KC RICE 05

Elements of a Viable COOP Capability

• Plans and Procedures

• Essential Functions

• Delegations of Authority

• Orders of Succession

• Alternate Facilities

• Interoperable Communications

• Vital Records

• Human Capital

• TT&E• Devolution

• Reconstitution

AGENDA

• EXERCISE OBJECTIVES

• EXERCISE BACKGROUND

• EVALUATOR ROLES

• EVALUATOR CRITERIA

• AGENCY SPECIFIC AAR/HOT WASH

Exercise Objectives

Type of Exercise

• FEMA identifies three types of exercises– Table Top– Functional– Deployment

• RICE 05 is a little of all of the above

• What type of exercise depends on the individual agency

• Best described as a “table top on steroids”

EXERCISE SIZE

• 52 COOP plans to be exercised

• 278 participants on site (estimated)– 50+ exercise staff

• 165 participants at various off sites (estimated)

KC RICE 05 OBJECTIVES• Test Agency Orders of Succession

• Test Agency delegations of authority

• Test Execution of Agency Minimum Essential Functions

• Test practicality of procedures surrounding use of Agency Alternate Facilities

• Test use of agency interoperability communications

• Test practicality and access to agency vital records

• Test practicality of Agency plans and procedures in the COOP Program

(reference: Federal Preparedness Circular 65)

ADDITIONAL OBJECTIVES KC RICE 05, NOT TESTED BEFORE

• Test and develop Agency plans and procedures for Phase II COOP Operations

Sub-objectives:– Demonstrate that all action items are logged and assigned

with actions taken recorded.

– Demonstrate that multi-tasked actions are coordinated properly and effective.

– Demonstrate information flow to and from SERT/Senior Leadership of the Agency

ADDITIONAL OBJECTIVES KC RICE 05

• Test plans and procedures for both internal and external communications

Sub-Objectives:– Demonstrate establishment of public information

function– Demonstrate capability to coordinate the development

and dissemination of clear, accurate, and timely information

– Illustrate process of handling media inquiries– Demonstrate uses of Family Plan throughout the

organization

ADDITIONAL OBJECTIVES KC RICE 05

• Test plans and procedures for communications with Disaster Ad-Hoc entities:

1)FEMA Resource Coordination Center, formally the ROC

2) Principle Federal Official (PFO)

ADDITIONAL OBJECTIVES KC RICE 05

• Test plans and procedures for devolution of operations.

Sub-Objectives:– Identify policies and procedures to transfer essential

operations to a backup organization.– Demonstrate a clear implementation plan of how and

when operations should be transferred.

ADDITIONAL OBJECTIVES KC RICE 05

• Test plans and procedures for reconstitution and return to normal operations.

Sub-Objectives:– Demonstrate ability to identify logistical needs to

reconstitute services after the emergency has ended– Identify policies and procedures necessary to implement

Phase III of COOP Plans

Differences

• Interaction with elements of the new NRP– Regional Resource Coordination Center (RRCC)

– Joint Information Center (JIC)

– Principal Federal Official (PFO)

• Phone lines to stimulate cross talk• Existence of a simulation cell• Existence of an off site element for 12 agencies

Exercise Background

Scenario• Terrorist Group Strikes• Forces activation of COOP plans via

– Real Loss of the Building– Fear of More Attacks

• Scenario involves multiple attacks• New MO for groups

– 9/11, other broken up attempts to all involved multiple attacks

• Scenario a little wild in order to actively involve all agencies

Exercise Play

• Action items will come in from several different angles– White Cell via paper

– Various ways from the simulation cell

– Come in various ways from other agencies

• We are breaking new ground, it will be rough

• Agencies will be challenged on new issues like devolution and reconstitution

Exercise Action Item Flow

White Cell

Agencies

Simulations Cell

Controllers carry the paper

Couriers carry the paper

Exercise Artificialities

• Sped up exercise clock

• Communication complexities fudged– Either simulated or – Assumed it will always work

• Organizational inertia assumed away– (the work to get something done internally)

Exercise Simulations

A cell of players exist to simulate • Washington Headquarters for Organizations• US Coast Guard• Secretary of Agriculture’s office• City of Kansas City MO• The White House• Various DHS entities• HHS Secretary’s office• U.S. Congress

Exercise Assumptions• The Exercise is in compressed time.• At the start of the exercise all communications and IT infrastructure will

be intact and operational. Exercise controllers might render them unavailable from time to time to test viability of other methods of communications.

• All Agency alternate facilities survive the event and are available. • The nature of the threat is ever constant and uncertain. • Responses will have to be based on accepted standards, practices and

policies for agencies.• It is to be assumed that Washington always has good communication

lines to Kansas City to deliver their instructions. • Communications with people not participating in the exercise will have to

be simulated. • If you get “killed” off during the exercise you may watch, take notes, but

you are not to speak. The same applies if you are stricken with an illness. Then your Agency can request your replacement if they so see fit. Then you will come back in as your replacement for the exercise.

