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Technological Hazards Divisions

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1 Technological Hazards Divisions
Integration: Homeland Security Exercise and Evaluation Program (HSEEP) and Radiological Emergency Preparedness Program (REPP) Technological Hazards Divisions December 2008

2 Agenda Background Creating a Unified Exercise Strategy
Homeland Security Exercise and Evaluation Program Radiological Emergency Preparedness Program REP – HSEEP Integration Required REP – HSEEP Synchronization Way Forward Challenges

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 events Realism –use current risk and threat assessments, or based on actual past events; Simulate the incapacitation of State, local, or tribal governments Exercise conduct should be carried out with limited Notice Scenario design and exercise conduct – provide as much readiness information as possible Special Needs – incorporate requirements of special needs populations Multiple 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 activities Works as the primary mechanism to improve delivery of Federal preparedness assistance to State and local governments strengthening preparedness capabilities of Federal, State, and local entities Incorporates 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 exercises HSEEP established a national standard providing Common exercise program doctrine Common exercise project management Common ‘tools’ for exercise scheduling, planning/design, conduct, evaluation, assessment, and corrective actions HSEEP doctrine provides guidance for Consistent terminology that can be used by all exercise planners A common exercise design, conduct, and evaluation process A 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 requirements Establish preparedness priorities Identify preparedness needs through system trend/gap analysis Identify mission/capability gaps through analysis Identify training requirements HSEEP misconceptions Require a complete building block approach for each and every exercise Require strict adherence and use of the complete list of HSEEP conferences and documents National Preparedness System Who 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 exercises HSEEP integrates language and concepts from; National Response Framework (NRF) National Incident Management System (NIMS) National Preparedness Goal Universal 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 preparedness NUREG 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 PKEMRA Furthers nationwide standardization for exercise design, conduct, evaluation, and improvement planning Integrates scheduling of REP exercises with other Federal, State, and local exercises under the National Exercise Program 5-year Plans and Schedules Provides an opportunity to reduce Federal, State, and local exercise fatigue by combining multiple requirements into fewer total exercises Provides a suite of standardized tools for scheduling, planning, information sharing, evaluation/corrective action Requires 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 REPP HSEEP does not require additional activities that will add to the cost of a REPP exercise Require REPP to abandon existing evaluation criteria or to adopt TCL methodologies Require 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 integration Determine regulatory implications Develop integration timeline Establish a more comprehensive, standing evaluation capability Not REPP specific Real world as well as exercise capable Support for ‘constructive credit’ needs of all preparedness assessments. Standardize success criteria Training for evaluation staff

12 Required REP – HSEEP Synchronization
Review, update, and align all REP & HSEEP exercise related directives HSEEP Volumes 1- IV 44 CFR Part 350.9 NUREG-0654/FEMA-REP-1 REP Exercise Preparedness Guide Align exercise scheduling efforts NRC/FEMA Regional REP scheduling meetings NEP FEMA Regional TEPW Review and Align all REP & HSEEP training courses Utilize pilot exercises to validate integration Palo Verde – March 2009 Browns Ferry – June 2009 San Onofre – September 2009

13 Way Forward FEMA Regional Training and Exercise Planning Workshops (TEPW) FEMA Regional Coordination Federal Preparedness Coordinator Regional Exercise Planner REP Exercise Planner CSEEP Exercise Planner NRC/FEMA Regional REP scheduling prior to FEMA Regional TEPW TEPW Schedule R-I 03/21/09 R-II R-III 02/25-26/09 R-IV R-V 02/10-11/09 R-VI 03/11/09 R-VII R-VIII R-IX R-X

14 Way Forward Review, update, and align all REP & HSEEP exercise related training courses HSEEP: IS 120-A Introduction to HSEEP IS 130 HSEEP Exercise Evaluation & Improvement Planning IS 139 HSEEP Exercise Design E/L-146/147 HSEEP G 130 Practical HSEEP Exercise Evaluation & Improvement Planning (in development) G 135 HSEEP Exercise Conduct – Operations Based G New HSEEP Exercise Conduct – Discussion Based G 137 HSEEP Exercise Program Management & Foundation G 139 HSEEP Exercise Design & Development REP: IS 331 Introduction to Radiological Emergency Preparedness Exercise Evaluation E/L 304 Practical REP Exercise Evaluator Training Make HSEEP courses available to the REP community regionally

15 Way Forward Ongoing Steps
Review & Crosswalk HSEEP IS-130 and REP IS-331 Are 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-304 Incorporate HSEEP evaluation methodology into REP E/L-304 With 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 presentation Adapt 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 Guide REP Exercise Evaluation Criteria TCL TOPOFF 4 EEGs HSEEP Tools LLIS for sharing exercise planning documents NxMSEL

