# Presentation: 067422

## National Exercise Program

**Bill Schwinn**
- Acting Policy Branch Chief
- National Exercise Division
- Federal Emergency Management Agency
- U.S. Department of Homeland Security

## NEP Overview

- The National Exercise Program (NEP) components include:
- Homeland Security Exercise and Evaluation Program (HSEEP);
- Five-Year National Exercise Schedule;
- Corrective Action Program (CAP);
- Lessons Learned Information Sharing System
- Homeland Security Council’s (HSC) Deputies Committee unanimously concurred with the NEP Charter and approved a Five-Year National Exercise Schedule on January 26, 2007
- President approved the NEP Implementation Plan on April 11, 2007
- Department and Agency designees coordinate their roles and responsibilities through the NEP Executive Steering Committee, chaired by the Director of the FEMA National Exercise Division

## NEP Purpose 

- NEP shall serve as the principal mechanism for:
- Examining the preparation of the USG and its officers and other officials
- Adopting policy changes that might improve such preparation
- NLEs and PLEs will reflect U.S. Government-wide priorities, not single Department or Agency programs
- Focus of NEP exercises:
- Designed for participation of heads of Federal departments and agencies and other key officials
- Examine and evaluate emerging national-level policy issues
- NEP directs Agency’s to adequately resource for and participate in exercises at directed levels

**Notes:**
Examine the preparation of U.S. Government officers; Federal, State, local
Review new preparedness policy
Focus NEP NLEs on:
Senior leadership
Emerging policy issues
Department/Agencies must resource and fund
Exercise planning staff
Exercise planning and coordination
Exercise participation

## NEP Exercise Tiers

**Tier I**:  White House directed,  U.S. Government-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

**1 NLE**
**4 PLE**

- 3 Tier II
- Exercises

- Regional or Other Federal Exercises

- Non-Federal Exercises

- Tier I

- Tier II

- Tier III

- Tier IV

**Notes:**
Exercise Tiers.  The NEP categorizes exercise activities into four tiers.  These tiers reflect the relative priority for interagency participation, with Tier I as the highest and Tier IV the lowest.  USG exercises are assigned to tiers based on a consensus interagency judgment of how closely they align to USG-wide strategic and policy priorities. 
Tier I Exercises (Required).  Tier I Exercises are centered on White House directed, U.S. Government-wide strategy and policy-related issues and are executed with the participation of all appropriate Cabinet level Secretaries or their Deputies and all necessary operations centers.  (NLEs and PLEs constitute Tier I; thus there are five NEP Tier I exercises annually.) 
Tier II Exercises (Commended). Tier II Exercises are focused on strategy and policy issues supported by all appropriate departments and agencies either through the National Simulation Cell or as determined by each department or agency's leadership. (Tier II exercises are endorsed through the NEP process as meriting priority for interagency participation.  Tier II exercises take precedence over Tier III exercises in the event of resource conflicts.  The E&E sub-PCC shall recommend no more than three Tier II exercises for interagency participation annually )
Tier III Exercises (Permitted). Tier III Exercises are other Federal exercises focused on operational, tactical, or organization-specific objectives and not requiring broad interagency headquarters-level involvement to achieve their stated exercise or training objectives.  Participation is at the discretion of each department or agency.  
Tier IV Exercises.   Tier IV Exercises are exercises in which State, territorial, local, and/or tribal governments, and/or private sector entities, are the primary training audience or subject of evaluation. 

## NEP Guidance

- National Level Exercises (NLE), Principal Level Exercises (PLE), and NEP Tier II exercises will reflect USG-wide priorities, not single department or agency programs
- Full Homeland Security Council (HSC) Disaster Readiness Group’s Exercise & Evaluation Sub-Policy Coordination Committee (E&E sub-PCC) recommends exercise priorities/goals/objectives, schedule, and corrective action issues to the Deputies Committee for approval
- DHS/FEMA chaired NEP Executive Steering Committee supports day-to-day coordination
- Develops proposed exercise priorities/goals/objectives, schedule, and corrective action issues for the E&E Sub-PCC
- Charged with ensuring that all NEP exercises are successfully coordinated and conducted
- Comprised of representatives across the U.S. Government
- Defining and drafting a NEP Five-Year Exercise Schedule

**Notes:**
NLE Tier I exercise will have a single focus/ scenario/ control - Therefore, the NEP has to have interagency ownership. 

