Homeland Security Exercise 

and Evaluation

Program (HSEEP)

JANUARY 2020
Homeland Security Exercise and Evaluation Program

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Table of Contents

INTRODUCTION........................................................................................................................ V

PURPOSE................................................................................................................................... V

ROLE OF EXERCISES ................................................................................................................. V

APPLICABILITY AND SCOPE ..................................................................................................... VI

SUPERSESSION......................................................................................................................... VI

DOCTRINE ORGANIZATION...................................................................................................... VI

REVISION PROCESS.................................................................................................................VII

TOOLS ....................................................................................................................................VII

TRAINING ...............................................................................................................................VII

1. HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM (HSEEP) 

FUNDAMENTALS ............................................................................................................ 1-1

OVERVIEW............................................................................................................................. 1-1

FUNDAMENTAL PRINCIPLES .................................................................................................. 1-1

THE HOMELAND SECURITY EXERCISE AND EVALUATION PROGRAM (HSEEP) CYCLE......... 1-2

Program Management................................................................................................. 1-2

Exercise Design and Development.............................................................................. 1-2

Exercise Conduct......................................................................................................... 1-2

Exercise Evaluation..................................................................................................... 1-2

Improvement Planning ................................................................................................ 1-2

2. PROGRAM MANAGEMENT.......................................................................................... 2-1

OVERVIEW............................................................................................................................. 2-1

INTEGRATED PREPAREDNESS CYCLE..................................................................................... 2-1

LINKAGE OF INTEGRATED PREPAREDNESS CYCLE AND HOMELAND SECURITY EXERCISE AND 

EVALUATION PROGRAM (HSEEP) ........................................................................................ 2-2

ENGAGE SENIOR LEADERS .................................................................................................... 2-2

PREPAREDNESS PRIORITIES ................................................................................................... 2-2

INTEGRATED PREPAREDNESS PLANNING WORKSHOP (IPPW)............................................... 2-3

Purpose........................................................................................................................ 2-3

Participation................................................................................................................ 2-3

Conduct of the Integrated Preparedness Planning Workshop (IPPW)....................... 2-4

INTEGRATED PREPAREDNESS PLAN (IPP).............................................................................. 2-5

Progressive Approach ................................................................................................. 2-5

Discussion-Based Exercises........................................................................................ 2-6

Operations-Based Exercises........................................................................................ 2-9

PROGRAM REPORTING......................................................................................................... 2-11

MANAGE EXERCISE PROGRAM RESOURCES ........................................................................ 2-12

Exercise Budget Management................................................................................... 2-12

Staffing....................................................................................................................... 2-12

Other Resources........................................................................................................ 2-12

3. EXERCISE DESIGN AND DEVELOPMENT ............................................................... 3-1
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OVERVIEW............................................................................................................................. 3-1

EXERCISE FOUNDATION ........................................................................................................ 3-1

EXERCISE PLANNING ACTIVITIES .......................................................................................... 3-2

Exercise Planning Meetings........................................................................................ 3-2

EXERCISE PLANNING TEAM CONSIDERATIONS...................................................................... 3-7

Exercise Planning Team Positions.............................................................................. 3-7

EXERCISE DESIGN ............................................................................................................... 3-10

Exercise Purpose....................................................................................................... 3-10

Exercise Scope........................................................................................................... 3-10

Exercise Objectives ................................................................................................... 3-11

Evaluation Parameters.............................................................................................. 3-12

Scenario..................................................................................................................... 3-12

Exercise Documentation............................................................................................ 3-13

Planning for Media and Public Affairs..................................................................... 3-16

EXERCISE DEVELOPMENT.................................................................................................... 3-16

Discussion-Based Exercise Logistics Planning ........................................................ 3-17

Discussion-Based Exercise Facilitation Planning.................................................... 3-18

Operations-Based Exercise Logistics Planning........................................................ 3-19

Operations-Based Exercise Control Planning.......................................................... 3-21

Planning for Exercise Evaluation ............................................................................. 3-25

Preparing for Exercise Conduct................................................................................ 3-25

4. EXERCISE CONDUCT .................................................................................................... 4-1

OVERVIEW............................................................................................................................. 4-1

DISCUSSION-BASED EXERCISES ............................................................................................ 4-1

Exercise/Play Preparation .......................................................................................... 4-1

Exercise Play/Conduct ................................................................................................ 4-1

OPERATIONS-BASED EXERCISES ........................................................................................... 4-3

Play Preparation ......................................................................................................... 4-3

Exercise Play/Conduct ................................................................................................ 4-4

BRIEFINGS ............................................................................................................................. 4-6

WRAP-UP ACTIVITIES............................................................................................................ 4-7

Player Hotwash ........................................................................................................... 4-7

Debrief......................................................................................................................... 4-7

5. EXERCISE EVALUATION ............................................................................................. 5-1

OVERVIEW............................................................................................................................. 5-1

EVALUATION PLANNING ....................................................................................................... 5-1

Evaluation Team.......................................................................................................... 5-2

Evaluation Documentation.......................................................................................... 5-3

Exercise Evaluation Guide (EEG) Development ........................................................ 5-4

OBSERVATION AND DATA COLLECTION ................................................................................ 5-5

Observation ................................................................................................................. 5-5

Data Collection ........................................................................................................... 5-6

DATA ANALYSIS.................................................................................................................... 5-7

Data Synthesis............................................................................................................. 5-7

Event Reconstruction................................................................................................... 5-7
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Trend Analysis............................................................................................................. 5-8

Root Cause Analysis.................................................................................................... 5-8

AFTER-ACTION REPORT (AAR)/IMPROVEMENT PLAN (IP)................................................... 5-8

AFTER-ACTION MEETING (AAM)....................................................................................... 5-10

IMPROVEMENT PLAN (IP).................................................................................................... 5-10

6. IMPROVEMENT PLANNING ........................................................................................ 6-1

OVERVIEW............................................................................................................................. 6-1

SMART CORRECTIVE ACTIONS............................................................................................ 6-1

CORRECTIVE ACTION TRACKING AND IMPLEMENTATION ..................................................... 6-2

IMPROVEMENT PLANNING TO SUPPORT CONTINUOUS IMPROVEMENT................................... 6-3

ACRONYMS................................................................................................................Acronym-1

GLOSSARY OF TERMS.............................................................................................Glossary-1

List of Tables 

TABLE 2.1: FACTORS FOR CONSIDERATION IN DEVELOPING EXERCISE PROGRAM PRIORITIES ..... 2-4

TABLE 2.2: CONDUCT OF THE INTEGRATED PREPAREDNESS PLANNING WORKSHOP (IPPW) ....... 2-4

TABLE 2.3: DISCUSSION-BASED EXERCISE TYPES: SEMINAR........................................................ 2-6

TABLE 2.4: DISCUSSION-BASED EXERCISE TYPES: WORKSHOP.................................................... 2-7

TABLE 2.5: DISCUSSION-BASED EXERCISE TYPES: TABLETOP EXERCISE ..................................... 2-7

TABLE 2.6: DISCUSSION-BASED EXERCISE TYPES: GAME ............................................................ 2-8

TABLE 2.7: OPERATIONS-BASED EXERCISE TYPES: DRILL ........................................................... 2-9

TABLE 2.8: OPERATIONS-BASED EXERCISE TYPES: FUNCTIONAL EXERCISE .............................. 2-10

TABLE 2.9: OPERATIONS-BASED EXERCISE TYPES: FULL-SCALE EXERCISE............................... 2-11

TABLE 3.1: PLANNING MEETING TYPES: CONCEPT AND OBJECTIVES (C&O) MEETING ............... 3-2

TABLE 3.2: PLANNING MEETING TYPES: INITIAL PLANNING MEETING (IPM) .............................. 3-3

TABLE 3.3: PLANNING MEETING TYPES: MIDTERM PLANNING MEETING (MPM)........................ 3-4

TABLE 3.4: PLANNING MEETING TYPES: MASTER SCENARIO EVENTS LIST (MSEL) MEETING.... 3-5

TABLE 3.5: PLANNING MEETING TYPES: FINAL PLANNING MEETING (FPM) ............................... 3-6

TABLE 3.6: FUNCTIONS OF AN EXERCISE PLANNING TEAM........................................................... 3-8

TABLE 3.7: ELEMENTS THAT DEFINE SCOPE ............................................................................... 3-10

TABLE 3.8: DISCUSSION-BASED EXERCISE DOCUMENTATION .................................................... 3-13

TABLE 3.9: OPERATIONS-BASED EXERCISE DOCUMENTATION................................................... 3-14

TABLE 3.10: OTHER EXERCISE DOCUMENTATION ...................................................................... 3-15

TABLE 3.11: POSITIONS OF AN EXERCISE FACILITATION STRUCTURE......................................... 3-19

TABLE 3.12: FACILITIES AND EXERCISE AREAS, DESCRIPTIONS, AND TYPES.............................. 3-20

TABLE 3.13: POSITIONS OF AN OPERATIONS-BASED EXERCISE CONTROL STRUCTURE .............. 3-22

TABLE 3.14: MSEL EVENT TYPES.............................................................................................. 3-23

TABLE 4.1: POSITIONS OF A DISCUSSION-BASED EXERCISE CONTROL STRUCTURE...................... 4-2

TABLE 4.2: POSITIONS OF AN OPERATIONS-BASED EXERCISE CONTROL STRUCTURE.................. 4-5

TABLE 4.3: TYPES OF EXERCISE BRIEFS........................................................................................ 4-6

TABLE 5.1: POSITIONS OF AN EXERCISE EVALUATION TEAM........................................................ 5-3

TABLE 5.2: EVALUATION DOCUMENTATION................................................................................. 5-3

TABLE 5.3: DATA COLLECTION METHODS.................................................................................... 5-6

TABLE 5.4: CATEGORIES OF AN AAR/IP OBSERVATION ............................................................... 5-9
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TABLE 5.5: AFTER-ACTION MEETING......................................................................................... 5-10

List of Figures

FIGURE 1.1: THE HSEEP CYCLE................................................................................................... 1-2

FIGURE 2.1: THE INTEGRATED PREPAREDNESS CYCLE ................................................................. 2-1

FIGURE 2.2: THE RELATIONSHIP OF THE INTEGRATED PREPAREDNESS CYCLE AND THE HSEEP

CYCLE................................................................................................................................... 2-2

FIGURE 3.1: INDIVIDUAL EXERCISE DESIGN AND DEVELOPMENT PROCESS .................................. 3-1

FIGURE 3.2: EXAMPLE OF A FUNCTIONAL ORGANIZATIONAL STRUCTURE FOR AN EXERCISE 

PLANNING TEAM................................................................................................................... 3-8

FIGURE 3.3: PRIORITIES, OBJECTIVES, AND CAPABILITIES .......................................................... 3-11

FIGURE 3.4: SMART GUIDELINES FOR EXERCISE OBJECTIVES................................................... 3-12

FIGURE 3.5: EXAMPLE OF A DISCUSSION-BASED EXERCISE FACILITATION STRUCTURE............. 3-19

FIGURE 3.6: EXAMPLE OF AN OPERATIONS-BASED EXERCISE CONTROL STRUCTURE ................ 3-22

FIGURE 4.1: EXAMPLE OF A DISCUSSION-BASED CONTROL STRUCTURE ...................................... 4-2

FIGURE 4.2: EXAMPLE OF AN OPERATIONS-BASED EXERCISE CONTROL STRUCTURE .................. 4-4

FIGURE 5.1: EXITING THE HSEEP CYCLE AND ENTERING THE INTEGRATED PREPAREDNESS CYCLE

.............................................................................................................................................. 5-1

FIGURE 5.2: EXAMPLE OF AN EXERCISE EVALUATION TEAM........................................................ 5-2

FIGURE 5.3: DEVELOPMENT OF AN EXERCISE EVALUATION GUIDE (EEG)................................... 5-4

FIGURE 6.1: EXITING THE HSEEP CYCLE AND ENTERING THE INTEGRATED PREPAREDNESS CYCLE

.............................................................................................................................................. 6-1

FIGURE 6.2: SMART GUIDELINES FOR CORRECTIVE ACTIONS..................................................... 6-2
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Introduction

Purpose

The Homeland Security Exercise and Evaluation Program (HSEEP) provides a set of fundamental

principles for exercise programs, as well as a common approach to program management, design 

and development, conduct, evaluation, and improvement planning. Exercises are an important

component of preparedness, by providing the whole community1 with the opportunity to shape 

planning, assess and validate capabilities,

2 and address areas for improvement. An exercise is an 

event or activity, delivered through discussion or action, to develop, assess, or validate plans, 

policies, procedures, and capabilities that jurisdictions/organizations can use to achieve planned 

objectives.

Through HSEEP, exercise program managers can develop, execute, and evaluate exercises that 

address the priorities established by a jurisdiction’s/organization’s senior leaders. The National 

Preparedness Goal,3 strategy documents, Threat and Hazard Identification and Risk Assessment

(THIRA) processes, capability assessments, and results from previous exercises and real-world 

incidents impact the priorities. These priorities guide the overall direction of an exercise program 

where individual exercises anchor to a common set of priorities or objectives, which increase in 

complexity over time. These priorities guide the design and development of individual exercises

and allow planners to identify and align objectives to the capabilities being evaluated. Exercise 

evaluation assesses the ability to meet the objectives and capabilities by documenting strengths, 

areas for improvement, capability performance, and corrective actions in an After-Action Report

(AAR)/Improvement Plan (IP).

Through Improvement Planning, jurisdictions/organizations take the corrective actions identified 

during exercises to improve plans, build and sustain capabilities, and maintain readiness. 

Stakeholders are reminded of the importance of implementing corrective actions.

In this way, the use of HSEEP—in line with the National Preparedness Goal, the National 

Preparedness System (NPS),4 and stakeholder preparedness priorities—supports efforts across the 

whole community that improve the nation’s capacity to build, sustain, and deliver capabilities to 

better respond to a real-world incident.

Role of Exercises

Exercises play a vital role in preparedness. A well-designed exercise provides a low-risk 

environment to familiarize personnel with roles and responsibilities; foster meaningful interaction 

and communication across jurisdictions/organizations; assess and validate plans, policies, 

procedures, and capabilities; and identify strengths and areas for improvement. Exercises bring 

together and strengthen the whole community to prevent, protect against, mitigate, respond to, and 

1 The whole community means involving people (individuals and families, including those with access and functional needs, businesses, faithbased and community organizations, nonprofit groups, schools and academia, media outlets, and all levels of government including state, local, 

tribal, territorial, and federal partners) in the development of national preparedness documents and ensuring their roles and responsibilities are 

reflected in the content of the materials.

2 Capabilities are the means to accomplish a mission, function, or objective based on the performance of related tasks, under specified conditions, 

to target levels of performance. For additional information on the core capability development sheets see https://www.fema.gov/core-capabilitydevelopment-sheets. 3 Refer to the National Preparedness Goal: https://www.fema.gov/national-preparedness-goal.

4 Refer to the National Preparedness System: https://www.fema.gov/national-preparedness-system.
Homeland Security Exercise and Evaluation Program

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recover from all hazards. Overall, exercises help the whole community address the priorities 

established by a jurisdiction’s/organization’s leaders; and evaluate progress towards meeting 

preparedness goals.

Applicability and Scope

The HSEEP doctrine is flexible, scalable, adaptable, and for use by stakeholders across the whole 

community and all mission areas. Using HSEEP supports the NPS by providing a consistent 

approach to exercises and measuring progress toward building, sustaining, and delivering 

capabilities. To achieve whole community preparedness goals, agencies, jurisdictions/

organizations, and stakeholders (for example, public health, transportation, education, etc.) that do 

not use the core capabilities as outlined in the National Preparedness Goal should use their relevant 

capabilities and elements to better prepare for real-world incidents. 

The foundation of the HSEEP doctrine incorporates lessons learned and best practices from the 

exercise community and current policies and plans that support training, technology systems, tools, 

and technical assistance. Exercise practitioners are encouraged to apply and adapt the HSEEP 

doctrine to meet their specific needs.

Supersession

The 2020 iteration of the HSEEP doctrine supersedes the 2013 version.

Doctrine Organization

The organization of the HSEEP doctrine follows:

• Chapter 1, Homeland Security Exercise and Evaluation Program (HSEEP) 

Fundamentals, describes the basic principles and methodology of HSEEP.

• Chapter 2, Program Management, provides guidance for overseeing and integrating a 

variety of exercises over time, conducting an Integrated Preparedness Planning Workshop 

(IPPW), and developing a multi-year Integrated Preparedness Plan (IPP).

• Chapter 3, Exercise Design and Development, describes the methodology for developing 

exercise objectives, conducting planning meetings, developing exercise documentation, 

and planning for exercise logistics, control, and evaluation.

• Chapter 4, Exercise Conduct, provides guidance on setup, exercise play, and wrap-up 

activities.

• Chapter 5, Exercise Evaluation, provides the approach to exercise evaluation planning 

and conduct through data collection, analysis, and development of an After-Action Report

(AAR).

• Chapter 6, Improvement Planning, addresses corrective actions identified in the exercise 

Improvement Plan and the process of tracking corrective actions to resolution.
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Revision Process

The Department of Homeland Security’s Federal Emergency Management Agency’s (FEMA’s) 

National Exercise Division reviews the HSEEP doctrine and methodology every six years, or as 

needed. 

Tools

The Preparedness Toolkit (PrepToolkit) is a web-based application that allows the whole 

community access to a wide variety of resources to manage preparedness activities. The system is 

designed to support implementation of the NPS by providing exercise planners, program 

managers, resource typing and mutual aid coordinators, threat and hazard planners, and other key 

stakeholders access to technologies that align to the six NPS elements. PrepToolkit supplies a 

technology platform that supports implementation of HSEEP and aids exercise planners in 

program management, design and development, conduct, evaluation, and improvement planning. 

Refer to https://preptoolkit.fema.gov/hseep-resources for more information. 

