Homeland Security Exercise and Evaluation Program (HSEEP) and the National Exercise Program (NEP) Overview

1. Homeland Security Exercise and Evaluation Program (HSEEP) and the National Exercise Program (NEP)Overview December 2009

2. HSEEP • Homeland Security Presidential Directive (HSPD)-8: establish a “national program and multi-year planning system to conduct homeland security preparedness-related exercises that reinforces identified training standards, provides for evaluation of readiness, and supports the National Preparedness Goal” • Helps homeland security professionals assess capabilities built through planning, training, and equipment procurement, by providing them with the tools to plan, conduct, and evaluate exercises to improve overall preparedness • HSEEP AAR/IPs document and summarize performance as part of the comprehensive preparedness assessment described in the National Preparedness Goal

3. HSEEP Blended Approach • HSEEP addresses the range of exercise evaluation issues through a blended approach involving four related program areas: • 1) Policy and Guidance — Providing the strategic direction for exercise and evaluation programs Nationwide • 2) Training — Offering courses and tutorials on the many HSEEP plans, policies, and requirements • 3) Technology — Ensuring that Federal, State, and local jurisdictions have the tools necessary to plan and implement exercise programs • 4) Direct Support — Supporting jurisdictions across the Nation through funding, training, and other exercise support

4. HSEEP Policy and Guidance • HSEEP provides doctrine for design, development, conduct, and evaluation of emergency preparedness exercises at all levels of government • Standardizes exercise design, development, conduct, and evaluation for all exercises (National-level, Federal, State, local) • Establishes common language and concepts to be adopted and used by various agencies and organizations • Meets National Response Framework (NRF) and National Incident Management System (NIMS) goals • Provides tools and resources for to support self-sustaining exercise programs

5. HSEEP Volumes • Volume I: Overview and Exercise Program Management • Volume II: Exercise Design and Development • Volume III: Exercise Evaluation and Improvement Planning • Volume IV: Sample Exercise Documents and Formats • Volume V: Prevention Exercises

6. HSEEP Compliance HSEEP compliance is adherence to specific HSEEP-mandated practices for exercise design, conduct, evaluation, and documentation • HSEEP compliance includes four distinct performance requirements: • Conduct annual Training & Exercise Plan Workshop (TEPW) and develop and maintain Multi-year Training & Exercise Plan • Plan and conduct exercises in accordance with guidelines in HSEEP Volumes I-V • Develop and submit a properly formatted After Action Report / Improvement Plan (AAR/IP) • Track and implement corrective actions identified in AAR/IP

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

8. Exercise Types • Discussion-based Exercises: • Seminar • Workshop • Tabletop Exercise • Game • Operations-based Exercises: • Drill • Functional • Full-Scale Exercise

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

10. Capabilities-Based Planning Capabilities-based planning is defined as planning, under uncertainty, to build capabilities suitable for a wide range of threats and hazards while working within an economic framework that necessitates prioritization and choice. It addresses uncertainty by analyzing a wide range of realistic scenarios to identify required capabilities, and it is the basis for guidance such as the National Preparedness Goal, Target Capabilities List (TCL), and Universal Task List (UTL). • HSEEP is designed to support capabilities-based planning through a cyclical process of planning, training, exercising, and improvement planning which emphasizes development of priority capabilities • Capabilities-based planning provides the foundation for: • Developing exercise program priorities • Identifying sets of capabilities to exercise • Determining conditions and scenarios that should be included and addressed in exercises

11. Capabilities-Based Program Approach • Provides the foundation for developing exercise program objectives, identifying sets of capabilities to exercise, and determining the conditions and scenarios that should be included and addressed in exercises • Exercise programs should integrate and support capabilities-based planning, both through long-term strategic program management and through the design, development, conduct, and evaluation of exercises • Strategies should address not only terrorism, but a broad range of other threats and hazards founded on the capabilities-based planning approach

12. Capabilities-Based Planning Structure Emergency Management Priorities Target Capabilities (and tasks) Exercise Objectives Exercise Scenario Improvement Plans

