Chapter Appendix A - Recommendations
Section Training, Exercises, and Lessons Learned
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Critical Challenge: Training, Exercises, and Lessons Learned
Lesson Learned - The Department of Homeland Security (DHS) should establish specific requirements for training, exercise, and lessons learned programs linked through a comprehensive system and common supporting methodology throughout the Federal, State and local governments. Furthermore, assessments of training and exercises should be based on clear and consistent performance measures. DHS should require all Federal and State entities with operational Homeland Security responsibilities to have a lessons learned capability, and DHS should ensure all entities are accountable for the timely implementation of remedial actions in response to lessons learned.
Recommendations:
104. DHS should finalize the Target Capabilities List (TCL). DHS should finalize the TCL by the end of Second Quarter, FY06 with input from Federal, State, local and professional entities in order to evaluate preparedness. The TCL should define performance-based standards and outcomes grounded in capabilities which can be used to assess a State’s ability to properly execute a desired mission. Without the TCL, training and exercises have no goal against which to measure their performance. Consequently, lessons are not learned or incorporated into the capabilities-based planning process.
105. Strengthen Homeland Security Council (HSC) coordination of Federal emergency training, exercises and lessons learned. Homeland Security Council should designate a Senior Director of Education, Training, Exercises, and Lessons Learned. The most recent Top Officials (“TOPOFF”) exercise in April 2005 revealed the Federal government’s lack of progress in addressing a number of preparedness deficiencies, many of which had been identified in previous exercises. This lack of progress reflects, in part, the absence of a remedial action program to systematically address lessons learned from exercises. To ensure appropriate priority and accountability are being applied to address these continuing deficiencies, the Assistant to the President for Homeland Security and Counterterrorism now annually conducts four Cabinet-level exercises with catastrophic scenarios. The HSC, weighing a variety of factors, should:
a. Establish the National goals of what should be trained and exercised for the coming year and make recommendations for follow-on goals;
b. Ensure the establishment of a Remedial Action Management Program (RAMP) to ensure agencies are enacting lessons learned to improve response capabilities. The RAMP would provide the basis for systematically identifying, analyzing, and monitoring the implementation of initiatives aimed at resolving deficiencies uncovered in exercises, training events, real-world events, and policy discussions. Equally important, the RAMP would conduct remedial action tracking and long-term trend analysis, ensuring that remedial actions are completed and inform the cycle of preparedness activities. This program will provide the Federal Interagency with the means of overcoming the perennial problem of observing the same issues repeatedly characterized as “lessons learned” in reports compiled following major events;
c. Review Senior Official exercise priorities to ensure more challenging scenarios based on the most catastrophic threats (natural and man-made) that exercise the National Goals and the use of Federal resources; and
d. Ensure all Cabinet Secretary, Deputy Secretary, Under Secretary and other appropriate personnel, especially those who are identified as primary or supporting agencies of Essential Support Functions, train and exercise on their respective roles for catastrophic events. This will help to meet the Interim National Preparedness Goal Overarching Priorities to “Implement the National Incident Management System and National Response Plan” through the use of Senior Official Exercises (SOEs).
106. All agencies with operational components should establish and fund Remedial Action Management Programs (RAMPs). All agencies with operational components should establish and fund RAMPs to identify and incorporate lessons learned by the end of FY06. This program will enable Federal agencies to overcome the perennial problem of observing recurring problems in AARs. To assist in this effort, DOD should work closely with DHS to establish the overall program, using the current DOD model as a basis.
107. DHS should conduct State and local officials training and exercises. Key State and local officials should participate in training and exercises to ensure Governors and their cabinets attend a training course on their roles and responsibilities during a disaster and be exercised annually. The same will hold true for mayors of UASI cities and their Urban Area Working Group. These steps will help the Nation meet the Interim National Preparedness Goal, Overarching Priorities to “Implement the National Incident Management System and National Response Plan” and “Expand Regional Collaboration.” Lack of coordination should be taken into consideration for future grant funding.
