1 Integration: Homeland Security Exercise and Evaluation Program (HSEEP) and Radiological Emergency Preparedness Program (REPP) Technological Hazards Divisions

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Integration: Homeland Security Exercise and Evaluation Program (HSEEP)

and Radiological Emergency Preparedness Program (REPP)

Technological Hazards Divisions

December 2008

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Agenda

Background

Creating a Unified Exercise Strategy

Homeland Security Exercise and Evaluation Program

Radiological Emergency Preparedness Program

REP – HSEEP Integration

Required REP – HSEEP Synchronization

Way Forward

Challenges

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Background

“Provide policy, guidance, and standards for scheduling, uniformity in design, development, conduct, and evaluation of emergency response exercises at all levels of government”

Establish a National Exercise Program to test and evaluate preparedness plans and strategies under the circumstances of actual emergency events

Realism –use current risk and threat assessments, or based on actual past events; Simulate the incapacitation of State, local, or tribal governments Exercise conduct should be carried out with limited Notice Scenario design and exercise conduct – provide as much readiness information as

possible Special Needs – incorporate requirements of special needs populations

Multiple requests – Federal/State/local ‘integrate HSEEP and REPP to achieve efficiencies’

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Creating a Unified Exercise Strategy

The National Exercise Program (NEP):

Meets requirements laid out in Homeland Security Presidential Directive 8, Homeland Security Act of 2002 and Public Law 109-295, “Post-Katrina Emergency Management Reform Act of 2006” (PKEMRA)

Provides a national program and a multi-year planning system to focus, coordinate, plan, conduct, execute, evaluate, and prioritize national security and homeland security preparedness-related exercises activities

Works as the primary mechanism to improve delivery of Federal preparedness assistance to State and local governments strengthening preparedness capabilities of Federal, State, and local entities

Incorporates Homeland Security Exercise and Evaluation Program (HSEEP) as the policy and guidance for exercise design, conduct and evaluation

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Homeland Security Exercise & Evaluation Program

The National Exercise Program provides policy guidance making HSEEP the key pillar for homeland security preparedness exercises

HSEEP established a national standard providing

Common exercise program doctrine Common exercise project management Common ‘tools’ for exercise scheduling, planning/design, conduct,

evaluation, assessment, and corrective actions

HSEEP doctrine provides guidance for

Consistent terminology that can be used by all exercise planners A common exercise design, conduct, and evaluation process A platform for sharing information (LLIS) ‘Compliance’ mechanism for State/local/tribal use of grant funds for exercises

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Homeland Security Exercise & Evaluation Program

What HSEEP doctrine and guidance does ‘not do’

Address the complete life cycle of preparedness requirements Establish preparedness priorities Identify preparedness needs through system

trend/gap analysis Identify mission/capability gaps through analysis Identify training requirements

HSEEP misconceptions

Require a complete building block approach for each and every exercise Require strict adherence and use of the complete list of HSEEP conferences

and documents

National

Preparedness

SystemWho Does?

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Homeland Security Exercise & Evaluation Program HSEEP incorporates lessons learned and best practices from existing exercise

programs (including CSEEP and REPP) and can adapt to the full spectrum of all hazards exercises

HSEEP integrates language and concepts from;

National Response Framework (NRF) National Incident Management System (NIMS) National Preparedness Goal Universal Task List (UTL) Target Capabilities List (TCL)

Guiding principles of HSEEP: Conduct an annual Training and Exercise Plan Workshop and develop and maintain a Multi-

year Training and Exercise Plan. Plan and conduct exercises in accordance with the guidelines set forth in HSEEP Volumes I-

III and the “HSEEP Prevention Exercises” volume as applicable. Develop and submit a properly formatted After-Action Report/Improvement Plan (AAR/IP). Track and implement corrective actions identified in the AAR/IP.

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Radiological Emergency Preparedness Program

44 CFR provides criteria for review and approval of State and local radiological emergency plans and preparedness

NUREG-0654 includes 16 planning standards that provide for “reasonable assurance that public health and safety is not endangered by operation of the facility concerned”

The REP Exercise Preparation Guide provides assistance to exercise planners and evaluators in preparing for a radiological emergency response exercise.

