U.S.

DEPARTMENT OF HOMELAND SECURITY

OFFICE OF STATE AND LOCAL GOVERNMENT COORDINATION AND PREPAREDNESS OFFICE FOR DOMESTIC PREPAREDNESS

Homeland Security Exercise and Evaluation Program

Volume IV: Sample Exercise Documents and Formats

Table of Contents
1) Introduction 2) Program Management a) Exercise Planning Workshop (EPW) i) Exercise Plan b) Policies c) Exercise Schedule Report 3) Planning Materials a) Exercise Planning Team b) Discussion-based Exercises i) Foundation (1) Master Task List (2) Exercise Planning Team (3) Project Management Timeline (Discussion-based) (4) Discussion-based Exercise Planning Timeline (5) Planning Conference Materials (a) Initial Planning Conference (b) Final Planning Conference ii) Design and Development (1) Scope (2) Scenario (a) Scenario Variable Matrix (3) Documentation (a) Situation Manual (SITMAN) (i) Template (ii) Examples 1. Agricultural Scenario 2. Biological Scenario 3. Chemical Scenario 4. Explosive Scenario 5. Prevention Scenario 6. Radiological Scenario 7. Recovery Scenario 8. Spanish Translation (iii) Sample Appendices (iv)Document Covers (b) Presentations (i) Template (ii) Examples 1. Agricultural 2. Biological 3. Chemical 4. Explosive 5. Prevention

6. Radiological 7. Recovery Presentation (4) Media/Public Information (5) Logistics (a) Room Layouts (b) Badges (c) Name Tents (d) Table Tents (e) Invitation iii) Conduct (1) Sign-in Sheets (Player, Facilitator, etc.) (2) Signs (3) Participant Feedback Form (4) Hot Wash/Debrief iv) Evaluation (1) After Action Report (a) Letter of Transmittal (b) After Action Reports (2) Exercise Evaluation Guides (3) Lessons Learned/Best Practices v) Improvement Planning (1) Improvement Plan (2) After Action Conference c) Operations-based Exercises i) Foundation (1) Master Task List (2) Project Management Timeline (Ops-based) (3) Operations-based Exercise Planning Timeline (4) Exercise Planning Team (5) Planning Conference Materials (a) Initial Planning Conference (b) Midterm Planning Conference (c) Final Planning Conference ii) Design and Development (1) Scope (2) Scenario (a) Scenario Variable Matrix (3) Documentation (a) Exercise Plan (ExPlan) (b) Controller/Evaluator Handbook (c) Control Staff Instructions (d) Evaluation Plan (EvalPlan) (e) Master Scenario Events List (f) Sample Appendices (g) Document Covers (4) Assembly Area

(a) Deployment Timetable (b) Player Information Handout (5) Actors (a) Actor Waiver Form (b) Actor Information Sheet (c) Moulage Kit (d) Actor Tags/Labels (i) Symptomology Tags (Chemical) 1. Lewisite 2. Sarin 3. VX (ii) Contaminated Labels (iii) Deceased Labels (iv)Do Not Decon Labels (e) Hospital/Victim List (6) Media/Public Information (7) Logistics (a) Identification Badges/Labels (i) ID Badges (ii) Labels (iii) Hats and Badges Card (for Players) (b) Sign-in Sheets (Actors, Controllers, Players, etc.) (c) Signs (d) Invitation iii) Conduct (1) Exercise Briefings (2) Activity Logs (3) Participant Feedback Form iv) Evaluation (1) After Action Report (AAR) (a) AAR (b) Letters of Transmittal (2) Lessons Learned/Best Practices (3) Exercise Evaluation Guides v) Improvement Planning (1) Improvement Plan (2) After Action Conference 4) Multi-media Library a) Pictures i) Embassy Attacks ii) Emergency Medical Services iii) Fire iv) Hazardous Materials v) Khobar Towers Incident vi) Law Enforcement vii) Oklahoma City Bombing

viii) Other ix) September 11, 2001 x) Tokyo Subway b) Sound i) Effects ii) Explosions iii) Guns iv) Sirens c) Video 5) References a) Acronyms b) Definitions c) Exercise Training Courses d) Federal Exercise Programs & Resources e) Publication/Manuals f) Agent/Hazard Information i) Biological Agents ii) Chemical Agents iii) Explosives iv) Detection & Monitoring Readings g) Websites h) Reference Documents

Introduction Homeland Security Exercise and Evaluation Program (HSEEP) Volume IV: Sample Documents and Formats provides sample exercise documents and formats to be used and/or modified by exercise planners when designing and developing exercises and exercise programs. Included materials are organized consistent with the outline and contents of the other volumes in the HSEEP manual series. Contents Program Management - Contains sample materials for use in developing and managing an exercise program. Planning - Contains sample materials for designing, developing, conducting, and evaluating exercises. Multimedia Library - Contains video clips, sounds, and pictures that may be inserted into documentation or presentations to add a sense of realism. References - Contains homeland security community resources such as publications, Web sites, and acronyms/definitions. Volunteered Materials - Contains examples of documentation posted voluntarily by the planners and program managers who used them in actual exercises and exercise programs.

