3 Background“Provide policy, guidance, and standards for scheduling, uniformity in design, development, conduct, and evaluation of emergency response exercises at all levels of government”Establish a National Exercise Program to test and evaluate preparedness plans and strategies under the circumstances of actual emergency eventsRealism –use current risk and threat assessments, or based on actual past events;Simulate the incapacitation of State, local, or tribal governmentsExercise conduct should be carried out with limited NoticeScenario design and exercise conduct – provide as much readiness information as possibleSpecial Needs – incorporate requirements of special needs populationsMultiple requests – Federal/State/local ‘integrate HSEEP and REPP to achieve efficiencies’
4 Creating a Unified Exercise Strategy The National Exercise Program (NEP):Meets requirements laid out in Homeland Security Presidential Directive 8, Homeland Security Act of 2002 and Public Law , “Post-Katrina Emergency Management Reform Act of 2006” (PKEMRA)Provides a national program and a multi-year planning system to focus, coordinate, plan, conduct, execute, evaluate, and prioritize national security and homeland security preparedness-related exercises activitiesWorks as the primary mechanism to improve delivery of Federal preparedness assistance to State and local governments strengthening preparedness capabilities of Federal, State, and local entitiesIncorporates Homeland Security Exercise and Evaluation Program (HSEEP) as the policy and guidance for exercise design, conduct and evaluation
5 Homeland Security Exercise & Evaluation Program The National Exercise Program provides policy guidance making HSEEP the key pillar for homeland security preparedness exercisesHSEEP established a national standard providingCommon exercise program doctrineCommon exercise project managementCommon ‘tools’ for exercise scheduling, planning/design, conduct, evaluation, assessment, and corrective actionsHSEEP doctrine provides guidance forConsistent terminology that can be used by all exercise plannersA common exercise design, conduct, and evaluation processA platform for sharing information (LLIS)‘Compliance’ mechanism for State/local/tribal use of grant funds for exercises
6 Homeland Security Exercise & Evaluation Program What HSEEP doctrine and guidance does ‘not do’Address the complete life cycle of preparedness requirementsEstablish preparedness prioritiesIdentify preparedness needs through system trend/gap analysisIdentify mission/capability gaps through analysisIdentify training requirementsHSEEP misconceptionsRequire a complete building block approach for each and every exerciseRequire strict adherence and use of the complete list of HSEEP conferences and documentsNationalPreparednessSystemWho Does?
7 Homeland Security Exercise & Evaluation Program HSEEP incorporates lessons learned and best practices from existing exercise programs (including CSEEP and REPP) and can adapt to the full spectrum of all hazards exercisesHSEEP integrates language and concepts from;National Response Framework (NRF)National Incident Management System (NIMS)National Preparedness GoalUniversal Task List (UTL)Target Capabilities List (TCL)Guiding principles of HSEEP:Conduct an annual Training and Exercise Plan Workshop and develop and maintain a Multi-year Training and Exercise Plan.Plan and conduct exercises in accordance with the guidelines set forth in HSEEP Volumes I-III and the “HSEEP Prevention Exercises” volume as applicable.Develop and submit a properly formatted After-Action Report/Improvement Plan (AAR/IP).Track and implement corrective actions identified in the AAR/IP.
8 Radiological Emergency Preparedness Program 44 CFR provides criteria for review and approval of State and local radiological emergency plans and preparednessNUREG includes 16 planning standards that provide for “reasonable assurance that public health and safety is not endangered by operation of the facility concerned”The REP Exercise Preparation Guide provides assistance to exercise planners and evaluators in preparing for a radiological emergency response exercise.Nearly 30 years of history, provided a foundation for development of NEP and HSEEP
9 REP - HSEEP Integration What it does:Compliance with elements of HSPD-5, HSPD-8 and PKEMRAFurthers nationwide standardization for exercise design, conduct, evaluation, and improvement planningIntegrates scheduling of REP exercises with other Federal, State, and local exercises under the National Exercise Program 5-year Plans and SchedulesProvides an opportunity to reduce Federal, State, and local exercise fatigue by combining multiple requirements into fewer total exercisesProvides a suite of standardized tools for scheduling, planning, information sharing, evaluation/corrective actionRequires active ownership by REPP, State/local/Tribal, and industry partners in order to be successful
10 REP - HSEEP Integration What it does not:HSEEP does not establish additional exercises requirement for REPPHSEEP does not require additional activities that will add to the cost of a REPP exerciseRequire REPP to abandon existing evaluation criteria or to adopt TCL methodologiesRequire new capabilities or restrict development and implementation of NUREG/REP 1 requirements.
