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Hazmat 101 News - September 2005

Emergency Exercise Design--A Primer

* This article is a modified version of Unit 12 of FEMA's Independent Study Course "IS-139 Exercise Design."

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. 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 article will introduce you to the fundamentals of exercise. 

Reasons to Exercise

Exercises are conducted in order to evaluate an organization's capability to execute one or more portions of its response plan or contingency plan. Exercises can be used to provide individual training and improve the emergency management system. Reasons to perform exercises include:

• Testing and evaluating plans, policies, and procedures.
• Revealing planning weaknesses and resource gaps.
• Improve individual performance and organizational coordination and communications.
• Train personnel and clarify roles and responsibilities.
• Gain program recognition.
• Satisfy regulatory requirements.

Comprehensive Exercise Program

A comprehensive exercise program is made up of progressively complex exercises, each one building on the previous one, until the exercises are as close to reality as possible. The program must be carefully planned to achieve identified goals and should involve a wide range of organizations in its planning and execution.

Types of Exercises

There are five main types of activities in a comprehensive exercise program:

• Orientation seminar: This is a low-stress, informal discussion in a group setting with little or no simulation. It is used to provide information and introduce people to policies, plans, and procedures.
• Drill: This is a coordinated, supervised exercise used to test a single specific operation or function. It involves deployment of equipment and personnel.
• Tabletop exercise: This is a facilitated group analysis of an emergency situation in an informal, stress-free environment. It is designed for examination of operational plans, problem identification, and in-depth problem solving.
• Functional exercise: This is a fully simulated interactive exercise that tests the capability of an organization to respond to a simulated event. It takes place in the EOC and focuses on coordination of multiple functions or organizations. Strives for realism, short of actual deployment of equipment and personnel.
• Full-scale exercise: This is a simulated emergency event, as close to reality as possible. It involves all emergency response functions and requires full deployment of equipment and personnel.

Building an Exercise Program

Building an exercise program is a multi-organization team effort that includes:

• Analysis of capabilities and costs.
• Goal setting.
• Development of a long-term plan.
• Scheduling of tasks.
• Public relations efforts.

The Exercise Process

The process of creating and staging an exercise includes a lengthy sequence of tasks that occur in three phases: Before, during, and after the exercise. Some of the tasks fall under the heading of design and some are part of evaluation.

Major Task Accomplishments

A simple way of viewing the exercise process is the sequence of five major task accomplishments:

1. Establishing the base
2. Exercise development
3. Exercise conduct
4. Exercise critique and evaluation
5. Exercise follow-up

Establishing the Base

Establishing the base is the process of laying the groundwork for the exercise. Some important aspects of this preparation are:

• Reviewing the current plan.
• Assessing capability to conduct an exercise.
• Addressing costs and liabilities.
• Gaining support.
• Assembling and organizing a design team.

Exercise Documents

Four major documents are developed during the exercise design process:

• Exercise Plan
• Control Plan
• Evaluation Plan
• Player Handbook

These documents are basically handbooks for particular audiences. Much of the content of these documents comes from the eight exercise design steps.

Exercise Design Steps

Tabletop, functional, and full-scale exercises are based on a design process that includes eight steps:

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.

These are generally applicable steps regardless of the type of exercise. Each type of exercise has some special considerations in how these steps are applied.

Master Scenario Events List

Outputs from the design process are pulled together in the MSEL, a chart that the controller and simulators can use in keeping the exercise on track and on schedule.

The Tabletop Exercise

Exercise Format

The tabletop exercise is essentially a group brainstorming session centered on a scenario narrative and problem statements or messages that are presented to members of the group. The format is informal, and the exercise is self-evaluated by the participants.

Facilitating a Tabletop

The facilitator is responsible for:

• Setting the stage.
• Distributing messages.
• Stimulating discussion and pushing participants toward in-depth problem solving.
• Involving everyone.
• Controlling and sustaining the action.

Designing a Tabletop

In applying the eight design steps, the first four steps (needs assessment, scope, purpose statement, objectives) are handled in the normal manner. The remaining steps can be simplified:

• The narrative can be relatively short.
• Only a few major or detailed events are required, and they are turned into problem statements.
• Expected actions must be identified, but they may involve such things as discussion or reaching consensus.
• Only a few (e.g., 10-15) carefully written messages or problem statements are needed.

