Reconstitution Plan/Annex Template and Instructions (February 2011) [Organization Name] [Month Day, Year] [Organization Name] [Street Address] [City, State Zip Code] [Organization Symbol/Logo] THIS PAGE INTENTIONALLY LEFT BLANK TEMPLATE INSTRUCTIONS This template is based on Federal Continuity Directive 1 (FCD 1), Federal Executive Branch National Continuity Program and Requirements, February 2008 and Continuity Guidance Circular 1 (CGC 1), Continuity Guidance for Non-Federal Entities (States, Territories, Tribal, and Local Government Jurisdictions and Private Sector Organizations), January 21, 2009, and provides structure and recommended content for developing a Reconstitution plan/annex. Reconstitution is the process by which surviving and/or replacement organization personnel resume normal agency operations from the original or replacement primary operating facility. Use of this template is not mandatory. Organizations are encouraged to tailor their Reconstitution Plan/Annex to meet their specific continuity planning and operational needs. Sample text and instructions have been provided throughout the template. Once organization-specific information is entered into the body of the template, please delete the italicized instructions and the word “template” throughout the document. This template is unclassified in its current form; when the template is completed each organization should classify the document to meet their internal program guidance. Organizations should consider their plan as For Official Use Only (FOUO), if it contains sensitive information. An electronic version of this document, in portable document format (PDF) is available on the FEMA website (http://www.fema.gov/about/org/ncp/coop/templates.shtm). To request a Microsoft® Word version please contact the National Continuity Programs, Continuity of Operations Division via e-mail (FEMA-NCP-Federal-Continuity@dhs.gov). Questions concerning this guide can be directed to: National Continuity Programs Continuity of Operations Division Federal Emergency Management Agency 500 C Street, SW, Suite 515 Washington, DC 20472 FEMA-NCP-Federal-Continuity@dhs.gov FEMA-STTLContinuity@dhs.gov (202) 646-3187 THIS PAGE INTENTIONALLY LEFT BLANK FOREWORD The foreword introduces reconstitution and establishes the Organization’s rationale for creating the Reconstitution Plan/Annex. It should include the signature of the Organization director or other senior official as a means of demonstrating that the Plan/Annex is valid and approved. Organizations should tailor this section to meet their specific continuity planning and operational needs. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. The [Organization Name] supports the overall [enter parent organization name here] mission by [describe how the organization supports the mission of the parent organization]. To accomplish its mission, the [Organization Name] must ensure that operations continue during any emergency, with minimal disruption to essential functions. The [Organization Name] Continuity Plan provides direction and guidance to ensure their ability to conduct its essential missions and function under all threats and conditions. The Continuity Plan is implemented based on four phases—Phase I: Readiness and Preparedness, Phase II: Activation and Relocation, Phase III: Continuity Operations, and Phase IV: Reconstitution. The Reconstitution Plan/Annex is a companion document to the [Organization Name] Continuity Plan and focuses on Continuity Plan implementation Phase IV: Reconstitution. This Plan/Annex provides guidance and direction for surviving and/or replacement [Organization Name] personnel to resume normal organization operations from a primary operating facility, a temporary operating facility, or a new/rebuilt operating facility once the [Organization Head Title] or successor determines that reconstitution operations for resuming normal business operations can be initiated. This Plan/Annex has been developed in accordance with guidance in National Security Presidential Directive (NSPD) – 51/Homeland Security Presidential Directive (HSPD) – 20, National Continuity Policy; Homeland Security Council, National Continuity Policy Implementation Plan; Federal Continuity Directive 1 (FCD 1), Federal Executive Branch National Continuity Program and Requirements; Continuity Guidance Circular 1 (CGC 1), Continuity Guidance for Non-Federal Entities (States, Territories, Tribal, and Local Government Jurisdictions and Private Sector Organizations), January 21, 2009, and other related Directives and guidance. [Signature goes here]___________ [Organization Head Name] [Organization Head Title] [Organization Name] THIS PAGE INTENTIONALLY LEFT BLANK TABLE OF CONTENTS TEMPLATE INSTRUCTIONS .................................................................................................................... i TABLE OF CONTENTS............................................................................................................................ v CHAPTER 1 - INTRODUCTION ............................................................................................................ 1-1 1-1. Purpose ........................................................................................................................ 1-1 1-2. Applicability and Scope ................................................................................................ 1-1 1-3. Reconstitution Planning Levels .................................................................................... 1-1 1-4. [Plan/Annex] Organization........................................................................................... 1-2 1-5. Objectives..................................................................................................................... 1-2 1-6. Planning Assumptions .................................................................................................. 1-3 1-7. Authorities ................................................................................................................... 1-4 1-8. References ................................................................................................................... 1-4 1-9. Definitions .................................................................................................................... 1-4 1-10. Responsibilities ............................................................................................................ 1-6 CHAPTER 2 - CONCEPT OF OPERATIONS........................................................................................... 2-1 2-1. Phase I: Preparedness—Planning and Preparing for Reconstitution ......................... 2-2 2-2. Phase II: Reconstitution Operations—Transitioning to Normal Operations .............. 2-2 2-3. Phase III: Post-Reconstitution—Resuming Normal Operations and Conducting After Action Review .................................................................................................... 2-3 CHAPTER 3 - RECONSTITUTION IMPLEMENTATION ......................................................................... 3-1 3-1. Preparedness ............................................................................................................... 3-1 3-2. Reconstitution Operations ........................................................................................... 3-5 3-3. POST-Reconstitution .................................................................................................... 3-9 CHAPTER 4 - RESOURCES AND CAPABILITIES REQUIREMENTS ........................................................ 4-1 4-1. Reconstitution Level 1 (OPERATIONAL PLANNING) ..................................................... 