Online Lecture- Preparedness Exercising the Emergency Operations.docx

Online Lecture- Preparedness: Exercising the Emergency
Operations Plan
Exercises play a vital role in national preparedness by enabling
whole community stakeholders to test and validate plans and
capabilities, and identify both capability gaps and areas for
improvement. A well-designed exercise provides a low-risk
environment to test capabilities, familiarize personnel with
roles and responsibilities, and foster meaningful interaction and
communication across organizations. Exercises bring together
and strengthen the whole community in its efforts to prevent,
protect against, mitigate, respond to, and recover from all
hazards. Overall, exercises are cost-effective and useful tools
that help the nation practice and refine our collective capacity
to achieve the core capabilities in the National Preparedness
Goal.
The different types of exercises that may be included in the
multi-year plan are described in the following sections.
Discussion-Based Exercises
Discussion-based exercises include seminars, workshops,
tabletop exercises (TTXs), and games. These types of exercises
can be used to familiarize players with, or develop new, plans,
policies, agreements, and procedures. Discussion-based
exercises focus on strategic, policy-oriented issues. Facilitators
and/or presenters usually lead the discussion, keeping
participants on track towards meeting exercise objectives.
Seminars
Seminars generally orient participants to, or provide an
overview of, authorities, strategies, plans, policies, procedures,
protocols, resources, concepts, and ideas. As a discussion-based
exercise, seminars can be valuable for entities that are
developing or making major changes to existing plans or
procedures. Seminars can be similarly helpful when attempting
to assess or gain awareness of the capabilities of interagency or
inter-jurisdictional operations.

Workshops
Although similar to seminars, workshops differ in two important
aspects: participant interaction is increased, and the focus is
placed on achieving or building a product. Effective workshops
entail the broadest attendance by relevant stakeholders.
Products produced from a workshop can include new standard
operating procedures (SOPs), emergency operations plans,
continuity of operations plans, or mutual aid agreements. To be
effective, workshops should have clearly defined objectives,
products, or goals, and should focus on a specific issue.
Tabletop Exercises
A TTX is intended to generate discussion of various issues
regarding a hypothetical, simulated emergency. TTXs can be
used to enhance general awareness, validate plans and
procedures, rehearse concepts, and/or assess the types of
systems needed to guide the prevention of, protection from,
mitigation of, response to, and recovery from a defined
incident. Generally, TTXs are aimed at facilitating conceptual
understanding, identifying strengths and areas for improvement,
and/or achieving changes in perceptions.
During a TTX, players are encouraged to discuss issues in
depth, collaboratively examining areas of concern and solving
problems. The effectiveness of a TTX is derived from the
energetic involvement of participants and their assessment of
recommended revisions to current policies, procedures, and
plans.
TTXs can range from basic to complex. In a basic TTX (such as
a Facilitated Discussion), the scenario is presented and remains
constant—it describes an emergency and brings discussion
participants up to the simulated present time. Players apply
their knowledge and skills to a list of problems presented by the
facilitator; problems are discussed as a group; and resolution is
reached and documented for later analysis.
In a more advanced TTX, play advances as players receive pre-
scripted messages that alter the original scenario. A facilitator
usually introduces problems one at a time in the form of a

written message, simulated telephone call, videotape, or other
means. Players discuss the issues raised by each problem,
referencing established authorities, plans, and procedures for
guidance. Player decisions are incorporated as the scenario
continues to unfold.
During a TTX, all participants should be encouraged to
contribute to the discussion and be reminded that they are
making decisions in a no-fault environment. Effective TTX
facilitation is critical to keeping participants focused on
exercise objectives and associated capability targets.
Games
A game is a simulation of operations that often involves two or
more teams, usually in a competitive environment, using rules,
data, and procedures designed to depict an actual or
hypothetical situation. Games explore the consequences of
player decisions and actions. They are useful tools for
validating plans and procedures or evaluating resource
requirements.
During game play, decision-making may be either slow and
deliberate or rapid and more stressful, depending on the
exercise design and objectives. The open, decision-based format
of a game can incorporate “what if” questions that expand
exercise benefits. Depending on the game’s design, the
consequences of player actions can be either pre-scripted or
decided dynamically. Identifying critical decision-making
points is a major factor in the success of evaluating a game.
Operations-Based Exercises
Operations-based exercises include drills, functional exercises
(FEs), and full-scale exercises (FSEs). These exercises can be
used to validate plans, policies, agreements, and procedures;
clarify roles and responsibilities; and identify resource gaps.
Operations-based exercises are characterized by actual reaction
to an exercise scenario, such as initiating communications or
mobilizing personnel and resources.
Drills
A drill is a coordinated, supervised activity usually employed to

validate a specific function or capability in a single agency or
organization. Drills are commonly used to provide training on
new equipment, validate procedures, or practice and maintain
current skills. For example, drills may be appropriate for
establishing a community-designated disaster receiving center
or shelter. Drills can also be used to determine if plans can be
executed as designed, to assess whether more training is
required, or to reinforce best practices. A drill is useful as a
stand-alone tool, but a series of drills can be used to prepare
several organizations to collaborate in an FSE.
For every drill, clearly defined plans, procedures, and protocols
need to be in place. Personnel need to be familiar with those
plans and trained in the processes and procedures to be drilled.
Functional Exercises
FEs are designed to validate and evaluate capabilities, multiple
functions and/or sub-functions, or interdependent groups of
functions. FEs are typically focused on exercising plans,
policies, procedures, and staff members involved in
management, direction, command, and control functions. In
FEs, events are projected through an exercise scenario with
event updates that drive activity typically at the management
level. An FE is conducted in a realistic, real-time environment;
however, movement of personnel and equipment is usually
simulated.
FE controllers typically use a Master Scenario Events List
(MSEL) to ensure participant activity remains within predefined
boundaries and ensure exercise objectives are accomplished.
Simulators in a Simulation Cell (SimCell) can inject scenario
elements to simulate real events.
Full-Scale Exercises
FSEs are typically the most complex and resource-intensive
type of exercise. They involve multiple agencies, organizations,
and jurisdictions and validate many facets of preparedness.
FSEs often include many players operating under cooperative
systems such as the Incident Command System (ICS) or Unified
Command.

In an FSE, events are projected through an exercise scenario
with event updates that drive activity at the operational level.
FSEs are usually conducted in a real-time, stressful environment
that is intended to mirror a real incident. Personnel and
resources may be mobilized and deployed to the scene, where
actions are performed as if a real incident had occurred. The
FSE simulates reality by presenting complex and realistic
problems that require critical thinking, rapid problem solving,
and effective responses by trained personnel.
The level of support needed to conduct an FSE is greater than
that needed for other types of exercises. The exercise site for an
FSE is usually large, and site logistics require close monitoring.
Safety issues, particularly regarding the use of props and
special effects, must be monitored. Throughout the duration of
the exercise, many activities occur simultaneously.
Note must watch this video: https://youtu.be/EnpOsyXCUGw
Note must read to answer questions.
Read: Homeland Security Exercise and Evaluation Program
(HSEEP) see attached file
Read: Preparedness see attached file
Note : Write a 2-3 page paper about the four types of exercises
presented in this week’s reading and include the strengths and
limitations of each; utilize APA format. Answer must come or
based from the readings.

At the end of this unit you will be able to:
State what is involved in the preparedness phase of
emergency management.
Distinguish between what an emergency operations
plan is and what it is not.
Define the guiding principles that are necessary when
developing an emergency operations plan.
Define the eight sections of the basic emergency
operations plan.
Define the five different types of exercises for testing
an emergency operations plan.
State ways in which to establish and manage an
emergency operations center.
What Is
Preparedness?
While mitigation can make communities safer, it does not
eliminate risk and vulnerability for all hazards. Therefore,
jurisdictions must be ready to face emergency threats that have
not been mitigated away. Since emergencies often evolve
rapidly and become too complex for effective improvisation, a
government can successfully discharge its emergency
management responsibilities only by taking certain actions
beforehand. This is preparedness.
Preparedness involves establishing authorities and
responsibilities for emergency actions and garnering the
resources to support them. A jurisdiction must assign or

recruit staff for emergency management duties and designate
or procure facilities, equipment, and other resources for
The Emergency Manager 4-1
Unit Four: Preparedness
carrying out assigned duties. This investment in emergency
management requires upkeep. The staff must receive training,
and the facilities and equipment must be maintained in
working order. To ensure that the jurisdiction’s investment in
emergency management personnel and resources can be relied
upon when needed, there must be a program of tests, drills, and
exercises.
A key element of
preparedness is the
development of
plans that link the
many aspects of a
jurisdiction’s
commitment to
emergency
management.
In this unit, we will
examine key
elements of an
emergency operations plan and then take a look at the
equipment, supplies, and personnel required to put the plan
into action.