DHS chaired NEP Executive Steering Committee supports day-to-day coordination and staff work for the NEP
DHS (chair), DOD, DOE, HHS, DOJ, DOS, DOT, ODNI, FBI
Up to three rotating members (1-year term)
HSC, NSC, OMB representatives in non-voting oversight capacity

The NEP ESC will coordinate Department/Agency, as well as Regional/State/local exercise requirements/objectives and build a recommended NEP Five-Year Exercise Schedule.

The NEP ESC will also prioritize recommended lessons learned and corrective action plans.

The recommended NEP Five-Year Exercise Schedule and Corrective Action Plan are submitted to the Deputies for approval via the Disaster Readiness Group (DRG) Exercise and Evaluation Sub-Policy Coordination Committee (E&E sub-PCC) to frame those decisions

## Coordinating NEP Five-Year Schedule with

- Federal, Regional and State Priorities

**Notes:**
Bridge the gap between Federal and State/local exercises
Coordinate Federal, State, & local exercise objectives and priorities
State/local exercises
Regional exercises
Federal exercises

## Tier I / NLE Recommended Exercises

- FY 2009: International Terrorism (Prevention & Border Protection focus)
- Proposed Regions: IV, VI
- FY 2010: Domestic Non-Terrorism
- Scenario focus: Major Earthquake
- Proposed Regions: IV, V, VI & VII
- FY 2011: Domestic Terrorism
- Scenario focus: Improvised Nuclear Device
- Proposed Regions: VIII & IX
- FY 2012: International Defense / Crisis
- Scenario focus: Cyber Attack
- Proposed Regions: TBD
- FY 2013: Domestic Non-Terrorism
- Scenario focus: Major Hurricane
- Proposed Regions: IV & VI

## PLE Recommended Exercises

- FY 2009:
- PLE 1-09: January (Improvised Explosive Device)
- PLE 2-09: April (TBD)
- PLE 3-09: June (Preparatory for NLE 09 – International Terrorism)
- PLE 4-09: September (Homeland Security Council Assigned)
- FY 2010:
- PLE 1-10: November (Attack on Transit)
- PLE 2-10: January (Olympics Preparation)
- PLE 3-10: April (Preparatory for NLE 10 – Major Earthquake)
- PLE 4-10: July (Homeland Security Council Assigned)
- FY 2011:
- PLE 1-11: October (WMD or Man-Portable Air Defense System)
- PLE 2-11: January (Food Security)
- PLE 3-11: April (Preparatory for NLE 11 – Improvised Nuclear Device)
- PLE 4-11: July (Homeland Security Council Assigned)

## PLE Recommended Exercises (continued)

- FY 2012:
- PLE 1-12: October (Chemical)
- PLE 2-12: January (Biological)
- PLE 3-12: April (Preparatory for NLE 11 – Cyber Attack)
- PLE 4-12: July (Homeland Security Council Assigned)
- FY 2013:
- PLE 1-13: January (Improvised Explosive Device)
- PLE 2-13: April (TBD)
- PLE 3-13: June (Preparatory for NLE 13 – Major Hurricane)
- PLE 4-13: September (Homeland Security Council Assigned)

## Tier II Recommended Exercises

- FY 2009:
- EMPIRE 09 (FEMA Region II – Albany, NY) (DOE sponsored FRMAC Exercise)
- United Support (Proposed FEMA Region IV– FL) (DHS sponsored)
- FY 2010:
- SONS 10 (TBD: Proposed FEMA Region X – Arctic Slope) (DHS/EPA sponsored)
- Cyber Storm III (DHS sponsored)
- FY 2011:
*Pandemic Influenza* (TBD: HHS/DHS sponsored)
*DoD exercise (undetermined)*
- FY 2012:
- FRMAC 12 (DOE sponsored)
*DoD exercise (undetermined)*
- FY 2013:
- Diablo Bravo 13 (DOE sponsored)
- SONS 13 (DHS/EPA sponsored)

## FY 09 Election Cycle  Transition Exercise/Training Series 

- FY 09 Election Cycle  Transition Exercise/Training Series

- An 18-month series of briefings, seminars, and exercises for senior officials of the incoming Administration to address:
- USG policies, plans, capabilities
- Incident management and crisis coordination procedures and challenges
- Events designed to motivate intense, early interaction between heads of departments and agencies and the emergency program staff who will support them within their organizations.
- Series Goals
- Reduce vulnerabilities during the transition period
- Transition knowledge of NRF and NIMS, and roles and responsibilities in prevention, protection, response, and recovery to newly elected officials
- Provide state and local governments with exercise and training support through the Election Cycle and Transition Exercise and Training Series