4-1 4-2. Reconstitution Level 2 (SHORT TERM PLANNING) ...................................................... 4-2 4-3. Reconstitution Level 3 (LONG TERM PLANNING) ........................................................ 4-3 APPENDIX A: SUPPLEMENTAL CHECKLIST ......................................................................................... A-1 APPENDIX B: CONTACT LISTS ............................................................................................................ B-1 APPENDIX C: SPACE REQUIREMENTS................................................................................................ C-1 APPENDIX D: PHASE DOWN PLAN ................................................................................................... D-1 APPENDIX E: ESSENTIAL FUNCTION RECONSTITUTION PRIORITIES ................................................. E-1 APPENDIX F: AFTER ACTION REPORT/IMPROVEMENT PLAN TEMPLATE ......................................... F-1 APPENDIX G: ACRONYMS................................................................................................................. G-1 THIS PAGE INTENTIONALLY LEFT BLANK CHAPTER 1 - INTRODUCTION This section should introduce the plan by briefly describing the plan’s purpose, to whom the plan applies and what the plan encompasses. In general, it should provide an overview of what the plan is about and the authorities and references on which it is based. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. The [Organization Name] Continuity Plan provides continuity planning, program direction, and guidance as a means of ensuring [Organization Name] is capable of conducting its essential missions and functions under all threats and conditions. This Reconstitution [Plan/Annex] is a companion document to the [Organization Name] Continuity Plan and focuses on resuming performance of the [Organization Name]’s essential functions at the primary operating facility, a temporary operating facility, or a new or rebuilt operating facility after a continuity or devolution event or once threat of the event is over. 1-1. PURPOSE The Reconstitution [Plan/Annex] provides guidance and direction for ensuring the effective transition and phase-down of continuity operations at the continuity facility or devolution site and transfer of essential functions, personnel, records, and equipment back to [Organization Name]’s primary operating facility, a temporary operating facility, or a new or rebuilt operating facility. 1-2. APPLICABILITY AND SCOPE This [Plan/Annex] applies to all of the [Organization Name]’s senior leadership and staff. It addresses processes, procedures, activities, actions, operations, and resources necessary to ensure the effective transition from continuity or devolution operations back to normal operations. 1-3. RECONSTITUTION PLANNING LEVELS Reconstitution planning levels have been created to focus and support the reconstitution planning process; a description of the levels is provided below. • Reconstitution Level 1 (Operational Planning): The primary operating facility has suffered no damage or has been minimally damaged. Planning for this level of disruption focuses on returning operations to the primary operating facilities, which includes restoring normal operations with personnel, records, and equipment at the primary operating facility once the threat or disruption has ended. This level generally would last less than 30 days. • Reconstitution Level 2 (Short Term Planning): The primary operating facility has been moderately damaged. Planning for this level of disruption focuses on moving operations to a temporary operating facility, which includes restoring normal operations with personnel, records, and equipment at a temporary operating facility. This level generally would last from one to six months. • Reconstitution Level 3 (Long Term Planning): The primary operating facility has been severely damaged or damaged beyond repair. Planning for this level of disruption focuses on moving operations to a new or rebuilt operating facility, which includes restoring normal operations with personnel, records, and equipment at a new or rebuilt operating facility. This level generally will last six months or longer. 1-4. [PLAN/ANNEX] ORGANIZATION This section should describe the document structure to include a brief overview for each section. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. The Reconstitution [Plan/Annex] chapters and appendices are described below. • Chapter 1, Introduction— Describes the plan purpose, applicability and scope, reconstitution planning levels, plan objectives, and planning assumptions. • Chapter 2, Concept of Operations—Discusses how reconstitution will be implemented, either from a continuity facility or devolution site. • Chapter 3, Reconstitution Implementation—Describes the processes, procedures, activities, and actions associated with implementing reconstitution. • Chapter 4, Resource and Capability Requirements—Describes the resources and capability requirements needed to transition back to the primary operating facility, a temporary operating facility, or a new or rebuilt operating facility. The appendices provide additional information and detail to enhance and further support reconstitution plan implementation. • Appendix A—Supplemental Checklists • Appendix B—Contact Lists • Appendix C—Space Requirements • Appendix D—Phase Down Plan • Appendix E—Essential Functions Reconstitution Priority • Appendix F—After Action Report/Improvement Plan Template • Appendix G—Acronyms 1-5. OBJECTIVES This section should briefly describe what the Plan/Annex is intended to accomplish. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. The overall objectives of the [Organization Name]’s Reconstitution [Plan/Annex] are to identify and outline the processes and procedures to return to normal operations once the [Organization Head Title] or successor determines that reconstitution operations for resuming normal business operations can be initiated. Specific plan objectives are listed below. • Provide an executable plan for transitioning back to efficient normal operational status from continuity operations status or devolution status, once a threat or disruption has passed. • Coordinate and pre-plan options for organization reconstitution regardless of the level of disruption that originally prompted the organization to implement its continuity plans. These options must include moving operations from the continuity facility or devolution site to the primary operating facility, a temporary operating facility, or a new or rebuilt operating facility. • Outline and execute the necessary procedures, whether under a standard continuity of operations event or under a devolution event, for conducting a smooth transition from the continuity facility to the primary operating facility, a temporary operating facility, or a new/rebuilt operating facility. • Ensure a safe location for organization staff to resume normal organization operations. • Reduce or mitigate disruptions to organization operations. • Ensure and validate reconstitution operations readiness through an integrated continuity test, training, and exercise program and operational capability. 1-6. PLANNING ASSUMPTIONS This section should briefly describe planning assumptions that were made in the development of the Reconstitution Plan/Annex. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. The [Organization Name]’s Reconstitution [Plan/Annex] is based on the following assumptions: • The emergency situation (continuity/devolution event) has ended and is unlikely to reoccur. • The Emergency Relocation Group (ERG) has relocated to a continuity facility in response to the emergency or the Devolution Emergency Relocation Group (DERG) has assumed essential functions. • The [Organization Name]’s essential functions were transferred to the continuity facility or the devolution site. • The [Title] will serve as the organization’s Reconstitution Manager. • Continuity facility and the ERG or devolution staff will support the transfer of the [Organization Name]’s essential functions to the primary operating facility, a temporary operating facility, or a new or rebuilt operating facility. 1-7. AUTHORITIES This section should include the documents that apply to the organization’s mission, continuity operations, and reconstitution operations. Included in the list should be documents that formally establish the organization’s key programs. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. • Title 44, Code of Federal Regulations (CFR) Part 2, Subpart A – Organization, Functions, and Delegations of Authority, dated October 1, 2005. • Title 41, CFR 102-74.230 through 74.260, Occupant Emergency Program, revised on July 1, 2005. • Title 36, CFR Part 1236, Management of Vital Records, revised on July 1, 2005. • Federal Continuity Directive 1 (FCD 1), Federal Executive Branch National Continuity Program and Requirements, dated February 2008. • Federal Continuity Directive 2 (FCD 2), Federal Executive Branch Mission Essential Function and Primary Mission Essential Function Identification and Submission Process, dated February 2008. • [Organization Name] Continuity of Operations Plan, dated [enter date of approval here]. • [Enter continuity facility name here] Site Support Procedures, [Organization Name] Continuity of Operations Plan, dated [enter the procedures or manual date of approval here]. • [Enter additional references here]. 1-8. REFERENCES This section should include regulations that govern the procedures and logistics included in the Plan/Annex. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. • [Organization Name] Continuity Plan, dated [enter date of approval here]. • [Enter continuity facility name here] Site Support Procedures, [Organization Name] Continuity Operations, dated [enter the procedures or manual date of approval here]. • [Enter additional references here]. 1-9. DEFINITIONS This section should list key words, phrases, and terminology unique to the Plan/Annex. Each word, phrase, and term should be clearly defined. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. Terms that are unique to the Reconstitution [Plan/Annex] are defined below. • Continuity of Operations: An effort within individual agencies to ensure they can continue to perform their Mission Essential Functions (MEFs) and Primary Mission Essential Functions (PMEFs) during a wide range of emergencies, including localized acts of nature, accidents, and technological or attack-related emergencies. • Devolution: The capability to transfer statutory authority and responsibility for essential functions from an organization’s primary operating staff and facilities to other organization employees and facilities, and to sustain that operational capability for an extended period. • Devolution Emergency Response Group (DERG): Regional, interagency, and available headquarters staff that assume the responsibility and execution of headquarters essential functions during a Devolution of Operations activation. • Emergency Relocation Group (ERG): Pre-designated staff that move to an alternate facility to continue essential functions in the event that their normal work locations are threatened or have been incapacitated by an incident. • Essential Functions: The critical activities performed by organizations, especially after a disruption of normal activities. There are three categories of essential functions: National Essential Functions (NEFs), PMEFs, and MEFs. • Reconstitution: The process by which surviving and/or replacement agency personnel resume normal agency operations from the original or replacement primary operating facility. • Reconstitution Level: The planning effort required to restore an organization to pre-event operating status. Level I (Operational Planning) – the primary operating facility has suffered no or minimal damage, Level 2 (Short Term Planning) – The primary operating facility has been moderately damaged and may take six months to restore, the organization may require temporary facilities to continue operations after an event, Level 3 (Long Term Planning) – The primary operating facility has been severely damaged or damaged beyond repair and may take a year or longer to restore or rebuild. The use of a temporary facility will be required to continue the organization’s mission after an event. • Reconstitution Phases: Reconstitution is comprised of three phases including: Phase I: Preparedness, planning and preparing to support reconstitution operations; Phase II: Reconstitution Operations, transitioning from an alternate facility to normal operations at the primary operating facility, a temporary operating facility, or a new or rebuilt operating facility; and Phase III: Post-Reconstitution, normal operations, after action review, and development of After Action Report/Improvement Plan (AAR/IP). • [Add term as necessary]: [Add definition as necessary] 1-10. RESPONSIBILITIES This section should address responsibilities for personnel with key responsibilities associated with the Plan/Annex. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. • The [responsible office/division]: Leads the [Organization Name] reconstitution planning effort, to include the development of the Reconstitution [Plan/Annex] and implementing processes and procedures. • The [Agency Head] or Successor: Activates the Reconstitution [Plan/Annex] • The Reconstitution Manager: Identifies, coordinates, and trains personnel who will support reconstitution operation • Reconstitution Planning Team member: Supports development of the Reconstitution [Plan/Annex] and the processes and procedures to resume [Organization Name]’s operations at the primary operating facility, a temporary operating facility, or a new or rebuilt operating facility • The [Organization Name]’s offices and divisions: Ensure the Reconstitution Team is trained, equipped, and has access to all vital records, databases, and supporting materials to facilitate the transition of essential functions and responsibilities from the [Organization Name]’s continuity facility or devolution site back to the primary operating facility, a temporary operating facility, or a new or rebuilt operating facility after the continuity event has ended CHAPTER 2 - CONCEPT OF OPERATIONS This section should describe how the organization will reconstitute after a continuity or devolution event; it should describe three phases of reconstitution—planning and preparing for reconstitution, transitioning back to normal operations, and conducting an after action review. