Homeland Security Exercise 

and Evaluation Program 

Volume III: Exercise Program Management 

and Exercise Planning Process 

JULY 2004 

U.S. Department of Homeland Security 

Office for Domestic Preparedness 
______________________________________________ 

______________________________________________ 

______________________________________________ 

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 

NCJ 205686 

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

and the National Sheriffs’ Association.
Homeland Security Exercise 

and Evaluation Program 

Volume III: Exercise Program Management 

and Exercise Planning Process 

JULY 2004 

U.S. Department of Homeland Security 

Office for Domestic Preparedness 
TABLE OF CONTENTS


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

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Purpose and Scope. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Doctrine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

HSEEP Volume IV and Secure Web-Based Portal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

For Official Use Only/Sensitive Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Chapter 1: Exercise Program Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

State Homeland Security Exercise and Evaluation Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Grants Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Dedicated Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Exercise Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Improvement Tracking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Exercise Program Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Exercise Plan Workshop . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9


Federal Exercise Program Synchronization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Exercise Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Exercise Data Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Data for Exercise Plan Workshop . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Data for Postexercise Report (Inclusion in After Action Report). . . . . . . . . . . . . . . . . . . . . 12

Chapter 2: Exercise Planning Process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Exercise Planning Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Exercise Planning Team Position Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Planning Conferences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Concept and Objectives Meeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Initial Planning Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17


Mid-Term Planning Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Master Scenario Events List Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Final Planning Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Chapter 3: Discussion-Based Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Exercise Planning Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21


Planning Conferences. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Project Management Timeline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Design and Development. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Exercise Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Scenario . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

iii 
Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Situation Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Multimedia Presentation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24


Exercise Evaluation Guides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Media/Public Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Written Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Media Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Logistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Facility/Room . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Food/Refreshments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26


Audio/Visual Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Supplies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Badges/Name Tents/Table Tents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Registration and Table/Breakout Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Conduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Logistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Presentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

Facilitated Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

Moderated Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27


Debrief/Hot Wash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Specific Exercise Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Seminars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Workshops . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Tabletop Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Games . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

Models and Simulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32


Evaluation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

After Action Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

Lessons Learned Information Sharing System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

Improvement Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Improvement Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

After Action Conference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34


Tracking Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Chapter 4: Operations-Based Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Exercise Planning Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35


Planning Conferences. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Project Management Timeline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Design and Development. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

Exercise Design Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

Scenario . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Exercise Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Controller and Evaluator Handbook. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Evaluation Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

iv 
Control Staff Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38


Master Scenario Events List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38


Procedural Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

Exercise Evaluation Guides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Controller and Evaluator Packets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Exercise Site Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Response Route . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Response Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Parking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Registration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Assembly Area. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Observer/Media Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41


Simulation Cell . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

Actors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

Waiver Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

Actor Instructions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

Symptomology Cards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42


Moulage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Water/Food . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Transportation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Self-Referrals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Hospital/Victim Breakdown . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Media/Public Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

Public Information/Press Release. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

Public Announcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

Media Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

Site Logistics. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

Badging/Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

Restrooms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

Canteen/Water/Food . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44


Communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

Videotaping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

Props/Devices. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

Site Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

Weapons Check/Policy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45


Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

Conduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

Exercise Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

Briefings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

Exercise Enhancement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

Props. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

Personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

Special Effects. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

v 
Exercise Play Rules. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

Drills. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

Functional Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Full-Scale Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

Evaluation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

After Action Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

Lessons Learned Information Sharing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

Improvement Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

Improvement Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

After Action Conference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52


Tracking Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

Appendix A: Secure Web-Based Portal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A–1


Appendix B: Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B–1


vi 
INTRODUCTION 


“We did not anticipate that airliners would be 

commandeered and turned into guided missiles; but the fact that we practiced for other 

kinds of disasters made us far more prepared to 

handle a catastrophe that nobody envisioned.” 

—Rudolph W. Giuliani 

Former New York City Mayor 

The U.S. Department of Homeland Security, 

Office for Domestic Preparedness (DHS/ODP) 

implemented the Homeland Security Exercise 

and Evaluation Program (HSEEP) to assess and 

enhance terrorism prevention, response, and 

recovery capabilities at the Federal, State, and 

local levels. HSEEP is a threat- and performancebased exercise program that provides doctrine 

and policy for planning, conducting, and evaluating exercises; it employs a cycle, mix, and range 

of exercise activities of varying degrees of complexity and interaction. 

This reference manual reflects the Department’s 

current direction related to exercise programs 

and requirements and is derived from the 

National Strategy for Homeland Security, the 

Homeland Security Act of 2002, Homeland 

Security Presidential Directives, and other 

related documents. The National Strategy for 

Homeland Security directs DHS to develop a 

National Training and Evaluation System and 

establish a National Exercise Program (NEP). 

HSEEP is an essential element of this national 

program. 

The HSEEP series of manuals can be found on 

the DHS/ODP Web site at http://www.ojp.usdoj. 

gov/odp/docs/hseep.htm: 

HSEEP Volume I: Overview and 

Doctrine provides requirements and 

guidance for the establishment and 

maintenance of a homeland security 

exercise program. 

HSEEP Volume II: Exercise 

Evaluation and Improvement offers 

proven methodology for evaluating 

homeland security exercises and implementing an improvement program. 

HSEEP Volume III: Exercise 

Program Management and Exercise 

Planning Process assists planners in 

establishing an exercise program and 

outlines a standardized planning 

process adaptable to any type of 

exercise. 

HSEEP Volume IV: Sample Exercise 

Documents and Formats provides 

sample exercise materials referenced 

in HSEEP Volumes I–III. These materials are available on a secure Webbased portal, discussed in further 

detail below and in appendix A. 

Developing and implementing a comprehensive 

exercise program is a continuously evolving 

process. This manual describes current requirements and the assistance available from DHS/ 

ODP. As homeland security strategies, policies, 

and plans change, revisions to the HSEEP volumes will incorporate necessary updates. 

Background 

ODP is the principal component of DHS responsible for preparing the United States to respond 

to acts of terrorism. DHS/ODP is the primary 

office responsible for providing training, funds 

for the purchase of equipment, support for the 

planning and execution of exercises, technical 

assistance, and other support to help States, U.S. 

territories, and the District of Columbia (hereafter referred to as “States”1

); tribal governments; 

and local jurisdictions prevent, plan for, and 

respond to acts of terrorism. 

Several exercises of national and international 

prominence have demonstrated DHS/ODP’s 

commitment to enhancing national, State, and 

local preparedness. In addition to several 

regional and State efforts, those efforts include exercises to prepare for National Special 

Security Events (NSSEs) such as the Winter 

Olympic Games (Salt Lake City, Utah, 2002) and 

Super Bowl XXXVII (San Diego, California, 

1 
2003). DHS/ODP is also responsible for the 

Top Officials (TOPOFF) National Exercise Series, 

including TOPOFF 2000 with epicenters in 

Denver, Colorado, and Portsmouth, New 

Hampshire; and TOPOFF 2 with epicenters in 

Vancouver, British Columbia, Canada; Seattle, 

Washington; and Chicago, Illinois. 

At the local level, DHS/ODP sponsored the 

Nunn-Lugar-Domenici Domestic Preparedness 

Program (NLD–DPP), which provided two tabletop exercises (TTXs) and one full-scale exercise 

(FSE) to 120 jurisdictions throughout the country. DHS/ODP currently administers HSEEP to 

States, territories, and local jurisdictions. 

Purpose and Scope 

HSEEP is disseminated on behalf of DHS. In an 

attempt to standardize the language and concepts adopted and used by the various agencies 

and organizations involved in the exercise planning process, DHS/ODP encourages States and 

local jurisdictions to make every effort to ensure 

consistent use of the terminology and processes 

described in HSEEP. HSEEP, however, does not 

take the place of existing exercise programs, particularly those that are regulated (e.g., Chemical 

Stockpile Emergency Preparedness Program 

[CSEPP], Radiological Emergency Preparedness 

Program [REPP]). 

Exercises supported by DHS/ODP grant funding2 

must be threat based with terrorism-related scenarios. Although DHS/ODP-sponsored exercises 

focus on terrorism/weapons of mass destruction 

(WMD), the HSEEP series of reference manuals 

can be adapted to a variety of other scenarios 

and events (e.g., natural disasters, technologyrelated events). HSEEP’s intent is to provide consistent terminology, a common process, and a 

program that is practical and flexible enough for 

all exercise planners (regardless of their sponsoring agency or organization). 

In recognition that HSEEP users may possess a 

wide range of experience with exercise design 

and development, this manual provides a 

standardized and straightforward process adaptable to a wide range of exercise types, scenarios, 

and resources. 

This volume, Homeland Security Exercise and 

Evaluation Program, Volume III: Exercise 

Program Management and Exercise Planning 

Process, provides: 

♦ Guidance for establishing an exercise and 

evaluation program 

♦ Guidance for designing, developing, conducting, and evaluating various types of 

exercises 

It is organized as follows: 

Chapter 1: Exercise Program Management 

Chapter 2: Exercise Planning Process 

Chapter 3: Discussion-Based Exercises 

Chapter 4: Operations-Based Exercises 

Appendix A: Secure Web-Based Portal 

Appendix B: Acronyms 

Doctrine 

Entities that conduct exercises using DHS/ODP 

funds are subject to the following HSEEP 

requirements: 

♦ States must conduct an annual Exercise 

Plan Workshop (EPW) to examine the 

progress and effectiveness of their current 

exercise strategy and program. 

♦ A Multiyear Exercise Plan must be produced from the EPW and submitted to 

DHS/ODP. This plan must include guidelines for the establishment of a State 

Homeland Security Exercise and Evaluation Program (SHSEEP) and a multiyear 

exercise schedule (to be updated annually). 

♦ The plan must employ a cycle of activities 

that includes exercises of increasing levels 

of complexity. 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 2 
♦ The scenarios used in these exercises 

must be terrorism related and threat 

based, drawing on the risks and vulnerabilities identified in individual State 

Homeland Security Strategies. 

♦ All drills, functional exercises (FEs),TTXs, 

and FSEs must be performance based and 

subject to evaluation. 

♦ An After Action Report (AAR) must be 

prepared following every drill,TTX, FE, 

and FSE. This AAR must be submitted to 

DHS/ODP. 

♦ An Improvement Plan (IP) must be developed and implemented to address findings and recommendations identified in 

the AAR. The IP must be submitted to 

DHS/ODP. 

♦ Periodic exercise scheduling and improvement implementation data must be 

reported to DHS/ODP. 

The remainder of this manual (in addition to 

HSEEP Volume II) contains further explanation 

of these requirements, as well as guidance and 

recommendations for designing, developing, 

conducting, and evaluating exercises. All jurisdictions that implement an exercise using grant 

funds and/or direct support from DHS/ODP 

should use HSEEP processes to enhance and 

standardize their existing exercise programs. 

HSEEP Volume IV and Secure 

Web-Based Portal 

Sample formats and documents referenced 

throughout this manual are contained in HSEEP 

Volume IV (available through the DHS/ODP 

secure Web-based portal). This portal provides a 

Web-based secure environment in which sensitive documents and materials can be posted and 

continually updated or enhanced. The exercise 

portion of the portal contains a library of sample 

exercise materials (e.g., Situation Manuals 

[SITMANs], presentations, agendas, sign-in 

sheets) as well as PDF text of HSEEP Volumes I, 

II, and III. The portal also includes an Exercise 

Scheduling and Reporting System, which allows 

States and jurisdictions to schedule exercises, 

submit AARs/IPs, and report exercise overview 

data (e.g., number of participants). 

Access to the portal will be granted through the 

State Administrative Agency (SAA) or its designated exercise or training coordinators. If a jurisdiction wishes to gain access to the portal, it 

should contact its SAA, which will send out invitations through electronic mail (e-mail). Once 

invited, a user will need to register at 

http://www.odp.esportals.com. 

Further information on the secure Web-based 

portal and HSEEP Volume IV can be found in 

appendix A. 

For Official Use Only/Sensitive 

Information 

The information contained within this document 

is not considered sensitive in nature. However, 

some materials (e.g., scenario examples), particularly those in HSEEP Volume IV, may necessitate 

certain confidential restrictions. Exercise materials that are produced in accordance with HSEEP 

guidance and are deemed sensitive should be 

designated as “For Official Use Only” (FOUO). 

FOUO is not a classification, but it does make 

clear to participants that the material is sensitive 

and should be handled with care. Examples of 

materials that may require FOUO designations 

include AARs, IPs, Master Scenario Events Lists 

(MSELs), and scenario information. 

INTRODUCTION 3 
CHAPTER 1


Exercise Program Management


This chapter offers guidance on the basic elements of program management needed to effectively interact with the U.S. Department of 

Homeland Security, Office for Domestic Preparedness (DHS/ODP), and other Federal agency 

program sponsors, as well as guidance on establishing and coordinating a State Homeland 

Security Exercise and Evaluation Program 

(SHSEEP) that mirrors the national Homeland 

Security Exercise and Evaluation Program 

(HSEEP) model. 

States and many local jurisdictions have tended 

to develop exercise programs that reflect their 

traditional funding sources or their expected 

real-world hazards such as earthquakes and 

hurricanes. However, in the aftermath of the 

Murrah Federal Building bombing in Oklahoma 

City, Oklahoma, and the sarin incident in the 

Tokyo subway system in 1995, and the events 

of September 11, 2001, there has been an expanded emphasis on all-hazards preparedness, 

particularly for threats and acts of terrorism. 

This expanded emphasis has created a much 

greater need for each State to review its exercise 

program management apparatus and infrastructure. Multiple Federal departments and agencies 

distribute funding through various grant programs and authorities, and each of these programs has specific requirements and spending 

limitations. Without dedicated program management capability, States and local jurisdictions can 

be overwhelmed by varying grantwriting, spending, accounting, and reporting requirements. 

HSEEP encourages coordination of exercise programs to avoid duplication, ensure standardization and consistency, and relieve the burden on 

jurisdictions of managing and implementing multiple exercises. 

State Homeland Security 

Exercise and Evaluation Program 

Each State should review the existing exercise 

program to determine if it is sufficiently well 

organized and if it can be adapted to effectively 

meet the demands of the changing national preparedness environment. Program management 

includes all organizational functions that support 

development and execution of a defined 

Multiyear Exercise Plan, including: 

♦ Program planning 

♦ Budgeting 

♦ Grantwriting 

♦ Allocating funds 

♦ Planning and executing individual


exercises


♦ Reporting exercise outcomes 

♦ Accounting for grant fund and other 

expenditures 

♦ Tracking improvements 

Each State will develop its own approach, but 

all of these essential functions should be represented in program management organization. 

Several functions may be assigned to one person, or a function may have several people 

assigned to a dedicated team: it all depends on 

the complexity of an individual State’s exercise 

program and annual workload. Regardless of 

how each State chooses to organize its own particular program, all of these functions must work 

in synchronization with one another. 

For a State program to be consistent with HSEEP, 

each State should ensure that it addresses the 

following tasks: 

♦ Obtaining annual grants and funding 

♦ Identifying roles and responsibilities (e.g., 

hiring full- or part-time staff or consultants 

5 
for exercise program development and 

management) 

♦ Designing, developing, conducting, and 

evaluating exercises 

♦ Tracking completed resolution of issues 

and recommendations arising from an 

exercise and ensuring that action is taken 

to address issues, responsibilities and due 

dates are assigned, and improvements are 

made 

♦ Developing means of monitoring exercises conducted throughout the State 

and ensuring compliance with HSEEP 

requirements 

♦ Designating an agency or organization to 

serve as a clearinghouse for all exercises 

occurring throughout the State 

♦ Conducting annual activities (e.g., 

Exercise Plan Workshop [EPW]) to review 

the current exercise program, ensure that 

State objectives are being met, and revise 

or update existing Multiyear Exercise 

Plan(s) and schedules 

♦ Developing and maintaining the Multiyear 

Exercise Plan and schedule 

The following sections describe the basic functional roles associated with a typical program 

management organization, particularly as it 

relates to HSEEP. 

Grants Management 

The grant manager should be familiar with 

various funding programs and administer grants 

based on State or jurisdiction priorities and 

strategies.This role includes: 

♦ Receiving training, equipment, and labor 

cost estimates from jurisdictions 

♦ Budgeting for grant proposal writing and 

developing detailed exercise budget 

worksheets 

♦ Receiving budget information from each 

exercise planning team to use in completing grant applications 

♦ Being aware of upcoming grant awards, 

and tracking requirements and changes 

♦ Developing an exercise program concept 

paper that provides an executive overview of the SHSEEP, and, if necessary, 

developing briefings on program 

approach and costs 

♦ Tracking expenditures, including: 

•	 Accounting for all funds by year 

awarded and by category 

•	 Preparing attendant reports and action 

items required by DHS/ODP 

•	 Maintaining accurate financial records 

and systems that have the capability to 

generate reports and accounting data 

•	 Ensuring all expenditures meet requirements related to approved procedures, 

plans, and/or policies 

•	 Making sure all financial reports are 

prepared according to established 

guidelines and submitted to the appropriate point of contact (POC) 

Dedicated Staff 

Within a program’s organization, there should be 

staff members dedicated to exercise management, coordination, and planning. These staff 

members may be full-time, part-time, or consultants. Further detail on their roles and responsibilities is described in the Exercise Program 

Organization section of this chapter. See HSEEP 

Volume IV for a sample exercise officer/ 

exercise manager job description. 

Exercise Planning 

The planning function involves designing, developing, conducting, and evaluating exercises. It 

includes the following elements: 

♦ Reviewing and incorporating homeland 

security strategies 

TIP: DHS/ODP grant funds can be used to hire 

and pay exercise officers or coordinators. 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 6 
♦ Identifying goals and objectives 

♦ Obtaining appropriate stakeholder 

(e.g., Federal, State, and local governments; private sector) input 

♦ Designing realistic, threat-based scenarios 

based on strategy and threat/vulnerability 

analysis 

♦ Ensuring exercises are performance based 

and subject to evaluation 

♦ Developing supporting documentation 

and presentations 

♦ Conducting and executing exercises 

♦ Meeting exercise and evaluation requirements and doctrine 

Monitoring 

States and jurisdictions should establish their 

own means of monitoring compliance to ensure 

exercise program requirements are met. 

Monitoring functions may include: 

♦ Submitting receipts 

♦ Applying for grants 

♦ Reviewing exercise materials and


documentation


♦ Submitting documentation (e.g., After 

Action Reports [AARs]/Improvement 

Plans [IPs]) 

♦ Scheduling planning conferences and 

actual exercises 

♦ Attending/observing planning conferences 

and actual exercises 

♦ Ensuring exercises are designed, developed, conducted, and evaluated in accordance with HSEEP and SHSEEP 

Improvement Tracking 

Planning does not end after an exercise has been 

conducted and evaluated. It is important to ensure that the issues and recommendations that 

arise during an exercise are addressed. Improvement tracking ensures that actions requiring 

changes in equipment, training, procedures, 

plans, and/or policies are implemented, and that 

required tests or other verification of operability 

(e.g., for new communication equipment) has 

been performed. This function also ensures that 

responsibilities and due dates are assigned for all 

items included in the IP that results from the AAR. 

Exercise Program Organization 

Roles and Responsibilities 

State and local governments have direct responsibility for training and exercising their own 

homeland security professionals. DHS/ODP and 

its Federal counterparts administer national-level 

programs that support training and exercise 

activities involving all levels of government and 

private-sector and international partners. 

Responsibilities for these tasks are complementary and require that all relevant parties collaborate for successful exercise administration. 

