Vocabulary List

• Exercises: Emergency exercises validate existing emergency plans, programs, policies, resources, and agency roles and responsibilities.

• Risk Assessment: A risk assessment is a process to identify potential hazards and analyze what could happen if a hazard occurs. 

• Hot Wash: A facilitated hot wash discussion held at the end of an exercise is a method to solicit feedback and identify suggestions for improvement.

• After Action Report: The purpose of an After Action Report (AAR) is to analyze the management or response to an incident, exercise, or event by identifying strengths to be maintained and built upon, as well as identifying potential areas of improvement.

• Corrective Action Program: The corrective action program should document information on deficiencies from the exercise conducted.

• Emergency Operations Plan: A plan for responding to a variety of potential hazards and disasters. 

(Exercises | FEMA.Gov, 2023)

Objectives

This Week's Objectives:

• Describe what an exercise is and how it relates to emergency preparedness.

• Identify the two broad categories of exercises and seven types of exercises and seminars.

• Describe reasons to develop, practice, and revise emergency preparedness plans and resources. 

• Describe an Emergency Operations Plan and how it applies to a local community. 

Exercises

(Exercises | FEMA.Gov, 2023)

Exercises are a key component of preparedness for any community—they provide the entire community with the opportunity to plan, assess and validate capabilities, and address areas for improvement. In this lesson, you will learn guiding principles for exercise and evaluation programs, as well as a common approach to exercise program management, design and development, conduct, evaluation, and improvement planning.

Communities can develop, execute, and evaluate exercises that address its preparedness priorities. These priorities are informed by risk and capability assessments, findings, corrective actions from previous events, and external requirements. These priorities guide the overall direction of an exercise program and the design and development of individual exercises.

These priorities guide emergency managers as they identify exercise objectives and align them to capabilities for evaluation during the exercise. Exercise evaluation assesses the ability to meet exercise objectives and capabilities by documenting strengths, areas for improvement, capability performance, and corrective actions in an After-Action Report/Improvement Plan (AAR/IP). Through improvement planning, organizations take the corrective actions needed to improve plans, build and sustain capabilities, and maintain readiness.

Post-incident critiques often confirm that experience gained during exercises was the best way to prepare teams to respond effectively to an emergency. Exercises should be designed to engage team members and get them working together to manage the response to a hypothetical incident. Exercises enhance knowledge of plans, allow members to improve their own performance and identify opportunities to improve capabilities to respond to real events (Exercises | Ready.Gov, n.d.).

Exercises are a great method to accomplish the following:

• Evaluate the preparedness program.

• Identify planning and procedural deficiencies.

• Test or validate recently changed procedures or plans.

• Clarify roles and responsibilities.

• Obtain participant feedback and recommendations for program improvement.

• Measure improvement compared to performance objectives.

• Improve coordination between internal and external teams, organizations, and entities.

• Validate training and education.

• Increase awareness and understanding of hazards and the potential impacts of hazards.

• Assess the capabilities of existing resources and identify needed resources.

Types of Exercises

(FEMA EOC Quick-Reference-Guide Virtual Considerations, 2022)

The type of exercise selected will depend on the specific objectives, goals, resources and needs of the jurisdiction planning the exercise. In general, there are two broad categories of exercises—discussion-based (lower level of exercise programs) and operations-based (higher level of exercise programs)—which together encompass seven exercise types: 

Discussion-based Exercises:  

• Seminars: Familiarize players with current plans, policies, agreements, and procedures. Seminars serve as basic training for those involved with a preparedness exercise.

• Workshops: Achieve a specific goal or build a product (for example, standard operating procedures, policies or plans). Workshops are considered basic training for those involved with a preparedness exercise. They are designed to familiarize team members with emergency response, business continuity, and crisis communications plans and their roles and responsibilities as defined in the plans.

• Tabletop exercises: Tabletop exercises are discussion-based sessions where team members meet in an informal, classroom setting to discuss their roles during an emergency and their responses to a particular emergency situation. A facilitator guides participants through a discussion of one or more scenarios. The duration of a tabletop exercise depends on the audience, the topic being exercised and the exercise objectives. Many tabletop exercises can be conducted in a few hours, so they are cost-effective tools to validate plans and capabilities.

