BUILDING A COMPREHENSIVE EXERCISE PROGRAM
Introduction
The primary purpose of this document is to assist in the establishment and maintenance of comprehensive exercise and evaluation program. These programs meet therequirements of the Federal Emergency Management Agency’s “Comprehensive Exercise Program” which ensures that State and local jurisdictions have realistic, tested, and proven plans with policies and procedures that reflect the specific needs of each community.
Table of Contents
Introduction………………………………………………………………….
National Incident Management System (NIMS)…...……………………….
Homeland Security Exercise Evaluation Program (HSEEP)………………..
Environmental and Historic Preservation……………………………………
Conceptualizing a ‘dynamic’ Exercise………………………………………
Benefits to You and Your Community……………………………………….
Exercises Should…..……………………..……….……………..…………..
Planning Your Exercise Program………….…….…….…………………......
Where Do We Start………..…………………………….…………………...
Exercise Types……….…………………………………..………………….
Exercise Program Guidance: State of Iowa……..……….………………….
Exercise Reporting…...……………………………..…….………………...
The Iowa Exercise Report Form (To Be Published)………..………………
Credit for an Actual Occurrence…………………………….……………...
Exercise Design Training……………….………………………….……….
Elements of a Comprehensive Exercise Program…………………….…….
Exercise Tool Box…………………………………………………….…….
Appendix A 5-Year Exercise Plan……………………...…… .….….
Appendix B Exercise Notification Form……..……………………....
Appendix C Tabletop Checklist……………………………………...
Appendix D Functional Checklist……….…………………………...
Appendix E Full Scale checklist……………...………………….…..
Appendix F Roles of Participants….………….……………...….…..
Appendix G Rules of Play………...………………………………....
Appendix H Sample Player Evaluation Tool….……..………….…..
Appendix I Sample Sign In Sheet………………..…………..………
Appendix J Actual Occurrence Checklist….…..…………….………
Appendix K NIMS Compliancy Checklist…………………………...
Homeland Security Exercise and Evaluation Program (HSEEP)
The Homeland Security Exercise and Evaluation Program (HSEEP) is a capabilities and performance-based exercise program that provides a standardized methodology and terminology for exercise design, development, conduct, evaluation, and improvement planning.
The Homeland Security Exercise and Evaluation Program (HSEEP) constitutes a national standard for all exercises. Through exercises, the National Exercise Program supports organizations to achieve objective assessments of their capabilities so that strengths and areas for improvement are identified, corrected, and shared as appropriate prior to a real incident.
The HSEEP is maintained by the Federal Emergency Management Agency’s National Preparedness Directorate, Department of Homeland Security. As HSEEP is the guiding directive that the Iowa exercise program aligns with we will follow its methodology in the planning, development, and execution.
Radiological Emergency Preparedness Program
On December 7, 1979, following the Three Mile Island nuclear power plant accident in Pennsylvania, President Carter transferred the Federal lead role in offsite radiological emergency planning and preparedness activities from the U.S. Nuclear Regulatory Commission (NRC) to the Federal Emergency Management Agency (FEMA).
FEMA established the Radiological Emergency Preparedness (REP) Program to (1) ensure the health and safety of citizens living around commercial nuclear power plants would be adequately protected in the event of a nuclear power plant accident; and (2) inform and educate the public about radiological emergency preparedness.
REP Program responsibilities encompass only “offsite” activities, that is, State, tribal and local government emergency planning and preparedness activities that take place beyond the nuclear power plant boundaries. Onsite activities continue to be the responsibility of the NRC.
The State of Iowa has three nuclear power facilities that impact our state. Local, State, Federal, and Private sectors get together on a regular basis to exercise different aspects of our nuclear power plant plan. These exercises are a significant part of our exercise spectrum, and should be taken into consideration as we build our exercise programs.
Environmental and Historic Preservation
Agencies that conduct exercises that are funded by, or used for compliance in receiving federal finds needs to make themselves aware of the National Historic Preservation Act (NHPA) of 1966, and the National Environmental Policy Act (NEPA) of 1969. These two laws may impact your exercise program, and they could have significant impact on the funding for your exercise program. These laws direct federal agencies to thoroughly assess the environmental and historic consequences of their funding. Depending upon how an exercise is conducted it may be affected by the guidance set forth in these requirements. Please consult your funding entity to ensure that your programs are in compliance with these laws.
Why Exercise
The concept behind an exercise program is based on one important premise that exercises and evaluations are worth the effort. Experience and data show that exercises and evaluations are practical, efficient and cost effective ways for jurisdictions to prepare for unusual events.
Next to an actual occurrence, exercising can be an effective means for examining preparedness levels. Exercises are developed for federal departments and agencies, state and local governments, volunteer organizations, and private sector partners to examine and improve upon capabilities in relationship to emergency, disaster, and homeland security situations.
No community is exempt from risk. Hopes are that “it will never happen here”, but when catastrophic events take place the populace tends to rely heavily on preparedcommunity leadership and services. Exercises can serve as a key tool to ensure that delivery of services will meet expectations.