Federal 

DHS/ODP has two categories of exercise programs: State and local exercises and national 

exercises. A DHS/ODP Exercise Manager has 

been assigned to work with each State and its 

local jurisdictions. This Exercise Manager is the 

DHS official responsible for coordinating with 

States and local jurisdictions and ensuring accordance with HSEEP. He/she provides direct interface with the State Administrative Agency (SAA) 

or designated POC, local jurisdictions receiving 

targeted assistance, and participating Federal 

departments and agencies. The role of the 

Exercise Manager is to: 

♦ Review State Homeland Security Strategies 

and grant applications for exercise funds 

and, based on identified needs, allocate 

exercise resources 

♦ Provide targeted assistance for program 

establishment and maintenance and exercise planning, design, development, conduct, and evaluation 

♦ Work in partnership with the SAA or 

designated POC to conduct an EPW 

(described in more detail on page 8) 

CHAPTER 1: EXERCISE PROGRAM MANAGEMENT 7 
♦ Assist States with SHSEEP development exercise planning, and interface with Federal 

and implementation, including creation of and local exercise partners. Responsibilities 

a Multiyear Exercise Plan and schedule include: 

♦ Help State and local governments design, ♦ Function as primary liaison with Federal, 

develop, conduct, and evaluate exercises State, and local agencies 

♦ Assist with developing schedules and/or ♦ Serve as a conduit between the State and 

working out conflicts in assigned dates the Exercise Manager 

♦ Maintain an exercise schedule through the


DHS/ODP Centralized Scheduling and


Information Desk (CSID) or Secure Portal


♦ Prepare an assessment of the State 

Homeland Security Strategy 

♦ Conduct an annual EPW (as described 

♦ Coordinate assistance from direct exercise below) and prepare a Multiyear Exercise 

support teams. Under the direction of the Plan 

Exercise Manager, support teams will help ♦ Assist in identifying and prioritizing juris- States and local jurisdictions with the dictions within the State that will partici­ following tasks: pate in the exercise program and receive 

•	 Development of exercise and evalua- resources 

tion programs	 ♦ Administer exercise grants 

• Creation of specific exercise objectives	 ♦ Use HSEEP manuals and tools to develop 

•	 Preparation of detailed exercise plan- and implement a SHSEEP 

ning and execution timelines	 ♦ Ensure local jurisdictions are designing, 

• Coordination and facilitation of exercise developing, conducting, and evaluating 

planning conferences	 exercises in accordance with HSEEP and 

SHSEEP 

•	 Development of a full range of documentation for each type of exercise	 ♦ Support the design, conduct, and evaluation of State and local exercises in accor­

•	 Preparation of exercise control and 

evaluation methodology	 dance with the principles and guidance 

defined in the HSEEP manuals 

•	 Assistance with exercise control 

♦ Ensure AARs and IPs are prepared and 

•	 Preparation of postexercise reports submitted to DHS/ODP


(e.g., AARs/IPs)
 ♦ Establish a mechanism for tracking IP 

•	 Facilitation of debriefings implementation 

♦ Support and monitor State HSEEP ♦ Validate areas for improvement identified 

implementation in the IP by testing them in future 

♦ Ensure compliance with HSEEP doctrine exercises


and policy by periodically reviewing 
 Local 

exercise documentation and attending/ 

observing exercise planning conferences Responsibilities of local jurisdictions that receive 

and/or exercise conduct exercise support are to: 

State ♦ Coordinate exercise preparedness activities with the State 

The SAA should appoint a staff member(s) to ♦ Identify exercise goals and objectives that serve as an exercise POC. This person will 

implement and manage the SHSEEP, coordinate support the risk, vulnerability, and needs 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 8 
assessments and the State Homeland 

Security Strategy 

♦ Design and conduct exercises that conform to HSEEP 

♦ Provide information (e.g., plans, procedures) and personnel to aid in exercise 

design, development, support, control, and 

evaluation 

♦ Prepare an IP that addresses recommendations in the exercise AAR 

♦ Track action items to ensure exercise 

issues are addressed and improvements 

are made 

Contractor 

If a State or local jurisdiction decides to hire a 

private contractor or consultant, the State is 

responsible for ensuring that the contractor/ 

consultant follows HSEEP requirements and 

guidance. 

Exercise Plan Workshop 

An EPW provides DHS/ODP, States, and local 

leadership with an opportunity to review the 

current Multiyear Exercise Plan and ultimately 

modify it or create a new plan. HSEEP requires 

States that receive DHS/ODP grant funds to 

conduct an annual EPW that reviews program 

accomplishments to date, identifies needed 

modifications, and schedules exercises. 

The Multiyear Exercise Plan comprises four 

major sections: 

♦ Current Program Status: Can be drawn 

from existing documents such as the 

Multiyear Exercise Plan and State 

Homeland Security Strategy as well as 

from schedules of preparedness activities. 

Planning, equipment, training, and exercises from all agencies and programs 

should be considered. 

♦ Program Goals and Objectives: Should 

include prevention of terrorist attacks 

within a State and its local jurisdictions, 

reduction of vulnerability to terrorism, 

and minimization of, and ability to 

recover from, damage caused by attacks. 

CHAPTER 1: EXERCISE PROGRAM MANAGEMENT 

Objectives should be in the form of 

benchmarks that are specific to the overall 

exercise program. 

♦ Program Exercise Methodology: 

Should be appropriate to the level of 

existing training/skills achieved by first 

responders in the State and its local jurisdictions. DHS/ODP advocates a methodology that represents a cycle of increasingly 

complex exercises (building block 

approach). 

♦ Multiyear Exercise Timeline: Should 

graphically illustrate the proposed activities scheduled for the Multiyear Exercise 

Plan. States are required to submit a 

3-year Exercise Plan and schedule, and 

urban areas are required to submit a 2-year 

Exercise Plan and schedule. 

Note that the exercise planning and execution 

cycles among the jurisdictions in a given State 

may overlap, as multiple simultaneous planning 

efforts will likely be needed to achieve Multiyear 

Exercise Plan goals. Planners may choose to 

include activities from non-DHS/ODP exercises 

if these efforts will be coupled with DHS/ODP 

training and exercise initiatives. The multiyear 

timeline should allow adequate time for a natural progression of building block exercises. 

Timelines built during 2003 represent exercise 

activities expected to take place from January 1, 

2004, to December 31, 2006. In 2004, States 

should create 3-year timelines that represent 

exercise activities planned for January 1, 2005, to 

December 31, 2007. 

See HSEEP Volume IV for sample EPW materials including an agenda, a participant list, a 

briefing, a Multiyear Exercise Plan, and a 

schedule/timeline. 

Attendees 

EPW participants should include representatives 

who will be involved in exercise coordination, 

planning, and scheduling. It is also beneficial to 

include representatives from a variety of organizations, programs, jurisdictions/regions, and 

disciplines to ensure a coordinated effort. See 

HSEEP Volume IV for a suggested EPW participant list. 

9 
Frequency 

EPWs should be held on an annual basis. 

Duration is typically 6 to 8 hours. EPWs 

should be scheduled in the early portion of a 

calendar year. 

Exhibit 1: Cycle of Exercise Activity 

TTX 

FSE FE

Cycle, Mix, and Range of Exercises 

The Multiyear Exercise Plan should define a 

cycle of exercise activity that employs increasing 

degrees of complexity (see exhibit 1). Linkage 

to the State Homeland Security Strategy and the 

relative risks, experience, and preparedness levels of the State and its targeted jurisdictions will 

enable State planners, in partnership with DHS/ 

ODP, to identify appropriate exercises and provide a foundation for future participation in 

more complex events. The schedule for training 

personnel and acquiring equipment should also 

be considered in determining exercise priorities. 

An effective exercise program uses a combination of exercise types 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 gradually increasing levels of complexity, as illustrated by the following 

example: 

♦ A State’s Multiyear Exercise Plan, consistent with its strategy, calls for a full-scale 

exercise (FSE) to validate the capability of 

a jurisdiction to conduct mass dispensing 

operations upon receipt of DHS Strategic 

National Stockpile (SNS) material. 

♦ After development of a State SNS plan, a 

series of exercises is scheduled, beginning 

with a Senior Officials Exercise (SOE) in 

the form of a seminar delivered to the 

Governor’s office, cabinet members, 

department heads, and local community 

leaders from designated dispensing sites. 

♦ A tabletop exercise (TTX) is then conducted to begin addressing strategic coordination of multiple agencies and levels 

of government. The TTX is followed by a 

period of refining plans based on discussions and the exercise AAR/IP. 

♦ Various agencies with specific functions 

then perform a series of drills, including a 

dispensing drill conducted by the health 

department and supporting medical staff 

and a security drill conducted by law 

enforcement agencies practicing maintaining perimeter security and checking credentials at a reception/storage facility. 

♦ Finally, an FSE incorporates participants 

from all levels of government; activation 

of regional, State, and/or local Emergency 

Operations Centers (EOCs); delivery of 

SNS material to a reception site; receipt 

and storage by the appropriate State 

agency; breakdown and transportation 

of SNS material to dispensing sites; and 

dispensing to victim actors, who are 

processed and tracked by local healthcare 

personnel. 

At each step in these increasingly complex exercises, lessons learned from the previous exercise 

are incorporated and/or shared with the next 

group of participants through an AAR/IP, thus 

increasing the learning and response capabilities 

of everyone involved. 

Federal Exercise Program 

Synchronization 

Every State receives funds from a number of different Federal programs, and many of these programs have associated exercise requirements. 

For example, the Federal Aviation Administration 

(FAA) requires major airports to conduct emergency response exercises on a 3-year cycle 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 10 
(TTXs every year with an FSE every 3 years). 

Other agencies such as the U.S. Department of 

Health and Human Services (HHS), the U.S. 

Environmental Protection Agency (EPA), and the 

U.S. Department of Defense (DoD) all require 

exercises to be conducted on a regular cycle. 

Faced with myriad requests for exercises, many 

State agencies (e.g., law enforcement, health 

departments, EOCs) with limited resources have 

begun to use the DHS/ODP-provided EPW as an 

opportunity to coordinate schedules at the State 

and local levels. 

DHS/ODP, like other agencies, recognizes the 

need to synchronize exercise requirements at 

the Federal level. Efforts to synchronize requirements within DHS have already begun, and 

cooperation with other Federal agencies is being 

initiated. In the interim, a considerable amount 

of synchronization can occur at the State and 

local levels. DHS/ODP encourages States to 

synchronize their exercise activities as much as 

possible. 

A coordinated and integrated HSEEP should 

reduce the burden on States and local jurisdictions of conducting numerous exercises and 

should eliminate duplicative efforts. DHS/ODP 

funds also can be used to supplement other 

exercise programs. For example, if the Centers 

for Disease Control and Prevention (CDC) is 

sponsoring a bioterrorism TTX in a given jurisdiction, the jurisdiction does not need to use 

DHS/ODP funds to conduct a second, similar 

exercise. Instead, the funding and efforts can be 

combined. 

Exercise Policies 

Exercise policies are developed to provide guidance or parameters of acceptable practices for 

designing, developing, conducting, and evaluating exercises. These policies are designed to 

prevent or, at a minimum, mitigate, the impact of 

an action that may cause bodily harm to participants, destroy property, or embarrass the 

State/local community or DHS/ODP. 

All jurisdictions conducting a terrorism exercise 

funded with a DHS/ODP grant must meet 

specific exercise policy requirements and also 

maintain consistency with the scope of the 

exercise. For example, discussion-based exercises (e.g., seminars, workshops,TTXs, games) do 

not require policies that address the use of victim actors or the actual deployment of emergency response vehicles. 

The following list of policies to consider is not 

intended to be all inclusive. States and local jurisdictions may also need to develop policies that 

are appropriate to their individual situations, such 

as policies that cover exercises conducted during 

nighttime hours and the use of canine units, 

opposing forces, or special effects (e.g., 

pyrotechnics, high explosives). Other examples 

include: 

♦ General and exercise-specific safety requirements covering areas such as exercise setup, operations, and use of 

electricity 

♦ Dealing with the media 

♦ Activity-specific safety requirements 

related to, for example, access control, 

pedestrian/vehicular traffic, or use of 

emergency lights/sirens 

♦ Following actual emergency procedures 

such as use of emergency phrases, emergency cancellations, communication 

procedures, procedures for calling off an 

exercise, weather considerations, and 

medical actions 

♦ Fire safety procedures covering emergency response and refueling operations 

♦ Requirements related to weapons safety, 

use of force, and rules of engagement 

See HSEEP Volume IV for examples of general 

safety, weather considerations, weapons safety, 

rules of engagement, emergency cancellation, 

and media policies. 

Exercise Data Reporting 

Exercise data will be reported by State and local 

jurisdictions for all exercises that use DHS/ODP 

funds. Every effort will be made to eliminate 

redundant reporting of data by identifying 

reporting dates and requirements for each 

report. 

CHAPTER 1: EXERCISE PROGRAM MANAGEMENT 11 
Data for Exercise Plan Workshop 

Data reporting for exercises designated to 

receive Homeland Security Grant Program 

(HSGP) or Urban Areas Security Initiative (UASI) 

funding begins at the annual EPW with submission of the final Multiyear Exercise Plan. One of 

the EPW’s purposes is to finalize the timeline for 

first-year exercise activities. Minimum information includes jurisdiction name, exercise type, 

scenario, exercise date, and date of Initial 

Planning Conference (IPC) or concept development meeting (whichever is appropriate). The 

remaining years on the timeline will include as 

much information as is known at the time of the 

EPW. For example, an exercise may be listed 

with a tentative month, instead of a specific 

date, with the dates for its planning conferences 

to be determined. This timeline will be submitted to DHS/ODP by the State exercise POC, as 

part of the Multiyear Exercise Plan, within 60 

days of the EPW. 

See appendix A for more information on 

submitting plans, documents, and reports to 

DHS/ODP through the secure Web-based portal. 

Data for Postexercise Report (Inclusion in 

After Action Report) 

The postexercise report will be completed by 

the POC and submitted to the DHS/ODP 

Exercise Manager within 60 days. Follow guidance on the reporting format provided in HSEEP 

Volume II: Exercise Evaluation and Improvement. AARs/IPs and exercise overview data 

(e.g., number of participants) can be submitted 

through DHS/ODP’s secure portal. 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 12 
CHAPTER 2


Exercise Planning Process 

Chapters 2, 3, and 4 outline the necessary steps 

and milestones associated with designing, developing, conducting, and evaluating a successful 

exercise. These chapters are organized as 

follows: 

♦ General guidance on designing and 

conducting various types of exercises 

♦ Information common to all discussionbased exercises (e.g., seminars, workshops, tabletop exercises [TTXs], games) 

and operations-based exercises (e.g., drills, 

functional exercises [FEs], full-scale exercises [FSEs]) 

♦ Information specific to each exercise 

type 

These chapters are organized in this manner to 

allow planners flexibility when designing and 

developing an exercise. However, in an attempt 

to standardize the language and concepts 

adopted by and used in the exercise field, planners should consistently use the terminology 

and processes described in this manual. More 

detailed descriptions of many of the exercise 

concepts and materials addressed in this section 

appear later in the manual. 

Exercise Planning Team 

Successful exercises can be attributed to several 

factors, ranging from the support of elected officials to skilled planning and execution by the 

exercise planning team. This team is responsible 

for designing, developing, conducting, and evaluating all aspects of any exercise (either discussion or operations based). The planning team 

determines exercise objectives, tailors the scenario to jurisdictional needs, and develops documentation used in evaluating, controlling, and 

simulating. Members of the planning team also 

help with developing and distributing preexercise materials and conducting exercise briefings 

and training sessions. Because of this high level 

of involvement, planning team members are ideal 

selections for exercise controller and evaluator 

positions. 

The planning team is managed by a Lead 

Exercise Planner (also referred to as the Exercise 

Director, Exercise Planning Team Leader, or point 

of contact [POC]). The planning team should be 

of manageable size and should include a representative from each of the major participating 

jurisdictions and response agencies. For a singlejurisdiction exercise, planning team members 

should represent key agencies and departments. 

For a larger, multijurisdictional exercise, planning 

team members should include representatives 

from each jurisdiction and participating functional area (e.g., fire, law enforcement, medical, 

public works). 

The membership of an exercise planning team 

should be modified to fit the type or scope of an 

exercise. For example, an operations-based exercise may require more logistical coordination 

than a discussion-based exercise. 

Exercise planning teams use a combination of 

common principles, including: 

♦ Incident Command System (ICS) 

Structure: Exercise planning teams are 

most efficient and effective when they 

adhere to an ICS-based structure. This 

structure has many benefits, including a 

distinct chain of command and accountability system that ends with the Lead 

Exercise Planner. 

♦ Project Management: Effective project 

management ensures identification, development, and management of critical and 

supportive tasks; frequent communication 

about project status; and use of management plans and timelines (e.g., task schedules, Gantt charts). 

13 
♦ Clearly Defined Roles and Responsibilities: Exercise planning team members 

should be aware of both their individual 

responsibilities and team responsibilities. 

Tasks should be identified and assigned to 

an appropriate planning team member, 

and clear deadlines should be established. 

♦ Functional Area Skills: Subject matter 

experts (SMEs) should be used in the 

planning process to ensure that a realistic 

and challenging scenario is chosen and 

that the jurisdiction has the appropriate 

capabilities to respond to such an incident. For example, in a biological terrorism scenario, public health departments 

and hospitals will have larger roles than 

special weapons and tactics teams or the 

bomb squad. 

♦ Leadership: Team members should 

demonstrate appropriate leadership principles, including mentoring, motivation, 

discipline, personnel management, and 

time management. Team leaders and members should delegate tasks as necessary. 

♦ Teamwork: Planning team members 

should strive toward group and common 

goals, using all available expertise while 

fostering creativity. 

♦ Standardized Exercise Design/ 

Development Process: Team members 

should implement standardized processes 

(such as incorporating task, time, and project management) into exercise design and 

development. Exercise planning conferences should be scheduled to develop and 

review tasks and outputs (e.g., Exercise 

Plans [EXPLANs], Situation Manuals 

[SITMANs]). 

♦ Senior Official Support: Jurisdictional 

senior officials should be briefed to gain 

their support. 

Planning team members, as a general rule, are 

not exercise participants except in smaller, less 

populated jurisdictions with limited emergency 

response/management capabilities. In those 

cases, exercise planning team members who act 

as both planners and participants should be 

especially careful not to divulge exercise information in advance. See HSEEP Volume IV for a 

sample exercise planning team organizational 

chart. 

Exercise Planning Team Position 

Descriptions 

Although the planning team may expand or 

contract in size according to the scope of a 

given exercise, the Master Task List should 

remain constant in terms of number and types 

of tasks. Expanding or contracting the team may 

cause a member or group leader to assume additional roles. Care should be taken not to overwhelm team members by understaffing the 

exercise. Providing position descriptions will 

help individuals who must perform tasks associated with multiple positions. See HSEEP Volume 

IV for a sample master checklist. 

For example, early in the planning process, a 

logistics group leader may be able to perform 

the few tasks that would normally be handled by 

the food/vendor, transportation, or security coordinators because those tasks are spread out over 

the 6-month exercise design process. However, 

an individual should be appointed to any given 

position when its tasks reach a level that 

requires an individual’s dedicated attention. 

Planning teams for some smaller, less complicated exercises can begin with a minimum of 4 

or 5 people (e.g., Exercise Director, operations 

coordinator, evaluation coordinator, logistics 

coordinator, administration/finance coordinator). 

Providing exercise planning team members with 

clearly stated roles and responsibilities, along 

with assigned specific tasks and completion 

timelines, will facilitate the exercise planning 

process by ensuring that tasks are not overlooked, forgotten, or identified only at the last 

minute. 

Regardless of whether an exercise warrants a 

small or large planning team, certain core groups 

with specific assigned responsibilities must be 

formed. The core groups described below provide the basis for potential expansion of the 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 14 
planning team (commensurate with the scope of 

the exercise): 

♦ Command Group: This group, also 

referred to as the exercise directorate 

group, is responsible for coordination of 

all exercise planning activities.The command group consists of an Exercise 

Director/Lead Planner who assigns exercise tasks and responsibilities, provides 

guidance, establishes timelines, and monitors the development process.A Safety 

Officer and Liaison Coordinator report 

directly to the Exercise Director. 

♦ Operations Group: This group provides 

most of the technical or functional expertise for the participating agencies or 

jurisdictions. 

♦ Planning Group: The planning group is 

responsible for the evaluation/improvement 

process, which includes the collection and 

review of policies, plans, and procedures. 

A separate simulation section provides 

simulated response by agencies not participating in the exercise. This group also 

develops simulation cell (SIMCELL) injects 

for exercises that use this methodology 

(such as FEs). 

♦ Logistics Group: The logistics group provides the supplies, materials, facilities, and 

services that enable the exercise to function smoothly without outside interference or disruption.This group is divided 

into two sections: service and support. 

The service section provides transportation, barricading, signage, food and drinks, 

real-life medical capability, and exercise 

site perimeter security. The support section provides communications, purchasing, general supplies,Very Important 

Person (VIP)/observer processing, and 

recruitment/management of victim actors. 