Training

Training provides the whole community with the knowledge, skills, and abilities needed to perform 

key tasks required by specific capabilities. Jurisdictions/organizations should make training 

decisions based on information derived from the assessments, strategies, and plans developed in 

previous steps of the Integrated Preparedness Cycle. The National Training Program provides an 

organized approach to training for emergency managers and emergency response providers across 

the nation that supports the National Preparedness Guidelines.5 The National Preparedness Online 

Course Catalog provides searchable, integrated information on courses provided or managed by 

FEMA’s Center for Domestic Preparedness (CDP), the Emergency Management Institute (EMI), 

the National Fire Academy, and the National Training and Education Division (NTED).6 

5 For more information on the National Preparedness Guidelines refer to: https://www.fema.gov/media-library/assets/documents/16886. 6 For more information on training refer to:

https://www.fema.gov/training, https://www.firstrespondertraining.gov/frts, and https://www.usfa.fema.gov/training/nfa/. 
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1. Homeland Security Exercise and Evaluation 

Program (HSEEP) Fundamentals

Overview

The HSEEP doctrine consists of fundamental principles that frame a common approach to 

exercises. The intent is to enhance consistency in exercise conduct and evaluation while ensuring 

exercises remain a flexible, accessible way to improve our preparedness across the nation.

Fundamental Principles

Applying the following principles to the management of an exercise program and executing 

individual exercises is important to an effective evaluation of capabilities:

• Senior Leader Guidance: The early and frequent engagement of senior leaders is the key 

to the success of any exercise program. Senior leaders provide the overarching guidance 

and direction for the exercise and evaluation program as well as specific intent for 

individual exercises.

• Informed by Risk: Identifying and assessing risks and associated impacts helps 

jurisdictions/organizations identify and evaluate priorities, objectives, and capabilities 

through exercises.

• Capability-Based, Objective-Driven: Jurisdictions/Organizations can use exercises to 

evaluate current capability levels/targets and identify gaps. Exercises focus on assessing 

performance against capability-based objectives.

• Progressive Exercise Planning Approach: A progressive approach includes the use of 

various exercises aligned to a common set of program priorities and objectives with an 

increasing level of complexity over time. Progressive exercise planning does not always 

imply a linear progression of exercise types.

• Whole Community Integration: The use of HSEEP encourages exercise planners, where 

appropriate, to engage the whole community throughout program management, design and 

development, conduct, evaluation, and improvement planning.

• Common Methodology: HSEEP includes a common methodology for exercises across all 

mission areas. The methodology enables jurisdictions/organizations a shared 

understanding of program management, design and development, conduct, evaluation, and 

improvement planning and fosters exercise-related interoperability and collaboration.
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The Homeland Security Exercise and Evaluation Program 

(HSEEP) Cycle

HSEEP uses a common approach for planning, conducting, 

and evaluating individual exercises. The following chapters 

contain more detailed descriptions of each phase, as 

depicted in Figure 1.1.

Program Management

Program management involves a collaborative approach 

that integrates resources, jurisdictions/organizations, and 

individuals to identify and achieve program priorities. An 

effective exercise program maximizes efficiency, 

resources, time, and funding by ensuring a coordinated and 

integrated approach to building, sustaining, and delivering

capabilities. Through the management of an exercise 

program, senior leaders provide oversight for specific 

preparedness activities sustained over time.

Exercise Design and Development

During exercise design and development, the exercise planning team members use the intent and

guidance of senior leaders and the program priorities to shape the individual or series of exercises. 

Involving the risk and hazard assessments, plans, policies, and procedures, grant or cooperative 

agreements, and relevant After-Action Reports (AARs) and Improvement Plans (IPs), exercise 

planners ensure that exercises assess and validate a jurisdiction’s/organization’s capabilities.

Exercise Conduct

Exercise conduct involves activities such as preparing for exercise play, managing exercise play, 

and conducting immediate exercise wrap-up activities. For a discussion-based exercise, conduct 

entails presentation, facilitation, and discussion. For an operations-based exercise, conduct,

encompasses all operations occurring between the designated Start of the Exercise (StartEx) and 

End of the Exercise (EndEx).

Exercise Evaluation

An effective evaluation assesses performance against exercise objectives and identifies and 

documents strengths and areas for improvement relative to capabilities. Evaluation is important 

and considered in all phases of the exercise planning cycle, beginning when the exercise planning 

team meets to establish objectives and initiate exercise design through improvement planning.

Improvement Planning

Improvement Planning activities can help shape a jurisdiction’s/organization’s preparedness 

priorities and support continuous improvement. Actions identified during Improvement Planning 

help to strengthen elements of a jurisdiction’s/organization’s capability to plan, organize/equip, 

train, and exercise.

Figure 1.1: The HSEEP Cycle
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2. Program Management

Overview

Program management is the process of overseeing and integrating a variety of exercises over time. 

An effective exercise program helps jurisdictions/organizations maximize efficiency, resources, 

time, and funding by ensuring that exercises are part of a coordinated, integrated planning approach 

to building, sustaining, and delivering capabilities. This integrated planning approach begins when 

senior leaders, working with whole community stakeholders, identify and develop a set of multiyear preparedness priorities based on relevant threats, hazards, and risks. 

Integrated Preparedness Cycle 

The Integrated Preparedness Cycle of planning, organizing/

equipping, training, exercising, and evaluating/improving is a 

continuous process that ensures the regular examination of 

ever-changing threats, hazards, and risks, as shown in Figure 

2.1.

The Cycle involves the assessment of threats, hazards, and 

risks; new and updated plans; and improvements implemented 

from previously identified shortfalls or gaps. The 

preparedness priorities are developed to ensure that the needed 

preparedness elements are incorporated. This cycle provides a 

continual and reliable approach to support decision making, 

resource allocation, and measure progress toward building, 

sustaining, and delivering capabilities based on a 

jurisdiction’s/organization’s threats, hazards, and risks. 

Through the Integrated Preparedness Cycle, the program manager understands the full breadth of 

preparedness activities that impact their jurisdiction/organization and allows for a more deliberate 

approach to multi-year preparedness activity planning. Ultimately, this integrated approach 

becomes a means to achieve whole community preparedness in a consistent and measurable way. 

Figure 2.1: The Integrated 

Preparedness Cycle
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Linkage of Integrated Preparedness Cycle and Homeland Security 

Exercise and Evaluation Program (HSEEP)

The exercise phase of the Integrated Preparedness Cycle is linked 

to the program management process and starts the design and 

development of individual exercises within HSEEP. Multi-year 

preparedness priorities guide the exercise program to produce 

quality individual exercises. These individual exercises are used 

to build, sustain, and deliver capabilities.

Effective program management is comprised of the following 

components:

• Engaging senior leaders;

• Establishing multi-year preparedness priorities;

• Conducting an Integrated Preparedness Planning 

Workshop (IPPW);

• Developing a multi-year Integrated Preparedness Plan 

(IPP);

• Maintaining program reporting of exercise outcomes; and

• Managing exercise program resources.

Through effective program management, each exercise becomes 

a supporting component of a larger exercise program and 

integrated preparedness with overarching priorities.

Figure 2.2 shows the relationship and linkage of the Integrated 

Preparedness Cycle and the HSEEP Cycle. Exercise practitioners are encouraged to apply and 

adapt HSEEP program management guidance to meet their specific needs.

Engage Senior Leaders

Involving senior leaders early and often in the exercise process is critical in providing both the

strategic direction for the exercise program and specific guidance for individual exercises. In 

developing individual exercises, the exercise planning team should continue to engage the 

appropriate senior leaders throughout the exercise planning cycle to achieve the leaders’ intent for 

the exercise.

Preparedness Priorities

Preparedness priorities should be established by senior leaders and informed by risk and capability 

assessments, findings, and corrective actions from previous events and external requirements like 

regulations and grant guidance. Preparedness priorities should be comprehensive to meet whole 

community needs and drive preparedness activities throughout the Integrated Preparedness Cycle. 

For exercises, these priorities guide the development of exercise objectives, related training, 

staffing, resourcing, and other planning activities to ensure individual exercises assess and validate 

preparedness in an integrated and coordinated way.

Figure 2.2: The Relationship of 

the Integrated Preparedness 

Cycle and the HSEEP Cycle
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Integrated Preparedness Planning Workshop (IPPW)

The Integrated Preparedness Planning Workshop (IPPW) is a meeting that establishes the strategy 

and structure for an exercise program, in addition to broader preparedness efforts, while setting 

the foundation for the planning, conduct, and evaluation of individual exercises. This meeting 

occurs on a periodic basis depending on the needs of the program and any grant or cooperative 

agreement requirements. 

Purpose

The purpose of the Integrated Preparedness Planning Workshop (IPPW) is to use the guidance 

provided by senior leaders to identify and set preparedness priorities and develop a multi-year 

schedule of preparedness activities.

The process confirms:

• Coordination of whole community initiatives;

• Prevention of duplication of efforts;

• Assurance of the efficient use of resources and funding; and

• Avoidance of overextending key agencies and personnel.

During the Integrated Preparedness Planning Workshop (IPPW), participation from the whole 

community ensures preparedness activities are included in the program’s priorities.

Participation

When identifying stakeholders, program managers should consider individuals from 

jurisdictions/organizations throughout the whole community, including but, not limited to:

• Senior leaders responsible for providing direction and guidance forpreparedness priorities, 

planning activities, and those responsible for providing resources to support preparedness 

efforts;

• Relevant planning, training, exercise, and grant program managers who would be 

responsible for carrying out the activities identified during the workshop;

• Individuals with knowledge of the community’s/organization’s risks and capabilities;

• Representatives from relevant disciplines that would be part of the exercises or any realworld incidents, including appropriate local, regional, or federal department and agency 

representatives;

• Individuals with administrative responsibility relevant to exercise conduct; 

• Advocates for individuals with disabilities and access and functional needs7

; and 

• Community representatives to include businesses, the healthcare sector, volunteer 

organizations, nongovernmental organizations, nonprofits, faith-based, and social support 

organizations.

7 “Access and functional needs” includes children, seniors, racially and ethnically diverse communities, and people with limited English proficiency.
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Conduct of the Integrated Preparedness Planning Workshop (IPPW)

During conduct of the Integrated Preparedness Planning Workshop (IPPW), participants review 

and consider various factors to develop the preparedness priorities and the multi-year schedule. 

Guidance from senior leaders confirms whole community involvement in this process, to include

the factors listed in Table 2.1.

Table 2.1: Factors for Consideration in Developing Exercise Program Priorities

Focus Factors to Consider

Threats and Hazards

▪ Jurisdictional threats and hazards

▪ National threats and hazards

▪ Hazard vulnerability analysis

▪ Risk assessments

Areas for 

Improvement and 

Capabilities

▪ Real-world incident corrective actions

▪ Exercise corrective actions

▪ Identified and/or perceived areas for improvement

▪ Validating training efforts

▪ Newly acquired capabilities and resources

External Sources and 

Requirements

▪ Industry reports

▪ State or national preparedness reports

▪ Homeland security strategies

▪ Grants or funding-specific requirements

Accreditation 

Standards and 

Regulations

▪ Accreditation requirements

▪ Local, state, and federal regulations

Utilizing the above factors, the workshop facilitator leads group discussions to review program 

priorities and develop a multi-year schedule. Table 2.2 shows the conduct of the Integrated 

Preparedness Planning Workshop (IPPW). 

Table 2.2: Conduct of the Integrated Preparedness Planning Workshop (IPPW)

Element Aspects and Activities

Focus

A forum to identify priorities and the strategies employed to achieve those priorities, 

whether that’s coordinating and integrating current activities in an organized manner

or identifying areas where additional activities are needed.
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Element Aspects and Activities

Discussion 

Points

▪ Incorporate senior leader and stakeholder guidance 

▪ Review jurisdiction/organization capabilities

▪ Collect and assemble data from the Integrated Preparedness Cycle (plan, 

organize/equip, train, exercise, evaluate/improve) 

▪ Review new and revised plans, policies, and procedures

▪ Review corrective actions from previous exercises (AAR/IP)

▪ Consider using multiple exercise types to accomplish multi-year goals

▪ Identify funding

▪ Discuss scheduling conflicts

▪ Review program reports 

Tools

▪ Read-ahead material

▪ Meeting agenda documents

▪ Presentations materials

▪ Integrated Preparedness Planning Workshop (IPPW) guide 

▪ Integrated Preparedness Plan (IPP) template

Outcomes ▪ Prioritization and schedule of future preparedness activities

▪ Development of the Integrated Preparedness Plan (IPP)

Follow-up ▪ Distribution of finalized Integrated Preparedness Plan (IPP) 

▪ Periodic review of current Integrated Preparedness Plan (IPP) 

At the end of the Integrated Preparedness Planning Workshop (IPPW), program managers will 

have a clear understanding of specific multi-year preparedness priorities and any available 

information on previously planned preparedness activities that align to those priorities. Once the 

preparedness priorities are outlined, stakeholders develop the multi-year Integrated Preparedness 

Plan (IPP). 

Integrated Preparedness Plan (IPP)

The Integrated Preparedness Plan (IPP) is a document for combining efforts across the elements 

of the Integrated Preparedness Cycle to make sure that a jurisdiction/organization has the 

capabilities to handle threats and hazards. Through effective program management, each planning, 

organizing/equipping, training, exercising, and evaluating/improving activity becomes a 

supporting component of the larger preparedness priorities. These preparedness priorities help 

exercise planners design and develop a multi-year exercise program of individual exercises that 

target resources to where they are most useful. Reference the National Preparedness Goal for 

information regarding how resources are critical for those responsible in delivering capabilities 

toward national preparedness. This progressive approach ensures jurisdictions/organizations select 

the appropriate exercise type as described in the following sections.

Progressive Approach

A progressive, multi-year exercise program enables jurisdictions/organizations to participate in a 

series of increasingly complex exercises, with each exercise building upon the previous one. 
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Regardless of exercise type, each exercise within the series is linked to a set of common program 

priorities and designed to test associated capabilities. By identifying other preparedness activities 

or requirements as part of theintegrated preparedness planning process, jurisdictions/organizations 

address known shortfalls prior to exercising capabilities. 

Discussion-Based Exercises

Discussion-based exercises include seminars, workshops, tabletop exercises (TTXs), and games. 

These types of exercises familiarize players with or develop new plans, policies, procedures, and 

agreements. Discussion-based exercises focus on strategic, policy-oriented issues, and facilitators 

or presenters lead the discussion, keeping participants moving towards meeting the exercise

objectives. The following tables (Table 2.3,

Table 2.4,Table 2.5, and Table 2.6) provide the important information for each type of discussionbased exercise:

Table 2.3: Discussion-Based Exercise Types: Seminar

Seminar:

A discussion-based exercise that orients participants to or provides an overview of authorities, strategies, 

plans, policies, procedures, protocols, resources, concepts, and ideas.

Element Considerations and Activities

Purpose

▪ Provide a common framework of understanding

▪ Provide a good starting point for developing or making major changes to existing 

plans, policies, or procedures

Structure

▪ Usually in the form of multiple presentations, subject-matter expert (SME)

panels, or case study discussions

▪ Lecture-based

▪ Led by a seminar facilitator/presenter

▪ Limited feedback or interaction from participants

Participant 

Goals

▪ Gain awareness of or assess interagency capabilities or inter-jurisdictional 

operations

▪ Set objectives for future capabilities

Conduct 

Characteristics

▪ Minimal time constraints

▪ Effective for small or large groups

Outcomes

▪ A report that captures the discussion, issues raised, and (if appropriate) action 

items that will address these issues

▪ An After-Action Report (AAR)/Improvement Plan (IP)
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Table 2.4: Discussion-Based Exercise Types: Workshop

Workshop:

A discussion-based exercise often employed to develop policy, plans, or procedures.

Element Considerations and Activities

Purpose

▪ Increased participant interaction with a focus on achieving or building a product

▪ Should have clearly defined objectives, products, or goals and focus on a specific 

issue

Structure

▪ A group of individuals in a venue conducive to discussion

▪ Lectures, presentations, panel or case-study discussions, or decision support 

tools

▪ Facilitated working breakout sessions

▪ Led by a workshop facilitator/presenter

Participant 

Goals

▪ Develop a product as a group

▪ Obtain consensus

▪ Collect or share information

Conduct 

Characteristics

▪ Effective for small and large groups

▪ Broad attendance by relevant stakeholders

▪ Conducted based on clear objectives/goals

▪ More participant discussion than lecture-based 

▪ Frequently uses breakout sessions to explore parts of an issue with similar groups

Outcomes

▪ Emergency Operations Plans 

▪ Mutual Aid Agreements

▪ Standard Operating Procedures

▪ Continuity of operations plans

▪ Workshop Summary Report

▪ An After-Action Report (AAR)/Improvement Plan (IP)

Table 2.5: Discussion-Based Exercise Types: Tabletop Exercise

Tabletop Exercise (TTX):

A discussion-based exercise in response to a scenario, intended to generate a dialogue of various issues 

to facilitate a conceptual understanding, identify strengths and areas for improvement, and/or achieve 

changes in perceptions about plans, policies, or procedures.

Element Considerations and Activities

Purpose

▪ Generate discussion of various issues regarding an exercise scenario

▪ Facilitate conceptual understanding, identify strengths and areas for 

improvement, and/or achieve changes in perceptions
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Element Considerations and Activities

Structure

▪ Scenario is presented to describe an event at a simulated time

▪ Players apply their knowledge and skills to a list of problems presented by the 

facilitator

▪ Problems are discussed as a group, and resolution may be reached and 

documented for later analysis 

▪ Plenary or breakout session(s)

▪ Discussion led by a facilitator(s)

▪ Presentation

Participant 

Goals

▪ Enhance general awareness

▪ Enhance roles and responsibility understanding

▪ Validate plans and procedures

▪ Discuss concepts and/or assess types of systems in a defined incident

Conduct 

Characteristics

▪ Requires an experienced facilitator

▪ In-depth discussion

▪ Problem-solving environment

▪ All participants should be encouraged to contribute to the discussion and be 

reminded that they are making decisions in a no-fault environment

Outcomes ▪ Recommended revisions to current plans, policies, and procedures

▪ An After-Action Report (AAR)/Improvement Plan (IP)

Table 2.6: Discussion-Based Exercise Types: Game

Game:

A discussion-based exercise that is a structured form of play designed for individuals or teams in a 

competitive or noncompetitive environment. It is an event players take part in and are guided by clear 

rules, data, and procedures for its execution. Games are designed to depict an actual or hypothetical 

situation to ensure that the participants make decisions and take actions that would be plausible. Games 

can be used to reinforce training, stimulate team building, or enhance operational and tactical capabilities.

