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Homeland Security Exercise and Evaluation Program Volume I: HSEEP Overview and Exercise Program Management Revised February 2007 This page is intentionally blank. HSEEP Volume I Preface Homeland Security Exercise and Evaluation Program (HSEEP) Volume I was initially published in 2002 and provided an overview of the exercise design, development, conduct, evaluation, and improvement planning process as well as doctrine for U.S. Department of Homeland Security (DHS) exercises. Subsequent volumes (II–IV) provided more detailed descriptions of the planning and evaluation process as well as sample exercise materials. Since the initial versions of the HSEEP volumes were published, the homeland security community has experienced numerous changes, including the building of a new and cohesive Federal agency and the release and adoption of the National Response Plan (NRP), National Incident Management System (NIMS), National Preparedness Goal, Universal Task List (UTL), and Target Capabilities List (TCL). This 2007 release of the HSEEP volumes represents an exercise policy and program reflective of these changes. The following changes have been made: • The volumes have been made more user-friendly and concise. • New policies have been incorporated (e.g., NIMS, NRP, National Preparedness Goal, UTL, TCL). • References to DHS-specific doctrinal or grant-related requirements, such as the need for terrorism-related scenarios, have been eliminated. • Comments from the Federal Interagency, as well as several State and local stakeholders, have been incorporated so the HSEEP Policy and Guidance is more applicable to all exercises, regardless of scope, scale, scenario, or sponsoring agency. • The order of Volumes II and III has been reversed to follow the natural progression of exercise design, development, conduct, evaluation, and improvement planning. It is important to note that the fundamentals of the exercise design, development, planning, evaluation, and improvement planning methodologies have not changed with these volume revisions. Developing and implementing comprehensive exercise policies is a continually evolving process. As strategies, policies, and plans evolve, future revisions will be issued. Preface i This page is intentionally blank. HSEEP Volume I Contents Preface............................................................................................................................................. i Introduction....................................................................................................................................v Homeland Security Exercise and Evaluation Program................................................................v Purpose.....................................................................................................................................v Organization.............................................................................................................................v Security Guidance...................................................................................................................... vi Chapter 1: Homeland Security Exercise and Evaluation Program Overview........................ 1 The Preparedness Cycle.............................................................................................................. 2 Exercise Program Management .................................................................................................. 3 Exercise Project Management..................................................................................................... 3 The HSEEP Blended Approach .................................................................................................. 4 Chapter 2: Exercise Program Management............................................................................... 5 Multi-Year Planning ................................................................................................................... 5 Training and Exercise Plan Workshop ................................................................................... 6 Corrective Action Program ..................................................................................................... 6 Engaging Program Stakeholders................................................................................................. 6 Identifying Exercise Stakeholders .......................................................................................... 7 Communicating with Exercise Stakeholders .......................................................................... 7 Resource Management................................................................................................................ 7 Exercise Budget Management ................................................................................................ 7 Program Staffing..................................................................................................................... 8 Non-Monetary Resources ....................................................................................................... 8 Exercise Phases........................................................................................................................... 8 Exercise Types ............................................................................................................................ 9 Discussion-Based Exercises.................................................................................................. 10 Seminars............................................................................................................................ 10 Workshops ........................................................................................................................ 10 Tabletop Exercises ............................................................................................................ 10 Games ............................................................................................................................... 11 Operations-Based Exercises.................................................................................................. 11 Drills ................................................................................................................................. 11 Functional Exercises ......................................................................................................... 11 Full-Scale Exercises.......................................................................................................... 12 Chapter 3: Exercise Project Management Overview .............................................................. 