1. All You Need to Know in 90 Minutes or Less….
HSEEP:
All You Need to Know in 90 Minutes or Less….
Region 2 Conference
June 2, 2010
Amelia Muccio, NJPCA
Dave Weidner, HCANJ

2. Today’s Agenda HSEEP Compliance Practical Applications of HSEEP
TEPW & Multiyear Training and Exercise Plan
Conferences and Documents
AAR/IP
Track IP
Practical Applications of HSEEP

3. HSEEP
The Homeland Security Exercise and Evaluation Program (HSEEP) is a capabilities- and performance-based exercise program that was developed to provide common exercise policy and program guidance that constitutes a national standard for exercises.
HSEEP is designed to be adaptable to any exercise program, regardless of the nature and composition of its sponsoring agency or organization, and to the full spectrum of exercise scopes and scenarios.
This includes consistent terminology, design process, evaluation tools, and documentation standards.
HSEEP reflects community best practices as well as lessons learned from previous and existing exercise programs.

4. HSEEP Compliance (#1)
Conduct an annual Training and Exercise Planning Workshop (TEPW), and maintain a Multiyear Training and Exercise Plan (TEP).
An annual TEPW provides an opportunity to develop, review, or update an entity’s Multiyear TEP.
The TEPW also provides a forum for determining how an entity will execute its multiyear plan in a given year.
The purpose of the TEPW and the Multiyear TEP is to translate strategic goals and priorities into specific training and exercise activities and to coordinate and deconflict all training and exercise activities on a schedule.
While all exercises conducted by an entity are not required to be included in its Multiyear TEP, the entity should follow the guidance and priorities established during its TEPW.

5. TEPW Discuss priorities from HSEEP, NJDHSS, previous year’s AAR/IP
Translate priorities and their associated capabilities into training and exercise activities
Develop Multi-Year Training and Exercise Plan
Coordinate training and exercise schedules
Improve coordination between training and exercises

6. Capabilities-Based Planning
Target Capabilities List (TCL)
Derived from the Universal Task List (UTL)
In the Multi-Year Training and Exercise Plan, capabilities will be identified that support and are necessary to successfully implement the chosen NJPCA/FQHC priorities
HSPD 8NPGNPSUTLTCL

7. Capabilities Assessment
Identify capabilities that need improving
Look at what capabilities are needed to fill shortfalls and gaps in New Jersey
Decide what tasks need to be accomplished to achieve the capabilities
Design exercises that can improve the ability to complete the tasks
WHAT ROLE DOES/CAN FQHCs SERVE?

8. National Priorities
Reflect a limited number of cross-cutting initiatives and critical capabilities that should drive near term planning and resource allocation efforts
Overarching
Capability-Specific

9. Overarching NIMS/NRF Expanded Regional Collaboration NIPP
Coordinated and effective response by an appropriate combination of Fed, State, local, tribal, private and NGOs
Expanded Regional Collaboration
Regional approach to building capabilities
NIPP
Identifying Critical Infrastructure/Key Resource (CI/KR), assessing risk, prioritizing, implementing protective programs and measuring effectiveness

10. Capability-Specific Strengthen information sharing and collaboration
Strengthen interoperable communications
Strengthen CBRNE detection, response, and decon
Strengthen medical surge and mass prophylaxis
Citizen protection

11. State/Urban Area Priorities
State and Urban Areas should consider National priorities and should consider collaboration across disciplines, jurisdictions, and agencies when describing the strategies, goals, and objectives within the framework of the mission areas

12. Multi-Year Training and Exercise Plan
State/Urban Area Priorities
National Priorities
Improvement Plan
Associated Target Capabilities
Training
Exercises
Schedule

13. Training
For each priority, list type of training to meet the priority and achieve the associated capabilities
Determine the training that is needed as a prerequisite to planned exercises and to satisfy prior year IP
Ensure a building-block approach

14. Exercises
For each priority, list the type of exercise to meet the priority and achieve the associated capabilities
Determine the type of exercise that will validate the training received
Ensure a building-block approach to exercises