♦ Administration/Finance Group: The 

administration/finance group provides 

grant management and administrative support throughout exercise development. 

This group is also responsible for the registration process and coordinates schedules for the Exercise Director. 

CHAPTER 2: EXERCISE PLANNING PROCESS 

During the planning process, as tasks increase in 

frequency and complexity, the planning team 

grows. It may be necessary to expand positions 

to include several functional experts or subject 

matter experts (SMEs) (e.g., representatives of 

law enforcement, fire and rescue, or public 

health) in the operations group and additional 

logistical support or service staff (e.g., representatives of public works, representatives of communications, victim actor coordinator). Many 

large, complex, or multijurisdictional exercises 

may start with a planning team that fills most, if 

not all, of the sample organizational structure 

depicted in exhibit 2 on page 16. In these cases, 

leaders must be prepared to delegate responsibility. See HSEEP Volume IV for detailed position descriptions. 

Planning Conferences 

This section describes the types of planning 

conferences most useful in exercise design and 

development. The Lead Exercise Planner and 

the exercise planning team should decide on the 

number of meetings needed to successfully conduct a given exercise. To effectively host planning conferences, the Lead Exercise Planner 

needs access to information on the program, its 

objectives, and its flexibilities and limitations. 

Listed below are basic descriptions of the primary objectives for each type of planning conference along with information on tools (e.g., 

agendas, draft documents, checklists, and presentations) used to assist the exercise planning 

team in designing, developing, and conducting 

an exercise. 

Depending on the individual exercise, planning 

team members can be drawn from a variety of 

response disciplines within a jurisdiction (e.g., 

fire/hazardous materials [HazMat], emergency 

medical services [EMS], law enforcement, emergency management, public health, and medical/ 

hospital). See HSEEP Volume IV for suggested 

planning team members for both discussionbased and operations-based exercises. 

Providing advance information to the planning 

team members significantly enhances the efficiency of a planning conference. These materials may be provided to team members in a 

15 
Data Collection 

Medical 

Site Liaison 

Operations Planning Admin/Finance 

Assembly Area Onsite

HazMat 

EMS

 Law Enforcement 

Bomb Squad 

PIO 

EMA/EOC 

Hosp/Med 

Simulation Ex. Evaluation 

Data Collection 

VIP/Observer 

Communications 

Grant Mgmt 

Admin 

Exhibit 2: Sample Organizational Chart 

Transportation 

Public Works 

Food 

Security 

Audio/Visual 

Minimum Positions 

Expanded Positions (Task Oriented) 

Larger or Full-Scale Exercise 

Sectioning Designation 

Exercise Director/Lead Exercise Planner 

Safety 

Logistics 

 Fire/Rescue 

SWAT 

Public Works 

Offsite Service Support 

Victim Actor 

Resource Schedule 

Purchasing 

read-ahead packet, which typically includes (but 

is not limited to) proposed agenda items, any relevant background information (such as rationale 

for conducting the exercise), planning team 

member bios, and expected conference outcomes. In addition to making the attendees better informed, a read-ahead packet also allows 

them to understand the relevancy and importance of the conference. See HSEEP Volume IV 

for sample read-ahead materials for each type 

of planning conference. 

Concept and Objectives Meeting 

A Concept and Objectives (C&O) Meeting is 

held to identify the type, scope, objectives, and 

purpose of the exercise and is the formal beginning of the planning process (when held directly 

before the Initial Planning Conference [IPC]). 

The C&O Meeting is typically attended by representatives of the sponsoring agency, the Lead 

Exercise Planner, and senior officials.The C&O 

Meeting should help planners identify an overall 

exercise goal, develop rough drafts of exercise 

objectives, and identify exercise planning team 

members. For less complex exercises and for 

jurisdictions with limited resources, the C&O 

Meeting can be conducted in conjunction with 

the IPC. Possible topics or issues for a C&O 

Meeting include: 

♦ Exercise purpose 

♦ Proposed scenario, goals, and objectives 

♦ Exercise location, date, and duration 

♦ Assumptions and artificialities (the scenario is plausible and events occur as they 

are presented; there are no hidden agendas or trick questions) 

♦ Control and evaluation 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 16 
♦ Security organization and structure 

♦ Logistics 

See HSEEP Volume IV for a sample C&O 

Meeting agenda. 

Initial Planning Conference 

Primary Focus 

The IPC lays the foundation for exercise development. Unless a C&O Meeting is held, the IPC 

is typically the first step in the planning process. 

Its purpose is to gather input from the exercise 

planning team on the scope, design requirements and conditions (such as assumptions and 

artificialities), objectives, level of participation, 

and scenario variables (e.g., threat/hazard selection). The IPC is also used to obtain the planning team’s input on exercise location, schedule, 

duration, and other details required to develop 

exercise documentation. 

During the IPC, planning team members are 

assigned responsibility for tasks associated with 

designing and developing exercise documents 

(e.g., Master Scenario Events List [MSEL], SITMAN) and logistics (e.g., scene management, 

personnel). In addition to conducting the conference, the exercise planning team should 

gather appropriate photos and audio recordings 

for use in preparing the final document(s) 

and/or multimedia presentation(s) used in support of the exercise. See HSEEP Volume IV for 

sample IPC agendas for both discussion- and 

operations-based exercises. 

Length 

Depending on the scope of the exercise, the IPC 

can range from 3 to 6 hours. 

Location 

Location is determined by the Lead Exercise 

Planner. Facilities should be conducive to discussing and accomplishing work-related tasks. 

Initial Planning Conference Discussion Points 

Possible discussion points include: 

♦ Understanding the rationale for developing the exercise 

CHAPTER 2: EXERCISE PLANNING PROCESS 

♦ Ensuring objectives are clearly defined 

and measurable 

♦ Incorporating community emergency 

operating procedures (EOPs) and/or 

relevant agency standard operating 

procedures (SOPs) 

♦ Identifying local issues, concerns, or 

sensitivities 

♦ Ensuring that exercise planners consider 

themselves “trusted agents” and understand that, in most cases, they will participate as facilitators or subject matter 

experts (SMEs) rather than as participants 

♦ Incorporating photographs and/or 

audio/visual (A/V) recordings specific to 

the community into exercise documents 

and multimedia presentations (to enhance 

realism) 

♦ Deciding whether to record exercise proceedings (audio or video) 

♦ Determining the optimum duration of the 

exercise 

♦ Conducting the exercise in a no-fault environment intended to validate plans and 

procedures (through discussion and/or 

actual demonstration) and identify problems and potential solutions 

♦ Selecting or developing an evaluation tool 

(e.g., participant feedback forms) to determine whether exercise objectives were 

achieved and to allow participants to provide feedback 

♦ Developing a planning schedule 

♦ Reaching a consensus regarding the date, 

time, and location of the next conference 

Tools 

The primary tools for the IPC are the read-ahead 

packet, agenda, sample exercise objectives, hazard information (if applicable), proposed room 

layout (for discussion-based exercises), and task 

checklist. A briefing is useful for presenting an 

overview of the exercise to the planning team. 

See HSEEP Volume IV for samples of these IPC 

17 
materials for both discussion- and operationsbased exercises. 

Initial Planning Conference Outcomes 

The following outcomes are expected: 

♦ Developing clearly defined, obtainable, 

and measurable objectives 

♦ Identifying scenario variables (e.g., threat 

scenario, number of casualties, venue) 

♦ Ensuring appropriate participants are 

invited 

♦ Identifying and recruiting SMEs and 

presenters, if necessary 

♦ Determining the best method for information delivery 

♦ Assigning responsibility for exercise documents (e.g., SITMAN, EXPLAN) and 

presentations/briefings 

♦ Acquiring all source documents (e.g., policies, plans, procedures) needed to draft 

exercise documents and presentations 

♦ Identifying and assigning responsibility for 

logistical issues (e.g., registration, badges, 

invitations) 

♦ Establishing dates for completion of action 

items and tasks 

♦ Developing a planning schedule 

♦ Identifying critical tasks for the next planning conference 

♦ Determining date, time, and location of the 

next conference and the actual exercise 

Followup 

IPC minutes should be prepared and disseminated among planning team members within 4 

working days of conference conclusion. Direct 

and continual contact should occur among all 

members of the exercise planning team regarding outstanding information and the logistics for 

conducting additional planning conferences and 

the exercise itself. 

In the period between the IPC and the next conference, exercise planning team members will 

prepare their assigned draft exercise documents 

and presentations. If possible, these materials 

should be provided to planning team members 

5 days in advance of the next conference. 

Mid-Term Planning Conference 

Mid-Term Planning Conferences (MPCs) typically 

are used in more complex operations-based 

exercises (e.g., FEs, FSEs). MPCs provide additional opportunities to settle logistical and organizational issues that arise during planning. 

Primary Focus 

The MPC is a working session for discussion of 

exercise organization and staffing concepts, 

scenario and timeline development, scheduling, 

logistics, and administrative requirements. It is 

also a session to review draft documentation 

(e.g., scenario, EXPLAN, Controller and Evaluator 

Handbook [C/E Handbook], Control Staff Instructions [COSIN], MSEL). At the conclusion of the 

MPC, selected planners should conduct a walkthrough of the proposed exercise location/ 

venue (e.g., stadium, arena, parking lot). If only 

three planning conferences are scheduled, 

the second half of the MPC should be devoted 

to development of the scenario timeline (e.g., 

MSEL, Procedural Flow [PROFLOW] for 

operations-based exercises). 

Length 

Depending on the agenda, the MPC is generally a 

full-day conference (especially if only three planning conferences are scheduled). The exercise 

planning team should allow sufficient time to 

conduct a walkthrough of the exercise site and 

gather pictures, maps, and other visual aids. 

Location 

The MPC should be held at, or near, the exercise 

site to facilitate the walkthrough. 

Tools 

MPC tools include (but are not limited to) an 

agenda, IPC minutes, draft scenario timeline, 

draft documentation (e.g., EXPLAN, C/E 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 18 
Handbook), and other selected documentation 

needed to illustrate exercise concepts and provide planning guidance. See HSEEP Volume IV 

for sample MPC materials for operations-based 

exercises. 

Outcomes 

The following outcomes are expected: 

♦ Agreement on final EXPLAN details 

(if applicable) 

♦ Review of scenario timeline (e.g., MSEL, 

PROFLOW) 

♦ Review of documentation (e.g., EXPLAN, 

C/E Handbook, COSIN) 

♦ Development of scenario injects (imperative if only three conferences are 

scheduled) 

♦ Agreement on exercise site 

♦ Finalization of date, time, and location of 

the Final Planning Conference (FPC) 

Followup 

MPC minutes should be prepared and distributed to the planning team within 4 working days 

of conference conclusion. The time between the 

MPC and the FPC should be used to finalize the 

EXPLAN, scenario timeline, and remaining exercise documentation (as determined at the IPC). 

Master Scenario Events List Conference 

For more complex operations-based exercises, 

one or two additional planning conferences, or 

MSEL conferences, may be held specifically to 

review the scenario timeline. If not held separately, MSEL conferences can be incorporated 

into the MPC and FPC. 

The MSEL conference should focus on MSEL 

development. The MSEL is a chronological list 

that supplements the exercise scenario with 

event synopses, expected responses, objectives 

to be demonstrated, and responsible personnel. 

The MSEL should include scenario events that 

will prompt players to implement the plans, 

policies, and procedures that planners want 

the exercise to test. It should also establish the 

methods that will be used to inject each particular event (e.g., phone call, fax, radio call, e-mail). 

In developing an MSEL, the exercise planning 

team must first consider the tasks, conditions, 

and standards set forth by each exercise objective (as determined during the IPC). A task consists of performing a behavior that demonstrates 

the ability to accomplish an objective. A condition is the environment in which a task is performed: it can be established by the scenario or 

through the MSEL. Standards are the criteria by 

which each task is evaluated. The planning team 

determines if tasks were completed; this allows 

evaluation to take place. 

If scenario conditions do not stimulate the 

appropriate behavior, the planning team must 

develop an MSEL entry to explain the situation. 

A well-written entry considers the following: 

♦ Is the entry a key event (i.e., is it directly 

related to meeting an exercise objective)? 

♦ What is the target behavior? Who will 

demonstrate the behavior? 

♦ What will stimulate the behavior (e.g., 

course of play, phone call, actor, video)? 

♦ Who originates the stimulant? Who 

receives it and how? 

♦ What is the expected action? 

♦ Must a contingency inject be developed in 

case the behavior fails to be demonstrated? 

Once the MSEL is drafted, the exercise planning 

team should coordinate and sequence entries 

and resolve any conflicts between events, thus 

forming a credible and challenging MSEL that 

will enhance the exercise experience for the 

players. It is essential that the final MSEL be 

reviewed with quality assurance procedures in 

mind. 

For more information on MSELs, see chapter 4. 

Final Planning Conference 

Primary Focus 

The FPC provides the final forum for reviewing 

exercise processes and procedures. The planning team will receive final drafts of all exercise 

materials prior to the FPC. No major changes to 

the design or scope of the exercise or its supporting documentation should take place at the 

CHAPTER 2: EXERCISE PLANNING PROCESS 19 
FPC. The FPC ensures that all logistical requirements have been arranged, all outstanding issues 

have been identified and resolved, and all exercise products are ready for printing. 

Length 

Generally, the FPC is a half-day conference for 

discussion-based exercises and a full day for 

operations-based exercises. 

Location 

The FPC should be located in close proximity to 

the planned exercise site to allow a final site 

walkthrough. The facility should be conducive 

to discussion and accomplishment of workrelated tasks. 

Points To Stress During the Conference 

The following items should be addressed: 

♦ Resolve any open issues related to exercise planning and identify last-minute 

concerns that may arise 

♦ Review all exercise logistical tasks (e.g., 

schedule, registration, attire, special needs) 

♦ Conduct a comprehensive final review of 

and approve all exercise documents (e.g., 

SITMAN, EXPLAN, MSEL, C/E Handbook, 

COSIN) and presentation materials 

Tools 

Primary tools include IPC and/or MPC minutes, 

an agenda, and draft exercise documents (e.g., 

SITMAN, EXPLAN, C/E Handbook, COSIN). If 

possible, these materials should be delivered to 

planning team members 5 days prior to the 

FPC. See HSEEP Volume IV for sample FPC 

materials for both discussion- and operationsbased exercises. 

Outcomes 

The FPC should not generate any significant 

changes or surprises. Outcomes should include 

finalization of exercise documents and multimedia presentation(s), and coordination of other 

support requirements. The following outcomes 

should be expected: 

♦ Clear understanding and final approval of 

exercise processes and procedures 

♦ Approval of exercise documents and 

materials for production 

♦ Identification and resolution of last-minute 

issues 

♦ Confirmation on logistical elements 

including A/V equipment, room configuration and setup, refreshments, and schedule 

Followup 

FPC minutes should be prepared and disseminated among exercise planning team members 

within 4 working days of conference conclusion. 

There should be direct contact among exercise 

planning team members regarding any outstanding issues, especially issues related to the logistics for conducting the exercise. The planning 

team should finalize all publications, prepare all 

supporting materials, rehearse presentations and 

briefings, and prepare to conduct the exercise. 

Prior to the exercise, information and documentation should be disseminated to appropriate 

personnel (e.g., presenters, facilitators, controllers, evaluators, simulators). 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 20 
CHAPTER 3


Discussion-Based Exercises 

Discussion-based exercises are normally the 

starting point in the building block approach 

to the cycle, mix, and range of exercises. 

Discussion-based exercises include seminars, 

workshops, tabletop exercises (TTXs), and 

games. These types of exercises typically focus 

on existing plans, policies, mutual aid agreements, and procedures. Thus, they are exceptional tools for familiarizing agencies and 

personnel with current or expected jurisdictional capabilities. They may also provide a 

forum for developing new plans and procedures. 

Whereas operations-based exercises tend to focus more on tactical response issues, discussionbased exercises typically focus on strategic, 

policy-oriented issues. Facilitators and/or presenters usually lead the discussions, helping to 

keep participants on track and ensure that exercise objectives are met. 

Foundation 

It is important to establish a foundation for 

designing, developing, conducting, and evaluating an exercise. In order to establish this foundation, it is essential to identify a planning team, 

schedule planning conferences, and establish 

milestones and a project timeline. Tools for 

effective project management include charts, 

timelines, secure Web-based portals, and checklists. See Homeland Security Exercise and 

Evaluation Program (HSEEP) Volume IV for 

sample project management tools. 

Exercise Planning Team 

The exercise planning team for discussion-based 

exercises is typically smaller than the team 

needed for operations-based exercises. Because 

of this smaller size, members should be willing 

to accept additional responsibilities not necessarily associated with their assigned group (e.g., 

planning, logistics, administrative/finance, 

operations). See HSEEP Volume IV for a sample 

exercise planning team organizational chart. 

Planning Conferences 

Discussion-based exercises typically require a 

minimum of two planning conferences. These 

conferences are used to design and finalize exercise documentation. Depending on their scope, 

seminars and workshops may require only one 

conference. The Concept and Objectives (C&O) 

Meeting, used to identify broad issues and provide general direction, is usually part of the 

Initial Planning Conference (IPC) for discussionbased exercises. In fact, the vast majority of 

issues should be identified and assigned at the 

IPC. The Final Planning Conference (FPC) 

should be used to review previously developed/ 

completed items. See HSEEP Volume IV for 

sample planning conference materials for 

discussion-based exercises. 

Project Management Timeline 

The Lead Exercise Planner selects a date for the 

IPC. The IPC marks the beginning of the exercise planning timeline. During and after the IPC, 

exercise plans, documents, and logistics are 

discussed and finalized (based on the type of 

exercise selected). Once a timeline has been 

established, the planning team must follow it. All 

planning team members should have input into 

timeline development and access to the final 

timeline once it is completed. See HSEEP 

Volume IV for sample timelines that indicate 

key conferences and activities necessary for 

conducting discussion-based exercises. 

TIP: Exercise designers should be particularly 

cognizant of any sensitivities addressed in scenarios, such as actual names associated with 

known terrorist groups or selected venues 

(e.g., school names, private company names). 

21 
Design and Development 

The design and development process should 

focus on identifying objectives, creating documentation, coordinating logistics, planning exercise conduct, and selecting evaluation and 

improvement methodology, thus building on the 

established foundation for the exercise. 

Exercise Objectives 

Exercise objectives are the cornerstone of design 

and development. Objectives define specific 

goals, provide a framework for scenario development, guide development of individual organizational objectives, and provide evaluation criteria. 

Generally, planners should limit the number of 

exercise objectives to enable timely exercise 

execution, facilitate reasonable scenario design, 

and adequately support successful completion of 

exercise goals. Objectives are initially prepared 

during concept development; for a discussionbased exercise, they typically focus on strategic, 

policy-oriented issues. See HSEEP Volume IV for 

sample discussion-based exercise objectives. 

Scenario 

A scenario provides the backdrop that drives 

exercise participant discussion. The scenario 

should be threat and performance based, realistic, plausible, and challenging. However, designers should ensure that the scenario is not so 

challenging that it overwhelms participants. 

A scenario consists of three basic elements: the 

conditions that allow participants to demonstrate proficiency and competency in meeting 

the exercise objectives; the general context or 

comprehensive story; and the technical details 

necessary to accurately depict scenario conditions and events. The planning team should 

ensure that the design effort is not characterized 

by a fixation on scenario development; the scenario should facilitate achievement of exercise 

objectives, which are the foundation of exercise 

design. 

Planners must identify the kinds of player activities and decisionmaking opportunities needed 

to meet exercise objectives, then ensure that 

those activities and opportunities can take place 

within the scenario framework. Detailed information should be limited in quality and quantity 

to reflect real-world uncertainty. No superfluous 

information should be included. 

Realism 

The scenario should involve local incidents and 

local facilities; findings from a jurisdiction’s risk 

and vulnerability assessment can contribute to 

scenario development. For example, if the risk 

and vulnerability assessment identified a specific 

critical infrastructure in the community (e.g., 

refinery, chemical plant) as a vulnerable target, 

the scenario could describe a terrorist attack at 

that facility. Planning team members should also 

consider previous real-world incidents and existing plans that have been developed for popular 

local attractions or large venues. Remember that 

the scenario must be credible enough for a participant to suspend his inherent disbelief in 

hypothetical situations. The U.S. Department of 

Homeland Security, Office for Domestic Preparedness (DHS/ODP), is developing a common 

suite of scenarios that will be based on incidents 

of national significance. 