Nearly 30 years of history, provided a foundation for development of NEP and HSEEP

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REP - HSEEP Integration What it does:

Compliance with elements of HSPD-5, HSPD-8 and PKEMRA Furthers nationwide standardization for exercise design, conduct,

evaluation, and improvement planning Integrates scheduling of REP exercises with other Federal, State, and local

exercises under the National Exercise Program 5-year Plans and Schedules Provides an opportunity to reduce Federal, State, and local exercise fatigue

by combining multiple requirements into fewer total exercises Provides a suite of standardized tools for scheduling, planning, information

sharing, evaluation/corrective action Requires active ownership by REPP, State/local/Tribal, and industry

partners in order to be successful

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REP - HSEEP Integration What it does not:

HSEEP does not establish additional exercises requirement for REPP

HSEEP does not require additional activities that will add to the cost of a REPP exercise

Require REPP to abandon existing evaluation criteria or to adopt TCL methodologies

Require new capabilities or restrict development and implementation of NUREG/REP 1 requirements.

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Consistency – leadership challenge, must be led by FPC’s, REPP Personnel (HQ and Regions), NRC (HQ and Regions)

Organize integrated TF (F/S/L/Industry) Define scope of integration Determine regulatory implications Develop integration timeline

Establish a more comprehensive, standing evaluation capability

Not REPP specific Real world as well as exercise capable

Support for ‘constructive credit’ needs of all preparedness assessments.

Standardize success criteria Training for evaluation staff

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Review, update, and align all REP & HSEEP exercise related directives

HSEEP Volumes 1- IV 44 CFR Part 350.9 NUREG-0654/FEMA-REP-1 REP Exercise Preparedness Guide

Align exercise scheduling efforts

NRC/FEMA Regional REP scheduling meetings NEP FEMA Regional TEPW

Review and Align all REP & HSEEP training courses

Utilize pilot exercises to validate integration

Palo Verde – March 2009 Browns Ferry – June 2009 San Onofre – September 2009

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Way Forward FEMA Regional Training and Exercise Planning Workshops (TEPW)

FEMA Regional CoordinationFederal Preparedness CoordinatorRegional Exercise PlannerREP Exercise PlannerCSEEP Exercise Planner

NRC/FEMA Regional REP scheduling prior to FEMA Regional TEPW TEPW Schedule

R-I 03/21/09 R-II

R-III 02/25-26/09 R-IV

R-V 02/10-11/09 R-VI 03/11/09

R-VII R-VIII

R-IX R-X

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Way Forward

Review, update, and align all REP & HSEEP exercise related training courses

HSEEP: IS 120-A Introduction to HSEEPIS 130 HSEEP Exercise Evaluation & Improvement PlanningIS 139 HSEEP Exercise DesignE/L-146/147 HSEEP G 130 Practical HSEEP Exercise Evaluation & Improvement Planning (in development)G 135 HSEEP Exercise Conduct – Operations BasedG NewHSEEP Exercise Conduct – Discussion BasedG 137 HSEEP Exercise Program Management & FoundationG 139 HSEEP Exercise Design & Development

REP:IS 331 Introduction to Radiological Emergency Preparedness Exercise EvaluationE/L 304 Practical REP Exercise Evaluator Training

Make HSEEP courses available to the REP community regionally

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Way Forward

Ongoing Steps

Review & Crosswalk HSEEP IS-130 and REP IS-331Are both IS-130 and IS-331 necessary?Does IS-331 address the HSEEP evaluation process?Do IS-130 and IS-331 complement each other?

Review & Crosswalk HSEEP G-130 and REP E/L-304Incorporate HSEEP evaluation methodology into REP E/L-304With HSEEP evaluation methodology included will REP E/L-304 meet the

requirements of HSEEP G-130?Present a modified REP E/L-304 class:

- January 2009 - Austin, TX – use REP specific drills during course presentation

- February 2009 - Harrisburg, PA – use generic drills during course presentationAdapt REP E/L-304 to meet the needs of all HSEEP & REP evaluation training

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Way Forward Palo Verde pilot exercise

HSEEP Formatted Documents EXPLAN with appropriate annexes (Control, Evaluation, Scenario, etc.)Draw information from existing documents; “Extent of Play”

HSEEP Exercise Evaluation GuideREP Exercise Evaluation CriteriaTCLTOPOFF 4 EEGs

HSEEP ToolsLLIS for sharing exercise planning documentsNxMSEL

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Challenges to Integration Federal rulemaking process and associated timeframes