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. Reconstitution comprises three phases, as described below, and focuses on ensuring the [Organization Name]’s readiness to perform the roles and responsibilities associated with reconstitution operations; executing the reconstitution activities and action, processes and procedures; and reviewing and evaluating the reconstitution process once the continuity event or devolution event is over. Figure 2.1 Three Phases of Reconstitution In addition to the phases of reconstitution, reconstitution levels, as described below, have been established to support the planning process and focus the level of effort based on the situation. Table 2.1 Reconstitution Levels Reconstitution Level Description Level 1 (Operational Planning) The primary operating facility has suffered no damage or has been minimally damaged. Planning for this level of disruption focuses on returning operations to the primary operating facilities, which includes restoring normal operations with personnel, records, and equipment at the primary operating facility once the threat or disruption has ended. This level generally would last less than 30 days. Level 2 (Short Term Planning) The primary operating facility has been moderately damaged. Planning for this level of disruption focuses on moving operations to a temporary operating facility, which includes restoring normal operations with personnel, records, and equipment at a temporary operating facility. This level generally would last from one to six months. Reconstitution Level Description Level 3 (Long Term Planning) The primary operating facility has been severely damaged or damaged beyond repair. Planning for this level of disruption focuses on moving operations to a new or temporary primary operating facility, which includes restoring normal operations with personnel, records, and equipment at a new or rebuilt operating facility. This level generally will last six months or longer. 2-1. PHASE I: PREPAREDNESS—PLANNING AND PREPARING FOR RECONSTITUTION This section should describe the process of planning and preparing to implement the organization’s Reconstitution Plan/Annex; it describes the activities to be performed to support an organization’s readiness and ability to conduct reconstitution operations. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. During Phase I, the [Organization Name] will focus on staff and resource readiness to perform and/or support reconstitution and post-reconstitution operations. Key activities during this phase include those listed below. • Develop reconstitution plans, procedures, and processes • Develop checklists and key personnel contact lists • Develop vital records list • Develop reconstitution packet • Identify the Reconstitution Manager and potential Reconstitution Team members • Identify, train, and exercise building damage assessment and recovery team • Establish and enter into memorandums of understanding/memorandums of agreement (MOU/MOA) • Conduct training and exercises for continuity/reconstitution personnel 2-2. PHASE II: RECONSTITUTION OPERATIONS—TRANSITIONING TO NORMAL OPERATIONS This section should describe the process of moving from continuity or devolution operations to normal operations. The focus for this phase is the transfer of essential functions back to the primary operating facility, a temporary operating facility, or a new or rebuilt operating facility. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. During Phase II, the [Organization Name] will focus on transferring the essential functions from the continuity facility or devolution site back to normal operations either at the primary operating facility, a temporary operating facility, or a new or rebuilt operating facility. Specific actions and activities performed during this phase include, but are not limited to, those listed below. • Convene the Reconstitution Team • Assess the threat/hazard • Evaluate safety and habitability of primary operating facility • Recover salvageable items and security equipment (i.e., classified materials, communications security equipment) • Conduct system and communications checks • Assess reconstitution level • Conduct facility safety inspection of primary operating facility, temporary operating facility, or new/temporary operating facility • Coordinate and collaborate with senior leadership and key stakeholders • Maintain communications with non-ERG staff 2-3. PHASE III: POST-RECONSTITUTION—RESUMING NORMAL OPERATIONS AND CONDUCTING AFTER ACTION REVIEW This section should describe the process of resuming normal and reviewing and evaluating the reconstitution process after the continuity/devolution event is over and the organization has transitioned back to normal operations. The activities and actions associated with this step focus on conducting facilities, communications, and information technology tests focused on resuming normal operations and identifying lessons learned, best practices, and improvement needs and documenting those findings in an after action report. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. During Phase III, the [Organization Name] will focus on conducting normal operations, shutting down operations at the continuity or devolution site, and reviewing and evaluating the overall reconstitution process by conducting an after action review for the purpose of evaluating the effectiveness of the reconstitution policy, plans, processes, and procedures. Through this review, the [Organization Name] will identify lessons learned, best practices, and improvement needs. An after action report (AAR) and improvement plan (IP) will be developed. Specific activities performed during this phase include those listed below. • Implement phase down plan • Conduct normal operations • Conduct post-reconstitution hot wash • Document and evaluate review findings • Develop after action report and improvement plan • Update or revise reconstitution plan/annex THIS PAGE INTENTIONALLY LEFT BLANK CHAPTER 3 - RECONSTITUTION IMPLEMENTATION This section should describe the Reconstitution Implementation processes and procedures. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. The primary objective during reconstitution is to transition from continuity operations or devolution operations back to normal operations with minimal disruption to the performance of essential functions. Reconstitution implementation is executed in three phases, as described in Figure 3.1. For each implementation phase and reconstitution level, there are specific activities and actions to be accomplished. The remainder of this section addresses the reconstitution implementation activities, actions, processes, and procedures. Figure 3.1 Reconstitution Implementation Process 3-1. PREPAREDNESS This section should address the activities and actions performed to support the organization’s readiness to transfer the performance of normal functions and supporting resources, as appropriate, from the continuity facility or devolution site to the primary operating facility, temporary operating facility, or a new or rebuilt operating facility. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. The planning and preparedness activities conducted during Phase I ensure that the [Organization name]’s staff, alternate facility staff, and other supporting entities are familiar with and capable of supporting reconstitution Phases II and III. Described in the table below are the reconstitution levels and associated planning activities and actions. See Appendix A-Supplemental Checklists. Reconstitution Level 1 (Operational Planning). Listed below are the preparedness activities and actions to be conducted for returning operations to the primary operating facility. Table 3.1 Reconstitution Level 1 Preparedness Activities and Actions Reconstitution Level 1 (Operational Planning) RECONSTITUTION LEVEL 1 – Plans and Procedures: . Develop a building assessment checklist . Identify location of classified materials . Identify location of vital records storage areas . Develop equipment recovery and salvage plan/checklist . Develop information and instructions to organization personnel on when and how to resume normal operations . Develop procedures on how to account for organization personnel . Develop a contact list for key personnel internal and external to the [Organization Name] See Appendix B. . Develop procedures for supervising an orderly move to the primary operating facility . Develop procedures for resuming operations at the primary operating facility . Develop procedures to verify all systems, communications, and required capabilities are available and operational . Develop