Threat/Hazard 

The first step in designing a scenario is determining the type of threat/hazard on which the 

exercise will focus. Each type of hazard has its 

own strengths and weaknesses when it comes 

to evaluating different aspects of prevention, 

response, and recovery. The exercise planning 

team should choose a threat/hazard that fits the 

exercise objectives. For example, if the exercise 

objectives include validating public health or 

surveillance systems, then a biological hazard 

would be appropriate. Conversely, if exercise 

objectives seek to evaluate on-scene Incident 

Command (IC), then a biological hazard would 

not be the best choice. Hazard selection should 

be based on realistic threats. For example, in a 

highly populated, high-profile community, the 

threat of chemical, biological, or radiological terrorism may be considered more of a risk, 

whereas in predominately rural areas, industrial 

or agricultural assets may be more vulnerable to 

acts of terrorism. See HSEEP Volume IV for 

hazard fact sheets. 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 22 
Venue 

The venue is the facility or site where the scenario will take place. Venue selection should be 

based on the identified threat or hazard. For 

example, if a nonpersistent chemical hazard 

(e.g., sarin) is selected, the venue should not be 

an open-air facility (e.g., stadium, park) because 

of that hazard’s dissipating characteristics. When 

appropriate, the selected venue described in the 

scenario should be based on a jurisdiction’s risk 

and vulnerability assessment. See HSEEP Volume 

IV for a scenario variable selection matrix. 

Documentation 

Situation Manual 

The Situation Manual (SITMAN) features an 

overview of the exercise (e.g., scope, objectives, 

conduct) and contains a chronologically 

sequenced scenario representing a specific disaster situation and the local jurisdiction’s anticipated response actions. This scenario reflects 

the exercise objectives selected by the jurisdiction, including selected hazard and magnitude 

of casualties. 

Generally used in TTXs, the SITMAN is designed 

to mirror the multimedia briefing. It supports 

the scenario narrative and allows participants 

to read along while watching events unfold. 

The SITMAN contains greater detail than the 

presentation and can include the following 

information: 

♦ Introduction 

♦ Schedule of events 

♦ Purpose and scope 

♦ Design objectives 

♦ Exercise structure (e.g., modules) 

♦ Instructions for exercise conduct (e.g., 

selecting a spokesperson) 

♦ Roles and responsibilities for facilitators, 

participants, and observers 

♦ Assumptions and artificialities 

TIP: To discourage participants from reading 

ahead in the SITMAN scenario during the exercise, a sticker can be placed over each module 

so the pages can’t be turned until the facilitator 

directs the participants to unseal the module. 

♦ Exercise rules (for example, participants 

should respond based on knowledge of 

current plans and capabilities) 

♦ Local information (e.g., local agency 

names, pictures of response apparatus) 

♦ Scenario 

♦ Issues for consideration (key questions to 

be discussed during the exercise) 

♦ Reference appendixes containing: 

•	 Jurisdiction- and threat-specific 

information 

•	 Material Safety Data Sheets (MSDSs) or 

agent fact sheets 

•	 Relevant documents regarding response 

plans 

•	 List of reference terms 

The SITMAN contains modules that correspond 

to the multimedia presentation. Modules, 

because they are based on each exercise’s goals 

and objectives, will differ from scenario to scenario. For example, biological exercises typically 

contain an incubation module, whereas chemical, radiological, nuclear, or explosive scenarios 

should include warning phase, initial response, 

and recovery and remediation modules. See 

HSEEP Volume IV for sample SITMANs. 

When developing the SITMAN, the following 

items should be considered and addressed: 

♦ Realistic response times 

♦ Proper agency or organization names 

♦ Proper lines of communication 

(e.g., notification procedures) 

♦ Existing community capabilities 

(e.g., equipment, apparatus) 

CHAPTER 3: DISCUSSION-BASED EXERCISES 23 
Multimedia Presentation 

The multimedia presentation for a discussionbased exercise should support (both visually 

and with audio) the written documentation. 

Participants should be able to read the written 

material while watching or listening to the presentation. The presentation itself should concisely summarize information contained in the 

written documentation. 

This presentation typically contains, at a minimum, the following information: 

♦ Introduction 

♦ Background on the threat or scenario 

and/or the history of terrorism 

♦ Objectives 

♦ Exercise play rules (e.g., keep side conversations to a minimum, turn cellular 

phones to silent mode) 

♦ Modules that describe the scenario 

Audio/visual (A/V) enhancements to a presentation include video or sound systems that convey 

information to exercise participants. For example, discussion-based exercise presentations 

should include sound bites and video clips that 

have local interest. A video clip of the local 

mayor conducting a press conference to announce the declaration of an emergency and a 

sound bite of a 911 call that initiates a response 

are common examples. These presentations 

help to focus and drive the exercise as well as 

add realism. See HSEEP Volume IV for sample 

multimedia presentations. 

Exercise Evaluation Guides 

DHS/ODP has developed Exercise Evaluation 

Guides (EEGs) to help with exercise evaluation. 

These guides incorporate the critical tasks to be 

completed during an exercise. They were 

TIP: To add realism to the scenario and supporting presentation, record actual sound bites 

by people who would normally be speaking 

during a real incident (e.g., mayor or Governor, 

911 dispatchers, first responders). 

developed for use both by experienced exercise 

evaluators and by practitioners who are subject 

matter experts (SMEs) but have little or no exercise evaluation experience. Each EEG provides 

evaluators with information on what they should 

expect to hear discussed, space to record their 

observations, and questions to consider after the 

exercise (as the first step in the analysis 

process). 

Each EEG can be used by one individual evaluator assigned to observe individual tasks or 

groups of tasks. During the analysis phase, evaluators combine their observations with those of 

the other evaluators. They reconstruct events, 

and analyze outcomes and interactions across 

agencies, disciplines, and jurisdictions to achieve 

broad mission outcomes. The responsible team 

(agency or discipline), function, jurisdiction, and 

mission outcome are noted on the EEG to facilitate analysis. See HSEEP Volume II for more 

information and sample EEGs. 

Media/Public Information 

Members of the media have the unique ability to 

fulfill an important function before and during 

an exercise: not only can they inform the public 

that an exercise is taking place, they also can 

make the public aware that the community is 

preparing for terrorism and disasters. 

Written Release 

Prior to an exercise, the planning team should 

develop a written press release to be disseminated to media outlets. This release serves as a 

means of informing the media and the public 

about general exercise information (e.g., location, date). Additionally, this information can be 

distributed to observers and senior officials (e.g., 

Very Important Persons [VIPs], management). 

This release should not contain detailed scenario 

information (such as the type of threat or hazard, venue, or other sensitive information) and 

should not contain information that might hinder exercise outcomes if a participant were to 

see it. 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 24 
Typically, the contents of a media/public information release for the exercise include: 

♦ Introduction: 

• Sponsoring agency 

• Program information 

• Expected outcomes


♦ Purpose


♦ Scope and duration 


♦ General scenario information (e.g.,


location, goals, objectives) 

♦ Participating agencies broken down by 

locality and functional area 

See HSEEP Volume IV for a sample media/ 

public information release. 

Media Policy 

Local media should be notified about any exercise prior to its taking place. This can help avoid 

public confusion on the day of the exercise, and 

also let the public know the community is working to prepare for real-world incidents. It is up 

to the jurisdiction whether to invite the media 

to an exercise. If invited, the media should have 

an opportunity prior to the exercise to conduct 

interviews with key planners and participants. 

At discussion-based exercises, the media should 

not be present during the discussion of standard 

operating procedures (SOPs), emergency operating procedures (EOPs), or any other potentially 

sensitive information. If the media would like 

video footage of exercise proceedings and participants, they should be allowed to film from 

the back of the room until scenario discussions 

begin. This allows participants to speak freely 

and openly during the exercise without outside 

distractions or intimidation. 

Logistics 

Logistical details are important (but often overlooked) aspects of an exercise. They can make 

the difference between a smooth, seamless exercise and one that is confusing. The following 

CHAPTER 3: DISCUSSION-BASED EXERCISES 

TIP: Conference rooms and banquet halls are 

the most ideal facilities for discussion-based 

exercises. 

paragraphs detail logistical issues that should be 

addressed prior to an exercise. 

Facility/Room 

Meetings and briefings should be conducted in 

facilities that are appropriate for the scope and 

size of the exercise. Facilities should be reserved 

solely for exercise purposes and should be free 

from distractions. The facility should have accessible parking for all participants. 

The facility should be large enough to accommodate all participants, observers, facilitators, and 

presenters. Enough tables and chairs should be 

available for every participant and observer; different table arrangements should be used for 

different types of exercises. For example, for a 

conference (where input is needed from all parties), a U-shaped layout is most conducive to 

facilitation and participant interaction. For a 

seminar, where there is little participant interaction and information is presented to the audience, chairs and/or tables should face in one 

direction. For a workshop, the facility should 

permit breakout sessions in separate rooms. For 

a TTX, the number of tables should be based on 

the number of participating functional areas 

(e.g., one table for the medical community, one 

table for Federal and State representatives). 

Table arrangements for a TTX should allow for 

as much participant and facilitator interaction 

as possible. When selecting a facility, take the 

acoustics of the room into consideration (e.g., 

the room should be carpeted with relatively low 

ceilings). There should be a limit of 12 to 15 

participants per table during a TTX to avoid 

excessive crowding and noise levels. Facilitators 

and presenters should control the noise in the 

room by discouraging side conversations, ensuring cellular phones are turned to silent mode, 

and keeping control of group dynamics. See 

HSEEP Volume IV for sample room layouts for 

discussion-based exercises. 

25 
Food/Refreshments 

Food and refreshments should be provided to 

participants and observers, especially during prolonged exercises. For discussion-based exercises 

that exceed 4 hours, it is often beneficial to have 

a working lunch provided; a working lunch 

keeps exercise disruption to a minimum. 

Audio/Visual Requirements 

A key aspect of discussion-based exercises is the 

multimedia presentation, which injects an added 

sense of realism to the proceedings. A/V requirements should be identified well in advance and 

specific responsibilities should be assigned to 

ensure proper equipment functioning. Examples of A/V equipment include (but are not 

limited to) projection display screens, video 

and/or computer projectors, speakers, and 

microphones (e.g., lapel/lavaliere, handheld). 

Supplies 

Exercise planners should not assume participants will bring necessary supplies with them. 

Writing utensils, notepads, easels, SOPs and 

EOPs, name badges, and any other equipment 

deemed necessary should be procured prior to 

exercise conduct and provided to participants. 

Badges/Name Tents/Table Tents 

Each exercise participant should have a badge 

clearly identifying him/her by name and agency. 

Name tents should be placed on tables prior to 

the start of the exercise to ensure proper seating 

arrangements. Additionally, each table should 

have a table tent identifying the functional area 

(e.g., public health, emergency management) 

represented. See HSEEP Volume IV for sample 

badges, name tents, and table tents. 

TIP: To reduce costs associated with an exercise, 

the planning team could consider producing 

badges and table tents that can be reused for 

future exercises. 

Registration and Table/Breakout 

Identification 

Participants should register upon arrival, for 

both identification and security reasons. 

Participants and observers should provide their 

name, organization, phone/fax number, and email address. Table assignments should be predetermined; last-minute changes should be 

strongly discouraged. The planning team should 

retain copies of the sign-in sheets so that participants can receive followup correspondence 

such as thank you notes, certificates of completion, copies of the After Action Report (AAR)/ 

Improvement Plan (IP), and invitations to future 

planning meetings and exercises. 

Conduct 

Exercise conduct entails setup, presentation, 

facilitation, discussion, and wrap-up activities. 

Logistics 

The planning team should visit the exercise site 

on the day prior to the event to set up the room. 

On the day of the exercise, planning team members should arrive several hours before the start 

time to handle any remaining logistical or administrative items pertaining to setup, and to arrange 

for registration. 

Prior to exercise conduct, the planning team 

must provide necessary exercise materials, 

including: 

♦ Adequate number of SITMANs or other 

written materials for exercise participants 

♦ Multimedia presentation 

♦ Appropriate A/V equipment including televisions, projectors, projection screens, 

microphones, and speakers 

♦ Table tents for each table 

♦ Name tents for each participant 

♦ Badges identifying the role of each exercise participant (e.g., participant, observer, 

VIP, facilitator, evaluator) 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 26 
♦ Sign-in sheets


♦ Feedback forms


Presentation 

The presentation is a crucial vehicle for conveying information to the audience. Individuals 

selected to present should be confident of their 

abilities and able to speak well in front of large 

audiences. They should not read directly from 

the presentation slides. 

The presentation typically starts with brief 

remarks by representatives from the exercise 

planning team, sponsoring agency, and/or governing jurisdiction (e.g., mayor, Governor, city 

manager, county judge). After the opening 

remarks, the presentation moves into a brief 

introductory and explanatory phase led by a 

moderator. During this phase, attendees will be 

introduced to lead facilitators and evaluators, 

given background on the exercise process, 

and advised about their individual roles and 

responsibilities. 

In addition to presenting the briefing, the moderator will also lead the discussion, bring 

spokespersons up to the front of the room, pose 

questions to the audience, and ensure that the 

schedule remains on track. 

Facilitated Discussion 

Facilitated group discussions occur at individual 

tables, and ideally are facilitated by someone 

with functional area expertise. The facilitator is 

responsible for keeping the discussion on track 

with exercise objectives and making sure all 

issues are explored (time permitting). 

Characteristics of a good facilitator include: 

♦ Ability to keep side conversations to a 

minimum, keep discussions on track and 

within established time limits, control 

group dynamics and strong personalities, 

and speak competently and confidently 

TIP: Planning team members often make excellent facilitators because they are intimately 

familiar with the objectives and scenario. 

about the subject at hand yet not dominate the conversation 

♦ Subject matter expertise: for example, a 

facilitator at the public health table should 

have experience in the public health field 

or be knowledgeable about public health 

issues 

♦ Awareness of local plans and procedures 

(e.g., SOPs, EOPs) 

♦ Ability to capture the discussion in notes 

for inclusion in the AAR/IP 

Participants should discuss their responses based 

on their knowledge of current plans, procedures, and capabilities. If feasible and/or appropriate, co-facilitators who are knowledgeable 

about local issues and plans and procedures may 

assist the lead facilitator(s). Also, to allow the 

facilitator to focus on key discussion issues, a 

recorder could be designated to take notes. 

Facilitated discussions take place before moderated discussions, and are also referred to as caucus periods. 

Moderated Discussion 

In moderated discussions, a representative from 

each table summarizes and presents results from 

a group’s facilitated discussion to all the participants. This spokesperson should be selected 

before the facilitated discussion so that he/she 

can prepare to speak on behalf of the group. 

During moderated discussions, spokespersons 

should summarize the facilitated discussion, 

present key findings and issues, and discuss any 

unresolved issues or questions. At the end of the 

moderated discussion period, the floor should 

be open for questions. 

Generally, there are facilitated and moderated 

discussion periods at the end of each module, 

with another, longer period for each at the conclusion of an exercise. During the module discussion periods, groups should be careful to 

focus only on the material presented in a given 

module. 

CHAPTER 3: DISCUSSION-BASED EXERCISES 27 
TIP: A simple yet effective tool for capturing 

issues and action items during and after an 

exercise is an easel pad. When wrapping up the 

exercise, the lead presenter/facilitator could ask 

each table for three action items that address 

the issues that arose during exercise discussions. These issues and action items can be 

captured on the easel pad for everyone to see. 

This will also ensure items are not repeated. 

Debrief/Hot Wash 

All facilitators should take and compile notes relevant to their group’s facilitated and moderated 

discussions. This information will be used to 

generate the AAR and/or exercise notes. In addition, participants and observers should receive 

feedback forms before the end of the exercise 

that ask for input regarding their impressions. 

The questions on this feedback form should 

solicit, at a minimum, the following: 

♦ Impressions about logistics (e.g., quality 

of facilitation/presentation, adequacy of 

facility/room, acoustics, and food) 

♦ Substantive information (e.g., most 

pertinent issues discussed, action items 

to address these issues) 

The information from these feedback forms 

should contribute to the issues, observations, 

and recommendations or action items in the 

AAR. Planners should pay particular attention 

to comments regarding logistical issues so future 

exercises can avoid the same problems. See 

HSEEP Volume IV for sample participant feedback forms. 

Immediately after the exercise, a short debrief or 

hot wash should be conducted with exercise 

planning team members to ascertain their level 

of satisfaction, discuss any issues or concerns, 

and propose improvements. Exercise attendance lists should be collected and copies provided to the Lead Exercise Planner. Notes from 

the debrief or hot wash should be captured in 

the meeting minutes. 

Specific Exercise Types 

Seminars 

Seminars generally orient participants to authorities, strategies, plans, policies, procedures, protocols, resources, concepts, and ideas. They also 

provide a good starting point for jurisdictions 

that are developing or making major changes to 

existing plans or procedures. Seminars are also 

useful when attempting to gain awareness of, or 

assess, the capabilities of interagency or interjurisdictional operations. Seminars are useful 

whenever there is a need to provide a common 

framework of understanding. Within HSEEP, seminars are the basic building block for exercise 

development. 

Seminars can be used to deliver a wide range of 

topics. Although their topics may be diverse, all 

seminars share the following common attributes: 

♦ Low-stress environment 

♦ Information conveyed through different 

instructional techniques, which may 

include one or more of the following: 

• Lectures 

• Multimedia presentations 

• Panel discussions 

• Case study discussions 

• Expert testimony 

• Decision support tools 

♦ Informal discussions led by a seminar 

leader 

♦ No real-time “clock” constraints 

♦ Effectiveness with both small and large 

groups 

Prior to participating in a seminar, participants 

should have a clear understanding of exercise 

objectives. Goals can range from developing 

SOPs and EOPs to setting objectives for future 

capabilities. Seminars are typically conducted in 

a lecture-based format with limited feedback or 

interaction from participants. They may feature 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 28 
one speaker or a series of speakers from different agencies or jurisdictions. Lecture content 

can vary, but may include the following: 

♦ Current capabilities 

♦ Current or proposed mutual aid


agreements


♦ Existing disaster plans, SOPs, or EOPs 

♦ Real-world or exercise experiences and 

lessons learned 

♦ Agency or jurisdictional directions and 

goals 

Seminars do not typically require a formal 

comprehensive AAR; however, a seminar report 

should be developed to capture the discussions, 

issues raised, and (if appropriate) action items 

that will address these issues. 

Workshops 

Workshops represent the second tier of exercises in the HSEEP building block approach. 

Although similar to seminars, workshops differ 

in two important aspects: participant interaction is increased and the focus is on achieving 

or building a product (e.g., plans and policies). 

Workshops provide an ideal forum for: 

♦ Collecting or sharing information 

♦ Obtaining new or different perspectives 

♦ Testing new ideas, processes, or


procedures


♦ Training groups to perform coordinated 

activities 

♦ Problemsolving complex issues 

♦ Obtaining consensus 

♦ Building teams 

Products that can be produced from a workshop 

include new SOPs or EOPs, mutual aid agreements, Multiyear Exercise Plans, and IPs that 

address the issues and recommendations from 

an AAR. To be effective, workshops must be 

highly focused on a specific issue, and the 

desired outcome (product) or goal must be 

clearly defined. Examples of workshop goals 

include: 

CHAPTER 3: DISCUSSION-BASED EXERCISES 

♦ Identifying issues that may arise when 

developing a coordinated response plan 

for use by entities that have not previously worked together 

♦ Defining new regional response 


boundaries


♦ Determining program or plan objectives 

♦ Developing an exercise scenario 

♦ Determining evaluation elements or performance standards 

Potential topics and goals relevant to workshops 

are numerous; however, all workshops share the 

following attributes: 

♦ Low-stress environment 

♦ No-fault forum 

♦ Ability to convey information using a 

number of different instructional techniques, including: 

• Lectures 

• Multimedia presentations 

• Panel discussions 

• Case study discussions 

• Expert testimony 

• Decision support tools 

♦ Facilitated, working breakout sessions 

♦ Plenum discussions led by a workshop 

leader 

♦ Goal-oriented discussion with an identifiable product in mind 

♦ No real-time “clock” constraints 

♦ Effectiveness with both small and large 

groups 

Typically, workshops begin with a presentation 

or briefing during which the background and 

rationale for the workshop are conveyed and 

specific tasks and expected outcomes are delineated. This presentation is typically followed by 

facilitated breakout sessions. Breakout sessions 

are used to increase participant interaction 

regarding the issues most relevant to their 

29 
functional area. For example, if a workshop’s 

objectives address interjurisdictional disaster 

plans, it would have breakout sessions for law 

enforcement, fire and rescue, and emergency 

management personnel, among others. Ideally, 

breakout sessions are facilitated by someone 

with both subject matter knowledge and facilitation experience. If this is not possible, it is more 

important to have a good facilitator who can 

keep the discussion on track than to have subject matter knowledge. Following breakout 

group discussions, the groups reconvene in a 

plenum session to present outcomes. During 

breakout sessions, facilitators should be aware of 

time constraints, notify participants about 

progress, and warn them when time is about to 

expire. 

