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Writing an After Action Report and Improvement Plan

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Title: Writing an After Action Report and Improvement Plan


1
Writing an After Action Report and Improvement
Plan
  • Elizabeth Jane Tangwall
  • DVM, MEP
  • Minnesota Department of Health,
  • Office of Emergency Preparedness,
  • Exercise Planner

2
Why bother?
  • Funding source requirements

3
After Action Reports
  • What do you gain?
  • training
  • planning

4
Exercise cycle
  • Self-sustaining
  • programs

Plans, policies and procedures
Orientation training
After action report/ Improvement Plan
Exercise
5
HSEEP
  • Homeland Security Exercise and Evaluation Program
  • Provides a standardized methodology for
    designing, conducting and evaluating all
    exercises
  • Builds self-sustaining exercise programs based on
    the Target Capabilities from the National
    Preparedness System

6
HSEEP
  • HSEEP (https//hseep.dhs.gov) Volumes
  • I Overview and Exercise Program
    Management
  • II Exercise Planning and Conduct
  • III Exercise Evaluation and
    Improvement Planning
  • IV Library
  • V Prevention Exercises

7
HSEEP
  • HSEEP Toolkit
  • National Exercise Schedule System
  • Design and Development System
  • Corrective Action Program (CAP) System
  • Our focus today will from Volume III Exercise
    Evaluation and improvement Planning

8
HSEEP Compliance
  • Defined as adherence to specific HSEEP -mandated
    practices for
  • Exercise program management,
  • Design,
  • Development,
  • Conduct,
  • Evaluation, and
  • Improvement planning

9
HSEEP Compliance
  • In order for an entity to be considered HSEEP
    compliant it must satisfy four distinct
    performance requirements

10
HSEEP Compliance
  • Conduct an annual Training and Exercise Plan
    Workshop and developing and maintain a Multi-year
    Training and Exercise Plan.
  • Plan and conduct exercises in accordance with the
    guidelines set forth in HSEEP Volumes I-III.
  • Develop and submit a properly formatted
    After-Action Report/ Improvement Plan (AAR/IP).
  • Track and implement corrective actions identified
    in the AAR/IP.

11
Timelines for AAR and IPs
  • Draft AAR (
  • After Action Conference
  • Final AAR and Improvement Plan (
  • Tracking and retest

12
Content of an AAR
  • Objectives
  • Evaluator information
  • Hotwash information
  • Participant Evaluations
  • Integrity

13
Objectives from the Exercise
  • The objectives should address the Target
    Capabilities from the National Preparedness
    System

What are Target Capabilities?
14
National Preparedness System
  • Guides Federal funding allocations decisions
  • Directs Federal and non-Federal efforts to build
    emergency response capabilities
  • Establishes a means by which homeland security
    priorities are set.

15
National Preparedness System
  • National Planning Scenarios
  • Universal Task List (UTL)
  • Target Capabilities List (TCL)
  • National Response Plan (NRP)
  • National Incident Management System (NIMS)
  • National Infrastructure Protection Plan

16
Universal Task List
  • Common Tasks (5)
  • Prevent Mission (16)
  • Protect Mission (13)
  • Respond Mission (15)
  • Recover Mission (14)

17
Target Capabilities List
  • Tasks are organized into 37 capabilities
  • Leads to capabilities-based planning
  • Exercise objectives should address the Target
    Capabilities List (TCL)

18
Target Capabilities List
  • Missions
  • Common (4)
  • Prevent (5)
  • Protect (4)
  • Respond (21)
  • Recover (3)

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  • Jane- this is where I think it would be good to
    insert whatever pieces you like form the Homeland
    security module 6 and 7.
  • Just mark which ones you want incorporated and I
    will do that

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Content of the AAR
  • Objectives
  • Evaluator information
  • Hotwash information
  • Participant Evaluations
  • Integrity

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Content of the AAR
  • Objectives
  • Evaluator information
  • Hotwash information
  • Participant Evaluations
  • Integrity

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Content of the AAR
  • Objectives
  • Evaluator information
  • Hotwash information
  • Participant Evaluations
  • Integrity

41
Content of the AAR
  • Participant Evaluations
  • What went well?
  • What didnt go so well?
  • What should be improved?

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Content of the AAR
  • Objectives
  • Evaluator information
  • Hotwash information
  • Participant Evaluations
  • Integrity

49
Content of the AAR
  • Integrity
  • The content in the after action report for an
    exercise should come from the documents, actions,
    and participant comments in the exercise.

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Format of the AAR
  • For this next section, please refer to the copy
    of the HSEEP After Action Report Template and
    their sample AAR from the HSEEP training
    materials provided with your handouts.

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Format of the AAR
  • General
  • The draft must be clearly identified as a draft
    with a large watermark
  • The Final will be clearly identified as a final
    document.