reporting and communications requirements operating procedures . Develop guidance and provide training for developing the Continuity Status Report (CSR) on reconstitution status . Develop guidance for conducting the after action review and developing the after action report/improvement plan (AAR/IP) . Develop and document Level 1 Reconstitution Planning Team operating procedures . Establish and document a process for assessing the status of primary operating facility . Establish and document Level 1 space requirements. See Appendix C-Level 1 space requirements. . Establish and document a priority-based phased approach to reconstitution – Personnel/Staff: . Identify a Reconstitution Manager . Identify Reconstitution Planning Team members . Identify potential Reconstitution Team Members . Develop and train a building assessment team Reconstitution Level 2 (Short Term Planning). Listed below are the preparedness activities and actions to be conducted for moving operations to a temporary operating facility. Table 3.2 Reconstitution Level 2 Preparedness Activities and Actions Reconstitution Level 2 (Short Term Planning) RECONSTITUTION LEVEL 2 – Plans and Procedures: . Develop a building assessment checklist . Identify location of classified materials . Identify location of vital records storage areas . Develop equipment recovery and salvage checklist/plan . Develop information and instructions to organization personnel on when and how to resume normal operations . Develop procedures on how to account for organization personnel . Develop a contact list for key personnel internal and external to the [Organization Name] . Develop procedures for supervising an orderly move to the temporary operating facility . Develop procedures for resuming operations at the temporary operating facility . Develop procedures to verify all systems, communications, and required capabilities are available and operational . Develop reporting and communications requirements operating procedures . Develop guidance and provide training for developing the Continuity Status Report (CSR) on reconstitution status . Develop guidance for conducting the after action review and developing the after action report/improvement plan (AAR/IP) . Develop and document Level 2 Reconstitution Planning Team operating procedures . Establish and document a process for assessing the status of temporary operating facility . Establish and document Level 2 space requirements. See Appendix C-Level 2 space requirements. . Establish and document a priority-based phased approach to reconstitution – Personnel/Staff: . Identify a Reconstitution Manager . Identify Reconstitution Planning Team members . Identify potential Reconstitution Team members . Identify and train a building assessment team Reconstitution Level 3 (Long Term Planning). Listed below are the preparedness activities and actions to be conducted for moving operations to a new or rebuilt operating facility. Table 3.3 Reconstitution Level 3 Preparedness Activities and Actions Reconstitution Level 3 (Long Term Planning) RECONSTITUTION LEVEL 3 – Plans and Procedures: . Develop a building assessment checklist . Identify location of classified materials . Identify location of vital records storage areas . Develop equipment recovery and salvage plan/checklist . Develop information and instructions to organization personnel on when and how to resume normal operations . Develop procedures on how to account for organization personnel . Develop a contact list for key personnel internal and external to the [Organization Name] . Develop procedures for supervising an orderly move to a new/restored facility . Develop procedures for resuming operations at a new/restored facility . Develop procedures to verify all systems, communications, and required capabilities are available and operational . Develop reporting and communications requirements operating procedures . Develop guidance and provide training for developing the Continuity Status Report (CSR) on reconstitution status . Develop guidance for conducting the after action review and developing the after action report/improvement plan (AAR/IP) . Develop Level 3 Reconstitution Planning Team operating procedures . Establish and document a process for assessing the status of the affected facility . Establish and document Level 3 space requirements See Appendix C-Level 3 space requirements. . Establish and document a priority-based phased approach to reconstitution – Personnel/Staff: . Identify a Reconstitution Manager . Identify Reconstitution Planning Team members . Identify potential Reconstitution Team members . Develop and train a building assessment team The planning and preparedness activities conducted during Phase I ensure that the [Organization name]’s staff, alternate facility staff, and other supporting entities are familiar with and capable of supporting reconstitution Phases II and III. Described in the table below are the reconstitution levels and associated planning activities and actions. See Appendix A-Supplemental Checklists. 3-2. RECONSTITUTION OPERATIONS This section should address the organization’s processes and procedures for transitioning essential functions from continuity operations or devolution operations back to normal operations. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. Reconstitution operations begin when the [Organization Head] or other authorized person ascertains that the emergency situation has ended and is unlikely to reoccur. The [Organization Name] senior leadership makes the decision to begin reconstitution operations and determines the required reconstitution level. The decision regarding the reconstitution level will be based on the status of the primary operating facility. Determining the status of that facility will include the following actions. Assess the primary operating facility. During continuity operations, the [insert office/title] assesses the status of the primary operating facility. This assessment will determine the reconstitution level. 1. Upon determining the status of the primary operating facility, [Organization Name] determines the amount of time needed to repair the facility. This determination is made in conjunction with the [insert offices and organizations here]. Should the [Organization Name] decide to repair the primary operating facility, the [insert office/title] is responsible for supervising the repair process and notifying the [insert office/title] of the status of repairs, including estimates of when the repairs will be completed. 2. The determination also will be made regarding the structural safety of the building and the viability of conducting salvage/restoration/recovery operations. Evaluate assessment results. Based on the assessment results, the determination will be made regarding the required reconstitution level and associated next steps. Once the reconstitution level is determined, the processes and procedures described below will be implemented. It should be noted that these processes and procedures are the same regardless of the reconstitution level; however it is the reconstitution level that determines the degree to which they are executed. Table 3.4 Reconstitution Operations Processes and Procedures Process/Procedure Description Conduct building assessment/ salvage/restoration/ recovery operations Within [insert time period] of an emergency relocation, the following individuals will initiate and coordinate operations to salvage, restore, and recover the [Organization Name]’s primary operating facility after coordination with the appropriate local, State, and Federal law enforcement and emergency services: • The [Insert title or titles] serves as the Reconstitution Manager for the overall reconstitution