**Notes:**
Every four years the Federal Government experiences an election cycle that could result in a change of leadership.
The nation and the Federal Government is venerable during this transition as senior leadership assumes their new responsibilities.
In coordination with a series of transition briefings and seminars, National Exercise Program NLEs, PLEs and Tier II exercises will support this transition. 
NEP exercises will support a better understanding of:
USG policies, plans, capabilities
Incident management and crisis coordination procedures and challenges

## NEP Tier I – NLE 09 / PLE 3-09

- Focus - Terrorism Prevention
- Scope
- An exercise series consisting of one PLE and one full-scale NLE
- NLE 09 will have a broader geographic scope than T4
- Regional play will require more State participants, but each with smaller commitment than T4 partners, with focus on prevention and protection mission areas rather than incident response and recovery
- Objectives
- Intelligence and Information Sharing and Dissemination
- Counter-Terror Investigation and Law Enforcement
- Border and Maritime Security
- Homeland Security Advisory System
- Critical Infrastructure Protection

**Notes:**
Following NEP implementation plan procures a review of national priorities and current threats identified prevention and border security as top priorities for a national level exercise.
A terrorism focused, prevention exercise will allow senior leadership at all levels address emerging national-level policy issues centered on:
Intelligence and Information Sharing and Dissemination
Counter-Terror Investigation and Law Enforcement
Border and Maritime Security
Homeland Security Advisory System
Critical Infrastructure Protection

## NEP Tier I - PLE 3-09

- Scenario
- An international terrorism incident will occur, on the scale of an embassy bombing or attack on mass transit (e.g. London or Madrid)
- There are indications that the adversary may attempt a follow-on attack on domestic U.S. critical infrastructure
- Focus
- U.S. senior-level reaction, including potential response, protective measures in CONUS, and intelligence issues
- Assessing indicators of upcoming attempts by adversary teams to infiltrate U.S. borders, as well as reports of suspicious activity within CONUS

**Notes:**
PLE 3-09 will link to NLE 09 and use the same scenario.
PLE 3-09 will allow senior leadership to discuss issues related to the overseas incident while addressing the credible threat to the U.S. Homeland.

## NEP Tier I - NLE 09 Scenario

- Adversary teams attempt to enter the United States, via the Southwest border and/or maritime means
- Play will focus on:
- Preventing their entry through border security, maritime security, and the sharing of information and intelligence between Federal, State, and local participants
- Critical infrastructure protection and associated decisions and activities, including the Homeland Security Advisory System
- Limited response or recovery activities
- Exercise will allow for terrorism prevention efforts to proceed to a logical end (successful or not), with limited requirement for large-scale response or recovery activities

**Notes:**
The NLE 09 Scenario would build off a significant international venue terrorist incident and a credible threat against the U.S. Homeland.
NLE 09 will address primarily prevention and protection focused issues, with limited response or recovery issues.
Conducting NLE 09 as a prevention focused exercise will allow for wider State/local participation than past TOPOFF exercises.

## NLE 09 Proposed Cycle of Events

- NLE 09
- FSE FPC
- May

- AARDec

**NLE 09**
**3-5 days **
**in July**

- NLE 09 AAC
- Oct

- NLE 09
- FSE IPC
- Sep

- NLE 09
- FSE MPC
- Feb

- PLE 3-09
- Jun

- NLE 09
- FSE C&O
- Jul

**2009**

**2008**

- National Sem 1
- Nov

- National Sem 3
- Apr

- National Sem 2
- Jan

**Notes:**
The NLE 09 planning timeline is similar to past TOPOFF exercises.
An 18-month cycle will include a series of HSEEP planning meetings as well as national level seminars that educate participants on the issues related to the scenario.