Element Considerations and Activities

Purpose

▪ Simulation of operations that explore the consequences of player decisions and 

actions

▪ Identification of critical decision-making points is a major factor in the success 

of evaluating a game

Structure

▪ Usually in an environment that can involve two or more teams, using rules, data, 

and procedures designed to depict an actual or hypothetical situation

▪ Decision-making may be either slow and deliberate or rapid and more stressful, 

depending on the exercise design and objectives

▪ The open, decision-based format of a game can incorporate “what if” questions 

that expand exercise benefits

▪ Depending on the game’s design, the consequences of player actions can be 

either pre-scripted or decided dynamically
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Element Considerations and Activities

Participant 

Goals

▪ Explore decision-making processes and consequences

▪ Conduct “what-if” analyses of existing plans

▪ Evaluate existing and potential strategies

Conduct 

Characteristics

▪ No actual resources used

▪ Often involves two or more teams

▪ May include models and simulations of increasing complexity as the game 

progresses

▪ May or may not include pre-scripted activities

Outcomes ▪ Validate plans, policies, and procedures or evaluating resource requirements

▪ An After-Action Report (AAR)/Improvement Plan (IP)

Operations-Based Exercises

Operations-based exercises include drills, functional exercises (FE), and full-scale exercises

(FSE). These exercises validate plans, policies, procedures, and agreements; clarify roles and 

responsibilities; and identify resource gaps. Operations-based exercises include a real-time 

response such as initiating communications or mobilizing personnel and resources. The following 

tables (Table 2.7, Table 2.8, and Table 2.9) provide the important information for each type of

operations-based exercise:

Table 2.7: Operations-Based Exercise Types: Drill

Drill:

An operations-based exercise often employed to validate a single operation or function.

Element Considerations and Activities

Purpose

▪ Coordinated, supervised activity to validate a specific function or capability in a 

single agency/organization, often employed to validate a single operation or 

function

▪ Provide training on new equipment, validate procedures, or practice and maintain 

current skills

Structure ▪ Can be standalone or used as a series of drills

▪ Clearly defined plans, procedures, and protocols need to be in place

Participant 

Goals

▪ Evaluate new procedures, policies, and/or equipment

▪ Practice and maintain skills

▪ Prepare for future exercises

Conduct 

Characteristics

▪ Immediate feedback

▪ Realistic environment

▪ Narrow focus

▪ Performance in isolation

▪ Results are measured against established standards
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Element Considerations and Activities

Outcomes

▪ Determine if plans can be executed as designed

▪ Assess whether more training is required

▪ Reinforce best practices

▪ An After-Action Report (AAR)/Improvement Plan (IP)

Table 2.8: Operations-Based Exercise Types: Functional Exercise

Functional Exercise (FE): 

An operations-based exercise is designed to test and evaluate capabilities and functions while in a 

realistic, real-time environment; however, movement of resources is usually simulated.

Element Considerations and Activities

Purpose

▪ Validate and evaluate capabilities, multiple functions and/or sub-functions, or 

interdependent groups of activities

▪ Exercise plans, policies, procedures, and staffs involved in management, 

direction command, and control functions 

▪ Apply established plans, policies, and procedures under crisis conditions

Structure

▪ Events are projected through a realistic exercise scenario with event updates that 

drive activity typically at the management level

▪ Controllers typically use a Master Scenario Events List (MSEL) to ensure

participant activity remains within predefined boundaries 

▪ Evaluators observe behaviors and compare them against established plans, 

policies, procedures, and standard practices (if applicable)

Participant 

Goals

▪ Validate and evaluate capabilities

▪ Focused on plans, policies, and procedures

Conduct 

Characteristics

▪ Conducted in a realistic environment

▪ Usually simulated deployment of resources and personnel

▪ Use of Simulation Cell and Master Scenario Events List (MSEL)

▪ Simulators can inject scenario elements

▪ Include controller and evaluators

Outcomes

▪ Management evaluation of Emergency Operations Center (EOCs), command 

post, headquarters, and staffs

▪ Performance analysis

▪ Cooperative relationships are strengthened

▪ An After-Action Report (AAR)/Improvement Plan (IP)
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Table 2.9: Operations-Based Exercise Types: Full-Scale Exercise

Full-Scale Exercise (FSE): 

An operations-based exercise that is typically the most complex and resource-intensive of the exercise 

types and often involves multiple agencies, jurisdictions/organizations, and real-time movement of 

resources.

Element Considerations and Activities

Purpose

▪ Often includes many players operating under cooperative systems such as the

Incident Command System (ICS) Unified Command

▪ Focus on implementing and analyzing the plans, policies, and procedures that 

may have been developed in discussion-based exercises and honed during

previous, smaller exercises

Structure

▪ Events are projected through an exercise scenario with event updates that drive 

activity at the operational level

▪ Involves multiple agencies, organizations, and jurisdictions

▪ Use of a MSEL drives player actions

▪ SimCell controllers inject scenario elements

▪ The level of support needed may be greater than that needed for other types of 

exercises

▪ Conducted in a realistic environment to mirror a real incident by presenting 

complex problems

Participant 

Goals

▪ Demonstrate roles and responsibilities as addressed in plans and procedures

▪ Coordinate between multiple agencies, organizations and jurisdictions

Conduct 

Characteristics

▪ Rapid problem solving; critical thinking

▪ Mobilization of personnel and resources

▪ Exercise site is usually large with many activities occurring simultaneously

▪ Site logistics require close monitoring

▪ Safety issues, particularly regarding the use of props and special effects, must be 

monitored

▪ Demonstrate roles and responsibilities as addressed in plans and procedures

Outcomes

▪ Validate plans, policies, and procedures

▪ Evaluate resource requirements

▪ An After-Action Report (AAR)/Improvement Plan (IP)

Program Reporting

Program reporting is intended to provide senior leaders with an analysis of issues, trends, and key 

outcomes from all exercises conducted as part of the exercise program, along with a continuous 

update on corrective actions. Reporting is a communications tool to inform senior leaders and 

guides the development of future preparedness activities. Program reporting, similar to the Rolling 

Summary Report, is not a collection of After-Action Reports, but it does feed into the Integrated 

Preparedness Plan (IPP) and is part of a continuous improvement process.
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Information in the report should:

• Inform senior leaders on the exercise program;

• Provide data to support preparedness assessments and reporting requirements; and

• Enable exercise planners to modify objectives and the exercise schedule to reflect 

knowledge gathered from the exercises.

Manage Exercise Program Resources

An effective exercise program utilizes the full range of available resources. Exercise program 

managers should plan an exercise budget, appropriate program staffing, and other needed 

resources.

Exercise Budget Management

Effective budget management is essential to the success of an exercise program and for exercise 

managers to maintain awareness of available resources and expected expenditures. In developing 

and maintaining an exercise program budget, exercise program managers work with stakeholders 

to identify financial resources and define monitoring and reporting requirements for individual

exercises.

Staffing

Exercise program managers should identify the administrative and operational staff needed to 

oversee the exercise program and to carry out the necessary exercises to improve capabilities 

across the whole community. The Integrated Preparedness Plan (IPP) is one tool for determining 

staffing needs, in addition to grant funds or other programmatic considerations. Exercise program 

managers should identify gaps between staffing availability and staffing needs and consider 

alternative means of obtaining needed staff.

Other Resources

Exercise program managers may consider other resources that can support exercises, such as:

• Information technology (for example, modeling and simulation capabilities, etc.);

• Subject Matter Experts (SMEs);

• Exercise tools and resources (for example, document templates, etc.);

• Materials from previous exercises;

• Training courses;

• Mutual aid agreements, Memoranda of Understanding, and Memoranda of Agreement;

• Technical assistance; and

• Equipment and props (for example, smoke machines, mannequins, moulage kits, etc.).
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3. Exercise Design and Development

Overview

In the design and development phase, exercise planners use the intent and guidance of senior 

leaders and the program priorities to plan individual exercises. Exercise planning teams apply the 

guidance to shape the major concepts and planning considerations for a single exercise or series of

exercises.

The steps of exercise design and development include:

• Setting the exercise foundation by reviewing senior leader guidance, the Integrated 

Preparedness Plan (IPP), and other factors to develop exercise-specific objectives and align 

capabilities within a scenario;

• Defining exercise planning activities;

• Developing the Exercise Planning Team;

• Designing the exercise to include the purpose, scope, objectives, evaluation parameters, 

scenario, documentation, and planning for media and public affairs; and

• Developing the exercise to include planning for discussion-based and operations-based 

logistics, facilitation, control, exercise evaluation, and exercise conduct.

Exercise planners apply and adapt the HSEEP doctrine to exercise design and development to meet 

specific needs.

Exercise Foundation

The exercise foundation is a set of components that drive the 

exercise design and development process. The program manager 

considers the preparedness priorities from the Integrated

Preparedness Cycle as outlined in the Integrated Preparedness 

Plan (IPP) to design and develop individual, or a series of,

exercises. The transition is shown in Figure 3.1.

The exercise planning team reviews and considers the following 

items before the design phase:

• The senior leader intent and guidance;

• The Integrated Preparedness Plan (IPP);

• Any relevant After-Action Reports/Improvement Plans 

(AARs/IPs) from real-world incidents and exercises;

• Program reports from the exercise program managers;

• The Threat and Hazard Identification and Risk Assessment (THIRA) or other threat, 

hazard, and risk assessments;

• The Stakeholder Preparedness Review, or other capability assessments;

Figure 3.1: Individual Exercise 

Design and Development Process
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• The organization/jurisdiction plans, policies, and procedures; and

• Any grant or cooperative agreement requirements.

Exercise Planning Activities

This section describes the types of planning activities most useful in exercise design and

development. The primary planning activities include establishing an exercise timeline and 

assembling the exercise planning team. The exercise planning team is typically formed following 

the Concept and Objectives (C&O) Meeting. At that time, the exercise planning team members 

decide the type and number of additional planning meetings necessary. 

Exercise Planning Meetings

Meetings serve as a structured event or forum for completing the major milestones of exercise 

design and development. The range of planning meetings are described in the following tables 

(Table 3.1, Table 3.2, Table 3.3, Table 3.4, and Table 3.5), though not all meetings may be used 

for every exercise. While the planning meetings are critical for accomplishing tasks as a planning 

team, much of the development work will be accomplished between formal meetings.

Table 3.1: Planning Meeting Types: Concept and Objectives (C&O) Meeting

Concept & Objective (C&O) Meeting: 

A meeting that is the formal beginning of the exercise planning process. It is held to identify the scope 

and exercise objectives. For less complex exercises and for organizations with limited resources, the 

C&O Meeting can be conducted in conjunction with the Initial Planning Meeting (IPM).

Element Considerations and Activities

Meeting Focus The formal beginning of the planning process. Program priorities and objectives 

are determined during the C&O Meeting.

Discussion Points

▪ Exercise scope

▪ Proposed objectives and aligned capabilities linked to threats and risks

▪ Location, date, and duration

▪ Participants and anticipated extent of play

▪ Exercise Planning Team makeup

▪ Assumptions and artificialities

▪ Control and evaluation concepts

▪ Security organizations and structure

▪ Available resources

▪ Logistics

▪ Planning timeline and milestones

▪ Local issues, concerns, and sensitivities

▪ Engagement with senior leaders for guidance and intent

Exercise Tools ▪ Meeting agenda and briefing, which includes the background and rationale for 

conducting the exercise
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Element Considerations and Activities

Exercise 

Outcomes

▪ Exercise concept

▪ Exercise timeline (group consensus)

▪ Extent of participant play

▪ Identification of planning team members

▪ Planning timeline, milestones, and meeting dates

Follow-up Compile and distribute the C&O Meeting minutes and include the next meeting 

time, date, and location.

Table 3.2: Planning Meeting Types: Initial Planning Meeting (IPM)

Initial Planning Meeting (IPM): 

A meeting that is held to refine the scope and exercise objectives. For less complex exercises and for 

organizations with limited resources, the C&O Meeting can be conducted in conjunction with the IPM.

Element Considerations and Activities

Meeting Focus Formal beginning of the development phase. The IPM also focuses on refining the 

scope and the objectives for the exercise.

Discussion Points

▪ Clearly defined objectives and aligned capabilities linked to threats and risks

▪ Evaluation requirements, including Exercise Evaluation Guide (EEG)

capability targets and critical tasks

▪ Relevant plans, policies, and procedures to be evaluated

▪ Exercise scenario

▪ Modeling and simulation

▪ Participants extent of play

▪ Optimum duration of the exercise

▪ Exercise planners’ roles and responsibilities

▪ Decision to record exercise proceedings (audio or video)

▪ Local issues, concerns, or sensitivities

▪ Discussion points typically covered during a C&O Meeting, if one is not held

▪ Consensus regarding the date, time, and location for next meeting

▪ Re-engagement with senior leaders to ensure alignment with guidance and 

intent

Exercise Tools

▪ Read-ahead document

▪ Agenda material

▪ Briefing for presenting an overview of the exercise and meeting discussion 

points

▪ Threat and hazard identification assessments

▪ Proposed room layout (discussion-based)

▪ Map of proposed venue sites (operations-based) with description of local 

environment

▪ Copy of proposed timeline and milestones for design and development

▪ Copies of presentation briefing for meeting
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Element Considerations and Activities

Exercise 

Outcomes

▪ Any outcomes from C&O Meeting; if a C&O Meeting was not conducted

▪ Clearly defined objectives and aligned capabilities

▪ Initial capability targets and critical tasks (reviewed and confirmed prior to the 

next meeting)

▪ Scenario variables (threat, scope, venue, conditions)

▪ List of participating organizations and extent of play

▪ Develop exercise draft documentation (Situation Manual [SitMan], Exercise 

Plan [ExPlan], etc.)

▪ Identification and availability of all source documents (plans, policies, 

procedures) needed for exercise documentation

▪ Refined exercise planning timeline

▪ Identification of available subject-matter experts (SMEs) (scenario vetting)

▪ Preferred communication methods among planning team

▪ Clearly identified and assigned responsibility for logistical issues

▪ List of tasks to be accomplished by next planning meeting, to include date and 

responsible planning team member

▪ Agreed-upon date, time, and location of next planning meeting

Follow-up

▪ Compile and distribute the IPM, meeting minutes, including the next meeting 

time, date, and location

▪ Between meetings the planning team collaborates on assignments and prepares 

draft exercise documentation

▪ Distribute draft documentation prior to the next scheduled meeting

Table 3.3: Planning Meeting Types: Midterm Planning Meeting (MPM)

Midterm Planning Meeting (MPM): 

A meeting that serves as a forum to develop exercise scenario details and timeline.

Element Considerations and Activities

Meeting Focus

The MPM is a continuation of the development phase. This meeting is primarily 

focused on scenario development and serves as a check-in for exercise product 

development.

Discussion Points

▪ Comments on draft exercise documentation

▪ Construction of the scenario timeline

▪ Development of the Master Scenario Events List (MSEL), if a MSEL meeting 

is not scheduled

▪ Identification of exercise venue artificialities and/or limitations

▪ Agreement on final logistical items

▪ Assignment of additional responsibilities

▪ Re-engage with senior leaders to ensure alignment with guidance and intent
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Element Considerations and Activities

Exercise Tools

▪ Agenda material

▪ Briefing for presenting an overview of the exercise and meeting discussion

points

▪ IPM minutes

▪ Draft scenario timeline

▪ Draft documentation (Facilitator Guide, Controller/Evaluator [C/E] Handbook, 

etc.)

▪ Other selected documentation needed to illustrate exercise concepts and 

provide planning guidance

Exercise 

Outcomes

▪ Reviewed exercise documentation (SitMan, ExPlan, etc.)

▪ Draft Facilitator Guide or C/E Handbook, including EEGs

▪ Well-developed scenario to include injects (if no MSEL Meeting isscheduled)

▪ Agreement on the exercise site

▪ Identified logistics planning requirements

▪ Finalization of date, time, and location on the MSEL Meeting and Final 

Planning Meeting (FPM)

Follow-up

▪ Compile and distribute the MPM meeting minutes, including the next meeting

date, time, and location

▪ Between meetings the planning team collaborates on assignments and prepares 

draft exercise documentation

▪ Distribute draft documentation prior to the next scheduled meeting

Table 3.4: Planning Meeting Types: Master Scenario Events List (MSEL) Meeting

Master Scenario Events List (MSEL) Meeting: 

A meeting for operations-based exercises that serves as a forum to build the MSEL in detail.

Element Considerations and Activities

Meeting Focus

The MSEL meeting focuses on reviewing the timeline and developing the MSEL. 

Exercise planners from participating departments, agencies, jurisdictions, and 

organizations are included to identify activities that must occur during the exercise.

Discussion Points

▪ Tasks, conditions, and standards required to meet objectives

▪ Key events and critical tasks

▪ Event originator, target player, expected player actions, and timeframe

▪ Contingency injects to prompt player action (if needed)

Exercise Tools

▪ Agenda material

▪ Previous meeting minutes

▪ Draft exercise documentation

▪ Applicable plans, policies, and procedures

▪ Agreed-upon template used to create the MSEL
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Element Considerations and Activities

Exercise 

Outcomes

▪ Key event injects and delivery timeline identified

▪ Assignment of responsibility for conducting remaining events 

▪ Revisions of draft scenario-based documentation 

▪ Timeline for completion

Follow-up

▪ Compile and distribute the MSEL meeting minutes, including the next meeting 

date, time, and location

▪ Between meetings the planning team collaborates on assignments and prepares 

draft exercise documentation

▪ Distribute draft documentation prior to next scheduled meeting

Table 3.5: Planning Meeting Types: Final Planning Meeting (FPM)

Final Planning Meeting (FPM): 

A meeting that serves as the formal end of the exercise planning process. It is held to finalize exercise 

documentation and logistics.

Element Considerations and Activities

Meeting Focus

Should be conducted for all exercises to ensure that all elements of the exercise are 

ready for conduct. Prior to the FPM, the planning team receives final drafts of all 

exercise materials. No major changes to the exercise’s design, scope, or supporting 

documentation should take place at or following the FPM.