• Games: Explore decision-making processes and examine the consequences of decisions.

Operations-based Exercises:  

• Drills: Test a single operation or function. As one example, facility drills are training activities aimed at practicing facility functions and skills. The drills help staff members become proficient in their emergency functions through repetitive practice. An example of a drill focused on virtual emergency operations would be a monthly test for all stakeholders accessing the crisis information management system(s) from their mobile devices at home.

• Functional exercises: Test and evaluate capabilities, functions, plans, and staffs in real time. Movement of resources is usually simulated. Functional exercises allow personnel to validate plans and readiness by performing their duties in a simulated operational environment. Activities for a functional exercise are scenario-driven, such as the failure of a critical business function or a specific hazard scenario. Functional exercises are designed to exercise specific team members, procedures and resources (for example, communications, warning, notifications and equipment set-up).

• Full-scale exercises: Typically, the most complex and resource-intensive implementation and analysis plans, policies, procedures, and cooperative agreements include real-time movement of resources. A full-scale exercise is as close to the real thing as possible. It is a lengthy exercise which takes place on location using, as much as possible, the equipment and personnel that would be called upon in a real event. Full-scale exercises are normally conducted by public agencies. They often include participation from local businesses and other members of the community. 

Developing an Exercise Program

(Exercises | Ready.Gov, n.d.)

Develop an exercise program beginning with an assessment of needs and current capabilities. And as part of the exercise development process, be sure to review the risk assessment and exercise objectives (or reasons to hold an exercise).

Remember that a risk assessment is a process to identify potential hazards and analyze what could happen if a hazard occurs (Risk Assessment | Ready.Gov, n.d.). As one example, a Business Impact Analysis (BIA) is the process for determining the potential impacts resulting from the interruption of time sensitive or critical business processes.

There are numerous disasters and hazards to consider as we learned in Chapters 1 and 2. For each disaster or hazard, there are many possible scenarios that could unfold depending on timing, magnitude, and location of the hazard. For instance, a hurricane forecasted to make landfall near your business could change direction and go out to sea. Or, the storm could intensify into a major hurricane and make landfall.

There are many assets at risk from hazards. First and foremost, injuries to people should be the first consideration of the risk assessment. Hazard scenarios that could cause significant injuries should be highlighted to ensure that appropriate emergency plans are in place. Many other physical assets may be at risk. These include buildings, information technology, utility systems, machinery, raw materials, and finished goods. The potential for environmental impact should also be considered. Consider the impact an incident could have on your relationships with customers, the surrounding community, and other stakeholders. Consider situations that would cause customers to lose confidence in your organization, its products, or its services.

As you conduct the risk assessment, look for vulnerabilities and weaknesses that would make an asset more susceptible to damage from a hazard. Vulnerabilities include deficiencies in building construction, process systems, security, protection systems, and loss prevention programs. They contribute to the severity of damage when an incident occurs. For example, a building without a fire sprinkler system could burn to the ground while a building with a properly designed, installed, and maintained fire sprinkler system would suffer limited fire damage.

The impacts from hazards can be reduced by implementing mitigation strategies (reference to Chapter 4). If there is a potential for significant impacts, then creating a mitigation strategy should be a high priority for any community. 

Also important to developing exercise programs is the need to conduct a walkthrough or orientation session to familiarize team members with preparedness plans. Review roles and responsibilities and ensure participants are familiar with the incident management principles from Chapter 4 (Incident Command System). Identify potential scenarios for emergencies and business disruption. Use these scenarios as the basis for tabletop exercises. As the program matures, consider holding a functional exercise. Contact local emergency management officials in your area to determine if there is an opportunity to participate in a full-scale exercise within your community.

Exercises should be evaluated to determine whether exercise objectives were met and to identify opportunities for program improvement. A facilitated “Hot Wash” discussion held at the end of an exercise is a great way to solicit feedback and identify suggestions for improvement. A typical Hot Wash report can include listing the top three strengths observed from the exercise; the top three areas requiring improvement; and any other Hot Wash Comments and Notes.