17 Challenges to Integration
Federal rulemaking process and associated timeframes REP stakeholder community engagement and acceptance State/Local OROs, Utilities, F/S/L partners In-depth revisions required to NUREG-0654, REP Program Manual, REP documentation, and REP evaluation guides Incorporate REP best practices into HSEEP documentation Stakeholder and REP evaluator training for new REP/HSEEP policy and guidance Funding - Utility funded vs. DHS grant funded exercise activities Exercise 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) exercises Establishes common language and concepts to be adopted and used by various agencies and organizations Meets the National Response Framework (NRF) and National Incident Management System (NIMS) goals Synchronizes all exercises in the Nation Provides tools and resources for States and local jurisdictions to establish self-sustaining exercise programs NEEP

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 Nationwide Training — Offering courses and tutorials on the many HSEEP plans, policies, and requirements Technology — Ensuring that Federal, State, and local jurisdictions have the tools necessary to plan and implement exercise programs Direct Support — Supporting jurisdictions across the Nation through funding, training, and other exercise support HSEEP Policy and Guidance Training Technology Direct Support NEEP

21 HSEEP Volumes Volume I: Overview and Exercise Program Management
Volume II: Exercise Planning and Conduct Volume III: Exercise Evaluation and Improvement Planning Volume IV: Sample Exercise Documents and Formats Prevention Exercises (Draft) – supports terrorism prevention exercises States 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 seamlessly There are seven types of exercises defined within HSEEP, each of which is either discussions-based or operations-based.

23 HSEEP Exercise Types Discussions-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 procedures Workshop. A workshop resembles a seminar, but is employed to build specific products, such as a draft plan or policy Tabletop 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 entity Functional 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 document types associated with most exercises (HSEEP V2) Situation Manual (SitMan) Exercise Plan (ExPlan) Controller and Evaluator (C/E) Handbook Master Scenario Events List (MSEL) Player Handbook Exercise Evaluation Guides (EEGs) After Action Report/Improvement Plan (AAR/IP)

27 HSEEP Planning & After Action Conferences
The HSEEP methodology defines a variety of planning and after action conferences (depending on type and scope of the exercise) Concepts and Objectives Meeting Initial Planning Conference (IPC) Mid-Year Planning Conference (MPC) Master Scenario Events List (MSEL) Conference Final Planning Conference (FPC) After Action Conference (AAC)

28 HSEEP Compliance HSEEP compliance is adherence to specific HSEEP-mandated practices for exercise design, conduct, evaluation, and documentation HSEEP compliance includes four distinct performance requirements: Conduct annual Training and Exercise Plan Workshop (T&EPW) and develop and maintain Multi-year Training and Exercise Plan Plan and conduct exercises in accordance with guidelines in HSEEP Volumes I-III Develop 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 against A multi-year training and exercise schedule A new or updated Multi-year Training and Exercise Plan must be finalized and implemented within 60 days of the T&EPW All scheduled exercises must be entered into the National Exercise Schedule (NEXS) System The 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 Plan Exercise 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 template Draft AAR/IP must be developed based on information from the Exercise Evaluation Guides (EEGs) Corrective actions are developed from AAR/IP recommendations

32 Improvement Planning An 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 TCL Corrective 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 organization Corrective actions must be continually monitored and reviewed as part of an organizational Corrective Action Program

33 Questions?

34 Coordinating NEP Five-Year Schedule with Federal, Regional, and State Priorities

35 Five-Year Exercise Schedule Coordination
Establish Regional-State exercise objectives and priorities Exercise mandates and requirements Existing State exercise schedules Prioritized State capabilities to exercise and evaluate Prioritized State exercise objectives Establish Regional-State training and exercise plans and schedules based on Regional-State Priorities Current Threat Analysis NEP Implementation Plan guidance Lessons Learned from actual incidents and other exercises State prioritized input

36 NEP Exercise Tiers 3 Tier II Exercises
Tier I: White House directed, USG-wide Strategy and Policy Focus Tier II: Federal Strategy and Policy Focus Tier III: Other Federal Exercises Operational, Tactical or Organizational Focus Tier IV: State, Territorial, Local, Tribal or Private Sector Focus Tier I 1 NLE 4 PLE Tier II 3 Tier II Exercises Tier III Regional or Other Federal Exercises Tier IV Non-Federal Exercises 36

