NCJ199536 
U.S. Department of Homeland Security

Office for Domestic Preparedness

810 Seventh Street, NW

Washington, DC 20531

Tom Ridge

Secretary

______________________________________________

Office for Domestic Preparedness

World Wide Web Homepage:

www.ojp.usdoj.gov/odp

______________________________________________

ODP HelpLine

1-800-368-6498

______________________________________________

NCJ199536

Cover photographs include images from the Federal Emergency Management Agency Photo Library (www.fema.gov)

and the National Sheriffs’ Association
U.S. Department of Homeland Security

Office for Domestic Preparedness

HOMELAND SECURITY

EXERCISE AND EVALUATION PROGRAM

VOLUME I: OVERVIEW AND DOCTRINE

March 2003

PREFACE

In 1998, Congress expressed concern about the potentially catastrophic effects of a chemical or biological terrorist attack and authorized the Attorney General to assist state and local public safety personnel in acquiring the specialized training, equipment, exercises, and technical assistance necessary to

safely respond to terrorist incidents involving weapons of mass destruction (WMD).The Attorney

General delegated authority to the Office of Justice Programs, which established the Office for

Domestic Preparedness (ODP) to develop and implement a national State Homeland Security Strategy

(SHSS).The Homeland Security Act of 2002 transferred ODP from the Department of Justice to the

new Department of Homeland Security (DHS).

While effective approaches to planning, training, and exercises have been developed to mitigate the

effects of natural and manmade disasters, state and local personnel must prepare to prevent and

respond to new threats to public safety from terrorism involving the use of chemical, biological, radiological, nuclear, and explosive (CBRNE) weapons. Homeland security professionals at all levels of government and in all types of communities must be equipped with the knowledge, skills, and resources

needed to identify, prevent, respond to, and recover from the new weapons and delivery methods

being developed by terrorist organizations. ODP has designed its programs to address the delta

between the “all hazards” emergency response requirements needed for natural disasters and the specialized requirements related to terrorism.

Under the State Homeland Security Grant Program (SHSGP), the states, territories, and the District of

Columbia have conducted risk and needs assessments and developed Statewide Domestic

Preparedness Strategies. ODP provides grant funds and direct support to help address the equipment,

training, exercise, and technical assistance needs identified in the strategies. ODP also provides similar

assistance directly to selected large metropolitan areas, and designs and conducts national, regional,

and special security event exercises to address multi-jurisdictional and multi-agency terrorism preparedness needs.

ODP is pleased to present the Homeland Security Exercise and Evaluation Program—Volume I: Overview and Doctrine, which describes ODP’s exercise program, exercise doctrine, and program implementation.This document is the first in a series of Homeland Security Exercise and Evaluation Program

(HSEEP) resources that will include an exercise manual and toolkit to help states and local jurisdictions

to establish terrorism exercise programs, and to design, develop, conduct, and evaluate effective exercises that will enhance homeland security.The HSEEP will include the following documents:

Volume I Program Overview and Doctrine

Volume II Exercise Evaluation and Improvement

Volume III Exercise Development Manual

Volume IV Sample Exercise Documents and Formats

iii

TABLE OF CONTENTS

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Chapter 1: Homeland Security Program. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

State Homeland Security Grant Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

State Homeland Security Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

State Assistance Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Equipment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Training. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Technical Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Local Domestic Preparedness Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

National Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Top Officials (TOPOFF) National Exercise Series. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

National Security Special Events Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Federal, State, and Local Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Prepositioned Equipment Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Chapter 2: Homeland Security Exercise and Evaluation Program. . . . . . . . . . . . . . . . 9

Definition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

HSEEP Doctrine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

State Homeland Security Exercise and Evaluation Plan . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Cycle of Exercise Activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Test Performance and WMD Plans, Policies, and Procedures. . . . . . . . . . . . . . . . . . . . . . . 11

Threat-Based Scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Realistic Scenarios. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Multi-Disciplinary Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Intergovernmental Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

After Action Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Corrective Action Plan. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Integration Into Homeland Security Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Lessons Learned and Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Financial Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Resources to Implement HSEEP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Grant Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Direct Exercise Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Homeland Security Exercise and Evaluation Program Manuals. . . . . . . . . . . . . . . . . . . . . 14

Exercise Toolkit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Lessons Learned Database and Conferences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

v
Roles and Responsibilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Office for Domestic Preparedness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

ODP Organizational Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

State and Local Program Management Division . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Training and Technical Assistance Division . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Exercise and Evaluation Division . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

State Administrative Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Local Governments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Chapter 3: Types of Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Seminars. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Workshops . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Tabletop Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Games . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

Drills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Functional Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Full-Scale Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Chapter 4: Exercise Planning Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Exercise Planning Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Planning Team Composition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Exercise Planning Events and Documentation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Concept Development Meeting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Exercise Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Initial Planning Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Concept and Objectives Paper . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Exercise Plan (EXPLAN). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

Situation Manual (SITMAN)/Player Handbook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

Midterm Planning Conference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

Extent of Play Agreement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

Master Scenario Events List Conference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

Master Scenario Events List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Final Planning Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Control Staff Instructions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Evaluation Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Controller and Evaluator Handbook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

After Exercise Events and Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Hot Wash/After-Action Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

After Action Analysis and Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Corrective Action Plan. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Exercise Products. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Exercise Planning Timelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Appendix A: Regions for Delivery of Exercise Support . . . . . . . . . . . . . . . . . . . . . . 34

vi
In response to the 1995 bombing of the Murrah

Federal Building in Oklahoma City, Congress

directed the Department of Justice (DOJ), Office

of Justice Programs (OJP) to develop and administer a program to enhance the capacity of states

and local jurisdictions to prevent or respond to

terrorist incidents involving the use of weapons

of mass destruction (WMD).Weapons of Mass

Destruction include chemical and biological

agents and radiological, nuclear, and explosive

devices (CBRNE).The Office for Domestic

Preparedness (ODP) was established within the

Office of Justice Programs in 1998, to develop

and administer a national State Homeland

Security Strategy (SHSS).1

The Homeland Security Act of 2002 transferred

ODP from DOJ to the Department of Homeland

Security (DHS) and assigned it “the primary

responsibility within the executive branch of

government to build and sustain the preparedness of the United States to reduce vulnerabilities, prevent, respond to, and recover from acts

of terrorism.”While ODP has been at the forefront of homeland security preparedness since

1998, the assignment of expanded responsibilities broadens its constituency from an exclusively state and local focus to now include federal departments and agencies, tribal

governments, the private sector and international entities. In addition to continuing its priority of direct and specific support to state and

local homeland security professionals, ODP will

now also provide general all-purpose support to

all levels of government within the homeland

security arena.

ODP’s definition of homeland security preparedness, presented below, acknowledges the nature

and unique characteristics of the terrorism threat

and equates preparedness to performance.

Homeland Security Preparedness is

a comprehensive national program

encompassing all homeland security

systems involved in the planning of

1

INTRODUCTION

We will strive to create a fully integrated national emergency

response system that is adaptable enough to deal with any terrorist attack, no matter how unlikely or catastrophic...Our federal, state, and local governments would ensure that all response

personnel and organizations—including the law enforcement, military, emergency response, health care, public works, and environmental communities—are properly equipped, trained, and

exercised to respond to all terrorist threats and attacks in the

United States. 

—National Strategy for Homeland Security, July 2002

1The terms “domestic preparedness” and “homeland security” are used interchangeably in this manual.The National Strategy for Homeland Security

defines homeland security as:“a concerted national

effort to prevent terrorist attacks within the United

States, reduce America’s vulnerability to terrorism,

and minimize the damage and recover from attacks

that do occur.”
organizational, operational, and technical measures designed to achieve full

and sustainable performance to prevent, disrupt, or deter threats or acts of

terrorism; reduce vulnerabilities; mitigate the effects of acts of terrorism;

respond to threats and acts of terrorism; and perform effective remediation

and recovery efforts from terrorist

attacks throughout the entire threat

spectrum, including terrorist use of

chemical, biological, radiological,

nuclear, and explosive weapons of mass

destruction (CBRNE WMD).

The programs administered by ODP support

Congressional mandates and implementation of

the strategic objectives defined in the President’s

National Strategy for Homeland Security, which

are to: prevent terrorist attacks within the United

States, reduce America’s vulnerability to terrorism, and minimize the damage and recover from

attacks that do occur. ODP’s Homeland Security

Exercise and Evaluation Program (HSEEP),

defined with supporting doctrine in this document, is an essential element of this national program. Since the HSEEP is a part of a larger program to enhance the capacity of state and local

governments to prevent and respond to terrorist

attacks, it is important to understand the scope

of the entire program and the role of HSEEP.

ODP’s mission to develop and implement a

national program to enhance the capacity of

state and local governments to prevent and

respond to terrorism is achieved through a fully

integrated program of assistance to state and

local homeland security professionals.2 The program includes funds to purchase specialized

equipment, a robust training program, technical

assistance, and exercise support. In addition,

ODP designs and implements national level programs that support state and local preparedness

efforts and facilitate coordination and cooperation among federal, state and local response

agencies.The national level programs include the

TOPOFF National Exercise Series, the

Prepositioned Equipment Program, and support

to National Security Special Events.Additional

programs will be designed to implement ODP’s

broader mission and address the needs of DHS’s

expanded constituency groups.

The State Homeland Security Strategies developed by the states, based on threat, vulnerability,

and needs assessments, provide the blueprint for

the implementation of ODP’s State Homeland

Security Program. ODP provides assistance

directly to some local governments under a program designed to build response capacity in the

country’s largest metropolitan areas. ODP assistance is directed to the full range of homeland

security professionals at the state and local levels, which include elected officials, firefighters,

emergency medical services, emergency management agencies, law enforcement, HazMat, public

health, public works, health and hospitals, and

emergency communications.This document is

the first in a series of HSEEP documents that will

be provided to assist state and local governments in assessing their level of preparedness

through effective exercises. Chapter One of this

document provides an overview of ODP’s

Homeland Security Program. Chapter Two

defines the HSEEP, the HSEEP doctrine, and roles

and responsibilities. Chapter Three defines the

various types of exercises, and Chapter Four provides an overview of the exercise planning

process and initiatives.