The
Emergency
Operations
Plan
The emergency operations plan (EOP) is at the center of
comprehensive emergency planning. This plan spells out the
scope of activities required for community response. It needs
to be more than just a dust-collecting document you and others
have spent hours writing. It needs to be a living document that
accurately describes what the community can realistically do.
The EOP allows your community to respond to a threat and
engage in short-term recovery, the first step toward long-term
recovery. Because response activities are time-sensitive,
planning is critical and will help promote a more effective
response.
Your EOP needs to be flexible enough that it will be of value
in any emergency, even those you may not have fully foreseen.
In a sense, the all-hazards plan provides your community an
emergency management “bottom line” that offers confidence
in the jurisdiction’s ability to handle an event.
A key element of preparedness is the
development of plans.
4-2 The Emergency Manager
What the Plan
Is Not

Before getting any more deeply into what the EOP is, it might
be helpful to say what it is not.
It would be wrong to oversimplify and give the impression that
effective emergency management hinges on only the EOP.
Nothing could be further from the truth. Just as there are
several different kinds of actions in emergency response, there
are different kinds of plans in emergency management.
Administrative
Plan
The first of these is administrative plans. They describe the
basic policies and steps your jurisdiction takes in managing its
internal processes. Some typical administrative plans are those
addressing financial management, personnel management,
records management, and labor relations activities.
Mitigation Plans These plans reflect the strategy for mitigating
the hazards
faced. Unit Three dealt with considerations on how to
formulate these strategies. It is important to note that a
mitigation plan is required of states that seek funds for post-
event mitigation projects after a Presidentially declared
disaster.
Long-term
Recovery Plan
Typically, an EOP does not address recovery actions beyond
rapid damage assessment and the actions necessary to satisfy
the immediate life support needs of disaster victims. The EOP

should provide for a transition to a long-term recovery plan
and a stand-down of response forces.
Standard
Operating
Procedures
Your EOP does not contain the detailed “how-to” instructions
that need to be known only by an individual or group with
responsibility to perform the function. The standard operating
procedures may be annexed to the EOP or referenced as
deemed appropriate.
In a real sense, the plan is the fruit of a planning process; the
more successful the planning process, the better the plan. We
will deal with the process first and then the elements of the
written plan.
Guiding
Principles
The following are guiding principles that should aid you in the
process.
Do Not Reinvent
the Wheel

Assuredly, there is no reason to begin from scratch. More than
likely, your jurisdiction has made some attempt at planning
and has planning documents.
In Unit Two, we talked briefly about the resources FEMA and
your state’s emergency management office represent. Use the
staffs of these organizations and the guidance and training
materials they have.
www.fema.gov
An excellent document is FEMA’s State and Local Guide for
All-Hazards Emergency Operations Planning. Information on
how to order this document is on FEMA’s web site,
www.fema.gov, or can be obtained from your State Emergency
Management Office.
Don’t Go It Alone Use people with experience. This includes
those in
government, volunteers, and the private sector.
Potential Team Members
Chief executive officer
Staff of the chief executive
Office of the chief financial officer
Jurisdiction’s legal counsel
Law enforcement, fire and rescue, and
emergency medical services units
Existing planning agencies
Local emergency planning committees
Public work agencies and utility companies

Social service agencies and volunteer
organizations
Educational administrators
Area hospitals, emergency medical service
agencies, the medical examiner, the
coroner, funeral directors, etc.
Local media
State aviation authority and port authority
Labor and professional organizations
Organizations in animal care and control,
including veterinary services
Amateur radio and CB groups
Emergency managers and agency
representatives from neighboring
communities to coordinate mutual aid needs
State and federal representatives

Use Existing
Organizational
Structures
Plans work best within existing organizational structures if
these organizations routinely respond to nonemergency duties.
That is, if a department does a job on a daily basis, the job will
be best done by that organization in an emergency.
Research Review laws, existing plans, mutual aid agreements,
and
memoranda of understanding that may affect your planning
efforts. Identify changes that need to be made in existing
documents, as well as new documents that need to be
developed. Once the review is complete, make the appropriate
contacts to initiate the changes and additions.
The information from the vulnerability assessment addressed
in Unit Three should be reviewed. The plan is to be built to
address those risks identified in the assessment that pose a
threat to the jurisdiction.
Resources As you work on the EOP, you will find that the plan
requires
considerable resources—people, equipment, and facilities.
You will need to identify what you have to work with.
Information presented later in this unit will help you look at

possible sources for garnering resources.
Your emergency operations plan requires
people, equipment, and facilities.
There are three basic components to the EOP.
1.
2.
3.
The Basic Plan serves as the overview of the
jurisdiction’s approach to emergency management,
including broad policies, plans, and procedures.
Functional Annexes that address specific activities
critical to emergency response and short-term recovery
efforts that support the basic plan.
Hazard-specific Appendices support each functional
annex and contain technical information, details, and
methods for use in emergency operations.
The plan should be written using clear, simple language to
avoid possible misunderstanding or misinterpretation. Do not
use unnecessary big words, but keep in mind that technical
terminology may be required.

Sample Emergency Management
Basic Plan
Plan Annex
Plan Appendix
Part of the Jefferson County Emergency Management Plan is
included in the Toolkit, Unit Four. Use it as a reference as you
read about the parts of a plan on the following pages and
proceed to develop or update your jurisdiction’s plan.
The Basic Plan The basic plan is the foundation document that
provides the background and basis for the other parts of the
plan. It begins
with a series of introductory parts. These include:
A promulgation statement signed by the chief
executive authorizing the plan
A foreword describing the planning process,
abstracting the contents in an executive summary, and

stating the purpose of the plan
A table of contents
Instructions on using the plan, on its intended
audiences, on the purpose of its various sections, and
on plan distribution
A change record page for noting the dates of revisions
and the sections revised
There are eight other sections to the basic plan.
1. Statement of
Purpose
This states the reason the plan exists: to give the community an
effective and efficient emergency management operation
program that will protect life and property and help the
community recover from disasters in a manner acceptable to
the citizens.
2. Situation and
Assumptions
This is a description of the types of disasters or emergency
situations that may occur. It talks about warning time, the
degree of damage expected, or any specific situations that may
be peculiar to the community. For example, if you are located
in the vicinity of a nuclear power plant, this section would
describe the various emergency situations that may occur
because of that particular facility.
But be realistic. Make only valid assumptions, because they

will influence the details that follow later in the plan for
meeting these emergencies. The description of potential
disasters should reference your hazard identification and
vulnerability analysis.
3. Organization
and
Assignment of
Responsibilities
This is the heart of the plan, because it deals specifically with
how the jurisdiction will assign the emergency functions to
carry out the plan. However, this section does not yet say how
the plan will function. Its sole purpose is to specify who will
be responsible for the key functions.
This section also defines the roles of local officials in the
emergency management structure. It specifies the lines of
authority between the various government officials, the
emergency manager, and the heads of the various agencies or
departments.
As we discussed earlier, your emergency organizational
structure should be as similar as possible to that used for day-
to-day operations. However, it should allow for the expansion
and extension of duties to include such items as damage
assessment, liaison with community groups, and emergency
shelter management and similar functions that normally do not

occur on a daily basis.
Emergency management is a community-wide responsibility,
not just a local government responsibility. Therefore, the
organizational structure should also clearly identify those
private-sector individuals or organizations that have accepted
the responsibility to coordinate resources outside the direct
control of the local government.
4. Concept of
Operations
This section describes the roles and relationships of
government agencies and how they interact with each other
and the private sector. Here are some of the points covered:
Interjurisdictional relationships among levels of
government
Curtailment of nonessential functions during
emergency conditions
General need for time-phase of operations (pre-
emergency, emergency, and post-emergency)
Supporting plans and procedures as a basis for
operations
Expectations for training, exercises, and critiquing
Efforts directed toward mitigation and recovery
Generally, a discussion of the decision-making
processes that affect emergency management operations

5. Administration
and Logistics
This is the place to address management of resources, general
support requirements, and availability of services and support
for all phases of comprehensive emergency management. The
plan will establish policy for obtaining and using facilities,
materials, services, and other resources required for any aspect
of emergency management.
6. Plan
Development
and
Maintenance
This presents details about the creation, review, revision,
approval, acceptance, and distribution of the plan. Especially
important will be the continuous review required to keep the
plan current and reflect changes that result from actual
experiences in emergency management, changing emergency
situations and assumptions, and modifications in the
community’s profile.
7. Authorities and
References
This part cites the authorities that provide the basis for a

comprehensive emergency management program. It refers to
the statutes, executive orders, regulations, and formal
agreements that pertain to any type of emergency. It also
references other documents relating to emergency planning,
such as general planning guidance, plans of other agencies,
and the plans of other levels of government.
8. Definitions of
Terms
This is the plan’s glossary of terms that are not commonly
known or might be misinterpreted. For example, you may
wish to define mutual aid, hazardous materials, or radiological
emergency as you are using the terms in your plan. These
definitions will depend upon their application to your
community and the particular interpretation you intend to give
them.
It should be fairly evident by now that the basic plan is mostly
preliminary, background information. It lays the structure for
the functional annexes and the hazard-specific appendices that
follow.
Functional
Annexes
Annexes are the parts of the EOP that begin to provide specific

information and direction. Annexes should focus on
operations: what the function is and who is responsible for
carrying it out. While the basic plan provides information
relevant to the EOP as a whole, annexes should emphasize
responsibilities, tasks, and operational actions that pertain to
the function being covered. Annexes should cover, in general
terms, the activities to be performed by anyone with the
responsibility under that function. An annex should identify
actions that not only ensure effective response but also aid in
preparing for emergencies and disasters.
The core functions that should be addressed are:
Direction and control – who is in charge
Communications – how people and organizations will
communicate
Warning – what warning systems will be used
Emergency public information – how the public will be
kept informed
Evacuation – what steps will be taken to tell people to
leave a particular area and how they will do it
Mass care – who will shelter and feed populations that
have been evacuated or displaced by an emergency
Health and medical services – who will provide these
services after a disaster
Resource management – how resources will be
allocated

Other Functions Other functions to consider:
Damage assessment
Search and rescue
Emergency services
Aviation operations
Radiological protection
Engineering services
Agricultural services
Transportation
Eight Sections As with the basic plan, and as described on the
previous few
pages, there are eight parts of an annex.
1.
2.
3.
4.
5.
6.
7.

