SECURITY-BASED TABLETOP EXERCISE USER GUIDE 6/23/2015 Page 1 of 6
INTRODUCTION Emergency incidents are not common occurrences, but the timely and appropriate response to an incident is critical to the protection of the public. Therefore, public health, hospitals and law enforcement should employ a variety of methods to ensure that they are appropriately prepared for an emergency. Tabletop exercises are one of several options for preparedness planning. It is important that the tabletop be structured to allow the utility to fairly and accurately assess the level of readiness of key personnel. In addition, the exercise should provide an environment that enhances the confidence of key personnel so that they can handle emergency incidents. Tabletops are generally used to acquaint personnel with policies and procedures by providing a general overview of the emergency response plan and its components. The purpose of a tabletop is to have participants practice problem solving and resolve questions of coordination and assignment. This planning guide is intended to facilitate a security-based tabletop exercise by providing a framework for development of the tabletop that helps focus the effort in an efficient and effective manner. SCOPE Tabletops are structured to simulate a response to an emergency without time to resolve problems based on applicable emergency plans. A facilitator guides the exercise and provides dynamic input to ensure continuity of the exercise play. Tabletops are useful in developing interaction between team members; identifying/clarifying roles and responsibilities; general teambuilding; identification of duplications; and providing initial or continuing training due to changes to regulations and procedures, related to emergency response. The application of this guidance should be tailored to meet the needs of your jurisdiction. Sections may be deleted or enhanced as determined by the exercise planners. SCENARIO DEVELOPMENT This toolkit contains a pandemic influenza based scenario. This PowerPoint presentation is designed to allow the user to modify information and dates to develop an accurate and realistic exercise scenario for your local jurisdiction. During the initial field testing of this exercise, we utilized three mock news updates to further define the exercise scenario. In the PowerPoint presentation, we have formatted the slides where the respective video clips will be played. In order for the video clips to function properly as part of the PowerPoint presentation, they must be co-located (saved) in the same folder as the PowerPoint presentation. 6/23/2015 Page 2 of 6
Please take the following steps to set up your presentation: Create a new folder on your C drive that will contain the PowerPoint file and videos. Open the PowerPoint presentation on the DVD and save it to that folder. Close the DVD. Go to "My Computer", or "Computer" if using Windows 7. Navigate to the drive where the DVD is inserted. Right click on the On the Safe Side icon and select "Open". Go to the AutoPlay file folder. Double click to open the folder, navigate to the "Docs" folder. Double click to open the Docs folder. Copy the three video files and paste them into the new folder you created on the C drive. Test that the presentation operates properly by viewing it as a slide show. The videos should start automatically. If you move the presentation to an external or USB drive, you should verify that it is operating properly. ROLES IN A TABLETOP EXERCISE Coordinator The coordinator is responsible for the logistical arrangements related to the tabletop exercise. The coordinator may or may not act as the facilitator of the exercise. The coordinator should collaborate with the facilitator. The Workshop Planning Matrix contained in the Law Enforcement and Healthcare Workshop component of the toolkit can be modified to assist the coordinator and exercise planning team in planning the exercise. Facilitator The facilitator provides the overall management control and direction during the execution of the tabletop. The facilitator controls event time and prompts discussion among participants. The facilitator should have fundamental knowledge of the scenario content. The facilitator should be familiar with the applicable emergency plans to be exercised and have a general understanding of the participating emergency response organizations. The facilitator should not be a principal or key operational member of the local emergency organization being exercised. The facilitator should review the tabletop package prior to execution to ensure all objectives can be successfully achieved. The facilitator is the primary authority for decisions related to initiation, suspension, and termination of any tabletop discussion areas. The facilitator should stimulate discussion and draw answers and solutions from group (not supply answers to the group). The facilitator must be able to make decisions and on the spot changes during the execution of the 6/23/2015 Page 3 of 6
