EMERGENCY MANAGEMENT INSTITUTE Independent Study IS139 March, 2003 EXERCISE DESIGN FEMA TABLE OF CONTENTS Page Course Overview.................................................................................................................1 Unit 1: Introduction to Exercise Design Introduction ..................................................................................................................1.1 Unit 1 Objectives ..........................................................................................................1.1 Why Exercise? .............................................................................................................1.1 Regulatory Requirements.............................................................................................1.6 Functions......................................................................................................................1.7 Activity: Needs Assessment ........................................................................................1.9 Summary and Transition ............................................................................................1.14 For More Information..................................................................................................1.14 Knowledge Check ......................................................................................................1.15 Unit 2: Comprehensive Exercise Program Introduction ..................................................................................................................2.1 Unit 2 Objectives ..........................................................................................................2.1 Progressive Exercising .................................................................................................2.1 Who Participates? ........................................................................................................2.3 What Activities Are Included?.......................................................................................2.5 Comparing the Five Activities .....................................................................................2.17 Building an Exercise Program ....................................................................................2.20 Activity: Develop a Comprehensive Exercise Program Plan ......................................2.27 Summary and Transition ............................................................................................2.31 For More Information..................................................................................................2.31 Knowledge Check ......................................................................................................2.32 Unit 3: The Exercise Process Introduction ..................................................................................................................3.1 Unit 3 Objectives ..........................................................................................................3.1 The Big Picture.............................................................................................................3.2 Accomplishment 1: Establishing the Base ...................................................................3.5 Accomplishment 2: Exercise Development..................................................................3.6 Accomplishment 3: Exercise Conduct .........................................................................3.8 Accomplishment 4: Exercise Evaluation and Critique ..................................................3.9 Accomplishment 5: Exercise Followup ......................................................................3.10 Reviewing the Current Plan ........................................................................................3.11 Assessing Capability to Conduct an Exercise.............................................................3.12 Addressing Costs and Liabilities.................................................................................3.13 Activity: Getting Ready for Exercise Design ..............................................................3.14 Gaining Support .........................................................................................................3.18 Assembling a Design Team........................................................................................3.21 Activity: Identify Design Team Members....................................................................3.29 Exercise Documents...................................................................................................3.30 Summary and Transition ............................................................................................3.33 For More Information..................................................................................................3.33 Knowledge Check ......................................................................................................3.34 Exercise Design Page i TABLE OF CONTENTS Page Unit 4: Exercise Design Steps Introduction ..................................................................................................................4.1 Unit 4 Objective ............................................................................................................4.1 Step 1: Assess Needs .................................................................................................4.2 Step 2: Define the Scope.............................................................................................4.4 Step 3: Write a Statement of Purpose .........................................................................4.7 Activity: Define Exercise Scope and Purpose ............................................................4.10 Step 4: Define Objectives ..........................................................................................4.14 Activity: Analyze an Objective....................................................................................4.17 Activity: Good or Poor Objectives ..............................................................................4.21 Activity: Develop Objectives ......................................................................................4.24 Step 5: Compose a Narrative ....................................................................................4.25 Activity: Outline a Narrative .......................................................................................4.29 Step 6: Write Major and Detailed Events...................................................................4.30 Step 7: List Expected Actions ....................................................................................4.33 Activity: Write Major and Detailed Events ..................................................................4.36 Step 8: Prepare Messages ........................................................................................4.38 Activity: Compose a Message ...................................................................................4.44 Pulling It Together: The Master Scenario of Events List ............................................4.45 Alternatives to Self-Developed Exercises ...................................................................4.46 Summary and Transition ............................................................................................4.47 For More Information..................................................................................................4.47 Knowledge Check ......................................................................................................4.48 Unit 5: The Tabletop Exercise Introduction ..................................................................................................................5.1 Unit 5 Objectives ..........................................................................................................5.1 Characteristics of the Tabletop Exercise ......................................................................5.1 How a Tabletop Works .................................................................................................5.3 Facilitating a Tabletop Exercise....................................................................................5.4 Activity: Your Ideas for Facilitating a Tabletop.............................................................5.8 Designing a Tabletop Exercise .....................................................................................5.9 Activity: Develop Problem Statements.......................................................................5.13 Activity: Develop a Tabletop Exercise Message ........................................................5.17 Summary and Transition ............................................................................................5.20 For More Information..................................................................................................5.20 Knowledge Check ......................................................................................................5.21 Page ii Exercise Design Page Unit 6: The Functional Exercise Introduction ..................................................................................................................6.1 Unit 6 Objectives ..........................................................................................................6.1 What Is a Functional Exercise? ....................................................................................6.2 Activity: Compare Tabletop and Functional Exercises .................................................6.4 Participant Roles ..........................................................................................................6.6 How a Functional Exercise Works ..............................................................................6.11 Facilities and Materials ...............................................................................................6.18 Designing a Functional Exercise ................................................................................6.22 Activity: Identify Functional Exercise Responsibilities ................................................6.25 Summary and Transition ............................................................................................6.27 For More Information..................................................................................................6.27 Knowledge Check ......................................................................................................6.28 Unit 7: The Full-Scale Exercise Introduction ..................................................................................................................7.1 Unit 7 Objectives ..........................................................................................................7.1 What Is a Full-Scale Exercise?.....................................................................................7.2 Activity: Know Your Regulatory Requirements ............................................................7.3 Activity: Compare Functional and Full-Scale Exercises ...............................................7.6 Full-Scale Exercise Roles.............................................................................................7.8 How the Full-Scale Exercise Works..............................................................................7.9 Exercise Locations .....................................................................................................7.11 Designing the Full-Scale Exercise ..............................................................................7.12 Special Considerations...............................................................................................7.14 Activity: Plan Ahead for the Full-Scale Exercise ........................................................7.22 Summary and Transition ............................................................................................7.24 For More Information..................................................................................................7.24 Knowledge Check ......................................................................................................7.25 Exercise Design Page iii TABLE OF CONTENTS Page Unit 8: Exercise Evaluation Introduction ..................................................................................................................8.1 Unit 8 Objectives ..........................................................................................................8.1 Integrating Evaluation Throughout Development..........................................................8.2 Why Evaluate the Exercise?.........................................................................................8.3 The Evaluation Team ...................................................................................................8.4 Evaluation Methodology ...............................................................................................8.7 Evaluator Checklist.....................................................................................................8.12 Narrative Summary ....................................................................................................8.13 Key Event Response Form.........................................................................................8.15 Problem Log...............................................................................................................8.16 Postexercise Meetings ...............................................................................................8.17 Exercise Debriefing Log .............................................................................................8.19 Exercise Critique Form ...............................................................................................8.20 After Action Report .....................................................................................................8.22 Implementing Change ................................................................................................8.24 Activity: Plan the Evaluation ......................................................................................8.25 Summary and Transition ............................................................................................8.27 For More Information..................................................................................................8.27 Knowledge Check ......................................................................................................8.28 Unit 9: Exercise Enhancements Introduction ..................................................................................................................9.1 Unit 9 Objectives ..........................................................................................................9.1 Why Use Enhancements? ............................................................................................9.2 Communications Equipment.........................................................................................9.3 Visuals..........................................................................................................................9.4 People and Props.........................................................................................................9.7 Enhancement Resources .............................................................................................9.8 Enhancement Logistics ................................................................................................9.9 Activity: Enhance a Scenario .....................................................................................9.10 Activity: Plan Enhancements for Your Exercise .........................................................9.13 Summary and Transition ............................................................................................9.15 For More Information..................................................................................................9.15 Knowledge Check ......................................................................................................9.16 Page iv Exercise Design Page Unit 10: Designing a Functional Exercise Introduction ................................................................................................................10.1 Unit 10 Objective ........................................................................................................10.2 Select Your Exercise ..................................................................................................10.2 Step 1: Assess Needs ...............................................................................................10.3 Step 2: Define the Scope...........................................................................................10.8 Step 3: Write a Statement of Purpose .....................................................................10.11 Step 4: Define the Objectives ..................................................................................10.12 Step 5: Compose a Narrative ..................................................................................10.13 Step 6: Write Major and Detailed Events.................................................................10.16 Step 7: List Expected Actions ..................................................................................10.16 Step 8: Prepare Messages ......................................................................................10.18 Constructing the Master Scenario of Events List ......................................................10.23 Planning the Exercise Evaluation .............................................................................10.25 Planning the Exercise Enhancements ......................................................................10.27 Optional Activity: Exercise Design Documents ........................................................10.29 Summary and Transition ..........................................................................................10.30 Unit 11: Course Summary Introduction ................................................................................................................11.1 Reasons to Exercise...................................................................................................11.1 Comprehensive Exercise Programs ...........................................................................11.1 The Exercise Process.................................................................................................11.3 Exercise Design Steps ...............................................................................................11.4 The Tabletop Exercise................................................................................................11.5 The Functional Exercise .............................................................................................11.6 The Full-Scale Exercise..............................................................................................11.7 Exercise Evaluation ....................................................................................................11.9 Exercise Enhancements...........................................................................................11.10 Next Steps................................................................................................................11.11 Appendix A: Job Aids Appendix B: Acronym List Appendix C: Exercise Tool Box Exercise Design Page v Course Overview COURSE OVERVIEW About This Course Emergencies happen. Emergencies can be limited in scope or they can reach disaster proportions, sweeping through an entire community or multiple communities. Being prepared to respond to and recover from emergencies is everyone’s challenge. Whether your organization is a government agency tasked with a particular response role, a volunteer agency that responds to the community’s needs, or a private sector entity that may be faced with an emergency situation, you have an important role in that preparation. As an outcome of your community’s or organization’s emergency planning process, plans should be in place that specify how you prepare for emergencies, how you will respond if an emergency occurs, how you will mitigate the potential effects of emergencies, and how you will recover. Practice is an important aspect of the preparation process. Experience and data show that exercises are a practical, efficient, and cost-effective way for organizations in the government, nonprofit, and private sectors to prepare for emergency response and recovery. This course is based on one important premise: Emergency exercises are worth the effort. Exercises identify areas that are proficient and those that need improvement. Lessons learned from exercises can be used to revise operational plans and provide a basis for training to improve proficiency in executing those plans. This course is designed to introduce you to the fundamentals of exercise design and to prepare you to design and conduct a small functional exercise for your organization. It addresses: Exercise Design
