HSEEP Volume I

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homeland security exercise and evaluation program volume i hseep overview and exercise program management revised february 2007

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hseep volume i preface homeland security exercise and evaluation program hseep volume i was initially published in 2002 and provided an overview of the exercise design development conduct evaluation and improvement planning process as well as doctrine for u.s department of homeland security dhs exercises subsequent volumes ii­iv provided more detailed descriptions of the planning and evaluation process as well as sample exercise materials since the initial versions of the hseep volumes were published the homeland security community has experienced numerous changes including the building of a new and cohesive federal agency and the release and adoption of the national response plan nrp national incident management system nims national preparedness goal universal task list utl and target capabilities list tcl this 2007 release of the hseep volumes represents an exercise policy and program reflective of these changes the following changes have been made · the volumes have been made more user-friendly and concise · new policies have been incorporated e.g nims nrp national preparedness goal utl tcl · references to dhs-specific doctrinal or grant-related requirements such as the need for terrorism-related scenarios have been eliminated · comments from the federal interagency as well as several state and local stakeholders have been incorporated so the hseep policy and guidance is more applicable to all exercises regardless of scope scale scenario or sponsoring agency · the order of volumes ii and iii has been reversed to follow the natural progression of exercise design development conduct evaluation and improvement planning it is important to note that the fundamentals of the exercise design development planning evaluation and improvement planning methodologies have not changed with these volume revisions developing and implementing comprehensive exercise policies is a continually evolving process as strategies policies and plans evolve future revisions will be issued preface i

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hseep volume i contents preface i introduction v homeland security exercise and evaluation program v purpose v organization v security guidance vi chapter 1 homeland security exercise and evaluation program overview 1 the preparedness cycle 2 exercise program management 3 exercise project management 3 the hseep blended approach 4 chapter 2 exercise program management 5 multi-year planning 5 training and exercise plan workshop 6 corrective action program 6 engaging program stakeholders 6 identifying exercise stakeholders 7 communicating with exercise stakeholders 7 resource management 7 exercise budget management 7 program staffing 8 non-monetary resources 8 exercise phases 8 exercise types 9 discussion-based exercises 10 seminars 10 workshops 10 tabletop exercises 10 games 11 operations-based exercises 11 drills 11 functional exercises 11 full-scale exercises 12 chapter 3 exercise project management overview 13 phase 1 foundation 13 exercise planning timelines 13 exercise planning team 13 exercise planning conferences 14 phase 2 design and development 15 capabilities tasks and objectives 16 scenario 16 documentation 16 contents iii

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hseep volume i logistics 17 phase 3 exercise conduct 17 setup 17 presentations/briefings 18 personnel 18 phase 4 evaluation 18 hot wash and debrief 18 after action report improvement plan 19 phase 5 improvement planning 19 improvement plan 19 improvement tracking and planning 19 chapter 4 capabilities-based exercises and program management 20 capabilities-based exercise program management 20 background 20 capabilities-based planning tools in exercise program management 21 planning conducting and evaluating capabilities-based exercises 22 foundation 23 design and development 23 conduct 24 evaluation 24 improvement planning 26 appendix a exercise programs and resources a-1 appendix b glossary b-1 appendix c exercise planning timelines c-1 figures and tables figure 2-1 improvement planning in the preparedness cycle 6 table 2-1 properties of the seven hseep exercise types 9 figure 3-1 depiction of an ics-based exercise planning team 14 table 3-1 exercise planning conferences 15 table 4-1 notional multi-year training and exercise schedule 21 figure 4-1 referencing capabilities and tasks to create exercise objectives and scenarios 24 figure 4-2 improvement planning in the preparedness cycle 25 contents iv