The Functional Exercise

Exercise Format

The functional exercise usually takes place in the operating center and involves policy makers and decision makers. It uses an event scenario to test multiple functions or organizations, emphasizing coordination and communication. Participants include the:

• Controller (the manager of the exercise).
• Players (people responding to the scenario within their normal roles).
• Simulators (people playing the parts of organizations and field units outside of the operations center, who deliver messages to players).
• Evaluators (observers who record actions taken in response to messages).

Participants respond in real time, adding an element of stress to the exercise. Communications equipment, displays, and other enhancements can be used to add to the realism.

Controlling a Functional Exercise

The controller is responsible for:

• Monitoring interaction and progress.
• Keeping the exercise on track.
• Dealing with the unexpected.
• Adjusting the pace as needed. (The flow of messages can be adjusted by adding, deleting, misdirecting, or reassigning messages.)

Designing a Functional Exercise

The full eight-step process is used to develop functional exercises.

The Full-Scale Exercise

Exercise Format

The full-scale exercise combines the interactivity of the functional exercise with a field element and requires the coordination of the efforts of several organizations. It differs from a drill in that a drill focuses on a single operation and exercises only one organization.

The full-scale exercise achieves realism through:

• On-scene actions and decisions.
• Simulated victims.
• Search and rescue requirements.
• Communication devices.
• Equipment deployment.
• Actual resource and personnel allocation.

Participant Roles

All levels of personnel are involved, including policy makers, coordination and operations personnel, and field personnel. A controller manages the exercise; volunteers simulate victims; evaluators observe and keep a log of significant events; and a safety officer ensures that potential safety issues are addressed.

Designing a Full-Scale Exercise

After the first four design steps, the following special considerations apply to the design process:

• The narrative is largely a staged visual scene, so the written narrative can be minimal. The visual narrative must be planned in careful detail.
• Major and minor events are often presented visually and must be carefully planned.
• Expected actions must, as always, be specifically identified.
• Both visual and prescripted messages are used.

In a full-scale exercise, details are everything.

Site Selection

The site selected for the event must have adequate space and be as realistic as possible without interfering with normal traffic or safety.

Scene Management

Scene management involves planning and handling:

• Logistics at the scene.
• Creation of a believable emergency scene.
• Number of victims.
• Management of props and materials.
• Number of controllers.

Other Special Considerations

Other special considerations in a full-scale exercise include:

• Managing personnel and resources (many volunteers, lots of props).
• Ensuring that the emergency management system maintains response capability for routine events.
• Addressing safety issues.
• Attending to issues of legal liability.
• Having a plan for emergency call-off.
• Working with the media.

Exercise Evaluation

For an exercise to be useful, it must be accompanied by an evaluation--less formal for the tabletop, structured for the function and full-scale. Good evaluations can help the organization identify:

• Whether the exercise has achieved its objectives.
• Needed improvements in plans, procedures, or guidelines or the emergency management system as a whole.
• Training and staffing deficiencies.
• Equipment needs.
• Need for additional exercising.

The evaluation team leader--usually drawn from the design team--is responsible for evaluation methodology, selection and training of the evaluation team, and report preparation.

Methodology

The evaluation methodology includes:

• Evaluation team structure.
• Objectives to be measured.
• Evaluation packet (i.e., observation procedures and recording forms).

Post-exercise Meetings

Post-exercise meetings include the player debriefing and meetings of the evaluation team to analyze the results and develop the after action report.

After Action Report

The After Action Report should describe the purpose of the exercise and address goals, objectives, preexercise activities, participants, scenario, accomplishments and shortfalls, and recommendations.

Exercise Enhancements

Exercise enhancements are used to add to the realism of the exercise. Depending on the type of exercise and available resources, enhancements may include:

• Communications Equipment.
• Visuals.
• Other Equipment and Materials.
• People and Props.
• Resources.

Conclusion

This article described the value of conducting exercises, the components of a comprehensive exercise program and the exercise development process. To reap the benefits of exercise, you must design them to meet your organization's needs, conduct them and follow-up on the lessons learned. To learn more about design services, review FEMA's Independent Study Course "IS-139 Exercise Design" available at: http://training.fema.gov/emiweb/IS/.