Evaluation forms are another way for participants to provide comments and suggestions. An After-Action Report (AAR) that documents suggestions for improvement should be compiled following the exercise and copies should be distributed to management and others. Suggestions for improvement should be addressed through the organization’s corrective action program.

After Action Report / Improvement Plan

(HSEEP AAR-IP Template, 2007)

After the completion of an exercise, coordinating and writing an After Action Report is necessary to analyze the management or response to an incident, exercise, or event by identifying strengths to be maintained and built upon, as well as identifying potential areas of improvement.

The components of an After Action Report include the following:

• Executive Summary with Strengths and Areas for Improvement

• Section 1: Exercise Overview

  • Exercise Name

  • Exercise Type

  • Exercise Start and End Dates

  • Duration

  • Location

  • Capabilities Addressed

• Exercise Details

• Exercise Planning Team

• Participating Organizations

• Section 2: Exercise Design Summary

• Exercise Purpose and Design

• Exercise Objectives, Capabilities, and Activities 

• Scenario Summary

• Section 3: Analysis of Capabilities

  • Activity

  • Observation

  • References

  • Analysis

  • Recommendations

• Capability

• Capability Summary

• Section 4: Conclusion (an overall summary report)

• Appendices can include the following: Lessons Learned, Participant Feedback Summary (as part of evaluation), Exercise Events Summary (if more than one exercise was practiced, at some level), Performance Rating, and Acronyms.

When writing the Improvement Plan (IP), an introductory paragraph can be written as the following: This Improvement Plan (IP) has been developed specifically for [identify the State, city, jurisdiction, and so on] as a result of [full exercise name] conducted on [date of exercise]. These recommendations draw on both the After Action Report and the After Action Conference. As a tool to consider in the real world, an Improvement Plan Matrix is a way to organize Capabilities being tested and corrective actions, or improvements, that can be made. See below for the elements of a standard IP Matrix. 

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Corrective Action Program

(U.S. Department of Homeland Security, 2022)

Gaps and deficiencies identified during program reviews should be recorded and addressed through a corrective action program. Gaps or deficiencies in the program may be identified during training, drills, exercises, post-incident critiques, regulatory compliance audits, insurance surveys, and from lessons learned.

The corrective action program should document information on deficiencies. A table similar to the one below can be used. Include a full description of the deficiency, the action that should be taken, the resources required to address the deficiency, and justification for the need to correct the deficiency. Action on deficiencies should be assigned to the person or department best able to address the issue. A due date should be assigned and the corrective action database reviewed regularly to track progress. The status column should be updated until the deficiency has been addressed.

All program gaps or deficiencies are not equally important. Prioritization of corrective actions is helpful because funding and time are usually limited. Prioritization can also identify significant deficiencies that should be reported to management and corrected as quickly as possible. Criteria or categories for corrective action may include the following:

• Hazards to health and safety.

• Regulatory compliance.

• Hazards to property, operations, the environment or the entity (for example, image or reputation).

• Conformity to national standards.

• Following industry best practices.

Significant deficiencies should be reported to management along with appropriate information to explain the problem, how to correct it, and the reasons it needs to be addressed to gain management support for action. Management should also be periodically informed of the status of corrective actions until deficiencies have been resolved.

Program Improvement

(Emergency Plans | Ready.Gov, n.d.)

There are opportunities for program improvement following an actual incident. A critique should be conducted to assess the response to the incident. Lessons learned from incidents that occur within the community, within the business’ industry, or nationally can identify needs for preparedness program changes. Best practices and instructional guidance published by trade associations, professional societies, newsletters, and government website can be resources to evaluate and improve your preparedness program.

Gaps and deficiencies identified during reviews should be recorded and addressed through a corrective action program, as described above. Reviews, evaluations, and improvements should be documented and maintained on file.