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14. Tools and Resources

15. National Exercise Scheduling System (NEXS) • Facilitates cooperation and collaboration among Federal, State, Territory, Tribal, and local agencies conducting exercises • Tool used to track the scheduling of all exercises, regardless of the supporting Federal response agency • Comprehensive calendar for all Federal, State, Regional, Territory, Tribal, and local exercises

16. Design and Development System (DDS) • The DDS is equal parts project management tool and comprehensive tutorial for the design, development, conduct and evaluation of exercises. • Provides users with: • Customizable timelines • Exercise task lists • Templates and reference documents • Exercise planning tips • Interactive HSEEP guidance • Ability to email planning team tasks, updates, guidance and alerts

17. Corrective Action Program (CAP) • The Corrective Action Program (CAP) provides the basis for systematically identifying, analyzing, and monitoring the implementation of initiatives aimed at resolving deficiencies uncovered in exercises, training events, real-world events, and policy discussions. • The CAP provides a systematic means for overcoming the perennial problem of observing the same issues repeatedly characterized as “lessons learned” in reports compiled following National Exercise Program (NEP) exercises and major events.

18. National Exercise Master Scenario Event List (NxMSEL) • The NxMSEL is an element of the Homeland Security Exercise and Evaluation Program (HSEEP) Program • Used to support National-Level Exercises • The Tool was developed to assist Exercise Planners with: • MSEL development- Web-based technology to support the creation of new events • MSEL management- During the exercise design and planning phase as well as enhance the MSEL management • Provides a common operating picture during exercise conduct

19. Regional Exercise Support Program (RESP) • Administered by the FEMA National Exercise Division in close coordination with the FEMA Regional Offices • Provides technical support for the design, conduct, and evaluation of exercise initiatives in accordance with the HSEEP. • Promotes regional collaboration through the facilitated process of exercise development and evaluation. • Supports regional, State, territorial, local, federally recognized tribal, and urban area exercise initiatives. • Ensures that all levels of government receive strategy, policy, and planning guidance in order to build prevention, protection, response, and recovery capabilities across the nation.

20. Incorporating Planning Tools • HSEEP supports the capabilities-based planning process through: • Multi-year Plans • Exercise Evaluation Guides (EEGs) • AARs/IPs • Training courses will be aligned with capabilities • Training and exercise programs should integrate and support capabilities-based planning, both through long-term strategic program management and through the design, development, conduct, and evaluation of exercises

21. Training Resources Training is available from a variety of sources and several formats (web-based, train-the-trainer, etc): • National Domestic Preparedness Consortium (NDPC) • Emergency Management Institute (EMI) • National Fire Academy (NFA) • Federal Law Enforcement Training Academy (FLETC) • State universities and educational institutions • Approved State and local government and private training providers

22. Training Program Development Resources • On-line development and implementation guides in Blended Learning and Analysis, Design, Development, Implementation, and Evaluation (ADDIE) instructional design are located at: http://ojp.usdoj.gov/odp/blendedlearning/ • State course development, review and approval process information is supported through Web Forms at www.firstrespondertraining.gov/odp_webforms • In early 2007, the U.S. Department of Homeland Security (DHS) will launch the on-line Responder Training Development Center with interactive process guides, templates, and models of first responder training instructional design, development, and implementation

23. National Exercise Program

24. Creating a Unified Exercise Strategy In response to presidential and congressional requirements, the Homeland Security Council—in coordination with DHS and FEMA—created and put into place the National Exercise Program (NEP) to unify homeland security preparedness exercise strategies • Meets requirements laid out in Homeland Security Presidential Directive 8, Homeland Security Act of 2002 and The Federal Response to Hurricane Katrina: Lessons Learned • Provides the USG a national, interagency-wide program and a multi-year planning system to focus, coordinate, plan, conduct, execute, evaluate, and prioritize national security and homeland security preparedness-related exercises activities • Works as the primary mechanism to improve delivery of Federal preparedness assistances to State and local governments • Strengthening preparedness capabilities of Federal, State, and local entities • Incorporates Homeland Security Exercise and Evaluation Program (HSEEP) methodology