## DRAFT PROPOSED

**National Exercise Program Five-Year Exercise Schedule (NLE / Tier I)**

*National Level Exercise*

*National Special Security Events*

*Principal Level Exercise*

**Version: 03-17-08**

**NLE 09**
**International**
**Terrorism**
**Prevention Focus**
**Regions IV, VI**

**NSSE: **
**Presidential **
**Inauguration**

**Principal Level Exercise 3-09**

**Principal Level Exercise 4-09**

**Principal Level Exercise 1-09**

*Administration Transition Training Program*

**Prep for **
**NLE 09**

**Principal Level Exercise 2-09**

**NLE 10**
**Domestic**
**Non-Terrorism**
**Major Earthquake**
**Region IV, V, VI, VII**

***Olympics in Vancouver***

**Principal Level Exercise 4-10**

**Principal Level Exercise 3-10**

**Principal Level Exercise 1-10**

**Principal Level Exercise 2-10**

**Prep for **
**NLE 10**** **

***Governor / House of Reps.***
***Transition Training Program***

**Prep for **
**NLE 11**

**Principal Level Exercise 1-12**

**Principal Level Exercise 2-12**

**NSSE:**** Political**
**National**
**Convention**

**NSSE:**** Political**
**National**
**Convention**

**Principal Level Exercise 4-12**

**Principal Level Exercise 3-12**

**Prep for **
**NLE 12**

**NLE 13**
**Domestic **
**Non-Terrorism**
**Major Hurricane**
**Region IV & VI**

**NSSE: **
**Presidential **
**Inauguration**

**Principal Level Exercise 4-13**

**Principal Level Exercise 1-13**

**Principal Level Exercise 2-13**

*Administration Transition Training Program*

**Prep for **
**NLE 13**

**Principal Level Exercise 1-11**

**Principal Level Exercise 3-11**

**Principal Level Exercise 2-11**

**Principal Level Exercise 4-11**

**Hurricane**

**HSC Assigned**

**Olympics Prep**

**WMD or **
**MANPADS**

**HSC Assigned**

**Attack on Transit**

**HSC Assigned**

**HSC Assigned**

**Food **
**Security**

**Chemical**

**Biological**

**HSC Assigned**

**IED**

**NLE 11**
**Domestic Terrorism**
**Improvised Nuclear Device**
**Region VIII & IX**

**NLE 12**
**International Defense / Crisis**
**Cyber Attack**
**Region (TBD)**

**TBD**

**TBD**

**Principal Level Exercise 3-13**

**TBD**

**Notes:**
This slide lays out the FY 09-13 NLEs and PLEs.

## HSEEP Policy and Guidance serves as doctrine for design, development, and conduct of NEP exercises
Standardizes exercise design, development, conduct, and evaluation for all exercises (National-level, Federal, State, local) 
Establishes common language and concepts to be adopted and used by various agencies and organizations 
Meets National Response Plan (NRP) and National Incident Management System (NIMS) goals
Provides tools and resources for to support self-sustaining exercise programs

- Standardizes exercise design, development, conduct, and evaluation for all exercises (National-level, Federal, State, local)
- Establishes common language and concepts to be adopted and used by various agencies and organizations
- Meets National Response Plan (NRP) and National Incident Management System (NIMS) goals
- Provides tools and resources for to support self-sustaining exercise programs

- Homeland Security Exercise and Evaluation Program (HSEEP)

**Notes:**
A coordinated interagency exercise program requires common vocabulary and standardized processes for exercise activity. The HSEEP policy and guidance documents provide the doctrinal foundation for all tiers of NEP exercise activity. The NEP supplements the doctrine for NEP Tier I exercises. For example, aspects of national-level exercises (NLEs) (refer to section 5.9) associated with resourcing and exercise life cycles will be determined by consensus at the Concept Development Conference for each NLE.

Design, Development, and Conduct. HSEEP Policy and Guidance shall serve as doctrine for design, development, and conduct of NEP exercises. In those instances when DoD participates in an NLE, DoD and DHS doctrine will be integrated as agreed at the Concept Development Conference, based on specific exercise requirements. Application of HSEEP Policy and Guidance to NEP Tier I exercises is described in the following sections. 

NLE Timeline. HSEEP recommends a minimum of nine months from development of a budget and planning team to publication of an After Action Report (AAR), and up to five planning conferences, for an operations-based exercise. For purposes of the NEP, the planning timeline for the NLE will begin approximately 15 months prior to exercise conduct.

Confirmation of NLE Executive Steering Committee (NLE ESC). Approximately 15 months prior to NLE conduct, the NEP ESC will confirm the initial composition and chair of the NLE ESC. The NLE ESC may be identical to the NEP ESC, a subset of the NEP ESC, or designees of the NEP ESC departments and agencies.

Concept and Objectives Meeting (C&O). Approximately 14 months prior to NLE conduct, the NLE ESC will hold a C&O Meeting. The C&O Meeting will ensure understanding of guidance provided in the five-year schedule regarding objectives and scenario parameters, and begin the process of developing additional detail. The C&O Meeting also will begin to address the structure and composition of an Integrated Planning Team for the NLE. The NLE ESC will brief the Secretary of Homeland Security on the results of the concept development process, and obtain concurrence on the concept, goals and objectives, prior to the Initial Planning Conference (IPC) and prior to any final agreement with State, local, territorial, tribal or private sector participants.