process. • Each [Organization Name] subcomponent designates a reconstitution point-of-contact to work with the Reconstitution Team and updates office personnel on developments regarding reconstitution and provides names of reconstitution points-of-contact to the [insert title/office] within [insert number] hours of the Continuity Plan activation. Note: In performing these operations, when working in a classified environment, security requirements for handling classified information must be considered. Conduct security, safety, and health assessment Before relocating to the primary operating facility, a temporary operating facility, or new or rebuilt operating facility, the [insert office/title] conducts security, safety, and health assessments to determine facility suitability. • The [insert office/title] verifies 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 primary operating facility, temporary operating facility, or new/temporary replacement facility. Process/Procedure Description Reoccupy primary operating facility, move to a temporary operating facility, or a new or rebuilt operating facility Once the [Organization Head] or other authorized person makes the decision that the [Organization Name]’s primary operating facility can be reoccupied or that the [Organization Name] will re-establish in a temporary operating facility or new or rebuilt operating facility, the following steps are taken: • The [Organization Name]’s Continuity Coordinator or other authorized individual notifies the [enter office/position]. The following information regarding continuity activation and relocation status will be provided: continuity activation and relocation status, alternate location, operational and communication status, and anticipated duration of relocation. • The [Insert office/title] develops space allocation and facility requirements. • The [Insert office/title] notifies all personnel that the emergency or threat of emergency has passed and actions required of personnel in the reconstitution process using [insert method of communication here]. • The [Insert office/title] coordinates with the General Services Administration (GSA), Office of Personnel Management (OPM), National Archives and Records Administration (NARA), FEMA and/or other applicable organizations. • The [Insert office/title] develops procedures, as necessary, for restructuring staff. • [Insert any additional activities associated with planning for reconstitution here]. Phase-down and return of personnel, equipment, and documents 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 primary operating facility, a temporary operating facility, or new or rebuilt operating facility, the [insert office/title] begins supervising a return of personnel, equipment, and documents to the appropriate operating facility. • The phase-down and return of personnel, functions, and equipment follows the priority-based plan and schedule. See Appendix D-Phase-Down Plan. • The [Organization Name] begins development of specialized return plans based on the incident and facility within [insert number] hours of plan activation. • [Organization Name] will begin development of specialized return plans based on the incident and facility with [insert number] hour of plan activation. Process/Procedure Description Cease continuity operations at continuity facility or devolution site and transfer essential functions The [Organization Name] continues to operate at its continuity facility until ordered to cease operations by the [insert authority] using [insert method of notification here]. • Essential functions transfer to the primary operating facility, a temporary operating facility, or new or rebuilt operating facility. See Appendix E-Essential Functions. • Instruct [Organization Name] personnel on how to resume normal operations as outlined below. Note: The [Organization Name] develops specialized resumption plans based on the incident and facility within [insert number] hours of plan activation. • [Insert normal operations resumption plan here] Identify records affected by the incident and transition or recover vital records and databases The [Insert office/title] identifies records affected by the incident by [insert identification processes or contacts here]. • The [insert office/title] effectively transitions or recovers vital records and databases, as well as other records that were not designated as vital records, using the plan outlined below. Note: The [Organization Name] develops specialized vital records transition and recovery plans based on the incident and facility within [insert number] hours of plan activation. • [Insert vital records transition and recovery plan here] Transfer essential functions, cease continuity operations, and deploy to the primary operating facility, temporary operating facility, or new or rebuilt operating facility When the continuity personnel, equipment, and documents are in place at the primary operating facility, temporary operating facility, or new or rebuilt operating facility, the remaining [Organization Name] staff at the continuity facility or devolution site transfer essential functions, cease operations, and deploy to the primary operating facility, temporary operating facility, or new or rebuilt operating facility. • The [Insert title or titles] oversee(s) the orderly transition of all the [Organization Name]’s functions, personnel, equipment, and records to the primary operating facility, a temporary operating facility, or new or rebuilt operating facility. • The [Insert office/title] develops a process for receiving and processing employee claims during the continuity or devolution event, including processing human capital claims (including, workman’s compensation for injuries, overtime pay, etc.) and replacing lost or broken equipment. Prepare to conduct after action review The [Organization Name] prepares to conduct an after action review, and develop an AAR/IP. 3-3. POST-RECONSTITUTION This section should address the activities and actions performed to conduct normal operations and a review and evaluation of the overall reconstitution process with a focus on identifying shortfalls, improvement needs, and best practices. The final outcome for this phase should be an after action report and improvement plan that will summarize the reconstitution event and identify improvement needs and an approach to address those improvements. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. The [Organization Name] implements post-reconstitution activities after the continuity or devolution event is over and focuses on conducting normal operations, implementing the shut down plan, and reviewing and evaluating the reconstitution implementation process, this includes developing an AAR/IP for the purposes of summarizing the reconstitution event, identifying opportunities to improve and enhance the organization’s continuity program, plans, and capabilities; and developing an approach to implementing improvements. The post-reconstitution activities described below apply regardless of the reconstitution level. Table 3.5 Post-Reconstitution Activities and Actions Activity/Action Description Conduct normal operations The Reconstitution Manager provides guidance and oversight for overseeing implementation of continuity/devolution site shut down plan and ensuring the operational readiness of key elements such as communications, information technology, vital records, human resources, etc. Implement shut down plan The Reconstitution Manager provides guidance and oversight for shutting down operations at the continuity/devolution site. Conduct hot wash The Reconstitution Manager, in coordination with the [insert title or titles] conducts a hot wash within [enter number] days