8.
Purpose
Situation and Assumptions
Organization and Assignment of Responsibilities
Concept of Operations
Administration and Logistics
Plan Development and Maintenance
Authorities and References
Definition of Terms
Hazard-
Specific
Appendices
Hazard-specific appendices offer a means of extending
functional annexes to address special and unique response
procedures, notifications, protective actions, emergency public
information, and other needs generated by a particular hazard.
A hazard-specific appendix should be prepared for any
functional annex that does not, by itself, give enough
information to perform the function adequately in the face of a
particular high-priority hazard, such as an earthquake.
The appendices are attachments to the functional annexes, and
their sections correspond to those in the annex for which they
provide supplementary hazard-specific information. This

further assures consistency in the plan, since all major parts—
the basic plan, the functional annex, and the hazard-specific
appendix—will look alike. The level of detail will vary from
one to the other, however.
Plan Review When you have the plan completed, review each
aspect with
your local officials and others who have responsible parts to
play in its implementation. Be prepared to make revisions, if
necessary.
Exercising the
Plan
The most effective way to test the plan is by exercising it.
There are five different types of exercises. Each is
progressively more realistic, more stressful, more complex,
and more difficult to conduct. Jurisdictions should plan on
exercising in
successive
steps, each
step building
on the
experience of
the past
exercise.
Exercises must
be an integral

and ongoing
part of an
effective
emergency
management
program.
1. Orientation The first type of exercise is a preparatory
training exercise that
helps orient staff to plans or procedures. It is very low-key
and serves as a building block to other, more difficult
exercises.
Information on this and the other types of exercises is
provided in FEMA’s “Exercise Design Course” (G120)
and in the “Guide to Emergency Management
Exercises.” Information on how to obtain these
publications can be found on FEMA’s web site or by
contacting your state emergency management office.
The most effective way to
test the plan is by exercising it.
2. Table-top
Exercise

Second is the
table-top
exercise. The
focus of this
exercise is
participants’
familiarization
with their
roles,
procedures,
and
responsibilities
in the
emergency
management system. As the name implies, it occurs when the
participants sit around a table and talk their way through the
exercise. It is normally not a stressful activity and is easily
scheduled since it does not require elaborate preparation.
It does involve an initial attempt to simulate what happens
during an emergency, because it uses pre-scripted messages
designed to trigger a response. But, as in more complex
exercises, there is no pressure of urgency and timeliness since
it is basically an exercise in talking about the plan. This
shared conversation about the plan is valuable to emphasize
the need to coordinate and to identify the interaction problems
agencies face.
3. Functional
Exercise
The functional exercise takes place in a classroom setting
arranged to look like an emergency operations center (EOC) or
in an actual EOC. It involves complex simulation using
written, telephone, and radio messaging. The messages

describe realistic events and occurrences to which the
participants respond as if it were a real emergency.
The training benefit comes from the evaluation of personnel
and procedures under complex conditions and relatively high
stress.
The functional exercise should involve all key emergency
management personnel to allow them to practice using the
procedures they helped write or, at a minimum, approved.
This tests the organization of the plan, its task assignments,
and the liaison necessary among government officials.
Table-top exercises familiarize participants with
their roles, procedures, and responsibilities.
Conflicts in authority or responsibility emerge in a functional
exercise as do gaps in task assignments in the plan. Because
this occurs, the functional exercise often leads to plan revision.
4. Field Drill A field drill is when personnel of one emergency
service
organization actively participate. A drill can also involve all
the players in one specific function.
Field drills serve a valuable purpose in support of a full-scale
exercise. For example, before you conduct a full-scale
exercise, you should verify that alerting and notification

procedures are correct by conducting a notification drill. This
consists of sending out a message simulating that a disaster has
occurred and observing whether the correct people and
agencies find out about it within a predetermined period of
time.
Drills also let you verify the working order of some of the
specialized facilities you have, such as the EOC and the
communications center.
Too often, jurisdictions feel confident that they have tested
their plan after running such a drill. However, unless the EOC
activates and full interagency coordination takes place, there is
no complete system test. Therefore, the ultimate goal of the
exercise program should be to conduct a full-scale exercise
with EOC activation. Drills alone cannot substitute for
simulation of total emergency coordination.
5. Full-scale
Exercise
The full-scale exercise combines a functional exercise with a
field drill. During a full-scale exercise, all personnel respond
to an emergency by moving equipment and personnel as in a
real situation. There may even be civilian participants who
simulate injuries.
While there is not the urgency and stress of a real-life
situation, there is enough pressure to test the emergency
management plan and the ability of the personnel to follow it.
One final word of advice: Do not move too fast to advanced
exercises until all participants and agencies have participated
in the more basic exercises and drills. The surest way to “fail”
the full-scale exercise is to attempt to launch one with

insufficient practice.
Publicizing the
Plan
Once you have completed the EOP, you need to let everyone
in the community know about it. If you have not done so
already, it is an excellent time to begin a full public
information push for emergency preparedness. It is also an
excellent time to do a little promotion within your own
government. Use the completion of the plan as an opportunity
to renew contact with other agency officials as well as
volunteer groups and the public.
Your approach to each of these groups and the information you
present will be different. The intent, however, is the same: to
have a well-informed and fully prepared community.
Potential Methods
Local Media
There are several ways you can inform the public about the
plan. The most obvious is to use the local news media. The
media can broadcast informational spots on radio and
television as a public service. Radio announcements are easier
to prepare, because there are no visuals to make.

Your local newspaper could run a series of small articles about
the EOP and what the public is to do when alerted.
The media can inform the public
about your plan.
Speak to Community
Groups
Another way of getting the
word out is to speak to local
community groups, such as the
PTA, the Chamber of
Commerce, or the Board of
Realtors. Do not pass up the
opportunity to speak to any
community group. The more
informed people are, the better
the plan will work in time of
emergency.
Handouts If possible, arrange to have some type of brochure
printed as a
handout. You may even be able to have the local newspaper
or a local printer prepare the brochures at no cost. As an
enticement, you could mention the donor on the brochure by
inserting something like “XYZ Printing, Inc., donated this

brochure as a public service.” Many printing companies are
more than willing to print at no charge if they can get free
promotion as a result.
Here are two suggested ways to get brochures distributed. One
is to use groups like the Boy Scouts, Girl Scouts, or even adult
civic groups to distribute them door-to-door. An alternative is
to see if private and public-sector agencies will allow you to
insert the brochure with statements or bills.
Lining Up Your
Resources
As you work on an EOP, you will find that the plan requires
considerable resources—people, equipment, and supplies.
Without them the job of emergency response would be
impossible.
Potential sources of resources are:
Those available from your government in your
jurisdiction or maintained by higher levels of
government
Those in the community
Those in a neighboring jurisdiction
Those available from the private sector
From Government
The first available resources are those of the various
departments and agencies of your jurisdiction. They constitute
your first line of response and the core resources for your
emergency plan.
Speak to local community groups.