Long before September 11, 2001, people involved in emergency response realized the importance of practicing and planning to respond to disasters. It is now important that everyone realizes the importance and potential impact a well defined, executed and evaluated exercise will have on our detection, prevention, protection, mitigation, and preparedness, response, and recovery efforts.
Evaluation holds a key role in the exercise process. It allows learning from issues that arise during an exercise and focuses energy and efforts on capabilities that need improvement. Evaluation of Exercises will be covered in a separate document to be published.
Starting an Exercise Evaluation Program
1. Assess the capability to conduct an exercise.
Before launching an exercise, it is important to find out what skills, equipment, resources, personnel, facilities, and support systems are available. Shortfalls in any of these areas will have to be considered in the exercise design process.
Questions to be asked:
- When was the last exercise, what kind was it and what did we test?
- What were the outcomes?
- Have the planning and training improvement actions been taken?
- What exercise experience is available in the community?
- How much preparation time can be allocated to exercise development?
- What personnel can/will be devoted to exercise development?
- What skills and perspective can these people provide?
- What facilities will be available for operational support?
- What communications systems will be used?
- What is the expected attitude of the chief elected official to an exercise? Of the disciplines that need to be involved?
- How is new training going to impact your existing planning and training program?
- How will the results be evaluated and used to improve our response capability?
2. Address cost and liabilities.
Both costs and liabilities are issues that will eventually share center stage, whether it is an exercise or an actual disaster occurrence. No matter what the situation, addressing these issues early will help minimize their impacts.
A problem inherent in some exercises is the possibility of personal injury or damage to equipment. Early in the planning process, you must become familiar with the jurisdiction’s insurance coverage and mutual aid agreements.
Costs, both obvious and hidden, are incurred during every stage of the exercise development process. These costs may include staff salaries, equipment and supplies, contract services, printing, postage, and other related miscellaneous expenses. Cost incurred for staff training, planning, and exercising should be recognized by chief officials and budgeted for accordingly. Some of the cost can be recouped through a variety of funding sources. In the budgeting process, these sources need to be explored fully to reduce out-of-pocket costs.
- Identify barriers.
Often we find that exercises do not happen because of certain limitations within and amongst those agencies and participants involved. Lack of time and apathy are commonly referred to as reasons for not conducting exercises.
If a comprehensive exercise evaluation program is going to have any longevity, barriers must be identified and confronted early on. Once barriers are fully brought into the open, it becomes a major responsibility and duty of the exercise design team to develop an exercise that will create opportunities for new learning and thus, make the time invested in the effort worthwhile.
- Gain support for a comprehensive exercise & evaluation program.
It is essential to gain support for an exercise program and to establish authority from the beginning. Whether elected or appointed, the chief executive official can get nearly instant and complete cooperation. Without that, developing and conducting exercises can sometimes be difficult. If you are not good at discussing this issue with your elected/appointed officials, get the help of the people who are.
- Determine the appropriate exercise level(s).
Knowing when, what and why to exercise are extremely important. It is also important to understand at “what level” to exercise. It is important for the participants to gain as much from each exercise activity as they can. Sometimes rushing the exercise process will open the door to potential failures. It is best to begin at an exercise level that equals the readiness level within the community. Most of us did not learn to run prior to learning to walk or crawl.
Timing of exercises is also crucial in determining program success. As subsequent exercises should increase in complexity, each one will require more preparation time, more personnel and more planning than the proceeding one. Allowing the appropriate time to prepare for an exercise is extremely important.
Remember…
…The focus should always be on locating and eliminating the gaps and problems in performance before an actual emergency occurs.
…We must eliminate the mindset that making mistakes during an exercise warrants penalties. It is not a “zero tolerance” but a learning process.
…Exercises are intended to test the plan, not the people. Before we exercise, people should be trained on the plan.
The most successful exercise is not one where all went well, but one that forces an honest look at capabilities and leads to improvement in a variety of areas. .
“An exercise without mistakes is often an exercise without a cause.”
- Organize a design team.
Because planning an exercise requires a multitude of tasks, it is most beneficial to organize an exercise design team with a wide variety of experiences to draw from to assist with the development process.
Ideally, the exercise design team could/should:
+Include representation from each department participating in the exercise as well as key local response and support agencies.
+ Consist of members familiar with the local emergency operations plan and possess some level of authority to make certain planning and evaluation decisions.
+ Have members with knowledge or experience in the exercise design process.
+ Assess training needs to enhance mission success.
Selection of team members with varied backgrounds helps with both coordination and creativity.
- Use the exercise design process to develop your exercise.
Many entities require the use of the Homeland Security Exercise and Evaluation Program (HSEEP).
As part of the exercise design process, incorporate evaluation planning as an integral part. Immediately after the exercise is complete, conduct an information/feedback gathering session (commonly referred to as a “Hot Wash”). With this information, coupled with the evaluator feedback, an After Action Report can be developed. Using the After Action Report, an Improvement Plan can be developed. The Improvement Plan includes: what the issue or concern is; what steps need to be taken to correct the problem; who is responsible to get them accomplished and within what timeframe can they be completed.
After the Improvement Plan is written, follow up needs to be done to ensure that the improvement actions are being done in a timely manner. Improvements need to be implemented and will form a basis for your next exercise.