Emergency Operations Plan

Traditionally, the Emergency Operations Plan (EOP) has been the focus of a jurisdiction’s operational planning effort. EOPs help to define the scope of preparedness and emergency management activities necessary for that jurisdiction. This section provides examples for jurisdictions to use in developing or updating their EOPs. The concepts it presents are based on an EOP that consists of a base plan supplemented by some number of annexes. The annexes typically provide details on specific functions (such as emergency sheltering or search and rescue) and may also address specific hazards (such as earthquakes, hazardous materials spills, and power failures). The EOP format is very flexible and works well for standard and complex emergency operations. Emergency management involves several kinds of plans, just as it involves several kinds of actions. While many jurisdictions consider the EOP the centerpiece of their planning effort, it is not the only plan that addresses emergency management functions. A jurisdiction’s EOP is a document that does the following:  

• Identifies the organizations and individuals who are responsible for carrying out specific actions during an emergency.

• Explains the pertinent lines of authority and organizational relationships.

• Provide a description on how activities are coordinated to unify response and recovery efforts.

• Describes how people (including unaccompanied minors, individuals with disabilities, others with access and functional needs and individuals with limited English proficiency) and property are protected.

• Identifies personnel, equipment, facilities, supplies, and other resources available within the jurisdiction or by agreement with other jurisdictions.

• Describes how resource requirements are coordinated with neighboring jurisdictions, private sector entities, and nonprofit organizations.

• Complements and integrates with plans that address other mission areas. 

An EOP should be flexible enough for use in all emergencies, disasters, and planned events. EOPs describe the purpose of the plan, the situation, assumptions, organization and assignment of responsibilities, administration and logistics, plan development and maintenance, and authorities and references. EOPs typically contain annexes appropriate to the jurisdiction’s organization and operations. EOPs pre-designate a jurisdictional lead agency and/or functional area representatives to the incident command, unified command, or Multi-Agency Coordination group whenever possible to facilitate responsive and collaborative incident management. Including an organizational chart helps partners and stakeholders understand reporting structures within the response effort. Incident response and short-term recovery set the stage for long-term recovery. While EOPs often cover short-term recovery actions that are natural extensions of response activities, they do not typically detail long-term recovery actions. Response actions and some post-disaster recovery issues are time-sensitive, such as the rebuilding and placement of temporary housing facilities. Advance planning makes performing these tasks easier. However, the EOP should address transition to a long-term recovery plan and the deactivation of response assets.

Jurisdictions can plan for effects common to several hazards rather than develop separate plans for each hazard. The planning team identifies the common tasks or functions that participating organizations perform and assigns responsibility for accomplishing each task or function. Because the jurisdiction’s goal is a coordinated and integrated response, all EOP styles should flow from a base plan that outlines the jurisdiction’s overall emergency organization and its policies. 

As the planning team begins to revise or develop an EOP, members evaluate which format is best for their jurisdiction, considering factors such as operational needs, style of government, the most recent risk assessment results, and jurisdiction size. Form should follow function, in the sense that operational needs should help determine the EOP format a jurisdiction uses (recognizing that some states prescribe an EOP format for use by local governments). 

The EOP should reflect how a jurisdiction would actually respond and not institute a separate structure for planning purposes that does not reflect operational reality. One simple indicator of how a jurisdiction’s EOP should be formatted is to review how the jurisdiction’s EOC operates and the configuration of the team in the EOC when it is activated. If the EOC has sections for various functions (for example, transportation, public safety, energy) with representatives from various departments, agencies, and other organizations staffing those functions, then a functional EOP is indicated. Instead, if the EOC is organized by agencies and departments (for example, department of transportation, public works, police), then an EOP organized departmentally is indicated. 

Function-focused or agency-/department-focused format options reflect different EOP structures used successfully by jurisdictions across the nation. Larger municipalities tend to use the functional format, with an emphasis on emergency support functions as an organizing construct, while local jurisdictions often employ the functional or agency and department formats. New planners can consider these formatting options when beginning to develop an EOP. Seasoned planners can use them to validate the effectiveness of existing EOPs. 

(Developing and Maintaining Emergency Operations Plans, 2021)

EOP Format

The Base Plan provides an overview of the jurisdiction’s emergency management system, including its preparedness and response strategies. This is important to know for an emergency manager who may be responsible for developing and managing an emergency operations plan.

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Functional annexes are individual sections focused on missions (for example, communications, damage assessment, private sector coordination). These annexes describe the organizations that support the function, their actions, roles and responsibilities, and the resources, capabilities and authorities that each organization brings to the response. Functional annexes describe how the jurisdiction manages the function before, during and after the emergency. 