Initial Planning Conference (IPC). Approximately 11 months prior to NLE conduct, the NLE ESC will hold an IPC.

Midterm Planning Conference (MPC). Approximately six months prior to NLE conduct, the NLE ESC will hold an MPC.

Master Scenario Events List (MSEL) Conference. Approximately four months prior to NLE conduct, the NLE ESC will hold a MSEL Conference if the NLE ESC believes one is needed.

Final Planning Conference (FPC). Approximately two months prior to NLE conduct, the NLE ESC will hold an FPC.

PLE Timeline. HSEEP recommends a minimum of seven months from development of a budget and planning team to publication of an After Action Report (AAR), and two planning conferences, for a discussion-based exercise. For purposes of the NEP, the planning timeline for a PLE will begin approximately six months prior to exercise conduct. HSEEP Volumes III and IV provide additional detail on the subject.

C&O Meeting. DHS will lead planning of the PLE effort at the direction of the HSC and NSC. Approximately six months prior to PLE conduct, DHS will meet with the Decision Authority for the PLE (e.g., APNSA, APHS/CT), or designee, to confirm objectives and design parameters for the PLE, based on guidance contained in the five-year schedule. 

IPC. Approximately four months prior to PLE conduct, DHS, in consultation with the HSC and NSC staffs, will facilitate an IPC. Initial exercise materials will be presented for discussion.

FPC. Approximately two months prior to PLE conduct, DHS, in consultation with the HSC and NSC staffs will facilitate an FPC.

## Volume I: Overview and Exercise Program Management
Volume II: Exercise Design and Development
Volume III: Exercise Evaluation and Improvement Planning
Volume IV: Sample Exercise Documents and Formats
Volume V: Prevention Exercises

*Volume I: Overview and Exercise Program Management*
*Volume II: Exercise Design and Development*
*Volume III: Exercise Evaluation and Improvement Planning*
*Volume IV: Sample Exercise Documents and Formats*
*Volume V: Prevention Exercises*

## HSEEP compliance includes four distinct performance requirements:
1) Conduct annual Training and Exercise Plan Workshop (T&EPW) and develop and maintain Multi-year Training and Exercise Plan
2) Plan and conduct exercises in accordance with guidelines in HSEEP    Volumes I-III
3) Develop and submit a properly formatted After Action Report/Improvement Plan (AAR/IP)
4) Track and implement corrective actions identified in AAR/IP

- HSEEP compliance is adherence to specific HSEEP-mandated practices for exercise design, conduct, evaluation, and documentation

- HSEEP compliance includes four distinct performance requirements:
- 1) Conduct annual Training and Exercise Plan Workshop (T&EPW) and develop and maintain Multi-year Training and Exercise Plan
- 2) Plan and conduct exercises in accordance with guidelines in HSEEP    Volumes I-III
- 3) Develop and submit a properly formatted After Action Report/Improvement Plan (AAR/IP)
- 4) Track and implement corrective actions identified in AAR/IP

## T&EPW Multi-Year Training and Exercise Plan

- Conduct T&EPW each calendar year to develop a Multi-year Training and Exercise Plan
- Multi-year Training and Exercise Plan must include a multi-year schedule of training and exercise activities, focused on priority capabilities
- Priority capabilities derived from National and State homeland security strategies
- Schedule must use “building-block approach” of increasing complexity (e.g., seminar, followed by tabletop exercise, followed by command post exercise)
- All exercises identified in multi-year schedule must be entered into National Exercise Schedule (NEXS)

**Notes:**
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 which:
- Reflects the training activities which will take place prior to an exercise, allowing
exercises to serve as a true validation of previous training.
- Reflects all exercises in which the entity participates.
- Employs a “building-block approach” in which training and exercise activities
gradually escalate in complexity.
■ 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.

## Exercise Types

- Discussion-based Exercises:
- Seminar
- Workshop
- Tabletop Exercise (TTX)
- Game
- Operations-based Exercises:
- Drill
- Functional
- Full-scale Exercise

**Notes:**
Exercise Types
There are seven types of exercises defined within HSEEP, each of which is either discussions-based or
operations-based.