13 Phase 1: Foundation.................................................................................................................. 13 Exercise Planning Timelines................................................................................................. 13 Exercise Planning Team ....................................................................................................... 13 Exercise Planning Conferences............................................................................................. 14 Phase 2: Design and Development ........................................................................................... 15 Capabilities, Tasks, and Objectives ...................................................................................... 16 Scenario................................................................................................................................. 16 Documentation...................................................................................................................... 16 Contents iii HSEEP Volume I Logistics................................................................................................................................ 17 Phase 3: Exercise Conduct........................................................................................................ 17 Setup ..................................................................................................................................... 17 Presentations/Briefings ......................................................................................................... 18 Personnel............................................................................................................................... 18 Phase 4: Evaluation................................................................................................................... 18 Hot Wash and Debrief .......................................................................................................... 18 After Action Report / Improvement Plan.............................................................................. 19 Phase 5: Improvement Planning ............................................................................................... 19 Improvement Plan................................................................................................................. 19 Improvement Tracking and Planning.................................................................................... 19 Chapter 4: Capabilities-Based Exercises and Program Management................................... 20 Capabilities-Based Exercise Program Management................................................................. 20 Background ........................................................................................................................... 20 Capabilities-Based Planning Tools in Exercise Program Management ............................... 21 Planning, Conducting, and Evaluating Capabilities-Based Exercises ...................................... 22 Foundation ............................................................................................................................ 23 Design and Development...................................................................................................... 23 Conduct ................................................................................................................................. 24 Evaluation ............................................................................................................................. 24 Improvement Planning.......................................................................................................... 26 Appendix A: Exercise Programs and Resources.................................................................... A-1 Appendix B: Glossary............................................................................................................... B-1 Appendix C: Exercise Planning Timelines ............................................................................. C-1 Figures and Tables Figure 2-1: Improvement planning in the preparedness cycle........................................................ 6 Table 2-1: Properties of the seven HSEEP exercise types.............................................................. 9 Figure 3-1: Depiction of an ICS-based exercise planning team ................................................... 14 Table 3-1: Exercise Planning Conferences................................................................................... 15 Table 4-1: Notional multi-year training and exercise schedule ................................................... 21 Figure 4-1: Referencing capabilities and tasks to create exercise objectives and scenarios ....... 24 Figure 4-2: Improvement planning in the preparedness cycle...................................................... 25 Contents iv HSEEP Volume I Introduction Homeland Security Exercise and Evaluation Program Following the domestic terrorist attacks in 1993, 1995, and 2001 and the establishment of the U.S. Department of Homeland Security (DHS) in 2002, officials at all levels of government and in all types of communities have worked to prepare for, prevent, respond to, and recover from a variety of threats to public safety. Exercises play a crucial role in preparedness, providing opportunities for emergency responders and officials to practice and assess their collective capabilities. Purpose The purpose of the Homeland Security Exercise and Evaluation Program (HSEEP) is to provide common exercise policy and program guidance that constitutes a national standard for exercises. HSEEP includes consistent terminology that can be used by all exercise planners, regardless of the nature and composition of their sponsoring agency or organization. The volumes also provide tools to help exercise managers plan, conduct, and evaluate exercises to improve overall preparedness. HSEEP reflects lessons learned and best practices from existing exercise programs and can be adapted to the full spectrum of hazardous scenarios and incidents (e.g., natural disasters, terrorism, technological disasters). The HSEEP reference volumes integrate language and concepts from the National Response Plan (NRP), the National Incident Management System (NIMS), the National Preparedness Goal, the Universal Task List (UTL), the Target Capabilities List (TCL), existing exercise programs, and prevention and response protocols from all levels of government. In the spirit of NIMS, all efforts should be made to ensure consistent use of the terminology and processes described in HSEEP. Organization This document is the first of five HSEEP volumes, all of which are available at the HSEEP website (http://hseep.dhs.gov). The volumes are organized as follows: HSEEP Volume I: HSEEP Overview and Exercise Program Management provides guidance for building and maintaining an effective exercise program and summarizes the planning and evaluation process described in further detail in Volumes II through V. HSEEP Volume II: Exercise Planning and Conduct helps planners outline a standardized foundation, design, development, and conduct process adaptable to any type of exercise. HSEEP Volume III: Exercise Evaluation and Improvement Planning offers proven methodology for evaluating and documenting exercises and implementing an Improvement Plan (IP). HSEEP Volume IV: Sample Exercise Documents and Formats provides sample exercise materials referenced in HSEEP Volumes I, II, III, and V. Readers with Internet connectivity may click on exercise materials referenced in this volume to link to HSEEP Volume IV. HSEEP Volume V: Prevention Exercises (Draft) contains guidance consistent with the HSEEP model to assist entities in designing and evaluating exercises that validate preincident capabilities such as intelligence analysis and information sharing. This volume, HSEEP Volume I: HSEEP Overview and Exercise Program Management, which provides an overview of HSEEP and guidance on exercise program management, is organized as follows: Chapter 1: Introduction Homeland Security Exercise and Evaluation Program Overview v HSEEP Volume I Chapter 2: Exercise Program Management Chapter 3: Exercise Project Management Overview Chapter 4: Capabilities-Based Exercises and Program Management Appendix A: Exercise Programs and Resources Appendix B: Glossary Appendix C: Exercise Planning Timelines Security Guidance While most of the content found in HSEEP is not sensitive or classified, some HSEEP materials (e.g., scenario examples), particularly those in Volume IV, may necessitate restrictions on distribution. Exercise materials that are produced in accordance with HSEEP guidance and are deemed sensitive should be designated as For Official Use Only (FOUO). FOUO identifies unclassified information of a sensitive nature, not otherwise categorized by statute or regulations, of which the unauthorized disclosure could adversely impact a person’s privacy or welfare, the conduct of Federal programs, or programs or operations essential to national interest. Examples of materials that may require FOUO designation include scenario information, the Master Scenario Events List (MSEL), and the After Action Report / Improvement Plan (AAR/IP). Access to FOUO information is on a need-to-know basis. FOUO information may be shared with other agencies; Federal, State, local, or tribal government; appropriate private sector representatives; and law enforcement officials, provided a specific need-to-know has been established and the information is shared in furtherance of a coordinated and official governmental activity. Certain exercise-related information from private sector partners may require or be eligible for additional protections under the Protective Critical Infrastructure Information (PCII) Program. Established pursuant to the Critical Infrastructure Information (CII) Act of 2002, the PCII Program is an information-protection tool that enables members of the private sector to submit proprietary, confidential, or sensitive infrastructure information to DHS with the assurance that the information will be protected from public disclosure. Under the PCII Program, information that satisfies the requirements of the CII Act of 2002 is protected from public disclosure under the Freedom of Information Act (FOIA), State and local disclosure laws, and use in civil litigation. DHS and other Federal, State, and local analysts use PCII in pursuit of a more secure homeland, focusing primarily on analyzing and securing critical infrastructure and protected systems, identifying vulnerabilities and developing risk assessments, and enhancing recovery preparedness measures. Introduction vi HSEEP Volume I Chapter 1: Homeland Security Exercise and Evaluation Program Overview Building on the existing NEP [National Exercise Program], DHS [U.S. Department of Homeland Security] should coordinate the establishment of a NEEP [National Exercise and Evaluation Program] for homeland security related exercises . . . The NEEP should designate HSEEP as the common exercise methodology across all levels of government, so all exercises are using the same doctrine. ─ The Federal Response to Hurricane Katrina Lessons Learned, February 2006 Exercises allow personnel, from first responders to senior officials, to validate training and practice strategic and tactical prevention, protection, response, and recovery capabilities in a risk-reduced environment. Exercises are the primary tool for assessing preparedness and identifying areas for improvement, while demonstrating community resolve to prepare for major incidents. Exercises aim to help entities within the community gain objective assessments of their capabilities so that gaps, deficiencies, and vulnerabilities are addressed prior to a real incident. Well-designed and well-executed exercises are the most effective means of: • assessing and validating policies, plans, procedures, training, equipment, assumptions, and interagency agreements; • clarifying roles and responsibilities; • improving interagency coordination and communications; • identifying gaps in resources; • measuring performance; and • identifying opportunities for improvement. The Homeland Security Exercise and Evaluation Program (HSEEP) is a capabilities- and performancebased1 exercise program that provides a standardized policy, methodology, and terminology for exercise design, development, conduct, evaluation, and improvement planning. HSEEP also provides tools and resources to facilitate the management of self-sustaining exercise programs. In accordance with Homeland Security Presidential Directive 8 (HSPD-8) and the National Preparedness Goal, HSEEP uses a capabilities-based approach to individual exercises and exercise program management. In the spirit of the National Incident Management System (NIMS), HSEEP promulgates standardized policies and terminology usable by officials and emergency responders at all levels of government. HSEEP has been accepted as the standardized policy and methodology for the execution of the National Exercise Program (NEP). The NEP is the Nation’s overarching exercise program formulated by the National Security Council / Homeland Security Council (NSC/HSC), and executed by the Federal Interagency. All interagency partners have adopted HSEEP as the methodology for all exercises that will be conducted as part of the NEP. 1 Capabilities- and performance-based exercises are further defined beginning on page 20. Chapter 1: HSEEP Overview 1