Annex A – Types of Exercise (Discussion, Table Top, Command/Control Post, and Live): ‘Pros’ and ‘Cons' Matrix

Cranfield University: An Introduction to Crisis Management Exercise Development & Design

Annex B – Exercise Checklist

Annex C – Scenario Considerations

A realistic scenario should be developed to ensure that all participants will take the exercise seriously. The exercise should also have a realistic timescale.

It should include:

• Day, date and time
• Nature of incident (consistent with exercise location)

Other considerations might be:

• Weather conditions including wind speed and direction
• Visibility
• Traffic conditions
• Progression of incident (e.g. different phases)
• People involved (e.g. vulnerable, young, elderly)

It is important that the scenario is not overly detailed with assumptions as it may result in the associated plan becoming too inflexible to deal with the unforeseen incidents of reality.

Top Tips:

• Use the experience of others
• Make use of materials from previous exercises
• Check newspapers/the media/the internet for scenario ideas

Time-Lapse

A decision to be made at an early stage is whether the exercise will flow in real time or consist of ‘snapshots’ i.e. a series of descriptions of how the scenario has progressed over time. For example, participants may spend a relatively short time considering the immediate actions to be taken before moving to a scenario ‘x hours in’ so that recovery issues can be considered. See below for further information on recovery exercises.

Care should be taken in time-lapse exercises to ensure all participants are aware of “Exercise time”. Objectives can be disrupted or false learning identified through confusion or a lack of alignment between the different groups or locations in an exercise.

Controlled or Free Play

In controlled exercises, the scenario and all events or incidents are pre-scripted.

The evolution of the exercise is tightly managed. This can be a very thorough way of testing specific aspects but may not evaluate whether a plan is sufficiently flexible to deal with the unexpected.

Free play exercises are much more spontaneous. Once the opening scenario has been established, the participants’ actions dictate subsequent events. This requires a large directing staff, a comprehensive scenario and access to much more background information. Although these can be stimulating in terms of realism and having to cope with the unexpected, it is possible that whole areas of a plan which require validation may be by-passed.

It is possible to combine control with free play in order to test both the degree of flexibility of the plan and the validity of any pre-identified aspects.

Media

Dealing with the media is a major part of responding to any incident and therefore should be practised as often as possible. The exercise planners could deploy student journalists or reporters from local media to test different agencies’ response to the media. For major exercises, a representative from the national media should be invited to attend. Exercise press conferences and interviews can be used to test the knowledge of the combined response.

Replicating Social Media feeds through a dedicated exercise website can be a very useful way of injecting public reaction and stimulating public communication messages.

Recovery

The learning from recovery exercises has shown that:

• In light of the cross-cutting nature of recovery, as wide a range of participants as possible should be involved in recovery exercises. From the Category 1 and 2 organisations this may include representation from social services, elected members, Railway Care teams. Other representation may cover Chambers of Commerce, community groups, faith leaders and possibly individual businesses. Invitation lists can be compiled based on those organisations detailed in the Recovery Plan. It is important that exercises are written to cover issues relevant to all organisations present, or else attendees may feel they have not benefited from attendance and it may be difficult to obtain their input at future events.
• It is difficult to reflect the true nature of recovery in an exercise, as in reality the recovery stage may last for years whereas an exercise normally only lasts for a day or two. This can be overcome by:
  • Holding a number of exercises to represent various stages of the recovery phase. These may be split by time (5 days after the incident, 2 weeks after, 2 months after etc), or by key milestones (prior to clean-up, once clean-up is complete etc)
  • Running one exercise but using ‘time-lapse’ at points during the day
• Whatever the approach, there needs to be a comprehensive pre-briefing which summarises the scenario and the decisions that have been taken during the response phase. This will help to ensure that players remain focussed on recovery issues. Consideration may be given to running recovery exercises on the back of response exercises.
• There is considerable benefit in exercising the handover phase from response to recovery so that the criteria that would be used to determine the right time for handover to take place and the handover processes themselves can be tested. This aspect can clearly be covered in both response and recovery exercises.
• As with response exercises, the scenarios used in recovery exercises should be prioritised in line with the key risks in the Risk and Preparedness Assessments (RPAs). However, Regional Resilience Partnerships (RRPs) may wish to adjust scenarios to ensure they test out those particular aspects of recovery which have been found to be weak/a gap in incidents and exercises elsewhere.
• The use of scenarios that result in recovery coordination being required across local authority or RRP/LRP boundaries are encouraged in order to explore the effectiveness of cross-boundary recovery structures and processes.
• Testing mutual aid arrangements, particularly between local authorities, is beneficial.