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hseep volume i introduction homeland security exercise and evaluation program following the domestic terrorist attacks in 1993 1995 and 2001 and the establishment of the u.s department of homeland security dhs in 2002 officials at all levels of government and in all types of communities have worked to prepare for prevent respond to and recover from a variety of threats to public safety exercises play a crucial role in preparedness providing opportunities for emergency responders and officials to practice and assess their collective capabilities purpose the purpose of the homeland security exercise and evaluation program hseep is to provide common exercise policy and program guidance that constitutes a national standard for exercises hseep includes consistent terminology that can be used by all exercise planners regardless of the nature and composition of their sponsoring agency or organization the volumes also provide tools to help exercise managers plan conduct and evaluate exercises to improve overall preparedness hseep reflects lessons learned and best practices from existing exercise programs and can be adapted to the full spectrum of hazardous scenarios and incidents e.g natural disasters terrorism technological disasters the hseep reference volumes integrate language and concepts from the national response plan nrp the national incident management system nims the national preparedness goal the universal task list utl the target capabilities list tcl existing exercise programs and prevention and response protocols from all levels of government in the spirit of nims all efforts should be made to ensure consistent use of the terminology and processes described in hseep organization this document is the first of five hseep volumes all of which are available at the hseep website http hseep.dhs.gov the volumes are organized as follows hseep volume i hseep overview and exercise program management provides guidance for building and maintaining an effective exercise program and summarizes the planning and evaluation process described in further detail in volumes ii through v hseep volume ii exercise planning and conduct helps planners outline a standardized foundation design development and conduct process adaptable to any type of exercise hseep volume iii exercise evaluation and improvement planning offers proven methodology for evaluating and documenting exercises and implementing an improvement plan ip hseep volume iv sample exercise documents and formats provides sample exercise materials referenced in hseep volumes i ii iii and v readers with internet connectivity may click on exercise materials referenced in this volume to link to hseep volume iv hseep volume v prevention exercises draft contains guidance consistent with the hseep model to assist entities in designing and evaluating exercises that validate pre incident capabilities such as intelligence analysis and information sharing this volume hseep volume i hseep overview and exercise program management which provides an overview of hseep and guidance on exercise program management is organized as follows chapter 1 introduction homeland security exercise and evaluation program overview v

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hseep volume i chapter 2 chapter 3 chapter 4 appendix a appendix b appendix c exercise program management exercise project management overview capabilities-based exercises and program management exercise programs and resources glossary exercise planning timelines security guidance while most of the content found in hseep is not sensitive or classified some hseep materials e.g scenario examples particularly those in volume iv may necessitate restrictions on distribution exercise materials that are produced in accordance with hseep guidance and are deemed sensitive should be designated as for official use only fouo fouo identifies unclassified information of a sensitive nature not otherwise categorized by statute or regulations of which the unauthorized disclosure could adversely impact a person s privacy or welfare the conduct of federal programs or programs or operations essential to national interest examples of materials that may require fouo designation include scenario information the master scenario events list msel and the after action report improvement plan aar/ip access to fouo information is on a need-to-know basis fouo information may be shared with other agencies federal state local or tribal government appropriate private sector representatives and law enforcement officials provided a specific need-to-know has been established and the information is shared in furtherance of a coordinated and official governmental activity certain exercise-related information from private sector partners may require or be eligible for additional protections under the protective critical infrastructure information pcii program established pursuant to the critical infrastructure information cii act of 2002 the pcii program is an information-protection tool that enables members of the private sector to submit proprietary confidential or sensitive infrastructure information to dhs with the assurance that the information will be protected from public disclosure under the pcii program information that satisfies the requirements of the cii act of 2002 is protected from public disclosure under the freedom of information act foia state and local disclosure laws and use in civil litigation dhs and other federal state and local analysts use pcii in pursuit of a more secure homeland focusing primarily on analyzing and securing critical infrastructure and protected systems identifying vulnerabilities and developing risk assessments and enhancing recovery preparedness measures introduction vi