For workshops, reserve one large room in which 

all participants can see a screen and see all other 

participants. For breakout sessions, individual 

rooms (such as classrooms) are ideal. 

Tabletop Exercises 

TTXs typically involve discussion by key staff, 

decisionmakers, and elected and appointed officials. This type of exercise is generally held in 

an informal setting intended to generate discussion of various issues regarding a hypothetical, 

simulated event. TTXs can be used to enhance 

general awareness, validate plans and procedures, and/or assess the types of systems needed 

to guide prevention, response, and recovery 

from a defined event. TTXs typically are aimed 

at facilitating understanding of concepts, identifying strengths and shortfalls, and/or achieving a 

change in attitude. Participants are encouraged 

to discuss issues in depth, and TTXs allow them 

to develop decisions through slow-paced problemsolving rather than the rapid, spontaneous 

decisionmaking that occurs under actual emergency conditions. TTXs can be a cost-effective 

tool when used in conjunction with more complex exercises; they take less time and cost less 

than operations-based exercises. 

TTX methodologies are divided into basic and 

advanced categories. In a basic TTX, the scene 

set by the scenario materials remains constant. 

This scene describes an event or emergency 

incident and takes participants through the 

phases to the simulated present. 

In an advanced TTX, play advances through 

delivery of pre-scripted messages. The Exercise 

Controller, acting as a 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 each problem, using appropriate 

plans and procedures. Player decisions are 

incorporated as the scenario continues to 

unfold. 

TTXs use one of two main design methodologies: breakout or plenary. Breakout methodology uses several breakout groups, typically 10 

to 15 players each, seated at various tables. 

Common interests or responsibilities determine 

table assignment. Although the scenario is usually presented to all groups simultaneously, individual breakout groups consider their own 

probable actions based on plans, policies, and 

procedures. Each group reports to the reassembled plenary at the conclusion of each exercise 

module. 

The plenary method groups players in a large 

room or hall according to function or responsibility. In a plenary TTX, no periods are set aside 

for small or subgroup discussions. This type of 

exercise requires active facilitation, sometimes 

by a team of facilitators. Use of facilitators generally allows more control over discussion direction; facilitators can draw information from 

participants to present a clear picture of issues 

and objectives. Active facilitation can also 

ensure that the discussion remains issue and policy focused. A plenary format is useful for exercises involving agencies that do not have a 

tradition of coordinated operations or incident 

management. It is also the preferred format if 

most participants are new to TTXs. This format 

ensures that everyone hears everything that is 

said and all participants have an opportunity to 

comment. 

Regardless of format or design type,TTXs are 

usually constructed with the following common 

features: 

♦ Application of group problemsolving 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 30 
♦ Familiarization of senior officials with critical issues related to their responsibilities 

♦ Conduct of a specific case study 

♦ Examination of personnel contingencies 

♦ Examination of group message


interpretation


♦ Participation in information sharing 

♦ Assessment of interagency coordination 

♦ Achievement of limited or specific


objectives


♦ Preparation for a more complex exercise 

(e.g., operations based) 

All participants should be encouraged to contribute to the discussion. They should be 

reminded they are making decisions in a no-fault 

environment. If breakout groups are used, they 

should be limited to no more than eight functional areas. To maximize constructive discussion, no more than 12 to 15 participants should 

be at each functional group table. (These numbers may vary depending on the type and 

desired length of an exercise.) Facilitators 

should encourage interaction between groups. 

Exercise conduct depends largely on the TTX 

design and format type. Generally, exercise planning team personnel give a multimedia presentation, facilitate discussion during caucus periods, 

and moderate ensuing discussion or report-back 

sessions. At the conclusion of the TTX, the Lead 

Exercise Planner provides an overview of the 

day’s activities, followed by comments or closing 

remarks by a member of the exercise planning 

team. 

TTXs require a room where all participants can 

view a screen and where participants at individual tables can discuss issues without disruption. 

Because of this requirement, it is ideal to reserve 

one large room and several smaller rooms (similar to workshop breakout rooms). See HSEEP 

Volume IV for sample TTX room layouts. 

Games 

Games are hypothetical situations steered by 

player actions. A force-on-force game (hereafter 

referred to as a game) has specific rules and uses 

controllers to enforce its parameters. Game participants may come from the same discipline or 

different disciplines and/or from the same jurisdiction or from multiple jurisdictions, depending 

on exercise objectives. This type of exercise 

explores the consequences of player responses, 

and can be used to help participants understand 

the possible consequences of their actions. 

Thus, it is an excellent tool to use when validating or reinforcing plans and procedures or evaluating resource requirements. Games help 

responders realize the consequences of their 

actions and consider appropriate behavior or 

behavioral guidelines for the future. Decisionmaking may be either slow and considered or 

rapid and more stressful, depending on exercise 

design and objectives. 

Games have the following common characteristics; they: 

♦ Develop contingent on player decisions 

♦ Encourage competitive environment 

♦ Provide rapid feedback 

♦ Improve teamwork 

♦ Practice group problemsolving 

♦ Test group message interpretation 

♦ Assess interagency coordination 

♦ Familiarize senior officials with homeland 

security/counterterrorism responsibilities 

♦ Explore potential future scenarios 

♦ Demonstrate consequences of player 

actions 

In a game, the outcomes of player actions are 

highly dependent on a controller’s interpretation 

of the rules, whereas in computerized simulations (described in the next section), rules are 

interpreted more strictly. The controller’s role 

is to process the information that is received. 

Player decisions, subsequent actions, and outcomes rely on the controller’s subject matter 

knowledge and understanding of the rules of the 

game. The open, decision-based format of a 

game can incorporate “what if” questions that 

extend exercise benefits. 

CHAPTER 3: DISCUSSION-BASED EXERCISES 31 
Another major variable in games is whether consequences of player actions are scripted or random. After each player action or move, the 

controller presents the outcome. Depending on 

the game’s design, this outcome can be either 

pre-scripted or decided after play. Identifying 

critical decisionmaking points is a major factor 

in the success of games: players make their evaluated moves at these crucial points. The controller, guided by the rules, determines the 

outcomes produced by player actions. Therefore, 

time must be allotted for the rules of the game to 

be thoroughly tested prior to game play. If 

either the critical decisionmaking opportunities 

or the rules are deficient, then objectives will 

not be properly tested. 

Generally, attendance at a game is dictated by its 

objectives and design: that is, how many players 

participate depends on game objectives, design, 

and concepts. Due to the limited number of participants, planners are encouraged to open the 

exercise to observers (if feasible). Observers are 

asked not to participate in discussions and strategy sessions, but can be tasked to make notes 

and report back to controllers with feedback. 

The exercise planning team begins the game. 

Interaction among players or teams is encouraged; however, conversations and associations 

should emulate what is found in the real world. 

Controllers must be aware of preestablished 

rules and procedures, and they must play an 

ongoing evaluator role. The game may have only 

one controller or, if there are teams, there may 

be a controller for every team (under the guidance of a lead controller). The controller ensures 

that player actions take place within game rules 

and timeframe. The controller does not prompt 

or guide player actions. When players perform 

actions, however, the controller presents the 

outcome. 

All controllers and evaluators make and compile 

notes relevant to their team’s actions. Immediately after the game, a short hot wash will be 

conducted with the exercise planning team to 

determine the level of satisfaction with the exercise, issues or concerns, and proposed improvements. In addition, participants can provide 

immediate feedback and capture events as they 

occur. The planning team should collect game 

attendance lists and capture notes from the hot 

wash for inclusion in the AAR. 

Models and Simulations 

Models and simulations are valuable tools for 

conceptualizing threats to national security and 

for working through response concepts. Models 

and simulations can provide immediate feedback 

to players within the context of a given scenario. Although live exercises are an irreplaceable component of any preparedness program, 

simulations can illustrate, in a cost-effective way, 

the resources available within the homeland 

security community and the challenges to prioritizing their use. When used to complement live 

exercises, models and simulations can perform 

systematic data collection and analysis instead of 

requiring exercise controllers and evaluators to 

rely on personal expertise to estimate the effects 

of a simulated chemical or biological agent. 

TIP: DHS/ODP is conducting a market survey 

and analysis of both government and commercial off-the-shelf models and simulations. 

Ongoing results of the survey and analysis are 

available on the DHS/ODP Web site and secure 

Web-based portal. 

Model 

A model is a physical, mathematical, or otherwise logical representation of a system, entity, 

phenomenon, or process. Models allow responders to visualize a specific procedure or plan 

component without actually completing a full 

response. 

Simulation 

A simulation is a method for implementing a 

model over time. For example, a computer program presents responders with a scenario, then 

follows decisionmakers through their response 

based on their actions at critical moments during the event. Simulation tools can incorporate 

built-in responses to player decisions, providing 

players with instant feedback on the outcomes 

of their choices and the underlying reasons for 

those results. 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 

32 
As potential threats to national security emerge 

from an increasingly complex network of challenges, the integration of various training techniques, including the use of models and 

simulations, can help prepare the emergency 

response community to respond effectively and 

expeditiously to terrorist attacks. 

Evaluation 

The evaluation process for seminars and workshops consists of distributing and reviewing participant feedback forms and producing a seminar 

or workshop report (described below). All other 

types of exercises should also require a formal 

exercise evaluation,AAR, and IP that begin with 

the exercise planning process and end when the 

improvements have been implemented and validated through subsequent exercises. The HSEEP 

exercise and improvement process includes the 

following eight steps: 

Step 1:	 Plan and organize the evaluation 

Step 2:	 Observe the exercise and collect data 

Step 3:	 Analyze data 

Step 4:	 Develop a draft AAR 

Step 5:	 Conduct an After Action Conference 

Step 6:	 Identify improvements to be 

implemented 

Step 7:	 Finalize the AAR/IP 

Step 8:	 Track implementation 

The methods and means to be used to evaluate 

an exercise should be determined early in the 

planning process. Complex exercises may 

necessitate development of an Evaluation Plan 

(EVALPLAN). Regardless of whether there is an 

EVALPLAN, the concept of evaluation should be 

addressed during exercise planning conferences 

and the following items should be determined: 

♦ Means of evaluation (e.g., EEGs) 

♦ Number of evaluators (e.g., peer review) 

♦ Conduct of debrief and After Action 

Conference 

CHAPTER 3: DISCUSSION-BASED EXERCISES 

After Action Report 

A draft AAR should be completed within a 

month of exercise completion. To allow officials 

sufficient time to review the draft, the exercise 

planning team should have a draft completed 

within 3 weeks. An AAR letter of transmittal 

should inform the Lead Exercise Planner or State 

Administrative Agency (SAA) official that the 

review period should not exceed 3 weeks. Once 

the Lead Exercise Planner has concurred with 

changes made by the SAA and the exercise planning team, the AAR is approved for publication. 

See HSEEP Volume IV for a sample AAR letter 

of transmittal. 

Seminar and workshop reports should, at a minimum, contain the following information: 

♦ Rationale (e.g., purpose, goals, objectives) 

♦ Description (e.g., content, structure, 

venue) 

♦ Outcome discussion (e.g., key issues 

raised, status of achieving objectives, 

feedback from participants) 

♦ Next steps (e.g., action items, followup 

activities) 

See HSEEP Volume IV for sample AARs, seminar reports, and workshop reports. 

The Lead Exercise Planner will determine the 

number of copies of the AAR needed and distribute them to participants. A copy of the final AAR 

will be provided to the DHS/ODP Exercise 

Manager. 

Lessons Learned Information Sharing 

System 

The recommendations contained within the 

AAR/IP should be based on lessons learned and 

best practices, which can then be captured and 

shared with other communities to enhance preparedness across the country. 

DHS/ODP has created a lessons learned and best 

practices network to collect and disseminate 

information identified during terrorism exercises 

and incidents. This network is administered by 

33 
the National Memorial Institute for the Prevention of Terrorism (MIPT) in Oklahoma City 

and is available at http://www.llis.gov. 

See HSEEP Volume IV for more information on 

the Lessons Learned Information Sharing (LLIS) 

system. 

Improvement Planning 

Because discussion-based exercises are the building blocks for future exercises, special attention 

should be paid to postexercise activities and IP 

content. 

Improvement Plan 

The IP is the means by which the lessons learned 

from the exercise are converted into concrete, 

measurable steps that result in improved response capabilities. The IP specifically details the 

actions that a jurisdiction will take to address 

each recommendation presented in the draft 

AAR, who or what agency will be responsible for 

taking that action, and the timeline for completion. Responsibility for an initial IP should be 

assigned at the exercise debrief. The final IP is 

included in the final AAR. 

Some improvement actions will require resources 

to be expended; therefore, the IP should be realistic in its establishment of priorities. Recommendations related to critical tasks (as outlined in 

HSEEP Volume II) should be given top priority. 

In the case of discussion-based exercises, it is 

possible that the IP will identify a need for additional exercises, possibly operations-based exercises. When no resources are available, alternative 

short- and long-term solutions such as mutual aid 

agreements should be considered. 

After Action Conference 

The After Action Conference should be conducted after the AAR is developed and comments 

from key personnel are incorporated. The After 

Action Conference is typically a half-day workshop in which key personnel and the exercise 

planning team are presented with findings and 

recommendations from the AAR. A lead facilitator reviews the AAR and asks participants to identify action items that will address the issues and 

recommendations. Once these action items have 

been identified, responsibility will be assigned to 

an individual, an agency, or an organization. Due 

dates should also be established. 

Tracking Implementation 

Once the IP has identified recommendations and 

action items, and responsibility and due dates 

have been assigned, the jurisdiction should 

ensure that each action item is tracked to completion and improvements are implemented. 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 34 
CHAPTER 4


Operations-Based Exercises 

Operations-based exercises represent the next 

stage in the exercise cycle. Operations-based 

exercises include drills, functional exercises 

(FEs), and full-scale exercises (FSEs). These types 

of exercises are used to validate the plans, policies, agreements, and procedures solidified in 

discussion-based exercises. Operations-based 

exercises can clarify roles and responsibilities, 

identify gaps in resources needed to implement 

plans and procedures, and improve individual 

and team performances. Common characteristics include actual response, mobilization of 

apparatus and resources, and commitment of 

personnel, usually over an extended period of 

time. These exercises may involve single or 

multiple agencies or jurisdictions. 

Foundation 

It is important to establish a foundation for 

designing, developing, conducting, and evaluating an exercise. To establish this foundation, 

effective project management is essential. Tasks 

that must be accomplished include identifying a 

planning team, scheduling planning conferences, 

and establishing milestones and a project timeline. Tools for effective project management 

include charts, timelines, secure Web-based portals, and checklists. See Homeland Security 

Exercise and Evaluation Program (HSEEP) 

Volume IV for sample project management 

tools. 

Exercise Planning Team 

The exercise planning team for an operationsbased exercise should include representatives 

from each participating agency or functional 

area as well as from all necessary logistical support areas. Because input is needed from all of 

these disciplines, the exercise planning team will 

be larger than the one needed for a discussionbased exercise. Planning team members need to 

be especially careful that tasks are properly 

assigned to one group or individual. See HSEEP 

Volume IV for a sample exercise planning 

team organizational chart. 

TIP: For large-scale, complex exercises, planning team members should consider the use of 

a secure Web-based portal to exchange exercise 

documents, information, and ideas. This allows 

users to access documents, provide direct 

input, and share information and still maintain 

security. See appendix A for more information 

on ODP’s HSEEP secure Web-based portal. 

Planning Conferences 

Operations-based exercises are typically planned 

using a minimum of three conferences (Initial 

Planning Conference [IPC], Mid-Term Planning 

Conference [MPC], and Final Planning Conference [FPC]). Because a large amount of information is needed to organize an operations-based 

exercise, jurisdictions are encouraged to schedule as many as five conferences, including a 

Concept and Objectives (C&O) Meeting and/or a 

Master Scenario Events List (MSEL) conference, 

as necessary. 

Project Management Timeline 

Operations-based exercises require a much more 

detailed and organized planning process than 

discussion-based exercises in order to ensure a 

high-quality product. A timeline that identifies 

key planning meeting dates, milestones, and critical tasks should be established by the exercise 

planning team no later than the conclusion of 

the IPC. Planners must follow the timeline 

exactly. Any changes must be justified to the 

Lead Exercise Planner, and the entire team 

should be notified to avoid any confusion. 

35 
Design and Development 

Exercise Objectives 

Exercise objectives are the cornerstone of 

design and development. Exercise objectives 

define specific goals, provide a framework for 

scenario development, guide development of 

individual organizational objectives, and provide 

exercise evaluation criteria. Generally, planners 

will limit the number of exercise objectives to 

facilitate design of a reasonable scenario, enable 

timely exercise execution, and adequately support successful completion of exercise goals. 

Objectives are initially prepared during concept 

development; objectives for an operations-based 

exercise typically focus on integration of multiple entities and systems-level and tactical-level 

issues. See HSEEP Volume IV for sample 

operations-based exercise objectives. 

TIP: Predetermining response routes from an 

assembly area will help reduce the possibility 

of accidents and liability issues. Directions and 

maps should be produced and disseminated to 

players and responders before the exercise. 

Scenario 

The scenario for an operations-based exercise 

should provide background information on the 

incident catalyst(s) of the exercise. The scenario 

should be realistic, plausible, and challenging; 

however, designers should ensure the scenario 

is not so complicated that it overwhelms 

participants. 

Thought should be given to creating a scenario 

that potentially involves local incidents and facilities. Findings from a jurisdiction’s risk and 

vulnerability assessment could contribute to scenario development. For example, if the risk and 

vulnerability assessment identified a critical 

infrastructure in the community (e.g., refinery, 

chemical plant) as a vulnerable target, the scenario could describe a terrorist event at that 

facility. Planning team members should also consider previous real-world incidents and existing 

plans that have been developed for popular local 

attractions or large venues. 

TIP: One way to conduct an operations-based 

exercise involving bioterrorism is to hold a 

point-of-distribution exercise, in which communities can simulate the distribution of pharmaceutical and medical supplies. The Centers for 

Disease Control and Prevention (CDC) and/or 

the Strategic National Stockpile (SNS) can 

supply training “push packages” for exercises. 

Designers should be cognizant of any sensitivities surrounding scenarios by avoiding the use 

of actual names associated with known terrorist 

groups or with selected venues (e.g., school 

names, private company names). 

Threat/Hazard 

Operations-based exercises typically use chemical, radiological, nuclear, or explosive hazards in 

their scenarios. Biological hazard scenarios are 

not generally associated with an operationsbased exercise because of their slowly evolving 

nature. However, jurisdictions have conducted 

biological operations-based exercises: an example would be practicing distribution of pharmaceuticals and medications and validating 

surveillance systems. 

Venue 

Much like threat/hazard selection, venue selection should be based on exercise objectives. The 

venue used to conduct the exercise does not 

necessarily have to be the same venue described 

in the exercise scenario. For example, a stadium 

parking lot may be used to simulate an airport 

runway. 