11 Required REP – HSEEP Synchronization Consistency – leadership challenge, must be led by FPC’s, REPP Personnel (HQ and Regions), NRC (HQ and Regions)Organize integrated TF (F/S/L/Industry)Define scope of integrationDetermine regulatory implicationsDevelop integration timelineEstablish a more comprehensive, standing evaluation capabilityNot REPP specificReal world as well as exercise capableSupport for ‘constructive credit’ needs of all preparedness assessments.Standardize success criteriaTraining for evaluation staff
12 Required REP – HSEEP Synchronization Review, update, and align all REP & HSEEP exercise related directivesHSEEP Volumes 1- IV44 CFR Part 350.9NUREG-0654/FEMA-REP-1REP Exercise Preparedness GuideAlign exercise scheduling effortsNRC/FEMA Regional REP scheduling meetingsNEP FEMA Regional TEPWReview and Align all REP & HSEEP training coursesUtilize pilot exercises to validate integrationPalo Verde – March 2009Browns Ferry – June 2009San Onofre – September 2009
13 Way ForwardFEMA Regional Training and Exercise Planning Workshops (TEPW)FEMA Regional CoordinationFederal Preparedness CoordinatorRegional Exercise PlannerREP Exercise PlannerCSEEP Exercise PlannerNRC/FEMA Regional REP scheduling prior to FEMA Regional TEPWTEPW ScheduleR-I 03/21/09 R-IIR-III 02/25-26/09 R-IVR-V 02/10-11/09 R-VI 03/11/09R-VII R-VIIIR-IX R-X
14 Way ForwardReview, update, and align all REP & HSEEP exercise related training coursesHSEEP:IS 120-A Introduction to HSEEPIS 130 HSEEP Exercise Evaluation & Improvement PlanningIS 139 HSEEP Exercise DesignE/L-146/147 HSEEPG 130 Practical HSEEP Exercise Evaluation & Improvement Planning (in development)G 135 HSEEP Exercise Conduct – Operations BasedG New HSEEP Exercise Conduct – Discussion BasedG 137 HSEEP Exercise Program Management & FoundationG 139 HSEEP Exercise Design & DevelopmentREP:IS 331 Introduction to Radiological Emergency Preparedness Exercise EvaluationE/L 304 Practical REP Exercise Evaluator TrainingMake HSEEP courses available to the REP community regionally
15 Way Forward Ongoing Steps Review & Crosswalk HSEEP IS-130 and REP IS-331Are both IS-130 and IS-331 necessary?Does IS-331 address the HSEEP evaluation process?Do IS-130 and IS-331 complement each other?Review & Crosswalk HSEEP G-130 and REP E/L-304Incorporate HSEEP evaluation methodology into REP E/L-304With HSEEP evaluation methodology included will REP E/L-304 meet the requirements of HSEEP G-130?Present a modified REP E/L-304 class:- January Austin, TX – use REP specific drills during course presentation- February Harrisburg, PA – use generic drills during course presentationAdapt REP E/L-304 to meet the needs of all HSEEP & REP evaluation training
16 Way Forward Palo Verde pilot exercise HSEEP Formatted Documents EXPLAN with appropriate annexes (Control, Evaluation, Scenario, etc.)Draw information from existing documents; “Extent of Play”HSEEP Exercise Evaluation GuideREP Exercise Evaluation CriteriaTCLTOPOFF 4 EEGsHSEEP ToolsLLIS for sharing exercise planning documentsNxMSEL
17 Challenges to Integration Federal rulemaking process and associated timeframesREP stakeholder community engagement and acceptanceState/Local OROs, Utilities, F/S/L partnersIn-depth revisions required to NUREG-0654, REP Program Manual, REP documentation, and REP evaluation guidesIncorporate REP best practices into HSEEP documentationStakeholder and REP evaluator training for new REP/HSEEP policy and guidanceFunding - Utility funded vs. DHS grant funded exercise activitiesExercise credit for real-world events and other exercise activities outside of REP
18 HSEEP & HSEEP Training Overview Homeland Security Exercise and Evaluation Program (HSEEP)December 2008