15. Building-Block Approach
Seminar (Discussion)
Workshop (Discussion)
Tabletop Exercise (TTX) (Discussion)
Games (Discussion)
Drills (Operations)
Functional Exercises (FXE) (Operations)
Full Scale Exercises (FSE) (Operations)

16. Multi-Year Training and Exercise Plan Schedule
Cycle, mix and range of training and exercise activities
Cycle of activity employs increasing degrees of complexity and ensures continuous improvement of capabilities
Combination of training courses and exercise types that accomplish priorities
TTXFXEFSE
WorkshopDrillFSE
SeminarWorkshopTTX

17. HSEEP Compliance #2
Plan and conduct exercises in accordance with the guidelines set forth in HSEEP policy.
HSEEP policy guidance includes an overview of exercise planning and conduct.
Specific areas for compliance include the use of various types of planning conferences and exercise documentation.
The number of conferences and types of documentation required are flexible and depend on the full scope of the exercise being completed.
HSEEP also provides sample documents for all potential presentations and manuals for all types of exercises.

18. Exercise Planning Team
One of the most important factors for a successful exercise is skilled planning and conduct by the exercise planning team.
The exercise planning team oversees, and is ultimately responsible for, exercise foundation, design, development, conduct, and evaluation.
The team determines exercise objectives, tailors the scenario to meet the exercising entity’s needs, and develops documentation used in evaluation, control, and simulation.
Planning team members also help with developing and distributing pre-exercise materials and conducting exercise planning conferences, briefings, and training sessions.

19. Exercise Planning Team
Because planning team members are highly involved in the exercise, they are ideal selections for exercise facilitator, controller, and/or evaluator positions.
The exercise planning team should be of manageable size yet represent the full range of participating entities, as well as other relevant stakeholder organizations.

20. Exercise Planning Team Structure

21. Planning Conferences: Concept and Objectives Meeting
A Concept and Objectives (C&O) Meeting is the formal beginning of the planning process. It is held to identify the type, scope, objectives, and purpose of the exercise.
Depending on the scope of the exercise, the C&O Meeting can range from 2 to 4 hours.

22. C & O Objectives Exercise purpose
Proposed exercise scenario, capabilities, tasks, and objectives
Available exercise resources
Proposed exercise location, date, and duration
Exercise planning team and exercise participants
Exercise assumptions and artificialities
Exercise control and evaluation
Exercise security organization and structure
Local issues, concerns, and sensitivities
Exercise logistics

23. Initial Planning Conference (IPC)
The IPC marks the beginning of the exercise development phase.
Unless a separate C&O Meeting is conducted, the IPC is typically the first official step in the planning process.
Its purpose is to determine exercise scope by gathering: input from the exercise planning team; design requirements and conditions (e.g., assumptions and artificialities); objectives; extent of play; and scenario variables (e.g., time, location, hazard selection).
The IPC is also used to develop exercise documentation by obtaining the planning team’s input on exercise location, schedule, duration, and other relevant details.

24. IPC
During the IPC, exercise planning team members are assigned responsibility for activities associated with designing and developing exercise documents—such as the Master Scenario Events List (MSEL) and the Situation Manual (SitMan), which are described later in this volume—and logistics, such as scene management and personnel.
In addition to conducting the conference, the exercise planning team gathers appropriate photographs and audio recordings to enhance the realism and informational value of the final document(s) and/or multimedia presentation(s) presented during the exercise.
Depending on the scope of the exercise, the IPC can range from 3 to 6 hours.