Annex D – Exercise Risk Assessment

This template is for the exercise as a whole. It is fully expected that individual organisations will have their own local methodology to risk assess for their own players.

Preparation for Exercise – Risk Assessment

Exercise Day - Risk Assessment

Note: Category* – Enter one of Infrastructure; Personnel; Location; Weather

Annex E – Health and Safety Considerations

Safety

The safety of personnel during the exercise is of paramount importance. In live exercises, all participants (including exercise directors, umpires, volunteers and observers) should be made aware of any hazards within the area and reminded of safety issues. Exercise participants may not be familiar with the location and control may be needed to ensure that players are kept within the confines of the exercise area.

Before a live exercise, a safety audit should be completed to ensure that structures are safe and no unseen dangers are present on the site. A safety officer must attend the exercise to ensure that all participants comply with the safety requirements and do not place themselves, or others, in danger.

First aid/ambulance cover should be provided to deal with any health problems or injuries sustained during the exercise. For safety reasons, exercise directors should adopt an agreed procedure for intervention into the exercise. The planning group should devise a codeword for this purpose and the means of relaying it to those participants without radio communication.

Welfare

Welfare needs vary depending on the type, timing and duration of the exercise. You may need to provide refreshments, changing, washing and toilet facilities before, during, or after the event. The use of casualties adds to the realism of exercises but their welfare needs to be taken into account, they should not be placed in unsuitable conditions e.g. cold, wet or hard surfaces without appropriate care.

Codenames/codewords

Exercises may be given a codename which should then be mandatory as a prefix to all messages (verbal or written) during the exercise. The use of codenames will ensure that everyone involved is aware that they are part of the exercise and not a real incident. Control Rooms/Operation Centres of all participating organisations must be informed about the codename prior to the exercise.

A codeword which can be used to identify that a real incident has occurred and is not part of the exercise, should be agreed and circulated to all participants prior to the event. This could also be used if there are real casualties during the exercise, the most commonly used example is ‘SAFEGUARD’.

Public Information

The exercise planning group should agree whether there should be any prior publicity. It may be advisable to issue public information to members of the public in the vicinity of the exercise to prevent any undue alarm, particularly for exercises at hazardous sites. However, this may attract a crowd of uninvited spectators.

‘Exercise in Progress’ signs may be strategically positioned. This can detract from the realism but reassures the public or uninvolved agencies, particularly in sensitive areas.

If public information is issued, the participants may also find out about the exercise and this could affect realism. The group may consider issuing information by letter to the public on the day of the exercise. Details for the media could be embargoed until the day of the exercise.

Annex F – Exercise Instruction Guidelines

Below are suggested paragraph headings for an Exercise Instruction. Please tailor the paragraphs to meet the needs of the different groups requiring an Exercise Instruction. For example, the Exercise Instruction for those running the exercise will be a lot more detailed than the Exercise Instruction for those being exercised.

General

Exercise Name and Date

Introduction

A short paragraph putting the exercise into context by referring to the pre-exercise training of the agencies and individuals involved, the exercise calendar or series to which it belongs and the timescale.

Aim

The overall aim of the exercise.

Objectives and Success Criteria

A list of the exercise objectives, and how each will be measured.

