, exercised the

comprehensive continuity plan via functional or full scale

exercises. The organization incorporated all or parts of the

plan into organization-wide exercises and implemented

improvement action planning.

Exercising: Has the organization conducted

exercises of the reconstitution plan or

procedures to exercise recovery from the

effects of an emergency and transitioning

back to normal operations after continuity

plan activation?

The organization, including senior leadership, exercises the

reconstitution plan via functional or full scale exercises. All or

parts of the plan are incorporated into organization-wide

exercises. Improvement action planning is being

implemented.

Exercising: Has the organization exercised

with internal and external partners to

coordinate continuity plans and programs?

The organization exercised the synchronization of other inter-

and intra-organizational continuity plans and programs with

the organization's continuity plan and program and

participated in associated improvement action planning to

improve partner coordination.

Maintaining

Training: Has the organization regularly

trained continuity personnel on continuity

plans and strategies?

All primary and alternate continuity personnel, to include

leadership and/or elected officials, received up-to-date

training within the past year and annually over a multi-year

period.

Training: Have continuity personnel

participated in regular continuity training

activities with other continuity programs

(both internally and externally) on a regular

basis?

Continuity personnel participated in regular training with and

on other inter- and intra-organizational continuity plans and

programs within the past year and annually over a multi-year

period.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Continuity Training and Exercise Objectives

Description of Objective Achieved

Exercising: Has the organization conducted

regular testing of alert and notification

procedures?

The organization tested alert and notification procedures

within the past year by incorporating the test into an

organization-wide exercise. Testing occurred at least annually

over a multi-year period.

Exercising: Has the organization conducted

regular testing of activation procedures?

The organization tested activation procedures within the past

year by incorporating the test into an organization-wide

exercise. Testing occurred at at least annually over a multi-

year period.

Exercising: Has the organization conducted

regular testing of accountability

procedures?

The organization tested accountability procedures within the

past year by incorporating the test into an organization-wide

exercise. Testing occurred at least annually over a multi-year

period.

Exercising: Has the organization conducted

regular testing of the interoperable and

available communications capabilities that

support identified essential functions?

The organization tested communications systems with

internal and external partners within the past year by

incorporating the test into an organization-wide exercise.

Testing occurred at least annually over a multi-year period.

Exercising: Has the organization conducted

regular testing of critical systems and

equipment and strategies to meet

associated recovery time objectives?

The organization tested recovery time objectives for critical

systems and equipment within the past year by incorporating

the test into an organization-wide exercise. Testing occurs at

least annually over a multi-year period.

Exercising: Has the organization regularly

conducted organization-wide continuity

exercises?

The organization, including senior leadership, exercised the

comprehensive continuity plan in a functional or full-scale

exercise within the past year and annually over a multi-year

period.

Exercising: Has the organization

progressively exercised its continuity plan

and procedures?

The organization conducted a functional or full-scale exercise

of its continuity plan within the past year.

Exercising: Has the organization conducted

exercises of the reconstitution plan or

procedures to exercise recovery from the

effects of an emergency and transitioning

back to normal operations after continuity

plan activation?

The organization, including senior leadership, exercised the

reconstitution plan in a functional or full-scale exercise within

the past two years and biennially over a multi-year period.

Exercising: Has the organization regularly

exercised with internal and external

partners to coordinate continuity plans and

programs?

The organization exercised the synchronization of other inter-

and intra-organizational continuity plans and programs in a

functional or full-scale exercise within the past year and has

exercised annually over a multi-year period.

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FEMA NATIONAL CONTINUITY PROGRAMS

After-Action Evaluation and Improvement Planning

Each exercise or actual even should be followed by an after-action evaluation that allows participants and

observers to record their insights and recommendations for improvement. (Reference CGC pg. 32.)

A comprehensive debriefing or hot wash is conducted after each exercise, allowing participants to

identify weaknesses in plans and procedures and recommend revisions to the organization’s continuity

plan. Documentation from TT&E hot washes is found [insert location].

A corrective action plan (CAP) is completed to document and prioritize, issues identified during TT&E

activities, assessments, and emergency operations. The CAP incorporates evaluations, after action

reviews (AARs), and lessons learned. CAP is maintained by the [insert office/title] and documentation is

found at [insert location].

Table 13: SAMPLE Corrective Action Program Documentation

Capability Observation Recommendation

Corrective

Action

Capability

Element

Primary

Responsible

Office

Organization

POC

Start

Date

End

Date

Planning

Organization

did not

conduct a

hotwash

following

March 20xx

exercise.

Organization

should conduct

hotwashes in

order to allow

participants to

provide

suggestions on

areas of strengths

and weaknesses.

Exercise

director

will plan

and

execute

hotwash

after

December

20xx

exercise

and

incorporate

comments

into AAR.

Planning

[Organization

Name]

Exercise

Director, Jon

Doe, (111)

111-1111

Mar.

20xx

Dec.

20xx

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FEMA NATIONAL CONTINUITY PROGRAMS

APPENDIX A: LIST OF SUPPORT APPENDICES

Insert Continuity Plan specific appendices here. Such as:

• Business Process Flows

• Contact Rosters

• Communication Plan/Matrices

• Mutual Aid Contracts

• Maps/Directions

• Continuity Team Checklists

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

APPENDIX B: AUTHORITIES AND REFERENCES

This appendix should list the authorities and references used in this plan. Examples of authorities and

references are provided below.

AUTHORITIES and REFERENCES:

1. Continuity Guidance Circular (CGC) dated February 2018.

2. [Enter title of organizational policy or directive here].

3. [Enter title of organizational policy or directive here].