Discussions-based Exercises familiarize participants with current plans, policies, agreements and
procedures, or may be used to develop new plans, policies, agreements, and procedures. Types of
Discussion-based Exercises include:
■ Seminar. A seminar is an informal discussion, designed to orient participants to new or updated
plans, policies, or procedures (e.g., a seminar to review a new Evacuation Standard Operating
Procedure).
■ Workshop. A workshop resembles a seminar, but is employed to build specific products, such as a
draft plan or policy (e.g., a Training and Exercise Plan Workshop is used to develop a Multi-year
Training and Exercise Plan).
■ 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.
■ Game. 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.

Operations-based Exercises validate plans, policies, agreements and procedures, clarify roles and
responsibilities, and identify resource gaps in an operational environment. Types of Operations-based
Exercises include:
■ Drill. A drill is a coordinated, supervised activity usually employed to test a single, specific
operation or function within a single entity (e.g., a fire department conducts a decontamination drill).
■ 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 Exercise (FSE). A full-scale exercise is a multi-agency, multi-jurisdictional, multidiscipline
exercise involving functional (e.g., joint field office, emergency operation centers, etc.)
and "boots on the ground" response (e.g., firefighters decontaminating mock victims).

## Exercise Planning Conferences

- Concept & Objectives (C&O)
- Initial Planning Conference (IPC)
- Mid-term Planning Conference (MPC)
- Master Scenario Events List (MSEL) Conference
- Final Planning Conference (FPC)
- After Action Conference (AAC)

**Notes:**
Planning and After Action Conferences
The HSEEP methodology defines a variety of planning and after action conferences. The need for
each of these conferences varies depending on the type and scope of the exercise. They include:
■ Concepts and Objectives Meeting
■ Initial Planning Conference (IPC)
■ Mid-Term Planning Conference (MPC)
■ Master Scenario Events List (MSEL) Conference
■ Final Planning Conference (FPC)
■ After Action Conference (AAC)

HSEEP Volume II: Exercise Planning and Conduct  provides detail on the outcomes, products, and
associated timelines for each of these planning conferences.

## Capabilities-Based Planning

- HSEEP is designed to support capabilities-based planning through a cyclical process of planning, training, exercising, and improvement planning which emphasizes development of priority capabilities
- Capabilities-based planning provides the foundation for:
- Developing exercise program priorities
- Identifying sets of capabilities to exercise
- Determining conditions and scenarios that should be included and addressed in exercises

*Capabilities-based planning is defined as planning, under uncertainty, to build capabilities suitable for a wide range of threats and hazards while working within an economic framework that necessitates prioritization and choice. It addresses uncertainty by analyzing a wide range of realistic scenarios to identify required capabilities, and it is the basis for guidance such as the National Preparedness Goal, Target Capabilities List (TCL), and Universal Task List (UTL). *

## Slide 24

## Use of National Planning Scenarios

- National
- Planning
- Scenarios

**Objectives**

- Define exercise objectives based on capabilities, tasks and jurisdiction needs

**Tasks**

- Select corresponding UTL Tasks for assessment through exercises

**Capabilities**

- Identify priority capabilities for improvement through exercises

**Scenario**

- Create jurisdiction-specific scenario formulated specifically to meet exercise objectives

*Exercise Scenario Selection Process*

*Policy and Planning Tools*

**Notes:**
The National Preparedness System meets the requirement in HSPD-8 for “elements that support the national preparedness goal including ...a system for assessing the Nation’s overall preparedness to respond to major events, especially those involving acts of terrorism.”  
The National Preparedness System provides the tools and processes to realign existing programs and efforts to support the National Preparedness Goal.  Many processes already being performed by States, local, and tribal entities under current Federal grant programs are well suited to the National Preparedness System and will be retained.  The System adds important tools to enhance these processes.   
The System has four main components.  Each provides opportunities for all levels of government to communicate and collaborate on achieving the Goal.  Many actions will be concurrent.  They are described sequentially for ease of understanding:
Strategic Direction, which involves development of the National Preparedness Goal, including a capabilities-based framework to support the Goal; issuance of National Preparedness Guidance; and alignment of preparedness programs and efforts throughout the homeland security community to support the Goal.  
Planning and Resource Allocation, which involves application of scenario-based analysis, capabilities-based planning, and portfolio management techniques to determine needs and allocate resources to build capabilities that are prioritized based upon risk.
Execution, which involves demonstration of capability through performance-based training and exercises, and evaluation of performance to identify lessons learned, share best practices, and update improvement plans.   
Feedback, which involves assessment and reporting on progress and effectiveness of efforts throughout the system to achieve the National Preparedness Goal. 

## Slide 26