Scenario-Driven Planning Workshop Process

DRAFT

December 21, 2004
IEM/TEC04-104

Prepared By
IEM, Inc. Four United Plaza 8555 United Plaza Blvd., Suite 100 Baton Rouge, LA 70809

Prepared For
FEMA 500 C Street S.W. Washington, D.C. 20472

Prepared Under
FEMA BPA HSFEHQ-04-A-0288, Task Order 001

Disclaimer
This document is for reference only. Readers should not construe this document as representing official FEMA policy or regulations. Conflicts with existing policy or regulations should be addressed to FEMA Headquarters, 500 C Street S.W., Washington, DC 20472.

Scenario-Driven Planning Workshop Process—DRAFT

EXECUTIVE SUMMARY
The common exercise process uses a scenario to drive execution of the plan and is designed to evaluate plans already in place. After the exercise, an after-action report details needed improvements, with changes in emergency plans coming later. The scenario-driven planning workshop produces functional plans ready to use immediately post-workshop. This process is extremely useful for addressing jurisdictional conflicts and the participation by a variety of Federal, State, local, and volunteer agencies enhances the interoperability of the plans. The concept of a scenario-driven planning workshop was introduced with much success in July 2004 when over 350 participants spent eight days producing a plan for response to and recovery from a catastrophic hurricane striking southeast Louisiana. This workshop, along with a follow-on workshop held November–December 2004, produced a series of 15 functional plans. This document outlines the process used to develop and implement a scenario-driven planning workshop, including workshop management, workshop planning, conducting the workshop, and post-workshop activities.

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TABLE OF CONTENTS
1.0 INTRODUCTION 2.0 WORKSHOP MANAGEMENT
2.1 Roles and Responsibilities 2.1.1 Unified Command 2.1.2 Steering Committee 2.1.3 External Affairs 2.1.4 Workshop Design 2.1.5 Administrative/Finance 2.1.6 Logistics 2.1.7 Operations 2.1.8 Plans

1 1
1 1 2 2 2 3 3 3 3

3.0 WORKSHOP PLANNING PROCESS
3.1 Master Plan 3.2 Historical Data Collection, Scenario Definition, and Consequence Development 3.3 Workshop Support Materials 3.4 Logistics

4
4 4 5 5

4.0 CONDUCTING THE WORKSHOP 5.0 POST-WORKSHOP ACTIVITIES 6.0 CONCLUSIONS 7.0 POINTS OF CONTACT APPENDIX: PROCESS FLOW CHARTS
Pre-Workshop Workshop Post-Workshop

6 6 7 8 9
9 10 11

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1.0 Introduction
The common exercise process uses a scenario to drive execution of the plan and is designed to evaluate plans already in place. After the exercise, an after-action report details needed improvements, with changes in emergency plans coming later. The scenario-driven planning workshop produces functional plans ready to use immediately post-workshop. This process is extremely useful for addressing jurisdictional conflicts and the participation by a variety of Federal, State, local, and volunteer agencies enhances the interoperability of the plans. The concept of a scenario-driven planning workshop was introduced with much success in July 2004 when over 350 participants spent eight days producing a plan for response to and recovery from a catastrophic hurricane striking southeast Louisiana. This workshop, along with a follow-on workshop held November– December 2004, produced a series of 15 functional plans. This document outlines the process used to develop and implement a scenariodriven planning workshop.

2.0 Workshop Management
In order for any process to be successful, a well-defined management structure must be in place. For a scenario-driven planning workshop of this type, the following management structure is suggested.

Figure 1: Workshop Management Structure

2.1 Roles and Responsibilities
The roles and responsibilities of each organizational element are described in the sections below. 2.1.1 Unified Command The workshop’s Unified Command provides senior leadership for the workshop and is composed of members from FEMA Headquarters, the appropriate FEMA

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Region(s), leaders from the appropriate state(s), and other senior leaders as deemed necessary. The Unified Command will: • • • • Approve the workshop concept, working group leads, and any associated budgets Represent key management positions during the workshop Provide guidance to the workshop’s Steering Committee on all workshoprelated matters Provide guidance to the External Affairs group

2.1.2 Steering Committee The workshop’s Steering Committee provides oversight on workshop-related matters as directed by the Unified Command. It is composed of members from FEMA Headquarters, the appropriate FEMA Region(s), the appropriate state(s), and others as prescribed by the Unified Command. The Steering Committee will: • • • • • • • Brief the Unified Command periodically on all workshop matters Oversee the development of the workshop concept Recommend leads for all working groups to the Unified Command for approval Develop the workshop budget in association with the Administrative/Finance working group Direct and monitor tasks assigned to each working group Brief the applicable State and local emergency management agencies on the workshop concept Approve the list of workshop participants

2.1.3 External Affairs The External Affairs group is composed of members from FEMA Headquarters, the appropriate FEMA Region(s), and the appropriate state(s) and will: • • Work directly with the Unified Command and have a staff relationship with the Steering Committee Coordinate media affairs for the workshop