4. [Enter title of organizational policy or directive here].

5. [Enter title of state policy or directive here].

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APPENDIX C: ACRONYMS

Acronym

Definition

AAR

After Action Report

BIA

Business Impact Analysis

BPA

Business Process Analysis

CAP

Corrective Action Program

CAT

Continuity Assessment Tool

CGC

Continuity Guidance Circular

Essential Function

Information Technology

MOA

Memorandum of Agreement

MOU

Memorandum of Understanding

POC

Point of Contact

RTO

Recovery Time Objective

SLA

Service Level Agreement

SOP

Standard Operating Procedure

TT&E

Training, Testing, & Exercise

BIA

Business Impact Analysis

BPA

Business Process Analysis

Essential Function

Information Technology

POC

Point of Contact

RTO

Recovery Time Objective

SOP

Standard Operating Procedure

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FEMA NATIONAL CONTINUITY PROGRAMS

APPENDIX D: PLAN MAINTENANCE

Annual Review

On an annual basis, the Continuity Plan and program elements (e.g., EFs, BIA, and BPA) should be reviewed

and updated. The date of the review and the names of personnel conducting the review should be

documented as proof that the review occurred.

Once a year, [insert organization] reviews its Continuity Plan, components, and supporting elements,

and makes any required updates or changes.

Table 14: SAMPLE Continuity Program Review Table

Element Reviewed

Date of Last

Review

Individuals Conducting

Review

Continuity Plan

Essential Functions

Risk Assessment

Business Impact Analysis

Business Process Analysis

Alternate Location(s) Suitability and Functionality

Alternate Location(s) MOA/MOU

Continuity Communications’ ability to support

Essential Functions fully

Record of Distribution

The record of distribution may be used to indicate the title and the name of the person(s) receiving the

plan, their organization, the date of delivery, the method of delivery, and the number of copies delivered.

This record verifies that individuals and organizations acknowledged their receipt, review, and/or

acceptance of the plan.

Table 15: SAMPLE Continuity Plan Distribution Record

Date of

Delivery

Number of Copies

Delivered

Method of Delivery

Name, Title, and Organization of

Receiver

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

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ANNEX 1: JOB AID – Synchronization Matrix

The Continuity Synchronization Matrix outlines the responsibilities of the required personnel during the four phases of continuity.

Element

Phase I: Readiness and

Preparedness

Phase II: Alert and Notification

Phase III: Continuity Operations

Phase IV: Reconstitution

Senior

Leadership



Ensure all organization

employees understand the

plan.

 Provide overall policy

direction, guidance, and

objectives for continuity

planning.

 Provide necessary

resources to support the

implementation of the

organization Continuity

Plan and supporting

activities (e.g., training,

exercise).

 Ensure adequate funding is

available for emergency

operations.

 Ensure all organization

components participate in

continuity exercises.



Activate Continuity Plan.

 Approve relocation and

telework options

 Receive updates; provide

guidance on performance

of essential functions.

 Delegate authority (if

required).



Coordinate with the

Continuity Manager.

 Maintain situational

awareness.

 Monitor conduct of

continuity operations.

 Provide guidance as

required.

 Ensure appropriate

resources are available.



Provide visible leadership to

reconstitution operations

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FEMA NATIONAL CONTINUITY PROGRAMS

Element

Phase I: Readiness and

Preparedness

Phase II: Alert and Notification

Phase III: Continuity Operations

Phase IV: Reconstitution

Continuity

Manager



Provide strategic

leadership and overarching

policy direction for the

continuity program.

 Serve as the organization

Continuity Program POC.

 Implement the Continuity

Plan when necessary, or

when directed by a higher

authority.

 Update and promulgate

orders of succession and

delegations of authority.

 Update Continuity Plan

annually.

 Develop and lead

Continuity training.

 Plan Continuity exercises.

 Update telephone rosters

monthly.

 Conduct alert and

notification tests.

 Conduct TT&E.

 Ensure Team is equipped

and has access to all

essential records and

supporting materials.



Receive notice of

continuity event

 Assess situation

 Initiate Alert/Activation of

 Notify/Status of Continuity

Facility

 Establish contact with

Senior Agency leaders

 Decision: Relocate to

Continuity Facility or

Devolution to other

agency(s)

 Coordinate w/PIO, HR, Fac

Mgr

 Determine Telework

options

 Receive periodic updates

from CT

 Provide updates to senior

leaders

 Notify external partners of

relocation



Monitor conduct of

Essential Functions

 Mitigate disruptions

 Ensure availability of

required resources

 Monitor expenditures and

documentation

 Oversee integration of temp

hires

 Emphasize safety



Notify external partners of

status of return to primary

facility

 Conduct Hotwash of

Continuity Ops by CT and

support agencies/personnel

 Lead in the development of

AAR of Continuity

Operations

 Develop Corrective Action

Plan (CAP)

 Resume Phase I activities.

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FEMA NATIONAL CONTINUITY PROGRAMS

Element

Phase I: Readiness and

Preparedness

Phase II: Alert and Notification

Phase III: Continuity Operations

Phase IV: Reconstitution

Continuity

Team (CT)



Review and understand

responsibilities related to

continuity support

functions at alternate

location.

 Provide current contact

information to supervisor

and Continuity Manager.

 Participate in continuity

TT&E.