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hseep volume i chapter 1 homeland security exercise and evaluation program overview building on the existing nep [national exercise program dhs [u.s department of homeland security should coordinate the establishment of a neep [national exercise and evaluation program for homeland security related exercises the neep should designate hseep as the common exercise methodology across all levels of government so all exercises are using the same doctrine the federal response to hurricane katrina lessons learned february 2006 exercises allow personnel from first responders to senior officials to validate training and practice strategic and tactical prevention protection response and recovery capabilities in a risk-reduced environment exercises are the primary tool for assessing preparedness and identifying areas for improvement while demonstrating community resolve to prepare for major incidents exercises aim to help entities within the community gain objective assessments of their capabilities so that gaps deficiencies and vulnerabilities are addressed prior to a real incident well-designed and well-executed exercises are the most effective means of · assessing and validating policies plans procedures training equipment assumptions and interagency agreements · clarifying roles and responsibilities · improving interagency coordination and communications · identifying gaps in resources · measuring performance and · identifying opportunities for improvement the homeland security exercise and evaluation program hseep is a capabilities and performancebased1 exercise program that provides a standardized policy methodology and terminology for exercise design development conduct evaluation and improvement planning hseep also provides tools and resources to facilitate the management of self-sustaining exercise programs in accordance with homeland security presidential directive 8 hspd-8 and the national preparedness goal hseep uses a capabilities-based approach to individual exercises and exercise program management in the spirit of the national incident management system nims hseep promulgates standardized policies and terminology usable by officials and emergency responders at all levels of government hseep has been accepted as the standardized policy and methodology for the execution of the national exercise program nep the nep is the nation s overarching exercise program formulated by the national security council homeland security council nsc/hsc and executed by the federal interagency all interagency partners have adopted hseep as the methodology for all exercises that will be conducted as part of the nep 1 capabilities and performance-based exercises are further defined beginning on page 20 1 chapter 1 hseep overview

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hseep volume i the preparedness cycle nims defines the preparedness cycle as planning training equipping exercising evaluating and taking action to correct and mitigate exercises play an important role in this broad preparedness cycle exercises provide opportunities for federal state local and tribal leaders department and agency officials private sector partners and emergency responders to practice and test capabilities that have been built up through a coordinated process of planning training and making equipment purchases plans training and equipment and the capabilities they represent are validated through exercises exercise evaluation informs preparedness priorities by highlighting potential preparedness shortfalls in the areas of planning organization training and equipment prior to real-world incidents subsequently these priorities inform resource allocation including training and equipment purchases which enhance readiness influence policy or program decisions and become the basis for future exercises the overarching framework provided by hspd-8 national preparedness guides preparedness cycle activities issued on december 17 2003 hspd-8 establishes policies to strengthen the preparedness of the united states to prevent and respond to threatened or actual domestic terrorist attacks major disasters and other emergencies by · requiring a national preparedness goal that establishes measurable priorities and targets · establishing mechanisms to improve delivery of federal preparedness assistance to state local and tribal governments and · outlining actions to strengthen preparedness capabilities of federal state local and tribal governments and their private sector partners hspd-8 complements and supports the earlier hspd-5 incident management which required the u.s department of homeland security dhs to coordinate with other federal departments and agencies as well as state local and tribal governments and the private sector to establish the national response plan nrp and nims the nrp defines what needs to be done to manage a major incident while nims defines how it needs to be done using a standardized consistent incident management system dhs in coordination with the heads of other federal departments and agencies and in consultation with state local and tribal governments non-governmental organizations and private sector entities developed the all-hazards national preparedness goal the vision for the national preparedness goal is to engage federal state local and tribal entities their private and non-governmental partners and the general public to achieve and sustain risk-based target levels of capability to prevent protect against respond to and recover from major incidents in order to minimize the impact on lives property and the economy this goal is met by building and maintaining capabilities to prevent protect against respond to and recover from major incidents both natural and man-made the ability of the homeland security community to achieve and sustain these capabilities requires engaging in capabilities-based planning by orienting the aforementioned preparedness cycle activities planning training equipping exercising evaluating and improvement planning to achieve target levels of capability hspd-8 further directs that dhs in coordination with other appropriate federal departments and agencies establish a national program and a multi-year planning system to conduct homeland security preparedness-related exercises that reinforces identified training standards provides for evaluation of readiness and supports the national preparedness goal hseep provides the program structure multi-year planning system tools and guidance necessary for entities to build and sustain exercise chapter 1 hseep overview 2