25. IPC Objectives Understanding the rationale for exercise development
Ensuring clearly defined and measurable capabilities, tasks, and objectives
Incorporating community emergency operations plans (EOPs), memoranda of agreement (MOA), participating agency standard operating procedures (SOPs), and/or other relevant policy into the exercise design
Identifying local issues, concerns, or sensitivities
Determining the extent of play for each participating entity by establishing what each entity will demonstrate and be evaluated on at the exercise, allowing for appropriate logistical needs to be arranged in order to support those activities
Ensuring that exercise planners consider themselves trusted agents and understand that, in most cases, they will participate as facilitators, controllers, or evaluators (rather than as players)

26. IPC Objectives
Choosing subjects for photographs and/or audio/visual (A/V) recordings to incorporate into exercise documents and multimedia presentations (to enhance realism)
Deciding whether or not to record exercise proceedings (audio or video)
Determining the optimum duration of the exercise
Ensuring that exercise planners understand that the exercise is conducted in a no-fault environment intended to validate plans and procedures and identify problems and potential solutions
Selecting or customizing the appropriate Exercise Evaluation Guides (EEGs) to determine whether or not exercise capabilities, tasks, and objectives were achieved and to allow participants to provide feedback
Reaching a consensus regarding the date, time, and location for the next conference

27. IPC Outcomes A planning schedule
Clearly defined, obtainable, and measurable capabilities, tasks, and objectives
Identified exercise scenario variables (e.g., threat scenario, scope of hazard, venue, conditions)
A list of exercise participants
Identification and availability of SMEs and presenters, as necessary, for scenario vetting and/or expert evaluation
Determination of the best communication method among exercise planning team members

28. IPC Outcomes
A list of which exercise documents and presentations must be employed, and assignments for drafting each
Availability of all source documents (e.g., policies, plans, procedures) needed to draft exercise documents and presentations
Clearly identified and assigned responsibility for exercise logistical issues (e.g., registration, badges, invitations)
A list of established dates for completion of corrective actions and responsibilities
A list of critical activities for the next planning conference
An agreed upon date, time, and location for the next conference and the actual exercise

29. Mid-Term Planning Conferences (MPCs)
Mid-Term Planning Conferences (MPCs) are typically used in (FEs) and FSEs.
MPCs provide additional opportunities to settle logistical and organizational issues that may arise during planning.
The MPC is a full day working session to discuss exercise organization and staffing concepts, scenario and timeline development, scheduling, logistics, and administrative requirements.
Review draft documentation (Exercise Plan [ExPlan], Controller and Evaluator [C/E] Handbook, MSEL).
At the conclusion of the MPC, selected planners should conduct a walkthrough of the proposed exercise site.
The second half of the MPC should be devoted to developing the MSEL.

30. Final Planning Conference (FPC)
The FPC is the final forum for reviewing exercise processes and procedures.
Prior to the FPC, the exercise planning team receives final drafts of all exercise materials.
No major changes to the design or scope of the exercise, or its supporting documentation, should take place at the FPC.
The FPC ensures that all logistical requirements have been met, all outstanding issues have been identified and resolved, and all exercise products are ready for printing.
Generally, the FPC is a half-day conference for discussion-based exercises and a full day for operations-based exercises.

31. FPC Outcomes
Attendees have a clear understanding of—and give final approval for—exercise processes and procedures.
Exercise documents and materials for production are approved.
Last-minute issues are identified and resolved.
Logistical elements, including A/V equipment, room configuration and setup, refreshments, and schedule, are confirmed.

32. Scenario
A scenario consists of three basic elements: (1) the general context or comprehensive story; (2) the conditions that allow players to demonstrate proficiency and competency in meeting the exercise capabilities, tasks, and objectives; and (3) the technical details necessary to accurately depict scenario conditions and events.

33. Scenario
A scenario is an outline or a model of the simulated sequence of events for the exercise.
It can be written as a narrative or depicted by an event timeline.
For a discussion-based exercise, a scenario provides the backdrop that drives participant discussion, and it is contained in a Situation Manual (SitMan).
For an operations-based exercise, a scenario provides background information on the incident catalyst(s) of the exercise—the overall scenario is provided in the Controller and Evaluator (C/E) Handbook, and specific scenario events are contained in the Master Scenario Events List (MSEL).