The value of conducting exercises.
The components of a comprehensive exercise program.
The exercise development processdevelopment tasks, organization of the design team, exercise documentation, and the steps in designing an exercise. Page 1 COURSE OVERVIEW About This Course (Continued) This course will cover the purpose, characteristics, and requirements of three main types of exercises:
Tabletop exercise
Functional exercise
Full-scale exercise In addition this course will cover:
Exercise evaluation.
Exercise enhancements.
Designing a functional exercise. This course is one of several courses in exercise design offered through the Emergency Management Institute (EMI). To get information about other courses, check online at www.fema.gov/emi. FEMA’s Independent Study Program The Federal Emergency Management Agency’s (FEMA’s) Independent Study Program is one of the delivery channels that EMI uses to provide training to the general public and specific audiences. This course is part of FEMA’s Independent Study Program. In addition to this course, the Independent Study Program includes other courses in the Professional Development Series (PDS), as well as courses in floodplain management, radiological emergency management, the role of the emergency manager, hazardous materials, disaster assistance, the role of the Emergency Operations Center (EOC), and an orientation to community disaster exercises. FEMA’s independent study courses are available at no charge and include a final examination. You may apply individually or through group enrollment. When enrolling for a course, you must include your name, mailing address, social security number, and the title of the course in which you wish to enroll. Page 2 Exercise Design COURSE OVERVIEW FEMA’s Independent Study Program (Continued) If you need assistance with enrollment, or if you have questions about how to enroll, contact the Independent Study Program Administrative Office at: FEMA Independent Study Program Administrative Office Emergency Management Institute 16825 South Seton Avenue Emmitsburg, MD 21727 (301) 447-1200 Information about FEMA’s Independent Study Program also is available on the Internet at: http://training.fema.gov/EMIWeb/IS. Each request will be reviewed and directed to the appropriate course manager or program office for assistance. Course Prerequisites Exercise Design has no prerequisites. Final Examination This course includes a written final examination, which you must complete and return to FEMA’s Independent Study Office for scoring. To obtain credit for taking this course, you must successfully complete this examination with a score of 75 percent or above. You may take the final examination as many times as necessary. When you have completed all of the units, you may complete the final examination online or use the answer sheet (if one is provided in your course packet). If you choose to use the answer sheet, you must return it to the FEMA Independent Study Office at the address listed on the previous page. EMI will score your test and notify you of the results. Course Completion The course completion deadline for all FEMA Independent Study courses is one year from the date of enrollment. The date of enrollment is the date that the EMI Independent Study Office will use for completion of all required course work, including the final examination. If you do not complete this course, including the final examination, within that timeframe, your enrollment will be terminated. Exercise Design Page 3 COURSE OVERVIEW How to Take This Course This Independent Study course is designed so that you can complete it on your own at your own pace. Take a break after each unit, and give yourself time to think about the material, particularly how it relates to your work in the exercise design function of emergency management. On the other hand, this course may be done in a group setting guided by an instructor. This Independent Study can also be used in such groups. Exercise Design has 11 units. Each of these units is described below. Page 4
Unit 1, Introduction to Exercise Design, explores the benefits organizations derive from exercising and leads you through a preliminary needs assessment.
Unit 2, Comprehensive Exercise Program, provides an overview of five main types of exercise activities that make up a comprehensive exercise program.
Unit 3, The Exercise Process, presents an overview of the process used to plan and implement a single exercise within a comprehensive program. It also introduces four key design documents. In this unit, you will take some preliminary “groundwork” steps, including a resource self-assessment and identifying potential design team members.
Unit 4, Exercise Design Steps, takes you through an eight-step process for designing an exercise and provides a variety of job aids to use in applying that process. You will practice each step in an abbreviated fashion as you progress through the unit.
Unit 5, The Tabletop Exercise, takes a closer look at the tabletop exercise, including key characteristics, best uses, guidelines for facilitation, and special design considerations.
Unit 6, The Functional Exercise, examines the functional exercise more closelyagain focusing on key characteristics, best uses, guidelines for control, and special design considerations.
Unit 7, The Full-Scale Exercise, takes a similar look at full-scale exercises and how they differ from the other types of exercises.
Unit 8, Exercise Evaluation, briefly discusses key aspects of evaluation methodology and the evaluation tasks that must take place before, during, and after an exercise. Exercise Design COURSE OVERVIEW How to Take This Course (Continued)
Unit 9, Exercise Enhancements, presents ideas for enhancing an exercise through visuals, equipment, props, and people.
Unit 10, Designing a Functional Exercise, walks you through applying the eight design stepsusing the provided job aidsin developing a simple functional exercise.
Unit 11, Course Summary, prepares you for the final exam by presenting a brief review of the key points covered in the course. Activities This course will involve you actively as a learner by including activities that highlight basic concepts. These activities emphasize different learning points, so be sure to complete all of them. Compare your answers to the answers provided following each activity. If your answers are correct, continue on with the material. If any of your answers is incorrect, go back and review the material before continuing. Knowledge Checks To help you know when to proceed to the next unit, Units 1 through 10 are followed by a Knowledge Check that asks you to answer questions that pertain the unit content. Answers are provided following each Knowledge Check. When you finish each Knowledge Check, compare you answers to those provided, and review the parts of the text that you do not understand. It would be to your benefit to be sure that you have mastered the current unit before proceeding to the next unit. Exercise Design Tool Box A Tool Box is also included with the course materials. The Exercise Design Tool Box contains a variety of exercise examples and templates to supplement the instruction. The course materials will instruct you when to use the Tool Box. The Tool Box can be accessed at http://training.fema.gov/EMIWeb/IS/is139lst.asp. Exercise Design Page 5 COURSE OVERVIEW How to Take This Course (Continued) Job Aids Throughout the course, you will find job aids designed to supplement the text. You can use the job aids during the course, and you will find them useful later, after you have completed the course. Copies of all job aids are assembled in Appendix A, for easy reference. Appendixes At the back of this course are appendixes that include, in addition to the job aids, an acronym list. Equipment Requirements To complete this course, you will need the following equipment:
A computer with the following or greater capability: • • • • • • Pentium processor Windows 95+ or NT 32 megabytes of RAM SVGA monitor, displaying 16-bit color, 800 x 600 resolution Microsoft or Microsoft-compatible mouse or other pointing device CD-ROM Drive Access to the internet is optional but will enable you to acquire additional relevant information. Page 6 Exercise Design COURSE OVERVIEW How to Take This Course (Continued) Sample Learning Schedule Complete this course at your own pace. You should be able to finish the entire courseincluding pretest, units, knowledge checks, and final examinationin approximately 10 hours. The following learning schedule is only an example, intended to show relative times devoted to each unit. Unit Unit 1: Introduction to Exercise Design Unit 2: Comprehensive Exercise Program Unit 3: The Exercise Process Unit 4: Exercise Design Steps Unit 5: The Tabletop Exercise Unit 6: The Functional Exercise Unit 7: The Full-Scale Exercise Unit 8: Exercise Evaluation Unit 9: Exercise Enhancements Unit 10: Designing a Functional Exercise Unit 11: Course Summary Exercise Design Suggested Time 20 minutes 1 hour 1 hour 2 hours 40 minutes 40 minutes 40 minutes 40 minutes 40 minutes 2 hours 10 minutes Page 7 Unit 1: Introduction to Exercise Design UNIT 1 INTRODUCTION TO EXERCISE DESIGN Introduction An exercise is a focused practice activity that places the participants in a simulated situation requiring them to function in the capacity that would be expected of them in a real event. Its purpose is to promote preparedness by testing policies and plans and training personnel. In this unit, you will explore some of the benefits that organizations derive from exercising. Unit 1 Objectives After completing this unit, you should be able to:
Explain the value of exercises to improve the four phases of comprehensive emergency management.
Identify the major reasons to conduct exercises. Why Exercise? Exercises are conducted to evaluate an organization’s capability to execute one or more portions of its response plan or contingency plan. Many successful responses to emergencies over the years have demonstrated that exercising pays huge dividends when an emergency occurs. Exercise Design Page 1.1 UNIT 1: INTRODUCTION TO EXERCISE DESIGN Why Exercise? (Continued) Sioux City, 1989 The 1989 plane crash in Sioux City, Iowa, provided a clear demonstration of the value of exercises. In July of that year, United Airlines Flight 232 crashed in flames after a failed emergency landing attempt. Although 109 lives were lost in this terrible disaster, 186 passengers survived. How were so many saved? Their survival was due mainly to three factors:
Response of the flight crew before the crash
Trained rescue units waiting on the ground
Centralized communications among all response agencies These factors were present because of training, and the high level of training was no coincidence. Years before the crash, a Disaster Services Center was established. Representatives from 40 local agencies met regularly to review emergency procedures and plan realistic exercises. Two years before the crash, the community conducted a full-scale exercise based on a commercial plane crash. This simulation revealed several problems, including confusion in communications and inadequate numbers of ambulances and other equipment at the scene. An afterexercise plan was developed to address these problems. The day after the crash of United Flight 232, the Assistant Fire Chief said, “We made mistakes [in the simulation]. The mistakes we made then did not materialize yesterday.” Page 1.2 Exercise Design UNIT 1: INTRODUCTION TO EXERCISE DESIGN Why Exercise? (Continued) Other Emergencies Other emergencies and disasters before and since the 1989 crash also have demonstrated the importance of exercising.
In 1989, FEMA coordinated a full-scale response exercise in Sacramento, Californiajust two months before the Loma Prieta earthquake struck Northern California. The exercise was credited with improving the response to that disaster by both California and the Federal government.
The After-Action Report following the 1995 bombing of the Alfred P. Murrah Federal Building in Oklahoma City made the following recommendation regarding problems that were identified in integrating the response efforts of multiple agencies: “Planning, training, and exercising are the only feasible recommendations. If an integrated emergency management system is to be utilized and effective in future disasters, all levels of government must be on the same page of the book. Effective coordination cannot be achieved during the chaos following any disaster. Relationships must be established, plans written and tested, and procedures agreed upon. Regardless of what our particular role is, our mission is the same… ‘to provide effective response and recovery through coordinated logistics, communications, and information support systems.’” Exercise Design Page 1.3 UNIT 1: INTRODUCTION TO EXERCISE DESIGN Why Exercise? (Continued)
In 2000, Urban Search and Rescue (US&R) Task Forces participated in two major exercises. One was an earthquake-based scenario staged at Ames/Moffett Airfield in California. The other took advantage of the planned demolition of a sports arena in Denver, Colorado, by running a building collapse scenario. Of the latter exercise, a Denver Fire Department captain said, “We’re preparing for the event we hope never happens.” Ironically, that was exactly the case. In 2001, some of the same US&R Task Forces that participated in these exercises were sent to New York City to search for victims after the terrorist attack that resulted in the collapse of the World Trade Center towers. Many communities across the nation have had similar experiences that show the value of previous exercise training. Research has shown that people generally respond to an emergency in the way that they have trained. It only makes sense for government, volunteer, and private organizations to exercise their plans and procedures so that they are better prepared to respond to and recover from an emergency. Page 1.4 Exercise Design UNIT 1: INTRODUCTION TO EXERCISE DESIGN Why Exercise? (Continued) Reasons to Exercise The goal in exercise design is to establish a comprehensive exercise programone based on a long-term, carefully constructed plan. In a comprehensive program, exercises build upon one another to meet specific operational goals. The aim is to provide competence in all emergency functions. There are two main benefits of an exercise program:
Individual training: Exercising enables people to practice their roles and gain experience in those roles.
System improvement: Exercising improves the organization’s system for managing emergencies. These benefits arise not just from exercising, but from evaluating the exercise and acting upon the recommendations. An exercise has value only when it leads to improvement. To summarize, there are a number of reasons to perform exercises. Through exercises, organizations can:
Test and evaluate plans, policies, and procedures.
Reveal planning weaknesses.
Reveal gaps in resources.
Improve organizational coordination and communications.
Clarify roles and responsibilities.
Train personnel in roles and responsibilities.
Improve individual performance.
Gain program recognition and support of officials.
Satisfy regulatory requirements. The focus of an exercise should always be on locating and eliminating problems before an actual emergency occurs. Corrective actions are an important part of exercise design, evaluation, and followup. Exercise Design Page 1.5 UNIT 1: INTRODUCTION TO EXERCISE DESIGN Regulatory Requirements Because the human and monetary costs of emergencies and disasters are so high, governments, agencies, and many corporate entities and other governing bodies have mandated preparedness training and exercising. Several examples of mandated exercises are listed below. Page 1.6
State and local governments receiving Federal funds may have to comply with certain exercise requirements. FEMA’s requirements change periodically, but the program is normally structured around a four-year cycle.
Nuclear Power Plants must exercise their plans yearly, conducting a full-scale exercise every two years. This exercise is evaluated by the Nuclear Regulatory Commission (NRC).
Agencies or facilities falling under the coverage of the Superfund Amendment Reauthorization Act of 1986 (SARA) Title III (e.g., local emergency planning committees; facilities where chemicals are produced, used, or stored) must conduct a yearly exercise and evaluate their hazardous materials response and recovery plan.
Airports, hospitals, and other healthcare facilities must conduct a fullscale exercise once every 2 years to maintain their certification or license to operate.
Many employers are required by the Occupational Safety and Health Administration (OSHA) to develop an emergency action plan. OSHA recommends that such plans be exercised at least annually. Exercise Design UNIT 1: INTRODUCTION TO EXERCISE DESIGN Functions In planning exercises, the emphasis is on functions rather than on types of emergencies, because preparedness in those functions is common to all emergencies. Functions are actions or operations required in emergency response or recovery. FEMA defines 13 functions in its Emergency Management Exercise Reporting System: Exercise Design
Alert Notification (Emergency Response)
Warning (Public)
Communications
Coordination and Control
Emergency Public Information
Damage Assessment
Health and Medical
Individual/Family Assistance
Public Safety
Public Works/Engineering
Transportation
Resource Management
Continuity of Government Page 1.7 UNIT 1: INTRODUCTION TO EXERCISE DESIGN Functions (Continued) If your organization is a private or volunteer organization, you may find it practical to exercise a somewhat different or more limited set of functions. Each of the functions listed above has a set of subfunctions related to it, and your group may focus on some of those. For example, your emergency response focus may relate to efforts such as:
The management and distribution of donations.
The logistics of providing needed resources.
The temporary conversion of a manufacturing process to provide emergency supplies.
How to coordinate with other organizations to provide mass care.
How your employees respond to an internal emergency. The variations are, of course, endless. However your entity is organized, the point is that your exercise program should identify the applicable functions and emphasize testing the operational procedures within those functionsregardless of the type of emergency. Page 1.8 Exercise Design UNIT 1: INTRODUCTION TO EXERCISE DESIGN Activity: Needs Assessment Activity Below is a job aid to help you assess your organization’s exercise needs. Use this tool to analyze where you may wish to focus your organization’s exercise design efforts. In completing this needs assessment, you may wish to consult such resources as planning documents, demographic or corporate data, maps, and training records. (Note: This assessment form also appears as Job Aid 1 in Appendix A.) 1. Hazards List the various hazards in your community or organization. What risks are you most likely to face? You can use the following checklist as a starting point. Note: If your community has already conducted a hazard analysis, that is the best resource.              Exercise Design Airplane crash Dam failure Drought Epidemic (biological attack) Earthquake Fire/Firestorm Flood Hazardous material spill/release Hostage/Shooting Hurricane Landslide/Mudslide Mass fatality incident Radiological release              Sustained power failure Terrorism Tornado Train derailment Tsunami Volcanic eruption Wildfire Winter storm Workplace violence Other ______________________ Other ______________________ Other ______________________ Other ______________________ Page 1.9 UNIT 1: INTRODUCTION TO EXERCISE DESIGN Activity: Needs Assessment (Continued) 2. Secondary Hazards What secondary effects from those hazards are likely to impact your organization?  Communication system breakdown  Power outages  Transportation blockages  Business interruptions  Mass evacuations/displaced population  Overwhelmed medical/mortuary services  Other ________________________  Other ________________________  Other ________________________  Other ________________________  Other ________________________ 3. Hazard Priority What are the highest priority hazards? Consider such factors as:







Frequency of occurrence. Relative likelihood of occurrence. Magnitude and intensity. Location (affecting critical areas or infrastructure). Spatial extent. Speed of onset and availability of warning. Potential severity of consequences to people, critical facilities, community functions, and property. Potential cascading events (e.g., damage to chemical processing plant, dam failure). #1 Priority hazard: #2 Priority hazard: #3 Priority hazard: Page 1.10 Exercise Design UNIT 1: INTRODUCTION TO EXERCISE DESIGN Activity: Needs Assessment (Continued) 4. Area What geographic area(s) or facility location(s) is(are) most vulnerable to the high priority hazards? 5. Plans and Procedures What plans and proceduresemergency response plan, contingency plan, operational plan, standard operating procedures (SOPs) will guide your organization’s response to an emergency? 6. Functions What emergency management functions are most in need of rehearsal? (e.g., What functions have not been exercised recently? Where have difficulties occurred in the past?) You can use the following checklist as a starting point.         Exercise Design Alert Notification (Emergency Response) Warning (Public) Communications Coordination and Control Emergency Public Information (EPI) Damage Assessment Health and Medical Individual/Family Assistance  Public Safety     Public Works/Engineering Transportation Resource Management Continuity of Government or Operations    Other ___________________________ Other ___________________________ Other ___________________________ Page 1.11 UNIT 1: INTRODUCTION TO EXERCISE DESIGN Activity: Needs Assessment (Continued) 7. Participants Who (agencies, departments, operational units, personnel) needs to participate in an exercise? For example:





8. Have any entities updated their plans and procedures? Have any changed policies or staff? Who is designated for emergency management responsibility in your plans and procedures? With whom does your organization need to coordinate in an emergency? What do your regulatory requirements call for? What personnel can you reasonably expect to devote to developing an exercise? Program Areas Mark the status of your emergency program in these and other areas to identify those most in need of exercising. New Updated Exercised Used in Emergency N/A Emergency Plan Plan Annex(es) Standard Operating Procedures Resource List Maps, Displays Reporting Requirements Notification Procedures Mutual Aid Pacts Policy-Making Officials Coordinating Personnel Operations Staff Volunteer Organizations EOC/Command Center Communication Facility Page 1.12 Exercise Design UNIT 1: INTRODUCTION TO EXERCISE DESIGN Activity: Needs Assessment (Continued) New Updated Exercised Used in Emergency N/A Warning Systems Utility Emergency Preparedness Industrial Emergency Preparedness Damage Assessment Techniques Other: 9. Past Exercises If your organization has participated in exercises before, what did you learn from them, and what do the results indicate about future exercise needs? For example, consider the following questions:




Who participated in the exercise, and who did not? To what extent were the exercise objectives achieved? What lessons were learned? What problems were revealed, and what is needed to resolve them? What improvements were made following past exercises, and have they been tested? Exercise Design Page 1.13 UNIT 1: INTRODUCTION TO EXERCISE DESIGN Summary and Transition This unit provided an overview of the benefits organizations derive from exercising. Unit 2 discusses the elements of a comprehensive exercise program and the progressive activities that make up a comprehensive program. Reference Library For More Information
FEMA Preparedness, Training, and Exercises, Exercise FAQs: www.fema.gov/pte/faq.htm.
Environmental Protection Agency’s (EPA) Preparedness for Response Exercise Program: www.epa.gov/superfund/programs/er/training/prep/prepexer.htm.
U.S. Department of Justice (DOJ), Office for Domestic Preparedness, Exercises: www.ojp.usdoj.gov/odp/exercises/state.htm.
Oak Ridge Associated Universities (in conjunction with U.S. Department of Energy (DOE)), Emergency Management Laboratory, What Would You Do If It Happened to You?: www.orau.gov/eml/exercise.htm.
Occupational Safety and Health Administration, Emergency Preparedness and Response: www.osha.gov/SLTC/smallbusiness/sec10.html. Page 1.14 Exercise Design UNIT 1: INTRODUCTION TO EXERCISE DESIGN Check Knowledge Check Carefully read each question and all of the possible answers before selecting the most appropriate response for each test item. Circle the letter corresponding to the answer you have chosen. 1. Research has shown that: a. Exercises are the best way to teach employees new skills. b. Extended lectures are an effective alternative to exercises. c. When possible, it is more effective to use real (rather than simulated) emergencies to test response procedures. d. People usually respond to an emergency in the way that they have trained. 2. Through exercising, organizations can reveal planning weaknesses and gaps in resources. a. True b. False 3. A good reason to exercise is to reduce the need for organizational coordination and communication. a. True b. False 4. The focus of an exercise should be on eliminating problems before an actual emergency occurs. a. True b. False 5. An exercise has value only when it leads to improvement. a. True b. False 6. In planning exercises, the main emphasis should be on the organization’s: a. b. c. d. Vulnerability to natural hazards. Vulnerability to manmade hazards (e.g., terrorism). Ability to effectively carry out response and recovery functions. Ability to respond to specific types of emergencies. Exercise Design Page 1.15 UNIT 1: INTRODUCTION TO EXERCISE DESIGN Answers Knowledge Check (Continued) 1. 2. 3. 4. 5. 6. Page 1.16 d a b a a c Exercise Design Unit 2: Comprehensive Exercise Program UNIT 2 COMPREHENSIVE EXERCISE PROGRAM Introduction In any discussion of emergency preparedness, the emphasis is on a comprehensive exercise program, made up of progressively complex exercises, each one building on the previous one, until the exercises are as close to reality as possible. This unit provides an overview of five main types of exercise activities that make up a comprehensive exercise program. Unit 2 Objectives After completing this unit, you should be able to:
Identify the basic components of a comprehensive exercise program.
Explain the importance of designing a comprehensive and progressive exercise program to meet the needs of your organization or community. Progressive Exercising A progressive program has several important characteristics: Exercise Design
The exercise program involves the efforts and participation of various entitieswhether departments, organizations, or agencies. Through the involvement of multiple entities, the program allows the involved organizations to test, not only their implementation of emergency management procedures, but their coordination with each other in the process.
The program is carefully planned to achieve identified goals.
It is made up of a series of increasingly complex exercises.
Each successive exercise builds upon the previous one until mastery is achieved. Page 2.1 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Progressive Exercising (Continued) Broad Commitment When a community or an organization engages in a progressive exercise program, the program needs to be comprehensive. A community program must consider every type of responding agency and organization in the community. Communities are composed of more than police, fire, and public works. The following entities have requirements to exercise as well:
Hospitals
Airports, chemical, and nuclear facilities, and other regulated organizations
Volunteer agencies and organizations in the private sector that contribute services, materials, and personnel to the response and recovery effort
Work sitespublic or privatethat may be vulnerable to significant emergency events A progressive exercise program, therefore, requires a commitment from various agencies and organizations to participate in increasingly challenging exercises over a period of time, to address the larger emergency management system rather than a single problem. The same is true when a single organization engages in a progressive exercise program. It must consider the role of each department and each function that will be involved in responding to and recovering from an emergency event, and it must secure the commitment of all of those elements to a sequence of progressive internal and external exercises that will build a coordinated, effective response. Careful Planning Exercises require careful planning around clearly identified goals. Only through identifying exercise goals, then designing, developing, conducting, and analyzing the results can those who are responsible for emergency operations be sure of what works—and what does not. Page 2.2 Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Progressive Exercising (Continued) Increasing Complexity Exercises should be organized to increase in complexityfor example, from tabletop discussions to functional exercises to a full-scale exercise. Each type of exercise builds on previous exercises using more sophisticated simulation techniques and requiring more preparation time, personnel, and planning. Rushing into a full-scale exercise too quickly can open the door to potential failure because shortfalls have not been identified through less complicated and less expensive exercises. Success Breeds Success An important advantage of building incrementally to a full-scale exercise is that successful exercise experiences breed new successes:
Officials and stakeholders are more willing to commit resources.
Personnel are more motivated and look forward to the next exercise.
Confidence increases.
Operating skills improve. Who Participates? For a community-wide exercise program, the jurisdiction determines what agencies, organizations, and stakeholders participate in each exercise. Participants are further determined by the nature and size of the exercise. Larger exercises would include all of the participants who would have responsibilities in a real emergency. Smaller exercises, which focus on a limited aspect of the emergency plan, would limit the number of participants. Exercise Design Page 2.3 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Who Participates? (Continued) The same is true of exercises conducted by a particular organization. For example, let’s look at the case of a beer or soft drink bottler that during disasters converts its production line over to bottling water for mass care. This organization might design exercises to test procedures for:
Coordination with jurisdiction officials.
Managerial decision making on when to convert, how much of the line to convert, and when to convert back.
Internal notifications.
Line personnel responsibilities.
Temporary facility changes.
Coordination with suppliers.
Product distribution.
Transitioning back to regular production.
Documentation. In either casewhether the exercises involve an entire community or a more limited populationthe nature of the exercise somewhat determines the participants. On one end of the spectrum, a tabletop exercise might involve only key decision makers. An exercise to test particular functions would limit its participants to those functions. And a full-scale exercise might involve the entire community or the whole facility. Some types of exercises have additional participant requirements. For example, a functional exercise involves not only players but simulators, controllers, and evaluators. Page 2.4 Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? There are five main types of activities in a comprehensive exercise program:
Orientation seminar
Drill
Tabletop exercise
Functional exercise
Full-scale exercise As we have discussed, these activities build from simple to complex, from narrow to broad, from least expensive to most costly to implement, from theoretical to realistic. When carefully planned to achieve specified objectives and goals, this progression of exercise activities provides an important element of an integrated emergency preparedness system. Orientation Seminar Purpose As the name suggests, the orientation seminar is an overview or introduction. Its purpose is to familiarize participants with roles, plans, procedures, or equipment. It can also be used to resolve questions of coordination and assignment of responsibilities. Characteristics Key characteristics of the orientation seminar are summarized in the table on the next page. Exercise Design Page 2.5 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? (Continued) Orientation Seminar Characteristics Format The orientation seminar is a very low-stress event, usually presented as an informal discussion in a group setting. There is little or no simulation. (For this reason, orientations do not qualify as FEMA-recognized exercises.) A variety of seminar formats can be used, including:





Applications Lecture. Discussion. Slide or video presentation. Computer demonstration. Panel discussion. Guest lecturers. The orientation seminar can be used for a wide variety of purposes, including:




Discussing a topic or problem in a group setting. Introducing something new (e.g., policies and plans). Explaining existing plans to new people (e.g., newly elected officials or executives need an explanation of the EOP and their role at the EOC; new employees need an orientation to operational plans as they relate to emergencies). Introducing a cycle of exercises or preparing participants for success in more complex exercises. Motivating people for participation in subsequent exercises. Leadership Orientations are led by a facilitator, who presents information and guides discussion. The facilitator should have some leadership skills, but very little other training is required. Participants A seminar may be cross-functionalinvolving one or two participants for each function or service being discussed (e.g., management, policy, coordination, and operations staff). Or, it may be geared to several people from a single agency or department. Facilities A conference room or any other fixed facility may be used, depending on the purposes of the orientation. Time Orientations should last a maximum of 1 to 2 hours. Preparation An orientation is quite simple to prepare (two weeks’ preparation time is usually sufficient) and conduct. Participants need no previous training. Page 2.6 Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? (Continued) Conducting an Orientation There are no cut-and-dried rules for an effective orientation; its purpose will determine its format. Below are a few helpful guidelines for conducting a seminar. Orientation Seminar Guidelines
Be creative. You can use various discussion and presentation methods. Think of interesting classes that you have attended in other subjects, and borrow the techniques of good teachers and presenters. For example, you might call on people one by one to give ideas, plan a panel discussion, hold a brainstorming session, present case studies for problem solving, or give an illustrated lecture.
Get organized and plan ahead. Even though orientation seminars are less complex than other activities, it is no time to “wing it.”
Be ready to facilitate a successful orientation seminar. Discourage long tirades, keep exchanges crisp and to the point, focus on the subject at hand, and help everyone feel good about being there. Drills Purpose A drill is a coordinated, supervised exercise activity, normally used to test a single specific operation or function. With a drill, there is no attempt to coordinate organizations or fully activate the EOC. Its role in an exercise program is to practice and perfect one small part of the response plan and help prepare for more extensive exercises, in which several functions will be coordinated and tested. The effectiveness of a drill is its focus on a single, relatively limited portion of the overall emergency management system. It makes possible a tight focus on a potential problem area. Characteristics Key characteristics of drills are summarized in the table on the next page. Exercise Design Page 2.7 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? (Continued) Drill Characteristics Format A drill involves actual field or facility response for an EOC operation. It should be as realistic as possible, employing any equipment or apparatus for the function being drilled. Applications Drills are used to test a specific operation. They are also used to provide training with new equipment, to develop new policies or procedures, or to practice and maintain current skills. Drills are a routine part of the daily job and organizational training in the field, in a facility, or at the EOC. Some examples of drills run by different organizations are listed below:







EOC: Call down procedures Public works: Locating and placing road barriers under time constraints Public health and safety: Site assessment and sampling Red Cross: Locating specific types of blood within a time constraint Military: Activation and mobilization drill Airport: Fire Department response to the furthest part of a runway within a given time Chemical plant: Evacuation and isolation of spill area and valve system shutoff Private sector resource provider: Warehouse readiness drill Leadership A drill can be led by a manager, supervisor, department head, or exercise designer. Staff must have a good understanding of the single function being tested. Participants The number of participants depends on the function being tested. Coordination, operations, and response personnel could be included. Facilities Drills can be conducted within a facility, in the field, or at the EOC or other operating center. Time ½ to 2 hours is usually required. Preparation Drills are one of the easiest kinds of exercise activities to design. Preparation may take about a month. Participants usually need a short orientation beforehand. Page 2.8 Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? (Continued) Conducting a Drill How a drill is conducted varies according to the type of drillranging from simple operational procedures to more elaborate communication and command post drills. For example, a command post drill would require participants to report to the drill site, where a “visual narrative” would be displayed in the form of a mock emergency. Equipment, such as vans, command boards, and other needed supplies would be made available. Given the variety of functions that may be drilled, there is no set way to run a drill. However, some general guidelines are given below. Drill Guidelines Exercise Design
Prepare. If operational procedures are to be tested, review them beforehand. Review safety precautions.
Set the stage. It’s always good to begin with a general briefing, which sets the scene and reviews the drill purpose and objectives. Some designers like to set the scene using films, slides, or videotapes.
Monitor the action. After a drill has been started, it will usually continue under its own steam. If you find that something you wanted to happen is not happening, however, you might want to insert a message to trigger that action. (We’ll learn more about messages later on.) Page 2.9 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? (Continued) Tabletop Exercise Purpose A tabletop exercise is a facilitated analysis of an emergency situation in an informal, stress-free environment. It is designed to elicit constructive discussion as participants examine and resolve problems based on existing operational plans and identify where those plans need to be refined. The success of the exercise is largely determined by group participation in the identification of problem areas. Characteristics There is minimal attempt at simulation in a tabletop exercise. Equipment is not used, resources are not deployed, and time pressures are not introduced. Key characteristics of the tabletop exercise are summarized in the table on the next page. We will discuss how to conduct a tabletop exercise in Unit 5. Page 2.10 Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? (Continued) Tabletop Exercise Characteristics Format The exercise begins with the reading of a short narrative, which sets the stage for the hypothetical emergency. Then, the facilitator may stimulate discussion in two ways:

Problem statements: Problem statements (describing major or detailed events) may be addressed either to individual participants or to participating departments or agencies. Recipients of problem statements then discuss the actions they might take in response. Simulated messages: These messages are more specific than problem statements. Again, the recipients discuss their responses. In either case, the discussion generated by the problem focuses on roles (how the participants would respond in a real emergency), plans, coordination, the effect of decisions on other organizations, and similar concerns. Often maps, charts, and packets of materials are used to add to the realism of the exercise. Applications Tabletop exercises have several important applications. They:



Lend themselves to low-stress discussion of coordination and policy. Provide a good environment for problem solving. Provide an opportunity for key agencies and stakeholders to become acquainted with one another, their interrelated roles, and their respective responsibilities. Provide good preparation for a functional exercise. Leadership A facilitator leads the tabletop discussion. This person decides who gets a message or problem statement, calls on others to participate, asks questions, and guides the participants toward sound decisions. Participants The objectives of the exercise dictate who should participate. The exercise can involve many people and many organizationsessentially anyone who can learn from or contribute to the planned discussion items. This may include all entities that have a policy, planning, or response role. Facilities A tabletop exercise requires a large conference room where participants can surround a table. Time A tabletop exercise usually lasts from 1 to 4 hours but can be longer. Discussion times are open-ended, and participants are encouraged to take their time in arriving at in-depth decisionswithout time pressure. When the time is up, the activity is concluded. Although the facilitator maintains an awareness of time allocation for each area of discussion, the group does not have to complete every item for the exercise to be a success. Preparation It typically takes about a month to prepare for a tabletop exercise. Preparation also usually requires at least one orientation and sometimes one or more drills. Exercise Design Page 2.11 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? (Continued) Functional Exercises Purpose A functional exercise is a fully simulated interactive exercise that tests the capability of an organization to respond to a simulated event. The exercise tests multiple functions of the organization’s operational plan. It is a coordinated response to a situation in a time-pressured, realistic simulation. Characteristics A functional exercise focuses on the coordination, integration, and interaction of an organization’s policies, procedures, roles, and responsibilities before, during, or after the simulated event. Key characteristics of a functional exercise are summarized in the following table. We will discuss how to conduct a functional exercise in Unit 6. Page 2.12 Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? (Continued) Functional Exercise Characteristics Format Applications This is an interactive exercise—similar to a full-scale exercise without the equipment. It simulates an incident in the most realistic manner possible short of moving resources to an actual site. A functional exercise is:
Geared for policy, coordination, and operations personnelthe “players” in the exercise—who practice responding in a realistic way to carefully planned and sequenced messages given to them by “simulators.” The messages reflect ongoing events and problems that might actually occur in a real emergency.
A stressful exercise because players respond in real time, with on-the-spot decisions and actions. All of the participants’ decisions and actions generate real responses and consequences from other players.
Complex—Messages must be carefully scripted to cause participants to make decisions and act on them. This complexity makes the functional exercise difficult to design. Functional exercises make it possible to test several functions and exercise several agencies or departments without incurring the cost of a full-scale exercise. A functional exercise is always a prerequisite to a full-scale exercise. In some instances, taking part in a functional exercise may serve as a full-scale exercise for a participating organization (e.g., a hospital may conduct its own full-scale exercise as part of a community-based functional exercise). Leadership and Participants Functional exercises are complex in their organization of leadership and the assignment of roles. The following general roles are used:



Facilities Exercise Design Controller: Manages and directs the exercise Players: Participants who respond as they would in a real emergency (Players should include policy makers; may include coordinators and operational personnel directing field activities.) Simulators: Assume external roles and deliver planned messages to the players Evaluators: Observers who assess performance It is usually conducted in the EOC or other operating center. Ideally, people gather where they would actually operate in an emergency. Players and simulators are often seated in separate areas or rooms. Realism is achieved by the use of telephones, radios, televisions, and maps. Page 2.13 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? (Continued) Functional Exercise Characteristics (Continued) Time A functional exercise requires from 3 to 8 hours, although it can run a full day or even longer. Preparation Plan on 6 to 18 months or more to prepare for a functional exercise, for several reasons:



Page 2.14 Staff members need considerable experience with the functions being tested. The exercise should be preceded by lower-level exercises, as needed. The controller, evaluators, and simulators require training. The exercise may require a significant allocation of resources and a major commitment from organizational leaders. Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? (Continued) Full-Scale Exercise Purpose A full-scale exercise simulates a real event as closely as possible. It is an exercise designed to evaluate the operational capability of emergency management systems in a highly stressful environment that simulates actual response conditions. To accomplish this realism, it requires the mobilization and actual movement of emergency personnel, equipment, and resources. Ideally, the full-scale exercise should test and evaluate most functions of the emergency management plan or operational plan. Characteristics A full-scale exercise differs from a drill in that it coordinates the actions of several entities, tests several emergency functions, and activates the EOC or other operating center. Realism is achieved through:
On-scene actions and decisions.
Simulated “victims.”
Search and rescue requirements.
Communication devices.
Equipment deployment.
Actual resource and personnel allocation. Key characteristics of full-scale exercises are summarized in the table on the next page. We will discuss how to conduct a full-scale exercise in Unit 7. Exercise Design Page 2.15 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM What Activities Are Included? (Continued) Full-Scale Exercise Characteristics Format The exercise begins with a description of the event, communicated to responders in the same manner as would occur in a real event. Personnel conducting the field component must proceed to their assigned locations, where they see a “visual narrative” in the form of a mock emergency (e.g., a plane crash with victims, a “burning” building, a simulated chemical spill on a highway, or a terrorist attack). From then on, actions taken at the scene serve as input to the simulation taking place at the EOC or operating center. Applications Full-scale exercises are the ultimate in the testing of functionsthe “trial by fire.” Because they are expensive and time consuming, it is important that they be reserved for the highest priority hazards and functions. Leadership and Participants One or more controllers manage the exercise, and evaluators are required. All levels of personnel take part in a full-scale exercise:



Policy personnel Coordination personnel Operations personnel Field personnel Facilities The event unfolds in a realistic setting (e.g., a plane crash at an airport, a terrorist attack at a public venue). The EOC or other operating center is activated, and field command posts may be established. Time A full-scale exercise may be designed to be as short as 2 to 4 hours, or to last as long as 1 or more days. Preparation Preparation for a full-scale exercise requires an extensive investment of time, effort, and resources—1 to 1½ years to develop a complete exercise package. This timeframe includes multiple drills and preparatory tabletop and functional exercises. In addition, personnel and equipment from participating agencies must be committed for a prolonged period of time. Page 2.16 Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Comparing the Five Activities Each of the five activities just described plays an important part in the overall exercise program. The following chart lists some of reasons for conducting each type of activity. Key characteristics of each type of exercise are shown in the table on the next page. Reasons to Conduct Exercise Program Activities Orientation Drill Tabletop Exercise Functional Exercise Full-Scale Exercise No previous exercise Assess equipment capabilities Practice group problem solving Evaluate a function Assess and improve information analysis No recent operations Test response time Promote executive familiarity with emergency management plan Observe physical facilities use Assess and improve interagency cooperation New plan Personnel training Assess plan coverage for a specific case study Reinforce established policies and procedures Support policy formulation New procedures Assess interagency cooperation Assess plan coverage for a specific risk area Assess hospital preparedness Assess negotiation procedures New staff, leadership Verify resource and staffing capabilities Examine staffing contingencies Test seldom-used resources Test resource and personnel allocation New nuclear facility Test group message interpretation Measure resource adequacy Direct media attention New industrial risk Assess interagency or interdepartmental coordination Assess and strengthen interjurisdictional or interorganizational relations Assess and strengthen interjurisdictional or interorganizational relations Exercise Design Observe information sharing Assess personnel and equipment locations Train personnel in negotiation Test equipment capabilities Page 2.17 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Comparing the Five Activities (Continued) Key Characteristics The following table briefly compares the key characteristics of the five types of exercise program activities. Comparison of Key Activity Characteristics Format Orientation Drill Informal discussion in group setting Actual field or facility response Various presentation methods Actual equipment Tabletop Exercise Functional Exercise Full-Scale Exercise Narrative presentation Interactive, complex Realistic event announcement Problem statements or simulated messages Players respond to messages (events/problems) provided by simulators. Personnel gather at assigned site Group discussion No time pressures Realistic but no actual equipment. Visual narrative (enactment) Actions at scene serve as input to EOC simulation Conducted in real time; stressful Leaders Facilitator Manager, supervisor, department head, or designer Facilitator Controller Controller(s) Participants Single agency/ department, or crossfunctional Personnel for the function being tested Anyone with a policy, planning, or response role for the type of situation used Players (policy, coordination, and operations personnel) All levels of personnel (policy, coordination, operations, field) Simulators Evaluators Facilities Time Page 2.18 May include coordination, operations, response personnel Evaluators Conference room Facility, field, or EOC Large conference room EOC or other operating center (multiple rooms) Realistic setting 1–2 hours ½–2 hours 1–4 hours or longer 3–8 hours or longer 2 hours to 1 or more days EOC or other operating center Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Comparing the Five Activities (Continued) Comparison of Key Activity Characteristics (Continued) Preparation Orientation Drill Simple preparation, 2 weeks Easy to design, 1 month Participants need orientation Exercise Design Tabletop Exercise 1 month preparation Preceded by orientation and 1 or more drills Functional Exercise Complex, 6–18 months preparation Preceded by simpler exercises Significant allocation of resources Full-Scale Exercise Extensive time, effort, resources 1–1½ years development Including preparatory drills, tabletops, functional exercises Page 2.19 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Building an Exercise Program As you have seen, a progressive exercise program involves the combined efforts of many agencies, departments, or other entities in a series of activities that increase in complexity until mastery is achieved. Building an exercise program is a little like planning a single exerciseexcept that the activities take place on a much larger scale. Plans are developed by a team and are based on a careful examination of the operating plan. The development of an exercise program has many facets, including:
Analysis of capabilities and costs.
Scheduling of tasks.
Public relations efforts.
Development of a long-term plan. Careful work on the long-term plan will carry over into the design of individual exercises. The Planning Team A comprehensive exercise plan requires the combined efforts of many people. For a community program, the team should consist of representatives from every major government agency in the jurisdiction and from private and volunteer organizations large enough to have exercise mandates: Page 2.20
Fire department
Sheriff
Public works
Hospital
Airport
Schools
Communications
Volunteer organizations Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Building an Exercise Program (Continued) In a private or volunteer organization that is planning an exercise program, the team would be similarly organized, with representatives of all major functions and departments. The emergency manager and other emergency personnel (or the person responsible for the organization’s emergency response effort) would take the lead, and the representatives would then meet to analyze what they need to do to support one another. Often organizations can meet the exercise needs of more than one agency at a time. This teamwork can help establish important relationships among participating organizations. Later, members of the team can also serve on exercise design teams to design individual exercises. Goal Setting Because a comprehensive exercise program usually extends over several months, it is important to set long-term goals or develop a mission statement. Without this, the program is likely to lack focus and continuity. Schedule and Sequence When these preliminary steps (organizing the team and establishing a mission statement and goals) have been taken, the hard work of drawing up a plan can take place. Developing the exercise program plan involves: 1. Laying out a series of exercises that can meet the needs of the various participating entities. 2. Organizing them into a workable sequence and time schedule. Exercise Design Page 2.21 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Building an Exercise Program (Continued) Plan Format An exercise program plan can use any format, but it should include the following elements:
A timeframe
A problem statement
Long-range goal(s)
Functional objectives
A schedule
Exercise descriptions, including: • • • • Type of exercise. Participants. Purpose. Rationale. A sample plan format is shown on the next page. This is a hypothetical example of one community’s exercise plan. Page 2.22 Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Building an Exercise Program (Continued) Plan Format Sample Plan: Comprehensive Exercise Program Note: During the previous year, several tabletops and functional exercises were held to test weaknesses in Communications, Alert and Notification, and Individual/Family Assistance. The series of exercises might take less time in some communities. Timeframe The exercise program extends over an 18-month period. Present Problems This program has been formulated to address problems arising as a result of rapid population growth. According to experts, possibilities for a mass casualty incident are increasing. Personnel involved in the functional areas listed below have not been tested in the last year. Long-Range Goal To work toward a full-scale exercise testing all important functions in the context of a mass casualty incident. This will satisfy FEMA requirements and full-scale exercise requirements for the hospital and airport, by involving these agencies. Functions to be Tested Health and Medical, Public Information, Coordination and Control (EOC Operations, Incident Command)