When selecting an appropriate venue, planners 

should consider need for the following: 

♦ A large area for response operations during the exercise (e.g., decontamination, 

triage, treatment, render-safe procedures 

[RSPs]) 

♦ A designated area (either at or near the 

site) large enough to accommodate the 

prestaging or assembly area (described on 

page 40) for apparatus and equipment 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 36 
♦ Minimal disruption to normal everyday 

services (e.g., traffic, public activities, 

construction) 

♦ A designated area or room for victim 

actors to receive instructions before the 

exercise and, in some instances, to be 

moulaged to simulate signs and symptoms 

of hazard exposure 

♦ A designated area for media, observers, 

and Very Important Persons (VIPs) to view 

the exercise without interfering with 

exercise play 

♦ Adequate parking for control staff, media, 

observers, victim actors, and support staff 

(e.g., security, canteen) 

Weather 

For all exercises, especially those conducted outdoors, a decision should be made to use either 

real-world weather conditions at the time of the 

exercise or simulated weather conditions to 

prompt a certain chain of events. Wind direction and speed typically are simulated so that 

exercise play can be more easily restrained to 

one area and response agencies do not have to 

move their operations (e.g., incident command 

post, decontamination) every time the wind 

changes directions. 

Date and Time 

In all scenarios, the date and time affect exercise 

play. Many communities have different population demographics on weekdays, weekends, and 

holidays, and during special events. Populations 

and demographics tend to change with the time 

of day as well. These changes may affect participants’ expected actions and can be incorporated 

into the scenario. For example, when a major 

sporting event is held at a stadium, it may temporarily increase a jurisdiction’s population and 

change traffic patterns. Evacuation routes or 

response times may be affected. 

TIP: Consider conducting an exercise on a 

weekend or during night hours to test off-hour 

resource levels and to minimize disruption to 

traffic and ongoing operations. 

CHAPTER 4: OPERATIONS-BASED EXERCISES 

Documentation 

Exercise Plan 

Exercise Plans (EXPLANs), which are published 

and distributed prior to the start of an exercise, 

provide a synopsis of the exercise. In addition 

to addressing exercise objectives and scope, 

EXPLANs assign tasks and responsibilities for 

successful exercise execution. Exercise players 

and observers generally intend this document 

for use. The EXPLAN should not contain 

detailed scenario information such as the name 

of the hazard. An EXPLAN typically contains the 

following sections: 

♦ Purpose/scope/objectives 

♦ Background 

♦ Duration 

♦ Date and time of exercise 

♦ Exercise organization (e.g., director, 

controllers, evaluators, players) 

♦ Roles and responsibilities 

♦ Rules of conduct 

♦ Safety issues (e.g., real emergency 

codes/phrases, safety controller responsibilities, prohibited activities such as alcohol and drug use) 

♦ Logistics (e.g., parking, assembly area, 

transportation, restrooms, food/water) 

♦ Security and access (e.g.,


identification/badges)


♦ Communications (e.g., radio


frequencies/channels)


♦ Schedule of events (e.g., briefings, start 

and end of exercise) 

♦ Maps and directions 

See HSEEP Volume IV for a sample EXPLAN. 

Controller and Evaluator Handbook 

Controller and Evaluator Handbooks (C/E 

Handbooks) supplement EXPLANs and contain 

more detailed information about the exercise 

scenario. They also describe the roles and 

37 
responsibilities of exercise controllers and evalu- Control Staff Instructions 

ators. Because the C/E Handbook contains infor- Control Staff Instructions (COSIN) documents 

mation about the scenario and about exercise contain guidance that controllers, simulators, and 

administration, it should be distributed to only evaluators need concerning procedures and 

those individuals specifically designated as con- responsibilities for exercise control, simulation, 

trollers or evaluators. In addition to containing and support. COSINs typically are developed for 

the same information as the EXPLAN, the C/E large-scale, complex exercises that require more 

Handbook usually contains the following coordination among control staff. The purpose 

sections: of a COSIN is to: 

♦ Detailed scenario information (including ♦ Provide scenario details 

agent fact sheets) 

♦ Develop guidelines for control and 

♦ Roles and responsibilities of functional simulation support 

area or individual controllers and 

evaluators ♦ Explain the exercise concept as it relates 

to controllers and simulators 

♦ Exercise safety plan 

♦ Establish management structure for these 

♦ Controller communications plan activities 


♦ Exercise Evaluation Guides (EEGs) 


See HSEEP Volume IV for samples of a C/E 

Handbook and EEGs. 

♦ Establish and define the control structure’s communication, logistics, and 

administration 

Evaluation Plan Master Scenario Events List 

Evaluation Plans (EVALPLANs) provide evalua- An MSEL contains a chronological listing of the 

tion staff with guidance and instructions on eval- events and injects that drive exercise play. The 

uation or observation methodology to be used MSEL links simulation to action, enhances exeras well as essential materials required to execute cise experience for players, and reflects an incitheir specific functions. During larger, more dent or activity that will prompt players to 

complex exercises, planners may develop an implement the policy or procedure being tested. 

EVALPLAN in lieu of, or in addition to, a C/E Each MSEL record contains: 

Handbook. The EVALPLAN is a limited distribu- ♦ Designated scenario time 

tion document that evaluators use in conjunction with the EXPLAN and the MSEL. Level of ♦ Event synopsis 

detail varies and can include the following: ♦ Controller responsible for delivering 

♦ Exercise overview inject, with controller/evaluator special 

instructions (if applicable) 

♦ Evaluation control organization 

♦ Expected action (player response 

♦ Evaluation methodology and observation expected after an MSEL inject is delivered) techniques 

♦ Intended player (agency or individual 

♦ Evaluator roles and responsibilities player for whom the MSEL inject is 

♦ Evaluation communications plan intended)

More information on the EVALPLAN and the ♦ Objective to be demonstrated (if 

evaluation process can be found in HSEEP applicable) 

Volume II. ♦ Notes section (for controllers and evaluators to track actual events against those 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 38 
listed in the MSEL, with special instructions 

for individual controllers and evaluators) 

Times listed in an MSEL should reflect the time 

an inject should occur. These times should be 

as realistic as possible and should be based on 

input from functional area representatives. For 

example, to determine when triage and treatment should be established during the exercise, 

solicit input from emergency medical services 

(EMS) or a hospital representative. If the activity 

occurs sooner than anticipated, the time should 

be noted but play should not be interrupted. 

There are three types of injects: 

Contextual injects are introduced to a player 

by a controller to help build the contemporary 

operating environment. For example, if the exercise objectives include information sharing, an 

MSEL inject can be developed to direct a controller to select an actor to portray a suspect. 

The inject could then instruct the controller to 

prompt another actor to approach a law enforcement officer and inform him/her that this person was behaving suspiciously. 

Expected action events represent expected 

actions that would normally take place during 

this type of incident. For example, during an FSE 

involving a chemical agent, establishment of 

decontamination is an expected action. 

Contingency injects are events that should be 

verbally indicated to a player by a controller if 

they do not take place. For example, if a simulated secondary device is placed at an incident 

scene but is not discovered, a controller may 

want to prompt an actor to approach a player/ 

first responder and say that he/she witnessed 

suspicious activity close to the device location. 

This should prompt the discovery of the device 

by the responder, and result in subsequent notification of law enforcement (perhaps, specifically, 

the bomb squad). 

MSELs are typically produced in two formats, 

short and long. Short MSELs list the inject, the 

time, a short description, the responsible controller, and a player. These can be used as a 

quick reference guide during exercise play. Long 

MSELs are used when greater detail is necessary; 

they include more detailed descriptions, exact 

quotes for simulation cell (SIMCELL) injects, and 

descriptions of expected actions. 

Message injects are typically used in exercises 

that involve multiple simulated activities. These 

messages are typically delivered via a SIMCELL 

and are used to simulate the actions, activities, 

and conversations of an individual, agency, or 

organization that is not participating in the exercise but that would likely be actively involved 

during a real event. For example, in an exercise 

with limited scope, the State Governor’s office 

may not be playing. To simulate the activities of 

the Governor’s office during an emergency 

event, a message can be scripted to simulate 

notification of the mayor by the Governor. That 

message can be delivered by phone through the 

SIMCELL. This script or message inject should 

be read by a simulator acting on behalf of the 

Governor’s office. 

TIP: When reading message injects, simulators 

should be as realistic and emotional as possible. 

Procedural Flow 

Procedural Flows (PROFLOWs) outline a sequential flow of actions anticipated from participating organizations in response to a hypothetical 

situation. Typically, they are produced for 

national- and international-level exercises to 

describe the procedures of departments and 

agencies that may or may not be published elsewhere. The PROFLOW allows controllers and 

evaluators to track and monitor expected 

actions to ensure their completion at designated 

times. The PROFLOW differs from the MSEL in 

that it contains only expected player actions 

(e.g., establishment of decontamination, triage, 

treatment, transport). The MSEL, on the other 

hand, is a comprehensive tool that contains 

expected actions and controller injects that 

prompt or initiate certain events. 

CHAPTER 4: OPERATIONS-BASED EXERCISES 39 
Exercise Evaluation Guides 

The U.S. Department of Homeland Security, 

Office for Domestic Preparedness (DHS/ODP), 

has developed EEGs to assist with exercise evaluation. These guides incorporate the critical 

tasks that should be completed during an exercise. They were developed for use by both experienced exercise evaluators and by practitioners 

who are subject matter experts (SMEs) but who 

have little or no exercise evaluation experience. 

Each EEG provides evaluators with information 

on what they should expect to hear discussed, 

space to record their observations, and questions 

to consider after the exercise (as the first step in 

the analysis process). 

Each EEG can be used by one individual evaluator assigned to observe individual tasks or 

groups of tasks. During the analysis phase, evaluators combine their observations with those of 

the other evaluators. They reconstruct events 

and analyze outcomes and interactions across 

agencies, disciplines, and jurisdictions to achieve 

broad mission outcomes. The responsible team 

(agency or discipline), function, jurisdiction, and 

mission outcome are indicated on the EEG to 

facilitate analysis. See HSEEP Volume II for 

more information on EEGs. See HSEEP 

Volumes II and IV for sample EEGs. 

Controller and Evaluator Packets 

Prior to an exercise, controllers and evaluators 

should receive the materials that they need to 

carry out their responsibilities. These materials 

can be extracted from the more detailed information found in the C/E Handbook or the 

COSIN. 

A controller packet should contain: 

♦ Essential C/E Handbook or COSIN information (e.g., scenario and threat/hazard 

information, communications, safety, exercise staff organization) 

♦ MSEL (including injects for each responsible controller) 

♦ Maps/directions 

An evaluator packet should contain: 

♦ Essential C/E Handbook or COSIN information (e.g., scenario and threat/hazard 

information, communications, safety, exercise staff organization) 

♦ MSEL/PROFLOW (including injects for 

each responsible controller) 

♦ EEGs 

♦ Maps/directions 

These materials should be placed in a packet 

(e.g., folder, notebook) for ease of use during the 

exercise. 

Exercise Site Areas 

Response Route 

The response route is the path traveled by 

responding emergency units to a simulated incident. This route should be clearly marked and 

free of traffic that is unrelated to the exercise. It 

should lead from the assembly area to the exercise site. 

Response Area 

The response area is a large space where operations take place (e.g., decontamination, triage, 

treatment, RSP). 

Parking 

Established parking areas should be clearly 

labeled for use by observers, media, actors, controllers, and evaluators. Law enforcement personnel should be on hand to help direct vehicles 

to their proper parking areas. 

Registration 

No unauthorized personnel should be allowed 

into the site; everyone associated with the exercise should register. All individuals should register immediately upon arrival at the exercise site 

and receive a badge. See HSEEP Volume IV for 

sample sign-in sheets and badges. 

Assembly Area 

The assembly area is an essential element of an 

operations-based exercise: it is the gathering 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 40 
place for deployable resources prior to the start 

of the exercise. All response units are dispatched from this area, thus all personnel, organizations, and resources who are playing and 

responding to the primary incident site (where 

the triggering event takes place) should report 

to the assembly area. All participants who are 

playing at offsite locations (e.g., hospitals, 

Emergency Operations Centers [EOCs]) should 

report to the areas designated by their respective organizations. 

More than one assembly area may be established 

if the exercise involves multiple sites or events. 

In a real event, units would be dispatched from 

various locations and arrive at different times. 

However, in an exercise, the assembly area provides a safe location in close proximity to the 

exercise from which units can be sent directly 

to the site, allowing actual response times to be 

mimicked in a low-risk environment. The assembly area should not be confused with a staging 

area, which may be established by Incident 

Command (IC) to stage units before their arrival 

on the scene. 

The onsite Assembly Area Controller should 

remain in close communication with other controllers throughout the exercise to ensure the 

safe and realistic dispatch of units. The Assembly 

Area Controller is responsible for the logistical 

organization of the assembly area, including 

placement locations for units and coordination 

of exiting patterns for dispatched units. Excellent organization of this area is critical to exercise success. It is imperative, therefore, for the 

planning team to create a deployment timetable 

based on realistic response times from a unit’s or 

agency’s home station or office. Failure to do so 

will result in a compromised and disorganized 

exercise. See HSEEP Volume IV for a sample 

deployment timetable. 

The Assembly Area Controller must be informed 

about any updates to the exercise that may 

require changes to the deployment timetable. 

Should such changes be required, the Assembly 

Area Controller will update the deployment 

timetable. When the most current information is 

used, appropriate units will be dispatched and 

arrive on schedule, allowing the remainder of the 

exercise to proceed smoothly and realistically. 

When a unit arrives at the assembly area, the 

controller should “take attendance” to ensure all 

players are present. Units should be positioned 

according to their deployment times. In accordance with DHS/ODP weapons policy, a weapons 

check must be performed by qualified individual(s) to guarantee the tagging of all inspected 

weapons to indicate they are safe for exercise 

play. 

Approximately 15 to 30 minutes before the start 

of exercise play, the Assembly Area Controller 

should conduct a briefing for all players to 

address individual roles and responsibilities, 

exercise parameters, safety, badges, and any 

remaining logistical exercise concerns or questions. See HSEEP Volume IV for a sample 

assembly area player briefing. 

Measures should be in place to ensure the simulation of real-world response times. When dispatched, units should not leave the assembly 

area until directed to do so. Units will be 

released based on a realistic response time from 

their home station to the incident site. If units 

are not requested or deployed according to the 

deployment timetable, the Assembly Area Controller should notify and coordinate the deployments with the Exercise Director. Because 

personnel may be gathered in the assembly area 

for a significant amount of time prior to dispatch, 

it is important to have provisions, such as potable 

water and restrooms, available. Following the 

exercise, controllers should ensure that appropriate players attend the postexercise hot wash 

in their respective functional area. 

Observer/Media Area 

If observers and media are invited to an exercise, they should be directed to a designated 

area that provides them with a view of exercise 

play. This designated area serves as a means to 

keep observers and media from interfering with 

exercise play. It should be adjacent to the exercise site but should not allow interference with 

response routes or egress points. Because many 

jurisdictions prefer to keep operations of groups 

such as special weapons and tactics teams, bomb 

squads, and explosive ordnance disposal (EOD) 

teams confidential, these activities could take 

CHAPTER 4: OPERATIONS-BASED EXERCISES 41 
place some distance from the observer/media response academies, medical classes, and 

area. Federal/State military units. Potential actors 

should inform exercise staff of any preexisting 

Simulation Cell conditions, such as pregnancy or diabetes, that 

A SIMCELL is used to generate injects and may require special treatment or conditions. 

receive player responses to nonparticipating 

agencies. For example, if IC requests the closure Waiver Forms 

of air space around an incident site, the SIMCELL Each victim actor should receive a waiver form 

would receive the call rather than the Federal prior to the day of the exercise. Signing this 

Aviation Administration (FAA). The SIMCELL also form waives liability for all exercise planners and 

provides information in place of a nonparticipat- participants. Jurisdictions should use discretion 

ing agency. For example, if the Federal Bureau when recruiting actors under the age of 18 

of Investigation (FBI) is not participating, the because of additional challenges and concerns 

SIMCELL may be used to simulate communica- related to liability, maturity, and emotional reaction to and from the FBI Strategic Information tions. If the event requires volunteers younger 

Operations Center. than age 18, parents or legal guardians should 

Physically, the SIMCELL is a working location for sign their waiver forms. See HSEEP Volume IV 

a number of qualified professionals who portray for a sample actor waiver form. 

nonparticipating organizations, agencies, and Actor Instructions individuals who would likely participate actively 

in response to an actual event. Depending on Volunteers should receive their instructions 

the type of exercise, the SIMCELL may require a prior to the day of the exercise. These instrucphone, fax machine, computer, e-mail account, or tions should tell volunteers about any special 

other means of communication. considerations, such as: 

♦ Wear old clothing because clothing could 

TIP: Drama students, police and fire academy possibly get cut or ripped 

recruits, nursing students, and military person- ♦ Wear a bathing suit under outer garments nel often make excellent victim actors. Some because the decontamination process victim actors can receive volunteer service could be wet credit for participating in an event that benefits


first responders and the entire community. ♦ Eat prior to attending the exercise


Actors 

Volunteer victim actors are an important part of 

an operations-based exercise. They provide added 

realism and force participants to provide simulated victim care. Recruiting victim actors is one 

♦ Expect a long, tiring day 

♦ Do not wear expensive clothing or 

jewelry 

♦ Tell the victim actor coordinator about 

preexisting conditions 

Victim actor instructions should also include of the biggest challenges of any operations-based 

exercise. As soon as the planning team deter- information on when to arrive, where to report, 

mines the total number of actors needed, team and whether a meal will be provided during or 

after the exercise. See HSEEP Volume IV for members should begin recruiting from local sample actor instructions. sources. 

Sources 	 Symptomology Cards 

Exercise planning team members can recruit vic- Each victim actor should be provided with a 

tim actors from local colleges and universities, unique symptomology card containing the signs 

drama clubs, theaters, civic groups, emergency	 and symptoms the actor will portray, as well as 

information for medical providers. The victim 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 42 
actor coordinator or his/her staff should explain 

these cards to victim actors before the exercise 

and answer any questions. Victim actors will be 

instructed to keep these cards with them at all 

times during the exercise, and to not step out 

of character except in the event of a real 

emergency. 

These cards should, at a minimum, include: 

♦ Vital signs (e.g., blood pressure, respiration) 

♦ Symptoms (e.g., dizziness, pain, nausea) 

♦ Trauma injuries (e.g., lacerations, wounds, 

broken legs) 

♦ Acting instructions (e.g., disorientation, 

emotional distress) 

♦ Special needs (e.g., language barriers, 

physical limitations) 

Moulage 

Moulage is makeup applied to victim actors to 

add realism to an exercise. It includes fake blood, 

plastic bones, and any other makeup that helps 

a victim actor emulate the signs and symptoms 

on his/her symptomology card. Although not required, moulage is encouraged at all operationsbased exercises. School drama clubs, military 

units, community theaters, the American Red 

Cross, and morticians are common resources for 

moulage staff. 

TIP: Simulants can be placed on actors’ skin and 

clothes before the exercise to allow responders 

to see actual evidence of agent contamination. 

Ultraviolet lighting can be used to expose fluorescent simulant. 

Water/Food 

Water should be provided to all victim actors at 

all operations-based exercises. It is important 

that victim actors do not become dehydrated. 

If an exercise exceeds 4 hours, a meal, usually 

a box lunch, should be provided. Victim actors 

should receive instructions on how to get water 

and meals. Ideally, water should be placed at 

designated stations throughout the exercise 

site, or bottles of water should be on hand for 

distribution. 

Transportation 

If victim actors are transported offsite, round 

trip transportation should be coordinated before 

the exercise starts. Victims should have transportation back to their vehicles at the conclusion of the exercise. 

TIP: A great way to transport victim actors from 

the primary incident scene to offsite hospitals 

is to use a bus that could also simulate ambulance transport. 

Self-Referrals 

Some hospitals may wish to practice handling 

self-referred victims or worried-well patients. In 

those cases, the number of patients each hospital will receive and the method of transport to 

these hospitals should be predetermined. Victim 

actors portraying self-referring victims should be 

prestaged at the appropriate hospital(s) prior to 

the start of the exercise and must be monitored 

for safety, food, and water. 

Hospital/Victim Breakdown 

In exercises with hospital participation, which 

hospitals will receive victim actors should be 

determined prior to the exercise. This breakdown should include: 

♦ Total number of patients each hospital 

will receive, by severity (e.g., walking 

wounded, severe, moderate, trauma) 

♦ Number of actors that will be transported 

from the primary incident site to each 

hospital 

♦ Number of self-referring patients 

♦ Special considerations (e.g., pediatric/ 

geriatric, language barriers) 

♦ Number of actors that will be prestaged 

(generally self-referrals) at each hospital 

This breakdown should be taken into consideration when making transportation arrangements. 