Alert all CT personnel

 CT reports notification of

all members and names of

non-responders

 Retrieve personal "Go Kits"

 Accountability of CT

Members

 CT Ldr provides Situation

Brief

 Depart for Alternate

Location

 Begin to track expenditures



Verify status - needed

resources/requirements

 Ensure supplies on hand for

30 days ops

 Inventory materials and

utility functions

 Conduct Essential

Functions/Continuity Ops

 Update and protect

essential records

 Provide periodic status

reports



Establish schedule to

reconstitute Essential

Functions at primary facility

 Coordinate with

Reconstitution Manager

 Relocate/Reconstitute IAW

schedule

 Conduct Hotwash

 Reconstitute Section "Go

Kits"

Reconstitution

Manager

 Establish reconstitution

policies and guidance

 Assemble and train

reconstitution team.

 Conduct TT&E activities.

 Coordinate with Continuity

Manager.

 Assess primary facility

 Decision: Decide if primary

facility is suitable for

continued use

 Coordinate with Security

Team

 Notify Continuity Manager

 Initiate calls to

Reconstitution Team

 Assemble Reconstitution

Team

 Begin reconstitution

planning

 Initiate operations to

salvage, restore

 and/or recover building,

equipment, and systems

 Implement emergency

contracts

 • Develop Reconstitution

Plan

 Oversee and monitor work

on primary facility

 Plan phased transition of

essential functions to

primary facility

 Plan for:

o Standard

Continuity

Transition to

normal operations

o Devolution to

normal operations

 Decision: Primary (or new)

facility can support

Essential Functions.

 Inform Senior Leaders

 Provide instructions for

resumption of normal

operations

 Supervise orderly return of

personnel, supplies, and

equipment to primary

facility

 Conduct After Action

Review/Develop CAP

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Element

Phase I: Readiness and

Preparedness

Phase II: Alert and Notification

Phase III: Continuity Operations

Phase IV: Reconstitution

[Insert other

positions as

required]



CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

ANNEX 2: JOB AID – Alternate Location MOU Template

Sample Memorandum of Agreement Template

Alternate Location

The following outline should be used as a template to begin the process of creating a Memorandum of

Agreement (MOA) with a facility that shall be used as an alternate location during a continuity event. This

template is not intended to supplant any advice or review by organizational legal counsel. These

agreement components are suggestions and should be used in whole or in part as they pertain to the

organizations’ specific needs. Instructions and unnecessary text should be deleted before implementing

the agreement. Organization legal counsel should be consulted prior to and during the process of securing

an alternate location.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Memorandum of Agreement

BETWEEN

[INSERT ENTITY 1 – TENANT]

AND

[INSERT ENTITY 2 – HOST]

1. PARTIES. The parties of this Memorandum of Agreement (MOA) are the [ENTITY 1]

and the [ENTITY 2].

2. AUTHORITY.

a. [INSERT APPLICABLE AUTHORITY].

b. [INSERT APPLICABLE AUTHORITY].

c. [INSERT APPLICABLE AUTHORITY].

3. PURPOSE. This MOA shall codify the terms and conditions established by the [ENTITY

2] to grant [ENTITY 1] access to, but not exclusive use of, the premises except as

provided herein as a continuity alternate location: [INSERT FACILITY NAME] pursuant

to [ENTITY 1]’s Continuity Plan. Said facility shall be used for the purpose of:

a. [INSERT ESSENTIAL FUNCTIONS].

b. [OTHER SPECIFIC CONDITIONS UNDER WHICH ENTITY 1 WOULD

REQUIRE USE OF THE FACILITY].

4. DESCRIPTION OF THE PREMISES. The [ENTITY 2] agrees to provide use of the

premises located at [INSERT FACILITY ADDRESS] to [ENTITY 1] as a temporary

alternate location for continuity operations, said premises more particularly described as

the [INSERT LOCATION DETAILS].

a. This space is approximately [#] square feet more or less.

b. The premises contains the following [INSERT EQUIPMENT OR ADDITIONAL

FACILITY CHARACTERISTICS].

c. [ENTITY 1] shall not make any alterations, additions, or betterments, except in

accordance with the terms of this Agreement or written approval by [ENTITY 2].

5. RESPONSIBILITIES.

a. Responsibilities of [ENTITY 1]:

i. Prior to occupancy, [ENTITY 1] shall complete a facility inspection

overview and document the condition of the premises. Each party shall

receive a copy of the inspection document signed by each party’s

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FEMA NATIONAL CONTINUITY PROGRAMS

representative conducting the inspection. (SEE FACILITY INSPECTION

DOCUMENT IN APPENDIX A-3.)

ii. [ENTITY 1] will comply with [ENTITY 2]’s procedures and requirements

for use of the facilities and any issues or questions shall be promptly

communicated to the [ENTITY 2] manager/supervisor, or designee.

iii. [ENTITY 1] shall be responsible for any damages caused to the property

which is the subject of this MOA, and for the acts or omissions of their

employees that may cause injury or damage to third parties to the extent

provided by and subject to the provision of the [INSERT LEGAL

CITATION IF APPLICABLE].

1. This provision shall survive the expiration or termination of this

Agreement and [ENTITY 1]’s obligation hereunder shall apply

whenever [ENTITY 2] incurs costs or liabilities for [ENTITY 1]’s

actions/use of the premises.

iv. [ENTITY 1] shall provide and use its own [LIST EQUIPMENT].

v. [ENTITY 1] shall coordinate the times, dates, and duration of any

activities which would involve a partial or complete use, such as training

and exercise activities, with the [ENTITY 2] at least [XX] months in

advance to eliminate or avoid any confusion or disruption to previously

planned or scheduled activities.

vi. [ENTITY 1] shall utilize facilities during its duty hours; however, outside

duty hours may be required and shall be coordinated with [ENTITY 2].

vii. [ENTITY 1] shall, at the conclusion of each use and occupancy of the

utilized premises, surrender to the [ENTITY 2], in the same or better

condition as they existed when initially occupied by [ENTITY 2], less and

except ordinary wear and tear. At the conclusion of each use, [ENTITY 1]

shall with a representative from the [ENTITY 2] complete a facility

inspection and overview documenting the condition of the premises, and

that they have been restored to the same condition as existed before their

use by [ENTITY 1], less and except ordinary wear and tear. Each party

shall receive a copy of this final inspection document signed by each

party’s representative conducting the inspection.