2.1.4 Workshop Design The Workshop Design group is composed of members from the appropriate FEMA Region(s), the appropriate state(s), contractor representatives, and other subject matter experts as prescribed by the Steering Committee and will: • • Develop the workshop scenario and consequences based on the scenario Develop and produce workshop support materials (e.g., participant information packet and visual aids)
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• • • • •

Collect and make available all existing plans, models, and studies relevant to the workshop Train workshop facilitators and recorders Work in conjunction with the Steering Committee to develop the workshop mission, session objectives, and end products Develop a standard format for all workshop products Perform other workshop design duties as specified by the Steering Committee

2.1.5 Administrative/Finance The Administrative/Finance group is composed of members from FEMA Headquarters, the appropriate FEMA Region(s), and the appropriate state(s) and will: • • • • • Develop detailed budgets for both Federal and State entities Develop reports for each working group for monitoring spending Coordinate with each working group to develop a directory of all workshop participants Coordinate hotel accommodations for participants identified by the working groups Develop administrative and security requirements for the workshop

2.1.6 Logistics The Logistics group is composed of members from the appropriate FEMA Region(s) and the appropriate state(s) and will coordinate all logistical support for the workshop (e.g., computers, printers, fax machines, duplication services, and projectors). 2.1.7 Operations The Operations group is composed of members from the appropriate FEMA Region(s) and the appropriate state(s) and will: • • • Coordinate workshop personnel support Coordinate with the Plans working group to ensure proper development of all workshop products Create, in conjunction with the Plans working group, all situational and operational briefings during the workshop

2.1.8 Plans The Plans group is composed of members from the appropriate FEMA Region(s) and the appropriate state(s) and will: •
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Facilitate work with the workshop contractor
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• • •

Ensure continuity among all workshop products Compile limiting factors after each workshop session and propose solutions Create, in conjunction with the Operations working group, all situational and operational briefings during the workshop

3.0 Workshop Planning Process
3.1 Master Plan
The workshop’s master plan, developed by the Steering Committee with support from all other working groups, is based on the approved workshop concept and serves as the blueprint for the entire workshop. The master plan: • Defines the workshop’s mission, objectives, and end products. Welldefined objectives ensure that the workshop will successfully achieve the mission. A daily schedule for each planning group can be developed based on the objectives. Defines the planning areas to be addressed during the workshop. These planning areas include the permanent planning areas, where the topic remains constant throughout the entire workshop. A suggested list of temporary planning areas, topics that will be specified by the Unified Command on a daily basis, should also be included. The size and length of the workshop will dictate the number of planning areas that can be sufficiently addressed. Describes the workshop organization and identifies leadership Defines a standard format for all products to be produced during the workshop Includes the product maintenance plan, used to maintain, update, and validate workshop products over time, as appropriate Identifies agencies participating in the workshop and defines their roles Defines the workshop calendar and milestones Identifies workshop logistical needs

• • • • • •

3.2 Historical Data Collection, Scenario Definition, and Consequence Development
Prior to the workshop, all existing plans, models, studies, and data relevant to the workshop topics will be gathered by the Workshop Design group. This information is not only useful for developing the scenario and associated consequences, but ensures that workshop participants will have a starting point for their work. This eliminates the danger of losing valuable workshop time

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performing research or generating information that already exists. A copy of all historical data will be provided to each participant via electronic media. Development of the scenario is the responsibility of the Workshop Design working group. The scenario should be realistic and detailed enough to help participants achieve their workshop objectives, yet not so detailed as to allow participants to get “lost” in the details. Consequences based on the workshop scenario will be developed by the contractor. After initial development of the consequences, review and approval by both the Workshop Design group and critical stakeholders is necessary to ensure concurrence with results prior to the workshop.

3.3 Workshop Support Materials
A variety of support materials are necessary for workshop success. Each workshop participant will receive a participant information packet developed by the Workshop Design group containing: • • • • • Workshop schedules and objectives Workshop key contact information Scenario and consequence narratives and briefings Complete participant roster Administrative information

Maps and other visual aids representing the scenario consequences should be provided for each planning group. The format of these aids will be determined by the Workshop Design group. Security badges will also be provided by the contractor. Security requirements will depend on the workshop location.

3.4 Logistics
Workshop logistical needs will be identified by the workshop’s master plan. Once these needs have been identified and a location is secured for the workshop, logistical support can then be provided. This support will be coordinated by the Logistics working group. The Exercise Design group will work with other working groups and the Steering Committee to secure participant commitments from all identified participating organizations. These participants will be tracked using a workshop participant database.

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The Administrative/Finance working group will coordinate hotel accommodations for all participants, as well as send letters of invitation/travel authorization to participants that have committed to attending the workshop.