See HSEEP Volume IV for a sample hospital/ 

victim breakdown list. 

CHAPTER 4: OPERATIONS-BASED EXERCISES 43 
Media/Public Information 

Public Information/Press Release 

Prior to each exercise, the planning team should 

develop a written release to be disseminated to 

media outlets. This release informs the media 

(and the public) about general exercise information (e.g., location, date). Prior to an operationsbased exercise, it is particularly important to 

release information about exercise activities 

that may impact the public or cause citizens to 

believe a disaster has actually occurred. 

Additionally, this information can be distributed 

to observers and senior officials (e.g.,VIPs, management). The document should not contain 

detailed scenario information, such as the hazard 

or venue, or any information that could hinder 

exercise outcome if read by a participant. 

Typically, the contents of an exercise public 

information/press release should include: 

♦ Introduction: 

• Sponsoring agency 

• Program information 

• Expected outcomes 

♦ Purpose 

♦ Scope and duration 

♦ General scenario (e.g., location, goals, 

objectives) 

♦ Participating agencies, grouped by locality 

and functional area 

See HSEEP Volume IV for a sample public 

information/media release. 

Public Announcement 

Prior to any operations-based exercise, announcements should be made to the public. This precaution will alleviate any confusion on the part 

of passing motorists or pedestrians. It will also 

help the public avoid congestion near the exercise site by providing suggestions for alternate 

routes. Announcements can be made on local 

television or radio, in local newspapers, through 

mass mailings or pamphlets, and/or on signs 

near the exercise site. See HSEEP Volume IV for 

a sample public announcement. 

Media Policy 

During operations-based exercises, media may be 

allowed to film certain activities but should be 

cautioned not to interfere with exercise play. 

Unless media is invited to participate in the 

exercise, a guide (typically a Public Information 

Officer [PIO] or designee) should escort media 

at all times. 

Site Logistics 

Badging/Identification 

For security purposes, all exercise participants 

should wear some form of identification. Although players may wear their response uniforms, all other participants (e.g., controllers, 

evaluators, actors, observers/VIPs, support staff) 

should be clearly identified. This identification is 

usually accomplished through a color-coded system of badges and hats. Badges and hats should 

be distributed before conducting the exercise, 

perhaps during registration or briefings. Player/ 

responders should receive information about the 

forms of identification they will see at the exercise play area and what each color represents. 

Restrooms 

Restrooms should be available to all individuals 

involved in an exercise. Facilities should include 

portable and/or permanent restrooms at the 

assembly area and the exercise play area. 

Canteen/Water/Food 

At a minimum, water should be available to all 

individuals present during exercise conduct. If 

an exercise exceeds 4 hours in length, a meal, 

usually a box lunch, should be available to victim 

actors, participants, controllers, and evaluators. 

Victim actors should be instructed to eat prior 

to arriving at the exercise. 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 44 
TIP: Local American Red Cross and Salvation 

Army chapters are excellent sources for canteen supplies (food and refreshments) as well 

as blankets for decontaminated actors. Some 

communities have received donated water and 

food from private companies (e.g., soda distributors, fast food chains). 

Communications 

Prior to an exercise, a radio frequency or designated exercise channel should be identified for 

player/responder use. The selected frequency 

should not interfere with normal operations that 

are outside the scope of the exercise. All radio 

and/or telephone conversations with players, 

either at the primary incident site or at an offsite location, should begin with the phrase,“This 

is an exercise.” 

In addition, a separate radio frequency should be 

assigned for use by controllers when coordinating exercise logistics, updating exercise status, 

and relaying information on real emergencies, if 

necessary. Handheld radios should be provided 

to all controllers prior to an exercise. 

Videotaping 

Because of security concerns, it is important for 

the exercise planning team to determine which 

parts of an exercise, if any, will be videotaped. 

If there is a videotaping team, members should 

be clearly identified with badges, vests, or other 

forms of identification that allow them free reign 

in the exercise play area. This team should not 

be confused with members of the media. 

Props/Devices 

Props and devices can add realism to an exercise 

and also can test responder awareness. Frequently, jurisdictions use decoy secondary 

devices to test first responders’ recognition 

skills. Devices such as flash bangs, smoke 

machines, and sprayers and props such as auto 

wreckage and debris can be used to initiate an 

event. However, these items require logistical 

considerations to ensure participant safety. More 

information on props and devices is provided in 

the Exercise Enhancement section (pp. 47–48). 

Site Security 

Because of the sensitive nature of exercises, and 

because exercises themselves may become targets, it is important for the exercise site to be 

secure. Local law enforcement should provide 

site security. Site security personnel are the only 

individuals involved with the exercise who 

should remain armed. 

Weapons Check/Policy 

It is DHS/ODP policy that all exercises have a 

written weapons policy in place prior to exercise conduct. In accordance with DHS/ODP 

policy, qualified individual(s) must perform a 

weapons check to clear all inspected weapons. 

These weapons will be clearly marked to indicate they are safe for use in exercise play. All 

players, with the exception of site security personnel, should adhere to this policy. See HSEEP 

Volume IV for DHS/ODP weapons policy. 

Safety 

Safety is one of the most important considerations in conducting an exercise. The following 

safety issues should be addressed: 

♦ Identify a Safety Controller (not to be 

confused with a Safety Officer designated 

by IC) 

♦ Dedicate advanced life support or basic 

life support ambulance unit(s) for realworld emergencies only 

♦ Identify real-world emergency procedures 

with a code word or phrase 

♦ Identify safety requirements (e.g., establish 

policies on alcohol/drug use, medications, 

personal protective equipment [PPE]) 

♦ Consider other safety issues (e.g., weather, 

heat stress, hypothermia, fire/pyrotechnics, 

weapons, animals/K–9s, use of force) 

CHAPTER 4: OPERATIONS-BASED EXERCISES 45 
TIP: A great training opportunity for many communities involves including a National Guard 

Civil Support Team (CST) in an operations-based 

exercise. Fully operational CSTs have dedicated 

resources and the capability to (among other 

things) detect and identify agents and perform 

interoperable communication. Although their 

response times can vary, for the purposes of 

the exercise, the CST deployment time can 

be artificially compressed to allow the team 

to play. In addition, the CST can arrive the 

day before the exercise to conduct a training 

seminar (usually after the controller and evaluator briefing) to educate the community on its 

capabilities. 

Conduct 

Exercise Participants 

Players 

Players are agency personnel who perform their 

regular roles and responsibilities during the 

exercise. Communications (e.g., dispatch, EOC) 

personnel who may be offsite but who have an 

integral role in directing agency responses 

and actions are also players. Players initiate 

actions that control and mitigate the simulated 

emergency. 

Controllers 

Controllers are exercise participants who plan 

and manage exercise play, set up and operate the 

exercise incident site, and act in the roles of 

response individuals and agencies not actually 

playing in the exercise. Controllers give key 

data to players and may prompt or initiate certain player actions (as listed in the MSEL/ 

PROFLOW) to ensure exercise continuity. Controllers are the only participants who should 

provide information or direction to players. All 

TIP: Some communities include venue employees (e.g., stadium concessionaires, security 

guards) as planning team members and/or 

players or support staff during exercise conduct (to practice internal procedures such as 

notification and evacuation). 

controllers should be accountable to a Senior 

Controller. A controller may also serve as an 

evaluator. 

Evaluators 

Evaluators are chosen from various agencies to 

evaluate and comment on designated functional 

areas. Evaluators are chosen based on their 

expertise in the functional area(s) they review, 

and have a passive role. They only note the 

actions of players and do not interfere with exercise flow. 

Actors 

Actors are volunteer exercise participants who 

simulate specific roles during exercise play. An 

actor also may serve as an evaluator or as a simulator acting on behalf of an agency or organization not playing in an exercise. Individuals 

acting as simulators are usually placed in a SIMCELL to inject messages via phone, fax, or e-mail. 

Observers 

Observers view all or selected portions of exercise play. Observers do not participate in exercise play or in exercise control functions. 

Briefings 

Held prior to an exercise, briefings educate participants about their roles and responsibilities. 

By scheduling separate briefings for controllers 

and evaluators, actors, and players onsite and offsite, planning team members can avoid giving 

extraneous material to different groups. Presentations should accompany most of these briefings. Subsequent debriefs then provide an 

opportunity to review general exercise proceedings after the exercise is completed. 

Controller and Evaluator Briefing 

The C/E briefing is generally conducted the day 

before an operations-based exercise. It begins 

with an exercise overview and then covers 

location and area, schedule of events, scenario, 

control concept, controller and evaluator responsibilities, and any miscellaneous information. 

This briefing generally lasts 1 to 2 hours. See 

HSEEP Volume IV for a sample C/E briefing. 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 46 
Hospital Briefing 

The hospital briefing is generally conducted the 

day before an operations-based exercise for participating hospital controllers and evaluators. It 

is used to review communications between the 

exercise site and hospitals, notification procedures, schedule of events, scenario, controller 

and evaluator responsibilities, actor issues, and 

any miscellaneous information. This briefing 

generally lasts 1 to 2 hours. See HSEEP Volume 

IV for a sample hospital briefing. 

Actor Briefing 

The actor briefing is generally conducted the 

morning of the exercise, prior to the victim 

actors taking their positions on the exercise 

field. The victim actor coordinator should lead 

this briefing and include the following information: exercise overview, safety, what to do in the 

event of an actual emergency, symptomology, 

acting instructions, and schedule. Identification 

badges and symptomology cards should be distributed before or during this briefing. If 

moulage is to be applied to actors, it should be 

completed before the briefing. See HSEEP 

Volume IV for a sample actor briefing. 

Observer Briefing 

An observer briefing informs exercise observers 

about program background, scenario, schedule 

of events, observer limitations, and any other 

miscellaneous information. Many times, 

observers will be unfamiliar with public safety 

procedures and will have questions about the 

activities they see. Designating someone (such 

as a response agency PIO) to answer questions 

will prevent observers from asking questions of 

participants, controllers, or evaluators. The 

observer briefing is generally conducted the day 

of an exercise and lasts 1 hour. 

Player Hot Wash 

The player hot wash occurs immediately following the exercise and allows responders to provide immediate feedback. It enables controllers 

and evaluators to capture information about 

events while everything is still fresh in players’ 

minds. It also allows them to ascertain the level 

of satisfaction with the exercise, identify issues 

or concerns, and propose items for improvement. Each functional area should conduct its 

own hot wash, which should be facilitated by 

the lead controller for that area. Players should 

complete and submit their feedback forms during the hot wash. All evaluators will take notes 

for later compilation during play and hot washes 

in their functional areas. Information from the 

participant feedback forms will be used to help 

generate the After Action Report (AAR). Attendance lists will be collected and secured by the 

Lead Exercise Planner. See HSEEP Volume IV 

for sample feedback forms. 

Controller and Evaluator Debrief 

The C/E debrief provides a forum for functional 

area controllers and evaluators to review the 

exercise. This debrief features a facilitated discussion and provides each controller and evaluator with an opportunity to provide an overview 

of the functional area they observed and to discuss both strengths and areas for improvement. 

During the debrief, controllers and evaluators 

should complete and submit their EEGs and 

feedback forms. This debrief should be facilitated by the Lead Exercise Planner or Exercise 

Director. Debrief results will be captured for 

inclusion in the AAR. See HSEEP Volume IV for 

a sample C/E debrief. 

Hospital Debrief 

This debrief is generally conducted the day after 

the exercise, and enables hospital representatives 

to assess the medical community’s response. It 

features a facilitated discussion covering each 

hospital’s experience during the incident. During the debriefing, controllers and evaluators 

should complete and submit their EEGs and 

feedback forms. This debrief should be facilitated by the Exercise Director or Lead Hospital 

Controller. Results should be captured for inclusion in the AAR. See HSEEP Volume IV for a 

sample hospital debrief. 

Exercise Enhancement 

Enhanced exercises provide a realistic scenario 

or field environment and add an increased level 

CHAPTER 4: OPERATIONS-BASED EXERCISES 47 
of learning potential for participants. Enhancements can range from using scenarios based on 

detailed research on a specific chemical hazard 

(e.g., toxicity, volatility, dissemination methods) 

to providing props such as explosion debris, 

mannequins, smoke, or moulaged victims. The 

following paragraphs detail some operationsbased exercise enhancements. 

Props 

Props are nonfunctional replications of objects, 

the presence or discovery of which requires certain actions by exercise players. Examples 

include simulated bombs, bomb blast debris 

(shrapnel), mannequins or body parts, and foam 

bricks and beams. Simulants that mimic the 

effects of chemical hazards or that cause a positive reading of an actual detection device are 

also considered props. Reading simulated prop 

text is a suitable method of providing detailed, 

scripted information. However, reading a prop 

copy of a local newspaper that includes a 

scripted article related to the exercise scenario 

is an effective way to enhance what might otherwise be a bland message. 

Equipment 

When feasible, it is more desirable to use real 

equipment than simulated props. Using real 

equipment has the added effect of familiarizing 

personnel with their tools of the trade. For 

example, emergency medical technician (EMT) 

staff will derive more benefits from completing 

medical triage tags than from stating what they 

would do if they had triage tags. However, when 

players treat victim actors, they must use noninvasive equipment (e.g., no needles, no intubations). 

Personnel 

Using actual team members and victim actors is 

essential for exercise realism. Teams that consistently train and practice together tend to respond more effectively and cohesively. Every 

effort should be made to incorporate existing 

teams into the exercise as players. For example, 

include hazardous materials (HazMat) and bomb 

squads; disaster medical assistance teams; and 

evidence response, special reaction, and hostage 

negotiation teams. Using actors as victims 

enhances realism for all response staff who interact directly with them. Soliciting volunteers 

from the local jurisdiction helps develop a sense 

of community and assures community members 

that their first responders are well-trained. 

Special Effects 

A special effect is a technical enhancement that 

typically requires trained and licensed personnel, special permission for use, and additional 

safety and/or security precautions. Examples 

include the employment of pyrotechnics or 

explosives, or the use of makeup specialists. 

Moulage is a special effect technique often performed by local personnel with some training. 

Exercise Play Rules 

Exercise play rules establish the parameters that 

participants will follow. These rules describe 

appropriate behavior for participants when 

physical contact is necessary or when participant actions become overemotional or excessive. Rules are established in advance of the 

exercise to provide opposing sides, such as a 

barricaded hostage taker and law enforcement 

personnel, with a safety net to prevent physical 

harm to individuals or damage to property. 

Rules are particularly important when an opposing force, such as a mock terrorist cell, is used in 

exercise play. Detailed safety measures and control of opposing force activities are required during all facets of an exercise. 

In all cases when opposing force or victim actor 

play is involved, written rules will be provided 

in advance to all parties. These rules should first 

be reviewed and approved by appropriate 

authorities. 

Drills 

A drill is a coordinated, supervised activity usually employed to validate a specific operation or 

function in a single agency or organization. 

Drills are commonly used to provide training on 

new equipment, develop or test new policies or 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 48 
procedures, or practice and maintain current 

skills. Drills are narrow in scope and typically 

focus on a specific aspect of an operation. For 

example, drills are appropriate for assessing 

response time to an alarm, checking the ability 

of a guard to use a metal detector, or determining if a 911 operator can appropriately direct a 

call reporting suspicious behavior that may 

involve terrorism. Drills can be used to determine if plans can be executed as designed, to 

assess whether more training is required, or to 

reinforce best practices. 

In addition to being useful as a stand-alone tool, 

a series of individual agency drills can also be 

used to prepare several agencies to collaborate 

in an FSE. For example, plans for an FSE may involve a response to a simulated radiological 

dispersal device detonation that results in 

radioactively contaminated mass casualties and 

a crime scene. Preparatory drills for this exercise might include: 

♦ A decontamination drill for firefighters 

and EMTs to practice and demonstrate 

decontamination procedures 

♦ A “hot line” management drill for law 

enforcement officials and firefighters to 

practice investigation and collection of 

evidence in a radioactive environment 

♦ A hospital triage drill to practice receiving 

potentially contaminated patients 

Typical attributes of drills include: 

♦ Narrow focus, results measured against 

established standards 

♦ Instant feedback 

♦ Realistic environment 

♦ Performance in isolation 

♦ Preparation for exercises that are larger in 

scope (i.e., full-scale exercises) 

For every drill, clearly defined plans, policies, and 

procedures need to be in place. Personnel need 

to be familiar with those plans and policies, and 

to be trained in the processes and procedures to 

be drilled. 

CHAPTER 4: OPERATIONS-BASED EXERCISES 

A drill may start with brief remarks by the Lead 

Exercise Planner. Once controllers and evaluators are properly stationed, the drill begins. If no 

safety issues arise, the drill continues until the 

process is complete, time expires, or objectives 

are achieved. During the event, participants 

must know that they are participating in a drill 

and not an actual event. 

Controllers ensure that participant behavior 

remains within predefined boundaries and that 

entities not involved in the drill (but that would 

be involved in an actual event) do not respond. 

Evaluators observe behaviors and compare them 

against established plans, policies, procedures, 

and standard practices (if applicable). Safety 

controllers ensure all activity takes place within 

a safe environment. 

Functional Exercises 

FEs, also known as command post exercises 

(CPXs), are single or multiagency activities 

designed to analyze and evaluate agency capabilities, multiple functions and/or subfunctions, or 

interdependent groups of functions. FEs focus 

on exercising plans, policies, procedures, and 

staffs involved in management, direction, command, and control functions (e.g., IC/Unified 

Command [UC], EOC). Events are projected 

through a scripted exercise scenario with builtin flexibility that allows updates to drive activity 

at the management level. FEs are conducted in a 

realistic, real-time environment; however, movement of personnel and equipment is simulated. 

The objective of an FE is to execute specific 

plans and procedures in response to an event, 

and to apply established policies, plans, and procedures under crisis conditions. FEs simulate 

the reality of operations in a functional area by 

presenting complex and realistic problems that 

require critical thinking, rapid problemsolving, 

and effective response in a highly stressful environment by trained personnel from a particular 

function team. Typical FE attributes include: 

♦ Performance analysis 

♦ Management evaluation of EOCs, command posts, headquarters, and staff 

49 
♦ Inspection of established policies and procedures that pertain to the scenario 

♦ Measurement of adequacy, appropriation, 

and acquisition of resources 

♦ Examination of interjurisdictional 


relationships


♦ Use of an MSEL as the primary tool that 

drives exercise play 

To create an effective environment, the exercise 

planning team should represent the real world 

with respect to potential areas of play. Agency 

and player actions must be anticipated, and 

information resources must be identified and 

assembled. As with other types of operationsbased exercises, the exercise planning team 

must ensure that entities not involved with the 

exercise (but who would be involved in a real 

event) do not respond. 

Briefing and training of controllers and evaluators should be accomplished prior to the exercise date. This briefing and training should be 

long enough to allow for questions and a visit to 

the exercise site. Controllers and evaluators 

should be able to meet each other and determine where they will be located during the 

exercise. Controllers should be briefed on their 

responsibilities and the rules of engagement, and 

evaluators should become familiar with exercise 

objectives, exercise forms, and the reporting 

process. Controllers and evaluators should find 

positions for themselves where they can observe 

actions but avoid impeding exercise play. 

Except in the event of adverse weather conditions, thorough planning should allow an exercise to begin on time. Security should be in 

place at least 2 hours before the exercise starts. 

Controllers, evaluators, observers, and media 

should be in place sufficiently early to allow the 

exercise to start on time. Observers and media 

should remain in their assigned areas throughout 

the exercise (unless escorted by an official). 

PIOs should be available to interpret actions 

and/or provide briefings to observers and media, 

as appropriate. During the FE, participants must 

know that they are participating in an exercise, 

not an actual incident. 

FE controllers use an MSEL to ensure participant 

behavior remains within predefined boundaries. 

Controllers in the SIMCELL will inject scenario 

elements to simulate real events. Evaluators will 

observe behaviors and compare them against 

established plans, policies, procedures, and standard practices (if applicable), as well as against 

the timeline set forth in the MSEL. Safety controllers will ensure all activity takes place within 

a safe environment. 