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FEMA NATIONAL CONTINUITY PROGRAMS

viii. [ENTITY 1] shall provide its own physical security on the premises, as it

deems necessary and appropriate as its sole and exclusive discretion.

ix. [ENTITY 1] will provide the [ENTITY 2] with a list of its authorized

personnel or contractors with access to the premises and comply with any

applicable [ENTITY 2] procedures.

x. [INSERT ADDITIONAL RESPONSIBILITES OF ENTITY 1].

b. Responsibilities of [ENTITY 2]

i. [ENTITY 2] has agreed to make the above described premises available

to [ENTITY 1] for not less than [#] days, except as set forth herein for the

above stated reasons.

ii. [ENTITY 2] will coordinate closely with [ENTITY 1] to provide access to

the previously described premises within [#] hours of a request and

[ENTITY 1] will provide the [ENTITY 2] with a list of its authorized

personnel or contractors and comply with any applicable [ENTITY 2]

procedures. The [ENTITY 2] will provide [ENTITY 1] with a list of

personnel authorized to grant access to the designated premises.

iii. [INSERT ADDITIONAL RESPONSIBILITES OF ENTITY 2]

6. POINTS OF CONTACT. The following persons are designated as the respective points

of contact for matters related to this MOA.

[ENTITY 1]

[ENTITY 2]

Name:

Title:

Agency:

Address:

City/State/Zip:

Business Phone:

Cell Phone:

Email:

Each party is responsible for notifying the other in writing of changes to POC information.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

7. HAZARDOUS MATERIALS. No hazardous materials shall be brought on to the property

identified in this MOA or into facility, including the operations area identified in this MOA,

without the knowledge and consent of the [ENTITY 2].

8. SEVERABILITY. Nothing in this agreement is intended to conflict with current Federal or

State law, rules, or regulations, or the directive of [ENTITY 1] or the [ENTITY 2]. If a term

of this MOA is inconsistent with any such authority, then the term shall be rendered

invalid, but the remaining terms and conditions of this agreement shall remain in full

force and effect.

9. EFFECTIVE DATE. The terms of this agreement shall be effective on the date of the last

signature of the authorized representatives of all parties.

10. DURATION. The terms of this agreement shall be [#] years from its effective date. This

MOA and Addendums, if any, may be extended by the parties by executing the attached

Addendum (see Appendix A-2).

11. MODIFICATION. Any modification of this MOA must be set forth in writing signed by

both parties hereto. Disputes regarding the terms and conditions of this MOA will be

resolved by the [ENTITY 2]’s leadership after consultation with the [ENTITY 1].

12. TERMINATION. Either party may terminate this agreement upon 30 days written notice

to the other party.

13. NOTICE. Notice to a party to the agreement shall be sufficient by electronic mail (email)

to the POC, and shall be deemed received on the same day it was sent.

14. LIABILITY. Nothing in this Agreement is intended to conflict with current law or

regulation or the directives of [ENTITY 1] or the [ENTITY 2]. If a term of this Agreement

is inconsistent with such authority, then that term shall be invalid, but the remaining

terms and conditions of this Agreement shall remain in full force and effect.

a. Any information shared under this Agreement will comply with the Privacy Act,

and to the extent required and allowable, the Freedom of Information Act (FOIA),

any other applicable statutes, Executive Order, or regulations.

b. This Agreement does not confer or create any right, benefit, or trust

responsibility, substantive or procedural, enforceable at law or equity, by any

third person or party (public or private) against the United States, its agencies its

officers, or any person; or against the [ENTITY 2] their officers or employees or

any other person.

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FEMA NATIONAL CONTINUITY PROGRAMS

c. The parties agree to be responsible for the negligent or wrongful acts or

omissions of their respective employees arising under this Agreement. The

parties agree – subject to any limitations imposed by law, rule, or regulation – to

cooperate in good faith to resolve any claims promptly and, whenever

appropriate, without litigation. For all claims or suits arising under this

Agreement, each party’s designated legal representatives will, within seven

calendar days of receipt, provide each other’s designated legal representatives

copies of any documents memorializing such claims.

15. NON-FUND OBLIGATING AGREEMENT. Nothing in this agreement shall authorize

either party to obligation or transfer any funds, or shall be construed as obligating or

expending funds in advance of, or in excess of those funds apportioned or appropriated

for [ENTITY 1] by [APPROPRIATING BODY]. Any specific work or activity that involved

the transfer of funds will require execution of a separate agreement and will be

contingent upon the availability of appropriated funds. Such activities must be

independently authorized by appropriate statutory authority. This agreement does not

provide such authority.

16. MERGER. This agreement represents the complete and entire Agreement of the parties

reduced to writing and said Agreement may not be changed, altered, or amended except

by a document of equal dignity executed by all parties.

APPROVED BY:

[ENTITY 1]

[ENTITY 2]

By:

____________________________________

[NAME]

[TITLE]

Date:_______________________________

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Appendix A-1:

Map

[INSERT MAP(S) OF FACILITY]

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FEMA NATIONAL CONTINUITY PROGRAMS

Appendix A-2

Addendum Number [#] to MOA

Between

[ENTITY 1] and [ENTITY 2]

Paragraph 9 is amended to extend the date of the expiration of the Agreement from ___ to

____. All of the other terms and conditions of the original Agreement shall remain in force and

effect.