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

2

2Homeland Security Professional is used throughout the HSEEP documents to include individuals at the

local, state, and federal levels engaged in the prevention

of and/or response to terrorist attacks.They include

individuals from the following disciplines: 1) elected

officials, 2) firefighters, 3) emergency medical services,

4) emergency management, 5) law enforcement, 6)

HazMat, 7) public health, 8) public works, 9) health and

hospitals, and 10) emergency communications.
The Office for Domestic Preparedness (ODP)

implements programs designed to enhance the

preparedness of local, state, and federal governments and agencies to effectively prevent, respond

to, and recover from major terrorist incidents.

ODP’s programs are designed to equip, train, and

exercise homeland security professionals who may

be called upon to prevent or respond to a terrorist

attack using chemical, biological, radiological,

nuclear, or explosives (CBRNE) weapons.These

programs, which are described in this chapter,

consist of a state formula grant program, direct

assistance to local jurisdictions, and national and

regional scope activities.

State Homeland Security

Grant Program

ODP provides formula grant funds under the

State Homeland Security Grant Program to the

50 States, the District of Columbia, and the

United States Territories (hereafter referenced as

the states).The funds are awarded to a State

Administrative Agency (SAA), designated by the

Governor, and are sub-awarded to state agencies

and local governments for implementation.The

funds may be used for planning, purchasing

equipment, supporting terrorism exercises, and

training.The formula grant funds, as well as

direct support from ODP for training, technical

assistance and exercises, are allocated within

each state in accordance with the State

Homeland Security Strategy and State Assistance

Plan described below.

State Homeland 

Security Strategy

In order to implement a program that addresses

state and local needs, states were required to

conduct vulnerability, risk, and needs assessments and to develop a State Homeland Security

Strategy.The assessments were conducted at the

state and local levels using an Assessment and

Strategy Development Toolkit developed by

ODP in cooperation with the Federal Bureau of

Investigation (FBI) and the Centers for Disease

Control and Prevention (CDC).The strategy

defines the state’s domestic preparedness goals;

3

CHAPTER I

HOMELAND SECURITY PROGRAM

Past experience has shown that preparedness efforts are key to

providing an effective response to major terrorist incidents and

natural disasters. Therefore, we need a comprehensive national

system to bring together and command all necessary response

assets quickly and effectively. We must equip, train, and exercise

many different response units to mobilize for any emergency

without warning. 

—National Strategy for Homeland Security, July 2002
equipment, training, exercise, and technical assistance needs; and its implementation strategy.The

states will update the local assessments and the

State Strategy by the end of 2003.The enhanced

assessment tool includes an agricultural vulnerability assessment process developed in conjunction with the Department of Agriculture.

Many states have adopted a regional approach

for the distribution and sharing of resources.

Some states purchased equipment at the state

level for distribution to local jurisdictions rather

than awarding grant funds for equipment to be

purchased locally. Many mutual aid agreements

and emergency management assistance compacts have been executed and coordination and

cooperation has been enhanced among homeland security professionals at different levels of

government (local, state, and federal) and across

disciplines.Analysis of the strategies has provided ODP with a comprehensive picture of

equipment, training, exercise, and technical assistance needs across the Nation.

State Assistance Plans

Following the review of the Statewide Strategies,

ODP developed a tailored State Assistance Plan

(SAP) for each state to address needs identified

in the state’s strategy. It defines the resources

available to the state under the formula grant

program, an allocation of training slots or course

offerings available from ODP’s training program,

an allocation of direct exercise support, and

technical assistance.The types of resources available to the states are described below:

Equipment

The list of authorized equipment that can be purchased with grant funds was expanded in FY 2003

to include the following types of equipment:

♦ Personal protective equipment (PPE) 

♦ Explosive device mitigation and remediation equipment

♦ CBRNE search and rescue equipment

♦ Interoperable communications equipment 

♦ Detection equipment

♦ Decontamination equipment

♦ Physical security enhancement equipment

♦ Terrorism incident prevention equipment

♦ CBRNE logistical support equipment

♦ CBRNE incident response vehicles

♦ Medical supplies and limited types of

pharmaceuticals

♦ CBRNE reference materials 

Training 

ODP offers more than 30 specialized courses

that range from basic awareness and operations

training to advanced, hands-on technical and

command courses. Courses are delivered both

on site by mobile training teams and at state-ofthe-art training facilities.All ODP-sponsored training delivered under the State Strategy and SAP is

scheduled through the SAA’s Training Point of

Contact.The following is a sampling of the specialized training offered to state and local homeland security professionals to address the needs

identified in the state strategies:

♦ Hands-on training in the management and

remediation of WMD incidents using live

chemical agents at ODP’s Center for

Domestic Preparedness in Anniston,

Alabama, one of the nation’s premier facilities for training first responders

♦ Live explosives training at the New Mexico

Institute of Mining and Technology

♦ Radiological and nuclear agents training

using live radiation sources at the U.S.

Department of Energy’s Nevada Test Site

♦ Advanced emergency medical training on

treating victims exposed to certain biological and chemical agents using computer-operated human patient simulators,

that mimic the signs and symptoms of

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

4
exposure, at the National Emergency

Response and Rescue Training Center,

Texas A&M University 

♦ Operations-level training for fire, HAZMAT,

law enforcement, and emergency medical

services offered through the International

Association of Firefighters

♦ Detection, prevention, and response training on bioterrorism at the National Center

for Bio-Medical Research and Training at

Louisiana State University 

For information on the full range of ODP-sponsored training or to obtain a copy of the ODP

Weapons of Mass Destruction Training Programs

Course Catalog, contact ODP’s Helpline at 

(800) 368-6498, or visit ODP’s website at

www.ojp.usdoj.gov/odp.

In addition to accessing specialized and

advanced training from ODP-sponsored training

centers and providers, beginning in FY 2003,

states receive a training allocation as part of their

grant award.The funds may be used to establish

CBRNE terrorism training capabilities within

existing training academies, universities, or junior

colleges.The goal is to enhance the capabilities

of state and local homeland security professionals through the development of state homeland

security training programs that institutionalize

awareness-level training within the state.

Technical Assistance

States may request technical assistance to

address issues identified during the strategy

development and implementation process that

are not addressed through the resources listed

above.Technical assistance may include information resources, such as models, templates, and

samples; onsite problem solving through facilitated workshops; and site-specific training.

Exercises 

ODP provides funds for exercises to the states as

part of their formula grant award.These funds

may be used for the following purposes:

♦ Expenses related to convening a statewide

exercise planning workshop

♦ Hiring of full- or part-time staff or contractors/consultants to support exercise

activities

♦ Overtime for first response/exercise management personnel involved in the planning and conducting of exercises

♦ Travel associated with planning and conducting exercises

♦ Supplies consumed during the course of

planning and conducting exercises

♦ Costs related to implementation of the

HSEEP to include the reporting of scheduled exercises, and the tracking and

reporting of After Action Reports and

Corrective Action Plans from exercises

♦ Other costs related to the planning and

conducting of exercise activities

In addition to grant funds, ODP offers states

direct exercise support that is tailored to their

needs.This direct support may include assistance

with establishing their terrorism exercise program and/or assisting with the design and conduct of specific exercises. States are encouraged

to develop a State Homeland Security Exercise

and Evaluation Plan that defines exercise goals,

establishes a cycle of exercises, and sets priorities for conduct of exercises within the state.All

exercises implemented under the State Strategy

are coordinated through the SAA’s Exercise Point

of Contact. Updated information on the SAA’s

Exercise Points of Contact and the ODP Exercise

Managers is available by calling the ODP

Helpline at 800-368-6498.

Local Domestic

Preparedness Program

The Nunn-Lugar-Domenici Domestic

Preparedness Program (NLD-DPP) provides train5

CHAPTER I: HOMELAND SECURITY PROGRAM
ing, exercises, and equipment support to

enhance the capacity of local homeland security

professionals and agencies to respond to terrorist

incidents involving weapons of mass destruction.

In 1997, the Department of Defense (DoD) initiated the NLD-DPP by identifying 120 of the

nation’s most populous cities for participation in

the program. On October 1, 2000, the President

transferred program responsibility to the

Department of Justice (DOJ), Office of Justice

Programs (OJP), Office for Domestic

Preparedness (ODP). Prior to the program’s

transfer, DoD completed delivery of all program

elements to 68 of the 120 cities and initiated,

but did not complete, activities in 37 of those

cities. ODP is delivering the remaining activities

to those 37 cities, as well as providing a complete program of assistance to each of the 15

remaining cities not initiated by DoD.

ODP combined its extensive experience working with state and local entities with lessons

learned from the DoD-administered NLD-DPP to

develop an updated and robust program targeting the unique needs of each city. Under ODP

administration, the NLD-DPP combines specialized training assets with jurisdiction-specific

assessments, allowing each city to tailor the program to meet its own individual training, exercise, and equipment needs.All NLD activities are

expected to be completed in early 2004, at

which time all ODP support activities will be

provided through each state’s SAA.

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

6

State Needs Assessment/

Statewide Strategy

State Assistance Plan

Technical

Assistance

Exercise

Support

HSEEP

Training Equipment

State Domestic Preparedness Program
Training 

Training available to NLD-ODP participating

cities includes a range of specialized courses,

from basic awareness to discipline-specific

advanced-level training.Training is directed at a

broad spectrum of homeland security professionals from a variety of response disciplines.

Most courses are brought directly to participating cities by the National Domestic Preparedness

Consortium (NDPC) and other ODP training

partners.Additional advanced level courses

involving the use of real-time experiences, live

agents, and explosives are taught at cutting-edge

training facilities such as the Center for

Domestic Preparedness, Nevada Test Site, and the

New Mexico Institute of Mining and Technology.