after the [Organization Name] has returned to normal operations. • The hot wash should include as many participants or members of the Reconstitution Team as possible. Activity/Action Description Conduct after action review meeting The Reconstitution Manager conducts a full after action review meeting once in the primary operating facility, temporary operating facility, or new or rebuilt operating facility. This meeting is conducted within [enter number] weeks after resuming normal operations. • The [Insert office/title] completes the review after all offices within the[Organization Name] have the opportunity to provide input. – The after action review studies: the effectiveness of the Reconstitution [Plan/Annex] processes, procedures, actions, and activities; identifies lessons learned; best practices; issues; concerns; and areas for improvement – Key [Organization Name] personnel should review the information gathered during the hot wash, add individual observations, and analyze data/comments in the context of the [Organization Name]’s Continuity Plan. Develop after action report/improvement plan The After Action Report/Improvement Plan (AAR/IP) provides feedback to the [Organization Name]’s senior leadership, key personnel, and continuity planners that summarizes the reconstitution implementation process. See Appendix F-AAR/IP Template. • Input for the AAR/IP is derived from the results of the after action review and provides the general foundation for the report. • The [Organization Name]’s AAR/IP is developed once the findings from the after action review are evaluated. Key elements of the plan include: – Lessons learned and best practices – Areas for improvement and recommendations – Corrective actions and implementation plan THIS PAGE INTENTIONALLY LEFT BLANK CHAPTER 4 - RESOURCES AND CAPABILITIES REQUIREMENTS This section should describe the resource requirements and capabilities needed to ensure that reconstitution operations can be performed effectively. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. A key planning element is to identify and ensure the availability of the resources and capabilities needed to support reconstitution operations. This includes resources such as people, equipment, furniture, and supplies and capabilities such as internet connectivity, communications, and information technology. Ensuring that these requirements can be met is key to the [Organization Name]’s ability to effectively transfer and continue performance of normal functions at its primary operating facility, temporary operating facility or new/rebuilt operating facility. The specific requirements will depend on the reconstitution level, but in general the requirements will be similar. Described below are the requirements for each reconstitution level. 4-1. RECONSTITUTION LEVEL 1 (OPERATIONAL PLANNING) This section should describe the resources and capabilities needed to perform normal operations at a location within the primary operating facility for a minimum of 30 days. The items in the table below are suggested resources/capabilities. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. The [Organization Name] resource and capability requirements to support reconstitution operations under reconstitution level 1 include, but are not limited to those listed below. Table 4.1 Reconstitution Level 1 Resource and Capability Requirements Resource/Capability Description Personnel [position/title] [position/title] [position/title] [position/title] Space [amount] offices, [square feet] each [amount] cubicles, [square feet] each [amount] conference rooms, [square feet] each Furniture [amount] desks [amount] chairs [amount] workstations [other] Communications [amount] telephones (non-secure) with voice mail [amount] telephones (secure) [amount] facsimile machines (non-secure) [amount] facsimile machines (secure) [other] Resource/Capability Description Information Technology [amount] desktop computers [amount] laptops [other] Classified Storage [amount] safes [Other] [amount] Internet Access/Connection [insert specifications/requirement] Local Area Network Access/Connection [insert specifications/requirement] Video Teleconference [insert specifications/description] Landlines [insert specifications/description] Satellite for Voice/Data [insert specifications/description] Uninterruptible Power Supply [insert specifications/description] Backup Power [insert specifications/description] [Other] [insert specifications/description] [Other] [insert specifications/description] 4-2. RECONSTITUTION LEVEL 2 (SHORT TERM PLANNING) This section should describe the resources and capabilities needed to perform normal operations at a temporary operating facility for approximately one to six months. The items in the table below are suggested resources/capabilities. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. The [Organization Name] resource and capability requirements to support reconstitution operations under reconstitution level 2 include, but are not limited to those listed below. Table 4.2 Reconstitution Level 2 Resource and Capability Requirements Resource/Capability Description Personnel [position/title] [position/title] [position/title] [position/title] Space [amount] offices, [square feet] each [amount] cubicles, [square feet] each [amount] conference rooms, [square feet] each Furniture [amount] desks [amount] chairs [amount] workstations [other] Communications [amount] telephones (non-secure) with voice mail [amount] telephones (secure) [amount] facsimile machines (non-secure) [amount] facsimile machines (secure) [other] Resource/Capability Description Information Technology [amount] desktop computers [amount] laptops [other] Classified Storage [amount] safes [Other] [amount] Internet Access/Connection [insert specifications/requirement] Local Area Network Access/Connection [insert specifications/requirement] Video Teleconference [insert specifications/description] Landlines [insert specifications/description] Satellite for Voice/Data [insert specifications/description] Uninterruptible Power Supply [insert specifications/description] Backup Power [insert specifications/description] [Other] [insert specifications/description] [Other] [insert specifications/description] 4-3. RECONSTITUTION LEVEL 3 (LONG TERM PLANNING) This section should describe the resources and capabilities needed to perform normal operations at a new/rebuilt operating facility for approximately six months or longer. The items in the table below are suggested resources/capabilities. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. The [Organization Name]’s resource and capability requirements to support reconstitution operations under reconstitution level 3 include, but are not be limited to those listed below. Based on this level, the primary operating facility is uninhabitable/unusable and will remain unavailable for an undetermined length of time. Table 4.3 Reconstitution Level 3 Resource and Capability Requirements Resource/Capability Description Personnel [position/title] [position/title] [position/title] [position/title] Space [amount] offices, [square feet] each [amount] cubicles, [square feet] each [insert amount] conference rooms, [square feet] each [insert amount] other [insert amount] other [insert amount] other Furniture [insert amount] desks [insert amount] chairs [insert amount] workstations Communications [insert amount] telephones (non-secure) with voice mail [insert amount] telephones (secure) Resource/Capability Description [insert amount] facsimile machines (non-secure) [insert amount] facsimile machines (secure) Information Technology [insert amount] desktop computers [insert amount] laptops Classified Storage [insert amount] safes [Other] [insert amount] Internet