Executed this__________day of ______________ 20__.

APPROVED BY:

[ENTITY 1]

[ENTITY 2]

By:

____________________________________

[NAME]

[TITLE]

Date:_______________________________

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Appendix A-3

Alternate Location Inspection Document Template

Facility Address: [TBD]

Inspection Factors

Yes No

Mitigation

Options

Available

The facility is sufficiently distanced from the primary facility.

The facility is sufficiently close to lodging to support deployed continuity

personnel at or near the facility.

The facility has sufficient space to accommodate ERG staff and

equipment required for essential functions.

The facility can accommodate the following pre-positioned resources:

• [List resources]

The facility provides for logistical support, services and infrastructure

systems (e.g., water, electrical power, heating and air conditioning).

The facility has physical security and access control capabilities.

The facility can support 24/7 operations if required.

The facility is located within acceptable proximity to food, water, fuel, and

medical treatment facilities.

The facility is located where vendor support can be acquired if

necessary.

Continuity communications and IT infrastructure can be established.

The facility has backup power generation.

The facility can accommodate communications requirements.

[ADD ADDITIONAL FACTORS AS NEEDED.]

The facility was inspected by:

____________________________________

[NAME]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

[TITLE]

[ENTITY 1]

[ENTITY 2]

Date:_______________________________

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

ANNEX 3: Continuity Plan Outline

Continuity Plan

[Department/Agency/Organization Name]

[Month Day, Year]

[Department/Agency/Organization Name]

[Street Address]

[City, State Zip Code]

[Department/Agency/Organization Symbol/Logo]

August 2018

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

PROMULGATION STATEMENT

[INSERT Promulgation Statement here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

iii

CONFIDENTIALITY STATEMENT

[INSERT Confidentiality Statement here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Table of Contents

PROMULGATION STATEMENT ...................................................................................................................... ii

CONFIDENTIALITY STATEMENT .................................................................................................................... iii

ESSENTIAL FUNCTIONS ................................................................................................................................. 6

Business Impact Analysis Summary .......................................................................................................... 6

Essential Functions and Resource Summary............................................................................................. 6

Support Functions ..................................................................................................................................... 6

Interdependencies .................................................................................................................................... 6

Mutual Aid ............................................................................................................................................ 6

Expected Costs .......................................................................................................................................... 6

ESSENTIAL RECORDS AND IT FUNCTIONS ..................................................................................................... 9

Identification and Storage ......................................................................................................................... 9

Backup and Protection .............................................................................................................................. 9

Recovery .................................................................................................................................................... 9

HUMAN RESOURCES ................................................................................................................................... 10

Roles and responsibilities ........................................................................................................................ 10

Senior Leadership ............................................................................................................................... 10

All Personnel ....................................................................................................................................... 10

Continuity Personnel .......................................................................................................................... 10

Succession and Delegations of Authority................................................................................................ 12

Additional Human Resources Considerations ......................................................................................... 12

Personal Recovery Assistance ............................................................................................................. 12

Replacing Staff .................................................................................................................................... 12

COMMUNICATIONS .................................................................................................................................... 13

Resilient Systems..................................................................................................................................... 13

Senior Leadership Communications ....................................................................................................... 13

Alert and Notification .............................................................................................................................. 13

Continuity Event Communications ......................................................................................................... 13

Contact Rosters ....................................................................................................................................... 14

Tracking the Threat ................................................................................................................................. 14

ALTERNATE LOCATIONS AND TELEWORK ................................................................................................... 15

Space and Infrastructure Summary ........................................................................................................ 15

Access to Communications, Internet, and Remote Servers .................................................................... 15

Contracts ................................................................................................................................................. 15

Maps, Directions, Security, and Access ................................................................................................... 15

Telework .................................................................................................................................................. 15

Activation/Relocation ............................................................................................................................. 15

RECONSTITUTION ........................................................................................................................................ 17

Procedures .............................................................................................................................................. 17

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Reconstitution Team ............................................................................................................................... 18

DEVOLUTION ............................................................................................................................................... 19

Contract ................................................................................................................................................... 19

Transfer of Essential Functions ............................................................................................................... 19

BUDGETING AND ACQUISITION .................................................................................................................. 21

Cost Prevention, Mitigation, and Reallocation ....................................................................................... 21

Emergency Procurement ........................................................................................................................ 21

MULTI-YEAR STRATEGIC PLANNING ........................................................................................................... 22

TRAINING, TESTING, AND EXERCISING (TT&E)............................................................................................ 23

Training ................................................................................................................................................... 23

Testing and Exercises .............................................................................................................................. 23

After-Action Evaluation and Improvement Planning .............................................................................. 23

APPENDIX A: LIST OF SUPPORT APPENDICES .............................................................................................. 25

APPENDIX B: AUTHORITIES AND REFERENCES............................................................................................ 26

APPENDIX C: ACRONYMS ............................................................................................................................ 27

APPENDIX D: PLAN MAINTENANCE ............................................................................................................ 28

Annual Review......................................................................................................................................... 28

Record of Distribution ............................................................................................................................. 28

Table 1: SAMPLE Essential Function Table ..................................................... Error! Bookmark not defined.