Discussion Points

▪ Conduct a comprehensive final review

▪ Approve all remaining draft documents (for example, SitMan, MSEL, C/E

Handbook) and presentation materials

▪ Resolve any open planning issues and identify last-minute concerns

▪ Review all exercise logistical activities (for example, schedule, registration, 

attire, special needs)

▪ Re-engage with senior leaders to ensure alignment with guidance and intent

Exercise Tools

▪ Agenda materials

▪ Briefing for presenting an overview of the exercise and meeting discussion

points

▪ Previous meeting minutes from the IPM, the MPM, and the MSEL, if needed

▪ All draft exercise documents and documentation

▪ Previously finalized documents

Exercise 

Outcomes

▪ Final approval of exercise documents and material for production

▪ Identified issues resolved

▪ Attendees understand and approve exercise processes and procedures

▪ Task assignments and logistical elements, including facilities, equipment, and 

schedules are confirmed
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Element Considerations and Activities

Follow-up

▪ Finalize all publications

▪ Prepare all supporting materials

▪ Rehearse presentations and briefings

▪ Prepare to conduct the exercise

▪ Disseminate documentation and any additional instructions to all appropriate 

personnel prior to the exercise

Exercise Planning Team Considerations

The exercise planning team manages and is responsible for exercise design, development, conduct, 

and evaluation. The membership of an exercise planning team fits the type and scope of an exercise

and is a manageable size yet represents the full range of participating jurisdictions/organizations 

and stakeholders. For multi-jurisdictional/organizational exercises, planning team members 

include representatives from each functional area or relevant discipline.

Typically, planning team members are not exercise players; they are trusted agents. With limited

resources, exercise planning team members may act as both planners and players but must be 

careful not to divulge sensitive exercise information. Planning team members also help with

producing and distributing pre-exercise materials and conducting exercise planning meetings, 

briefing, and training sessions.

To design and develop exercises most effectively, exercise planning teams:

• Identify and understand the desired objectives and associated capabilities for the exercise;

• Adhere to a clear organizational structure with roles and responsibilities;

• Use proven project management practices, processes, and tools, such as project plans and 

timelines, status reports, and other communications;

• Incorporate evaluation planning and SMEs during design and development;

• Use SMEs to develop a realistic and challengingscenario; and

• Identify the type of security clearance levels needed (if required).

Community representative and individual with disabilities and access and functional needs should 

be invited to participate throughout the planning process. In doing so, exercise planners incorporate 

a broad set of perspectives and promote early understanding of roles, responsibilities, and planning 

assumptions.

Exercise Planning Team Positions

Regardless of the scale and complexity of an exercise, the exercise planning team should adhere 

to a coherent organizational structure that delineates roles and responsibilities. An Exercise 

Director provides strategic oversight and direction to the exercise planning team leader, who 

manages the exercise planning team. In developing a structure, the Exercise Director considers 

adequate span of control and requirements needed for the exercise type. The same personnel may 

fulfill multiple roles, depending on available resources. The functional organizational structure
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shown in Figure 3.2 can vary to reflect the scope of the exercise and the resources and personnel 

available to support the design and development, conduct, and evaluation of the exercise.

Figure 3.2: Example of a Functional Organizational Structure for an Exercise Planning Team

Table 3.6 describes the functions of an exercise planning team.

Table 3.6: Functions of an Exercise Planning Team

Functions Description

Exercise Director Responsible for the strategic oversight and direction on the HSEEP Cycle for an 

individual exercise.

Exercise Planning 

Team Lead

Responsible for the management of the exercise planning team and coordinates 

with the Exercise Director and senior leaders.

Safety/Security Responsible to ensure that the exercise is conducted in a safe and secure 

environment.
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Functions Description

Design and 

Development

Responsible for compiling and developing all exercise background and 

facilitation or control, providing technical or functional expertise for scenario 

development, developing the simulation construct as applicable, and working 

with the evaluation and resource/support functions to ensure all exercise design 

and development needs are met.

Scenario

Responsible for developing a model or outline, either written or depicted by an 

event timeline, of the simulated sequence of events that drive the player’s 

discussion or actions.

Control 

(Operations-Based 

Exercise)

Responsible for the control structure needed for an operations-based exercise. 

This includes the master control cell, individual venue control, and simulation 

and modeling requirements. Will work with the evaluation component in 

completing the C/E Handbook.

Facilitation 

(Discussion-Based 

Exercise)

Responsible for the facilitator guide for discussion-based exercises, once the 

conduct and evaluation materials have been completed; managing the 

recruitment and training of facilitators as necessary; and working with evaluation 

planners to confirm the facilitator is properly directed regarding objectives and 

areas of focus.

Modeling and 

Simulation/GIS

Responsible for coordinating the use of modeling, simulation, and GIS for both 

discussion- and operations-based exercises. Ensures modeling is coordinated 

with the scenario and ground truth elements and that simulation is coordinated 

with the control element during exercise design and development.

Master Scenario 

Events List (MSEL, 

Operations-Based 

Exercise)

Responsible for working with all other elements of exercise design and 

development, as well as nonparticipating jurisdictions and subject-matter experts 

(SMEs), to design and develop the MSEL timeline and events to properly drive 

exercise play.

Evaluation

Responsible for the development of the overall exercise evaluation construct and 

all evaluation documentation; assigns evaluation staffing in conjunction with the 

exercise planning team. Collects and reviews the policies, plans, and procedures 

to be examined during exercise conduct to finalize exercise objectives, match 

capability targets to exercise objectives, and determine critical tasks to be 

evaluated in order to complete exercise evaluation guides.

Evaluation Plan Responsible for the development of the evaluation plan that provides guidance, 

instructions, and structure on evaluating and observing during an exercise. 

Exercise Evaluation 

Guide 

Responsible for the development of the Exercise Evaluation Guides (EEGs) used 

for the exercise.

Resource Support Responsible for logistics, administration, facility, and finance support for 

planning meetings, exercise documentation, and other planning considerations.

Facilities

Responsible for coordinating the needed venue locations for exercises, including 

meeting rooms, conference centers, training locations, and locations for 

operations-based exercises.
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Functions Description

Administration

Responsible for meeting scheduling and administrative support, such as 

distributing meeting invitations, read-ahead materials, and meeting minutes; 

providing and collecting sign-in sheets; and note taking during planning 

meetings.

Logistics Responsible to ensure venues are adequately equipped with audiovisual 

equipment, tables, and chairs and coordinates refreshments if required.

Exercise Design

The core components of design include clarifying the purpose, establishing the exercise scope, 

setting objectives, developing evaluation parameters, creating a scenario, developing 

documentation, and determining media and public affairs guidance. The exercise planning 

meetings serve as the principal mechanism for completing the major steps of exercise design.

Exercise Purpose

The purpose of the exercise derives from a set of key factors determined from:

• A multi-year Integrated Preparedness Plan (IPP);

• Any existing plans, policies, and procedures;

• THIRA or other threat, hazard, or risk assessments; 

• Any past exercise or real-world AAR/IPs; and

• Any grant or cooperative agreement requirements.

A review of the factors ensures the exercise builds and sustains a jurisdiction’s/organization’s 

capabilities while taking prior circumstances into consideration during the exercise design process. 

Once the review is complete, each exercise is designed to meet the intent of the exercises within 

the Integrated Preparedness Plan (IPP).

Exercise Scope

Determining the exercise scope enables planners to “right-size” an exercise to meet the objectives 

while staying within the resource and personnel constraints of the participating jurisdictions/

organizations.

Table 3.7: Elements that Define Scope

Element Description

Exercise Type

Exercise type is based on the exercise purpose. For instance, if the intent is to review 

and discuss a new policy, plan, or set of procedures, a discussion-based exercise may 

be appropriate. If the intent is to assess the responders’ ability to implement a plan, 

policy, or set of procedures, an operations-based exercise may be appropriate.
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Element Description

Participation 

Level

Participation level of jurisdictions/organizations provides information such as dates 

and times of participation, number of personnel involved, positions of personnel 

(operational, agency directors), available resources, and the intended outcomes. 

Participation level limitations may include scheduling conflicts, real-world incidents, 

or other competing requirements. Consider simulation to alleviate the participation 

level limitations. To ensure a successful exercise, the use of an Extent of Play 

Agreement outlines the agreement to participate. 

Exercise 

Location

Exercise location is based on the exercise type. Discuss and decide suitable locations 

for the exercise to determine the scope or define artificialities required to simulate realworld incidents.

Exercise 

Duration

Exercise duration is based on resources and exercise objectives. When selecting the 

exercise duration, the planning team should determine how long the exercise will take 

to address the exercise objectives effectively. 

Other 

Considerations

Other considerations may determine exercise activities that are useful to a jurisdiction/

organization. Clearly defining the exercise scope early in the design process helps 

exercise planners keep the exercise to a manageable and realistic level.

Exercise Objectives

Based on direction from senior leaders, the exercise planning team selects one or more exercise 

program priorities on which to focus an individual exercise. These priorities drive the development 

of exercise objectives that a jurisdiction/organization wishes to achieve during an exercise. The 

objectives are aligned to a common set of capabilities which enables:

• A systematic tracking of progress throughout exercise programs andcycles;

• A standardized exercise data collection informing preparedness assessments; and

• The fulfillment of grant or funding-specific reporting requirements.

Figure 3.3 shows how the exercise program priorities are developed and the relationship between 

the exercise program priorities, exercise objectives, and capabilities.

Figure 3.3: Priorities, Objectives, and Capabilities

Exercise objectives should incorporate senior leaders’ intent; exercise participants’ plans, policies, 

and procedures; operating environment; corrective actions from previous exercises and real-world 

incidents; and desired outcomes. The exercise planning team should select a reasonable number of 

objectives to facilitate effective scenario design, exercise conduct, and evaluation. An objective 

should be specific, measurable, achievable, relevant, and time-bound (SMART), as shown in 

Figure 3.4. 
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Figure 3.4: SMART Guidelines for Exercise Objectives

Example of a SMART Objective

Demonstrate the ability of Central City staff to receive, develop, and disseminate a 

public alert utilizing Central City’s notification system regarding a HAZMAT spill 

within 15 minutes of initial notification, in accordance with the Communications 

Annex in the Emergency Operations Plan. 

Evaluation Parameters

The development of exercise evaluation parameters begins early in the exercise process and helps 

to guide the development of the exercise scenario, discussion questions or event timeline, and 

evaluation documentation. Once the exercise objectives are aligned to capabilities, the exercise 

planning team identifies the linked capability targets and critical tasks. Chapter 5: Exercise 

Evaluation provides additional details regarding capability targets and critical tasks.

Scenario

A scenario is a model or outline of the simulated sequence of events that drives participant

discussions or actions. The scenario can be a written narrative or depicted by an event timeline. 

The scenario should be plausible, realistic, and challenging so participants can meet the objectives. 

After developing the scope and objectives, the exercise planning team should select and develop 

the scenario to enable an exercise to assess objectives and capabilities.

The elements of a scenario are:

• The conditions allowing players to demonstrate their ability to meet exercise objectives;

• The technical details necessary to accurately depict scenario conditions and events (for 

example, the date and time of event and damage resulting from the event); and

• A general context or comprehensive narrative.
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Threat, Hazard, and Risk

The type of threat, hazard, or risk defines a scenario allowing for assessment of the objectives and 

capabilities of the exercise. Threat, hazard, and risk identification originates from the 

organization’s/jurisdiction’s THIRA or other threats, hazards, or risk assessments. Risk analyses

enable jurisdictions/organizations to identify potential events that stress preparedness capabilities. 

Modeling and Simulation

Modeling and simulation bring versatility, cost savings, and fidelity to exercises when 

incorporated into the development of the scenario and overall exercise design. A model is a 

representation of a system at a point in time or space intended to expand an understanding of the 

real system. Simulation is a method of implementing the performance of a model, or combination 

of models, over time. Modeling and simulation may apply to situations where achieving reality is 

difficult. The use of modeling and simulation realistically replicates variables such as disease 

propagation, radiation, and chemical attacks. 

Exercise Documentation

Exercise documentation provides the framework for exercise conduct and evaluation. The 

documentation helps the planning team apply the HSEEP Cycle. Table 3.8 and Table 3.9 list the 

most commonly used exercise design and development documents, identified by the exercise type 

and relevant audience.

Table 3.8: Discussion-Based Exercise Documentation

Document Description Distribution

Situation 

Manual 

(SitMan)

A document that provides background information and serves as 

the primary reference material for exercise participants (core 

document for discussion-based exercises).

All 

Participants

Player Handout

A document that supplements or replacesthe Situation Manual and 

presentation, providing players a quick-reference guide, 

sometimes referred to as a “placemat.”

Players

Facilitator 

Guide

A document that outlines instructions and key issues discussed and 

utilized by the exercise facilitator to move participants through 

exercise play.

Exercise 

Facilitator(s)

Presentation A multimedia display that provides background information for 

participants during exercise conduct.

All 

Participants

Exercise 

Evaluation 

Guide(s) (EEG)

A document that captures information specifically related to the 

evaluation requirements developed by the exercise planning team. 

The EEG provides evaluators with a standardized tool to guide 

data collection and capture performance results. Since each 

jurisdiction/organization has unique targets and critical tasks, 

EEGs are developed specific to their plans, policies, procedures, 

and protocols.

Evaluators

Participant

Feedback Form

A document that provides a mechanism to collect input from all 

participants following an exercise and supports the development 

of an After-Action Report (AAR) and Improvement Plan (IP).

All 

Participants
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Table 3.9: Operations-Based Exercise Documentation

Document Description Distribution

Exercise Plan 

(ExPlan)

A document that provides general information to exercise 

participants, including exercise objectives and scope, not including 

the scenario information.

Players and 

Observers

Player Handout

A document that supplements the Exercise Plan and provides 

players with a quick-reference guide; sometimes referred to as “a 

pocketsize trifold or bifold.”

Players

Ground Truth 

A document comprised of the detailed elements of a scenario that 

must remain consistent during exercise development and conduct 

to ensure that realism is maintained, and objectives can be 

achieved.

All 

Participants

Controller/ 

Evaluator (C/E) 

Handbook

A document that provides specific exercise information and 

guidance for controllers and evaluators, may be a standalone 

document or supplement to the Exercise Plan, and adjusted 

accordingly.

Controllers 

and 

Evaluators

Master Scenario 

Events List 

(MSEL)

A document or system that is a chronological timeline of expected 

actions and scripted events to be injected into exercise play by 

controllers to generate or prompt player activity. It ensures 

necessary events happen so that all objectives are met. Larger,

more complex exercises may also use a procedural flow, which 

differs from the MSEL in that it contains only expected player 

actions or events. The MSEL links simulation to action, enhances 

the exercise experience for players, and reflects an incident or 

activity meant to prompt players to action.

Controllers, 

Evaluators, 

and Simulator

Extent of Play 

Agreement

A document that is a formal written agreement outlining the 

participating jurisdiction’s/organization’s level of play during an 

exercise.

Exercise 

Planning 

Team

Exercise 

Evaluation 

Guide(s) (EEG)

A document that captures information specifically related to the 

evaluation requirements developed by the exercise planning team. 

The EEG provides evaluators with a standardized tool to guide 

data collection and capture performance results. Since each 

jurisdiction/organization has unique targets and critical tasks, 

EEGs are developed specific to their plans, policies, procedures, 

and protocols.

Evaluators

Control Staff 

Instructions 

(COSIN)

A document for the Controller portion of the C/E Handbook for 

large exercises that provides detailed guidelines for control and 

simulation support and establishes a management structure for 

these activities. This section provides guidance for controllers, 

simulators, and evaluators on procedures and responsibilities for 

exercise control, simulation, and support.

Controllers, 

Simulators, 

and Exercise 

Support

Evaluation Plan 

(EvalPlan)

A document for evaluators that provides guidance, instructions, 

and structure on evaluating and observing during an exercise. It 

also provides essential materials required to perform their specific 

functions.

Evaluators
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Document Description Distribution

Participant 

Feedback Form

A document that the exercise team uses to collect observed 

strengths, areasfor improvement, and input about exercise conduct 

and logistics from participants. 

All 

Participants

Areas to consider when developing the exercise documentation are:

• Exercise Marking: Documents and messages should be clearly identified as exerciserelated products.

• Classification: Determine the importance of specific requirements for security. 

Documents that are sensitive or classified need to be marked according to regulations or 

guidance (for example, classified, For Official Use Only [FOUO], secret, etc.).

• Accessibility: Verify consideration and accessibility of presentations and documents (for 

example, large print, compact disc, Braille), closed captioning or another form of text 

display, or the provision of sign language interpreters.

• Distribution: Understanding the types of information and the dissemination of information 

needs to be considered (for example, the printing and circulating classified scenario

details).

Table 3.10 describes other documentation used during an exercise where applicable.

Table 3.10: Other Exercise Documentation

Document Description Distribution

Table Tents An item on each table identifying the functional area seated at that 

table. All Tables

Name Badge An item that each participant wears to clearly identify their name 

and agency/organization.

All 

Participants

Liability 

Waiver Form

A document that each actor should receive and sign prior to the start 

of the exercise. Signing a waiver form releases liability for all 

exercise planners and participants. Exercising entities should use 

discretion when recruiting actors under the age of 18 years because 

of additional challenges and concerns related to liability. If the 

exercise requires volunteers younger than 18 years, parents or legal 

guardians must sign their waiver forms.

Actors

Photo Consent 

Form

A document for photographs prior to the exercise. Signing the form 

releases permission for all exercise participants photographed,

allowing their photo to be used for informational and educational 

purposes.

All 

Participants

Weapons and 

Safety Policy

A document for all exercises, where applicable, shall employ a 

written weapons and safety policy in accordance with applicable 

state or local laws and regulations. Exercise sponsors should 

coordinate the application of a weapons and safety policy with the 

appropriate safety and legal departments as necessary. All players 

are expected to fully adhere to this policy; however, site security 

personnel may continue to carry assigned weapons. 

All 

Participants
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Document Description Distribution

Symptomology 

Card

An item containing the signs and symptoms that an exercise actor 

will portray, as well as information helpful for players.

Actors and 

Players

Press Release A document that the exercise planning team develops for the media 

and the public to inform them about the exercise.

Media and 

Public

Planning for Media and Public Affairs

Media and public affairs can be important participants for an exercise. The exercise planning team

should work to incorporate media-related issues into exercise planning. 