From the
Community
Groups from the community can provide valuable resources.
These groups include
American Red Cross
Salvation Army
Catholic Relief Services
Religious Institutions
Senior citizens’ groups
Parent Teacher Associations
Chamber of Commerce
Scouting groups
Fraternal and civic groups
Women’s clubs
From a Neighbor It would not be fiscally responsible for a
community to
purchase some specialized piece of emergency equipment used
only occasionally if a neighboring jurisdiction owns one and is
willing to share. It makes sense to partner and share resources
through mutual aid agreements.
A mutual aid agreement is a legal document that sets forth
what help will be provided in case of an emergency. The
heads of the governments involved sign the document.
Typically, the agreement covers access across boundaries, the

provision of resources and services, and the extent to which
the resources and services will be provided.
Modern Mutual Aid
Agreements for Building
Officials
New Hampshire Public Works
Mutual Aid Agreement
New Hampshire Mutual Aid
Questions
Sample Mutual Aid Agreement
for Building Officials
Sample Mutual Aid Agreement
for Public Works
The Toolkit contains several sample mutual aid agreements.
The state and federal government may also have resources that
can be made available.
From the Private
Sector

A major part of your private-sector resource inventory will
consist of personnel and equipment that will supplement
government resources in an emergency. Often, the private
sector has different, more up-to-date resources than the
government. It may also have specialists the government
cannot afford to hire.
Inventorying
Your
Resources
Perhaps you already have a community resource inventory. If
you do, get it out and review it as you read this section. Your
inventory should be updated as often as necessary, but at a
minimum once a year. You may find that your inventory is
not as complete as it should be. If so, this is the time to begin
adding information.
If you do not have a resource inventory, it is time to start
developing one. The worksheets and checklists in your
Toolkit provide excellent guidance on identifying and planning
to use your resources.
Resource Management
Package
The Toolkit contains worksheets for identifying resources
available in the community and checklists for resource
management plan.
Although creating a resource inventory can be time
consuming, it is necessary. Doing it can help you develop
contacts with your own government officials, volunteer groups

(who are a source of help with the resource inventory), and
business and industry officials throughout the community. It
can be a path to visibility in your area and a way to build
bridges to groups that will be important in emergencies.
Identifying
Sources
Begin to identify sources by creating a list of people to contact
who have authority to allocate resources during an emergency.
Organizational charts, telephone directories, and simply asking
others are excellent sources for identification of contacts.
Once you have identified these sources, you will need to make
contact with them to find out what resources they can provide.
You should be prepared to take notes and to explain in detail
what your requirements are.
It is a good idea to follow up any commitment about a resource
in writing. The written document should address specifics
about the resource, such as what is being provided, the
quantity, the location, primary and alternate contact
information, and any costs.
Resource Tracking An inventory of resources, people, and
materials needs to be
established using a manual or automated system to capture the

information. A sample inventory appears below.
Wilson County Resource Inventory
RESOURCE: Heavy equipment (12 dump trucks; 6 graders)
SKILLS/CAPABILITIES: Excavation; debris removal; earth
moving
TRAINING/EXPERIENCE: Used extensively in Hurricane Betty
LOCATION: Red Bank
ADDITIONAL RESOURCES REQUIRED: Drivers; skilled
operators
PRIMARY CONTACT: Albert King (K & R Const.)
ADDRESS: 4100 Janeway Rd.
PHONE: 305-414-4145
HOME ADDRESS: 833 West Wooddale Ave.
PHONE: 305-744-4145
ALTERNATE CONTACT: Richard Hennesey
PHONE: 305-414-4145
HOME ADDRESS: 476 Woodlawn Rd.
PHONE: 305-221-2881
AUTHORITY: Letter of Understanding: 6/4/97

COST/COMPENSATION: $65/hr trucks; $80/hr graders
DATE CONFIRMED: 01/04/99
A resource inventory is worthless if it is not up-to-date. When
an emergency occurs and you are calling disconnected
telephone numbers and hoping for resources you cannot find,
lives may be lost.
The fastest way to update a resource inventory is to send a
standard form letter to everyone on the inventory. Reproduce
the information you have on the inventory and ask them to
confirm the facts and continued availability of the resource.
When they return the letter, you can change information on the
inventory and make note of the last date of confirmation.
Specialized Government
Resource: The
Emergency Operations
Center
A designated EOC is
a key component to
effective emergency
management.
Trying to run
emergency

operations without
one would be like
trying to put on a
television show
without a studio.
You and other
officials must be
able to coordinate
the direction of
emergency operations, and this is the place where you do it.
The EOC has several functions.
First, it serves as the command center. As such, it must
contain
the necessary communications equipment so that officials
operating there can communicate with their personnel in the
field or at other locations, with other government agencies,
with the higher levels of government that may be involved in
the response, and with other groups that agreed to be part of the
response.
Second, as its name implies, it is the operations center for the
emergency personnel: chief elected or appointed government
officials, your emergency operations staff, and other essential
representatives.
The emergency operations center is key
to effective emergency management.

It is the nerve center for government officials away from the
disaster scene. This distancing from the scene is critical for
proper coordination with and support of the emergency
responders at the scene. Thus, your EOC must be large enough
to house all the key personnel and properly equipped to allow
them to exercise proper direction and control.
Third, it is the information hub. As such, it must be able to
receive incoming communication from the field, process it, and
transmit outgoing communication to the units at the emergency
site. This takes a lot of training to be sure the information flow
is smooth and efficient. Furthermore, there can be no
confusion over use of channels.
As emergency manager, one of your tasks will be to see that
all
communications equipment is compatible. This is no easy task,
since there are often different systems in use.
The EOC should also provide the staff with adequate shelter
and life-support services to make possible extended
occupation. It should have an emergency power generator,
auxiliary water supplies, heat, and ventilation.
Sample Reference Source
The Toolkit contains a resource checklist to help you furnish an
EOC.
The facility should not be located in a basement in a flood
zone, and it should be in a building strong enough to withstand
the most severe windstorms anticipated in your area. The
continuity of your local government and its ability to continue
serving its people during a disaster depend upon the
survivability of your EOC.

The ideal place for such a center is in a local government
building having the necessary communications equipment and
providing adequate structural protection. Don’t assume that the
jurisdiction’s communication center or that of your local police
or fire department is the ideal location just because it is there
and already in operation. It may not have the needed space or
provide the necessary structural protection.
In brief, the EOC is a critical element to the functioning of the
plan when a disaster strikes. Getting the EOC ready takes a lot
of time, and knowing how to use it well takes training and
exercising.
Conclusion If you had any doubts earlier about the scope of the
job of the emergency manager, they are probably gone. If
nothing else,
this unit has outlined the myriad tasks associated with
preparedness. And in a sense, it has only highlighted many of
them. It is not possible in these few pages to go into more
detail.
There is a lot you can do day in and day out, to prepare your
jurisdiction long before a disaster hits. It is all these
preparedness tasks that can make a difference when an event
occurs.

But, remember, you are the stage manager, and you are not
alone in producing the play. There are others who are ready to
help. Together you can make preparedness a reality.
Answer the following questions to test your knowledge of Unit
Four facts. Read each question
carefully, then write in the answer that you think is correct.
Answers can be found on page 4-26.
1. What is an emergency operations plan?
2. What are three concepts that should form the basis for an
emergency operations plan?
3. List at least three of the five types of exercises to test your
emergency operations plan.

4. What are Standard Operating Procedures?
5. List characteristics of a good EOP.
6. List four potential sources of emergency resources and
capabilities.

7. What is the purpose of a resource inventory and how often
should it be updated?
8. What are the four major functions of an emergency
operations center?
9. Why should you personally make contact with the person
responsible for a private resource
before you add the item to your private community resource
inventory?
For every question that you answered incorrectly, review the

page listed next to the answer to
find out why your answer was incorrect.
1. What is an emergency operations plan? (See page 4-2.)
The EOP spells out the scope of the preparedness activities
required for community
response.
2. What are three concepts that should form the basis for an
emergency operations plan?
(See page 4-6.)
The Basic Plan, Functional Annexes, and Hazard-specific
Appendices.
3. List at least three of the five types of exercises to test your
emergency operations plan.
(See pages 4-12 through 4-14.)
Orientation, Table-top Exercise, Functional Exercise, Field
Drill, and Full-scale Exercise.
4. What are Standard Operating Procedures? (See page 4-3.)
How-to instructions
5. List characteristics of a good EOP. (See page 4-2.)