Access/Connection [insert specifications/requirement] Local Area Network Access/Connection [insert specifications/requirement] Video Teleconference [insert specifications/description] Landlines [insert specifications/description] Satellite for Voice/Data [insert specifications/description] Uninterruptible Power Supply [insert specifications/description] Backup Power [insert specifications/description] [Other] [insert description] [Other] [insert description] [Other] [insert description] Security-Physical [insert description] Security-IT [insert description] Lighting [insert description] Emergency Lighting [insert description] Parking [insert description] Public Transportation Access [insert description] Special Accommodations [insert description] [Other] [insert description] APPENDIX A: SUPPLEMENTAL CHECKLIST Appendix A should provide supplemental information that further enhances processes and procedures described in the basic plan/annex. A sample table and text for this section is provided below. [Insert preparedness checklist here] [Insert temporary facilities options checklist here] [Insert temporary facilities capabilities checklist here] [Insert additional checklist here] THIS PAGE INTENTIONALLY LEFT BLANK APPENDIX B: CONTACT LISTS This appendix should list the organization’s key personnel contact list, the reconstitution planning team members contact list, and other lists as required. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. Organizational Contacts (internal and external) Titles/Organization Primary [insert title] [insert organization office] Name: E-Mail: Telephone: Cell Phone: [insert title] [insert organization office] Name: E-Mail: Telephone: Cell Phone: [insert title] [insert organization office] Name: E-Mail: Telephone: Cell Phone: [insert title] [insert organization office] Name: E-Mail: Telephone: Cell Phone: [insert title] [insert organization office] Name: E-Mail: Telephone: Cell Phone: [insert title] [insert organization office] Name: E-Mail: Telephone: Cell Phone: [insert title] [insert organization office] Name: E-Mail: Telephone: Cell Phone: Reconstitution Planning Team Titles/Organization Primary Alternate Reconstitution Manager [insert organization office] Name: E-Mail: Telephone: Cell Phone: Name: E-Mail: Telephone: Cell Phone: [insert title] [senior leadership] Name: E-Mail: Telephone: Cell Phone: Name: E-Mail: Telephone: Cell Phone: [insert title] [senior leadership] Name: E-Mail: Telephone: Cell Phone: Name: E-Mail: Telephone: Cell Phone: [insert title] [representative from facilities/building management] Name: E-Mail: Telephone: Cell Phone: Name: E-Mail: Telephone: Cell Phone: [insert title] [representative from safety] Name: E-Mail: Telephone: Cell Phone: Name: E-Mail: Telephone: Cell Phone: [insert title] [representative from security] Name: E-Mail: Telephone: Cell Phone: Name: E-Mail: Telephone: Cell Phone: [insert title] [representative from logistics, acquisition, construction] Name: E-Mail: Telephone: Cell Phone: Name: E-Mail: Telephone: Cell Phone: [insert title] [representative from IT] Name: E-Mail: Telephone: Cell Phone: Name: E-Mail: Telephone: Cell Phone: [insert title] [representative from administration] Name: E-Mail: Telephone: Cell Phone: Name: E-Mail: Telephone: Cell Phone: [insert title] [representative from (insert office)] Name: E-Mail: Telephone: Cell Phone: Name: E-Mail: Telephone: Cell Phone: [Insert additional contact lists as needed] [Insert heading title] [Insert heading title] THIS PAGE INTENTIONALLY LEFT BLANK APPENDIX C: SPACE REQUIREMENTS This appendix should list the organization’s reconstitution space requirements. Included in this appendix could be a summary of the space requirements as well as blue prints and other documents specifying space requirements and allocation. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. Primary Operating Facility (Reconstitution Level 1) [Insert estimated space requirements] Temporary Operating Facility (Reconstitution Level 2) [Insert estimated space requirements] New or Rebuilt Operating Facility (Reconstitution Level 3) [Insert estimated space requirements] THIS PAGE INTENTIONALLY LEFT BLANK APPENDIX D: PHASE DOWN PLAN This appendix should provide a brief description of the phase down procedures along with a phase down checklist. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. Priority # Action/Activity Responsible POC 1. Verify that electrical requirements are met [Insert office/title] 2. Verify IT/Communications requirements are met [Insert office/title] 3. Vital records transferred [Insert office/title] 4. Equipment check implemented [Insert office/title] 5. [Describe action/activity] [Insert office/title] 6. [Describe action/activity] [Insert office/title] 7. [Describe action/activity] [Insert office/title] 8. [Describe action/activity] [Insert office/title] THIS PAGE INTENTIONALLY LEFT BLANK APPENDIX E: ESSENTIAL FUNCTION RECONSTITUTION PRIORITIES This appendix should identify the organization’s essential functions based on the order in which they should be transferred to the primary operating facility, temporary operating facility, or new/restored facility. Sample text for this section is provided below, however, organizations should tailor this section to meet their specific continuity planning and operational needs. During reconstitution operations, the [Organization Name]’s essential functions will be transferred back to the primary operating facility, temporary operating facility, or new/replacement facility based on priority order, as listed below. [Enter entity name] [Office/Division/Branch Name] Reconstitution Priority Essential Function 1. [Enter the essential functions for this office/division here] 2. 3. 4. 5. [Enter entity name] [Office/Division/Branch Name] Reconstitution Priority Essential Function 1. [Enter the essential functions for this office/division here] 2. 3. 4. 5. THIS PAGE INTENTIONALLY LEFT BLANK APPENDIX F: AFTER ACTION REPORT/IMPROVEMENT PLAN TEMPLATE This appendix should include a template for developing the after action report/improvement plan. The After Action Report/Improvement Plan (AAR/IP) has two components: the AAR which documents observations of the event and makes recommendations for post-event improvement, and the IP which identifies specific corrective actions, assigns them to responsible parties, and establishes targets for their completion. The key sections for a typical after action report/improvement plan include those listed below. Note: See https://hseep.dhs.gov/support/VolumeIII.pdf for detailed AAR/IP development guidance. A sample table of contents is provided below. • Administrative Handling Instructions • Table of Contents • Executive Summary • Section 1: Continuity Event Overview • Section 2: Continuity Operations/Reconstitution Operations Summary • Section 3: Analysis of Capabilities • Section 4: Conclusion • Appendix A: Improvement Plan • Appendix B: Acronyms THIS PAGE INTENTIONALLY LEFT BLANK APPENDIX G: ACRONYMS Acronyms used in the Reconstitution Plan/Annex should be listed in this section. A sample representation of acronyms used in this template is provided below. Organizations should tailor this section to meet their specific continuity planning and operational needs. AAR After Action Report CAP Corrective Action Program CSR Continuity Status Report DERG Devolution Emergency Response Group ERG Emergency Relocation Group FCD Federal Continuity Directive HSPD Homeland Security Presidential Directive IP Improvement Plan NEF National Essential Function MEF Mission Essential Function NSPD National Security Presidential Directive PMEF Primary Mission Essential Function POC Point-of-Contact THIS PAGE INTENTIONALLY LEFT BLANK THIS PAGE INTENTIONALLY LEFT BLANK