Table 2: SAMPLE Essential Records Database .............................................................................................. 9

Table 3: SAMPLE Continuity Personnel Roster ........................................................................................... 10

Table 4: SAMPLE Assignment of Responsibilities ....................................................................................... 11

Table 5: SAMPLE Go Kit Contents ............................................................................................................... 12

Table 6: SAMPLE Order of Succession List .................................................................................................. 12

Table 7: SAMPLE Communications Systems Tracking Table ....................................................................... 13

Table 8: SAMPLE Continuity Event Communications Tracking Table ......................................................... 14

Table 9: SAMPLE Alternate Location Checklist ........................................................................................... 16

Table 10: SAMPLE Reconstitution Checklist ............................................................................................... 17

Table 11: SAMPLE Reconstitution Team Responsibility Chart .................................................................... 18

Table 12: SAMPLE TT&E Documentation .................................................................................................... 23

Table 13: SAMPLE Corrective Action Program Documentation ................................................................. 24

Table 14: SAMPLE Continuity Program Review Table ................................................................................. 28

Table 15: SAMPLE Continuity Plan Distribution Record ............................................................................. 28

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

ESSENTIAL FUNCTIONS

[Insert summary narratives below, or use the table provided.]

Business Impact Analysis Summary

[INSERT Business Impact Analysis summary here.]

Essential Functions and Resource Summary

[INSERT Business Process Analysis summary here.]

Support Functions

[INSERT summary of essential functions support activities here.]

Interdependencies

[INSERT description of interdependencies here.]

Mutual Aid

[INSERT mutual aid associated with essential functions here.]

Expected Costs

[INSERT expected costs associated with essential functions here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Table 1: SAMPLE Essential Function Table

Essential Function

Recovery

Time

Objective

Responsible Personnel

[List max time

to resume

function.]

[List staff and managers responsible for essential function.]

Resources

[Insert required equipment, supplies, records, etc.]

Work Location & Space Requirements

[Insert organizational

essential function

here]

[Insert continuity facility or telework location, IT, and communications access

needs.]

Supporting Activities

[Insert essential supporting activities.]

Interdependencies

[Insert other entities who provide required work or resources. Include mutual aid

agreements where applicable.]

Expected Costs

[Insert the costs associated with the implementation of the essential function.]

Note: Repeat this table for each EF.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Note: Repeat this work flow process for each EF.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

ESSENTIAL RECORDS AND IT FUNCTIONS

Identification and Storage

[INSERT essential records list and database here.]

Table 2: SAMPLE Essential Records Database

Essential Record,

File, or Database

Support

Essential

Function

Form of

Record

(e.g.,

hardcopy,

electronic)

Pre-

positioned

Alternate

Location

Hand

Carried to

Alternate

Location

Multiple

Storage

Location(s)

Y/N

Maintenance

Frequency

Mapping Database

Function

Electronic

X Y

Monthly

Licensed Spill

Cleanup

Contractors List

Function

#1 & 3

Hardcopy

X N

Quarterly

Regional Dams List

Function

Hardcopy

X N

Annually

Pollution/Chemical

Incident Database

Function

#3 & 4

Electronic

X N

Monthly

Public and Private

Sewage System

Records

Function

#3, 4, & 5

Electronic

X Y

Quarterly

Backup and Protection

[INSERT process for backing up and protection essential records here.]

Recovery

[INSERT process for restoring damaged records here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

HUMAN RESOURCES

Roles and responsibilities

[INSERT a description of roles and responsibilities for personnel here or use the table provided.]

Senior Leadership

[INSERT a description of roles and responsibilities for senior personnel here.]

All Personnel

[INSERT a description of roles and responsibilities for organization personnel here.]

Personnel Accountability

[INSERT guidelines for personnel accountability here.]

Continuity Personnel

[INSERT a description of roles and responsibilities for Continuity Team personnel here.]

Table 3: SAMPLE Continuity Personnel Roster

Function

Title/ Position

Name

Telephone Numbers

Additional Information

EF #1: Approve

and oversee

cleanup of

contaminated

sites.

Division Head,

Enforcement

and Remediation

Division

John Smith

H: (###) ###-####

W: (###) ###-####

C: (###) ###-####

Insert other organization-

required information, i.e.

duty station and

addresses

Alternate:

Deputy Division

Head,

Enforcement and

Remediation

Division

Jane Doe

H: (###) ###-####

W: (###) ###-####

C: (###) ###-####

Insert other organization-

required information, i.e.

duty station and

addresses

Chief,

Enforcement

Branch

Sally Dune

H: (###) ###-####

W: (###) ###-####

C: (###) ###-####

Insert other organization-

required information, i.e.

duty station and

addresses

Alternate:

Deputy Chief,

Enforcement

Branch

Jim Rich

H: (###) ###-####

W: (###) ###-####

C: (###) ###-####

Insert other organization-

required information, i.e.

duty station and

addresses

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Table 4: SAMPLE Assignment of Responsibilities

Position

Responsibilities

Organization

Head

• Provide overall policy direction, guidance, and objectives for continuity planning.

• Provide necessary resources to support the implementation of the organization

Continuity Plan and supporting activities (e.g., training, exercise).

• Ensure adequate funding is available for emergency operations.

•

Ensure all organization components participate in TT&E activities.

Continuity

Coordinator/

Manager

• Provide strategic leadership and overarching policy direction for the continuity

program.

• Serve as the organization continuity program point of contact (POC).

• Implement the Continuity Plan when necessary, or when directed by a higher

authority.

• Maintain orders of succession and delegations of authority.

• Update Continuity Plan annually.

• Develop and lead continuity training.

• Plan continuity exercises.

• Update telephone rosters monthly.

•

Conduct alert and notification tests.

Essential

Records

Manager

• Review status of essential records, files, and databases.

• Provides for proper storage and protection of essential records.