Living document that describes what the community will do and
offers confidence in
community’s ability to handle a crisis
6. List four potential sources of emergency resources and
capabilities. (See page 4-16.)
Those available from your government in your jurisdiction or
maintained by higher levels
of government
Those in the community
Those in a neighboring jurisdiction
Those available from the private sector
7. What is the purpose of a resource inventory and how often
should it be updated?
(See page 4-18.)
The purpose of a resource inventory is to help you develop
contacts with your own
government officials, volunteer groups (who are a source of
help with the resource
inventory), and business and industry officials throughout the
community. It can be a path

to visibility in your area and a way to build bridges to groups
that will be important in
emergencies. Your inventory should be updated as often as
necessary, but at a minimum
once a year.
8. What are the four major functions of an emergency
operations center? (See page 4-20.)
First, it serves as the command center. Second, as its name
implies, it is the operations
center for the emergency personnel: chief elected or appointed
government officials, your
emergency operations staff, and other essential representatives.
Third, it is the information
hub. Lastly, the EOC should also provide the staff with
adequate shelter and life-support
services to make possible extended occupation.
9. Why should you personally make contact with the person
responsible for a private resource
before you add the item to your private community resource
inventory? (See page 4-18.)
To find out what resources they can provide
PRE-DECISIONAL DRAFT Intro-1

Homeland Security
Exercise and Evaluation
Program (HSEEP)
April 2013
Homeland Security Exercise and Evaluation Program i
C o n t e n t s
INTRODUCTION AND OVERVIEW
.......................................................................................
INTRO-1
Purpose
...............................................................................................
........................................... Intro-1
Role of Exercises
......................................................................................... ......
............................ Intro-1
Applicability and Scope
...............................................................................................
................. Intro-2
Supersession
...............................................................................................
................................... Intro-2
How to Use This Document
...............................................................................................
........... Intro-2
Revision Process
...............................................................................................
............................. Intro-3
1. HSEEP FUNDAMENTALS
...............................................................................................
.............. 1-1

Overview
...............................................................................................
.............................................. 1-1
Fundamental Principles
...............................................................................................
........................ 1-1
Exercise Program Management
...............................................................................................
............ 1-1
Exercise Methodology
...............................................................................................
.......................... 1-2
Exercise Design and Development
...............................................................................................
1-3
Exercise Conduct
...............................................................................................
........................... 1-3
Exercise Evaluation
...............................................................................................
....................... 1-3
Improvement Planning
...............................................................................................
................... 1-3
2. EXERCISE PROGRAM MANAGEMENT
................................................................................... 2 -1
Overview
...............................................................................................
.............................................. 2-1
Engage Elected and Appointed
Officials..................................................................................
........... 2-1
Multi-year Exercise Program Priorities
...............................................................................................

2-1
Training and Exercise Planning Workshop
.................................................................................. 2-2
Multi-year Training and Exercise Plan
...............................................................................................
. 2-3
Progressive Approach
...............................................................................................
.................... 2-3
...............................................................................................
........... 2-4
...............................................................................................
........... 2-5
Rolling Summary of Outcomes
...............................................................................................
............ 2-6
Manage Exercise Program Resources
...............................................................................................
.. 2-7
Exercise Budget Management
...............................................................................................
....... 2-7
Program Staffing
...............................................................................................
............................ 2-7
Other Resources
......................................................................................... ......
............................. 2-7
3. EXERCISE DESIGN AND DEVELOPMENT

.............................................................................. 3 -1
Overview
...................................................................................... .........
.............................................. 3-1
Exercise Foundation
...............................................................................................
............................. 3-1
Exercise Planning Team and Events
...............................................................................................
.... 3-2
Exercise Planning Team
Considerations.........................................................................
.............. 3-2
Exercise Planning Team Positions
...............................................................................................
. 3-3
Planning Activities
...............................................................................................
......................... 3-4
Exercise Design
...............................................................................................
.................................... 3-9
Scope
...............................................................................................
............................................ 3-10
Exercise Objectives
...............................................................................................
...................... 3-11
Evaluation Requirements
...............................................................................................
............. 3-12
Scenario
...............................................................................................
....................................... 3-12

Exercise Documentation
...............................................................................................
.............. 3-13
Media or Public Affairs Guidance
..............................................................................................
3-19
Exercise Development
...............................................................................................
........................ 3-20
Planning for Exercise Logistics
.............................................................................................. .
... 3-20
Planning for Exercise Control
...............................................................................................
...... 3-22
Homeland Security Exercise and Evaluation Program ii
Planning for Exercise Evaluation
...............................................................................................
. 3-25
4. EXERCISE CONDUCT
...............................................................................................
.................... 4-1
Overview
...............................................................................................
.............................................. 4-1
Exercise Play Preparation
...............................................................................................
..................... 4-1
Setup for Discussion-Based Exercises

.......................................................................................... 4 -
1
Setup for Operations-Based Exercises
.......................................................................................... 4-
1
Briefings
...............................................................................................
......................................... 4-2
Exercise Play
...............................................................................................
........................................ 4-2
Participant Roles and Responsibilities
.......................................................................................... 4 -
3
Conduct for Discussion-Based Exercises
..................................................................................... 4 -4
Conduct for Operations-Based Exercises
..................................................................................... 4 -5
Contingency Process
...............................................................................................
...................... 4-7
Wrap-Up Activities
...............................................................................................
.............................. 4-7
Debriefings
...............................................................................................
..................................... 4-7
Player Hot Wash
.................................................................................... ...........
............................ 4-7
Controller/Evaluator Debriefing
...............................................................................................
.... 4-8

5. EVALUATION
...............................................................................................
................................... 5-1
Overview
...............................................................................................
.............................................. 5-1
Evaluation Planning
...............................................................................................
............................. 5-1
Evaluation Team
...............................................................................................
............................ 5-1
Exercise Evaluation Guide Development
..................................................................................... 5 -2
Recruit, Assign, and Train Evaluators
.......................................................................................... 5-
3
Evaluation Documentation
...............................................................................................
............. 5-3
Pre-Exercise Evaluator Briefing
...............................................................................................
.... 5-4
Exercise Observation and Data Collection
.......................................................................................... 5 -
4
Observation
...............................................................................................
.................................... 5-4
Data Collection
...............................................................................................
.............................. 5-4
Data Analysis

...............................................................................................
....................................... 5-5
After-Action Report Draft
...............................................................................................
.................... 5-5
6. IMPROVEMENT PLANNING
...............................................................................................
........ 6-1
Overview
...............................................................................................
.............................................. 6-1
Corrective Actions
...............................................................................................
................................ 6-1
After-Action Meeting
...............................................................................................
........................... 6-1
After-Action Report/Improvement Plan Finalization
.......................................................................... 6-2
Corrective Action Tracking and Implementation
................................................................................ 6 -2
Using Improvement Planning to Support Continuous
Improvement .................................................. 6-2
GLOSSARY OF TERMS
...............................................................................................
..... GLOSSARY-1
ACRONYMS AND ABBREVIATIONS
.............................................................................
ACRONYM-1
Homeland Security Exercise and Evaluation Program Intro-1

Introduction and Overview
Purpose
The Homeland Security Exercise and Evaluation Program
(HSEEP) provides a set of guiding
principles for exercise programs, as well as a common approach
to exercise program
management, design and development, conduct, evaluation, and
improvement planning.
Exercises are a key component of national preparedness—they
provide elected and appointed
officials and stakeholders from across the whole community
with the opportunity to shape
planning, assess and validate capabilities, and address areas for
improvement.
Through the use of HSEEP, exercise program managers can
develop, execute, and evaluate
exercises that address the priorities established by an
organization’s leaders. These priorities are
based on the National Preparedness Goal, strategy documents,
threat and hazard
identification/risk assessment processes, capability assessments,
and the results from previous
exercises and real-world events. These priorities guide the
overall direction of a progressive
exercise program, where individual exercises are anchored to a
common set of priorities or
objectives and build toward an increasing level of complexity
over time. Accordingly, these
priorities guide the design and development of individual
exercises, as planners identify exercise
objectives and align them to core capabilities1
In this way, the use of HSEEP—in line with the National
Preparedness Goal and the National
Preparedness System—supports efforts across the whole

community that improve our national
capacity to build, sustain, and deliver core capabilities.
for evaluation during the exercise. Exercise
evaluation assesses the ability to meet exercise objectives and
capabilities by documenting
strengths, areas for improvement, core capability performance,
and corrective actions in an
After-Action Report/Improvement Plan (AAR/IP). Through
improvement planning,
organizations take the corrective actions needed to improve
plans, build and sustain capabilities,
and maintain readiness.
Role of Exercises
Exercises play a vital role in national preparedness by enabling
whole community stakeholders
to test and validate plans and capabilities, and identify both
capability gaps and areas for
improvement. A well-designed exercise provides a low-risk
environment to test capabilities,
familiarize personnel with roles and responsibilities, and foster
meaningful interaction and
communication across organizations. Exercises bring together
and strengthen the whole
community in its efforts to prevent, protect against, mitigate,
respond to, and recover from all
hazards. Overall, exercises are cost-effective and useful tools
that help the nation practice and
refine our collective capacity to achieve the core capabilities in
the National Preparedness Goal.
1 Core Capabilities are distinct critical elements necessary to
achieve the specific mission areas of prevention, protection,
mitigation, response,

and recovery. Capabilities provide a common vocabulary
describing the significant functions required to deal with threats
and hazards that must
be developed and executed across the whole community to
ensure national preparedness.
Applicability and Scope
HSEEP exercise and evaluation doctrine is flexible, scalable,
adaptable, and is for use by
stakeholders across the whole community.2 HSEEP doctrine is
applicable for exercises across
all mission areas—prevention, protection, mitigation, response,
and recovery. Using HSEEP
supports the National Preparedness System3
HSEEP doctrine is based on national best practices and is
supported by training, technology
systems, tools, and technical assistance. The National Exercise
Program (NEP) is consistent
with the HSEEP methodology. Exercise practitioners are
encouraged to apply and adapt HSEEP
doctrine to meet their specific needs.
by providing a consistent approach to exercises and
measuring progress toward building, sustaining, and delivering
core capabilities.
Supersession
This 2013 iteration of HSEEP supersedes the 2007 HSEEP
Volumes. The current version
reflects the feedback, lessons learned, and best practices of the
exercise community, as well as