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hseep volume i programs that enhance homeland security capabilities and ultimately preparedness for more on hseep s role in the preparedness cycle see chapter 4 capabilities-based exercises and program management exercise program management exercise program management consists of the functions required for an entity e.g state region county city department agency private company or other organization to sustain a variety of exercises targeted toward preparedness priorities on an ongoing basis it includes project management multi-year planning budgeting grant management staff hiring funding allocation and expenditure tracking the basis of effective exercise program management is a multi-year training and exercise plan a training and exercise plan workshop t&epw is usually conducted in order to create a multi-year training and exercise plan during the workshop participants review priority preparedness capabilities and coordinate exercise and training activities that can improve and validate those capabilities as a result of the workshop the multi-year training and exercise plan outlines a multi-year schedule and milestones for execution of specific training and exercise activities program management functions cyclically first a multi-year training and exercise plan is developed in consideration of an entity s preparedness priorities next specific exercise activities are planned and conducted according to the multi-year plan s schedule finally exercise planners consider post-exercise after action reports improvement plans aars/ips when developing priorities for the next multi-year plan as well as updating plans and procedures acquiring new equipment and conducting additional training for more on exercise program management see chapter 2 exercise program management exercise project management exercise project management is a component of exercise program management used to carry out the activities needed to execute an individual exercise exercise project management involves five phases which are collectively known as the exercise cycle exercises conducted in accordance with the phases of the exercise cycle lead to tangible preparedness improvements the five phases of the exercise cycle are as follows 1 foundation the following activities must be accomplished to provide the foundation for an effective exercise create a base of support i.e establish buy-in from the appropriate entities and/or senior officials develop a project management timeline and establish milestones identify an exercise planning team and schedule planning conferences 2 design and development building on the exercise foundation the design and development process focuses on identifying objectives designing the scenario creating documentation coordinating logistics planning exercise conduct and selecting an evaluation and improvement methodology 3 conduct after the design and development steps are complete the exercise takes place exercise conduct steps include setup briefings facilitation/control/evaluation and wrap-up activities 4 evaluation the evaluation phase for all exercises includes a formal exercise evaluation an integrated analysis and an aar/ip that identifies strengths and areas for improvement in an entity s preparedness as observed during the exercise recommendations related to areas for chapter 1 hseep overview 3

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hseep volume i improvement are identified to help develop corrective actions to be tracked throughout the improvement planning phase 5 improvement planning during improvement planning the corrective actions identified in the evaluation phase are assigned with due dates to responsible parties tracked to implementation and then validated during subsequent exercises for more on exercise project management see chapter 3 exercise project management overview the hseep blended approach in addition to providing a standardized policy guidance methodology and language for exercise program and project management hseep facilitates the creation of self-sustaining exercise programs by providing resources such as policy and guidance i.e hseep volumes training i.e hseep mobile course and online courses technology i.e hseep toolkit and direct support i.e vendor assistance with planning and conducting exercises hseep policy and guidance for exercises is based on established best practices by employing a blended approach that also includes training technology and direct support hseep ensures that entities at all levels of government have the tools they need to successfully implement its policy and guidance chapter 1 hseep overview 4