34. Exercise Documentation

35. Exercise Evaluation Guidelines (EEGs)
The HSEEP series of tools includes EEGs to help evaluators collect and interpret relevant exercise observations.
These sets of documents outline and provide guidance on assessing the tasks and activities to be accomplished for each capability being validated by an exercise.
EEGs were developed for use by experienced exercise evaluators and by practitioners who are subject matter experts (SMEs).
Each EEG provides evaluators with information on what they should expect to see demonstrated or hear discussed, space to record their observations, and criteria to consider after the exercise (as the first step in the analysis process).

36. Situation Manual (SitMan)
SitMans are usually provided for discussion-based exercises, especially tabletop exercises (TTXs), as the core documentation that provides the textual background for a multimedia, facilitated exercise.
The SitMan supports the scenario narrative and allows participants to read along while watching the multimedia events unfold.
All participants (i.e., players, facilitators, evaluators, and observers) should receive SitMans at the beginning of the exercise.

37. SitMan
The SitMan’s introduction provides an overview of the exercise—including scope, capabilities, tasks and objectives, structure, rules, and conduct—as well as an exercise agenda.
The next section of the SitMan is the scenario itself, which is divided up into distinct modules.
Modules provide the basic structure of the exercise and are chronologically sequenced.
Each module represents a specific time segment of the overall scenario—pre-incident warning, notification, response, or recovery—selected based on exercise objectives and scenario requirements.

38. SitMan Introduction Schedule of events
Exercise purpose, scope, capabilities, tasks, and objectives
Exercise structure (i.e., order of the modules)
Instructions for facilitators, players, and observers
Exercise assumptions and artificialities
Exercise rules
Exercise scenario background
Discussion questions and key issues
Reference appendices with relevant supporting information
Relevant documents regarding plans, SOPs, etc.; and -a list of reference terms

39. Multimedia Presentation
Multimedia presentations are often used for discussion-based exercises to provide the general scenario.
They are given at the start of the exercise (StartEx) and support (both visually and with audio) the written documentation, the SitMan.
Participants read the written material while watching or listening to the presentation. The presentation itself should concisely summarize information contained in the written documentation.
This presentation typically contains, at a minimum, the following information:
Introduction
Background/history on the threat and the scenario
Exercise capabilities, tasks, and objectives
Exercise play rules and administrative information

40. Tabletop Exercises (TTX)
Key staff, decision makers, and elected and appointed officials are typical participants in a tabletop exercise (TTX).
This type of exercise is generally held in an informal setting intended to generate discussion of various issues regarding a hypothetical, simulated emergency incident.
TTXs can be used to enhance general awareness, validate plans and procedures, and/or assess the types of systems needed to guide prevention of, protection from, response to, and recovery from a defined incident.
Generally, TTXs are aimed at facilitating concept understanding, identifying strengths and weaknesses, and/or achieving changes in attitudes.

41. TTXs TTXs may be conducted using either breakout or plenary formats.
The breakout format uses several breakout groups, which can vary in size but may include as many as 10 to 15 players each, seated at different tables.
They incorporate group problem solving.
Senior officials become familiar with critical issues related to their responsibilities.
They employ the conditions of a specific scenario.
Personnel contingencies are examined.
Group message interpretation is examined.
Participants share information.
Interagency/inter-organization coordination is assessed.
Limited or specific objectives are achieved.
They prepare participants for more complex exercises.

42. Setup for TTX
Prior to exercise conduct, the exercise planning team must deliver the necessary exercise materials and equipment, which include the following:
Adequate number of Situation Manuals (SitMans) or other written materials for exercise participants
Multimedia presentation
Appropriate A/V equipment including televisions, projectors, projection screens, microphones, and speakers
Table tents for each table
Name tents for each participant
Badges identifying the role of each exercise participant (e.g., player, observer, VIP, facilitator, evaluator)
Sign-in sheets
Participant Feedback Forms

43. Player Hot Wash
Immediately following the exercise, a controller in each functional area leads a hot wash and allows players to provide immediate feedback.
This enables controllers and evaluators to capture information about events while they are still fresh in the players’ minds.
The hot wash is an opportunity to ascertain the level of satisfaction with the exercise, identify issues or concerns, and propose areas for improvement.
Players complete and submit their Participant Feedback Forms during the hot wash.
All evaluators take notes during play and hot washes for later compilation with other observations from their functional areas.
Information from Participant Feedback Forms is used to help generate the AAR/IP. The exercise planning team leader collects and secures attendance lists.