First Month Exercise Design To determine the adequacy of plans and procedures within the following functional areas to handle a mass casualty incident: Health and Medical, Public Information, Coordination and Control (EOC Operations, Incident command). To test the ability of the above-named functional areas to communicate and coordinate their response efforts during a mass casualty incident. To test the ability to obtain adequate resources (locally and through mutual aid agreements) in the above-named functional areas to handle a mass casualty incident. Exercise: Orientation For: Emergency Management staff and heads of various agencies: Mental Health Association, State Funeral Director, County Coroner, County Fire, County Police Purpose: To review new plans and procedures for dealing with mass casualty incidents. Rationale: Inform those who are unaware of plans and gain support and additional input from department leaders. Page 2.23 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Building an Exercise Program (Continued) Plan Format Second Month Fourth Month Seventh Month Eighth Month Page 2.24 Sample Plan: Comprehensive Exercise Program Exercise: Orientation For: Emergency management staff and heads of various agencies: fire, police staff, county Public Information Officer (PIO) Purpose: To review new plans for mass casualty incidents with responders. Rationale: Gain support and additional input from first responders and acquaint them with leadership’s plans. Exercise: Training course with functional exercise. For: Responders and incident commanders; Emergency management staff; various chiefs, captains, lieutenants from fire and police; Emergency Medical Services (EMS), mental health, Radio Amateur Civil Emergency Services (RACES), funeral directors, county coroner, county PIO Purpose: To provide training in field mass casualty incident response. Rationale: This is a training session in the FEMA Field Mass Casualty Incident Response course. This course provides an excellent overview of specific needs related to a mass fatality incident. The course culminates in a functional activity. Exercise: Drill For: Fire, police, EMS, coroner, funeral directors Purpose: To set up the Incident Command System (ICS) for responding to mass fatality incidents. Rationale: Establish ICS to support needed functions and tasks. Exercise: Drill For: PIO, fire, police, Emergency Manager Purpose: To set up Joint Information Center (JIC) Rationale: Acquaint participants with the PIO function and JIC operations, test equipment and lines of communication. Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Building an Exercise Program (Continued) Plan Format Ninth Month Eleventh Month Fourteenth Month Fifteenth Month Exercise Design Sample Plan: Comprehensive Exercise Program Exercise: Drill For: Mental health, funeral directors, PIO, clergy, Emergency Manager Purpose: To set up a family assistance center. Rationale: Acquaint participants with the office equipment and test role as support to the victims’ families. Exercise: Tabletop exercise For: Incident Command, PIO, police, fire, EMS Purpose: To pull together the three functions tested in the previous drills in the context of a mass casualty incident as the result of a hotel fire. Rationale: Address and resolve potential communication and coordination problems among the Incident Command, PIO, police, fire, and EMS before the functional exercise. Exercise: Functional exercise For: Communications, coordination and control, ICS and EOC, PIO, health and medical Purpose: To test additional functions for mass fatality in the context of a plane crash: Emergency public information effectiveness, health and medical mass casualty, coordination and control, ICS, and EOC operations. Rationale: Identify preliminary shortfalls and test overall coordination before full-scale exercise. Exercise: Tabletop exercise For: Communications, coordination and control, ICS and EOC, PIO, health and medical Purpose: To correct and retest problems identified in preceding functional exercise. Rationale: Work out potential problems discovered in the previous functional exercise and make adjustments necessary before the full-scale exercise. Page 2.25 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Building an Exercise Program (Continued) Plan Format Eighteenth Month Page 2.26 Sample Plan: Comprehensive Exercise Program Exercise: Full-scale exercise: Airplane crash For: All agencies: heads of agencies and responders Purpose: To test all functions in the context of a mass casualty airplane crash. Rationale: The exercise fulfills full-scale requirements for FEMA, Federal Aviation Administration (FAA) requirements for airports, and Joint Commission on Accreditation of Healthcare Organizations (JCAHO) Certification for the hospital. Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Activity Activity: Develop a Comprehensive Exercise Program Plan Working from the needs assessment you completed for your jurisdiction or organization in the previous unit, develop a plan for a comprehensive exercise program to address those needs. Include the key elements discussed in the last section. You can use the following worksheet (which also appears as Job Aid 2 in Appendix A) in developing your plan. If this format doesn’t work for you, change it to meet your needs. Comprehensive Exercise Program Planning Worksheet Timeframe: Present Problems: Long-Range Goal: Functional Objectives: Month: Exercise: For: Purpose: Rationale: Exercise Design Page 2.27 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Activity: Develop a Comprehensive Exercise Program Plan (Continued) Month: Exercise: For: Purpose: Rationale: Month: Exercise: For: Purpose: Rationale: Month: Exercise: For: Purpose: Rationale: Month: Exercise: For: Purpose: Rationale: Page 2.28 Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Activity: Develop a Comprehensive Exercise Program Plan (Continued) Month: Exercise: For: Purpose: Rationale: Month: Exercise: For: Purpose: Rationale: Month: Exercise: For: Purpose: Rationale: Month: Exercise: For: Purpose: Rationale: Exercise Design Page 2.29 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Activity: Develop a Comprehensive Exercise Program Plan (Continued) Month: Exercise: For: Purpose: Rationale: Month: Exercise: For: Purpose: Rationale: Page 2.30 Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Summary and Transition Unit 2 provided an overview of the five main types of exercise activities that make up a comprehensive exercise program. Unit 3 provides general information on the exercise development process and illustrates how the activities in that process relate to one another. Reference Library For More Information
The FEMA Comprehensive Exercise Program: www.fema.gov/pte/section3.htm. Exercise Design Page 2.31 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Check Knowledge Check Carefully read each question and all of the possible answers before selecting the most appropriate response for each test item. Circle the letter corresponding to the answer you have chosen. 1. In a progressive exercise program, the exercises: a. b. c. d. Have a consistent format but are conducted with increasing frequency. Are organized to increase in complexity. Are organized to decrease in complexity. Are sponsored on a rotating basis by different organizations. 2. A likely cause of exercise failure is: a. b. c. d. Running too many drills and functional exercises. Conducting orientations and drills before functional exercises. Rushing into a full-scale exercise before the organization is ready. Basing the selection of participants on the nature of the exercise. 3. Which statement is true of an orientation? a. b. c. d. It requires field sites and actual equipment. It may be used to introduce or explain plans and policies. It involves a controller, simulators, and evaluators. It is used to test a specific operation. 4. Which statement is true of a drill? a. b. c. d. It is best conducted in a conference room. It involves a controller, simulators, and evaluators. It is used to test a specific operation. It is aimed primarily at policy makers and decision makers. 5. Which statement is true of a tabletop exercise? a. b. c. d. It involves a highly realistic simulation. It involves a controller, simulators, and evaluators. It requires field sites and actual equipment deployment. It is a facilitated analysis of an emergency situation. 6. Which statement is true of a functional exercise? a. b. c. d. It involves a controller, simulators, and evaluators. It is simple, informal, and stress-free. It requires field sites and actual equipment deployment. It may be used to introduce or explain plans and policies. Page 2.32 Exercise Design UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Knowledge Check (Continued) 7. Which statement is true of a full-scale exercise? a. b. c. d. It involves a highly realistic simulation. It is aimed primarily at policy makers and decision makers. It requires field sites but actual equipment remains in the shed. It is used to test a specific operation. 8. Development of an exercise program includes analysis of capabilities and costs and scheduling of tasks. a. True b. False 9. The planning for an exercise program should be done primarily by the emergency manager or whoever is responsible for the organization’s emergency response effort. a. True b. False 10. Which statement is NOT true of progressive exercise programs? a. They allow participating organizations to test both implementation of procedures and coordination with each other. b. Each successive exercise builds upon the previous one until mastery is achieved. c. The entire program is planned to achieve identified goals. d. Very little commitment is required from participating agencies because they can opt in or out at any time. Exercise Design Page 2.33 UNIT 2: COMPREHENSIVE EXERCISE PROGRAM Answers Knowledge Check (Continued) 1. b 2. c 3. b 4. c 5. d 6. a 7. a 8. a 9. b 10. d Page 2.34 Exercise Design Unit 3: The Exercise Process UNIT 3 THE EXERCISE PROCESS Introduction In the previous unit, we took the broad viewthe planning of an entire comprehensive exercise program. In this unit, we will take a step closer and look at what goes into planning and implementing a single exercise within that program. When an exercise proceeds smoothly, it all looks so easy! But there is far more to it than the time spent in the exercise itself. A great deal of thought and planning preceded the exercise, and more work will follow. An exercise is not an independent activity with clearly marked beginning and ending points. Rather, it can be seen as part of a complex process that involves a number of accomplishments and tasks. All of those tasks are interrelated; they affect not only the success of the current exercise but the design and success of future exercises. It will be much easier to understand and visualize the individual activities if you can first see how they fit into the overall process. This unit presents an overview of the main exercise activities and their relationships to one another. It also discusses some important aspects of laying the groundwork for an exercise. In later units, we will focus more closely on particular aspects of the design process. Unit 3 Objectives After completing this unit, you should be able to: Exercise Design
Identify the five major accomplishments in designing and implementing an exercise.
Describe the organization of an exercise design team.
Define the purpose of the four exercise documents. Page 3.1 UNIT 3: THE EXERCISE PROCESS The Big Picture In preparation for launching an exercise program and designing individual exercises, it is important to have a clear vision of the entire exercise process. There are a number of ways to visualize the exercise process. Let’s look briefly at three graphic representations of the process: Organized by task sequence, organized by task categories and phase, and organized by major accomplishments. Each of them helps clarify the overall process. Sequence of Main Tasks In the following graphic, the main tasks are shown in their approximate sequence. This chart may help you get a good mental picture of the entire sequence. It’s also a good place to start in creating a more detailed schedule of tasks. Sequence of Tasks for a Successful Exercise Before Review Review Plan Plan Conduct Conduct Needs Needs Assessment Assessment Send Send Exercise Exercise Directive Directive List List Major Major & & Detailed Detailed Events Events Organize Organize Design Design Team Team Determine Determine Expected Expected Actions Actions After During Write Write Narrative Narrative Page 3.2 Determine Determine Exercise Exercise Scope Scope Assess Assess Capability Capability Write Write Purpose Purpose Statement Statement Organize Organize Evaluation Evaluation Team Team Prepare Prepare Objectives Objectives Write Write Messages Messages Finalize Finalize Exercise Exercise E Enhancements nhancements Develop Develop Schedule Schedule Develop Develop Evaluation Evaluation Format Format Conduct Conduct Exercise Exercise Conduct Conduct Postexercise Post-Exercise Meeting Meeting Write Write After-Action After-Action Report Report Conduct Conduct Followup Follow-Up Activities Activities Exercise Design UNIT 3: THE EXERCISE PROCESS The Big Picture (Continued) Categories of Tasks Another way to look at the exercise process is by organizing the tasks into two dimensions:
Exercise phase (preexercise, exercise, and postexercise)
Type of task (those related to design and those related to evaluation) The following matrix illustrates this type of organization. Task Categories Preexercise Phase Design