Exercises 

Under the NLD-DPP, ODP also supports the planning and conduct of three exercises for each 

participating community: a chemical weapons

tabletop, a biological weapons tabletop, and a

chemical weapons full-scale exercise.The facilitated, multi-media tabletop exercises give local

government decision-makers and homeland security professionals an opportunity to discuss interagency strategies for response to a chemical or

biological terrorist event in their jurisdiction.The

full-scale exercise provides an opportunity for

local response agencies to test their plans and

procedures in a real-time drill covering the first

hours of response to a simulated chemical

weapons incident. Both types of exercises allow

participants to test their knowledge and training

and increase the overall preparedness of homeland security professionals across the jurisdiction.

The exercise design features threat-based scenarios identified through the city’s threat assessment.

Equipment

Each participating city is eligible for a one-time

grant of $280,000 for the acquisition of training

equipment related to WMD domestic preparedness and response.The funds may be used to

purchase personal protective and detection

equipment. For NLD-DPP cities initiating activities under the ODP program (cities 106-120), an

additional $30,000 was provided to assist with

program administration, support the collection

of assessment data, and assist in the coordination

and execution of program activities.

National Program

ODP also develops and manages several nationallevel programs that focus on the Federal

Government’s response and coordination of federal, state, and local resources to prevent and

respond to terrorist attacks. Most of these programs involve the design and conduct of exercises that are much broader in scope than those

described above and simulate a coordinated

response by participants from a range of disciplines and multiple levels of government, including international participants.

Top Officials (TOPOFF) 

National Exercise Series

TOPOFF is a Congressionally mandated, national,

biennial exercise series designed to assess the

Nation’s integrated crisis and consequence management capability against terrorist use of WMD.

It examines national relationships among state,

local, and federal jurisdictions in response to a

challenging series of integrated, geographically

dispersed terrorist WMD threats and acts.

Participation in TOPOFF is by application and

subsequent invitation.The exercise design, planning, conduct, and evaluation are managed by

ODP.The exercise series is typically co-directed

by ODP and other Federal agencies or departments.TOPOFF 2000 was co-directed by ODP

and the Federal Emergency Management Agency.

TOPOFF 2, scheduled for completion in May

2003, is co-directed by ODP and the Department

of State.

7

CHAPTER I: HOMELAND SECURITY PROGRAM
National Security Special

Events Exercises

The Federal Government designates certain

events as requiring special security because of

their high visibility and potential attractiveness

to threat elements. ODP provides exercise

design, planning, conduct, and evaluation support to the preparations for designated events,

such as the 2002 Winter Olympics in Salt Lake

City.These exercises provide a forum to practice

the coordination and response to specific challenges that could arise if a terrorist incident

occurred during the event.

Federal, State, and 

Local Exercises 

ODP’s Federal, State, and Local (FSL) Exercises

focus on regional coordination and bridge the

gap between national TOPOFF exercises and

state and local homeland security exercises.They

accomplish this by examining response to

CBRNE incidents that result in regional impacts.

Regional-level federal officials, states, local jurisdictions, and industry are selected to participate

based on a review of the various state needs

assessments. Crosscutting issues of regional concern such as mutual aid agreements, emergency

management assistance compacts, agriculture,

food safety, and critical infrastructure are identified during these exercises to form the basis for

multi-state exercises.

Prepositioned 

Equipment Program

The Prepositioned Equipment Program is

designed to pre-position specialized CBRNE

response equipment in strategic locations

around the country.The equipment is in transportable form so that it can be made available to

jurisdictions that need it.An interagency working group was established to study and make

recommendations on the equipment cache configuration, the placement of the equipment

pods, the training needed to sustain and maintain the equipment, and procedures for the

deployment of the equipment.

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

8
Definition

The Homeland Security Exercise and Evaluation

Program (HSEEP) is a program of financial and

direct support designed to assist state and local

governments with the development and implementation of a state exercise and evaluation program to assess and enhance domestic preparedness.Well designed and executed exercises are

the most effective means of:

♦ Testing policies, plans, procedures

♦ Clarifying and training personnel in roles

and responsibilities

♦ Improving interagency coordination and

communications

♦ Identifying gaps in resources

♦ Improving individual performance

♦ Identifying opportunities for improvement

This document, Homeland Security Exercise

and Evaluation Program—Volume I: Overview

and Doctrine, provides the state and local

homeland security community with:

♦ ODP’s exercise and evaluation doctrine

♦ A uniform approach for exercise design,

development, conduct, and evaluation

♦ An exercise design and implementation

process

Subsequent volumes of the HSEEP manuals will

provide additional guidance on the design, development, conduct and evaluation of exercises.

9

CHAPTER 2

HOMELAND SECURITY EXERCISE AND

EVALUATION PROGRAM

The growing threat of terrorist attacks on American soil, including the potential use of weapons of mass destruction, is placing

great strains on our Nation’s system for training its emergency

response personnel. The Department of Homeland Security

will...launch a consolidated and expanded training and evaluation system to meet the increasing demand. This system would be

predicated on a four-phased approach: requirements, plans,

training (and exercises), and assessments (comprising of evaluations and corrective action plans).

—National Strategy for Homeland Security, July 2002
Homeland Security

Exercise and Evaluation

Program: Doctrine

ODP is committed to the implementation of a

threat- and performance-based exercise program

that includes a cycle, mix, and range of exercise

activities of varying degrees of complexity and

interaction. Exercises will assess performance of

homeland security tasks under specified conditions and against objectively verifiable performance standards based on an analytical review and

will be followed by the strategic and operational

application of results. ODP will develop a set of

scenarios and exercise performance measures to

assist states and local jurisdictions with implementation of an exercise program that meets

this challenge. ODP requires that the following

principles be used to guide the design and

implementation of state and local terrorism exercise programs implemented with grant funds or

ODP direct support:

♦ Each state has a comprehensive State

Homeland Security Exercise and

Evaluation Plan to implement the exercise

and evaluation component of its State

Homeland Security Strategy and State

Assistance Plan.

♦ The State Homeland Security Exercise and

Evaluation Plan employs a cycle of exercise activity that includes exercises of

increasing levels of complexity.

♦ Exercises are designed to test performance as well as the adequacy of Homeland

Security plans, policies, and procedures.

♦ The scenarios used in exercises are threatbased.

♦ Exercise scenarios are realistic and accurate, based on best available information.

♦ Exercises generally involve players from

multiple disciplines to test interagency

relationships and agreements.

♦ Where possible, exercises are intergovernmental, including local, state, and federal

players.

♦ All tabletop, drill, functional, and full-scale

exercises are evaluated.

♦ An After Action Report (AAR) is prepared

following every tabletop, drill, functional,

and full-scale exercise.

♦ A Corrective Action Plan is developed and

implemented to address findings and recommendations identified in the AAR.

♦ The state reviews and updates its State

Homeland Security Strategy, State Assistance

Plan, and State Homeland Security Exercise

and Evaluation Plan to address deficiencies

identified through exercises.

♦ Lessons learned and best practices identified through exercises are shared with the

homeland security community.

♦ Accurate financial records related to exercise costs are maintained.

State Homeland Security

Exercise and Evaluation Plan

States and local jurisdictions receiving assistance

under HSEEP should develop a comprehensive

Homeland Security Exercise and Evaluation Plan

to address the terrorism exercise requirements

of the state and local jurisdictions consistent

with their State Homeland Security Strategy and

State Assistance Plan.The state HSEEP Plan

should define exercise goals, establish a cycle of

exercises, and set priorities for conduct of exercises within the state taking into account the terrorist threat and level of preparedness of the

jurisdiction(s). States, in partnership with ODP,

are required to conduct an annual Exercise

Planning Workshop to bring together key state

and local officials to establish priorities and

expectations for exercise activities, to define

how the exercise will be conducted and evaluHOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

10
ated, and to discuss how corrective actions will

be addressed and tracked.

Cycle of Exercise Activity

The State Homeland Security Exercise and

Evaluation Plan should define a cycle of exercise

activity that has a range of activities with

increasing degrees of complexity. Linkage to the

State Strategy, relative risks, experience, and preparedness levels of the state and targeted jurisdictions will enable state planners, in partnership with ODP as required, to identify the

appropriate exercise entry level and provide a

foundation for subsequent participation in more

complex events.The schedule for training of personnel and acquisition of equipment should also

be considered in determining the exercise priorities.An effective exercise program uses a combination of types of exercises to effectively accomplish exercise-specific objectives and program

goals.Although each exercise type can be executed as a single activity, greater benefit can be

achieved through a building-block approach that

exposes program participants to a graduated

process of increasing levels of complexity.

The National Strategy for Homeland Security

requires annual exercises.The strategy includes

the following language:“The Department [of

Homeland Security] would [will] establish a

national exercise program designed to educate

and evaluate civilian response personnel at all

levels of government. It would require individuals

and government bodies to complete successfully

at least one exercise every year.The Department

would [will] use these exercises to measure performance and allocate future resources.”The state

exercise planning workshop provides a forum for

state and local officials to discuss a timetable for

implementation of this requirement, in conjunction with ODP exercise managers.

Test Performance and WMD

Plans, Policies, and Procedures

Exercises conducted under the HSEEP with

funds from ODP should be performance-based,

requiring demonstration, practical application,

and evaluation of proficiency for discrete, essential tasks that enable a homeland security mission or function to be successfully accomplished.Workshops and tabletop exercises

provide a forum to review the adequacy of

plans, policies, functional, and interagency/interjurisdictional agreements, whereas operational

field exercises, such as drills, functional, and fullscale exercises, are designed to test performance

of people and equipment in achieving critical

tasks and homeland security missions.