Press Release

Before an exercise, the exercise planning team may develop a written press release to disseminate 

to media outlets, including web-based and social media outlets, observers, senior leaders, and other 

very important persons (VIPs), as appropriate. The press release informs the media and the public 

about general exercise information. The press release does not contain detailed scenario 

information, such as the type of threat or hazard, nor contain information that might hinder meeting 

exercise objectives if a participant reads the release.

The contents of a media or public information release include the following:

• An introduction, including sponsor and exercise program information;

• The exercise scope and objectives;

• Any general scenario information; and

• The participating agencies or disciplines.

Public Announcement

Public announcements should occur before any exercise involving public space or space viewable 

to the public and help avoid public confusion. The announcement will also help the public avoid 

congestion near the exercise site by providing suggestions for alternate routes. Examples of 

announcements are local media, community alert and notification systems, and directly on signs 

near the exercise site.

Media Policy

The agency or jurisdiction/organization sponsoring the exercise should decide whether to invite 

media representatives to the exercise. If invited, media representatives conduct interviews with 

exercise planners and participants prior to the exercise.

At discussion-based exercises, media representatives should not be present during the discussion 

of any potentially sensitive information. Also, avoid the filming of exercise conduct, which may 

hinder discussion or the flow of play.

Exercise Development

Exercise development involves planning for the critical elements of exercise logistics, facilitation, 

control, and evaluation. Exercise logistics are important to create a smooth and seamless exercise.
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Discussion-Based Exercise Logistics Planning

Logistics for discussion-based exercises include facility and room, audio/visual requirements, 

supplies, food, and refreshments, registration and badging, table and breakout identification, 

parking, and media, public affairs, and VIPs.

Facility and Room

Meetings, briefings, and exercises should be conducted in facilities appropriate for the exercise

scope and attendance. Reserve facilities solely for exercise purposes, free from distractions, and 

accessible to all participants.

Exercise planners should account for the following considerations:

• Ensure enough tables and chairs for every participant;

• Arrange tables to best suit the meeting or exercise (for example, U-shaped layout for 

exercises requiring facilitation and participant interaction);

• A facility with room acoustics that encourage discussion;

• A facility with the accessibility of parking and restrooms for all participants, to include any 

special needs requirements; 

• A venue consistent with the number of attendees expected; the fire marshal office or similar 

entity determines the maximum occupancy capacity, and this should not be exceeded; and

• Appropriate power, internet bandwidth, and cell phone reception and service to support 

exercise play.

Audio/Visual Requirements

Identify audio/visual requirements early, including individuals assigned to ensure equipment is 

properly functioning. Audio/visual equipment may include a projector, screens, microphones, and 

speakers.

Supplies, Food, and Refreshments

Obtain supplies such as writing utensils, notepads, easels, copies of plans and procedures, name 

badges, and any other necessary equipment before the exercise and provide to the participants. The 

exercise planning team should consider, in accordance with applicable funding guidance or venue 

policies, whether to provide food and refreshments for participants. 

Registration and Badging

Participants should register upon arrival at the exercise venue. Participants should, at a minimum, 

provide their name, jurisdiction/organization, telephone number, and e-mail address. The exercise 

planning team retains copies of the sign-in sheets for follow-up correspondence. If appropriate for 

security purposes, participants should wear a form of identification such as uniforms or badges 

with name and jurisdiction/organization.
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Table and Breakout Identification

Table tents are used to identify participants by either organizational or functional areas. Before 

exercise conduct, place table tents on each table to ensure that participants are sitting in the correct 

locations. If additional breakout rooms are needed, place signage and table tents in those areas to 

ensure that participants are identified. 

Parking

Clearly label established parking areas for participants arriving in personally owned vehicles. If 

needed, law enforcement personnel may direct vehicles to proper parking areas.

Media, Public Affairs, and VIPs

Media, public affairs, and VIP personnel should always have an escort. Identify a designated 

location for the media prior to the start of the exercise.

Discussion-Based Exercise Facilitation Planning

Exercise facilitation is a method that uses a facilitator/presenter with an awareness of appropriate 

plans, policies, and procedures. This facilitation typically occurs in a plenary session or in breakout 

groups.

Staffing

The planning team identifies the number of facilitators/presenters needed for exercise conduct. 

Facilitators/Presenters deliver scenario information and maintain a focused discussion. If 

participants divide into groups for part of conduct, assign a table facilitator/presenter to each group.

Facilitation Structure

The facilitation structure is the framework that allows facilitators/presenters to coordinate amongst 

one another. This structure becomes part of a larger organizational structure during conduct. The 

Lead Facilitator/Presenter ensures that the discussions stay on track and objectives are being met. 

If breakouts are needed to further enhance the exercise, additional facilitators/presenters may be 

needed for each breakout session.

Configuration for the breakouts can be either by functional areas or organizational areas. 

Functional areas are personnel that have the same subject matter expertise in a specific field (fire 

and rescue, law enforcement, etc.). Organizational areas are personnel that have a particular 

purpose (public safety, emergency management, etc.). Figure 3.5 shows an example of an exercise

facilitation structure. 
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Figure 3.5: Example of a Discussion-Based Exercise Facilitation Structure

Table 3.11 describes the positions used in the exercise facilitation organization.

Table 3.11: Positions of an Exercise Facilitation Structure

Position Description

Lead Facilitator/

Presenter

An individual responsible for keeping a discussion focused on exercise 

objectives and exploring all issues within the time allotted during discussionbased exercises, or an individual designated to deliver information in a structured 

setting.

Facilitator/

Presenter

Additional individual responsible for keeping a discussion focused on objectives 

for each of the breakout groups as needed.

Prior to the exercise, the facilitator/presenter conducts a walkthrough of the exercise design, event 

timeline, delivery methods, and facilitation techniques with all exercise facilitators/presenters, 

evaluators/note-takers, and the Exercise Director.

Operations-Based Exercise Logistics Planning

Logistics for operations-based exercises include facilities and exercise areas; audio/visual 

requirements; supplies, food, and refreshments; registration and badging; parking and 

transportation; actors; and media.

Facilities and Exercise Areas

Operations-based exercises often have several areas for exercise conduct. Ensure any special needs 

requirements are considered. Table 3.12 shows the facilities and exercise areas, descriptions, and 

types.
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Table 3.12: Facilities and Exercise Areas, Descriptions, and Types

Area Description Type

Exercise Play 

Area

A location where player activities and tasks are demonstrated during 

an exercise. Player Venue

Response 

Route

A location for responding emergency units from the assembly area 

to the staging area or other exercise sites during a response-focused 

exercise.

Player Venue

Exercise 

Assembly Area

A location for participants and resources to gather and dispatch, 

managed by controller(s).

Controller 

Venue

Master Control 

Cell

A location where overall coordination is managed between venue 

control cells, simulation cells, and other control areas.

Controller 

Venue

Venue Control 

Cell

A location where controllers manage individual injects designed for 

their relevant players.

Controller 

Venue

Simulation Cell

A location from which controllers deliver messages representing 

actions, activities, and conversations of an individual, agency, or 

organization that is not participating in the exercise.

Controller 

Venue

Emergency 

Medical 

Services Area

A location for real-world response support, such as treatment sector 

areas, ambulance staging, and transportation coordination points. Controller 

Venue

Observer and 

Media Area

A location where observers and real-world media representatives 

can view the exercise but not interfere with exercise play.

Controller 

Venue

Audio/Visual Requirements

Identify audio/visual requirements early, including individuals assigned to ensure equipment is 

properly functioning.

Supplies, Food, and Refreshments

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

any supplies (for example, vests, clipboards, signage, writing utensils, notepads, easels, copies of 

plans and procedures, name badges, and any other necessary equipment) before the exercise 

conduct and ensure they are provided to participants. The exercise planning team should consider, 

in accordance with applicable funding guidance or venue policies, whether to provide food and 

refreshments for participants. Hydration and relief stations are an important logistical aspect of an 

operations-based exercise.

Registration and Badging

Participants should register upon arrival and for security purposes should wear a form of

identification such as uniforms or badges with name and jurisdiction/organization. Participants 

should, at a minimum, provide their name, jurisdiction/organization, telephone number, and e-mail 

address. The exercise planning team retains copies of the sign-in sheets for follow-up 

correspondence.
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Parking and Transportation

Clearly label established parking areas for participants arriving in personally owned vehicles at all 

venues. If needed, law enforcement personnel may direct vehicles to proper parking areas and 

transportation to pre-position controllers, players, and actors in advance of the exercise.

Actors

Actors add realism and prompt players to react to a scenario event. Exercise planning team 

members can recruit from various organizations.8

Prior to the exercise, actors should receive the following:

• A liability waiver form for signature;

• Actor instructions, including information on when to arrive, where to report, and other 

logistical details; and

• Symptomology cards, when applicable.

Media, Public Affairs, and VIPs

Media, public affairs, and VIP personnel should always have an escort. Identify a designated 

location for the media prior to the start of the exercise.

Operations-Based Exercise Control Planning

Exercise control maintains exercise scope, pace, and integrity during conduct under safe and secure 

conditions. Elements of exercise control include staffing, control structure, control cell, simulation 

cell, MSEL, controller training, communications, and safety and security.

Staffing

The exercise planning team identifies the number of controllers needed during the exercise to

deliver and track information. As a guiding principle, place at least one controller at every venue 

whenever possible to help ensure a safe exercise with proper security controls. Resource 

constraints may make placing a controller at every site challenging; therefore, multitasking 

personnel as both a controller and an evaluator is an option.

Control Structure

The control structure is the framework that allows controllers and simulators to communicate and

coordinate at multiple locations. The control structure ensures exercise play progresses to meet 

exercise objectives and deliver and track exercise information. This structure becomes part of a 

larger organizational structure during conduct. Figure 3.6 shows an example of a control structure 

with multiple control cells.

8 Examples of organizations are local colleges and universities, medical and nursing schools, drama clubs, theaters, civic groups, emergency 

response academies, Community Emergency Response Teams, and federal and state military units. Including volunteer actors from within the 

access and functional needs population provides an opportunity to exercise in a variety of operational environments.
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Figure 3.6: Example of an Operations-Based Exercise Control Structure

Table 3.13 describes the positions used in an operations-based exercise control structure.

Table 3.13: Positions of an Operations-Based Exercise Control Structure

Position Description

Lead Controller An individual that monitors exercise progression, communicates exercise 

activities throughout all venues, and manages the control staff.

MSEL Manager An individual that manages the timely and accurate delivery of injects and player 

expected actions and decides on the need to release contingency injects.

Simulation Cell 

Controller

An individual that delivers scenario messages representing actions, activities, 

and conversations of an individual, agency, or organization that is not 

participating in the exercise. 

Ground Truth 

Advisor

An individual responsible for ensuring that the scenario details remain consistent 

during exercise conduct.

Venue Controller

An individual that is responsible for setting up and operating a specific exercise 

location. Venue Controllers manage exercise play and may prompt or initiate 

certain players to ensure continuity and flow. 

Observer/Media 

Area Controller

An individual responsible to ensure that observers and the media stay in their 

designated areas and do not interfere with the exercise.
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Position Description

Exercise Assembly 

Area Controller

An individual responsible for the logistical organization of the exercise assembly 

area, including placement locations for units entering the exercise assembly area, 

release of dispatched units into the field, and coordination of routes and overall 

safety within the assembly area.

Master Control Cell (MCC)

An MCC is a location where overall coordination is managed between venue control cells (VCCs), 

simulations cells, and other control areas. An MCC compiles all the information into a common 

operating picture for the exercise and ideally will contain a Point of Contact (POC) or a liaison 

representing each participating jurisdiction/organization. If an exercise contains multiple 

geographic locations, consider establishing several VCCs to communicate and coordinate through. 

When an exercise requires the establishment of multiple VCCs, defining the roles and relationships 

and the decision-making hierarchy is important. In smaller exercises, there may be only the MCC 

for which all information is shared. In exercises involving both classified and unclassified 

information, separate control cells with appropriate security firewalls should be set up to keep 

classified and unclassified information separate.

Simulation Cell (SimCell)

The SimCell is a location from which simulation controllers deliver scenario messages 

representing actions, activities, and conversations of an individual, agency, or jurisdiction/

organization that is not participating in the exercise. Depending on the type of exercise, the 

SimCell may require a telephone, computer, e-mail account, radio, or other means of 

communication. Moreover, if an exercise uses a SimCell to drive exercise play, a determination is 

made on how to staff and integrate the SimCell the broader control structure.

Master Scenario Events List (MSEL)

A MSEL is a document or system that is a chronological timeline of expected actions and scripted 

events to be injected into exercise play by controllers to generate or prompt player activity. It 

ensures necessary events happen so that all objectives are met. Larger, more complex exercises 

may also use a procedural flow, which differs from the MSEL in that it contains only expected 

player actions or events. The MSEL links simulation to action, enhances the exercise experience 

for players, and reflects an incident or activity meant to prompt players to action. 

Additional descriptive event types can be added to the MSEL to support exercise play when 

needed. These events are the foundation of the exercise and are the individual building blocks of 

the MSEL. There are three types of events that make up the MSEL and support exercise play. 

Table 3.14 shows the event types that can be used in a MSEL. 

Table 3.14: MSEL Event Types

Event Types Description

Inject

A MSEL event introduced to a player by the control staff, representing nonplaying entities, to build the exercise environment based on the exercise 

scenario and to drive operations-based exercise play.
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Event Types Description

Contingency Inject

A MSEL event introduced to a player by the control staff when a key player 

expected action did not occur as planned, to provide an additional 

opportunity to meet exercise objectives.

Expected Action A MSEL event that represents an anticipated action to be taken by a player 

during the exercise.

Each MSEL entry should include the following:

• Event number;

• Designated scenario time;

• Event type;

• Inject mode;

• From (Non-playing entity delivered by the Control Staff);

• To (Intended player);

• Message;

• Expected participant response;

• Exercise objective; and

• Notes section (for controllers and evaluators to track actual events against those listed in 

the MSEL, with special instructions for individual controllers and evaluators).

Scenario timelines listed in the MSEL should be as realistic as possible and based on input from 

SMEs. If the activity occurs sooner than the MSEL writers anticipated, then controllers and 

evaluators should note the time the activity occurred, but play should not be interrupted.

Typically, there is one MSEL per exercise, and it may be in a short format, long format, or both. 

A short format lists the events in a single row in a spreadsheet and is a quick reference guide during 

exercise play. A long format includes more detailed descriptions of expected actions and contains 

scripted language for actors and simulators. The MSEL may be projected onto a large screen in a 

control cell or simulation cell and shared across multiple venues during the exercise. 

Controller Training

Controller training includes a summary of the exercise design, including the exercise objectives, a 

MSEL review, delivery methods, venues, timeline, communications plan, and evaluation criteria.

Communications

The C/E Handbook or Control Staff Instructions (COSIN) provides a communication plan for 

controllers and instructions on whom they will communicate with, what they need to communicate, 

and how they will communicate. Communication can occur though many forms such as phone, 

radio, e-mail, face-to-face, network system, or a combination. Depending on the method used, the 

essential equipment should be provided to the controllers and the control cells.
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Safety and Security

Controllers also play an important role in ensuring that the exercise is a safe and secure 

environment. In exercises involving potentially dangerous field play or the use of classified 

materials, the control team designates a Safety and/or Security Controller as appropriate to focus 

on those areas of control.

The planning team should consider the following to ensure a safe and secure environment:

• Appointing a Safety and/or Security Controller;

• Dedicating real-world medical (not involved in the exercise) and emergency procedures to 

contact and deploy Emergency Medical Services;

• Outlining safety requirements and policies, to include other safety issues outside the scope 

of the exercise (for example, weather, heat stress, hypothermia, etc.);

• Using local law enforcement to provide site security where appropriate; and

• Identifying and adhering to appropriate security standards to ensure that sensitive or 

classified information is not compromised.

Planning for Exercise Evaluation

Planning and organization prior to an exercise are imperative to effective and successful exercise 

evaluation. The exercise planning team identifies evaluation elements early in the exercise design 

process following the development of the exercise objectives. An evaluation team determines the 

appropriate structure, organizes the team, and develops a comprehensive plan to address the 

evaluation of the exercise. Evaluation is further explained in Chapter 5: Exercise Evaluation.

Preparing for Exercise Conduct

The exercise planning team finalizes all aspects of the exercise to prepare for conduct. Preparations 

include finalizing materials, rehearsing presentations and briefings, and training participants for 

the exercise. Prior to the exercise, the appropriate personnel receive documentation and additional 

instructions needed for conduct.

To prevent jeopardizing mission performance in response to real-world incidents, the exercise 

planning team should develop a contingency process to halt, postpone, or cancel an exercise as 

necessary. If the conduct of the exercise is put at risk, the Exercise Director and exercise planning 

team should convene and determine the appropriate course of action. Following a decision, the 

course of action should be communicated to all exercise planners, participants, and other key 

stakeholders through formal communications mechanisms.
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4. Exercise Conduct

Overview

Exercise conduct involves activities such as preparing for exercise play, managing exercise play, 

and conducting immediate exercise wrap-up activities. Exercise practitioners are encouraged to 

apply and adapt the HSEEP doctrine during exercise conduct to meet specific needs. Throughout 

the exercise conduct process, the engagement of senior leaders by practitioners confirms the 

exercise is consistent with the original guidance and intent.

Discussion-Based Exercises

Exercise/Play Preparation

Members of the exercise planning team assigned to exercise setup should visit the exercise site to 

arrange the room, test the audio/visual equipment, and discuss administrative and logistical issues. 

Prior to exercise conduct, the exercise planning team delivers the necessary exercise materials and 

equipment, which may include the following:

• Any Situational Manuals (SitMan) or other written materials for exercise participants;

• The presentations;

• The appropriate audio/visual equipment, including televisions, projectors, projection 

screens, microphones, and speakers;

• The table tents for each table;

• The name tents for each participant;

• The badges identifying the role of each exercise participant;

• The sign-in sheets; and

• The Participant Feedback Forms.

A rehearsal of the exercise structure and presentations helps to ensure an understanding of 

facilitator and evaluator roles and responsibilities, event timing, audio/visual equipment, and 

location-specific details, including access and security. On the day of the exercise, planning team 

members should arrive several hours before Start of Exercise (StartEx) to set up activities and 

arrange for registration.