Although the exercise may have a time limit, it is 

best if the end of the exercise occurs after exercise objectives have been met and all required 

functions are completed to the satisfaction of 

the Exercise Director and/or the exercise planning team. 

Full-Scale Exercises 

FSEs are typically the most complex and resource intensive type of exercise. These multiagency, multijurisdictional exercises test many 

facets of emergency response and recovery. 

They include many first responders operating 

under an Incident Command System (ICS) or 

Unified Command System (UCS) to effectively 

and efficiently respond to, and initiate recovery 

from, an incident. An FSE focuses on implementing and analyzing the plans, policies, and procedures developed in discussion-based exercises 

and honed in previous, smaller, operations-based 

exercises. Events are projected through a 

scripted exercise scenario that has built-in flexibility to allow updates to drive activity. The FSE 

is conducted in a real-time, stressful environment 

that closely mirrors a real event. First responders and resources are mobilized and deployed to 

the scene where they conduct their actions as if 

a real incident had occurred (with a few minor 

exceptions). The FSE simulates reality by presenting complex and realistic problems involving operations in multiple functional areas that 

require critical thinking, rapid problemsolving, 

and effective responses by trained personnel in 

a highly stressful environment. 

Typical FSE attributes include: 

♦ Mobilization of units, personnel, and 

equipment 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 50 
♦ Use of established policies and procedures 

(as they pertain to the scenario) 

♦ Measurement of adequacy, appropriation, 

and acquisition of resources 

♦ Examination of interjurisdictional


relationships


♦ Performance analysis 

The level of support needed to conduct an FSE 

is greater than that needed for other types of 

exercises. The exercise site for an FSE is usually 

vast, and site logistics require close monitoring. 

Safety issues, including those surrounding the 

use of props and special effects, must be monitored. Throughout the duration of the exercise, 

many activities occur simultaneously. 

Controllers and evaluators should meet together 

prior to the exercise (possibly during the C/E 

briefing) to determine their locations during the 

exercise. Controllers should be briefed on their 

responsibilities, rules of exercise play, and use of 

the MSEL or other tools. Evaluators should be 

familiar with exercise objectives, forms, and the 

reporting process. Controllers and evaluators 

should find positions for themselves where they 

can observe exercise activity but be as unobtrusive as possible. 

Except in the event of adverse weather conditions, thorough planning should allow an exercise to begin on time. Security should be in 

place at least 2 hours before the start. Controllers, evaluators, observers, and media should 

be in place sufficiently early to allow the exercise to start on time. Observers and media 

should remain in their assigned areas throughout 

the exercise (unless escorted by an official). 

PIOs should be available to interpret actions 

and/or provide briefings to observers and media, 

as appropriate. During the FSE, participants 

must know that they are participating in an 

exercise, not an actual incident. 

Controllers ensure participant behavior takes 

place within predefined boundaries and that 

entities not involved in the exercise (but who 

would be involved in the actual event) do not 

respond. SIMCELL controllers will inject scenario elements to simulate real events. Evaluators will observe behaviors and compare them 

CHAPTER 4: OPERATIONS-BASED EXERCISES 

against established plans, policies, procedures, 

and standard practices (if applicable). Safety 

controllers will ensure all activity takes place 

within a safe environment. 

Although the exercise may have a time limit, it is 

best if the end of the exercise occurs after exercise objectives have been met and all required 

functions are completed to the satisfaction of 

the Exercise Director and/or the exercise planning team. 

Evaluation 

The evaluation process for all operations-based 

exercises should include a formal exercise evaluation, integrated analysis, and the AAR/IP. This 

process begins during exercise planning and 

ends when improvements have been implemented and validated through subsequent exercises. The HSEEP process includes the following 

eight steps: 

Step 1:	 Plan and organize the evaluation 

Step 2:	 Observe the exercise and collect data 

Step 3:	 Analyze data 

Step 4:	 Develop the draft AAR 

Step 5:	 Conduct an exercise debrief 

Step 6:	 Identify improvements to be 

implemented 

Step 7:	 Finalize the AAR 

Step 8:	 Track implementation 

See HSEEP Volume II for more information on 

evaluation, AARs, and improvement planning. 

After Action Report 

A draft AAR should be completed within 30 days 

of exercise conclusion. To allow sufficient time 

for review, the exercise planning team should 

have the draft completed within 3 weeks. The 

AAR transmittal letter informs the Lead Exercise 

Planner or SAA official that his/her review 

period should not exceed 3 weeks. Once 

the Lead Exercise Planner concurs with all 

changes, the AAR is approved for publication. 

51 
See HSEEP Volume IV for a sample AAR letter of 

transmittal. 

The Lead Exercise Planner will determine the 

number of copies of the AAR needed and 

distribute them to participants. A copy of the 

final AAR must be provided to the DHS/ODP 

Exercise Manager. See HSEEP Volume II for 

more information on AARs and for a sample 

format. 

Lessons Learned Information Sharing 

The recommendations contained in the AAR/IP 

should be based on lessons learned and best 

practices, which can then be captured and 

shared with other communities to enhance preparedness across the country. 

DHS/ODP has created a lessons learned and best 

practices network to collect and disseminate information on lessons learned and best practices 

identified through terrorism exercises and incidents. This network is administered by the National Memorial Institute for the Prevention of 

Terrorism (MIPT) in Oklahoma City and is available at http://www.llis.dhs.gov. 

See HSEEP Volume IV for more information on 

the Lessons Learned Information Sharing (LLIS) 

system. 

Improvement Planning 

Operations-based exercises offer jurisdictions a 

unique opportunity to examine the cohesiveness 

of numerous plans, policies, and procedures in a 

high-stress environment, but outside the scope 

of a real emergency. Postexercise activities 

are essential to realizing the benefits from an 

operations-based exercise. Careful analysis and 

prioritization should go into developing AAR 

recommendations and IP content. 

Improvement Plan 

The Improvement Plan (IP) is the means by 

which the lessons learned from the exercise are 

converted into concrete, measurable steps that 

will result in improved response capabilities. It is 

developed by the jurisdiction and specifically 

details the actions that will be taken to address 

each recommendation presented in the draft 

AAR, who or what agency will be responsible for 

taking the action, and the timeline for completion. Responsibility for an initial IP should be 

assigned at the exercise debrief. The final IP is 

included in the final AAR. 

Some improvement actions will require resources 

to be expended; therefore, the IP should be realistic in establishing priorities. Recommendations 

related to critical tasks (as outlined in HSEEP 

Volume II) should receive top priority in resource 

allocation. The IP may identify the need for additional training or exercises. If no resources are 

available, alternative short- and long-term solutions, such as mutual aid agreements, should be 

considered. 

After Action Conference 

The After Action Conference should be conducted after the AAR is developed and comments 

from key personnel are incorporated. The After 

Action Conference is typically a half-day workshop in which key personnel and the exercise 

planning team are presented with findings and 

recommendations from the AAR. The lead facilitator will review the AAR and ask participants to 

identify action items to address the issues and 

recommendations. Once action items have been 

identified, responsibility will be assigned to either 

an individual or agency/organization to complete 

each item. Due dates should be established. 

Tracking Implementation 

After the IP has identified recommendations and 

action items, and responsibility and due dates 

have been assigned, the jurisdiction should 

ensure that each action item is tracked to 

completion. 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III: 

EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 52 
NOTES


1.The word “State” as mentioned throughout this 

manual refers to the State Administrative Agency 

(SAA), the designated agency responsible for exercise administration and coordination. Although 

the U.S. Department of Homeland Security, Office 

for Domestic Preparedness (DHS/ODP), oversees 

and administers the Urban Areas Security Initiative (UASI), the State is ultimately responsible for 

meeting the requirements outlined in the Homeland Security Exercise and Evaluation Program 

(HSEEP) and for ensuring its urban areas and 

local jurisdictions are in accordance with this 

doctrine. 

2. Refers to DHS/ODP funding through either 

the Homeland Security Grant Program (HSGP) 

or the Urban Areas Security Initiative (UASI). 

53 
APPENDIX A


Secure Web-Based Portal 

Secure Portal 

Exercise materials for the U.S. Department of 

Homeland Security, Office for Domestic Preparedness (DHS/ODP) Homeland Security 

Exercise and Evaluation Program (HSEEP), 

are located on a secure Web-based portal at 

http://odp.esportals.com. This site includes the 

following materials, tools, and capabilities: 

♦ HSEEP Volumes I–IV 

♦ Library of sample exercise materials and 

resources 

♦ Exercise scheduling system 

♦ Interim exercise reporting process 

♦ Community forum to share ideas 

♦ Links to Lessons Learned Information 

Sharing (LLIS) system (housed at the 

National Memorial Institute for the 

Prevention of Terrorism [MIPT]) 

HSEEP Library 

Electronic versions of the first three HSEEP manuals and all Volume IV materials are located in 

the portal’s library. These materials will be continually updated and enhanced based on changing conditions and best practices. 

Exercise Scheduler 

The exercise scheduler facilitates coordination 

among Federal, State, and local jurisdictions and 

minimizes personnel hours required to schedule 

and report an exercise. States and their respective local jurisdictions can schedule exercise 

planning conferences and exercise conduct 

dates through the scheduler. A calendar is 

created for each State based on exercise data 

(e.g., dates, times, types of exercises) entered by 

participating agencies and jurisdictions. This 

allows States to track and coordinate all exercise 

activities occurring in their jurisdictions and 

share schedules with DHS/ODP. 

Interim Exercise Reporting Process 

DHS/ODP is currently working with other 

Federal and State partners to develop a formal, 

collaborative,Web-based reporting system. 

Documentation that should be submitted to 

DHS/ODP includes: 

♦ After Action Reports (AARs) 

♦ Improvement Plans (IPs) 

♦ Multiyear Exercise Plans 

States can use the portal to submit this required 

documentation to DHS/ODP. 

HSEEP Forum 

DHS/ODP’s Exercise Division welcomes suggestions, ideas, and comments on all HSEEP 

materials. The portal offers a collaborative environment in which documents can be enhanced 

and updated based on new ideas or changing 

conditions. The portal also includes a link to the 

DHS LLIS system. 

Additional exercise tools will be posted and 

existing materials will be updated regularly; 

users should monitor the site for enhancements. 

Access/Security 

State Administrative Agencies (SAAs) and their 

designated training and exercise points of contact (POCs) will receive access to the portal via 

A–1 
e-mail invitation. One to three representatives 

from each State will receive administrative rights 

to grant access to other agency and jurisdiction training and exercise coordinators. Only 

DHS/ODP managers and the respective State/ 

jurisdiction representatives will have access to 

materials and information specific to a particular 

State (e.g., schedules, training evaluations). 

System Requirements 

Users must provide their own Internet access. 

The system does not rely heavily on graphics, so 

a dial-up connection should provide adequate 

performance. However, a higher speed connection is recommended for users who need to 

download the larger files (e.g., sample exercise 

documents, presentations). Any modern browser 

supporting SSL and 128-bit encryption should 

work. Support for style sheets may be required 

in the near future to provide for standards-based 

control over application appearance. 

Most firewalls do not interfere with access to 

portal applications. Anyone who does experience access problems should contact the 

help desk at (804) 744–8800 or via e-mail at 

helpdesk@espgroup.net. 

For additional information, please contact the 

Centralized Scheduling and Information Desk 

(CSID) Help Line at (800) 368–6498. 

HSEEP Volume IV 

HSEEP Volume IV provides sample exercise documents and formats intended for exercise planners to use and/or modify when designing and 

developing exercises. Materials presented in 

HSEEP Volume IV are organized in a manner consistent with the outline and contents of HSEEP 

Volume III: 

♦ Program Management 

•	 Contains sample materials (e.g., Exercise Plan [EXPLAN], Exercise Plan 

Workshop [EPW], policies) for use in 

developing and managing an exercise 

program 

♦ Planning 

•	 Contains sample materials for designing, developing, conducting, and evaluating exercises 

♦ Multimedia Library 

•	 Contains video clips, sounds, and 

pictures that may be inserted into 

documentation or presentations to 

add a sense of realism 

♦ References 

•	 Contains homeland security and emergency management resources such 

as publications,Web sites, and 

acronyms/definitions 

Information on many of these materials is included in HSEEP Volume III. HSEEP Volume IV 

materials provide a minimum standard for exercise planning documentation. These materials 

should be tailored to the specific jurisdiction 

and exercise type. When planning and conducting an exercise with DHS/ODP funds,* and to 

ensure accordance with HSEEP, planners should 

develop and submit materials that are as close to 

this standard as possible. DHS/ODP Exercise 

Managers will periodically review these materials to ensure accordance with HSEEP policy and 

doctrine. 

The materials in Volume IV are examples only. 

With the exception of AARs/IPs and Exercise 

Evaluation Guides (EEGs), a jurisdiction’s materials do not have to follow the exact format used 

in the sample materials. The SAA and/or its designated POC and the DHS/ODP Exercise Manager are responsible for ensuring the materials 

used in an exercise are in accordance with HSEEP 

and ultimately meet the requirements to obtain 

DHS/ODP exercise funding. 

Some materials are provided in both template 

and example formats. Template documents use 

an outline format that users can modify and tailor to meet specific needs. Example materials 

are finished products that demonstrate what a 

template product should look like when completed. Users may choose the format they feel 

* Refers to DHS/ODP funding through either the Homeland 

Security Grant Program (HSGP) or the Urban Areas Security 

Initiative (UASI). 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III:

A–2 EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 
most comfortable with, but should be careful 

when using example materials (particularly 

scenario-related materials such as a Situation 

Manual [SITMAN]) not to simply “fill in the 

blank” or “copy and paste” information into a 

document without ensuring the content is accurate and pertinent. 

HSEEP Volume IV includes the following materials that must remain in the same format: 

♦ AAR 

♦ IP 

♦ EEGs 

Other issues to consider: 

♦ The Master Task Lists for both discussionbased exercises (e.g., seminars, workshops, tabletop exercises [TTXs], games) 

and operations-based exercises (e.g., drills, 

functional exercises [FEs], full-scale exercises [FSEs]) chronologically list the stepby-step process and action items that need 

to be accomplished during exercise planning and conduct. 

♦ Many documents use the term “State” to 

refer to States, commonwealths, territories, and tribal nations. The term “State” 

also refers to the SAA or a designate that 

is responsible for exercise administration 

and coordination. Although DHS/ODP 

oversees and administers an Urban Areas 

Security Initiative (UASI), the SAA for the 

State in which a city is located is ultimately responsible for meeting the 

requirements outlined in HSEEP, and 

ensuring that urban areas and local jurisdictions are in accordance with this 

doctrine. 

♦ These materials are not being disseminated in an effort to design and develop 

“canned” or “boilerplate” exercises. The 

intent in making these documents available to a wide audience is to lessen the 

burden on exercise planners who are 

designing and developing multiple exercises. Many of these materials, particularly 

those that present an exercise scenario, 

APPENDIX A: SECURE WEB-BASED PORTAL 

should be tailored to reflect participating 

or affected jurisdictions or organizations 

and bring realism to the exercise. Exercise success is based on participant 

actions, exhibited either through discussions or actual responses. Documents and 

materials simply lay the foundation for the 

exercise. Therefore, it is not necessary to 

spend an inordinate amount of time creating materials. Ultimately, the exercise outcomes, the valuable experience gained by 

participants, and the resulting improvements are the most important elements. 

♦ Many of these materials are based on 

proven exercise programs, have been vetted through several organizations, and 

have gone through numerous iterations 

and revisions. Whereas it is evident that 

many materials derive from the same program, HSEEP Volume IV is intended to be 

a compilation of best practice materials 

from a variety of exercise programs. 

♦ HSEEP Volume IV will be constantly evolving based on innovative ideas and changing conditions. New, updated, and revised 

materials will be posted to the portal as 

they become available. States that wish to 

submit ideas or documentation that they 

believe to be innovative materials that will 

enhance the exercise planning process 

should submit them through the DHS/ 

ODP secure Web-based portal to the ODP 

Exercise Division (use the Secure Messaging link). 

♦ Although the focus of these materials is 

on terrorism or chemical, biological, radiological, nuclear, and explosive [CBRNE]-

related incidents, many can be adapted to 

a variety of other scenarios (e.g., natural, 

technological). Materials also can be 

adapted to different types of exercises 

(e.g., seminars, workshops,TTXs, games, 

drills, FEs, FSEs). For example, a SITMAN 

is typically associated with the design and 

development of a TTX. However, a SITMAN should be flexible and adaptable to 

fit the needs of a workshop or seminar as 

well. 

A–3 
♦ Although users possess a variety of computer and software capabilities, electronic 

versions of HSEEP Volume IV materials 

are provided in Microsoft Word and 

PowerPoint only. Grant funding provided 

by DHS/ODP can be used to purchase 

computers and software for exercise planning purposes. 

♦ These materials are intended for users 

who have varying levels of exercise 

experience. 

♦ Although these materials are being disseminated on behalf of DHS and its partner 

agencies, the processes and documents 

can be adapted to exercise programs 

sponsored by other Federal agencies 

(e.g., the Centers for Disease Control and 

Prevention [CDC], the Federal Emergency 

Management Agency [FEMA], the Transportation Security Administration [TSA]). 

♦ Many materials include short descriptions 

and/or instructions for use. 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III:

A–4 EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 
APPENDIX B


Acronyms 

A/V Audio/visual EVALPLAN Evaluation Plan 

AAR After Action Report EXPLAN Exercise Plan 

C&O Concept and Objectives FAA Federal Aviation Administration 

C/E Controller and Evaluator FBI Federal Bureau of Investigation 

C/E Handbook Controller and Evaluator FE Functional exercise 

Handbook FEMA Federal Emergency 

CBRNE Chemical, biological, radiologi- Management Agency 

cal, nuclear, and explosive FOUO For Official Use Only 

CDC Centers for Disease Control and 

Prevention 

FPC Final Planning Conference 

COSIN Control Staff Instructions FSE Full-scale exercise 

CPX Command post exercise HazMat Hazardous materials 

CSEPP Chemical Stockpile Emergency 

Preparedness Program 

HHS U.S. Department of Health and 

Human Services 

CSID Centralized Scheduling and 

Information Desk 

HSEEP Homeland Security Exercise 

and Evaluation Program 

CST National Guard Civil Support 

Team 

HSGP Homeland Security Grant 

Program 

DHS U.S. Department of Homeland IC Incident Command 

Security ICS Incident Command System 

DoD U.S. Department of Defense IP Improvement Plan 

EEG Exercise Evaluation Guide IPC Initial Planning Conference 

EMA Emergency management agency LLIS Lessons Learned Information 

EMS Emergency medical services Sharing 

EMT Emergency medical technician MIPT National Memorial Institute for 

the Prevention of Terrorism 

EOC Emergency Operations Center MPC Mid-Term Planning Conference 

EOD Explosive ordnance disposal MSDS Material Safety Data Sheet 

EOP Emergency operating 

procedure MSEL Master Scenario Events List 

EPA U.S. Environmental Protection NEP National Exercise Program 

Agency NSSE National Special Security Events 

EPW Exercise Plan Workshop NLD–DPP Nunn-Lugar-Domenici Domestic 

Preparedness Program 

B–1 
ODP Office for Domestic 

Preparedness 

SNS 

SOE 

Strategic National Stockpile 

Senior Officials Exercise 

PPE 

PIO 

POC 

Personal protective equipment 

Public Information Officer 

Point of contact 

SOP 

SWAT 

Standard operating procedure 

Special Weapons and Tactics 

Team 

PROFLOW 

REPP 

RSP 

SAA 

SHSEEP 

Procedural Flow 

Radiological Emergency 

Preparedness Program 

Render-safe procedure 

State Administrative Agency 

State Homeland Security 

Exercise and Evaluation 

TOPOFF 

TSA 

TTX 

UASI 

UC 

Top Officials National Exercise 

Series 

Transportation Security 

Administration 

Tabletop exercise 

Urban Areas Security Initiative 

Unified Command 

SIMCELL 

SITMAN 

SME 

Program 

Simulation cell 

Situation Manual 

Subject matter expert 

UCS 

VIP 

WMD 

Unified Command System 

Very Important Person 

Weapons of mass destruction 

HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM, VOLUME III:

B–2 EXERCISE PROGRAM MANAGEMENT AND EXERCISE PLANNING PROCESS 
*NCJ~205686*


NCJ 205686