• Responses to action items and inquiries should be fleshed out with as much detail as possible.

• Participants can expect some feedback from the simulation cell.

Evaluator Roles

Observe and

collect data

Research & provide

answers to Agency

Questions if possible

Try to minimize interfering

with Agency operations

What Is My Role?

EVALUATOR DUTIES

• Observe: Observe Agency performance in planning, preparation, and execution of the COOP plan based off of Agency and FEMA guidance

• Control: Help the Agency focus on events to get the most out of the experience

• Coach: Begin as necessary/requested• Analyze: What’s broken / How to fix• Provide Feedback: AARs

As an evaluator you may cause inordinate concern and activity if you ask a direct questions. Agencies consider you an evaluator and often react to your questions. Instead, attempt to answer your questions by observing—looking at charts, listening to conversations, checking maps, logs, etc.

Heisenburg Uncertainity Principle

Evaluator Training

Sometimes AAR requirements will drive you to return for specific information. The degree of importance and urgency will warrant violating the Heisenburg Principle. You may have to get the information by “brute force,” far exceeding the Heisenburg effect by figuratively applying the Heimlich Maneuver. We will try to funnel action items through you so you can see what is going on.

Heimlich Maneuver

Evaluator Training

As a fellow Agency person, you will want your fellow workers and the Agency to do well during the exercise. This prompts a temptation to help the Agency. The danger is that the unit will do whatever you say, and concurrently, they will hold you responsible for any outcome, favorable or unfavorable. Remain somewhat distant and impartial.

Stockholm Effect

Evaluator Training

Evaluator Criteria

(THE HOW TO PART)

Program Development ProcessC

onst

ruct

ing

a T

T&

E P

rogr

am

ESTABLISHING THE BASE

PROGRAM EVALUATION & CRITIQUE

• Review Plans, Policies, Procedures• Conduct Needs Assessment• Define Program Scope• Select Event Types• Develop Program Purpose• Develop Program Schedule

• Establish a Corrective Action Program (CAP)• Assign Tasks, Schedules & Responsibilities• Monitor Corrective Action Progress• Prepare Multi-Year Development Plans • Identify Resources

• Define Objectives, Key Events, Points of Review

• Develop Materials (COOP TT&E Plan, Training Schedule)

• Prepare Facilities & Logistics• Identify & Train Participants

PROGRAM DEVELOPMENT

• Conduct TT&E Events• Market TT&E Program• Coordinate with Staff and TT&E

Planning Group

PROGRAM FOLLOW-UP

PROGRAM MANAGEMENT & IMPLEMENTATION• Review and Analyze Participant

Questionnaires & Critiques• Review Notes From Observers &

Data Collectors• Review After-action / Evaluation

Reports

Your Role Here

Evaluation Requirements

• Determine what outcomes will be evaluated, based on exercise objectives

• Identify activities to be evaluated• Identify which functions should be

observed• Determine where observations will take

place• Identify the appropriate evaluation tools

Individual Evaluator Responsibilities

• Try to observe exercise objectives

• Monitor player actions and record them

• Report any exercise execution problems

• Monitor Action Item play to ensure exercise is progressing as planned

• Provide observations on actions

• Guide people in the agency specific AAR

Recording Observations

• The emphasis is on Who? What? When? Where? How? Why?

• Record observations through:– use of Evaluator Guides– blank sheets of paper

• Collect exercise documents

Evaluator How To Notes• Compile observations into chronological

narrative of events

• Describe outcomes achieved or not – use questions below and evaluation guides: – What happened?– What was supposed to happen?– If there is a difference, why? – What is the impact of that difference? – What should be learned from this? – What improvements might be recommended?

Timeline Development

Identify the appropriate outcome for each activity

Time Observations Location Team Outcome

0852 Three staff members arrive at JIC – PIO, Deputy, Admin. Ass’t; begin setting up (computers, removing displays from storage, job aids at work stations, etc.)

JIC Rushmore Co.

EM

0905 First media call to JIC requesting info. on event. PIO provides initial incident info. & tells reporter to watch for news release shortly re: JIC activation.

