Handbook of exercises for transportation sector personnel



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Action-Based Exercises

Drills


A drill is a coordinated, supervised activity usually employed to validate a specific operation or function in a single agency or organization. Drills are commonly used to provide training on new equipment, validate procedures, or practice and maintain current skills. For example, drills may be appropriate for establishing a community-designated disaster receiving center or shelter. Drills can also be used to determine whether plans can be executed as designed, to assess whether more training is required, or to reinforce best practices. A drill is useful as a stand-alone tool, but a series of drills can also be used to prepare several agencies and organizations to collaborate in a full scale exercise (FSE).

For every drill, clearly defined plans, procedures, and protocols need to be in place. Personnel need to be familiar with those plans and trained in the processes and procedures drilled.


Functional Exercises (FEs)


An FE is designed to validate and evaluate capabilities, multiple functions and/or sub- functions, or interdependent groups of functions. FEs are typically focused on exercising plans, policies, procedures, and staff members involved in management, direction, command, and control functions. In FEs, events are projected through an exercise scenario with event updates that drive activity at the management level. An FE is conducted in a realistic, real- time environment; however, movement of personnel and equipment is usually simulated.

Response- and recovery-focused FEs are generally focused on exercising the plans, policies, procedures, and protocols, and staffs of the direction and control branches of the Incident Command System (ICS) and Unified Command, or multiagency coordination centers (e.g., Emergency Operations Centers).

A prevention-focused FE generally concentrates on exercising the plans, policies, procedures, agreements, networks, and staffs of law enforcement intelligence centers or agencies with counterterrorism missions. Adversary actions are largely simulated and delivered in the form of shared intelligence; however, some adversary actions may be carried out by simulated adversaries (red teams) in a separate but coordinated category of exercise play.

FE controllers typically use a Master Scenario Events List (MSEL) to ensure participant behavior remains within predefined boundaries. Simulators in a Simulations Cell can inject scenario elements to simulate real events.


Full Scale Exercises (FSEs)


An FSE is typically the most complex and resource-intensive type of exercise. They involve multiple agencies, organizations and jurisdictions and validate many facets of preparedness. FSEs often include many participants operating under cooperative systems, such as the ICS or Unified Command.

In an FSE, events are projected through an exercise scenario with event updates that drive activity at the operational level. FSEs are usually conducted in a real-time, stressful environment intended to mirror a real incident. Personnel and resources may be mobilized and deployed to the scene where actions would be conducted as if a real incident had occurred. The FSE simulates reality by presenting complex and realistic problems that require critical thinking, rapid problem solving, and effective responses by trained personnel.

The level of support needed to conduct an FSE is greater than that needed for other types of exercises. The exercise site for an FSE is usually large, and site logistics require close monitoring. Safety issues, particularly regarding the use of props and special effects, must be monitored. Throughout the duration of the exercise, many activities occur simultaneously.

Facilitated Exercise


A Facilitated Exercise is a non-HSEEP type, but serves as a form of full scale exercise within the HSEEP definitions.

Authors’ Explanation: A Facilitated Exercise is composed of several stations, with each successive station building on the knowledge gained and actions taken from the previous stations. Participants represent all first responders, with problems representing a mix of responsibilities of several jurisdictions. A facilitator is used to explain what the participants are seeing and then asks how they would address the issues. Participants are not allowed to engage in physical actions until they have an articulable plan that is agreed to and is safe. The physical action is based on and carries out the plan. There are normally three to five stations involved, with the facilitator either staying at the station or progressing through the exercise with the participants. Facilitators do not instruct, nor do they reject a plan – except for safety reasons, but they do provide additional information as required to advance the planning process.



Exercise Types and Planning Determinants

Type

Definition
(based on HSEEP Glossary, 2013c)

Overall
Cost


Risk to Participants

Overtime

Distance Learning Possible

Internet-Based Possible

Existing EOP and SOPs Required

Training Required Before Participation1

Seminar

Orient participants to authorities, strategies, plans, policies, procedures, protocols, resources, concepts, and/or ideas.

Low

Low

May be on-duty delivery

Yes

Yes

No2

No

Workshop

Increased participant interaction, focus on achieving or building a product (e.g., plans, policies); used to: test new ideas, processes, or procedures; train groups in coordinated activities; and obtain consensus; uses breakout sessions to explore parts of an issue with smaller groups.

Low

Low

May be
on-duty delivery

Yes

Yes

No2

No

Tabletop

Discussion-based; used to: assess plans, policies, and procedures, or to assess types of systems needed to guide the prevention of, response to, or recovery from a defined incident. Includes senior staff, elected or appointed officials, or other key decision-making personnel; aimed at facilitating understanding of concepts, identifying strengths and shortfalls, and/or achieving a change in plans and policy.