Evaluation



Exercise Design Exercise Phase Review plan Assess capability Address costs and liabilities Gain support/issue exercise directive Organize design team Draw up a schedule Design exercise (8 design steps)

Select evaluation team leader Develop evaluation methodology Select and organize evaluation team Train evaluators



Postexercise Phase Prepare facility Assemble props and other enhancements Brief participants Conduct exercise Observe assigned objectives Document actions



Assess achievement of objectives Participate in postexercise meetings Prepare evaluation report Participate in followup activities Page 3.3 UNIT 3: THE EXERCISE PROCESS The Big Picture (Continued) Major Task Accomplishments One of the simplest ways to envision the exercise process is by major accomplishments. As shown in the graphic below, the process can be factored into five major accomplishments that make up the design cycle: 1. Establishing the base 2. Exercise development 3. Exercise conduct 4. Exercise critique and evaluation 5. Exercise followup 1. Establishing the base 5. Exercise followup 2. Exercise development 4. Exercise critique and evaluation 3. Exercise conduct Each accomplishment is the outgrowth of a set of specific tasks and subtasks (similar to those listed in the earlier models), which we’ll review shortly. The process is circular, with the results of one exercise providing input for the next. Page 3.4 Exercise Design UNIT 3: THE EXERCISE PROCESS The Big Picture (Continued) Flexibility Is Key The exercise process applies no matter what level of exercise is being designed and no matter what size organization is using it. Whether you are located in a large jurisdiction with extensive resources, a smaller community with meager resources, or a private or volunteer organization with a particular vested interest in emergency preparations, you can use this process. The underlying premise is that this process must be flexible enough to meet the unique exercise needs of the organization using it. Therefore, as you consider each task, it is important to remember this: Each task must be designed, tailored, and applied in a manner that suits your organization’s specific objectives and capabilities. Accomplishment 1: Establishing the Base Exercises are designed to motivate personnel to think or act as they would in a real event. Establishing the base is basically laying the groundwork for the exercise to ensure that motivation occurs. Getting ready for the exercise involves: 1. Reviewing the current plan: What does it tell us about ideal performancei.e., how are we supposed to implement policies and procedures in the event of an emergency? 2. Conducting a needs assessment: What are our risks and vulnerabilities, and where do we need to focus our training efforts? 3. Assessing the jurisdiction’s capability to conduct an exercise: What resources can we draw from to design and implement an exercise? 4. Defining the exercise scope: How should we limit this exercise? 5. Selecting the exercise type: What type of exercise best meets our training needs within the available resources? 6. Addressing the costs and liabilities: What will the exercise cost in terms of funding, human resources, and organizational liability? 7. Developing a statement of purpose: What do we expect to gain from the exercise? Exercise Design Page 3.5 UNIT 3: THE EXERCISE PROCESS Accomplishment 1: Establishing the Base (Continued) 8. Gain support and announce the exercise: How can we obtain the support of those in authority and then use that support to garner support among participants? Additional “groundwork” tasks include organizing a design team and developing a work plan and schedule. Establishing the base need not take a long time and can often be done largely at your desk or with the help of a few other people. We’ll revisit some of these tasks shortly. Accomplishment 2: Exercise Development Exercisesparticularly tabletop, functional, and full-scale exercisesare developed by following an eight-step process: 1. Assess needs. 2. Define scope. 3. Write a statement of purpose. 4. Define objectives. 5. Compose a narrative. 6. Write major and detailed events. 7. List expected actions. 8. Prepare messages. Page 3.6 Exercise Design UNIT 3: THE EXERCISE PROCESS Accomplishment 2: Exercise Development (Continued) These eight steps will be the focus of Unit 4. Duplicate Steps? Performing a needs assessment, defin...
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