Threat-Based Scenarios

Attacks by international and domestic terrorists

demonstrate that no location is immune from

attack.All exercises conducted with grant funds

must focus on terrorism threats.The exercise

scenario should be appropriate to national

threat conditions, and the assessed terrorist

threat for the jurisdiction(s) involved in the exercise.This will enhance the training value of the

exercise and provide an opportunity to assess

the jurisdiction’s vulnerability in light of the

likely prevention or response actions.The exercise planners should review the jurisdiction’s

threat assessment conducted as part of the State

Strategy development process and develop an

exercise scenario that is credible in terms of the

means of attack, the target, and the likely opposing force.To assist state and local agencies, in

2003 ODP will begin to establish a common

suite of scenarios that will provide the necessary

conditions and stimulus to perform essential

tasks, cover a range of threat probabilities, are

comprehensive and exacting, are validated by

intelligence and law enforcement, and are periodically reviewed and updated.

11

CHAPTER 2: HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM
Realistic Scenarios

The scenario used in HSEEP exercises should be

realistic and accurate. It should mimic the tactics

of potential terrorists and accurately reflect the

effects of the CBRNE threat.An unrealistic scenario may train players to respond inappropriately

to real attacks, as well as create credibility problems for the exercise staff. Subject matter experts

should be brought into the planning process to

assist with realistic scenario development.

Multi-Disciplinary Exercises

Just as the prevention of and/or response to a terrorist attack will require the resources and expertise from various agencies throughout the local

government structure and the community, the

exercise should be designed to assess the prevention and/or response capacity of multiple public

and private organizations and the effectiveness of

interagency communication and cooperation.

Intergovernmental Exercises

Since a terrorist attack will elicit a response

from state and federal agencies, the exercise

should include players from these agencies or, at

a minimum, simulated participation by them.

Jurisdictions that would rely heavily on mutual

aid assistance for response should also include

players from agencies with whom they have

agreements and compacts.

Evaluation

Exercises are evaluated practice activities and

provide a process for continuous improvement.

Evaluation is the cornerstone of exercises; it documents strengths and opportunities for improvement in a jurisdiction’s preparedness, and is the

first step in the improvement process.To meet

the intent of Congress and the President’s

National Strategy for Homeland Security that

investments in state and local preparedness

result in demonstrable improvements in the

nation’s ability to prevent and respond to terrorism incidents, ODP has established a comprehensive exercise evaluation program, described in

Volume II of the HSEEP.

For seminars and workshops, the evaluation

process is simple and generally takes the form of

gathering participant feedback.An After Action

Report is generally not produced. In a tabletop

exercise, the act of conducting the exercise is

much of the evaluation. Information is collected

during the exercise on participants’ discussion of

the adequacy of existing plans, policies, procedures, and interagency coordination in achieving

an effective response, and formatted in a

Summary Report.

The evaluation methodology for operational

field-type exercises (drills, functional, and full

scale) analyzes performance at three levels:

♦ Individual-level performance—the

response of individual players in an exercise.

♦ Team/discipline/department-level

performance—the performance of a 

system or group of individuals, often as

defined within the Incident Command

structure (e.g., HAZMAT team, emergency

operations center, etc.)

♦ Community/mission-level performance—the response of the community 

as a whole (e.g., across disciplines, jurisdictions, mutual aid) in achieving the

expected mission outcomes.

After Action Reports

The After Action Report (AAR) is a crucial part

of the feedback system that drives improvements to prevention and/or response systems

and national preparedness.The AAR documents

performance and captures the findings—

strengths and areas for improvement—identified

by exercise participants and/or exercise

observers and evaluators. It provides a description of what happened, issues that need to be

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

12
addressed, and recommendations for corrective

actions.An AAR should be prepared for each

tabletop, game, drill, functional, and full-scale

exercise conducted under the HSEEP and a

Summary Report should be produced for workshops and seminars.The AARs and Summary

Reports should be forwarded to ODP within 60

days of exercise completion.

Corrective Action Plan

The exercises and the resultant AARs are the

means to identify strengths and weaknesses and

findings requiring corrective action to enhance

preparedness.The single most critical step in the

exercise process is the implementation of corrective actions, which may include: changes to

plans, policies, or procedures; training; new or

improved equipment; and enhanced interagency,

interdisciplinary, and/or intergovernmental cooperation and coordination.A Corrective Action

Plan (CAP) should be developed to identify the

actions that will be taken, the timelines, and the

lead agency/individual responsible to address

the recommendations presented in the AAR.A

formal process should be developed to track the

implementation of the actions identified in the

CAP. Corrective actions from completed exercises should generally be implemented prior to

scheduling additional exercises and should be

tested in subsequent exercises.Volume II of the

HSEEP manuals provides guidance on the implementation of the CAP.

Integration into Homeland

Security Planning 

Each state should review the exercise evaluation

feedback and CAPs to assess progress on

enhancing preparedness and incorporate the

information into its planning process.This

13

CHAPTER 2: HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM

Performance Evaluation Model for Exercises

Goal: Prepare federal, state, and local agencies to respond to a terrorist attack

Stage 1

Planning

Stage 2

Activity

Stage 3

Evaluation

Stage 4

Implementation Impacts

Risk

• Threat

• Vulnerability

Program Activity

National, Regional, 

State, and Local 

Exercises

• Seminars

• Workshops

• Drills

• Games

• Tabletop

• Functional

• Full-Scale

Performance Evaluation

Assess Communities’ 

Prevention and 

Response Capability 

Aligned Capabilities 

With Threat

Improved Jurisdiction 

Prevention and 

Response Capabilities

Improved Exercise 

Development and 

Delivery

Sharing Lessons 

Learned and Best 

Practices

Improved National 

WMD Preparedness

Process Evaluation

Measure Quality of ODP 

Exercise Delivery/Support

Lessons Learned 

Database

Record and Share 

Learning

Lessons Learned 

Conferences

Standardize Processes

Grants and Policy

Program Adjustments

After Action Report

Corrective Action Plan

Program Evaluation

Measure Success of ODP 

Program to Increase WMD 

Prevention and Response 

Preparedness Nationwide

Statewide 

Domestic 

Preparedness 

Strategy

State 

Assistance 

Plans

Prevention and 

Response 

Preparedness

• Plans, Policies

• Procedures

• Equipment

• Training

Exercise — Evaluate — Improve
process may identify the need for additional

equipment, training, exercises, coordination,

plans, and procedures that can be addressed

through the State Homeland Security Strategy,

State Assistance Plan, and/or State Homeland

Security Exercise and Evaluation Plan.

Lessons Learned and 

Best Practices

Exercises and the resultant AARs provide lessons

for the exercise participants, but also provide a

valuable source of information that can be analyzed at the national level to identify lessons

learned and best practices that can be shared to

enhance preparedness across the country.

Exercise AARs should identify lessons and highlight exemplary practices, and should be submitted to ODP for inclusion in the national database.

Financial Records

Accurate financial records of the costs associated with each exercise must be kept to facilitate the budgeting for future exercises.

Resources to 

Implement HSEEP

ODP provides a range of assistance under the

HSEEP to assist state and local governments with

implementation of effective exercises.The types

of assistance are described below.

Grant Funds 

Beginning in FY 2002, states receive an annual

allocation of grant funds under the State

Homeland Security Grant Program to enhance

the prevention and response capabilities of

states and local jurisdictions through terrorism

exercises.The grant funds, which must be used

in accordance with the State Strategy and the

State Assistance Plan, are described in more

detail in Chapter I.

Direct Exercise Support

ODP has engaged multiple contractors with significant experience designing, conducting, and

evaluating exercises to provide support to the

states and local jurisdictions in accordance with

the Statewide Strategies, State Assistance Plan,

and State HSEEP. Contract support is available to

assist states in developing a State Homeland

Security Exercise and Evaluation Plan and to

build or enhance the capacity of the states and

local jurisdictions to design, develop, conduct,

and evaluate effective terrorism prevention and

response exercises.At the direction of the ODP

Exercise Manager, the contractors will support

exercise program implementation by: 1) assisting

in exercise program establishment and administration, 2) designing, conducting, and evaluating

a specified number of exercises, and/or 3) providing guidance and assistance to help the state

with the implementation of needed exercises.

Homeland Security Exercise and

Evaluation Program Manuals

A series of HSEEP manuals are being developed

by ODP to guide the development of state terrorism exercise and evaluation programs and to

assist state and local exercise planners with the

design, development, conduct and evaluation of

terrorism exercises.The HSEEP series is being

issued based on current policy guidance and will

be updated and enhanced as additional policy

guidance is developed.

Exercise Toolkit

ODP is developing an Exercise Toolkit that will

provide state and local exercise planners with an

interactive computer-based tool to assist with

the design, development, and execution of viable

and effective exercises.The Toolkit will assist in

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

14
standardizing the methods used to plan and conduct exercises and evaluate results.The Toolkit

will be delivered via a series of CD-ROMs and

will include:

♦ The HSEEP manuals

♦ Sample scenarios

♦ ODP’s Exercise Development Course

♦ An exercise builder program

♦ Reference library with sample exercise

documentation and a virtual library of

selected video and audio clips

Lessons Learned 

Database and Conferences

A Lessons Learned and Best Practices Network is

being created to collect and disseminate lessons

learned and best practices identified through terrorism exercises and incidents.The Network is

administered by ODP’s Memorial Institute for the

Prevention of Terrorism (MIPT) in Oklahoma City.

ODP has oversight over this effort and supports it

as a means of sharing valuable information with

and among state and local practitioners.

ODP also plans to sponsor periodic Lessons

Learned and Best Practices Conferences to provide a forum to discuss field observations, identify common issues and innovative approaches,

and analyze trends.The lessons learned will be

used to improve program delivery and overall

national preparedness.

Roles and Responsibilities

The following section defines the roles and responsibilities and the relationships between ODP and

the State Administrative Agencies and local governments in the implementation of the HSEEP.