Low

Low

May be
on-duty delivery

Yes

No

Yes

Yes

Drill

Operations-based exercise; coordinated, supervised activity usually employed to test a single, specific operation or function in a single agency; used to: provide training on new equipment, develop or test new policies or procedures, or practice and maintain current skills.

Moderate to High

Moderate to High

On-duty
or overtime

No

No

No3

Yes

Functional

Single- or multi-agency activity designed to evaluate capabilities and multiple functions using a simulated response; typically used to evaluate the management of EOCs, command posts, and headquarters; and assess the adequacy of response plans and resources; includes simulated deployment of resources and personnel, rapid problem solving, and a highly stressful environment.

Moderate

Low

On duty
or overtime

Yes

No

Yes

Yes

Facilitated

Composed of multiple, realistic learning stations that simulate a full scale response, focused discussion of learning station-specific issues through a facilitator with functional area or subject matter expertise before the practical application is begun, to ensure that all actions are according to the SOPs/EOP. May be multi-agency or multi-jurisdictional.

High

Moderate

Overtime possible

No

No

Yes

Yes

Full Scale

Multi-agency, multi-jurisdictional activity involving actual deployment of resources in a realistic coordinated response; tests one or more capabilities within emergency response and recovery; used to assess plans and procedures, and assess coordinated response under crisis conditions. Characteristics include mobilized units, personnel, and equipment; stressful, a realistic environment, and scripted exercise scenarios, but free play by participants; critique only at Hot Wash.

Very High

Very High

Overtime probable

No

No

Yes

Yes

Notes: 1. Specific training for participants is determined by the type of exercise and the scenario selected.

2. May be part of EOP or SOPs development.



3. May be part of training cycle.
Exercise Components

Type

Definition
(based on HSEEP Glossary, 2013c)

Director

Speaker

Evaluator

Controllers

Participation by Other Agencies

Work Product

After Action

Improvement
Plan


Seminar


Orient participants to authorities, strategies, plans, policies, procedures, protocols, resources, concepts, and/or ideas.

Yes

Yes

No

No

Maybe

No

Yes

No

Workshop

Increased participant interaction, focus on achieving or building a product (e.g., plans, policies); used to: test new ideas, processes, or procedures; train groups in coordinated activities; and obtain consensus; use breakout sessions to explore parts of an issue with smaller groups.

Yes

Yes

No

No

Maybe

New/revised plan, policy, etc.

Yes

Maybe

Tabletop

Discussion-based; used to: assess plans, policies, and procedures, or to assess types of systems needed to guide the prevention of, response to, or recovery from a defined incident. Includes senior staff, elected or appointed officials, or other key decision-making personnel; aimed at facilitating understanding of concepts, identifying strengths and shortfalls, and/or achieving a change in plans and policy.

Yes

No

Yes

No
Director fills role

Usually

Maybe a revised plan or SOP

Yes

Maybe

Drill

Operations-based exercise, coordinated, supervised activity usually employed to test a single specific operation or function in a single agency; used to provide training on new equipment, develop or test new policies or procedures, or practice and maintain current skills

Yes

No

Yes

Yes, or Director may fill role

Maybe

No

Yes

Maybe

Functional

Single- or multi-agency activity designed to evaluate capabilities and multiple functions using a simulated response; typically used to evaluate the management of EOCs, command posts, and headquarters; and assess the adequacy of response plans and resources; includes simulated deployment of resources and personnel, rapid problem solving, and a highly stressful environment

Yes

No

Yes

Yes

Maybe

Maybe

Yes

Yes

Facilitated

Composed of multiple, realistic learning stations that simulate a full scale response, focused discussion of learning station-specific issues through a facilitator with functional area or subject matter expertise before the practical application is begun, to ensure that all actions are according to the SOPs/EOP. May be multi-agency or multi-jurisdictional.

Yes

Yes
SME Facilitator at each learning station

Yes

Yes

Yes

Maybe

Yes

Yes

Full Scale

Multi-agency, multi-jurisdictional activity involving actual deployment of resources in a realistic coordinated response; tests one or more capabilities within emergency response and recovery; used to assess plans and procedures, and assess coordinated response under crisis conditions. Characteristics include mobilized units, personnel, and equipment; stressful, a realistic environment, and scripted exercise scenarios, but free play by participants, critique only at Hot Wash.

Yes

No


Yes

Yes

Yes

Maybe

Yes

Yes




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