54
Format of the AAR
  • Report cover should include
  • Exercise Name
  • Date(s) the exercise was conducted
  • The words After Action Report/ Improvement Plan
  • Date the AAR/IP was published
  • Identify or add logos, color, or pictures

55
Format of the AAR
  • Administrative Handling Instructions
  • For official use only (FUOU)
  • By invitation only (IO)
  • Sensitive but unclassified (SBU)
  • Identify who may approve dissemination (e.g.
    sponsor agency or lead planner) and additional
    guidelines on use.
  • Include a distribution list of recipients and the
    form in which the AAR/IP document is provided
    (paper, CD, electronic as a PDF)

56
Format of the AAR
  • Table of Contents
  • Title and page number of each major component and
    each subcomponent in the report
  • Caption and page number for each graphic

57
Format of the AAR
  • Executive Summary
  • -a brief overview that includes
  • Why the exercise was conducted
  • What the community wanted to learn by
    participating
  • What Mission, Capabilities, and Scenario was used
    to achieve the objectives.

58
Format of the AAR
  • Executive Summary (continued)
  • Identify what was learned by participating in the
    exercise (limit to 3)
  • Identify what needs further development or
    improvement (limit to 3)
  • The Executive Summary should be less than two
    pages in length.

59
Format of the AAR
  • Section 1- Exercise Overview
  • Exercise Name
  • List the formal name of the exercise
  • Type of Exercise
  • Seminar, Workshop, Drill, Game, Tabletop,
    Functional Exercise, or Full-Scale Exercise
  • Exercise Start Date
  • Month, day, and year
  • Exercise End Date
  • Month, day, and year

60
Format of the AAR
  • Section 1- Exercise Overview (continued)
  • Program
  • Program from which funding originated
  • Duration
  • Total length of the exercise
  • Location
  • Specific information including city, state,
    federal region, country, or military installation
  • Sponsor
  • Name of Federal agency that sponsored

61
Format of the AAR
  • Section 1 Exercise Overview (continued)
  • Funding Recipient
  • Agency that received the funding
  • Mission
  • Common, Prevent, Protect, Response, Recovery
  • Capabilities
  • Provide a list addressed in the exercise

62
Format of the AAR
  • Section 1 Exercise Overview (continued)
  • Scenario
  • Chemical, Biological, Radiological, Nuclear
    detonation, Cyber, Agricultural, Natural
    Disaster, Other
  • Exercise Planning Team
  • Organization/agencies co-sponsoring and
    contributing to the planning team
  • Number of Participants
  • List total number of each group players,
    victim-role players, controllers, evaluators,
    observers, and facilitators

63
Format of the AAR
  • Section 2 Exercise Design Summary
  • Exercise Purpose and Design
  • 1-2 paragraphs on why the exercise was conducted
    and what the participants wanted to learn).
  • Includes how it was organized, designed, funded
    etc. and any major issues encountered.

64
Format of the AAR
  • Section 2 Exercise Design Summary (continued)
  • Capabilities and Activities identified for
    demonstration
  • aligns exercise objectives with TCL list
  • Summary of designed initiating events/ key
    scenario events
  • the situation of events initially presented to
    the players, subsequent events introduced during
    the play, and times that these events occurred
  • Planned simulations
  • simulations identified in the design process

65
Format of the AAR
  • Section 3 Analysis of Capabilities Demonstrated
  • Identifies the performance of the players for
    each Capability and associated Activity
  • Provide a summary for each capability and
    describe how it was addressed in a
    discussion-based exercise or performed in an
    operations-based exercise.

66
Format of the AAR
  • Section 3 Analysis of Capabilities Demonstrated
    (continued)
  • A subheading is made for each Activity in the
    Capability containing a observations that give an
    analysis of how well the tasks were carried out.
    Each observation is identified as a strength or
    an area that needs improvement.

67
Format of the AAR
  • Section 3 Analysis of Capabilities Demonstrated
  • For each capability include
  • Capability
  • provide a summary
  • For each Activity include
  • Activity - short description of the activity
  • Observation one sentence description
  • Reference(s) plan, policy, procedure, or
    EEG
  • Analysis description of what happened and
    the root cause
  • Recommendation(s) usually broad
    suggestion for how to improve on the activity.

68
Format of the AAR
  • Section 4 Conclusion
  • Summarize the exercise and give an overview of
    the strengths and primary areas for improvement
    identified in the evaluation.

69
Format of the AAR
  • Appendices
  • Improvement Plan
  • Lessons Learned (optional)
  • Participant Feedback Summary (optional)
  • Exercise Events Summary Table (optional)
  • Performance Ratings (optional)
  • Acronyms

70
Format of the AAR
  • AAR/IP are required for all exercises regardless
    of type.
  • However, some discussion-based exercises such as
    seminars and workshops may have an abbreviated
    Analysis of Capabilities section.

71
Format of the AAR
  • Analysis of Capabilities section will provide
  • Overview of guest and keynote speaker
    presentation
  • Summary of discussion points
  • Summary of results and recommendations

72
Format of the AAR
  • Make sure that you mark this
  • as a DRAFT

DRAFT
73
Improvement Plan
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After Action Conference
  • Schedule with representatives from participating
    agencies and organizations (remember the Final is
    due at 60 days)
  • Send the draft after action report at least a
    week ahead with instructions to review the AAR
    and the IP
  • Request AAR edits at least 2 days prior to the
    after action conference

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Improvement Plan
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Thanks for Coming!
  • Thank you!

86
Contact Information
  • Elizabeth Jane Tangwall, DVM MEP
  • Minnesota Department of Health
  • Office of Emergency Preparedness
  • Exercise Planner
  • Phone 651-201-5727
  • Fax 651-201-5720
  • Email elizabeth.tangwall_at_health.state.mn.us
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