REP stakeholder community engagement and acceptance

State/Local OROs, Utilities, F/S/L partners

In-depth revisions required to NUREG-0654, REP Program Manual,

REP documentation, and REP evaluation guides

Incorporate REP best practices into HSEEP documentation

Stakeholder and REP evaluator training for new REP/HSEEP policy

and guidance

Funding - Utility funded vs. DHS grant funded exercise activities

Exercise credit for real-world events and other exercise activities

outside of REP

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HSEEP & HSEEP Training Overview

Homeland Security Exercise andEvaluation Program (HSEEP)

December 2008

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Standardizes exercise design, development, conduct, and evaluation for all (National-level, Federal, State, local) exercises

Establishes common language and concepts to be adopted and used by various agencies and organizations

Meets the National Response Framework (NRF) and National Incident Management System (NIMS) goals

Synchronizes all exercises in the Nation

Provides tools and resources for States and local jurisdictions to establish self-sustaining exercise programs

Homeland Security Exercise and Evaluation Program (HSEEP)

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HSEEP addresses the range of exercise evaluation issues through a blended approach involving four related program areas:

Policy and Guidance — Providing the strategic direction for exercise and evaluation programs Nationwide

Training — Offering courses and tutorials on the many HSEEP plans, policies, and requirements

Technology — Ensuring that Federal, State, and local jurisdictions have the tools necessary to plan and implement exercise programs

Direct Support — Supporting jurisdictions across the Nation through funding, training, and other exercise support

HSEEP Components

HSEEP

Policy andGuidance

Training

Technology DirectSupport

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HSEEP VolumesVolume I: Overview and Exercise

Program Management

Volume II: Exercise Planning and Conduct

Volume III: Exercise Evaluation and Improvement Planning

Volume IV: Sample Exercise Documents and Formats

Prevention Exercises (Draft) – supports terrorism prevention exercises

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HSEEP Terminology and Methodology

Exercises allow homeland security and emergency management personnel, from first responders to senior officials, to train and practice prevention, protection, response, and recovery capabilities in a realistic but risk-free environment. Exercises are also a valuable tool for assessing and improving performance, while demonstrating community resolve to prepare for major incidents.

A consistent terminology and methodology for exercises is critical to avoiding confusion, and to ensuring that entities can exercise together seamlessly

There are seven types of exercises defined within HSEEP, each of which is either discussions-based or operations-based.

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HSEEP Exercise Types

Discussions-based Exercises familiarize participants with current plans, policies, agreements and procedures, or may be used to develop new plans, policies, agreements, and procedures.

Operations-based Exercises validate plans, policies, agreements and procedures, clarify roles and responsibilities, and identify resource gaps in an operational environment

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HSEEP Discussions-based Exercises

Seminar. A seminar is an informal discussion, designed to orient participants to new or updated plans, policies, or procedures

Workshop. A workshop resembles a seminar, but is employed to build specific products, such as a draft plan or policy

Tabletop Exercise (TTX). A tabletop exercise involves key personnel discussing simulated scenarios in an informal setting. TTXs can be used to assess plans, policies, and procedures.

Games. A game is a simulation of operations that often involves two or more teams, usually in a competitive environment, using rules, data, and procedure designed to depict an actual or assumed real-life situation.

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HSEEP Operations-based Exercises

Drill. A drill is a coordinated, supervised activity usually employed to test a single, specific operation or function within a single entity

Functional Exercise (FE). A functional exercise examines and/or validates the coordination, command, and control between various multi-agency coordination centers (e.g., emergency operation center, joint field office, etc.). A functional exercise does not involve any "boots on the ground" (i.e., first responders or emergency officials responding to an incident in real time).

Full-Scale Exercises (FSE). A full-scale exercise is a multi-agency, multi-jurisdictional, multi-discipline exercise involving functional (e.g., joint field office, emergency operation centers, etc.) and "boots on the ground" response (e.g., firefighters decontaminating mock victims).