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Threat- or hazard-specific annexes describe the policies, situation and responsibilities for particular threats and hazards. They explain the procedures that are unique to a threat or hazard type. For example, the mutual aid/multi-jurisdictional coordination annex may describe how a jurisdiction obtains resources from neighboring jurisdictions. The pandemic annex may note that neighboring jurisdictions may not be able to share resources due to their own needs. This information should be included in the pandemic annex because it differs from the strategy outlined in the mutual aid annex. Strategies already outlined in a functional annex should not be repeated in a threat- or hazard-specific annex.

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Additional Types of Plans 

Emergency operations involve several kinds of plans, just as they involve several kinds of actions. While the EOP is often the centerpiece of emergency planning efforts, it is not the only plan that addresses emergency management. 

Other types of plans that support and supplement the EOP include the following:  

• Administrative plans describe policies and procedures to support a governmental endeavor. Typically, they primarily deal with internal processes. Examples include plans for financial management, personnel management, records review, and labor relations activities. Such plans are not typically part of EOPs. However, planners should reference administrative plans in the EOP if they apply during emergencies. Planners should make similar references in the EOP for exceptions to normal administrative plans permitted during emergencies. 

• Comprehensive emergency management plans (CEMPs) are plans that some jurisdictions develop and that vary in terms of purpose and content. In some cases, the CEMP is the jurisdiction’s EOP. In many jurisdictions, however, the CEMP represents broader guidance describing the jurisdiction’s overall emergency management program, including preparedness, mitigation, response, and recovery. Some jurisdictions have laws that characterize the plan as a CEMP or EOP, prescribe its contents, and influence other plan attributes.  

• Continuity plans address how the whole community provides critical services and conducts essential functions when normal operations are disrupted. Both of the following types of continuity plans should complement EOPs. EOPs should address how continuity plans enable the continuation of vital services, including emergency response activities, when normal facilities, personnel, or other resources are unavailable. 

• Continuity of operations (COOP) plans outline essential functions and services to perform and deliver and how to do so if an incident disrupts normal operations. They also address the timely resumption of normal operations once the emergency has ended. COOP plans address the continued performance and delivery of core capabilities and critical operations during any potential incident. 

• Continuity of government (COG) is an outcome of continuity planning and the continuity capabilities that support it. COG planning efforts and COG plans prepare jurisdictions to preserve or reconstitute statutory, constitutional, legislative and administrative responsibilities, and authorities at all levels of government when an incident affects government organizations that hold roles in emergency response and recovery.

• Department-/agency-based operational plans provide details on how an agency or department carries out assignments identified in EOPs. While EOPs do not normally include procedural language, department/agency-based plans often do contain procedural guidance. 

• EOC action plans serve a purpose similar to incident action plans (IAPs): to focus EOC staff on EOC objectives and nonroutine EOC tasks to be completed during a given EOC operational period (typically a shift or a day).  

• Hazard mitigation plans outline a jurisdiction’s strategy to reduce the loss of life and property by lessening the impact of the hazards it faces. Mitigation planning is often a long-term effort and may be part of or tied to the jurisdiction’s strategic development plan or similar documents. Mitigation planning committees may differ from operational planning teams in that they include zoning boards, floodplain managers, and individuals with long-term cultural or economic interests. However, many partners support both types of planning, and plans for mitigating hazards are relevant to an EOP, since both originate from a hazard-based analysis and share similar requirements.  

• IAPs are iterative operational plans that incident management teams develop prior to each operational period (typically every 12 or 24 hours) during incident response. IAPs list the objectives established by the incident commander or unified command and specify tactics and planned resource utilization during the operational period. Effective EOPs guide and facilitate the development of IAPs during the operational periods immediately following an incident. As situational awareness improves over the hours and days following the incident, planners increasingly rely on ground truth to guide incident planning and operations.  

• Joint operational plans or regional coordination plans typically involve multiple levels of government to address a specific incident or a special event. Standing plans should be an annex to the related EOPs, while special events plans should be standalone supplements based on the information contained within the related EOPs.  