37 REP/HSEEP Crosswalk Red Yellow Green
Major changes necessary - substantial effort required Timeframe for completion >12 months Yellow Some changes necessary - moderate effort required Timeframe for completion <12 months Green Minimal or no change needed - little effort required Timeframe for completion <3 months

38 REP/HSEEP Crosswalk - Program Management
Element HSEEP Requirements REP Requirements Status (R/Y/G) Action Required Exercise Scheduling Training and Exercise Plan Workshop (TEPW) Regional Annual Planning Conference Yellow Integrate REPP planning in conjunction with FEMA Regional TEPWs (which are based on and fed by State TEPWs) Multi-Year Training & Exercise Plan Integrated 5-year all hazards T&E schedule No centralized REPP equivalent Incorporate NUREG 0654/FEMA REP 1 exercise requirements into F/S/L and regional multi-year training and exercise plans Program Guidance HSEEP Volumes RPM & NUREG 0654 Red Update both NUREG, REPP and HSEEP guidance for consistency Standardize exercise terminology Discussion Based: Seminar, TTX, Workshop, Games Operations Based: Drill, Functional, Full-Scale Drill, TTX, Biennial FSE, Out-of- Sequence demonstrations Green Alignment of nomenclature, incorporate into exercise directives and related planning documents

39 REP/HSEEP Crosswalk: Planning
Element HSEEP Requirements REP Requirements Status (R/Y/G) Action Required Exercise objective development Objectives are determined by participants w/regional oversight. NUREG- 0654/FEMA REP 1 cycle Red Incorporate HAB scenario enhancements; update and align NUREG/REP 1 and HSEEP Volumes Exercise scenario process All hazards; based on participant determined objectives Based proscribed cycle: Plume; Ingestion; MS-1; OOS Yellow Scenarios currently developed by licensee. Integrate ORO, F/S/L participation w/regional oversight Exercise Documentation SITMAN, EXPLAN, Player Handout, MSEL, C/E Handbook Extent-of-play; pre-exercise briefing; Evaluation Criteria Adopt nomenclature and standardize documentation as necessary Exercise Planning Conferences C&O, IPC, MPC, MSEL, FPC, AAC N/A Green Group “Generic REP Exercise Tasks” #1-9 by appropriate planning conference

40 REP/HSEEP Crosswalk: Conduct
Element HSEEP Requirements REPP Requirements Status (R/Y/G) Action Required Exercise Evaluation Based on specified capabilities and exercise objectives Similar but, based on proscriptive NUREG/REP 1 requirements Red Incorporate REPP evaluation criteria into HSEEP EEGs. Exercise Control HSEEP-trained controllers Green Establish standardized exercise control structures and processes within REP. Coordinate with utilities and States. Exercise Briefings Players, Controllers, SIMCELL, Evaluators, Actors Pre-exercise Evaluator Briefing; OROs provide player briefings Alignment of nomenclature

41 REP/HSEEP Crosswalk: After-Action Reporting
Element HSEEP Requirements REPP Requirements Status (R/Y/G) Action Required After-Action Report Format & Content HSEEP format based on capabilities SERF based on evaluation criteria Red Develop revised SERF w/ HSEEP elements; revise eval areas to align with capabilities; incorporate revisions into OOC/EET Post-Exercise Conferences and Meetings Hotwash, Evaluator Debrief, After Action Conference ORO Hotwash, Exercise Findings Review Meeting, Participant’s Meeting, and Public/Media Briefing Yellow Alignment of nomenclature AAR Timeline Draft 30 days, final 60 days post exercise Draft 30 days, final 90 days post exercise Align REP regulatory requirements with HSEEP

42 REP/HSEEP Crosswalk: Improvement Plans
Element HSEEP Requirements REPP Requirements Status (R/Y/G) Action Required Planning Process Linkage After action process drives improvement plans. CAP & LLIS inputs to strategic plan and T&E plan Deficiencies re- evaluated w/in 120 days; ARCAs by the next biennial exercise Red Adopt formal process for incorporating lessons learned and best practices into Improvement Plan Drafted with AAR w/in 30 days Notification of identified ARCAs and Deficiencies w/in 10 days post- exercise Yellow Align REP Deficiency Report with HSEEP Improvement Plan After-Action Conference Finalize corrective actions Corrective actions negotiated between FEMA and ORO Align REP direct coordination with OROs with HSEPP AAC Sharing Lessons Learned Corrective Action Portal to N/A Develop mechanism to incorporate appropriate SERF data into Corrective Action Tracking HSEEP Corrective Action Program RAC Chair tracks ARCAs and Deficiencies Develop mechanism to incorporate ARCAs and Deficiencies into Corrective Action Program portal

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