Exercise Play/Conduct

For a discussion-based exercise, conduct entails a facilitated discussion based on a scenario, 

objectives, or goals. The Exercise Director provides opening statements to the participants and 

welcomes them to the exercise. The Facilitator/Presenter then begins the discussion by presenting 

the scenario and keeping the discussions on track. The Lead Evaluator is responsible to ensure that 

all notes and observations are taken and provided back to the Exercise Director. If any additional 

resource requirements are needed, the Resource Lead is responsible. 
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If breakouts are needed to further enhance the exercise, additional facilitators/presenters, 

evaluators/note takers may be added and will be responsible to their individual section leads. 

Additional facilities, administration, or logistics personnel, if needed, will report to the Resource 

Lead. Figure 4.1 shows the relationship of a discussion-based organizational structure.

Figure 4.1: Example of a Discussion-Based Control Structure

Table 4.1 describes the positions of a discussion-based exercise control organization.

Table 4.1: Positions of a Discussion-Based Exercise Control Structure 

Position Description

Exercise Director An individual that provides the strategic oversight and direction on the HSEEP 

Cycle for an individual exercise.

Safety Controller An individual responsible to ensure that the exercise is conducted in a safe 

environment.

Lead Facilitator/

Presenter

An individual that oversees all facets of the facilitation process or the 

presentation(s), to include recruiting and assigning additional facilitators or 

presenters.

Facilitator/

Presenter

An individual responsible for keeping a discussion focused on exercise 

objectives and exploring all issues within the time allotted during discussionbased exercises, or an individual designated to deliver information in a structured 

setting.

Lead Evaluator An individual that oversees all facets of the evaluation process, to include 

recruiting, assigning, and training evaluators.
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Position Description

Evaluator An individual chosen, based on their expertise in the functional areas, to observe 

and collect exercise data and analyze results.

Note Taker (as 

needed)

An individual that records what is said during breakout groups, interviews, or 

hotwash discussions, allowing the facilitator, presenter, or interviewer to focus 

on soliciting information and asking follow-up questions, and supports data 

collection and data management throughout the evaluation process.

Resource Lead An individual responsible for obtaining proper venues, equipment, and supplies 

for exercise conduct, as well as providing support for media and VIP observers.

Facilities Lead An individual responsible for managing exercise venue considerations, such as 

set up, tear down, and table and breakout room assignments, as required. 

Administration 

Lead

An individual responsible for managing the registration process, printed 

documents, sign-in sheets, and badges.

Logistics Lead

An individual responsible to ensure proper room function and set up for 

audio/visual requirements, as well as obtaining necessary equipment, food, and 

drinks; works with the facilities lead.

Conduct activities for a discussion-based exercise include the following considerations:

• Presentation is a crucial vehicle for conveying information to the players;

• Facilitators/presenters help evaluators/note takers collect useful data by keeping 

discussions focused on exercise objectives, capabilities, capability targets, and critical 

tasks;

• Facilitators/Presenters make sure all issues are explored within the time allotted; and

• Ensuring a safe and secure exercise environment.

All facilitators/presenters should take, and compile notes relevant to the groups’ discussions. If 

multiple facilitators/presenters were used, the Lead Facilitator/Presenter will collect all notes from 

each of the additional facilitators/presenters. This information will be used to generate the AfterAction Report/Improvement Plan (AAR/IP).

Operations-Based Exercises

Play Preparation

Depending on the scope of the exercise, the appropriate exercise planning team members should 

begin event setup as many days before the exercise as necessary. A communication check is 

important prior to the Start of Exercise (StartEx) to ensure all forms of communications are 

working correctly. 

Prior to exercise conduct, the exercise planning team delivers the necessary exercise materials and 

equipment, which may include:

• Arranging the briefing rooms;

• Testing the audio/visual equipment;
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• Placing props and effects;

• Marking the appropriate exercise areas and the perimeters; and

• Checking for potential safety issues.

A rehearsal of the exercise structure is vital to ensure an understanding of controller and evaluator 

responsibilities, transportation, event timing, audio/visual and communications equipment, and 

location-specific details, including access and security. On the day of the exercise, all exercise 

planning team members should arrive prior to Start of Exercise (StartEx) to complete any 

remaining logistical or administrative items and set up registration.

Exercise Play/Conduct

During conduct of operations-based exercises, the Exercise Planning Team Leader often serves as 

the Lead Controller. Controllers and evaluators report activities to the Lead Controller, who is 

responsible for monitoring exercise progression, communicating exercise activities throughout all 

venues, and managing the control staff. Figure 4.2 shows an example of an operations-based 

exercise control organizational structure.

Figure 4.2: Example of an Operations-Based Exercise Control Structure

Table 4.2 4.2 describes the positions used in an operations-based exercise organization.
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Table 4.2: Positions of an Operations-Based Exercise Control Structure

Position Description

Exercise Director An individual responsible for the strategic oversight and direction on the HSEEP 

Cycle phases for an individual exercise.

Safety/Security

Controller

An individual responsible to ensure that the exercise is conducted in a safe and 

secure environment.

Lead Controller An individual that monitors exercise progression, communicates exercise 

activities throughout all venues, and manages the control staff.

MSEL Manager An individual that manages the timely and accurate delivery of injects and player 

expected actions and decides on the need to release contingency injects.

Simulation Cell 

Controller

An individual that delivers scenario messages representing actions, activities, 

and conversations of an individual, agency, or organization that is not 

participating in the exercise. 

Ground Truth 

Advisor

An individual responsible for ensuring that the scenario details remain consistent 

during exercise conduct.

Venue Controller

An individual that is responsible for setting up and operating a specific exercise 

location. Venue Controllers manage exercise play and may prompt or initiate 

certain players to ensure continuity and flow. 

Lead Evaluator An individual that oversees all facets of the evaluation process, to include 

recruiting, assigning, and training evaluators.

Venue Evaluator

An individual responsible for observing exercise activity/play in an assigned 

exercise venue, area, or for a specific activity and collecting observations and 

data.

Resource Lead An individual responsible for obtaining proper venues, equipment, and supplies 

for exercise conduct, as well as providing support for media and VIP observers.

Facilities Lead An individual responsible to work closely with the logistics section to manage 

exercise venue considerations, such as set up, tear down, scheduling, and traffic.

Administration 

Lead

An individual responsible for managing the registration process, printed 

documents, sign-in sheets, and badges.

Logistics Lead

An individual responsible to ensure proper room function and set up for 

audio/visual requirements, as well as obtaining necessary equipment, food, and 

drinks; works with the facilities lead.

Exercise Assembly 

Area Controller

An individual responsible for the logistical organization of the exercise assembly 

area, including placement locations for units entering the exercise assembly area, 

release of dispatched units into the field, and coordination of routes and overall 

safety within the assembly area.

Observer/Media 

Area Controller

An individual responsible to ensure that observers and the media stay in their 

designated areas and do not interfere with the exercise.
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Conduct activities for an operations-based exercise include:

• Ensuring a safe and secure exercise environment;

• Distributing exercise documents that outline roles, responsibilities, and a communication 

plan for the control staff;

• Communicating between the SimCell, venue controllers, and MSEL manager to ensure 

pace of the exercise play is appropriate;

• Ensuring the Exercise Assembly Area Controller remains in close communication with 

other controllers throughout the exercise; and

• The Exercise Assembly Area Controller ensures that units are deployed based on the

timeline that is created by the planning team.

The Exercise Director and the planning team should have a contingency plan to pause, postpone, 

or cancel in the event of a real-world emergency impeding the exercise.

Briefings

Before an exercise, briefings educate participants about their roles and responsibilities. By 

scheduling separate briefings for senior leaders, controllers and evaluators, actors, players, and 

observers, exercise planning team members can avoid giving extraneous material to different 

groups. Table 4.3 describes the exercise brief types.

Table 4.3: Types of Exercise Briefs

Brief Description

Senior Leader 

Brief

A briefing occurs during the design and development and before the conduct of an 

exercise. The exercise planning team leader periodically consults with the senior 

leaders within the exercise planning team to ensure the exercise aligns with leader 

intent.

Controller 

and Evaluator 

Brief

A briefing is generally conducted before operations-based exercises. It begins with an 

exercise overview and then reviews the exercise location and area, schedule of events, 

scenario, control concept, controller and evaluator responsibilities, instructions on

completing EEGs, and any miscellaneous information. Additional training for 

evaluators may be conducted.

Actor Brief

A briefing before the start of the exercise, prior to the actors taking their positions. The 

Actor Controller leads the actor briefing, a meeting generally conducted before the 

exercise, providing actors with an exercise overview, safety, real emergency 

procedures, acting instructions, schedule, identification badges, and symptomatology 

cards. 

Player Brief

A briefing before the start of the exercise, for all players to address individual roles 

and responsibilities, exercise parameters, safety, security badges, and any remaining 

logistical exercise concerns or questions. Participant handouts and ExPlans or 

SitMans, depending on the type of exercise being conducted, are often distributed 

during this briefing. Following the exercise, controllers ensure that appropriate players 

attend the post-exercise hotwash in their respective functional areas.
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Brief Description

Observer 

Brief

A briefing before the start of the exercise that occurs the day of an exercise and informs 

observers and VIPs about the exercise background, scenario, schedule of events, 

observer limitations, and any other miscellaneous information. Often, observers are 

unfamiliar with public safety procedures and have questions about the activities;

therefore, designating someone such as a public information officer to answer 

questions prevents observers from interrupting exercise participants.

Wrap-up Activities

Performing thorough exercise wrap-up ensures the collection of all relevant data to support 

effective evaluation and improvement planning. Immediately after the exercise, the exercise 

planning team members should conduct a short debrief to discuss the exercise and any issues or 

concerns and propose improvements. Planners should collect exercise attendance lists, provide 

copies to the exercise planning team leader, collect Participant Feedback Forms, and develop 

debrief notes.

Player Hotwash

The player hotwash is a meeting that provides an opportunity to discuss exercise strengths and 

areas for improvement immediately following the conduct of an exercise. An experienced 

facilitator leads the hotwash and ensures the discussion remains constructive. The information 

gathered during a hotwash contributes to the AAR/IP and any exercise suggestions can improve 

future exercises. A hotwash also provides an opportunity for players to provide clarification and 

time to fill-out Participant Feedback Forms, which helps to generate the AAR/IP.

Debrief

The Controller/Evaluator Debrief is a meeting for controllers, facilitators, and evaluators to 

assemble after the exercise to discuss observations and provide information to create a shared 

understanding of the exercise. The Controller/Evaluator Debrief allows each controller, facilitator,

and evaluator an opportunity to provide an overview of the functional area observed and discuss 

the strengths and areas for improvement. The results captured during the debrief help develop the 

AAR/IP. During the debrief, controllers, facilitators, and evaluators complete and submit a 

Participant Feedback Form.
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5. Exercise Evaluation

Overview

Through exercise evaluation, jurisdictions/organizations assess the 

capabilities needed to accomplish a mission, function, or objective. 

Evaluation ties objectives to priorities, assesses the performance 

of capability targets and critical tasks, and documents strengths 

and areas for improvement. Evaluation connects the exercise to 

Improvement Planning and feeds into the overall Integrated 

Preparedness Cycle. Figure 5.1 shows exiting the HSEEP Cycle 

and entering the Integrated Preparedness Cycle. This transition is 

further explained in Chapter 6: Improvement Planning. 

Effective evaluation should be integrated through the HSEEP 

Cycle and involves:

• Planning for exercise evaluation;

• Observing the exercise and collecting exercise data during 

exercise conduct;

• Analyzing collected data to identify strengths and areas for 

improvement; and

• Reporting exercise outcomes in an After-Action Report (AAR).

Using a common approach to evaluation supports consistent and meaningful reporting of exercise 

results.

Evaluation Planning

Evaluation planning begins during the initial planning phases of the exercise, as described in 

Chapter 3: Exercise Design and Development. Identifying clear evaluation requirements early 

in the planning process will ensure that the design, development, and conduct of the exercise best 

support an effective evaluation. Exercise planners should collaborate to ensure a consistent 

approach for evaluating an exercise. Also, engage senior leaders early in the evaluation planning 

to identify any focus areas, potential concerns, and specific evaluation requirements. The 

Evaluation Plan (EvalPlan) and/or Controller/Evaluator (C/E) Handbook are guidance documents 

for evaluators that provide guidance, instructions, and structure on evaluating and observing during 

an exercise.

Planning an exercise evaluation includes:

• Selecting the evaluation team requirements;

• Developing and finalizing the evaluation documentation and methodology; and

• Developing the Exercise Evaluation Guides (EEGs).

Figure 5.1: Exiting the HSEEP

Cycle and Entering the 

Integrated Preparedness Cycle
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Evaluation Team

Once the exercise planning team defines evaluation requirements, the Lead Evaluator oversees the 

recruiting, assigning, and training of evaluators. 

The evaluation requirements should specify the following:

• The number of evaluators needed (for example, multiple locations or extended hours);

• The types of subject-matter expertise the evaluators should possess;

• The types of security clearance level (if required);

• The evaluator assignments; and

• The type of training or instruction needed prior to the exercise.

Team Composition

The Exercise Planning Team Lead should appoint a Lead Evaluator to oversee all facets of the 

evaluation process. The Lead Evaluator participates fully as a member of the exercise planning 

team and is familiar with the exercise objectives, mission areas, and capabilities associated with 

the plans, policies, and procedures, and decision-making processes. Whenever possible, 

evaluators/note takers should have experience and subject-matter expertise in their assigned 

functional area.

The Lead Evaluator determines the structure of the exercise evaluation team based on exercise 

scope, exercise objectives, associated capabilities, capability targets, and critical tasks. Exercises 

that involve multiple jurisdictions/organizations and multiple venues should consider assigning 

evaluators/note takers to each venue location. The exercise evaluation team becomes part of a 

larger organizational structure during conduct. The evaluators/note takers at each of the venues 

will support the Lead Evaluator at their assigned locations. Figure 5.2 shows an example of an 

evaluation team organization. 

 

Figure 5.2: Example of an Exercise Evaluation Team 
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Table 5.1 Describes an Exercise Evaluation Team Organization.

Table 5.1: Positions of an Exercise Evaluation Team

Position Description

Lead Evaluator An individual that oversees all facets of the evaluation process, to include 

recruiting, assigning, and training of evaluator(s).

Evaluator An individual chosen, based on their expertise in the functional areas, to observe 

and collect exercise data and analyze results. 

Note Taker (as 

needed)

An individual that records what is said during breakout groups, interviews, or 

hotwash discussions, allowing the facilitator, presenter, or interviewer to focus 

on soliciting information and asking follow-up questions, and supports data 

collection and data management throughout the evaluation process.

Training

Evaluator training should include guidance on using evaluation tools, observing exercise 

discussions or operations, and data analysis. 

Evaluator training should also include the following:

• General information about the exercise, including scope, objectives and aligned 

capabilities, scenario, and schedule;

• Relevant evaluator documentation (for example, Situational Manual (SitMan), C/E 

Handbook, evaluation tools); and

• Appropriate plans, policies, procedures, agreements, or other information. 

Before exercise play begins, the Lead Evaluator should meet with all evaluators to verify roles, 

responsibilities, and assignments and to provide any significant updates. The briefing provides an 

opportunity for evaluators/note takers to ask questions and to ensure understanding of their roles 

and responsibilities. The briefing may occur in conjunction with the Controller/Evaluator Brief to 

include instructions for control staff on delivering the injects and evaluators/note takers completing 

EEGs. Depending on the organization of the exercise, briefings may occur at more than one 

exercise venue.

Evaluation Documentation

The exercise planning team and Lead Evaluator should determine the tools, data collection 

methods, and documentation needed based on the level of complexity and scope. Table 5.2

provides the document, description, and distribution of evaluation documentation.

Table 5.2: Evaluation Documentation

Document Description Distribution

Facilitator/ 

Evaluator 

Handbook

A document that provides specific exercise information and 

guidance for facilitators/presenters and evaluators/note takers 

for a discussion-based exercise. 

Facilitators/Presenters 

and Evaluators/Note 

Takers
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Document Description Distribution

Controller/ 

Evaluator 

Handbook

A document that provides specific exercise information and 

guidance for controllers and evaluators/note takers, may be a 

standalone document or supplement to the Exercise Plan, and 

adjusted accordingly.

Controllers and 

Evaluators/Note 

Takers

Evaluation 

Plan

A document for evaluators/note takers that provides guidance, 

instructions, and structure on evaluating and observing an 

exercise. It also provides essential materials required to perform 

their specific functions.

Controllers and 

Evaluators/Note 

Takers

Exercise 

Evaluation 

Guide 

(EEG)

A document that captures information specifically related to the 

evaluation requirements developed by the exercise planning 

team. The EEG provides evaluators/note takers with a 

standardized tool to guide data collection and capture 

performance results. Since each jurisdiction/organization has 

unique targets and critical tasks, EEGs are developed specific to 

their plans, policies, procedures, and protocols.

Evaluators

Participant 

Feedback 

Form

A document that the exercise team uses to collect observed 

strengths, areas for improvement, and input about exercise 

conduct and logistics from participants.

All Participants

Exercise Evaluation Guide (EEG) Development

EEGs provide a consistent tool to guide exercise observation and data collection. EEGs align to 

exercise objectives and capabilities and list the relevant capability targets and critical tasks. Figure 

5.3 shows the relationship of program management to the development of EEGs. Capability targets 

are the performance thresholds established by the jurisdiction/organization for each capability. 

Capability targets are composed of three parts: a critical task, an impact, and a timeframe. 

Identified targets are part of a jurisdiction’s/organization’s Threat and Hazard Identification and 

Risk Assessment (THIRA) or other threat and hazard identification or risk assessment processes. 

Figure 5.3: Development of an Exercise Evaluation Guide (EEG)

Critical tasks are distinct specific actions needed to achieve the capability target. Critical tasks may 

derive from the jurisdictional/organizational operations plans, standard operating procedures, or 

discipline-specific standards. These tasks reflect the types of activities emergency managers 

routinely plan for and are broadly applicable to a wide range of threats and hazards.

Capability targets include specific and measurable metrics that describe the capabilities. 

Additionally, the capability targets establish a benchmark that the whole community can use to 
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track progress over time such as assessing current response to threats and hazards and means of 

improvement. Capability targets are composed of three parts and shown below in the example 

provided:

• Critical Task, which represents the specific action needed to achieve the capability target;

• Impact, which represents the size of the capability requirement; and 

• Timeframe, which represents the time in which the action must be performed.