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HSEEP Exercise Documentation

Situation Manual (SitMan)

Exercise Plan (ExPlan)

Controller and Evaluator (C/E) Handbook

Master Scenario Events List (MSEL)

Player Handbook

Exercise Evaluation Guides (EEGs)

After Action Report/Improvement Plan (AAR/IP)

The list below contains the important document types associated with most exercises (HSEEP V2)

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HSEEP Planning & After Action Conferences

Concepts and Objectives Meeting

Initial Planning Conference (IPC)

Mid-Year Planning Conference (MPC)

Master Scenario Events List (MSEL) Conference

Final Planning Conference (FPC)

After Action Conference (AAC)

The HSEEP methodology defines a variety of planningand after action conferences (depending on type

and scope of the exercise)

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HSEEP Compliance

HSEEP compliance includes four distinct performance requirements:

1. Conduct annual Training and Exercise Plan Workshop (T&EPW) and develop and maintain Multi-year Training and Exercise Plan

2. Plan and conduct exercises in accordance with guidelines in HSEEP Volumes I-III

3. Develop and submit a properly formatted After Action Report/Improvement Plan (AAR/IP)

4. Track and Implement corrective actions identified in AAR/IP

HSEEP compliance is adherence to specific HSEEP-mandated practices for exercise design, conduct, evaluation, and documentation

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Training and Exercise Plan Workshop (T&EPW)

All HSEEP compliant entities conduct a T&EPW each calendar year in which they develop a Multi-year Training and Exercise Plan, which includes:

The entities' training and exercise priorities (based on an overarching strategy and previous improvement plans).

The capabilities from the TCL that the entity will train for and exercise against A multi-year training and exercise schedule A new or updated Multi-year Training and Exercise Plan must be finalized and

implemented within 60 days of the T&EPW All scheduled exercises must be entered into the National Exercise Schedule (NEXS)

System

The Multi-Year Training and Exercise Plan must be updated on an annual basis (or as necessary) to reflect schedule changes

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Exercise Planning and Conduct

The type of exercise selected by the entity should be consistent with the entity's Multi-year Training and Exercise Plan

Exercise objectives should be based on capabilities and their associated critical tasks, which are contained within the Exercise Evaluation Guides (EEGs)

The scenarios used in exercises must be tailored toward validating capabilities, and should be based on the entity's risk/vulnerability assessment

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After-Action Reporting

After-Action Reports and Improvement Plans (AR/IPs) created for exercises must conform to HSEEP template

Draft AAR/IP must be developed based on information from the Exercise Evaluation Guides (EEGs)

Corrective actions are developed from AAR/IP recommendations

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Improvement Planning An improvement plan will include broad

recommendations from the AAR/IP organized by target capability as defined in the Target Capability List (TCL)

Corrective actions derived from an AAC are associated with the recommendations and must be linked to a capability element as defined in the TCL

Corrective actions included in the improvement plan must be measurable, must designate a projected start date/ completion date, and must be assigned to an organization and a POC within that organization

Corrective actions must be continually monitored and reviewed as part of an organizational Corrective Action Program

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Questions?

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Coordinating NEP Five-Year Schedule with Federal, Regional, and State Priorities

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Five-Year Exercise Schedule Coordination

Establish Regional-State exercise objectives and priorities Exercise mandates and requirements Existing State exercise schedules Prioritized State capabilities to exercise and evaluate Prioritized State exercise objectives

Establish Regional-State training and exercise plans and schedules based on Regional-State Priorities Current Threat Analysis NEP Implementation Plan guidance Lessons Learned from actual incidents and other exercises State prioritized input

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NEP Exercise Tiers

Tier I: White House directed, USG-wide Strategy and Policy Focus

Tier II: Federal Strategy and Policy Focus

Tier III: Other Federal Exercises Operational, Tactical or Organizational Focus

Tier IV: State, Territorial, Local, Tribal or Private Sector Focus

1 NLE4 PLE

3 Tier IIExercises

Regional or Other Federal Exercises

Non-Federal Exercises

Tier I

Tier II

Tier III

Tier IV

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REP/HSEEP Crosswalk Red

Major changes necessary - substantial effort required

Timeframe for completion >12 months

Yellow

Some changes necessary - moderate effort required

Timeframe for completion <12 months

Green

Minimal or no change needed - little effort required

Timeframe for completion <3 months

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REP/HSEEP Crosswalk - Program ManagementElement HSEEP

Requirements

REP Requirement

s

Status(R/Y/G)

Action Required

Exercise Scheduling

Training and Exercise Plan Workshop (TEPW)

Regional Annual Planning Conference

Yellow Integrate REPP planning in conjunction with FEMA Regional TEPWs (which are based on and fed by State TEPWs)