current policies and plans.
How to Use This Document
This document serves as a description of HSEEP doctrine. It
includes an overview of HSEEP
fundamentals that describes core HSEEP principles and overall
methodology. This overview is
followed by several chapters that provide exercise practitioners
with more detailed guidance on
putting the program’s principles and methodology into practice.
The doctrine is organized as follows:
• Chapter 1: HSEEP Fundamentals describes the basic
principles and methodology of
HSEEP.
• Chapter 2: Exercise Program Management provides guidance
for conducting a Training
and Exercise Planning Workshop (TEPW) and developing a
Multi-year Training and
Exercise Plan (TEP).
• Chapter 3: Exercise Design and Development describes the
methodology for
developing exercise objectives, conducting planning meetings,
developing exercise
documentation, and planning for exercise logistics, control, and
evaluation.
• Chapter 4: Exercise Conduct provides guidance on setup,
exercise play, and wrap-up
activities.
• Chapter 5: Evaluation provides the approach to exercise
evaluation planning and

conduct through data collection, analysis, and development of
an AAR.
• Chapter 6: Improvement Planning addresses corrective
actions identified in the exercise
IP and the process of tracking corrective actions to resolution.
2 The whole community includes individuals, families,
communities, the private and nonprofit sectors, faith-based
organizations, and Federal,
State, local, tribal, and territorial governments.
3 The National Preparedness System includes identifying and
assessing risks; estimating the level of capabilities needed to
address those risks;
building or sustaining the required levels of capability;
developing and implementing plans to deliver those capabilities;
validating and
monitoring progress; and reviewing and updating efforts to
promote continuous improvement.
Revision Process
The Department of Homeland Security (DHS) Federal
Emergency Management Agency
(FEMA) will review HSEEP doctrine and methodology on a
biennial basis, or as otherwise
needed, to make necessary modifications and incorporate
lessons learned.
Homeland Security Exercise and Evaluation Program 1-1

1. HSEEP Fundamentals
Overview
HSEEP doctrine consists of fundamental principles that frame a
common approach to exercises.
This doctrine is supported by training, technology systems,
tools, and technical assistance, and is
based on national best practices. It is intended to enhance
consistency in exercise conduct and
evaluation while ensuring exercises remain a flexible,
accessible way to improve our
preparedness across the nation.
Fundamental Principles
Applying the following principles to both the management of an
exercise program and the
execution of individual exercises is critical to the effective
examination of capabilities:
• Guided by Elected and Appointed Officials. The early and
frequent engagement of
elected and appointed officials is the key to the success of any
exercise program. They
provide the overarching guidance and direction for the exercise
and evaluation program
as well as specific intent for individual exercises.
• Capability-based, Objective Driven. The National
Preparedness Goal identifies a series
of core capabilities and associated capability targets across the
prevention, protection,
mitigation, response, and recovery mission areas. Through
HSEEP, organizations can
use exercises to examine current and required core capability
levels and identify gaps.
Exercises focus on assessing performance against capability-

based objectives.
• Progressive Planning Approach. A progressive approach
includes the use of various
exercises aligned to a common set of exercise program priorities
and objectives with an
increasing level of complexity over time. Progressive exercise
planning does not imply a
linear progression of exercise types.
• Whole Community Integration. The use of HSEEP encourages
exercise planners,
where appropriate, to engage the whole community throughout
exercise program
management, design and development, conduct, evaluation, and
improvement planning.
• Informed by Risk. Identifying and assessing risks and
associated impacts helps
organizations identify priorities, objectives, and core
capabilities to be evaluated through
exercises.
• Common Methodology. HSEEP includes a common
methodology for exercises that is
applicable to all mission areas—prevention, protection,
mitigation, response, and
recovery. This methodology enables organizations of divergent
sizes, geographies, and
capabilities to have a shared understanding of exercise program
management, design and
development, conduct, evaluation, and improvement planning;
and fosters exercise-
related interoperability and collaboration.
Exercise Program Management

Exercise program management involves a collaborative
approach that integrates resources,
organizations, and individuals in order to identify and achieve
program priorities. Through the
management of an exercise program, stakeholders provide
oversight to specific training and
exercise activities sustained over time. An effective exercise
program maximizes efficiency,
resources, time, and funding by ensuring that exercises are part
of a coordinated and integrated
approach to building, sustaining, and delivering core
capabilities.
Key elements of HSEEP’s approach to exercise program
management include:
• Engaging Elected and Appointed Officials to Provide Intent
and Direction. Elected
and appointed officials must be engaged early and often in an
exercise program. They
provide both the strategic direction for the program as well as
specific guidance for
individual exercises. Routine engagement with elected and
appointed officials ensures
that exercises have the support necessary for success.
• Establishing Multi-year Exercise Program Priorities. These
overarching priorities
inform the development of exercise objectives, ensuring that
individual exercises
evaluate and assess core capabilities in a coordinated and

integrated fashion.
• Using a Progressive Approach. A progressive exercise
program management approach
includes exercises anchored to a common set of objectives, built
toward an increasing
level of complexity over time, and involves the participation of
multiple entities.
• Developing a Multi-year Training and Exercise Plan. A TEP,
developed through a
TEPW, aligns exercise activities and supporting training to
exercise program priorities.
• Maintaining a Rolling Summary of Exercise Outcomes. A
rolling summary report
provides elected and appointed officials and other stakeholders
with an analysis of issues,
trends, and key outcomes from all exercises conducted as part
of the exercise program.
• Managing Exercise Program Resources. An effective exercise
program utilizes the full
range of available resources for exercise budgets, program
staffing, and other resources.
Exercise Methodology
HSEEP uses a common methodology for planning and
conducting individual exercises. This
methodology applies to exercises in support of all national
preparedness mission areas. A
common methodology ensures a consistent and interoperable
approach to exercise design and
development, conduct, evaluation, and improvement planning,
as depicted in Figure 1.1. The
following chapters contain more detailed descriptions of each

phase.
Figure 1.1: HSEEP Exercise Cycle
Exercise Design and Development
In designing and developing individual exercises, exercise
planning team members are identified
to schedule planning meetings, identify and develop exercise
objectives, design the scenario,
create documentation, plan exercise conduct and evaluation, and
coordinate logistics. At key
points in this process, the exercise planning team engages
elected and appointed officials to
ensure their intent is captured and that the officials are prepared
to support the exercise as
necessary.
Exercise Conduct
After design and development activities are complete, the
exercise is ready to occur. Activities
essential to conducting individual exercises include preparing
for exercise play, managing
exercise play, and conducting immediate exercise wrap-up
activities.
Exercise Evaluation
Evaluation is the cornerstone of an exercise and must be
considered throughout all phases of the
exercise planning cycle, beginning when the exercise planning
team meets to establish objectives
and initiate exercise design. Effective evaluation assesses

performance against exercise
objectives, and identifies and documents strengths and areas for
improvement relative to core
capabilities.
Improvement Planning
During improvement planning, the corrective actions identified
during individual exercises are
tracked to completion, ensuring that exercises yield tangible
preparedness improvements. An
effective corrective action program develops IPs that are
dynamic documents, which are
continually monitored and implemented as part of the larger
system of improving preparedness.
2. Exercise Program Management
Overview
Exercise program management is the process of overseeing and
integrating a variety of exercises
over time. An effective exercise program helps organizations
maximize efficiency, resources,
time, and funding by ensuring that exercises are part of a
coordinated, integrated approach to
building, sustaining, and delivering core capabilities. This
approach—called multi-year
planning—begins when elected and appointed officials, working
with whole community
stakeholders, identify and develop a set of multi-year exercise
priorities informed by existing
assessments, strategies, and plans. These long-term priorities
help exercise planners design and
develop a progressive program of individual exercises to build,

sustain, and deliver core
capabilities.
Effective exercise program management promotes a multi-year
approach to:
• Engaging elected and appointed officials
• Establishing multi-year exercise program priorities
• Developing a multi-year TEP
• Maintaining a rolling summary of exercise outcomes
• Managing exercise program resources
Through effective exercise program management, each exercise
becomes a supporting
component of a larger exercise program with overarching
priorities. Exercise practitioners are
encouraged to apply and adapt HSEEP doctrine on exercise
program management to meet their
specific needs.
Engage Elected and Appointed Officials
Engaging elected and appointed officials in the exercise process
is critical because they provide
both the strategic direction for the exercise program, as well as
specific guidance for individual
exercises. As representatives of the public, elected and
appointed officials ensure that exercise
program priorities are supported at the highest level and align to
whole community needs and
priorities. Elected and appointed officials should be engaged
early and often in an exercise
program, starting with the development of exercise program
priorities at the TEPW. In