Office for Domestic

Preparedness 

The Office for Domestic Preparedness (ODP) is

responsible for assisting state and local governments to enhance their capacity to prevent

and respond to terrorist attacks.The following

is a summary of ODP’s major roles and responsibilities and how it has organized to better

serve its constituents.

Roles and Responsibilities

♦ Provide grant funds to the states for equipment acquisition and exercises.

• Provide guidance and a toolkit to help

state and local governments conduct

threat, vulnerability, and needs assessments and for the development and

implementation of their Statewide

Domestic Preparedness Strategies.

• Work with the Interagency Board for

Equipment Standardization and

Interoperability to develop a standardized list of equipment that can be purchased with grant funds.

♦ Develop and deliver a comprehensive program of homeland security training.

• Establish the National Domestic

Preparedness Consortium to develop

and deliver coordinated training.

• Develop and publish Emergency

Responder Guidelines to provide a

baseline understanding of the tasks

responders need to perform to effectively and safely respond to a terrorist

attack.

♦ Provide direct support for the development of state and local exercises.

♦ Implement a national exercise program.

♦ Develop and maintain a compendium of

homeland security lessons learned.

15

CHAPTER 2: HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM
♦ Develop standard measurements of performance to assist state and local jurisdictions in assessing performance.

♦ Maintain exercise and training schedules

through a Central Scheduling and

Information Desk.

ODP Organizational Structure

ODP is organized into three divisions, each

responsible for the development and delivery of

a different component of the assistance available

to state and local governments.The three divisions work closely to coordinate activities.

State and Local Program 

Management Division

A Program Manager from this division has been

assigned to each state and Nunn-Lugar-Domenici

city to serve as the primary contact for ODP

assistance.The Program Manager’s role is to:

♦ Conduct a formal strategy review and,

with input from the other divisions, prepare a State Assistance Plan (SAP) that

defines resources available to the state for

strategy implementation.

♦ Review grant applications and prepare

award documents.

♦ Administer the grant program.

♦ Assist the states with strategy implementation that includes working with other federal agencies to coordinate assistance

(e.g., Homeland Defense Equipment Reuse

Program [HDER] which provides surplus

Department of Energy radiological detection equipment and support to state and

local homeland security agencies).

Training and Technical 

Assistance Division

The role of the Training and Technical Assistance

Division is to:

♦ Develop new training courses and conduct

a periodic review and enhancement of

existing courses, with review and input by

subject matter experts and practitioners.

♦ Incorporate lessons learned and best practices from analysis of exercise findings

into existing training and/or develop new

courses to address gaps in training.

♦ Review the State Strategies and, based on

the identified needs, allocate training

resources to the states, through the SAPs.

♦ Respond to requests for technical assistance to assist state and local agencies with

the conduct of assessments and strategy

development, equipment use training and

maintenance, and other site-specific needs.

Exercise and Evaluation Division

The Exercise and Evaluation Division has

three branches: the State and Local

Program Branch, a National Programs

Branch, and a Program Evaluation Branch.

The State and Local Program Branch has

assigned an Exercise Manager to work

with each state and each Nunn-LugarDomenici (NLD) city.The role of the

Exercise Manager is to:

♦ Coordinate exercise activities for the NLD

cities.

♦ Review the State Strategies and grant

applications for exercise funds, and based

on the identified needs, allocate exercise

resources to the state through the SAP.

♦ Work in partnership with the SAA to conduct an exercise planning workshop

designed to bring together a group of high

level officials, representing multiple disciplines from the state, regional, and local

levels to: establish expectations for exercise activities, discuss how the state will

implement the HSEEP doctrine, establish

priorities for exercises, and define how

corrective actions flowing from exercises

will be addressed and tracked.

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

16
♦ Assist the states with the development

and implementation of the State’s

Homeland Security Exercise and

Evaluation Plan.

♦ Assist state and local governments with the

design and conduct of terrorism exercises.

♦ Aid SAAs and local jurisdictions in obtaining exercise participation of other federal

departments and agencies.

♦ Coordinate and direct the delivery of

direct exercise contractor support.The

country has been divided into three

regions with one contractor assigned to

provide support in each of the regions.

See Appendix A for a list of the states

assigned to each region. Under the direction of ODP’s Exercise Manager, contractor teams will assist states and jurisdictions with the following tasks:

• Develop homeland security exercise

programs.

• Develop specific exercise objectives.

• Prepare detailed exercise planning and

execution timelines.

• Coordinate and conduct exercise-planning meetings.

• Develop the full range of exercise documentation for each type of exercise.

• Prepare an exercise control and evaluation methodology, and assist in actual

exercise control and evaluation.

• Prepare post-exercise reports and conduct critiques.

♦ Assist, support, and monitor implementation of the HSEEP by the states.

♦ Design and conduct national, special

event, and regional exercises and share

lessons learned and best practices with

federal, state and local agencies.

State Administrative Agencies

The HSEEP incorporates input developed at the

state level, primarily through the development of

the Statewide Domestic Preparedness Strategies

and the State Assistance Plans. Exercises implemented with grant or direct support from ODP

must conform to the requirements outlined in

the HSEEP and the National Homeland Security

Strategy.The State Administrative Agencies:

♦ Conduct risk, vulnerabilities, and needs

assessments of each selected jurisdiction

using the ODP Assessment and Strategy

Development Tool Kit.

♦ Prepare a State Homeland Security Strategy.

♦ Appoint state exercise and training points

of contact to work with ODP.

♦ Sponsor an HSEEP Exercise Planning

Workshop, as described above.

♦ Identify and prioritize jurisdictions within

the state for participation in the program

and receipt of resources.

♦ Administer equipment and exercise grants.

♦ Establish a plan to evaluate the effectiveness of its State Strategy in improving its

ability to prevent or respond to a terrorism incident.

♦ Coordinate the development and acceptance of the SAP.

♦ Develop and implement a State Homeland

Security Exercise and Evaluation Plan.

♦ Support the design, conduct, and evaluation of state and local exercises in accordance with the principles and guidance

defined in the HSEEP manuals.

♦ Ensure that After Action Reports (AARs)

and Corrective Action Plans (CAPs) are

prepared and submitted to ODP.

♦ Establish a mechanism for tracking implementation of the CAPs.

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CHAPTER 2: HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM
♦ Incorporate lessons learned and prevention and response needs identified

through exercises into the strategy

process.

Local Governments

The responsibilities of local jurisdictions identified to receive exercise support, based on the

level of support provided, are to:

♦ Coordinate terrorism preparedness activities with the state SAA.

♦ Ensure that they have developed and

updated their Homeland Security plans

and procedures.

♦ Identify goals and objectives within their

community, in conjunction with the risk,

vulnerability, and needs assessments.

♦ Ensure that homeland security professionals in their jurisdiction are adequately

trained and equipped.

♦ Design and conduct exercises that conform to the HSEEP.

♦ Provide the ODP exercise manager and

exercise support contractors access to

information and personnel to aid in exercise design, development, conduct, and

evaluation.

♦ Prepare a Corrective Action Plan that

addresses recommendations in the exercise After Action Report to enhance preparedness.

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

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This chapter describes the types of exercises

routinely used by ODP and the products associated with each.The type of exercise that best

meets the jurisdictions’requirements is identified through analysis of the stated exercise purpose, proposed objectives, experience, operations, historical precedence, and recommended

levels of participation.

A specified planning process has been defined

for each type of exercise, from concept development through conduct and evaluation.The third

volume in the HSEEP series is the HSEEP

Exercise Development Manual.The Manual will

describe the key meetings and exercise documents generated during the exercise planning

cycle, as well as generic charts that can be used

as a quick reference for exercise planning lead

times required to effectively design, develop,

execute, evaluate, and compile final reports for

the various exercise types.An exercise toolkit is

also being developed to provide “how to” guidance to jurisdictions designing and conducting

their own exercises.

Seminars

Seminars are generally employed to orient participants to, or provide an overview of, authorities, strategies, plans, policies, procedures, protocols, response resources, or concepts and ideas.

Seminars provide a good starting point for jurisdictions that are developing or making major

changes to their plans and procedures.They

offer the following attributes:

♦ Low-stress environment employing a number of instruction techniques, such as lecture, multimedia presentations, panel discussions, case study discussions, expert

testimony, and decision support tools

♦ Informal discussions led by a seminar

leader

♦ Not constrained by real time portrayal of

events

♦ Effective with both small and large groups

Workshops

Workshops usually focus on development of a

product by the attendees. Organization of attendees into functional groupings aided by facilitators, and the use of breakout sessions, are common. Final results are often presented and

approved in a plenum session. In conjunction

with exercise development, workshops are most

useful in achieving specific aspects of exercise

design, such as:

♦ Determining program or exercise objectives

♦ Developing exercise scenario and key

events listings

♦ Determining evaluation elements and standards of performance

Tabletop Exercises 

Tabletop Exercises (TTXs) involve senior staff,

elected or appointed officials, or other key personnel in an informal setting to discuss simulated situations.This type of exercise is intended

to stimulate discussion of various issues regarding a hypothetical situation. It can be used to

assess plans, policies, and procedures, or to

19

CHAPTER 3

TYPES OF EXERCISES
assess types of systems needed to guide the prevention, response to, and recovery from, the

defined event.TTXs typically are aimed at facilitating the understanding of concepts, identification of strengths and shortfalls, and/or achieving

a change in attitude. Participants are encouraged

to discuss issues in depth, and develop decisions

through slow-paced problem solving rather than

rapid, spontaneous decision-making that occurs

under actual or simulated emergency conditions.

In contrast to the scale and cost of exercises and

games,TTXs can be a cost-effective tool when

used in conjunction with more complex exercises.The TTX’s effectiveness is derived from the

energetic involvement of participants and their

assessment of recommended revisions to current

policies, procedures, and plans.