JIC Rushmore Co. PIO

EM

0906 Forest Co. PIO and Assistant arrive at EOC; PIO immediately calls in to EOC

JIC Forest Co. EM

0910 EAS message from EOC received by Fax

JIC EOC EM

0912 EAS copied & distributed at JIC to all staff work stations; additional copies on tables in media room.

JIC JIC staff EM

Make a team timeline of actions

Focus on significantactions

Record Significant Activities

• Initiating scenario events

• Facility activities

• Response actions

• Key decisions made by Players

• Deviations from plans and procedures

• Completion time of events

Analysis of Performance

• Analysis of activities– What tasks were to be accomplished– How well were they performed– Root causes of differences between

expected and actual performance– Recommendations

Root Cause Analysis

1. Why did it happen?

2. Why did that happen?

3. Why was that?

4. And why was that?

5. And why was that?

***Root Cause***

6. And so on…

Each step must completelyexplain the step above…

…down to the basicunderlying causal factor.

Data Analysis

• Conduct Hotwash

• Develop timeline of significant events

• Analyze performance:– Individuals– Teams/Functions– Outcomes

Levels of Analysis

• Performance is analyzed at three levels:– Task level– Agency/discipline/function level– Mission level (within and across communities)

Levels of Analysis

• Task Level Performance– Answers the question: did

the person or team do the right thing the right way at the right time?

– Helps assess need for training, equipment, personnel, etc.

Task = work with measurable output that has utility

Levels of Analysis

• Agency/Discipline/Function Level Performance — Multiple teams– Answers the question: did the larger team or

organization perform duties in accordance with plans and policies?

Helps assess communication, coordination, planning budgets, etc.

Levels of Analysis

• Mission Level Performance– Answers the question: were the

mission level outcomes achieved?

– Addresses jurisdictional preparedness

Outcomes = results

• Collect all comments, observations, and notes recorded during or after the event

• Carefully review and assess this information

• Identify any issues that require further study

• Identify any TT&E needs that may have surfaced

• Develop an after-action report

Evaluate the TT&E Event

Con

stru

ctin

g a

TT

&E

Pro

gram

Event Development Process

• Enhancement of mission readiness of team members

• Enhancement of team members’ understanding of COOP mission

• Improvement in skill level of participants

• Completion of identified/established objectives

• Overall value of the event to the TT&E program

• Degree to which the event met team members’ needs

• Quality of instruction

Evaluate the TT&E Event (cont.)

Con

stru

ctin

g a

TT

&E

Pro

gram

Event Development Process (cont.)

Title slide

W h a t i s a n A A R ?

“ A N A A R I S A P R O F E S S I O N A L D I S C U S S I O NO F A N E V E N T , F O C U S E D O N P E R F O R M A N C E

S T A N D A R D S , T H A T E N A B L E S P E O P L E T O D I S C O V E R F O R T H E M S E L V E S W H A T H A P P E N E D ,W H Y I T H A P P E N E D A N D H O W T O S U S T A I N S T R E N G T H S A N D I M P R O V E O N W E A K N E S S E S . ”

“ I T I S N O T A C R I T I Q U E … . ”

F C 2 5 - 2 0 ,

F M 2 2 - 1 0 0 , J u n e 9 9

S T D _ 0 1 7

After Lunch each Agency will have 30 minutes to conduct their own agency specific after action review (AAR). As the evaluator we ask you to help facilitate the AAR. This AAR will help you fill out the written AARs.

Specific Agency AARs

Evaluator Training

After Action Reports• There are three after action reports to fill out.

Copies of the reports are in your handbook.– Individual:

• Ask each individual to fill out one for themselves and turn it in.

– External:• Each agency will report out on the lessons learned and smart

practices so that other agencies may benefit. Do not put sensitive information in this AAR. That will remain internal. This report will go public.

– Internal:• Each agency has a format to fill out a detailed after

action report. The detailed report is for your use only.

• The after-action review (AAR) consists of four parts: – Establish what happened. – Determine what was right or wrong with what

happened.– Determine how the task should be done

differently the next time.– Perform the task again

AAR Elements

AAR Agenda

INTRODUCTION

TRAINING OBJECTIVES

EXERCISE SUMMARY

SIGNIFICANT EVENTSWHAT HAPPENED?WHY IT HAPPENED?HOW TO IMPROVE?

CONCLUSIONS

INTRO 002

• Establish what happened. – The evaluator and the participants determine what

actually happened during the exercise. Members assist in describing the flow of the exercise and related events and discuss outcomes from their points of view

AAR Elements

• Determine what was right or wrong with what happened. – The participants establish the strong and

weak points of their performance. The evaluator plays a critical role in guiding the discussions so that conclusions reached by participants are doctrinally sound, consistent with Agency and FEMA standards, and relevant.

AAR Elements

• Determine how the task should be done differently the next time if necessary. – The evaluator leads the group in determining

exactly how participants will perform differently the next time the task is performed.

AAR Elements

Recommendations for Improvement

• Questions for identifying recommendations for improvement: – What training and/or equipment is needed?– What changes need to be made to plans and

procedures, or organization structures?– What changes could be made to the management

processes?

KC RICE 05