Multi-Year Training & Exercise Plan

Integrated 5-year all hazards T&E schedule

No centralized REPP equivalent

Yellow Incorporate NUREG 0654/FEMA REP 1 exercise requirements into F/S/L and regional multi-year training and exercise plans

Program Guidance HSEEP Volumes RPM &

NUREG 0654

Red Update both NUREG, REPP and HSEEP guidance for consistency

Standardize exercise terminology

Discussion Based: Seminar, TTX, Workshop, Games Operations Based: Drill, Functional, Full-Scale

Drill, TTX, Biennial FSE, Out-of-Sequence demonstrations

Green Alignment of nomenclature, incorporate into exercise directives and related planning documents

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REP/HSEEP Crosswalk: PlanningElement HSEEP

RequirementsREP

RequirementsStatus(R/Y/G)

Action Required

Exercise objective development

Objectives are determined by participants w/regional oversight.

NUREG-0654/FEMA REP 1 cycle

Red Incorporate HAB scenario enhancements; update and align NUREG/REP 1 and HSEEP Volumes

Exercise scenario process

All hazards; based on participant determined objectives

Based proscribed cycle: Plume; Ingestion; MS-1; OOS

Yellow Scenarios currently developed by licensee. Integrate ORO, F/S/L participation w/regional oversight

Exercise Documentation

SITMAN, EXPLAN, Player Handout, MSEL, C/E Handbook

Extent-of-play; pre-exercise briefing; Evaluation Criteria

Yellow Adopt nomenclature and standardize documentation as necessary

Exercise Planning Conferences

C&O, IPC, MPC, MSEL, FPC, AAC

N/A Green Group “Generic REP Exercise Tasks” #1-9 by appropriate planning conference

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REP/HSEEP Crosswalk: ConductElement HSEEP

RequirementsREPP


Action Required

Exercise Evaluation

Based on specified capabilities and exercise objectives

Similar but, based on proscriptive NUREG/REP 1 requirements

Red Incorporate REPP evaluation criteria into HSEEP EEGs.

Exercise Control

HSEEP-trained controllers

Similar but, based on proscriptive NUREG/REP 1 requirements

Green Establish standardized exercise control structures and processes within REP. Coordinate with utilities and States.

Exercise Briefings

Players, Controllers, SIMCELL, Evaluators, Actors

Pre-exercise Evaluator Briefing; OROs provide player briefings

Green Alignment of nomenclature

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REP/HSEEP Crosswalk: After-Action ReportingElement HSEEP

RequirementsREPP


Action Required

After-Action Report Format & Content

HSEEP format based on capabilities

SERF based on evaluation criteria

Red Develop revised SERF w/ HSEEP elements; revise eval areas to align with capabilities; incorporate revisions into OOC/EET

Post-Exercise Conferences and Meetings

Hotwash, Evaluator Debrief, After Action Conference

ORO Hotwash, Exercise Findings Review Meeting, Participant’s Meeting, and Public/Media Briefing

Yellow Alignment of nomenclature

AAR Timeline Draft 30 days, final 60 days post exercise

Draft 30 days, final 90 days post exercise

Yellow Align REP regulatory requirements with HSEEP

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REP/HSEEP Crosswalk: Improvement PlansElement HSEEP

RequirementsREPP


Action Required

Planning Process Linkage

After action process drives improvement plans. CAP & LLIS inputs to strategic plan and T&E plan

Deficiencies re-evaluated w/in 120 days; ARCAs by the next biennial exercise

Red Adopt formal process for incorporating lessons learned and best practices into

Improvement Plan Drafted with AAR w/in 30 days

Notification of identified ARCAs and Deficiencies w/in 10 days post-exercise

Yellow Align REP Deficiency Report with HSEEP Improvement Plan

After-Action Conference

Finalize corrective actions

Corrective actions negotiated between FEMA and ORO

Yellow Align REP direct coordination with OROs with HSEPP AAC

Sharing Lessons Learned

Corrective Action Portal to LLIS.gov

N/A Yellow Develop mechanism to incorporate appropriate SERF data into LLIS.gov

Corrective Action Tracking

HSEEP Corrective Action Program

RAC Chair tracks ARCAs and Deficiencies

Yellow Develop mechanism to incorporate ARCAs and Deficiencies into Corrective Action Program portal