Continuity

Personnel

• Be prepared to deploy and support organization EFs in the event of Continuity Plan

implementation.

• Provide current contact information to manager.

• Be familiar with continuity planning and know individual roles and responsibilities

in the event of Continuity Plan activation.

• Participate in continuity training and exercises as directed.

• Have a telework agreement in place, if applicable.

Department

Directors

(See list of

EFs)

• Appoint a POC for coordination and implementation of the Continuity Plan.

• Keep Continuity Coordinator/Manager informed of any changes in the designation

of the office continuity POC.

• Identify EFs to be performed when any element of the organization is relocated as

part of the Continuity Plan.

• Identify those functions that can be deferred or temporarily terminated in the

event the Continuity Plan is implemented.

• Maintain a current roster of Continuity Team members.

• Maintain current personnel emergency notification, accountability, and relocation

rosters.

• Prepare backup copies or updates of essential records.

• Ensure that the time and attendance function is represented on the Continuity

Team.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Table 5: SAMPLE Go Kit Contents

Date added

Item

Most recent

replacement

date

mm/dd/yy

Succession and Delegations of Authority

[INSERT lines of succession and delegations of authority here.]

Table 6: SAMPLE Order of Succession List

Position

Designated Successors

Director, Bureau of Water

Management

1. Deputy Director, Bureau of Water Management

2. Division Head, Enforcement and Remediation Division

3. Division Head, Standards and Planning Division

Additional Human Resources Considerations

[INSERT guidelines for additional human resources considerations here.]

Personal Recovery Assistance

[INSERT a description personal recovery assistance offered by the organization here.]

Replacing Staff

[INSERT guidelines for replacing or augmenting staff here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

COMMUNICATIONS

[INSERT guidelines for communications systems here.]

Resilient Systems

[INSERT an overview of communications systems here.]

Table 7: SAMPLE Communications Systems Tracking Table

Communication

System

Support to

Essential

Function

Current

Provider

Specification

Alternate

Provider

Special

Notes

Non-Secure Phones

Secure Phones

Fax Lines

Cellular Phones

Satellite

Pagers

E-mail

Internet Access

Data Lines

Two-way Radios

GETS Cards

[Insert other options

here]

Senior Leadership Communications

[INSERT guidelines for maintaining senior leadership communications here.]

Alert and Notification

[INSERT the process for alert and notification here.]

Continuity Event Communications

[INSERT guidelines for continuity event communications here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Table 8: SAMPLE Continuity Event Communications Tracking Table

Sender Receiver Method Message Frequency

Receipt

Notification

Contact Rosters

[INSERT contact rosters here or add to the appendix.]

Tracking the Threat

[INSERT the process for tracking the development of the incident here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

ALTERNATE LOCATIONS AND TELEWORK

[INSERT a description of the alternate location(s) and guidelines for telework here.]

Space and Infrastructure Summary

[INSERT a description of space and infrastructure requirements here.]

Access to Communications, Internet, and Remote Servers

[INSERT a description of communications and IT system requirements here.]

Contracts

[INSERT a description or the location of contracts for alternate locations here.]

Maps, Directions, Security, and Access

[INSERT maps, directions, security, and access guidelines for alternate location(s) here.]

Telework

[INSERT guidelines for telework here.]

Activation/Relocation

[INSERT the process for personnel activation and relocation (if required) here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Table 9: SAMPLE Alternate Location Checklist

Alternate Location Checklist

Upon arrival at the alternate location, continuity personnel will:

 Check in

 Receive instructions and equipment

 Report to work station as identified in [insert location] or as otherwise designated during the

activation process

 Retrieve pre-positioned or transported information and resources, and activate specialized systems

or equipment

 Monitor the status of personnel and resources

 Conduct EFs

 Prepare and disseminate reports, as required

 Comply with any additional continuity reporting requirements

 Communicate contact information to family members, next of kin, and emergency contacts

 [Insert additional tasks here]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

RECONSTITUTION

[INSERT guidelines for primary operating location reconstitution here or reference location of a

separate Reconstitution Plan.]

Procedures

[INSERT guidelines for primary operating location reconstitution here.]

Table 10: SAMPLE Reconstitution Checklist

Reconstitution Checklist

 Identify the Reconstitution Manager for all phases of the reconstitution process.

 Reconstitution will commence when the [Organization Head] or another authorized person

ascertains that the emergency situation has ended and is unlikely to reoccur.

 Within [insert number] hours of the Continuity Plan activation, each [Organization Name]

subcomponent will designate a reconstitution POC to work with the Reconstitution Team and to

update office personnel on developments regarding reconstitution.

 [Insert office/title] should determine the status of the primary operating facility affected by the

event by [insert methods here].

 [Organization Name], in conjunction with [insert offices and organizations here], will determine

how much time is needed to repair the primary operating facility and/or acquire a new facility.



Should [Organization Name] decide to repair the facility, [insert office/title] has the responsibility

of supervising the repair process and should notify [insert office/title] of the status of repairs,

including estimates of when the repairs will be completed.



Before relocating to the recovered or replaced primary operating facility, the [insert office/title]

will conduct appropriate security, safety, and health assessments to determine building suitability.



[Insert office/title] will verify that all systems, communications, and other required capabilities are

available and operational and that the [Organization Name] is fully capable of accomplishing all

essential functions and operations at the new or restored primary operating facility.



Upon verification that the required capabilities are available and operational, and that the

[Organization Name] is fully capable of accomplishing all essential functions and operations at the

new or restored facility, the [insert office/title] will begin supervising a return of personnel,

equipment, and documents to the primary operating facility.