19 Homeland Security Exercise and Evaluation Program (HSEEP) Standardizes exercise design, development, conduct, and evaluation for all (National-level, Federal, State, local) exercisesEstablishes common language and concepts to be adopted and used by various agencies and organizationsMeets the National Response Framework (NRF) and National Incident Management System (NIMS) goalsSynchronizes all exercises in the NationProvides tools and resources for States and local jurisdictions to establish self-sustaining exercise programsNEEP
20 HSEEP Components HSEEP Policy and Training Guidance HSEEP addresses the range of exercise evaluation issues through a blended approach involving four related program areas:Policy and Guidance — Providing the strategic direction for exercise and evaluation programs NationwideTraining — Offering courses and tutorials on the many HSEEP plans, policies, and requirementsTechnology — Ensuring that Federal, State, and local jurisdictions have the tools necessary to plan and implement exercise programsDirect Support — Supporting jurisdictions across the Nation through funding, training, and other exercise supportHSEEPPolicy andGuidanceTrainingTechnologyDirectSupportNEEP
21 HSEEP Volumes Volume I: Overview and Exercise Program Management Volume II: Exercise Planning and ConductVolume III: Exercise Evaluation and Improvement PlanningVolume IV: Sample Exercise Documents and FormatsPrevention Exercises (Draft) – supports terrorism prevention exercisesStates and Urban Areas are required to follow this guidance if they are conducting exercises with ODP funding
22 HSEEP Terminology and Methodology Exercises allow homeland security and emergency management personnel, from first responders to senior officials, to train and practice prevention, protection, response, and recovery capabilities in a realistic but risk-free environment. Exercises are also a valuable tool for assessing and improving performance, while demonstrating community resolve to prepare for major incidents.A consistent terminology and methodology for exercises is critical to avoiding confusion, and to ensuring that entities can exercise together seamlesslyThere are seven types of exercises defined within HSEEP, each of which is either discussions-based or operations-based.
23 HSEEP Exercise TypesDiscussions-based Exercises familiarize participants with current plans, policies, agreements and procedures, or may be used to develop new plans, policies, agreements, and procedures.Operations-based Exercises validate plans, policies, agreements and procedures, clarify roles and responsibilities, and identify resource gaps in an operational environment
24 HSEEP Discussions-based Exercises Seminar. A seminar is an informal discussion, designed to orient participants to new or updated plans, policies, or proceduresWorkshop. A workshop resembles a seminar, but is employed to build specific products, such as a draft plan or policyTabletop Exercise (TTX). A tabletop exercise involves key personnel discussing simulated scenarios in an informal setting. TTXs can be used to assess plans, policies, and procedures.Games. A game is a simulation of operations that often involves two or more teams, usually in a competitive environment, using rules, data, and procedure designed to depict an actual or assumed real-life situation.
25 HSEEP Operations-based Exercises Drill. A drill is a coordinated, supervised activity usually employed to test a single, specific operation or function within a single entityFunctional Exercise (FE). A functional exercise examines and/or validates the coordination, command, and control between various multi-agency coordination centers (e.g., emergency operation center, joint field office, etc.). A functional exercise does not involve any "boots on the ground" (i.e., first responders or emergency officials responding to an incident in real time).Full-Scale Exercises (FSE). A full-scale exercise is a multi-agency, multi- jurisdictional, multi-discipline exercise involving functional (e.g., joint field office, emergency operation centers, etc.) and "boots on the ground" response (e.g., firefighters decontaminating mock victims).