Methods for the TTX divide into two categories—basic and advanced. In a basic tabletop,

the scene set by the scenario materials remains

constant.The scene describes an event or emergency incident and brings discussion participants up to the simulated present time. Players

apply their knowledge and skills to a list of problems presented by the leader/moderator.

Problems are discussed as a group and resolution is generally agreed on and summarized by

the leader. In an advanced TTX, play revolves

around delivery of prescripted messages to players that alter the original scenario.The exercise

controller (moderator) usually introduces problems one at a time in the form of a written message, simulated telephone call, videotape, or

other means. Participants discuss the issues

raised by the problem, using appropriate plans

and procedures.Attributes of a TTX may include:

♦ Practicing group problem solving

♦ Familiarizing senior officials

♦ Conducting a specific case study

♦ Examining personnel contingencies

♦ Testing group message interpretation

♦ Participating in information sharing

♦ Assessing interagency coordination

♦ Achieving limited or specific objectives

Games

A game is a simulation of operations that often

involves two or more teams, usually in a competitive environment, using rules, data, and procedures designed to depict an actual or assumed

real life situation. It does not involve the activities of actual resources, and the sequence of

events affects, and is in turn affected by, the decisions made by the players.

Players are commonly presented with scenarios

and asked to perform a task associated with the

scenario episode. Each episode is moved to the

next level of detail or complexity, taking into

account the players’ earlier decisions.The decisions made by game participants determine the

flow of the game.The goal is to explore decisionmaking processes and the consequences of

decisions. In a game, the same situation can be

examined from a series of perspectives by

changing variables and parameters that guide

player actions. Large-scale games are multijurisdictional and can include active participation

from local to national levels of government.

Games stress the importance of the planners’

and players’ understanding and comprehension

of interrelated processes.

With the evolving complexity and sophistication

of current simulations, there are increased opportunities to provide enhanced realism for game

participants.The use of computer-generated scenarios and simulations can provide a more realistic and time-sensitive method of introducing situations for analysis. Planner decisions can be input

and models run to show the effect of decisions

made during a game. Distributed games (available

through the Internet) offer many additional benefits, such as saving participants’ time and travel

expenses, more frequent training opportunities,

and less time away from primary functions.They

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

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also provide a collaborative environment that

reflects realistic occurrences. Games are excellent vehicles for the following:

♦ Gaining policy or process consensus

♦ Conducting “what-if” analyses of existing

plans

♦ Developing new plans

ODP conducts ongoing analysis of commercial

and government sector models, games and simulations to identify those of value for exercise

use.While models, games and simulations are not

a substitute for full-scale exercises, they are an

increasingly more sophisticated and useful component of exercise programs. ODP plans to issue

a list of government and commercially developed models, games, and simulations that have

been evaluated against the training and exercise

requirements as defined by ODP to enhance

homeland security preparedness.Those on the

approved list will be added to the list of equipment that can be purchased with grant funds

starting in FY 2004.

Drills

A drill is a coordinated, supervised activity usually employed to test a single specific operation

or function in a single agency. Drills are commonly used to provide training with new equipment, to develop or test new policies or procedures, or to practice and maintain current skills.

Typical attributes include:

♦ A narrow focus, measured against established standards

♦ Instant feedback

♦ Realistic environment

♦ Performance in isolation

Functional Exercises 

The Functional Exercise (FE) is designed to test

and evaluate individual capabilities, multiple functions or activities within a function, or interdependent groups of functions. For the purposes of

HSEEP, ODP includes command post exercises in

this category. Functional exercises are generally

focused on exercising the plans, policies, procedures, and staffs of the direction and control nodes

of Incident Command and Unified Command.

Generally, events are projected through an exercise scenario with event updates that drive activity

at the management level.The movement of personnel and equipment is simulated.

The objective of the FE is to execute specific

plans and procedures and apply established policies, plans, and procedures under crisis conditions, within or by a particular function team(s).

The FE simulates the reality of operations in a

functional area by presenting complex and realistic problems requiring rapid and effective

responses by trained personnel in a highly stressful environment.Attributes of an FE include:

♦ Evaluating functions

♦ Evaluating Emergency Operations Centers

(EOC), headquarters, and staff

♦ Reinforcing established policies and procedures

♦ Measuring the adequacy of resources

♦ Examining interjurisdictional relationships

Full-Scale Exercises 

In a Full-Scale Exercise (FSE), prevention and

response elements are required to mobilize and

deploy to a designated site or locale in response

to a simulated attack, generally for an extended

period. It involves testing a major portion of

Operations Plans and organizations under field

conditions Actual mobilization and movement of

personnel and resources are required to demon21

CHAPTER 3: TYPES OF EXERCISES
strate coordination and response capability.

EOCs and field command posts are activated.

The FSE is the largest, costliest, and most complex exercise type and may involve participation

at the state, local, regional, and federal levels.

Although pre-scripted events may be used, the

exercise is primarily driven by player actions

and decisions.An oral evaluation or critique is

conducted at the end of the exercise, and an

After Action Report is written.Attributes of an

FSE may include:

♦ Assessing organizational and individual

performance

♦ Demonstrating interagency cooperation

♦ Allocating resources and personnel

♦ Assessing equipment capabilities

♦ Activating personnel and equipment

♦ Assessing interjurisdictional cooperation

♦ Exercising public information systems

♦ Testing communication systems and procedures

♦ Analyzing memoranda of understanding

(MOUs), standard operating procedures

(SOPs), plans, policies, and procedures

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

22
This chapter provides a brief overview of the

exercise planning process and includes a

description of common exercise planning

events, exercise documents, planning committee

members, and exercise planning timelines.

A generic exercise cycle is depicted in the chart

below, but—as reflected in the individual timelines—some planning events may not be

included in every exercise cycle. For example, a

Master Scenario Events List (MSEL) is customarily not used in a tabletop exercise, so there is no

need for a MSEL conference. Detailed guidance

on exercise design, development, execution, and

evaluation will be available through subsequent

volumes of the HSEEP and a Tool Kit being

developed by ODP.

Exercise Planning Team

The Exercise Planning Team (EPT), sometimes

referred to as the Exercise Design Team, assists

the Exercise Director in the design and development of the exercise including determining exercise objectives, tailoring the scenario, and developing the sequence of events and associated

messages and actions.This team is responsible

for creating and distributing all exercise materials, conducting pre-exercise training and assur23

CHAPTER 4

EXERCISE PLANNING PROCESS

Exercise Cycle

EVALUATE

EXERCISE

CONDUCT DEVELOP

Corrective 

Action Plan

Develop 

Concept

Conduct Participant 

Orientation

Develop Control and 

Evaluation Tools

MSEL 

Implementers

MSEL Planning Final Planning 

Conference

COSIN and 

EVALPLAN (Final)

Concept and 

Objectives Paper

Draft 

EXPLAN

EXPLAN 

(Final)

Exercise 

Purpose and 

Objectives

Initial 

Planning Conference 

(IPC)

Scenario Review, 

ID Key Events 

Exercise Details Midterm 

Planning 

Conference

After

Action

Report

Data Collection

and Analysis

Coordinate 

Objectives, Identify 

Broad Scenario, 

Scope Level of 

Participation
ing the logistic and administrative necessities to

conduct the exercise are complete.The team

should include a representative from each of the

participating jurisdictions in a multijurisdictional

exercise and from key departments in a singlejurisdictional exercise.An Exercise Director oversees the Team’s efforts, ensures all exercise

preparation activity is accomplished, and

resolves any conflicts of interest or inconsistencies.A Senior Planner is usually assigned responsibility for ensuring all exercise planning and

development is related to the purpose, scope,

and objectives of the exercise. During the exercise, the Senior Planner customarily serves as the

Senior Controller.A Chief or Senior Evaluator is

responsible for developing, publishing, and distributing the Evaluation Plan and overseeing

exercise evaluation to provide feedback on the

effectiveness of the exercise.

Planning Team Composition

There are a significant number of requirements

necessary to ensure an exercise is successfully

designed, coordinated, and executed.The work

associated with putting together an exercise of

any type is usually more than one person can

do.This is especially true of the exercises envisioned as part of the HSEEP.To ensure exercises

have the appropriate level of review and validation during the planning process, the table on

page 25 suggests the types of agencies and representatives that should be part of the exercise

planning team, or at least be part of the review

and validation process conducted during the

planning phase.

Exercise Planning Events

and Documentation

Concept Development Meeting

A concept development meeting (or conference) is held to outline the approach and guidance required for planning a major exercise.This

meeting formally begins the exercise planning

process and identifies the initial type, scope,

goals, and purpose of conducting the exercise.

Specifically, the exercise staff and selected supporting exercise planners agree on the exercise

scope, determine an exercise location, define the

overall objectives, determine the major participants, and select a date for the Initial Planning

Conference (IPC). Exercise concept development is usually based on the exercise sponsor’s

stated purpose and prior experience, operations,

and historical precedence. Exercise objectives

are used to establish the scope, specify the functions to be demonstrated, identify the extent of

organization/personnel participation, and identify the breadth and depth of activities to be

accomplished or simulated. Participants in the

meeting submit views on the proposed exercise

concept, scenario, objectives, recommended levels of participation, draft exercise responsibilities, potential planning milestones, and, if applicable, recommend changes to the host agency’s

scenario to ensure submitting agency interests

are adequately reflected and objectives can be

met.The exercise concept guides the preparation of exercise documents developed in subsequent exercise planning meetings.

Exercise Objectives

Exercise objectives are the foundation of design

and development. Exercise objectives define specific goals, provide a framework for the development of the scenario, guide development of individual organizational objectives, and provide

evaluation criteria for the exercise. Generally, the

number of exercise objectives will be limited by

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

24
planners to enable timely execution of the exercise, facilitate design of a reasonable scenario,

and to adequately support the successful completion of exercise goals. Objectives are initially

prepared during concept development.