The phase-down and return of personnel, functions, and equipment will follow the priority-based

plan and schedule outlined below; the [Organization Name] will develop return plans based on the

incident and facility within [insert number] hours of plan activation.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Reconstitution Team

[INSERT guidelines for Reconstitution Team expectations here.]

Table 11: SAMPLE Reconstitution Team Responsibility Chart

Position

Responsibilities

Organization

Head

• Provide overall policy direction, guidance, and objectives for continuity planning.

• Provide necessary resources to support the implementation of the organization

Continuity Plan and supporting activities (e.g., training, exercise).

• Ensure adequate funding is available for emergency operations.

•

Ensure all organization components participate in TT&E activities.

Reconstitution

Manager

• Provide strategic leadership and overarching policy direction for reconstitution

activities.

• Serve as the organization reconstitution POC.

• Implement the Reconstitution Plan when necessary, or when directed by a higher

authority.

• Update Reconstitution Plan annually.

• Assemble and train reconstitution team.

• Conduct TT&E activities.

• Coordinate with Continuity Manager.

• Oversee and monitor work on primary facility.

•

Plan phased transition of EF to primary facility.

Reconstitution

Team

Personnel

• Be prepared to deploy and support reconstitution activities

• Provide current contact information to manager.

• Be familiar with reconstitution planning and know individual roles and

responsibilities in the event of activation.

• Participate in continuity training and exercises as directed.

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

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DEVOLUTION

[INSERT guidelines for devolution here or reference location of a separate Devolution Plan (if

applicable).]

Contract

[INSERT a copy of devolution contracts here or reference location of the contract(s) (if applicable).]

Transfer of Essential Functions

[INSERT the procedures for transferring essential functions (if applicable) here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

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Continuity Program Management

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

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BUDGETING AND ACQUISITION

[INSERT continuity program budgeting and resource acquisition guidelines here.]

Cost Prevention, Mitigation, and Reallocation

[INSERT continuity program cost prevention, mitigation, and reallocation strategies here.]

Emergency Procurement

[INSERT continuity program emergency procurement procedures here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

MULTI-YEAR STRATEGIC PLANNING

[INSERT continuity program multi-year strategies planning here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

TRAINING, TESTING, AND EXERCISING (TT&E)

[INSERT a description of the continuity TT&E program here.]

Table 12: SAMPLE TT&E Documentation

Event

Event Type

and Purpose

Date

Confirmation Initials

or Signature

Continuity Facility

Communications

Check

Test and validate equipment

to ensure internal / external

interoperability and viability

of communications systems

August 1, 2010

[insert signature]

Participants

Office

Phone/Email

Jane Doe

Office of the Director

222-222-2222

jane.doe@agency.gov

/s/ Jane Doe

Jon Smith

Human Resources

111-111-1111

jon.smith@agency.gov

/s/ John Smith

Training

[INSERT a description of the continuity program training activities here.]

Testing and Exercises

[INSERT a description of the continuity program testing and exercise activities here.]

After-Action Evaluation and Improvement Planning

[INSERT a description of the continuity program after action and improvement planning activities here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

Table 13: SAMPLE Corrective Action Program Documentation

Capability Observation Recommendation

Corrective

Action

Capability

Element

Primary

Responsible

Office

Organization

POC

Start

Date

End

Date

Planning

Organization

did not

conduct a

hotwash

following

March 20xx

exercise.

Organization

should conduct

hotwashes in

order to allow

participants to

provide

suggestions on

areas of strengths

and weaknesses.

Exercise

director

will plan

and

execute

hotwash

after

December

20xx

exercise

and

incorporate

comments

into AAR.

Planning

[Organization

Name]

Exercise

Director, Jon

Doe, (111)

111-1111

Mar.

20xx

Dec.

20xx

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

APPENDIX A: LIST OF SUPPORT APPENDICES

[INSERT a Continuity Plan specific appendices here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

APPENDIX B: AUTHORITIES AND REFERENCES

[INSERT a list of authorities and references used in this plan here.]

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

APPENDIX C: ACRONYMS

Acronym

Definition

AAR

After Action Report

BIA

Business Impact Analysis

BPA

Business Process Analysis

CAP

Corrective Action Program

CAT

Continuity Assessment Tool

CGC

Continuity Guidance Circular

Essential Function

Information Technology

MOA

Memorandum of Agreement

MOU

Memorandum of Understanding

POC

Point of Contact

RTO

Recovery Time Objective

SLA

Service Level Agreement

SOP

Standard Operating Procedure

TT&E

Training, Testing, & Exercise

BIA

Business Impact Analysis

BPA

Business Process Analysis

Essential Function

Information Technology

POC

Point of Contact

RTO

Recovery Time Objective

SOP

Standard Operating Procedure

CONTINUITY PLAN TEMPLATE FOR NON-FEDERAL ENTITIES AUGUST 2018

FEMA NATIONAL CONTINUITY PROGRAMS

APPENDIX D: PLAN MAINTENANCE

Annual Review

[INSERT the process for conducting an annual review of the plan here.]

Table 14: SAMPLE Continuity Program Review Table

Element Reviewed

Date of Last

Review

Individuals Conducting

Review

Continuity Plan

Essential Functions

Risk Assessment

Business Impact Analysis

Business Process Analysis

Alternate Location(s) Suitability and Functionality

Alternate Location(s) MOA/MOU

Continuity Communications’ ability to support

Essential Functions fully

Record of Distribution

[INSERT the process for distributing the plan to internal and external partners here.]

Table 15: SAMPLE Continuity Plan Distribution Record

Date of

Delivery

Number of Copies

Delivered

Method of Delivery

Name, Title, and Organization of

Receiver