The purpose of an EEG is to:

• Streamline data collection and provide a consistent process for assessing preparedness;

• Assist jurisdictions/organizations to map exercise results to exercise objectives, 

capabilities, capability targets, and critical tasks for additional analysis and assessment; 

and

• Support development of the AAR.

Exercises assess a jurisdiction’s/organization’s ability to meet its capability targets. Capability 

targets, when incorporated into planning and used as exercise evaluation criteria, can measure how 

effectively a plan meets the goal and how well the participants perform the tasks in the plan. The 

after-action and continuous improvement process can validate current capabilities already in place 

and describe areas for improvement. The after-action and continuous improvement process can 

help the whole community identify how to close capability gaps and bring them closer to meeting 

the target established.

Observation and Data Collection

Exercise observation and data collection can differ between discussion-based exercises and 

operations-based exercises. Discussion-based exercises often focus on issues involving plans, 

policies, and procedures. Evaluators/Note Takers collect observations from participants’ 

discussions. Operations-based exercises focus on issues affecting the operational conduct of 

capabilities and critical tasks and implementation of plans, policies, and procedures. 

Evaluators/Note Takers collect and record participant actions, which form the analytical basis for 

determining the successful demonstration of critical tasks and capability targets.

Example of a Capability Target

Within (#) (time) of an incident, assess, contain, and begin clean up of hazardous material releases from (#) 

HAZMAT release sites. 

Critical Tasks

Impact

Timeframe
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Observation

Exercise evaluators/note takers should observe exercise activity in a non-attribution environment, 

in accordance with the EvalPlan. Evaluators/Note Takers observe many of the following:

• Activation or implementation of plans, policies, processes, and procedures, requests for 

resources, use of mutual aid agreements, etc.;

• Roles and responsibilities and authorities of the government agencies, jurisdictions, and 

private organizations; 

• Pertinent decisions made or decision-making processes; and

• Information sharing with other agencies and the public.

Data Collection

Data collection is critical to providing an overall understanding of the exercise. Collecting data 

using a variety of methods, tools, and techniques provides the information needed for continuous 

improvement activities and resourcing decisions, rather than relying on assumptions. It supports 

root cause analysis by providing a fact-based record of what actions were taken, what key decisions 

were made, and the outcomes of those actions and decisions.

Evaluators and Note Takers should document relevant actions or discussions and retain their notes 

and records to support the development of the AAR. As necessary, the Lead Evaluator may assign 

evaluators/note takers to collect additional data, such as plans, policies, procedures, Incident 

Action Plans, and other documentation associated with the exercise. Data collection does not only 

come from evaluators, it can also come from observers, controllers, safety personnel, etc. 

In addition to EEGs, evaluators can use a variety of data collection methods as part of their 

evaluation plan, including direct observation, interviews and hotwashes, document reviews, 

participant feedback forms, or surveys. Table 5.3 below outlines some considerations for each 

collection method.

Table 5.3: Data Collection Methods

Method Considerations

Direct Observation ▪ Offers real-time data collection

▪ Requires large resources to observe multiple venues simultaneously

Documentation 

Review

▪ Serves as authoritative record of activities

▪ Can be time-consuming and labor intensive to review and synthesize

Feedback Forms 

and Surveys

▪ Easy to administer and provides firsthand information from participants

▪ Open-ended feedback often varies in specificity and quality and offers 

limited opportunity for follow-up

Interviews 

(individual or 

group)

▪ Enables in-depth discussions of key issues, often involving SMEs

▪ Can be difficult to schedule during or immediately following an exercise or 

incident

Hotwash and 

Debrief

▪ Enable group discussion with participants

▪ Led by an individual to ensure open, collaborative discussion
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Data Analysis

During data analysis, the exercise evaluation team first consolidates the data collected during the 

exercise and determines whether participants performed critical tasks and met capability targets. 

Evaluators consider participant performance against all targets to determine the overall ability to 

perform capabilities. Additionally, the exercise evaluation team documents strengths and areas for 

improvement over the course of exercise play. This provides the evaluators with not only what 

happened, but why events happened. 

In both discussion-based and operations-based exercises, evaluators identify issues by comparing 

exercise objectives to actual performance. Through this comparison, evaluators identify which 

capabilities (and their associated activities, performance measures, and tasks) were successfully 

demonstrated in the exercise. They also identify which capabilities need improvement. 

Evaluators should consider the following questions to identify issues:

• What happened? What was supposed to happen based on current plans, policies, and 

procedures?

• Was there a difference? What was the impact?

• Were the consequences of the action (or inaction/decision) positive, negative, or neutral?

• Do plans, policies, and procedures support activities and associated tasks?

• Are players familiar with these documents?

• What are the strengths and areas of improvement to remedy deficiencies?

After evaluators identify discrepancies between what happened and what was supposed to happen 

(the issues), they explore the source of these issues. Evaluators and exercise program managers 

can use a variety of analysis techniques to support improvement planning for each individual 

exercise as well as the overall exercise program, including:

• Data Synthesis;

• Event Reconstruction;

• Trend Analysis; and

• Root Cause Analysis.

Data Synthesis

Data synthesis is the process of compiling and reviewing data from multiple sources to identify 

issues and support analysis. This phase enables analysts to collate and analyze large amounts of 

information, identify potential issues requiring resolution, and examine the strength of evidence 

(or remaining gaps) for each issue.

Event Reconstruction

Event reconstruction is consolidating information from multiple sources into a single, fact-based 

account of what happened, including key decisions, actions, and communications. For each 

decision, action, or communication, analysts try to identify the who, what, when, where, and how. 

The reconstruction activity is not concerned with understanding the why of a specific action.
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Trend Analysis

Trend analysis identifies patterns in strengths, areas for improvement, and major changes in 

observations over time. For example, a trend analysis on reoccurring trends of various 

threat/hazard and capability topics guides planning, training, exercise design and development, 

and future disaster-related efforts.

Root Cause Analysis

Root cause analysis focuses on identifying the most basic causal factor for why an expected action 

did not occur or was not performed as expected. Determining the underlying reason behind an 

identified issue allows the evaluator to direct improvement. Consider asking the following 

questions to narrow down the issue of concern:

• Were the objectives for each critical task met? If not, what factors contributed to this result?

• Did discussions or activities suggest the critical tasks performed sufficiently to meet the 

capability targets? If not, what were the resulting impacts or consequences?

• What improvements are required? Are other resources needed? If so, how will they be 

obtained?

• What strengths are required to carry out those tasks? What decisions would need to be 

made, and who would make them?

The importance of determining root cause is to understand that each step is a symptom (or effect) 

of the next item and a cause of the previous item. There are several different analysis tools available 

for determining root cause and Figure 5. provides one example.

Figure 5.4: Example of a Root Cause Analysis

After identifying issues and analyzing the data, evaluators develop recommendations for 

improvement aimed at enhancing preparedness, which are then compiled into the draft AAR/IP. 

After-Action Report (AAR)/Improvement Plan (IP)

The AAR/IP is a document that generally includes an exercise overview, analysis of capabilities, 

and a list of corrective actions. The length, format, and development timeframe of the AAR/IP 

depend on the exercise type and scope. These parameters should be determined by the exercise 

planning team, based on the expectations of senior leaders. The AAR/IP should include an 

overview of performance related to each exercise objective and associated capabilities. 

The ability to communicate exercise evaluation results to stakeholders is crucial to the 

improvement planning process. Time spent planning for data collection, collecting data, and 
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conducting analysis supports the development of clear observations and recommendations for 

inclusion in your AAR/IP.

The observations developed for the AAR/IP should be categorized as either strengths or areas for 

improvement, as explained in Table 5.4: Categories of an AAR/IP Observation and the example 

below. Observations do not have to be lengthy to be impactful. A strongly written observation

includes a clear and direct statement of the issue identified, a brief description of the analysis, and 

the impact or result of the issue. A brief summary of the analysis completed can be included to 

help stakeholders understand how the evaluation team arrived at the conclusion.

Table 5.4: Categories of an AAR/IP Observation

Observation Type Description

Strengths ▪ Actions that went exceptionally well given the circumstances

▪ The impact of positive performance on desired or expected outcomes

▪ Activities that yielded better results than could have been expected 

Areas for 

Improvement

▪ Outcomes did not meet expectations or intent

▪ The negative impact of actual performance on desired or expected outcomes

▪ The factors that contributed to the inability to meet critical tasks, capability 

targets, or desired outcomes

Consider these tips when organizing your observations into the AAR/IP:

• Focus on issues that are critical to the success of a mission or represent a trend;

• Observations help guide corrective action planning by focusing time and resources on 

issues that have the greatest impact on preparedness;

• If possible, include data on consequences and likelihood of reoccurrences or what would 

happen if no action is taken; and

• A report should include the observations, but the After-Action Meeting (AAM) will give 

leadership a chance to further organize the observations and order the development of 

action plans.

The evaluation team develops and provides the draft AAR/IP to the Exercise Director, who 

distributes the draft to participating jurisdictions/organizations. Senior leaders or their designees 

review and confirm observations, strengths, and areas for improvement identified in the draft 

AAR/IP.
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After-Action Meeting (AAM)

The purpose of the AAM is to serve as a forum to review the revised the draft AAR/IP. Participants 

should seek to reach final consensus on strengths, areas for improvement, draft corrective actions, 

concrete deadlines, and owners/assignees for implementation of corrective actions. Table 5.5

provides the meeting focus, discussion points, tools, outcomes, and follow-up actions for an AAM:

Table 5.5: After-Action Meeting

Element Considerations and Activities

Meeting Focus

▪ The AAM is an interactive session providing attendees the opportunity to 

discuss and validate the analytical findings and corrective actions in the draft 

AAR/IP

Discussion Points

▪ Review and revise the draft AAR/IP

▪ Discuss exercise results

▪ Identify areas for improvement

▪ Identify corrective actions

Tools ▪ Draft AAR

▪ Draft IP

Outcomes

▪ Final consensus on AAR/IP

▪ Consensus on draft corrective actions

▪ Proposed concrete deadlines for the implementation of corrective actions

▪ Consensus on the assigned corrective actions to preparedness stakeholders

Follow-up ▪ Distribute the finalized AAR/IP

▪ Track and report corrective actions

Participant jurisdictions/organizations are responsible for developing implementation processes 

and timelines and keeping their senior leaders informed of the implementation status.

Improvement Plan (IP)

The IP includes all consolidated corrective actions. The IP may be an appendix to the AAR. The 

AAR/IP is then final and distributed to exercise planners, participants, and other preparedness 

stakeholders, as appropriate. Chapter 6: Improvement Planning describes the process in further 

detail.
Homeland Security Exercise and Evaluation Program

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6. Improvement Planning

Overview

Improvement Planning is a process by which the areas for 

improvement from the exercise are turned into concrete, 

measurable corrective actions that strengthen capabilities. In this 

way, Improvement Planning activities can help shape a 

jurisdiction’s/organization’s preparedness priorities and support 

continuous improvement. The Improvement Planning activities 

now transition from the HSEEP Cycle back to the Integrated

Preparedness Cycle. 

Actions identified during Improvement Planning help to 

strengthen elements of a jurisdiction’s/organization’s capability 

to plan, organize/equip, train, and exercise. The transition is 

shown in Figure 6.1.

Effective Improvement Planning serves as an important tool 

throughout the Integrated Preparedness Cycle by:

• Prioritizing corrective actions identified from individual 

exercises; 

• Providing valuable input into strategy development and 

program priorities;

• Initiating a review or new development of plans, polices, and procedures; and

• Identifying and obtaining needed training, equipment, and other resources.

SMART Corrective Actions

Specific, measurable, achievable, relevant, and time-bound (SMART) corrective actions are 

actionable steps intended to resolve capability gaps and shortcomings identified in exercises. 

Figure 6.2 depicts guidelines for developing SMART corrective actions.

Figure 6.1: Exiting the HSEEP 

Cycle and Entering the 

Integrated Preparedness Cycle
Homeland Security Exercise and Evaluation Program

6-2

Figure 6.2: SMART Guidelines for Corrective Actions

Example of a SMART Corrective Action

Central City will hold a seminar to address the confusion that exists within the 

multiple organizations that respond to HAZMAT incidents within the city. The goals 

of the seminar will focus on eliminating this confusion between the responding 

organizations and will clarify the roles, responsibilities, and authorities of each. 

Final planning and details for the seminar should be completed by September 1, 

2020 (90 days), with identification of all necessary players to be invited by 

September 15, 2020 (105 days).

During development of corrective actions, the jurisdiction’s/organization’s Point of Contact (POC) 

assumes the responsibility for the identified issues. Lastly, the jurisdiction’s/organization’s POC 

determines an initial list of appropriate corrective actions to resolve the identified issues.

The jurisdiction’s/organization’s POC may use the following questions to guide the discussion 

when developing corrective actions:

• What changes to plans and procedures will improve performance?

• What changes to organizational structures will improve performance?

• What changes to management processes will improve performance?

• What changes to equipment or resources will improve performance?

• Was training provided and did the training improve performance?

Corrective Action Tracking and Implementation

Corrective actions captured in the AAR/IP should be tracked and continually reported on until 

completion. These efforts are part of a more comprehensive continuous improvement process that 

applies before, during, and after an exercise. Stakeholders should also ensure a system is in place 

to validate previous corrective actions that were successfully implemented. Over time, corrective 

actions effectively integrated back into the Integrated Preparedness Cycle will yield continuous 

improvements.
Homeland Security Exercise and Evaluation Program

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Improvement Planning to Support Continuous Improvement

Continuous improvement is a method in which capabilities are periodically examined to make sure 

they are sufficient, accurate, and effective to handle the threats, hazards, and risks a 

jurisdiction/organization may face. Identifying strengths, areas for improvement, and corrective 

actions that result from exercises help jurisdictions/organizations build, sustain, and deliver 

capabilities as part of a continuous improvement process.

Continuous improvement includes:

• A Consistent Approach: Jurisdictions/Organizations should employ a consistent 

approach for continuous improvement-related activities across applicable mission areas—

Prevention, Protection, Mitigation, Response, and Recovery. A consistent approach 

enables a shared understanding of terminology, functions, processes, and tools. The 

approach also fosters continuous improvement-related interoperability and collaboration 

across a jurisdiction’s/organization’s components.

• Supporting Preparedness: Jurisdictions/Organizations support the development and 

sustainment of capabilities across the whole community, which contributes to supporting 

preparedness. Continuous improvement activities also ensure that jurisdictions/

organizations can support assessments of preparedness in a timely, actionable, and 

meaningful way.

• Effective Issue Resolution and Information Sharing: Through Improvement Planning, 

jurisdictions/organizations complete continuous improvement action items at the lowest 

level possible, while facilitating the sharing of strengths and areas for improvement.

Application of the above principles and the conduct of Improvement Planning ultimately support 

the Integrated Preparedness Cycle. By continually examining the implementation of corrective 

actions, jurisdictions/organizations can identify capability gaps and determine what corrective 

actions require validation through exercises. Improvement Planning activities can help shape a 

jurisdiction’s/organization’s preparedness priorities and support continuous improvement in the 

building and sustaining of capabilities.
Homeland Security Exercise and Evaluation Program

Acronym-1

Acronyms

Abbreviation Description

AAM After-Action Meeting

AAR After-Action Report

AAR/IP After-Action Report/Improvement Plan

C&O Concept and Objectives

C/E Controller/Evaluator

CDP Center for Domestic Preparedness

COSIN Control Staff Instructions

EEG Exercise Evaluation Guide

EMI Emergency Management Institute

FEMA Federal Emergency Management Agency

FOUO For Official Use Only

FPM Final Planning Meeting

GIS Geographic Information System

HAZMAT Hazardous Materials

HSEEP Homeland Security Exercise and Evaluation Program

IP Improvement Plan

IPM Initial Planning Meeting

IPP Integrated Preparedness Plan

IPPW Integrated Preparedness Planning Workshop

MPM Midterm Planning Meeting

MSEL Master Scenario Events List

NPS National Preparedness System

NTED National Training and Education Division

POC Point of Contact

SMART Specific, Measurable, Achievable, Relevant, Time-bound

SME Subject-Matter Expert

THIRA Threat and Hazard Identification and Risk Assessment

VIP Very Important Person
Homeland Security Exercise and Evaluation Program

Glossary-1

Glossary of Terms

The table below provides a description for commonly used terms in HSEEP.

Term Description

A

Actor An individual who simulates a specific role, such as a disaster casualty victim, 

to add realism to an exercise.

Actor Brief

A briefing before the start of the exercise, prior to the actors taking their 

positions. The Actor Controller leads the actor briefing, providing actors with 

an exercise overview, safety, real emergency procedures, acting instructions, 

schedule, identification badges, and symptomatology cards.

Actor Controller An individual responsible for briefing, scheduling, and controlling the actors 

used during an operations-based exercise.

Administration

Responsible for meeting scheduling and administrative support, such as 

distributing meeting invitations, read-ahead materials, and meeting minutes; 

providing and collecting sign-in sheets; and note taking during planning 

meetings.

Administration Lead An individual responsible for managing the registration process, printed 

documents, sign-in sheets, and badges.

After-Action Meeting 

(AAM)

A meeting that serves as a forum to review the revised AAR and the draft IP. 

Participants should seek to reach final consensus on strengths, areas for 

improvement, draft corrective actions, concrete deadlines, and owners/

assignees for implementation of corrective actions.

B

Best Practices

Peer-reviewed techniques, procedures, and solutions that prove successful and 

are solidly grounded in actual experience in plans, operations, equipment, 

training, and exercises.

C

Capabilities-Based 

Planning

A process to build capabilities suitable for a wide range of threats and hazards 

while working within an economic framework that necessitates prioritization 

and choice. Capabilities-based planning is the basis for guidance such as the 

National Preparedness Goal.

Capability An ability to be planned, organized, equipped, trained, and exercised through 

personnel or resources to achieve an intended target.

Capability Target A performance threshold established by the jurisdiction/organization for each 

capability.