More complex exercises typically have both

major and supporting objectives.A major 

objective contributes to development of general

events to present to participants for action.The

supporting objectives are used by exercise devel25

CHAPTER 4: EXERCISE PLANNING PROCESS

Recommended Planning Team Members

Chemical Biological Radiological/ Explosive

Exercise Planning Committee Members Exercise Exercise Nuclear Exercise Exercise 

Agency for Toxic Substances and Disease Registry •• •

Bomb Squad/Special Weapons and Tactics • ••

Centers for Disease Control and Prevention • •

Coroner/Medical Examiner •• • •

Department of Defense •• •

Department of Health and Human Services •• •

Department of Transportation •• • •

Emergency Management •• • •

Emergency Medical Services •• • •

Environmental Quality •• •

Federal Bureau of Investigation •• • •

Federal, State, and Local Department of Energy •

Federal, State, and Local Environmental Protection Agency •• • •

Fire Service •• • • Hazardous Materials •• • • Highway Department •• • • Hospital Emergency Room Representatives •• • • Hospital Medical Laboratory •• • • Hospital Representatives •• • • Infectious Disease Representative • Jurisdictional Government •• • • Jurisdictional Law Enforcement •• • • Local Communicable Disease • Local Military Active/Guard/Reserves •• • Mass Transportation Representatives •• • • Medical Society/Private Practitioners • Pathology Representative • Poison Control • •

Private Industry (Communications, Power, and Industry) •• • •

Public Health Department •• •

Public Information •• • •

Public Works •• • •

Radiological Disease Physicians •

State Agricultural Department • •

State National Guard •• • •

State Veterinary Department •• •

State/Local Health Department •• • •

U.S. Coast Guard •• • •

Victim Services •• • •

Volunteer Organizations •• • •
opers to tailor the exercise so that it assesses the

knowledge and skills of participants.

The performance addressed by the objectives

should have observable and measurable indicators to aid in identifying evaluation criteria.The

Federal Emergency Management Agency (FEMA)

SMART System, shown above, provides a good

checklist for ensuring the completeness and

accuracy of objectives.

Initial Planning Conference 

The Initial Planning Conference (IPC) is the first

meeting that brings the Exercise Director and the

collective members of the Exercise Planning

Team together.The foundation of the IPC is the

proposed concept and overarching objectives for

the exercise, and the goal is to reach consensus

on the exercise concept, objectives, scope, and

broad scenario so that exercise design and development can proceed.This consensus will provide

the basis for the Exercise Planning Team to:

♦ Refine draft exercise objectives and the

scenario

♦ Identify exercise assumptions

♦ Confirm exercise dates

♦ Coordinate levels of participation in the

exercise

♦ Disseminate current and specific planning

guidance to exercise planners

♦ Inform planners to provide their portions

of the draft EXPLAN

♦ Prepare a Concept and Objectives (C&O)

Paper

♦ Prepare a draft EXPLAN

Concept and Objectives Paper

A Concept and Objectives paper (C&O) is prepared for dissemination to the exercise planning

community and senior representatives of participating departments, agencies, jurisdictions and

organizations.The C&O provides a synopsis of

the IPC results and agreements, and addresses

the following:

♦ Exercise dates

♦ Purpose and type

♦ Overall concept

♦ Major exercise objectives

♦ Exercise duration

♦ Assumptions and artificialities

♦ Expected participation list

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

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SMART System

Simple A good objective is simply and clearly phrased. It is brief and easy to understand. 

Measurable The objective sets the level of performance, so that results are observable and you

can tell when an objective has been reached.

Achievable The objective should not be too tough to achieve. It should be reasonable in its

commitment of resources. 

Realistic Even though an objective might be achievable, it might not be realistic for the exercise. 

Task Oriented The objective focuses on a behavior or a procedure. With respect to exercise

design, each objective should focus on an individual emergency function. 

Source: FEMA Exercise Design Course Student Manual 
Exercise Plan (EXPLAN)

The EXPLAN is the official planning document

for the continued development of an exercise. It

identifies the scope and concept of play for all

participants; provides key exercise assumptions,

artificialities, and simulations; documents scenario narratives leading to the start of the exercise; provides exercise objectives and associated

observation elements; explains procedural

aspects of play; describes roles of controllers,

simulators, evaluators, and observers from the

player’s view; and establishes administrative and

support requirements and procedures applicable

to player activity during the exercise.

Situation Manual 

(SITMAN)/Player Handbook

The Player Handbook or SITMAN provides exercise players the basic information they need to

participate in an exercise. In a large-scale exercise, it may be used to supplement the EXPLAN,

while in smaller-scale exercises it may replace

the EXPLAN.The Player Handbook identifies the

scope and concept of play and key exercise

assumptions, artificialities, and simulations. It also

establishes the preliminary scenario narrative

consisting of intelligence, weather, and other

background information leading to the start of

the exercise. It may also provide message preparation instructions and sample and actual forms

to be completed by players for use in exercise

evaluation.The SITMAN includes:

♦ Exercise overview

♦ Scenario narrative

♦ Assumptions, artificialities, and simulations

♦ Player procedures

♦ Information systems

♦ Safety

♦ Security

♦ Administrative and logistics support

♦ Glossary

Midterm Planning Conference 

The Midterm Planning Conference (MPC) is

scheduled as an in-progress review of the independent and interrelated planning actions

required by the participating departments, agencies, jurisdictions, and organizations.The primary

focus of the MPC is to review the draft EXPLAN,

identify key events, and determine the overall

status of exercise planning in specific functional

areas, as well as the status of coordination to

ensure required administrative and logistical support is adequate.The MPC is a vehicle to obtain

commitments to play from the various agencies

and jurisdictions and to develop an Extent of

Play Agreement.The MPC allows course corrections, if necessary, to ensure the exercise concept and objectives will be attained.A final

EXPLAN is often published after the MPC.

Extent of Play Agreement

An Extent of Play Agreement is primarily used in

legislatively mandated exercises where statute,

law, or directive mandates the frequency, conduct, and evaluation of the exercise. In these

cases, the exercise objectives and evaluation

methodology are keyed to specific events and

standards. Simulation or modifications of routine

performance may be necessary to perform an

evaluation of an organization.An Extent of Play

Agreement is a written agreement between the

evaluating team and those being evaluated

approving deviations (e.g., evaluations will occur

through an interview rather than a demonstration of an activity; the evaluated activity will take

place but not in sequence to when and/or

where it would actually occur in the scenario).

Master Scenario Events 

List Conference

The Master Scenario Events List (MSEL) is a list

or table that chronologically displays designated

scenario times. It also lists and synopsizes key

events, the expected response to these events,

and the objective being demonstrated. Players in

27

CHAPTER 4: EXERCISE PLANNING PROCESS
an exercise either respond to conditions portrayed in the scenario, to the actions of other

players and participating agencies, or to stimuli

provided through the MSEL.The stimuli serve as

the vehicle to provide information to prompt a

player response (the action of performing a

task), which in turn is evaluated to determine

proficiency and successful accomplishment of

an exercise objective.These stimuli are commonly referred to as “messages,”“scripts,”

“injects,” or “implementers” and may be verbal,

written, or in the form of a visual display.The

MSEL ensures events occur so performance can

be evaluated and controllers are able to manage

exercise flow.

MSEL conferences are conducted for exercises

with significant simulated and scripted play.

Generally, two MSEL conferences are scheduled,

and they can be held in conjunction with the

MPC and Final Planning Conference (FPC) or as

separate events.The first conference focuses on

development of the MSEL and ensures exercise

planners from participating departments, agencies, jurisdictions, and organizations have identified activities that must occur during the exercise.

Exercise planners also define “injects” to stimulate

players to perform tasks that address exercise

objectives and coordinate event times, deconflicting as necessary.The result of the first conference

is a chronological listing of exercise events and

publication of the key event list.The second conference focuses on review of the MSEL, and is

conducted to ensure the MSEL implementers

developed by exercise planners do the following,

(after which the final MSEL is published):

♦ Reflect the intent of the event as

described in the MSEL items

♦ Accomplish intended results

♦ Include the correct action and information addresses

♦ Provide a sequence of times consistent

with the flow of other exercise events

Master Scenario Events List

The Master Scenario Events List (MSEL) is a

comprehensive chronological schedule of the

scripted events that are injected into exercise

play by exercise controllers to generate activity

in specific functional areas in support of exercise objectives.A given scenario event can 

portray an activity, action, or requirement.

Collectively, the events should cause sufficient

activity in areas exercised to support attainment

of exercise objectives and their evaluation. Its

long version contains the supporting materials

(implementers) to enable the controllers to

influence player activities.

Final Planning Conference 

The Final Planning Conference (FPC) is the last

opportunity for the Exercise Director and full

planning team to discuss exercise issues. It provides a forum to approve and finalize the development of the exercise and discuss requirements for exercise control and evaluation,

staffing, scheduling, logistics, and administration.

The final Control Staff Instructions (COSIN) and

Evaluation Plan (EVALPLAN) are published after

the FPC.