EXERCISE TYPES
There are severalexercises within the Comprehensive Exercise Program. Drills, Seminars/Orientation, Workshops, or Games are used to describe activities that can be used as building blocks to support more complex exercises.
Type:Characteristics:Purpose:
Seminars/*Low Stress*Provide overview of
Orientation*Informal strategies, plans,
*No time constraints policies, procedures,
*Effective for large or protocols, etc
small groups
Workshops*Create a product*Test new ideas
*Low Stress*Collecting/Sharing Info
*No fault*New/different
*Work Group Sessions perspectives
*No time constraints*Team Building
Games* Simulation of Operations* Analysis of existing
* Realism Plans
* Two or more teams* Develop New Plans
* Competitive * Motivation
* Decision-making Process* Clarification
Drill* Single Function Test* Provide training
* Actual Field Response* Maintain or assess
Skills/procedures
* Test new equipment
Tabletop (TTX)* Problem-Solving* Replay of an actual
* Brainstorming occurrence
* Constructive discussion* Not Real-time restricted
*Address problem areas
around multi-agency issues* Clarify conflicting
* Narrative roles
* “What-if” * Evaluate plans and
* Minimum stress procedures
Functional (FE)* Simulation to the * Evaluation of any
maximum degree function or complex
* Real-time, stressful activity
* Messages* Test seldom used
* “do” vs. talk” resources
Full Scale (FSE)* Mobilization of personnel* Test Coordinated
and resources response
* Multiple Functions* Public Awareness
EXERCISE DOCUMENTATION:
Exercises can be reported utilizing the After-Action Report Forms. There are many templates available from different agencies. FEMA has one, The Iowa Department of Public Health has one, and The Iowa Department of Homeland Security and Emergency Management has one.
The submission of a well-developed AAR is an indication that the 8-step exercise design process was followed, and that the principles of HSEEP were used to develop and conduct the exercise. The following sections are a great baseline for building your own AAR.
Executive Summary
A short overview of the exercise will be provided in this section. Reviewers should be able to develop a picture of the exercise that was conducted.
Chapter 1: Exercise Overview.
An overview of the exercise should be placed in this section. Include scenario along with details about participating agencies and total number of participants.
Chapter 2: Exercise Goals and Objectives
Goals and objectives should be established by the exercise design team during the planning phase of the exercise. Every exercise should have at least one goal or objective. Use the space provided on the form and document those goals and objectives that are appropriate for your exercise. If the exercise has more goals or objectives than space provided please document the most pertinent ones.
Chapter 3: Exercise Event Synopsis
Use this section to provide a detailed description of the major and minor events associated with your exercise. If your exercise contains a Master Scenario Events List (MSEL) feel free to attach that document. If a MSEL is attached document “See Attached” in this section of the AAR
Chapter 4: Analysis of Mission Outcomes
In this section provide a narrative explaining how the exercise succeeded in meeting the established goals.
Chapter 5: Analysis of Critical Task Performance
This section should be completed as the parameters of the exercise dictate. Space is provided to document Universal Tasks, Target Capabilities, and Exercise Evaluation Guide reference Numbers.
Chapter 6: Conclusions
Use this section of the report as a summary of all the sections of the AAR.
Chapter 7: Improvement Planning
The exercise should have generated some Improvement pieces. Use this section to document the Issue, The Improvement Action, The agency or person responsible, and a target completion date.
Chapter 8: Plan Components Exercised
List the components of your plan that were tested in this exercise.
CREDIT FOR AN ACTUAL OCCURRENCE:
Some organizations allow real world experiences to be claimed for exercise program credit. Real world events can impact a jurisdiction’s exercise program, capability and schedule. Therefore, jurisdictions experiencing an actual, substantial response to an emergency or disaster maybe eligible to receive exercise credit to satisfy exercise requirements.
To receive exercise credit for an actual occurrence, a jurisdiction should complete/submit the following:
- Hold a formal After Action Review Meeting that either creates or reviews the Iowa HSEEP After Action Report Form. This meeting should include representatives from at least half the participating agencies/organizations from the Actual Occurrence, plus
- Complete and After Action Report (AAR)
- Provide any additional supporting information that may support the request such as newspaper articles, photographs, dispatch logs or ICS forms, for example.
- An Incident Action Plan should accompany the AAR to document the response effort associated with the After Action Report
To be considered for exercise credit, the documentation must describe the incident and, in general, what it was about this incident that forced a true test of local resources and plans. The AAR should also document an improvement or a change from a previous AAR improvement plan.
EXERCISE DESIGN TRAINING:
There are multiple opportunities to participate in training programs related to exercise and evaluation. All of the courses described/defined below are available to you.
- IS 120.A – An introduction to exercise
- IS 139 – Exercise Design Course
- G 135 – Exercise Control and Simulation
- This course is available through the Emergency Management Institute
- Homeland Security Exercise and Evaluation Program
- This course is available through HSEMD
- Master Exercise Practitioner
EXERCISE TOOL BOX
Appendix A: 5-year Exercise Plan, Blank Page
Appendix B:Exercise Notification Form