Scope

A short paragraph detailing the scope of the exercise.

Debriefs

Details of debrief dates, times and locations, and anticipated publication date of the post exercise report. It should include detail of expected representation at any such meetings.

Delivery

The delivery paragraph is a description of the exercise expressed under a number of sub headings. Specific details such as timings and movement etc should be omitted from the text of the various headings and taken forward to the coordinating instructions paragraph. The paragraph headings are as follows.

Participants

A list of the agencies, groups and key personnel taking part. A separate graphic may show how the relationship of the various participants in the context of the exercise. The communications map may be included in this graphic.

Scenario

A short introduction of the scenario. The scenario should be realistic, believable and easily understood. The main scenario will be attached as an annex.

Activities

This paragraph allows the exercise staff to offer an explanation as to how each of the main activities will be conducted. This paragraph may introduce new processes, procedures or ideas. The details should be attached as an annex.

Conduct of the Exercise

A short explanation of how the exercise will be run, including key locations. This paragraph will introduce the Main Events List and Timeline which will be attached as an annex.

Programme and Coordinating Instructions

The programme gives an outline of the dates and timings for the entire exercise (including pre-exercise briefings etc). It may be expressed in the form of a table. Any detail relating to movement and the coordination of phases can also be included here.

Exercise Support

The exercise support paragraph contains details of all of the logistical matters. It is comprised of a number of sub headings including:

• Real Estate
• Property
• Welfare Support
• Equipment
• Non-operational movement support
• Medical Support
• Health and Safety
• Dress Code

Control and Communications

The Control and Communications paragraph contains details of how those participating will communicate as well as how the exercise will be managed and controlled. It may contain the following headings.

Exercise Staff

A list of the names of the following individuals:

• Exercise Sponsor
• Exercise Director
• Exercise Planner/Planning Team and division of responsibility

Exercise Control Staff

A list of the names of the following individuals:

• Exercise Controller
• Exercise Facilitators
• Umpires
• Safety Staff

Communications Plan

The communications plan is expressed as a number of sub-headings detailing how the various groups taking part or controlling the exercise will communicate. It will contain details of the following:

• The start and end of the exercise
• The communications systems being use by the various agencies or groups
• The interoperability issues of the various systems
• The communications map (usually attached as an Annex)
• Details of how the communications systems have been replicated or simulated
• Details of what technical support being provided during the exercise and who will provide it
• Specific constraints effecting communications
• Contact List

Media Operations

The media sub heading will contain details of the media plan including:

• The name of the individual leading on the media operations
• The media strategy for the exercise
• Coordination of media operations across agencies
• Media Aim and Objectives
• Key Messages
• Details of planned releases
• Details of how reactive releases will be dealt with
• Freedom of Information Requests
• Prepared Questions and Answers

Safety

This paragraph should include detail of all codewords and their intended meaning. The following is an example and can be provided as an annex to the final document.

Codewords

The use of Codewords will ensure that everyone involved is aware that they are part of the Exercise and not a real incident. Each organisation will ensure that all personnel and in particular Control Room operators are aware of the Codewords prior to the Exercise.

The ‘Safeguard’ codeword will be used to identify that a real incident has occurred within Exercise Play.

The following Codewords will be used:

Safeguard Card

It is important to note that if players are requested by any umpire or agency representative to stop playing to facilitate the smooth running of the exercise, that a correct form of words is used.

The following term indicates that players will stop playing: “Please step out of role”.

On commencement of play the following term should be used: “Please commence role play”.

In addition to the above procedure all players will be issued with a Safeguard Card. This card is only to be used in the event of genuine injury or illness in the course of exercise play. The card should be held up and the word Safeguard shouted.

Administration and Personnel

Documents

A list of the documentation issued in relation to the exercise.

Participants

A list of all of the individual participants being exercised (as far as is practicable).

Observers

A list of observers.