26 HSEEP Exercise Documentation The list below contains the important documenttypes associated with most exercises (HSEEP V2)Situation Manual (SitMan)Exercise Plan (ExPlan)Controller and Evaluator (C/E) HandbookMaster Scenario Events List (MSEL)Player HandbookExercise Evaluation Guides (EEGs)After Action Report/Improvement Plan (AAR/IP)
27 HSEEP Planning & After Action Conferences The HSEEP methodology defines a variety of planningand after action conferences (depending on typeand scope of the exercise)Concepts and Objectives MeetingInitial Planning Conference (IPC)Mid-Year Planning Conference (MPC)Master Scenario Events List (MSEL) ConferenceFinal Planning Conference (FPC)After Action Conference (AAC)
28 HSEEP ComplianceHSEEP compliance is adherence to specific HSEEP-mandated practices for exercise design, conduct, evaluation, and documentationHSEEP compliance includes four distinct performance requirements:Conduct annual Training and Exercise Plan Workshop (T&EPW) and develop and maintain Multi-year Training and Exercise PlanPlan and conduct exercises in accordance with guidelines in HSEEP Volumes I-IIIDevelop and submit a properly formatted After Action Report/Improvement Plan (AAR/IP)Track and Implement corrective actions identified in AAR/IP
29 Training and Exercise Plan Workshop (T&EPW) All HSEEP compliant entities conduct a T&EPW each calendar year in which they develop a Multi-year Training and Exercise Plan, which includes:The entities' training and exercise priorities (based on an overarching strategy and previous improvement plans).The capabilities from the TCL that the entity will train for and exercise againstA multi-year training and exercise scheduleA new or updated Multi-year Training and Exercise Plan must be finalized and implemented within 60 days of the T&EPWAll scheduled exercises must be entered into the National Exercise Schedule (NEXS) SystemThe Multi-Year Training and Exercise Plan must be updated on an annual basis (or as necessary) to reflect schedule changes
30 Exercise Planning and Conduct The type of exercise selected by the entity should be consistent with the entity's Multi-year Training and Exercise PlanExercise objectives should be based on capabilities and their associated critical tasks, which are contained within the Exercise Evaluation Guides (EEGs)The scenarios used in exercises must be tailored toward validating capabilities, and should be based on the entity's risk/vulnerability assessment
31 After-Action Reporting After-Action Reports and Improvement Plans (AR/IPs) created for exercises must conform to HSEEP templateDraft AAR/IP must be developed based on information from the Exercise Evaluation Guides (EEGs)Corrective actions are developed from AAR/IP recommendations
32 Improvement PlanningAn improvement plan will include broad recommendations from the AAR/IP organized by target capability as defined in the Target Capability List (TCL)Corrective actions derived from an AAC are associated with the recommendations and must be linked to a capability element as defined in the TCLCorrective actions included in the improvement plan must be measurable, must designate a projected start date/ completion date, and must be assigned to an organization and a POC within that organizationCorrective actions must be continually monitored and reviewed as part of an organizational Corrective Action Program
34 Coordinating NEP Five-Year Schedule with Federal, Regional, and State Priorities 34
35 Five-Year Exercise Schedule Coordination Establish Regional-State exercise objectives and prioritiesExercise mandates and requirementsExisting State exercise schedulesPrioritized State capabilities to exercise and evaluatePrioritized State exercise objectivesEstablish Regional-State training and exercise plans and schedules based onRegional-State PrioritiesCurrent Threat AnalysisNEP Implementation Plan guidanceLessons Learned from actual incidents and other exercisesState prioritized input
36 NEP Exercise Tiers 3 Tier II Exercises Tier I: White House directed, USG-wide Strategy and Policy FocusTier II: Federal Strategy and Policy FocusTier III: Other Federal Exercises Operational, Tactical or Organizational FocusTier IV: State, Territorial, Local, Tribal or Private Sector FocusTier I1 NLE4 PLETier II3 Tier IIExercisesTier IIIRegional or Other Federal ExercisesTier IVNon-Federal Exercises36