developing individual exercises, the exercise planning team
should continue to engage their
appropriate elected and appointed officials throughout the
exercise planning cycle in order to
ensure the leaders’ vision for the exercise is achieved.
Multi-year Exercise Program Priorities
An exercise program should be based on a set of strategic, high-
level priorities selected by an
organization’s elected and appointed officials. These priorities
guide the development of
exercise objectives, ensuring that individual exercises build and
sustain preparedness in a
progressive and coordinated fashion. Exercise program
priorities are developed at the TEPW, as
described in the following sections.
Training and Exercise Planning Workshop
Purpose
The TEPW establishes the strategy and structure for an exercise
program. In addition, it sets the
foundation for the planning, conduct, and evaluation of
individual exercises. The purpose of the
TEPW is to use the guidance provided by elected and appointed
officials to identify and set
exercise program priorities and develop a multi-year schedule
of exercise events and supporting
training activities to meet those priorities. This process ensures
whole community exercise
initiatives are coordinated, prevents duplication of effort,
promotes the efficient use of resources,

avoids overextending key agencies and personnel, and
maximizes the efficacy of training and
exercise appropriations. TEPWs are held on a periodic basis
(e.g., annual or biennial) depending
on the needs of the program and any grant or cooperative
agreement requirements.
Participation
When identifying stakeholders, exercise program managers
should consider individuals from
organizations throughout the whole community, including but
not limited to:
• Elected and appointed officials responsible for providing
direction and guidance for
exercise program priorities and those responsible for providing
resources to support
exercises;
• Representatives from relevant disciplines that would be part of
the exercises or any real-
world events, including appropriate regional or local Federal
department/agency
representatives;
• Individuals with administrative responsibility relevant to
exercise conduct; and
• Representatives from volunteer, nongovernmental, nonprofit,
or social support
organizations, including advocates for children, seniors,
individuals with disabilities,
those with access and functional needs, racially and ethnically
diverse communities,
people with limited English proficiency, and animals.

Once a comprehensive set of stakeholders has been identified,
exercise program managers can
include them in the exercise program by having them regularly
participate in TEPWs.
Conduct of the TEPW
When developing exercise program priorities and the multi-year
schedule at the TEPW,
stakeholders should engage organizational elected and
appointed officials early in the process to
obtain their intent and guidance. TEPW participants also
review and consider various factors
such as:
• Jurisdiction-specific threats and hazards (e.g., Threat and
Hazard Identification and Risk
Assessment [THIRA], local risk assessments);
• Areas for improvement identified from real-world events and
exercises;
• External requirements such as State or national preparedness
reports, homeland security
policy (e.g., the National Preparedness Goal), and industry
reports; and
• Accreditation standards (e.g., hospital accreditation
requirements), regulations, or
legislative requirements.
Figure 2.1 illustrates some of the specific factors for
consideration in developing exercise

program priorities.
Figure 2.1: Factors for Consideration in Developing Exercise
Program Priorities
Drawing on the above factors and core capabilities, the
workshop facilitator leads a group
stakeholder discussion to review exercise program priorities and
outline training and exercise
priorities shared across multiple organizations. The group
should also develop a multi-year
schedule of training and exercise activities designed to meet
those priorities.
At the conclusion of the TEPW, program managers will have a
clear understanding of specific
multi-year training and exercise program priorities, and any
available information on previously
planned training and exercises that align to those priorities.
This combined set of information is
used to develop a multi-year TEP.
Multi-year Training and Exercise Plan
Once the training and exercise program priorities have been
outlined, stakeholders develop the
multi-year TEP. The TEP identifies a combination of
exercises—along with associated training
requirements—that address the priorities identified in the
TEPW.
Progressive Approach
A progressive, multi-year exercise program enables
organizations to participate in a series of
increasingly complex exercises, with each successive exercise
building upon the previous one

until mastery is achieved. Regardless of exercise type, each
exercise within the progressive
series is linked to a set of common program priorities and
designed to test associated capabilities.
Further, by defining training requirements in the planning
process, organizations can address
known shortfalls prior to exercising capabilities.
This progressive approach, with exercises that build upon
each other and are supported at each step with training
resources, will ensure that organizations do not rush into a
full-scale exercise too quickly. Effective planning of
exercises and integration of the necessary training will
reduce the waste of limited exercise resources and serve to
address known shortfalls prior to the conduct of the
exercise. The different types of exercises that may be
included in the multi-year plan are described in the
following sections.
Discussion-based exercises include seminars, workshops,
tabletop exercises (TTXs), and games.
These types of exercises can be used to familiarize players with,
or develop new, plans, policies,
agreements, and procedures. Discussion-based exercises focus
on strategic, policy-oriented
issues. Facilitators and/or presenters usually lead the
discussion, keeping participants on track
towards meeting exercise objectives.
Seminars

Seminars generally orient participants to, or provide an
overview of, authorities, strategies, plans,
policies, procedures, protocols, resources, concepts, and ideas.
As a discussion-based exercise,
seminars can be valuable for entities that are developing or
making major changes to existing
plans or procedures. Seminars can be similarly helpful when
attempting to assess or gain
awareness of the capabilities of interagency or inter-
jurisdictional operations.
Workshops
Although similar to seminars, workshops differ in two important
aspects: participant interaction
is increased, and the focus is placed on achieving or building a
product. Effective workshops
entail the broadest attendance by relevant stakeholders.
Products produced from a workshop can include new standard
operating procedures (SOPs),
emergency operations plans, continuity of operations plans, or
mutual aid agreements. To be
effective, workshops should have clearly defined objectives,
products, or goals, and should focus
on a specific issue.
Tabletop Exercises
A TTX is intended to generate discussion of various issues
regarding a hypothetical, simulated
emergency. TTXs can be used to enhance general awareness,
validate plans and procedures,
rehearse concepts, and/or assess the types of systems needed to
guide the prevention of,
protection from, mitigation of, response to, and recovery from a
defined incident. Generally,
TTXs are aimed at facilitating conceptual understanding,

identifying strengths and areas for
improvement, and/or achieving changes in perceptions.
During a TTX, players are encouraged to discuss issues in
depth, collaboratively examining
areas of concern and solving problems. The effectiveness of a
TTX is derived from the energetic
A progressive exercise
program is a series of
exercises tied to a set of
common program priorities.
Each exercise builds on
previous exercises using more
sophisticated simulation
techniques or requiring more
preparation time, personnel,
and planning.
involvement of participants and their assessment of
recommended revisions to current policies,
procedures, and plans.
TTXs can range from basic to complex. In a basic TTX (such as
a Facilitated Discussion), the
scenario is presented and remains constant—it describes an
emergency and brings discussion
participants up to the simulated present time. Players apply
their knowledge and skills to a list of
problems presented by the facilitator; problems are discussed as
a group; and resolution is
reached and documented for later analysis.

In a more advanced TTX, play advances as players receive pre-
scripted messages that alter the
original scenario. A facilitator usually introduces problems one
at a time in the form of a written
message, simulated telephone call, videotape, or other means.
Players discuss the issues raised
by each problem, referencing established authorities, plans, and
procedures for guidance. Player
decisions are incorporated as the scenario continues to unfold.
During a TTX, all participants should be encouraged to
contribute to the discussion and be
reminded that they are making decisions in a no-fault
environment. Effective TTX facilitation is
critical to keeping participants focused on exercise objectives
and associated capability targets.
Games
A game is a simulation of operations that often involves two or
more teams, usually in a
competitive environment, using rules, data, and procedures
designed to depict an actual or
hypothetical situation. Games explore the consequences of
player decisions and actions. They
are useful tools for validating plans and procedures or
evaluating resource requirements.
During game play, decision-making may be either slow and
deliberate or rapid and more
stressful, depending on the exercise design and objectives. The
open, decision-based format of a
game can incorporate “what if” questions that expand exercise
benefits. Depending on the
game’s design, the consequences of player actions can be either
pre-scripted or decided

dynamically. Identifying critical decision-making points is a
major factor in the success of
evaluating a game.
Operations-based exercises include drills, functional exercises
(FEs), and full-scale exercises
(FSEs). These exercises can be used to validate plans, policies,
agreements, and procedures;
clarify roles and responsibilities; and identify resource gaps.
Operations-based exercises are
characterized by actual reaction to an exercise scenario, such as
initiating communications or
mobilizing personnel and resources.
Drills
A drill is a coordinated, supervised activity usually employed to
validate a specific function or
capability in a single agency or organization. Drills are
commonly used to provide training on
new equipment, validate procedures, or practice and maintain
current skills. For example, drills
may be appropriate for establishing a community-designated
disaster receiving center or shelter.
Drills can also be used to determine if plans can be executed as
designed, to assess whether more
training is required, or to reinforce best practices. A drill is
useful as a stand-alone tool, but a
series of drills can be used to prepare several organizations to
collaborate in an FSE.
For every drill, clearly defined plans, procedures, and protocols
need to be in place. Personnel
need to be familiar with those plans and trained in the processes
and procedures to be drilled.