• Recovery plans developed prior to a disaster help jurisdictions identify needs, develop options, implement solutions, direct recovery activities, and expedite a unified recovery effort. Pre-incident planning performed in conjunction with community development planning helps establish recovery priorities, incorporate mitigation strategies in the wake of an incident, and identify options and changes to consider or implement after an incident. Post-incident community recovery planning integrates the range of complex decisions in the context of the incident and works as the foundation for allocating resources. While the focus of recovery planning differs from EOPs, many of the same partners support both activities. These partners are able to apply a broad perspective that benefits both initiatives.

Deciding on an EOP format is critical for an emergency manager since emergency management documents are oftentimes lengthy and complex. To simplify the development of an EOP for your community, consider the following guidelines and attributes:

Organization: Do the EOP section and subsection titles help users find what they need, or must users sift through information that is not relevant? Can individual plan components be revised without forcing a substantial rewrite of the entire EOP?  

Progression: In any one section of the EOP, does each element seem to follow from the previous one, or are some items strikingly out of place? Can readers grasp the rationale for the sequence and scan for the information they need?

Consistency: Does each section of the EOP use the same logical progression of elements, or must readers reorient themselves to each section?  

Adaptability: Does the EOP’s organization make its information easy to use during unanticipated situations?  

Compatibility: Does the EOP format promote coordination with other jurisdictions, including the state and/or federal government?  

Inclusivity: Does the EOP appropriately address the needs of people of color, others who have been historically underserved, marginalized, and adversely affected?

(Developing and Maintaining Emergency Operations Plans, 2021)

The EOP planning process should be flexible and allow for communities to adapt it to varying characteristics and situations. While not ideal, if time is a constraint, planners can minimize or skip steps to accelerate the process. Small communities can follow only the steps that are appropriate to their size, risks, and available planning resources. 

The figure below depicts steps in the planning process. At each step, jurisdictions should consider the impact of their decisions on training, exercises, equipment, and other requirements. Although planning involves a consistent set of activities, the process is not strictly linear and includes iterative cycles of review and collaboration. Outputs from each step lead to greater understanding by the planning team and leadership of key issues and shape the contents of the plan. 

(Developing and Maintaining Emergency Operations Plans, 2021)

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Emergency Management Trainings

If you would like to learn more about emergency management, there are trainings and online courses available for students and professionals. Most are available at no cost and offered online, but verify any potential cost before registering. 

• World Health Organization: Training for Emergencies

• World Health Organization: Course Catalog

• Federal Emergency Management Agency (FEMA): Emergency Management Institute

• Federal Emergency Management Agency (FEMA): Independent Study Program

• Federal Emergency Management Agency (FEMA): Emergency Management Professional Program

• Center for Domestic Preparedness: Find Training

• International Association of Emergency Managers: Certification Info

• California Office of Emergency Services: Emergency Management Credentialing and Certificate Information

References

Developing and Maintaining Emergency Operations Plans. (2021). https://www.fema.gov/sites/default/files/documents/fema_cpg-101-v3-developing-maintaining-eops.pdf

Emergency Plans | Ready.gov. (n.d.). Retrieved September 22, 2023, from https://www.ready.gov/business/emergency-plans

Exercises | FEMA.gov. (2023, April 25). https://www.fema.gov/emergency-managers/national-preparedness/exercises

Exercises | Ready.gov. (n.d.). Retrieved September 22, 2023, from https://www.ready.gov/business/training/testing-exercise/exercises

FEMA EOC Quick-Reference-Guide Virtual Considerations. (2022). Federal Emergency Management Agency. https://www.fema.gov/sites/default/files/documents/fema_eoc-quick-reference-guide.pdf

HSEEP AAR-IP Template. (2007). https://emergency.cdc.gov/training/ERHMScourse/pdf/127961885-Hseep-AAR-IP-Template-2007.pdf

Risk Assessment | Ready.gov. (n.d.). Retrieved September 22, 2023, from https://www.ready.gov/business/planning/risk-assessment

U.S. Department of Homeland Security. (2022, April 29). Corrective Action. https://www.ready.gov/business/program/corrective