Concept and 

Objectives (C&O) 

Meeting

A meeting that is the formal beginning of the exercise planning process. It is 

held to identify the scope and exercise objectives. For less complex exercises 

and for organizations with limited resources, the C&O Meeting can be 

conducted in conjunction with the IPM.
Homeland Security Exercise and Evaluation Program

Glossary-2

Term Description

Contingency Inject

A MSEL event introduced to a player by the control staff when a key player 

expected action did not occur as planned, to provide an additional opportunity 

to meet exercise objectives.

Control Staff 

Instructions (COSIN)

A document for the Controller portion of the C/E Handbook for large exercises 

that provides detailed guidelines for control and simulation support and 

establishes a management structure for these activities. This section provides 

guidance for controllers, simulators, and evaluators on procedures and 

responsibilities for exercise control, simulation, and support.

Controller

An individual who manages exercise play and monitors the pace of the 

exercise. Controllers may prompt or initiate certain player actions to maintain 

exercise pace and flow.

Controller/Evaluator 

(C/E) Brief

A meeting before an operations-based exercise that provides an exercise 

overview and responsibilities of controllers and evaluators, to include 

instructions on delivering the MSEL and completing EEGs.

Controller/Evaluator 

(C/E) Debrief

A meeting for controllers and evaluators to assemble after the exercise to 

discuss observations and provide information to create a shared understanding 

of the exercise.

Controller/Evaluator 

(C/E) Handbook

A document that provides specific exercise information and guidance for 

controllers and evaluators. It may be a standalone document or supplement to 

the Exercise Plan and adjusted accordingly.

Core Capabilities

Distinct critical elements necessary to achieve the specific mission areas of 

prevention, protection, mitigation, response, and recovery as outlined in the 

National Preparedness Goal.

Corrective Action An item outlined in an IP that is intended to resolve areas for improvement.

Critical Tasks An item where distinct specific actions are needed to achieve the capability 

target.

D

Design and 

Development

Responsible for compiling and developing all exercise background and 

facilitation or control, providing technical or functional expertise for scenario 

development, developing the simulation construct as applicable, and working 

with the evaluation and resource/support functions to ensure all exercise 

design and development needs are met.

Drill An operations-based exercise often employed to validate a single operation or 

function.

E

Emergency Medical 

Services Area

A location for real-world response support, such as treatment sector areas, 

ambulance staging, and transportation coordination points.

End of Exercise 

(EndEx) An event that concludes an exercise.
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Term Description

Evaluation

Responsible for the development of the overall exercise evaluation construct 

and all evaluation documentation; assigns evaluation staffing in conjunction 

with the exercise planning team. Collects and reviews the policies, plans, and 

procedures to be examined during exercise conduct to finalize exercise 

objectives, match capability targets to exercise objectives, and determine 

critical tasks to be evaluated to complete exercise evaluation guides.

Evaluation Plan 

(EvalPlan)

A document for evaluators that provides guidance, instructions, and structure 

on evaluating and observing during an exercise. It also provides essential 

material required to perform their specific functions.

Evaluator An individual chosen based on their expertise in the functional areas to 

observe and collect exercise data, and analyze results.

Exercise An event or activity delivered through discussion or action to develop, assess, 

or validate capabilities to achieve planned objectives.

Exercise Assembly 

Area

A location for participants and resources to gather and dispatch, managed by 

controller(s).

Exercise Assembly 

Area Controller

An individual responsible for the logistical organization of the exercise 

assembly area, including placement locations for units entering the exercise 

assembly area, release of dispatched units into the field, and coordination of 

routes and overall safety within the assembly area.

Exercise Director An individual responsible for the strategic oversight and direction on the 

HSEEP Cycle phases for an individual exercise.

Exercise Evaluation 

Guide (EEG)

A document that captures information specifically related to the evaluation 

requirements developed by the exercise planning team. The EEG provides 

evaluators with a standardized tool to guide data collection and capture 

performance results. Since each jurisdiction/organization has unique targets 

and critical tasks, EEGs are developed specific to their plans, policies, 

procedures, and protocols.

Exercise Plan 

(ExPlan)

An operations-based exercise document for players that includes an exercise 

overview, objectives and aligned capabilities, roles and responsibilities, 

logistics, schedule, and communications plan.

Exercise Planning 

Team

Individuals that are responsible for the design, development, conduct, 

evaluation, and improvement planning for an individual exercise.

Exercise Planning 

Team Lead

An individual responsible for the management of the exercise planning team

and coordinates with the Exercise Director and senior leaders.

Exercise Play Area A location where player activities and tasks are demonstrated during an 

exercise.

Exercise Play Rules Items that identify the parameters that exercise participants follow during an 

exercise.

Exercise Program 

Manager

An individual responsible for overseeing and integrating preparedness 

activities for a jurisdiction/organization over time
Homeland Security Exercise and Evaluation Program

Glossary-4

Term Description

Expected Action A MSEL event representing an anticipated action to be taken by a player 

during the exercise.

Extent of Play 

Agreement

A document that is a formal written agreement outlining the participating 

jurisdiction’s/organization’s level of play during an exercise.

F

Facilitated Discussion A method that uses a facilitator with functional or subject-matter expertise and 

awareness of appropriate plans and procedures for discussion-based exercises.

Facilities

Responsible for coordinating the needed venue locations for exercises 

including meeting rooms, conference centers, training locations, and locations 

for operations-based exercises.

Facilities Lead

An individual responsible to work closely with the logistics section to manage 

exercise venue considerations, such as set up, tear down, scheduling, and 

traffic.

Final Planning 

Meeting (FPM)

A meeting that serves as the formal end of the exercise planning process. It is 

held to finalize exercise documentation and logistics.

Full-Scale Exercise

An operations-based exercise that is typically the most complex and resourceintensive of the exercise types and often involves multiple agencies, 

jurisdictions/organizations, and real-time movement of resources.

Functional Exercise

An operations-based exercise designed to assess and evaluate capabilities and 

functions while in a realistic, real-time environment; however, movement of 

resources is usually simulated.

G

Game

A discussion-based exercise that is a structured form of play designed for 

individuals or teams in a competitive or noncompetitive environment. It is an 

event experienced by the players and guided by clear rules, data, and 

procedures for its execution. Games are designed to depict an actual or 

hypothetical situation to ensure that the participants make decisions and take 

actions that would be plausible. Games can be used to reinforce training, 

stimulate team building, or enhance operational and tactical capabilities.

Ground Truth

A document comprised of the detailed elements of a scenario that must remain 

consistent during exercise development and conduct to ensure that realism is 

maintained, and objectives can be achieved.

Ground Truth 

Advisor

An individual responsible for ensuring that the scenario details remain 

consistent during exercise conduct.

H

Homeland Security 

Exercise and 

Evaluation Program 

(HSEEP)

A document that provides a set of guiding principles for exercise programs, as 

well as a common approach to exercise program management, design and 

development, conduct, evaluation, and improvement planning.
Homeland Security Exercise and Evaluation Program

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Term Description

I

Improvement Plan 

(IP)

A document that includes a consolidated list of corrective actions, responsible 

parties, and a timeline for completion.

Initial Planning 

Meeting (IPM)

A meeting that is held to refine the scope and exercise objectives. For less 

complex exercises and for organizations with limited resources, the C&O 

Meeting can be conducted in conjunction with the IPM.

Inject

A Master Scenario Events List event introduced to a player by the control 

staff, representing non-playing entities, to build the exercise environment 

based on the exercise scenario and to drive operations-based exercise play.

Integrated 

Preparedness Plan 

(IPP)

A document for combing efforts across components of the Integrated 

Preparedness Cycle to make sure that a jurisdiction/organization has the 

capabilities to handle threats and hazards.

Integrated 

Preparedness 

Planning Workshop 

(IPPW)

A meeting that establishes the strategy and structure for an exercise program 

and preparedness efforts while setting the foundation for the planning, 

conduct, and evaluation of individual exercises.

L

Lead Controller An individual that monitors exercise progression, communicates exercise 

activities throughout all venues, and manages the control staff.

Lead Evaluator An individual that oversees all facets of the evaluation process, to include 

recruiting, assigning, and training evaluators.

Lead 

Facilitator/Presenter

An individual responsible for keeping a discussion focused on exercise 

objectives and exploring all issues within the time allotted during discussionbased exercises, or an individual designated to deliver information in a 

structured setting.

Liability Waiver 

Form

A document that each actor should receive and sign prior to the start of the 

exercise. Signing a waiver form releases liability for all exercise planners and 

participants. Exercising entities should use discretion when recruiting actors 

under the age of 18 years because of additional challenges and concerns 

related to liability. If the exercise requires volunteers younger than 18 years, 

parents or legal guardians must sign their waiver forms.

Logistics Responsible to ensure venues are adequately equipped with audio/visual 

equipment, tables, and chairs and coordinates refreshments if required.

Logistics Lead

An individual responsible to ensure proper room function and setup for 

audio/visual requirements, as well as obtaining necessary equipment, food, 

and drinks; works with the facilities lead.

M

Main Exercise Venue A location designated as the primary facility or geographic area where 

participants gather to conduct an exercise.

Master Control Cell A location where overall coordination is managed between venue control 

cells, simulation cells, and other control areas.
Homeland Security Exercise and Evaluation Program

Glossary-6

Term Description

Master Scenario 

Events List (MSEL)

A document or system that is a chronological timeline of expected actions and 

scripted events to be injected into exercise play by controllers to generate or 

prompt player activity. It ensures necessary events happen so that all 

objectives are met. Larger, more complex exercises may also use a procedural 

flow, which differs from the MSEL in that it contains only expected player 

actions or events. The MSEL links simulation to action, enhances exercise 

experience for players, and reflects an incident or activity meant to prompt 

players to action.

Master Scenario 

Events List (MSEL) 

Manager

An individual that manages the timely and accurate delivery of injects and 

player expected actions and decides on the need to release contingency injects.

Master Scenario 

Events List (MSEL) 

Meeting

A meeting for operations-based exercises that serves as a forum to build the 

Master Scenario Events List in detail.

Midterm Planning 

Meeting (MPM)

A meeting that serves as a forum to develop exercise scenario details and 

timeline.

Mitigation The capabilities necessary to reduce loss of life and property by lessening the 

impact of disasters.

N

National 

Preparedness Goal 

(NPG)

A document that defines what it means for the whole community to be 

prepared for all types of disasters and emergencies. The NPG describes 32 

core capabilities that address the greatest risks to the nation.

National 

Preparedness System

A method that outlines an organized process for everyone in the whole 

community to move forward with preparedness activities and achieve the 

National Preparedness Goal.

Note Taker

An individual that records what is said during breakout groups, interviews, or 

hotwash discussions, allowing the facilitator, presenter, or interviewer to focus 

on soliciting information and asking follow-up questions, and supports data 

collection and data management throughout the evaluation process.

O

Objectives

An item with a distinct outcome that a jurisdiction/organization wishes to 

achieve during an exercise. An objective should be: specific, measurable, 

achievable, relevant, and time-bound (SMART).

Observer An individual that does not directly participate in but may watch selected 

segments of the exercise as it unfolds.

Observer Brief

A briefing before the start of the exercise that occurs on the day of an exercise 

and informs observers and VIPs about the exercise background, scenario, 

schedule of events, observer limitations, and any other miscellaneous 

information. Often, observers are unfamiliar with public safety procedures and 

have questions about the activities; therefore, designating someone, such as a 

public information officer, to answer questions prevents observers from 

interrupting exercise participants.
Homeland Security Exercise and Evaluation Program

Glossary-7

Term Description

Observer/Media Area A location where observers and real-world media representatives can view the 

exercise but not interfere with exercise play.

Observer/Media Area 

Controller

An individual responsible to ensure that observers and the media stay in their 

designated areas and do not interfere with the exercise.

P

Participant A player, facilitator/controller, evaluator, simulator, actor, observer, VIP, 

media, or other staff member involved in conducting an exercise.

Participant Feedback 

Form

A document that the exercise team uses to collect observed strengths, areas 

for improvement, and input about exercise conduct and logistics from 

participants.

Pause Exercise 

(PauseEx)

An event that suspends exercise play.

Photo Consent Form

A document for photographs prior to the exercise. Signing the form releases 

permission for all exercise participants photographed, allowing their photo to 

be used for informational and educational purposes.

Planning Meetings Meetings that serve as a structured event or forum for completing the major 

milestones of exercise design and development.

Player An individual that has an active role in the exercise by either discussing or 

performing a regular role and responsibility in response to a scenario.

Player Brief

A briefing for all players before the start of the exercise to address individual 

roles and responsibilities, exercise parameters, safety, security badges, and 

any remaining logistical exercise concerns or questions. Participant handouts 

and ExPlans or SitMans, depending on the type of exercise being conducted, 

are often distributed during this briefing. Following the exercise, controllers 

ensure that appropriate players attend the post-exercise hotwash in their 

respective functional areas.

Player Handout

A document that supplements or replaces the Situation Manual and 

presentation, providing players a quick-reference guide; sometimes referred 

to as a “placemat.”

Player Hotwash A meeting that provides an opportunity to discuss exercise strengths and areas 

for improvement immediately following the conduct of an exercise.

Preparedness The continuous cycle of planning, organizing, training, equipping, exercising, 

evaluating, and taking corrective action to ensure effective coordination.

Presenter An individual designated to deliver information in a structured setting.

Press Release A document that the exercise planning team develops for the media and the 

public to inform them about the exercise.

Prevention The capabilities necessary to avoid, prevent, or stop a threatened or actual act 

of terrorism.

Program 

Management

A process of overseeing and integrating preparedness activities for a

jurisdiction/organization over time.
Homeland Security Exercise and Evaluation Program

Glossary-8

Term Description

Props Items that are nonfunctional replications of objects used during the exercise 

that require certain actions from players.

Protection The capabilities necessary to secure the homeland against acts of terrorism 

and manmade or natural disasters.

R

Recovery

The capabilities necessary to assist communities affected by an incident to 

recover effectively. Support for recovery ensures a continuum of care for 

individuals to maintain and restore health, safety, independence, and 

livelihoods, especially those who experience financial, emotional, and 

physical hardships.

Resource Lead

An individual responsible for obtaining proper venues, equipment, and 

supplies for exercise conduct, as well as providing support for media and VIP 

observers.

Resource/Support

Responsible for logistics, administration, facility, and finance support for 

planning meetings, exercise documentation, and other planning 

considerations.

Response The capabilities necessary to save lives, protect property and the environment, 

and meet basic human needs after an incident has occurred.

Response Route A route for responding emergency units from the assembly area to the staging 

area or other exercise sites during a response-focused exercise.

Rolling Summary 

Report

A document that provides stakeholders with an analysis of issues, trends, and 

key outcomes from all exercises conducted as part of the exercise program.

Root-Cause Analysis A method used to trace the origin of an event back to earlier events and their 

respective causes.

S

Safety/Security

Controller

An individual responsible to ensure that the exercise is conducted in a safe and 

secure environment.

Scenario A model or outline, either written or depicted by an event timeline, of the 

simulated sequence of events that drive the player’s discussion or actions.

Scope

An item that is defined by exercise type, participation level, exercise duration, 

and exercise location that enables planners to meet exercise objectives while 

staying within the resource and personnel constraints.

Seminar

A discussion-based exercise that orients participants to or provides an 

overview of authorities, strategies, plans, policies, procedures, protocols, 

resources, concepts, and ideas.

Senior Leader An individual that provide the overarching guidance and direction for the 

exercise program and intent for individual exercises.
Homeland Security Exercise and Evaluation Program

Glossary-9

Term Description

Senior Leader Brief

A briefing during the design and development and before the conduct of an 

exercise. The exercise planning team leader periodically consults with the 

senior leaders on the exercise planning team to ensure the exercise aligns with 

leader intent.

Simulation A method of implementing the performance of a model, or combination of 

models, over time.

Simulation Cell 

(SimCell)

A location from which controllers deliver scenario messages representing 

actions, activities, and conversations of an individual, agency, or organization 

that is not participating in the exercise.

Simulation Cell 

(SimCell) Controller

An individual that coordinates with the MSEL manager or may act as the 

MSEL manager and directs simulators and actors.

Simulators

An individual that delivers scenario messages representing actions, activities, 

and conversations of an individual, agency, or organization that is not 

participating in the exercise. 

Situation Manual 

(SitMan)

A document that provides background information and serves as the primary 

reference material for exercise participants (core document for discussionbased exercises).

Span of Control A method that defines the ideal number of functions, people, or things for 

which an individual or organization is responsible.

Special Effects Items used for operations-based exercises that require trained and licensed 

personnel and special permission for use.

Sponsor An individual or agency who funds and hosts the exercise.

Start of Exercise 

(StartEx)

An event that marks the official beginning of an exercise.

Subject-Matter 

Expert (SME)

An individual who has special skills and knowledge about a function or topic.

Symptomology Card An item containing the signs and symptoms that an exercise actor will portray, 

as well as information helpful for players.

T

Tabletop Exercise 

(TTX)

A discussion-based exercise in response to a scenario intended to generate a 

dialogue of various issues to facilitate a conceptual understanding, identify 

strengths and areas for improvement, and/or achieve changes in perceptions 

about plans, policies, or procedures.

Trusted Agent

An individual on the exercise planning team who is trusted not to reveal 

exercise and scenario details to players or third parties before exercise 

conduct.

V

Venue A location where the exercise conduct is taking place.

Venue Control Cell A location where controllers manage individual injects designed for their 

relevant players.
Homeland Security Exercise and Evaluation Program

Glossary-10

Term Description

Venue Controller

An individual that is responsible for setting up and operating a specific 

exercise location. Venue Controllers manage exercise play and may prompt 

or initiate certain players to ensure continuity and flow. 

Venue Evaluator An individual responsible for observing exercise activity/play in their assigned 

exercise venue, area, or for a specific activity.

W

Weapons and Safety 

Policy

A document for all exercises, where applicable, that shall employ a written 

weapons and safety policy in accordance with applicable state or local laws 

and regulations. Exercise sponsors should coordinate the application of a 

weapons and safety policy with the appropriate safety and legal departments 

as necessary. All players are expected to fully adhere to this policy; however, 

site security personnel may continue to carry assigned weapons. 

Whole Community

Individuals, to include families, businesses, faith-based and community 

organizations, nonprofit groups, schools and academia, media outlets, and all 

levels of government who are involved in preparedness efforts.

Workshop A discussion-based exercise often employed to develop policy, plans, or 

procedures.
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