Functional Exercises
FEs are designed to validate and evaluate capabilities, multiple
functions and/or sub-functions, or
interdependent groups of functions. FEs are typically focused
on exercising plans, policies,
procedures, and staff members involved in management,
direction, command, and control
functions. In FEs, events are projected through an exercise
scenario with event updates that
drive activity typically at the management level. An FE is
conducted in a realistic, real-time
environment; however, movement of personnel and equipment is
usually simulated.
FE controllers typically use a Master Scenario Events List
(MSEL) to ensure participant activity
remains within predefined boundaries and ensure exercise
objectives are accomplished.
Simulators in a Simulation Cell (SimCell) can inject scenario
elements to simulate real events.
Full-Scale Exercises
FSEs are typically the most complex and resource-intensive
type of exercise. They involve
multiple agencies, organizations, and jurisdictions and validate
many facets of preparedness.
FSEs often include many players operating under cooperative
systems such as the Incident
Command System (ICS) or Unified Command.
In an FSE, events are projected through an exercise scenario

with event updates that drive
activity at the operational level. FSEs are usually conducted in
a real-time, stressful environment
that is intended to mirror a real incident. Personnel and
resources may be mobilized and
deployed to the scene, where actions are performed as if a real
incident had occurred. The FSE
simulates reality by presenting complex and realistic problems
that require critical thinking,
rapid problem solving, and effective responses by trained
personnel.
The level of support needed to conduct an FSE is greater than
that needed for other types of
exercises. The exercise site for an FSE is usually large, and site
logistics require close
monitoring. Safety issues, particularly regarding the use of
props and special effects, must be
monitored. Throughout the duration of the exercise, many
activities occur simultaneously.
Rolling Summary of Outcomes
To help ensure that exercise program priorities are adequately
addressed, exercise program managers should periodically
develop
and distribute a rolling summary of exercise outcomes, or
rolling
summary report. A rolling summary report provides
stakeholders
with an analysis of issues, trends, and key outcomes from all
exercises conducted as part of the exercise program. This
report is
designed to:
• Inform elected and appointed officials on the progress of the
exercise program;

• Provide data to support preparedness assessments and
reporting requirements; and
• Enable exercise planners to modify objectives and the exercise
schedule to reflect
knowledge gathered from the exercises.
The rolling summary report is not a collection of AARs, but
rather an analysis of trends across
exercises. It is developed periodically throughout the series of
exercises covered in a multi-year
TEP (e.g., quarterly or biennially, depending how many
exercises are conducted). This report is
The rolling summary
report is an analysis of
exercise trends, which
guides the development
of future exercises.
intended to serve as an exercise program management and
communications tool, which informs
stakeholders and guides the development of future exercises.
Manage Exercise Program Resources
An effective exercise program should utilize the full range of
available resources. Program
managers should ensure that they have planned for an exercise
budget, program staffing, and
other resources.

Exercise Budget Management
Effective budget management is essential to the success of an
exercise program, and it is
important for exercise managers to maintain awareness of their
available resources and expected
expenditures. In developing and maintaining an exercise
program budget, program managers
should work with the full range of stakeholders to identify
financial resources and define
monitoring and reporting requirements as required by individual
exercises.
Program Staffing
Program managers should identify the administrative and
operational staff needed to oversee the
exercise program. The TEP can be one basis for determining
exercise program staffing needs in
addition to grant funds or other programmatic considerations.
Program managers should also
identify gaps between staffing availability and staffing needs.
Exercise program managers can
consider alternative means of procuring staff members, such as
adding volunteers, students from
universities (e.g., student nurses or emergency management
students), or interns.
Other Resources
Exercise program managers should also consider other resources
that can support exercises.
Such resources can include:
• Information technology (e.g., modeling and simulation
capabilities)
• Exercise tools and resources (e.g., document templates)

• Materials from previous exercises
• Training courses
• Mutual aid agreements, memoranda of understanding, and
memoranda of agreement
• Technical assistance
• Equipment or props (e.g., smoke machines)
3. Exercise Design and Development
Overview
In the design and development phase, exercise practitioners use
the intent and guidance of their
elected and appointed officials and the exercise program
priorities developed in Program
Management to plan individual exercises. Exercise planning
teams apply this guidance to shape
the key concepts and planning considerations for an individual
exercise or series of exercises.
The eight key steps of exercise design and development include:
• Setting the exercise foundation by reviewing elected and
appointed officials’ guidance,
the TEP, and other factors;
• Selecting participants for an exercise planning team and
developing an exercise planning
timeline with milestones;
• Developing exercise-specific objectives and identifying core

capabilities based on the
guidance of elected and appointed officials;
• Identifying evaluation requirements;
• Developing the exercise scenario;
• Creating documentation;
• Coordinating logistics; and
• Planning for exercise control and evaluation.
Exercise practitioners are encouraged to apply and adapt HSEEP
doctrine on exercise design and
development to meet their specific needs.
Exercise Foundation
The exercise foundation is a set of key factors that drive the
exercise design and development
process. Prior to the beginning of its design, exercise program
managers should review and
consider the following items:
• Elected and appointed officials’ intent and guidance
• Multi-year TEP
• Relevant AAR/IPs from real-world events and exercises
• THIRA or other risk, threat, and hazard assessments
• Organizational plans and procedures
• Grant or cooperative agreement requirements.
By reviewing these elements, exercise program managers adhere
to the progressive approach to

exercises, and ensure the exercise builds and sustains a
jurisdiction’s capabilities while taking
prior lessons learned into account during the exercise design
process.
Exercise Planning Team and Events
Exercise Planning Team Considerations
The exercise planning team manages, and is
ultimately responsible for, exercise design,
development, conduct, and evaluation. Using the
exercise program priorities and guidance from
elected and appointed officials, the team determines
exercise objectives and core capabilities to be
assessed; creates a realistic scenario to assess them;
and develops supporting documentation, processes,
and systems that are used in evaluation, control, and
simulation. Planning team members also help with
developing and distributing pre-exercise materials,
and conducting exercise planning meetings, briefings, and
training sessions. An Exercise
Director with authority to make decisions for the sponsoring
organization provides direction to,
and oversight of, the exercise planning team.
The exercise planning team should be of manageable size yet
represent the full range of
participating organizations as well as other relevant
stakeholders. For multi-jurisdictional
exercises, planning team members should include
representatives from each jurisdiction and
participating functional areas or relevant disciplines. The
membership of an exercise planning

team should be modified to fit the type or scope of an exercise,
which varies depending on
exercise type and complexity. Usually the exercise planning
team is managed by a designated
team leader. To design and develop exercises most effectively,
exercise planning teams should:
• Adhere to a clear organizational structure, with a distinct
chain of command, roles and
responsibilities, and accountability to the exercise planning
team leader;
• Use proven management practices, processes, and tools, such
as project plans and
timelines, status reports, and other communications;
• Identify and understand the desired objectives and associated
core capabilities for the
exercise, and design and develop the exercise accordingly;
• Incorporate evaluation planning from the start of exercise
design and development; and
• Use subject-matter experts (SMEs) to develop a realistic and
challenging scenario.
Support agencies/organizations including advocates for
children, seniors, individuals with
disabilities, those with access and functional needs, diverse
communities, and people with
limited English proficiency should also be included throughout
the planning process. In doing
so, exercise planners can better understand their perspectives
and promote early understanding of
roles, responsibilities, and planning assumptions.
Generally, planning team members are not exercise players.

When resources are limited,
exercise planning team members who act as both planners and
players should be especially
careful not to divulge sensitive exercise information to other
players.
Whole community stakeholders include:
-based groups
with disabilities or access and
functional needs
Exercise Planning Team Positions
Regardless of the scale and complexity of an exercise, the
exercise planning team can be most
effective if it adheres to a coherent organizational structure that
clearly delineates roles and
responsibilities. In developing a structure for the planning
team, exercise planners may use ICS
principles, as established in the National Incident Management
System (NIMS). This structure
can expand or contract to reflect the scope of the exercise and
the available resources and
personnel of the participating organizations; depending on
available resources, the same
personnel can be used to execute multiple functions. This

structure may include the following,
which is illustrated in Figure 3.1:
Figure 3.1: Sample Exercise Planning Team
• Command Section. The Command Section coordinates all
exercise planning activities.
The Command Section includes the exercise planning team
leader, who assigns exercise
activities and responsibilities, provides guidance, establishes
timelines, and monitors the
development process.
• Operations Section. The Operations Section provides most of
the technical or
functional expertise for scenario development and evaluation.
This includes development
of the Master Scenario Events List (MSEL).
• Planning Section. The Planning Section is responsible for
compiling and developing all
exercise documentation. The Planning Section collects and
reviews policies, plans, and
procedures that will be assessed in the exercise. This group is
also responsible for
planning exercise evaluation. During the exercise, the Planning
Section may be
responsible for developing simulated actions by agencies not
participating in the exercise
and for setting up a SimCell as required.
• Logistics Section. The Logistics Section provides the
supplies, materials, facilities, and
services that enable the exercise to function smoothly without
outside interference or

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