108. DHS should restructure the TOPOFF Exercise Series. DHS should restructure the scope and scale of the TOPOFF exercise series to provide maximum effectiveness for its participants before execution of the FY07 Full-Scale Exercise. Though the intention of TOPOFF was to utilize terrorist based scenarios, further scenarios should encompass all-hazards and be HSC-vetted. Scenarios for future exercises should include recovery issues that explore the role of the private sector and non-governmental agencies, including faith based organizations.
These restructured TOPOFF exercises should use a variety of exercise types, as outlined in the NEEP. Rather than simply conducting full-scale exercises every two years, the TOPOFF structure should execute a series of exercises every year identify lessons learned from those exercises in a timelier manner and issue an AAR that identifies the remedial actions to be taken with a deadline for implementation.
109. DHS should develop an Exercise Series to Evaluate Nationwide Preparedness Utilizing the Final TCL. DHS should provide a series of exercises to all Urban Area Security Initiative cities and State capitals. The purpose of these exercises should be to evaluate and provide a baseline for the Nation’s overall preparedness. These exercises should be provided through G&T’s Direct Support program. Once a current baseline of preparedness measures at the State level has been identified, each State, starting in FY 07, should get an annual level of preparedness status report. This report will be in the form of a comprehensive preparedness “report card” that will grade capabilities, exercises, training, effective use of federal grant monies, and other relevant criteria as a condition of further grant funding. Much like the President’s Management Agenda, States will be given the expected results which they need to accomplish with their grant funding. This “report card” would not only classify each State on their level of preparedness, but also track how well homeland security grant dollars are spent. States that do not use their grant dollars effectively would have their grant dollars reduced or terminated.
110. DHS should consolidate the DHS Training and Exercise Structure. DHS should consolidate homeland security related training and exercise assets in a new Office of Training, Exercises and Lessons Learned (TELL) during FY06. This office should reside under the Preparedness Directorate and reflect the continuing transformation within DHS. DHS should separate training and exercise components currently within the G&T and place those assets within the new TELL. Key components should include, but not be limited to: Noble Training Center, Center for Domestic Preparedness, National Emergency Training Center, National Exercise and Evaluation Program.
111. DHS should establish a National Exercise and Evaluation Program (NEEP). Building on the existing NEP, DHS should coordinate the establishment of a NEEP for homeland security related exercises by the end of FY06. As currently constructed the NEP does not include and coordinate the full range of National homeland security exercise programs. DHS should provide a “National Exercise Strategy” as prescribed by HSPD-8. The NEEP should designate HSEEP as the common exercise methodology across all levels of government, so all exercises are using the same doctrine. The NEEP should also include domestic and international exercises that enable Federal, State and local governments to improve interagency coordination across all types of crises. DHS should provide, on a periodic basis, consolidated Federal homeland security training and exercise schedule and a status report on lessons learned and appropriate follow-up from completed exercises to the HSC’s Director of Training, Exercises, and Lessons Learned. DOD’s Chairman’s Exercise Program and the joint Exercise Program) should not fall under DHS domain, but appropriate exercises should be coordinated with DHS and incorporated in the NEP/NEEP.
To assist Federal, State and local collaboration, DHS should develop and fund a National Exercise Simulation Center (SIMCEN), similar to the Department of Defense’s Joint Warfighting Center. The SIMCEN would act as a tool to simulate the Federal role in emergency response and be capable of working with State and local exercises. This SIMCEN should be designed to mirror the National operations center and provide a learning environment for Federal agencies. Agencies should be appropriately resourced, so that they are able to provide personnel to attend training and operate at the SIMCEN. DHS should support the use of simulation and modeling to assist in the development of operational procedures and exercises (particularly those based on catastrophic incidents) and as a resource to assist in responding to catastrophic incidents. Simulations of this type should be run out of the SIMCEN.
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