44. HSEEP Compliance #3
Develop and submit a properly formatted After Action Report/Improvement Plan (AAR/IP).
An AAR/IP is used to capture events as they occurred during an exercise, provide analysis of the events relative to exercise objectives, and suggest development actions to either further enhance or improve agencies’ planning and response capabilities.
It also evaluates achievement of the selected exercise objectives and demonstration of the overall capabilities being validated.
The IP portion of the AAR/IP includes corrective actions for improvement, along with timelines for their implementation and assignment to responsible parties.

45. Exercise Evaluation Methodology
The HSEEP evaluation methodology is an analytical process used to assess the demonstration of capabilities during exercises. According to this methodology, exercise evaluation incorporates three distinct levels of analysis: task-level analysis, activity-level analysis, and capability-level analysis.

46. Evaluation

47. EEGsAAR/IP
Consistent EEGs facilitate the creation of effective AAR/IPs. By relating capabilities to activities, tasks, and performance measures, EEGs establish the foundation for IPs that can strategically target personnel, planning, organization and leadership, equipment and systems, training and exercises, and assessments and corrective actions pertaining to identified shortcomings in priority capabilities.

48. After Action Report/Improvement Plan (AAR/IP)
An AAR captures observations of an exercise and makes recommendations for post-exercise improvements; and an IP identifies specific corrective actions, assigns these actions to responsible parties, and establishes target dates for action completion.
The AAR and the IP should be printed and distributed jointly as a single AAR/IP following an exercise.

49. Road to the AAR/IP

50. Evaluators Lead evaluator Select evaluators and train evaluators
C/E Briefing
Evaluation requirements are based on initial exercise scope/objectives
For discussion-based exercises, consideration of the exercise’s goals and objectives helps inform the development of a Situation Manual (SitMan), which provides the exercise facilitator with suggestions for how to steer exercise discussion to the capabilities being evaluated.

51. Types of Information Recorded
What plans, policies, and procedures would players implement to prevent, protect against, respond to, or recover from the incident described in the exercise scenario?
Are roles and responsibilities of the various government agencies and private organizations clearly defined?
How are various decisions made? Who has authority to make decisions?
What information about the scenario, the hazard, the victims, and the risks to participants and the public is collected? Who collects it, and what do they do with it?
How is information shared with other agencies and with the public? What information is shared?
What are the roles of Federal and State agencies? How are Federal and State resources requested? Who makes the request? How are the resources distributed and controlled?
What mutual aid agreements (MAAs) exist? How would they be activated?
What recommendations for improvements are made by the group?
Which issues are unresolved or require follow-up?
What actions do players plan to take in order to address outstanding issues?

52. Identifying Root Cause and Developing Recommendations
In order for the exercise evaluation process to produce an AAR/IP that makes useful recommendations for improving an entity’s preparedness capabilities, it is critical for evaluators to discover not only what happened, but why events happened.
Each task that is not completed as expected offers evaluators the opportunity to search for a root cause.
A root cause is the source of or underlying reason behind an identified issue (as uncovered during careful analysis) toward which the evaluator can direct an improvement.
To arrive at a root cause, an evaluator should attempt to trace the origin of each event back to earlier events and their respective causes.
Root cause analysis may also require the review and evaluation of an entity’s emergency plans; training programs; and other plans, policies, and procedures.

53. Identifying Root Cause and Developing Recommendations
Uncovering root causes enables an evaluator to work with the rest of the analysis team to develop actionable solutions to improvement areas identified in the AAR.
These recommendations are based on the evaluation team’s experience and best judgment, although the responsibility for implementing recommendations ultimately lies with the leaders and managers of the participating entities.