37 REP/HSEEP Crosswalk Red Yellow Green Major changes necessary - substantial effort requiredTimeframe for completion >12 monthsYellowSome changes necessary - moderate effort requiredTimeframe for completion <12 monthsGreenMinimal or no change needed - little effort requiredTimeframe for completion <3 months
38 REP/HSEEP Crosswalk - Program Management ElementHSEEP RequirementsREP RequirementsStatus (R/Y/G)Action RequiredExercise SchedulingTraining and Exercise Plan Workshop (TEPW)Regional Annual Planning ConferenceYellowIntegrate REPP planning in conjunction with FEMA Regional TEPWs (which are based on and fed by State TEPWs)Multi-Year Training & Exercise PlanIntegrated 5-year all hazards T&E scheduleNo centralized REPP equivalentIncorporate NUREG 0654/FEMA REP 1 exercise requirements into F/S/L and regional multi-year training and exercise plansProgram GuidanceHSEEP VolumesRPM &NUREG 0654RedUpdate both NUREG, REPP and HSEEP guidance for consistencyStandardize exercise terminologyDiscussion Based: Seminar, TTX, Workshop, Games Operations Based: Drill, Functional, Full-ScaleDrill, TTX, Biennial FSE, Out-of- Sequence demonstrationsGreenAlignment of nomenclature, incorporate into exercise directives and related planning documents
39 REP/HSEEP Crosswalk: Planning ElementHSEEP RequirementsREP RequirementsStatus (R/Y/G)Action RequiredExercise objective developmentObjectives are determined by participants w/regional oversight.NUREG- 0654/FEMA REP 1 cycleRedIncorporate HAB scenario enhancements; update and align NUREG/REP 1 and HSEEP VolumesExercise scenario processAll hazards; based on participant determined objectivesBased proscribed cycle: Plume; Ingestion; MS-1; OOSYellowScenarios currently developed by licensee. Integrate ORO, F/S/L participation w/regional oversightExercise DocumentationSITMAN, EXPLAN, Player Handout, MSEL, C/E HandbookExtent-of-play; pre-exercise briefing; Evaluation CriteriaAdopt nomenclature and standardize documentation as necessaryExercise Planning ConferencesC&O, IPC, MPC, MSEL, FPC, AACN/AGreenGroup “Generic REP Exercise Tasks” #1-9 by appropriate planning conference
40 REP/HSEEP Crosswalk: Conduct ElementHSEEP RequirementsREPP RequirementsStatus (R/Y/G)Action RequiredExercise EvaluationBased on specified capabilities and exercise objectivesSimilar but, based on proscriptive NUREG/REP 1 requirementsRedIncorporate REPP evaluation criteria into HSEEP EEGs.Exercise ControlHSEEP-trained controllersGreenEstablish standardized exercise control structures and processes within REP. Coordinate with utilities and States.Exercise BriefingsPlayers, Controllers, SIMCELL, Evaluators, ActorsPre-exercise Evaluator Briefing; OROs provide player briefingsAlignment of nomenclature
41 REP/HSEEP Crosswalk: After-Action Reporting ElementHSEEP RequirementsREPP RequirementsStatus (R/Y/G)Action RequiredAfter-Action Report Format & ContentHSEEP format based on capabilitiesSERF based on evaluation criteriaRedDevelop revised SERF w/ HSEEP elements; revise eval areas to align with capabilities; incorporate revisions into OOC/EETPost-Exercise Conferences and MeetingsHotwash, Evaluator Debrief, After Action ConferenceORO Hotwash, Exercise Findings Review Meeting, Participant’s Meeting, and Public/Media BriefingYellowAlignment of nomenclatureAAR TimelineDraft 30 days, final 60 days post exerciseDraft 30 days, final 90 days post exerciseAlign REP regulatory requirements with HSEEP
42 REP/HSEEP Crosswalk: Improvement Plans ElementHSEEP RequirementsREPP RequirementsStatus (R/Y/G)Action RequiredPlanning Process LinkageAfter action process drives improvement plans. CAP & LLIS inputs to strategic plan and T&E planDeficiencies re- evaluated w/in 120 days; ARCAs by the next biennial exerciseRedAdopt formal process for incorporating lessons learned and best practices intoImprovement PlanDrafted with AAR w/in 30 daysNotification of identified ARCAs and Deficiencies w/in 10 days post- exerciseYellowAlign REP Deficiency Report with HSEEP Improvement PlanAfter-Action ConferenceFinalize corrective actionsCorrective actions negotiated between FEMA and OROAlign REP direct coordination with OROs with HSEPP AACSharing Lessons LearnedCorrective Action Portal to LLIS.govN/ADevelop mechanism to incorporate appropriate SERF data into LLIS.govCorrective Action TrackingHSEEP Corrective Action ProgramRAC Chair tracks ARCAs and DeficienciesDevelop mechanism to incorporate ARCAs and Deficiencies into Corrective Action Program portal