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hseep volume i chapter 2 exercise program management this chapter describes important concepts and best practices in exercise program management detailed guidance and further descriptions of any exercise planning conduct and evaluation concepts addressed in this chapter are contained in homeland security exercise and evaluation program hseep volume ii exercise planning and conduct and hseep volume iii exercise evaluation and improvement planning effective program management involves a collaborative approach that integrates the different resources of various agencies organizations and individuals from both the public and private sectors exercise program management is directed toward achieving the objectives established during the multi-year planning process as described in an entity s multi-year training and exercise plan in the context of multi-year planning this chapter provides guidance on engaging program stakeholders managing program resources and assigning areas of responsibility for exercise program management specific exercise program requirements for state local and tribal governments using u.s department of homeland security dhs funds to support exercises can be found in the homeland security grant program guidance multi-year planning as mentioned in chapter 1 the foundational document guiding a successful exercise program is a multi-year training and exercise plan the multi-year training and exercise plan identifies an entity s priorities as articulated in the entity s strategy and identifies the capabilities that are most relevant to achieving those priorities it then outlines a multi-year schedule of training and exercises that an entity will undertake to enhance and validate its capabilities it also graphically illustrates a multi-year schedule for training and exercise activities that support those priorities a multi-year plan employs a building-block approach in which training and exercise activities focus on specific capabilities in a cycle of escalating complexity see figure 2-1 for a depiction of the buildingblock approach for more on how a multi-year training and exercise plan can be aligned with other activities to support an entity s preparedness priorities see chapter 4 capabilities-based exercises and program management chapter 2 exercise program management 5

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hseep volume i figure 2-1 improvement planning in the preparedness cycle training and exercise plan workshop an annual training and exercise plan workshop t&epw provides an opportunity to develop review or update an entity s multi-year training and exercise plan the t&epw also provides a forum for determining how an entity will execute its multi-year plan in a given year the purpose of the t&epw and the multi-year training and exercise plan is to translate strategic goals and priorities into specific training and exercise activities and to coordinate and de-conflict all training and exercise activities on a schedule an effective exercise program uses a combination of exercise types to effectively accomplish exercisespecific objectives and program goals although each exercise type can be executed as a single activity multi-year plans gradually build capabilities by employing a building-block approach of linked training and exercise activities that escalate in complexity as illustrated in figure 2-1 because exercises are part of a broader preparedness cycle that also involves planning equipment purchases and training activities multi-year plans should not schedule exercises without taking into consideration other issues exercise scheduling should complement the full range of preparedness efforts and priorities being undertaken by a given entity t&epws include representatives from the entire spectrum of an exercise program s stakeholders such as law enforcement public health and medical community and emergency management participants must be knowledgeable and have the authority to commit personnel and resources toward the activities scheduled in the multi-year plan entities conducting exercises may receive funds from a number of different federal state local or private sector programs and many of these programs have associated exercise requirements some programs such as the chemical stockpile emergency preparedness program csepp and radiological emergency preparedness rep program are mandated by public law various u.s army regulations and/or nuclear regulatory commission nrc regulations affecting exercise conduct and reporting faced with various exercise requirements organizations e.g law enforcement health departments emergency operations centers [eocs citizen groups transit agencies power plants with limited resources are encouraged to use t&epws to coordinate schedules at the state regional and local levels a coordinated and integrated exercise program will eliminate duplicative efforts and therefore reduce the burden of conducting numerous exercises expanded regional collaboration is identified in the national preparedness goal as a national priority exercise program managers should strive to include neighboring jurisdictions e.g counties states cities in their t&epws in order to facilitate the execution of multi-function multi-disciplinary exercises that involve cooperation among a region s various jurisdictions corrective action program after execution of an exercise an evaluation team produces an after action report improvement plan aar/ip which defines specific corrective actions that must be taken to remedy issues observed during exercise evaluation an aar/ip assigns all corrective actions to a responsible person or organization and includes incremental benchmarks and deadlines for completion an exercise program manager should track progress on all resulting corrective actions identified in the aar/ip and should release periodic reports that document progress toward all corrective actions and highlight corrective actions that are incomplete or behind schedule such reports help communicate the concrete preparedness benefits generated by exercise activity while also providing accountability for corrective action implementation engaging program stakeholders chapter 2 exercise program management 6

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