54. Develop the Draft AAR/IP
All discussion-based and operations-based exercises result in the development of an AAR/IP, the final exercise document that provides a description of what happened, describes any best practices or strengths, identifies areas for improvement that need to be addressed, and provides recommendations for improvement.

55. AAR Format Section 3: Analysis of Capabilities Section 4: Conclusion
Report Cover
Administrative Handling Instructions
Contents
Executive Summary
Section 1: Exercise Overview (includes identifying information, such as the exercise name, date, duration)
Section 2: Exercise Design Summary (includes the overarching exercise purpose; objectives, capabilities, activities, and tasks identified for validation; a summary of designed initiating event(s) / key scenario events; and exercise design issues)
Section 3: Analysis of Capabilities
Section 4: Conclusion
Appendix A: Improvement Plan
Appendix B: Lessons Learned (optional)
Appendix C: Participant Feedback Summary (optional)
Appendix D: Exercise Events Summary Table (optional)
Appendix E: Performance Ratings (optional)
Appendix F: Acronyms

56. Road to Final Four

57. Conduct After Action Conference
As soon as possible after completion of a draft AAR, the lead evaluator, members of the evaluation team, and other members of the exercise planning team conduct an After Action Conference to present, discuss, and refine the draft AAR, and to develop an IP.
This conference is a chance to present the AAR to participating entities in order to solicit feedback and make necessary changes.
The After Action Conference is a critical component of the exercise planning process to ensure that exercises are results-oriented and contribute to preparedness by translating AAR/IP analyses into concrete improvements for validation in subsequent exercises.

58. Identify Corrective Actions to be Implemented
In addition to refining the draft AAR, much of the After Action Conference is devoted to discussing specific corrective actions to address the observed areas for improvement and associated recommendations identified in the draft AAR.
This discussion takes place in a moderated, disciplined environment and yields the IP; a list of corrective actions that identify what should be done to address observations and recommendations; who (person or entity) is responsible; and the timeframe for implementation.

59. Guide for Developing Corrective Actions
What changes need to be made to plans and procedures to improve performance?
What changes need to be made to organizational structures to improve performance?
What changes need to be made to leadership and management processes to improve performance?
What training is needed to improve performance?
What changes to (or additional) equipment is needed to improve performance?
What lessons can be learned that will direct how to approach a similar problem in the future?

60. Finalize AAR/IP
Finalizing the AAR/IP involves incorporating the corrections, clarifications, and other feedback provided by participants at the After Action Conference.
Once these inputs have been incorporated, the AAR/IP is distributed to members of the exercise planning team for validation that it is an accurate document that meets the exercise objectives.

61. HSEEP Compliance #4
Track and implement corrective actions identified in the AAR/IP.
Once recommendations, corrective actions, responsibilities, and due dates are identified in the IP, the exercising entity ensures that each corrective action is tracked to completion.
Exercising entities review all exercise evaluation feedback and resulting IPs to assess progress on enhancing preparedness.
This analysis and information are incorporated into the capabilities-based planning process because they may identify needs for additional equipment, training, exercises, coordination, plans, or procedures that can be validated through future exercises.
Continual IP tracking and implementation should be part of a corrective action program within each participating entity.

62. Track Implementation
To track the implementation of corrective actions identified in the final AAR/IP, exercise teams must include individuals responsible for complying with the CAP process.
Exercising entities are not expected to have dedicated staff members for these positions.

63. Agency’s POC to Track IP
The progress reports issued by an entity’s POC and exercise program manager should illustrate a consistent trend of progress toward implementation of the corrective actions listed in an AAR/IP.
Because the AAR/IP ties these corrective actions to specific capabilities, these reports ultimately demonstrate the concrete ways in which exercises enhance capabilities.

64. Continual Improvement Process

65. Questions?? Amelia Muccio NJPCA amuccio@njpca.org Dave Weidner HCANJ .