It is the intention that exercise planners with any level of exercise experience can use these samples. The Master Task Lists (found in HSEEP Volumes I and IV) for both discussion- and operations-based exercises support the use of these materials by chronologically listing the systematic process and action items to be accomplished during exercise planning and conduct. HSEEP Volumes I-III and V provide explanations of the materials and information regarding their use. Many of the HSEEP Volume IV individual sample items also include a brief description and/or instructions for their use. Document Modification The sample materials provided in HSEEP Volume IV represent the minimum tools necessary for planning a successful exercise. They are meant to serve as a starting point from which exercise planners should incorporate the goals and unique considerations of the exercising agency/organization/jurisdiction, thus tailoring the exercise to their specific needs. Users should keep in mind that all materials can be adapted to accommodate any exercise focus, type, scenario, or scope. They can be modified to address equally well any preparedness issues, as the HSEEP itself is an all hazards exercise design, development, and evaluation methodology. Likewise, the materials should be adaptable to any of the seven HSEEP-recognized exercise types (seminar, workshop, tabletop, game, drill, functional [FE], and full-scale [FSE]). For example, an Exercise Plan

(EXPLAN) originally developed for a FSE could be altered to meet the requirements of a FE as well. Further, the original scope or scale included in the sample exercise materials can be altered to accommodate either a larger or smaller exercise. Thus, while some materials may have been developed for a large scale exercise by a state or a federal agency, they can be modified to serve the purposes of a smaller jurisdiction or exercising corporation. The reverse is also possible, as materials from a smaller local exercise can be expanded to meet the scope and needs of a statewide or regional exercise. To facilitate modifications, HSEEP Volume IV provides sample template formats and example materials. Templates use an outline format that users can modify and tailor to meet specific needs. Example materials are finished products that demonstrate what a template product should look like when completed. Users may choose the format with which they feel most comfortable but should exercise caution when using example materials particularly those containing scenario-related information such as Situation Manuals (SITMANs) and not simply fill-in-the-blank or copy-and-paste information into a document without ensuring content accuracy and pertinence. HSEEP Volume IV materials are not disseminated in an effort to design and develop canned or boiler-plate exercises. The intent behind making these documents available to a wide audience is to lessen the burden on exercise planners who are designing and developing multiple exercises, or who have limited experience in developing exercise materials independently. Many of these materials, especially those that present an exercise scenario, should be tailored carefully to reflect the participating or affected geographical area, jurisdiction, agencies, and/or organizations. Tailoring creates a unique exercise that is custom fitted to the specific needs or attributes of the participants and provides an added dimension of exercise realism. However, it is important to remember that exercise success is based on participant actions - be they discussions or actual response activities - and not the exercise materials. The documents and materials simply support these player actions. Exceptions to Modification While all HSEEP Volume IV sample materials are designed and arranged to be adaptable and easily modified, certain documents the After Action Report (AAR), Improvement Plan (IP), and Exercise Evaluation Packets (EEPs) should remain in the same format. Whereas most exercise documentation has a generally accepted but highly flexible structure, these three items have an expressly defined format and structure and consequently, should remain in the provided formatting style. Document Sources Many of the offered materials are based on proven exercise programs, have been vetted through several organizations, and have gone through numerous iterations and revisions. Whereas it is evident that many materials derive from the same program, HSEEP Volume IV is intended to be a compilation of best practice materials from a variety of exercise programs. Likewise, although these materials are disseminated on behalf of DHS and its partner agencies, the processes and documents can be adapted to exercise programs

sponsored by other Federal agencies or any organization. Available Electronic Formats Electronic versions of HSEEP Volume IV materials are available only in Microsoft Word and PowerPoint. Volume Evolution HSEEP Volume IV materials are constantly evolving based on innovative ideas and changing conditions. In an effort to provide users with the best example materials available, new, updated, and revised materials will be posted to the DHS website as they become available. As stewards of the HSEEP, the DHS Office for Domestic Preparedness (ODP) Exercise Division will accept ideas, documentation, or innovative materials for enhancing the exercise planning process. Program users should submit volunteered materials and comments to hseep@dhs.gov or call the ODP Centralized Scheduling and Information Desk (CSID) Help Line at (800) 3686498. For Official Use Only (FOUO) The information and materials provided in HSEEP Volume IV are unclassified. However, some materials may require further restrictions once jurisdiction- or organization-specific data has been added. Exercise materials that are produced in accordance with HSEEP guidance and are deemed sensitive should be designated as For Official Use Only (FOUO). FOUO is not a classification but it does make clear to participants that the material is sensitive and should be handled with care. Examples of materials that may require FOUO designations include AARs, IPs, Master Scenario Event Lists (MSELs), and materials that include scenario information.