Post Exercise Report Details

Including:

• Who will be responsible for writing the report
• How data will be collected
• How the report will compiled
• The arrangements for the Post Exercise Report conference
• Specific inputs required by individuals
• When the Post Exercise Report will be published

Annexes

Annexes allow the finite detail required by the various parties to be included in the exercise instruction without clogging the main document. It also allows information concerned with the control of the exercise to be withheld from those who do require it.

Possible annexes which may be included are:

• Scenario
• Main Events List
• Timeline
• Equipment
• Map List
• Route Maps
• Communications Plan
• Communications Map
• Contact list of directing staff and umpires
• Codewords
• Media Plan
• Detailed Timings
• Welfare Plan
• Health and Safety Risk Assessment and Method Statement
• Dress Code
• Glossary of Terms

Any concerns regarding personal health and safety or the health and safety of others during the exercise should be drawn to the attention of the Safety Officer or Exercise Director immediately. An assessment will be made as to whether the exercise can continue.

If a genuine injury is sustained (as opposed to a simulated injury) use and repeat the codeword to attract attention. Under no circumstances should these words be used by role playing casualties.

Notification of exercise suspension/abandonment/completion will be given by: (codewords or audible signals)

Any participants who wish to raise concerns about personal health and safety or pose questions relevant to health and safety after this briefing but before the exercise, should see ………………. or their line manager. All questions and responses must be recorded and forwarded to the Exercise Planning Team.

* A ‘health and safety risk assessment’ of the planned exercise is essential good practice. The method to undertake this should be an early consideration of the Exercise Planning Group. Each participating organisation must assess whether there is a need for an individual assessment or whether one agency should undertake the risk assessment and share information with other participating agencies.

Annex H – Sample Main Events List

Annex I – Participant Response Sheet

Please provide detail of 3 positive aspects of the exercise

1.

2.

3.

Please provide detail of 3 aspects of the exercise that you feel did not work well

1.

2.

3.

What areas of improvement are there, regarding:

a) Your specific role

b) The exercise generally

Have you identified any training needs from this event? If yes, please specify.

Annex J – Exercise Debrief Format

Introduction

• Introductions
• Alarms/Fire/First Aid/Toilets
• Use of Mobile Phones/Pagers
• Debrief Aim
• Big Picture context - i.e. why are we doing this debrief

Establish how the debrief will be conducted and/or ground rules – for example:

• The debrief will concentrate on key issues and priorities not an extensive list from each participant but if they have extra issues they can email (provide contact details)
• Respect the views of other participants
• Participants need to be as frank and open as possible

Confirm the outcomes of this debrief and feedback to participants

Three negative aspects of the exercise to be provided by each attendee

Three positive aspects of the exercise from each attendee

Learning points

For example:

• The most significant thing that I have learnt is…
• If I was responsible for the next exercise I would recommend …
• If I was responsible for the plan my 2 priorities would be…
• My greatest concern is…

Conclusion

• Thank participants for their contributions
• Reminder: Additional debrief points can be emailed to (contact details)
• Reminder: Outcomes of this debrief and feedback to participants

Annex K – Post Exercise Report

Executive Summary

A brief summary of exercise, the key recommendations and salient issues should be included here.

1. Basic Details

This section should detail the information provided in Section 2 of the Exercise

Planning Document, including:

• Exercise Aim and Objectives
• Overview of the scenario
• Scale of the exercise
• Scope of the exercise
• Level of play (strategic, tactical, operational)
• Participants, and
• Type of exercise and method of deliver

2. Evaluation Section

2.1 Assessment of Overall Objectives

2.2 Operational Lessons Identified and Recommendations for Action

2.3. Exercise Planning and Delivery Lessons Identified and Recommendations for Action

3. Summary

Conclusions

Circulation of Report (this should include all attendee organisations)

Acknowledgements

Other documentation

E.g. Exercise Risk Assessment; Exercise Costing Template, observer notes, timelines etc.