4.0 Conducting the Workshop
Prior to the start of the first workshop session, an orientation briefing should be provided to all participants. This briefing should inform the participants as to the mission and objectives of the workshop, daily protocol, scenario information, and initial consequence information. Prior to each workshop session, daily briefings with updates on scenario and consequence information should be given. Participants will report daily to their assigned planning areas, where they will work to achieve the daily objectives specified by the workshop master plan. These planning areas may be permanent planning areas, where the topic remains constant throughout the entire workshop, or temporary planning areas, with topics specified by the Unified Command on a daily basis. These temporary planning areas (also referred to as action topics) will draw their participants from the permanent planning areas (also referred to as breakout topics), based on direction from the Unified Command and the Operations working group. At the conclusion of each workshop session, each planning group will brief the Unified Command on the group’s progress. The briefing team should include at least one representative each from Federal, State, and local agencies. After reviewing each session’s results, the Unified Command will determine the temporary planning areas for the next workshop session. The contractor will then prepare updates to workshop materials for distribution to each participant before the following workshop session. At the conclusion of the final workshop session, each planning group will brief the Unified Command and FEMA Headquarters on the draft workshop products. This briefing can also serve as the closing briefing to all participants. It is important that all participants are made aware of the need for continued maintenance of the workshop products and the procedures for achieving this.

5.0 Post-Workshop Activities
The draft products produced during the workshop will need refinement. Following the workshop, the contractor will edit the workshop products and submit them as drafts to the Unified Command for review and approval. Following final approval, copies of the products will be distributed to all workshop participants along with a letter thanking each participant for their contributions. Following the completion of the workshop and approval of the final products, the product maintenance plan will be implemented. This plan will ensure that the workshop products remain current and are periodically validated.

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6.0 Conclusions
The benefits of a scenario-driven planning workshop are numerous. Perhaps most importantly, the products produced can be implemented immediately. The workshop also allows operational personnel to contribute to the plans that they will ultimately execute. This process yielded a very successful series of workshops in Louisiana. The process may need refining or modification for further workshops in other areas; however, the core concepts outlined in this document should provide a basis for all future scenario-driven planning workshops.

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7 . 0 P o i n ts o f C o n ta c t
The IEM point of contact for this report is Brad Tiffee. He may be reached at: IEM, Inc. 8555 United Plaza Blvd., Suite 100 Baton Rouge, LA 70809 (225) 952-8229 (225) 952-8122 (fax) brad.tiffee@ieminc.com The alternate point of contact is Wayne Thomas. He may be reached at: IEM, Inc. 2751 Buford Highway, Suite 204 Druid Pointe Atlanta, GA 30324 (404) 214-0330 (404) 214-0337 (fax) wayne.thomas@ieminc.com

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Appendix: Process Flow Charts
Pre-Workshop
Master Plan Develop Workshop Concept FEMA, State(s), and Others Approve Concept and Obligate Funding Develop Contractor Statement of Work Secure Workshop Contractor Develop and Produce Workshop Support Materials Support Materals

Identify Major Players Determine Workshop Location Suggest Workshop End Products Develop Timeline of Events Determine Required Funding

Develop Project Organization and Identify Leadership

Develop Workshop Master Plan

Collect Relevant Existing Plans, Models, and Studies

Train Workshop Facilitators and Recorders

Consequence Maps Scenario Aids Participant Guide Security Badges Collection of Previous Plans/Models/Studies

Project Lead Workshop Steering Committee Workshop Design Team Personnel for Workshop Planning Efforts Unified Command/Senior Leadership Operations Group Plans Group Logistics Group Finance/Administration Group External Affairs Group

Define Workshop Mission, Objectives, and End Products

Develop Standard Format for Plans to be Produced During Workshop

Identify Participating Organizations and Their Roles

Define Project Calendar and Milestones

Develop Workshop Scenario

Develop Daily Schedule for Each Planning Group Based on Objectives

Determine Logistical Needs

Well-Defined Objectives Ensure Success Definition of Workshop End Products Develop Plan to Maintain and Update Workshop Products as Appropriate

Emphasis on Continuity During the Workshop Develop Consequences Based on Scenario

Secure Participant Commitments

Develop Participant Database

Scenario and Consequences Secure Location for Workshop Obtain Hotel Accommodations for Participants Send Letters of Invitation/Travel Authorization to Participants Invitation Letters

Provide Logistical Support for Workshop

Computers Printers Fax Machines Duplication Services Projectors and Screens

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Workshop
Set Up for Workshop Conduct Orientation Briefing for Participants

DAILY WORKSHOP ACTIVITY

Conduct Scenario and Consequence Briefings

NO

Planning Groups Work on Plans

Populate Action Rooms

Conduct Closing Briefing to Participants

Draft Workshop Products

Daily Workshop Products

Planning Groups Brief Unified Command

Ensure Commitment to Maintenance

Conduct Final Briefing to Unified Command and FEMA HQ

Produce Draft Workshop Products

Last Day?

Unified Command Determines New Action Room Topics

YES

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Post-Workshop
Draft Workshop Products Determine Timelines for End Product Submission Edit Workshop Products and Submit for Review FEMA, State(s), and Other Agencies Approve Products Brief End Products to Leadership at FEMA, State(s), and Other Agencies

Produce Joint Letter from Workshop Leadership to Participants

Final Draft Workshop Products

Final Workshop Products

Distribute Final Workshop Products to Participants

Initiate Product Maintenance Plan

Letter to Participants

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