Control Staff Instructions

The Control Staff Instructions (COSIN) contains

the guidance that Controllers, Simulators, and

Evaluators need concerning procedures and

responsibilities for exercise control, simulation,

and support.The purpose of the COSIN is to:

detail the scenario for the duration of the exercise; develop guidelines for control and simulation support of the exercise; explain the exercise

concept as it relates to Controllers and

Simulators; establish the management structure

for these activities; and establish and define the

control structure’s communications, logistics,

and administration. Its level of detail will vary

and can include the following:

♦ Exercise overview

♦ Exercise control organization

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

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♦ Exercise control scheme

♦ Controller roles and responsibilities

♦ Control communications plan

♦ VIP/observer management plan

♦ Listing of key exercise events

♦ “Short” MSEL

♦ Narrative portion of the Procedural Flow

Synopsis (PROFLOW)

♦ Exercise Safety Plan

Evaluation Plan

The Evaluation Plan (EVALPLAN) provides the

evaluation staff with guidance and instructions

on the evaluation or observation methodology

to be used, and essential materials required in

executing their specific functions.The

EVALPLAN is a limited distribution document

that evaluators use in conjunction with the

EXPLAN and MSEL. Its level of detail will vary

and can include the following:

♦ Exercise overview

♦ Evaluation control organization

♦ Evaluation methodology and observation

techniques

♦ Evaluator roles and responsibilities

♦ Evaluation communications plan

Controller and Evaluator Handbook

The Controller and Evaluator (C/E) Handbook is

generally used on smaller or limited scope exercises of short duration in lieu of a COSIN and

EVALPLAN. It supplements the detailed information about the exercise scenario and the duties

and responsibilities of the exercise controllers

and evaluators in the EXPLAN. Its specifics may

include the following:

♦ Roles and responsibilities of functional or

individual controllers

♦ Evaluation guides and tools

♦ Schedule for training, site setup, exercise

conduct, and critiques

♦ Exercise safety plan

♦ Controller communications plan

After Exercise Events 

and Documentation 

Hot Wash/After-Action Review

A “hotwash” or after action review is an immediate debriefing session between players and

members of the control organization to discuss

preliminary observations on exercise performance.The Hot Wash/After-Action Review Briefing

is used to compile the initial player and controller impressions and observations of the exercise, and provides the key issues and findings

used to begin the data analysis required to prepare the After Action Report (AAR).

After Action Analysis and Report

The After Action Report (AAR) is the key postexercise document developed in partnership with

exercise evaluators, sponsoring agencies, and key

participants of federal, state, and local agencies. It

provides a historical record of findings and forms

the basis for refinements to plans, policies, procedures, training, equipment, and overall preparedness of an entity.To prepare the report, the exercise evaluation team will analyze information

gathered during the exercise, from the “Hotwash,”

and from other sources (e.g., plans and procedures), to compare the actual results of the

response with the intended outcome. Evaluators

also attempt to determine what influenced, controlled, impacted, or limited response actions,

decisions, and their consequences.The level of

detail of an AAR will reflect the type and size of

the exercise.AARs describe the exercise scenario,

player activities, preliminary observations, major

issues, and recommendations for improvements.

29

CHAPTER 4: EXERCISE PLANNING PROCESS
Corrective Action Plan

The Corrective Action Plan (CAP) is a plan, prepared by jurisdiction(s) that participated in the

exercise, to address the findings and recommendations identified in the exercise and documented in the AAR. It should provide a description of the action(s) that will be taken, the

timeline for implementation, and the person or

agency with lead responsibility.The CAP should

be a dynamic improvement program that is continually updated and revised.The documentation

of needs through the AAR and CAP will inform

the strategic planning process and the targeting

of resources by the state and ODP.

Exercise Products

Typical products for each exercise type and

technique are listed above. Some products such

as meeting minutes, presentations, agendas, and

public information releases have been omitted

because they are produced while developing the

primary products.

Exercise Planning

Timelines

The following tables are examples of the activity

flow and timelines for the planning and conduct

of a typical tabletop and full-scale exercise.

Timelines for workshops and seminars will generally be shorter than for a tabletop exercise,

whereas the timelines for games and complex or

multijurisdictional full-scale exercises could be

longer than those outlined for full-scale exercises.

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

30

Typical Exercise Products

Exercise Tabletop Functional Full-Scale

Deliverable Seminar Workshop Exercise Games Drills Exercise Exercise 

Scenario Technical Description • • •

Seminar Leaders Guide • • 

Player Handbook • • •

Results Summary • 

Recorder Forms • 

Exercise Plan • • 

Control Staff Instructions • • 

Master Scenario Events List • •

Communications Directory • • •

C/E Briefing • •

Evaluation Plan • •

C/E Packets • •

Role Player/Actor/Victim Brief • •

FSE Liability Waiver • • •

Player Briefing ••••

Procedural Flow • • • • 

Synchronization Matrix • • •

C/E Safety Identifying Garments • •

Exercise Participants Badges • • • • • • • 

Hot Wash/After-Action Review Briefing • • • •

Summary Report • • •

After Action Report • • • • •

Corrective Action Plan • • • • •
31

CHAPTER 4: EXERCISE PLANNING PROCESS

Tabletop Exercise Timeline

Time

Tabletop Exercise (TTX) Activity Pre- and Post-Exercise Day 

Establish Date of TTX 

Develop TTX Concept, Select Date of IPC E-120 days 

Prepare/Mail IPC Read-Ahead Packet E-110 days 

Prepare IPC Briefing E-93 days 

Conduct IPC E-90 days

Prepare/Approve IPC Minutes E-83 days 

Prepare/Print Draft SITMAN E-52 days 

Review Materials for FPC E-50 days 

Conduct FPC E-45 days 

Prepare/Approve FPC Minutes E-38 days 

Finalize SITMAN E-15 days 

Finalize Multimedia Presentation E-7 days 

Set-Up Facility/Review Presentation E-1 day 

Conduct TTX E-day 

Collect and Analyze Data (e.g., Participant Input, Evaluation Observations, etc.) E+21 days 

Draft AAR Forwarded for Participant Review E+28 days

Participant AAR Review Comments Received E+49 days

AAR Finalized E+60 days

Final AAR Distributed E+75 days

Corrective Action Plan Developed E+105 days

Corrective Action Plan Implemented As needed
HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

32

Functional Exercise Timeline

Time

Functional Exercise (FE) Activity Pre- and Post-Exercise Day 

Establish Proposed Date of Functional Exercise 

Concept Development and Select Date of IPC E-210 days

Prepare/Mail IPC Read-Ahead Packet E-200 days

Prepare IPC Briefing E-183 days

Conduct IPC E-180 days

Distribute IPC Minutes or C&O Paper E-166 days

Draft EXPLAN Distributed for Review E-130 days

Review of Plan and Material for MPC E-125 days

Conduct MPC E-120 days

Prepare MPC Minutes E-113 days

Final EXPLAN Prepared/Disseminated E-75 days

Review Draft MSEL, Control and Evaluation Plan, Exercise Timeline and 

Support Requirement Status E-70 days

Final Preparations for FPC E-65 days

Conduct FPC E-60 days

Distribute FPC Minutes E-53 days

Finalize Review of MSEL, MSEL Implementers E-30 days

Final Review of C/E Handbook E-30 days

Disseminate C/E Handbook E-25 days

Finalize Pre-Exercise Briefings E-7 days

Conduct Pre-Exercise On-Site Activities E-1 days

Conduct Functional Exercise E-day 

Collect and analyze data (e.g., Participant Input, Evaluation Observations, etc.) E+21 days

Draft AAR Forwarded for Participant Review E+35 days

Draft AAR Forwarded to Community E+42 days

Participant AAR Comments Received E+65 days

AAR Finalized E+90 days

Final AAR Distributed E+106 days

Corrective Action Plan Developed E+136 days

Corrective Action Plan Implemented As needed
33

CHAPTER 4: EXERCISE PLANNING PROCESS

Full-Scale Exercise Timeline

Time

Full-Scale Exercise (FSE) Activity Pre- and Post- Exercise Day 

Concept Development and Select Proposed Date of FSE 

Coordinate Date of IPC E-365 days

Prepare/Mail IPC Read-Ahead Packet E-350 days

Prepare IPC Briefing E-340 days

Conduct IPC E-330 days

Distribute C&O Paper E-320 days

Distribute Draft EXPLAN to Participants E-240 days

Review of Plan and Material for MPC E-200 days

Conduct MPC E-180 days

Prepare/Approve MPC Minutes E-160 days

Review Draft MSEL, Control and Evaluation Plan, Exercise Timeline and 

Support Requirement Status E-120 days

Final EXPLAN Disseminated E-90 days

Final Preparations for FPC E-65 days

Conduct FPC E-60 days

Prepare/Approve FPC Minutes E-53 days

Finalize MSEL, MSEL Implementers E-45 days

Final Review of Controller/Evaluator Handbook to Publications E-30 days

Controller/Evaluator Handbook to Publications E-25 days

Finalize Pre-Exercise Briefings E-7 days

Conduct Pre-Exercise On-Site Activities E-1 days

Conduct FSE E-day 

Collect and Analyze Data (e.g., Participant Input, Evaluation Observations, etc.) E+30 days

Draft AAR Forwarded for Participant Review E+52 days

Participant AAR Comments Received E+90 days

Final AAR Distributed E+120 days

Corrective Action Plan Developed E+150 days

Corrective Action Plan Implemented As needed
APPENDIX A

REGIONS FOR DELIVERY OF EXERCISE SUPPORT

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM VOLUME I: OVERVIEW AND DOCTRINE

34

Eastern Region Central Region Western Region

Connecticut Alabama Alaska

District of Columbia Arkansas American Samoa

Delaware Illinois Arizona

Florida Indiana California

Georgia Iowa Colorado

Maine Kansas Guam

Maryland Kentucky Hawaii

Massachusetts Louisiana Idaho

New Hampshire Michigan Montana

New Jersey Minnesota Nevada

New York Mississippi New Mexico

North Carolina Missouri Northern Mariana Islands

Pennsylvania Nebraska Oregon

Puerto Rico North Dakota Utah

Rhode Island Ohio Washington

South Carolina Oklahoma Wyoming

U.S. Virgin Islands South Dakota

Vermont Tennessee

Virginia Texas

West Virginia Wisconsin
U.S. Department of Homeland Security

Office for Domestic Preparedness

810 Seventh Street, NW

Washington, DC 20531

Tom Ridge

Secretary

______________________________________________

Office for Domestic Preparedness

World Wide Web Homepage:

www.ojp.usdoj.gov/odp

______________________________________________

ODP HelpLine

1-800-368-6498

______________________________________________

NCJ199536

Cover photographs include images from the Federal Emergency Management Agency Photo Library (www.fema.gov)

and the National Sheriffs’ Association
NCJ199536