25. NEP Status • Deputies’ Committee approved the NEP Charter and Implementation Plan on January 26, 2007 • President Bush reviewed and approved the NEP Implementation Plan on April 11, 2007 • Secretary Chertoff Notification to Cabinet Officers on July 17, 2007

26. NEP Purpose • NEP shall serve as the principal mechanism for: • Examining the preparation of the USG and its officers and other officials • Adopting policy changes that might improve such preparation • Focus of NEP exercises: • Designed for participation of heads of Federal departments and agencies and other key officials • Examine and evaluate emerging national-level policy issues • NEP directs Agency’s to adequately resource for and participate in exercises at directed levels

27. NEP Overview • NEP requires officers of the U.S. Government to: (a) exercise their responsibilities under the National Response Framework and other strategies, as appropriate (b) examine emerging policy issues through the conduct of exercises in a comprehensive manner on a routine basis (c) incorporate current threat and vulnerability assessments into the exercise objectives and planning effort (d) develop a corrective action process to ensure lessons from exercises are either sustained or improved as appropriate (e) achieve national unity among appropriate Federal, State, local, private sector, and partner nation entities • NEP does not preclude or replace individual departments’ and agencies’ exercise programs

28. NEP Components • NEP program components include: • National Level Exercise (NLE) (Annual Tier I exercise) (national security and/or homeland security exercises centered on White House directed, U.S. Government-wide strategy and policy) • Principal Level Exercise (PLE) (Quarterly cabinet level exercises focused on current U.S. Government-wide strategic issues) • Five-Year Exercise Schedule of NLE/PLE and significant NEP Tiered exercises with a strategic U.S. Government-wide focus • National Exercise Schedule (NEXS) (schedule of all Federal, State, and local exercises) • Corrective Action Program (CAP) • Homeland Security Exercise and Evaluation Program (HSEEP)

29. NEP Ownership • NLEs and PLEs will reflect U.S. Government-wide priorities, not single Department or agency programs • NEP I-Plan establishes the NEP under the leadership of the Secretary of Homeland Security • Full Homeland Security Council (HSC) Disaster Readiness Group’s Exercise & Evaluation Sub-Policy Coordination Committee (E&E sub-PCC) recommends priorities/goals/objectives, schedule, and corrective action issues to deputies • DHS chaired NEP Executive Steering Committee supports day-to-day coordination • Charged with ensuring that all NEP exercises are successfully coordinated and conducted • Comprised of representatives across the U.S. Government • Defining and drafting a NEP Five-Year Exercise Schedule

30. Five-Year Exercise Schedule • Based on strategic direction and policy priorities • Transition Training • Domestic Natural Disaster • National Security • Domestic Terrorism • Sets forth focus, goals, themes, and schedule for NLEs & PLEs • Will involve progressive level of detail (implementation plan issue) • Requires process for discouraging changes less than two fiscal years out (implementation plan issue) • Allows for departments and agencies to: • Align other exercises, training activities, and preparatory reviews of policies, plans, and procedures • Align with regional and State priorities • Budget resources for exercise planning & participation • Leverages existing interagency exercise conferences of DHS and DOD for development

31. NEP Exercise Tiers Tier I: White House directed, U.S. Government-wide Strategy and Policy Focus Tier II: Federal Strategy and Policy Focus Tier III: Other Federal Exercises Operational, Tactical or Organizational Focus Tier IV: State, Territorial, Local, Tribal or Private Sector Focus Tier I 1 NLE 4 PLE Tier II 3 Tier II Exercises Tier III Regional or Other Federal Exercises Tier IV Non-Federal Exercises

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33. NEP Summary • Focus • Participation by heads of Federal Departments & Agencies • Participation by other key officials • Examine emerging national-level policy issues • Prioritize and focus Federal exercise activities • Exercises • Required: x4 – Tier I Principals-level Exercise (PLE) • Required: x1 – Tier I National Level Exercise (NLE) • Commended: x3 - Tier II exercises • NLE Budget Requirements (Planning & Conduct) • Required: Budget support for NEP Tier I NLE • Commended: Budget support for NEP Tier II exercises