tabletop, as they relate to modifying the focus and complexity of the question sets and controlling the event time to allow for maximum educational opportunity. Evaluators Evaluators observe the proceedings and the group progress toward the objectives set for the tabletop exercise. It is important to choose the right evaluators for your tabletop exercise. Subject matter experts are always good options for evaluators. The coordinator needs to ensure that evaluators receive training and appropriate exercise evaluation guides. Evaluators should be familiar with the exercise objectives and scenario development. Evaluators should be checking to ensure that all exercise objectives are met. Included in this toolkit are the sample evaluator and staff observation forms that can assist evaluator/s with record keeping. Players Players respond to the situation presented based on expert knowledge of response procedures, current plans and procedures in place in their community or agency, and insights derived from training and experience. DEBREIF / HOT WASH A debrief (for planners, facilitators, and evaluators) and a hot wash (for players) should occur at the end of the exercise. The debriefing provides a time for the exercise planners, facilitators, and evaluators to review and provide feedback on the exercise. The debriefing should be a facilitated discussion that allows each person to provide an overview of the area they observed and document both strengths and weaknesses. A hot wash is a discussion of what worked and what did not work during the tabletop exercise. The hot wash should occur immediately follow the exercise. All participants should be given the opportunity to voice their opinions and provide suggestions for improvement. After the hot wash, evaluators will coordinate and document the findings. AFTER ACTION REPORT/IMPROVEMENT PLAN PROCESS After an exercise is completed, an After Action Report should be completed and an Improvement Plan should be developed. The draft After Action Report and Improvement Plan is usually developed within a time period of 60 days after the exercise has been completed. The results of these processes are presented to the participants of the exercise at an After Action Report and Improvement Plan Conference. The After Action Report and Improvement Plan provide feedback to participating jurisdictions on their performance during the exercise. The After Action Report summarizes what happened and analyzes performance of the tasks identified through the planning process as critical. Additionally, it includes recommendation for improvements based on this analysis and serves as the basis for what will be addressed in the Improvement Plan. The After Action Report can help verify if exercise goals were achieved, serve as a guide for future exercise development, and can provide information on training needs and staff deficiencies. 6/23/2015 Page 4 of 6
The Improvement Plan identifies recommendations, action items, responsible persons, and due dates. Each agency/organization should ensure the each action item is tracked to completion. The After Action Report/Improvement Plan Conference is utilized as a venue to present evaluation findings and recommendations from the After Action Report. This conference is designed to identify changes to draft After Action Report and Improvement Plan matrix. The format of the After Action Report/Improvement Plan Conference is a facilitated discussion. Included in this Additional Resources section is a link to the Homeland Security Exercise and Evaluation Program. This program constitutes a national standard for all exercises and supports organizations to achieve objective assessments of their capabilities so that strengths and areas for improvement are identified, corrected, and shared as appropriate prior to a real incident. SECURITY-BASED TABLETOP EXERCISE ELEMENTS This section provides a listing of each element included in the tabletop exercise tool. A short description of each tabletop element is also included. SAVE THE DATE FLYER Description: Let your community partners and stakeholders know what you are planning. The sample flyer can be customized to your local information. REGISTRATION FORM Description: Want to know who will be attending your tabletop? This sample registration form can be customized to your local information. AGENDA AND OBJECTIVES Description: What will be covered during the tabletop? What are the objectives? This sample document can be customized to include the sponsoring agency, the exercise date and location, and the exercise objectives. EXERCISE SCENARIO Description: The exercise provided in this document is created around an influenza pandemic. The exercise is created in Microsoft PowerPoint. 6/23/2015 Page 5 of 6
FACILITATOR GUIDE Description: This guide is provided for the facilitator s use. The guide contains the same scenario and questions as the participant handouts, but also includes answers/suggestions for those questions. Questions are in blue and answers are in red. PARTICIPANT HANDOUT Description: This document should be provided to each participant just before the scenario unfolds. This will ensure that participants do not look ahead and identify the outcomes being addressed. PARTICIPANT EVALUATION FORM Description: How well did you do? At the end of the tabletop exercise, participants should complete an evaluation to assess how well the tabletop exercise fulfilled its objectives. This sample form can be customized with tabletop exercise date, location, and topics. STAFF OBSERVATION FORM Description: How did we do? Following the tabletop exercise, it is important to perform an internal assessment with staff, partners, and evaluators. This form allows for consistency in noting the critical areas and provides the sponsoring agency with valuable feedback that can be used to improve future tabletop exercises. This sample form can be customized with the tabletop exercise date and location. ADDITIONAL RESOURCES Description: Need more information? These additional resources provide other helpful planning information that will assist users in developing and implementing a tabletop exercise. 6/23/2015 Page 6 of 6