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TCRP
TRANSIT
COOPERATIVE
RESEARCH
REPORT 86 PROGRAM
V O L U M E 9
SPONSORED BY THE FTA
TRANSPORTATION SECURITY
NCHRP
NATIONAL
COOPERATIVE
HIGHWAY RESEARCH
PROGRAM
REPORT 525
V O L U M E 9
Guidelines for
Transportation Emergency
Training Exercises
OCR for page R2
TCRP OVERSIGHT AND PROJECT TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2006 (Membership as of March 2006)
SELECTION COMMITTEE
(as of March 2006) OFFICERS
CHAIR Chair: Michael D. Meyer, Professor, School of Civil and Environmental Engineering, Georgia Institute
DAVID A. LEE of Technology
Connecticut Transit Vice Chair: Linda S. Watson, Executive Director, LYNX--Central Florida Regional Transportation Authority
Executive Director: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
ANN AUGUST MEMBERS
Santee Wateree Regional Transportation
Authority MICHAEL W. BEHRENS, Executive Director, Texas DOT
LINDA J. BOHLINGER ALLEN D. BIEHLER, Secretary, Pennsylvania DOT
HNTB Corp. JOHN D. BOWE, Regional President, APL Americas, Oakland, CA
ROBERT I. BROWNSTEIN LARRY L. BROWN, SR., Executive Director, Mississippi DOT
PB Consult, Inc. DEBORAH H. BUTLER, Vice President, Customer Service, Norfolk Southern Corporation and Subsidiaries,
SANDRA K. BUSHUE Atlanta, GA
FTA ANNE P. CANBY, President, Surface Transportation Policy Project, Washington, DC
PETER CANNITO DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN
Metropolitan Transportation Authority--
NICHOLAS J. GARBER, Henry L. Kinnier Professor, Department of Civil Engineering, University
Metro North Railroad
GREGORY COOK of Virginia, Charlottesville
Ann Arbor Transportation Authority ANGELA GITTENS, Vice President, Airport Business Services, HNTB Corporation, Miami, FL
NATHANIEL P. FORD GENEVIEVE GIULIANO, Professor and Senior Associate Dean of Research and Technology, School
San Francisco MUNI of Policy, Planning, and Development, and Director, METRANS National Center for Metropolitan
RONALD L. FREELAND Transportation Research, USC, Los Angeles
Booz Allen Hamilton, Inc. SUSAN HANSON, Landry University Prof. of Geography, Graduate School of Geography, Clark University
FRED M. GILLIAM JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL
Capital Metropolitan Transportation Authority ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley
KIM R. GREEN HAROLD E. LINNENKOHL, Commissioner, Georgia DOT
GFI GENFARE SUE MCNEIL, Professor, Department of Civil and Environmental Engineering, University of Delaware
JILL A. HOUGH
DEBRA L. MILLER, Secretary, Kansas DOT
North Dakota State University
JOHN INGLISH MICHAEL R. MORRIS, Director of Transportation, North Central Texas Council of Governments
Utah Transit Authority CAROL A. MURRAY, Commissioner, New Hampshire DOT
JEANNE W. KRIEG JOHN R. NJORD, Executive Director, Utah DOT
Eastern Contra Costa Transit Authority SANDRA ROSENBLOOM, Professor of Planning, University of Arizona, Tucson
CELIA G. KUPERSMITH HENRY GERARD SCHWARTZ, JR., Senior Professor, Washington University
Golden Gate Bridge, Highway MICHAEL S. TOWNES, President and CEO, Hampton Roads Transit, Hampton, VA
and Transportation District C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas at Austin
PAUL J. LARROUSSE
National Transit Institute EX OFFICIO MEMBERS
CLARENCE W. MARSELLA
Denver Regional Transportation District MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT
FAYE L. M. MOORE JOSEPH H. BOARDMAN, Federal Railroad Administrator, U.S.DOT
Southeastern Pennsylvania Transportation REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA
Authority GEORGE BUGLIARELLO, Chancellor, Polytechnic University of New York, and Foreign Secretary,
MICHAEL H. MULHERN National Academy of Engineering
Jacobs Civil, Inc. SANDRA K. BUSHUE, Deputy Administrator, Federal Transit Administration, U.S.DOT
STEPHANIE L. PINSON J. RICHARD CAPKA, Acting Administrator, Federal Highway Administration, U.S.DOT
Gilbert Tweed Associates, Inc. THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard
ROBERT H. PRINCE, JR. JAMES J. EBERHARDT, Chief Scientist, Office of FreedomCAR and Vehicle Technologies, U.S. DOE
DMJM+Harris
JEFFREY M. ROSENBERG JACQUELINE GLASSMAN, Deputy Administrator, National Highway Traffic Safety Administration, U.S.DOT
Amalgamated Transit Union EDWARD R. HAMBERGER, President and CEO, Association of American Railroads
MICHAEL SCANLON JOHN C. HORSLEY, Exec. Dir., American Association of State Highway and Transportation Officials
San Mateo County Transit District JOHN E. JAMIAN, Acting Administrator, Maritime Administration, U.S.DOT
BEVERLY SCOTT J. EDWARD JOHNSON, Director, Applied Science Directorate, National Aeronautics
Sacramento Regional Transit District and Space Administration
KATHRYN D. WATERS ASHOK G. KAVEESHWAR, Research and Innovative Technology Administrator, U.S.DOT
Dallas Area Rapid Transit BRIGHAM MCCOWN, Deputy Administrator, Pipeline and Hazardous Materials Safety Administration,
FRANK WILSON U.S.DOT
Metropolitan Transit Authority WILLIAM W. MILLAR, President, American Public Transportation Association
of Harris County SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. EPA
EX OFFICIO MEMBERS ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT
WILLIAM W. MILLAR JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT
APTA CARL A. STROCK (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General,
ROBERT E. SKINNER, JR. U.S. Army Corps of Engineers
TRB
JOHN C. HORSLEY
AASHTO
J. RICHARD CAPKA
FHWA
TDC EXECUTIVE DIRECTOR
LOUIS SANDERS
APTA
SECRETARY
ROBERT J. REILLY
TRB
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Transit Cooperative Research Program
and
National Cooperative Highway Research Program
TCRP REPORT 86/NCHRP REPORT 525
TRANSPORTATION SECURITY
Volume 9:
Guidelines for
Transportation Emergency
Training Exercises
MCCORMICK TAYLOR, INC.
Philadelphia, PA
S UBJECT A REAS
Planning and Administration · Operations and Safety · Aviation
Public Transit · Rail · Freight Transportation · Marine Transportation · Security
Research Sponsored by the Federal Transit Administration in Cooperation with the Transit Development Corporation and by the
American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2006
www.TRB.org
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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP REPORT 86, VOLUME 9
The nation's growth and the need to meet mobility, Price $42.00
environmental, and energy objectives place demands on public
Project J-10C
transit systems. Current systems, some of which are old and in need ISSN 1073-4872
of upgrading, must expand service area, increase service frequency, ISBN 0-309-09850-5
and improve efficiency to serve these demands. Research is Library of Congress Control Number 2006902324
necessary to solve operating problems, to adapt appropriate new
technologies from other industries, and to introduce innovations into © 2006 Transportation Research Board
the transit industry. The Transit Cooperative Research Program
(TCRP) serves as one of the principal means by which the transit
industry can develop innovative near-term solutions to meet COPYRIGHT PERMISSION
demands placed on it.
Authors herein are responsible for the authenticity of their materials and for obtaining
The need for TCRP was originally identified in TRB Special
written permissions from publishers or persons who own the copyright to any
Report 213--Research for Public Transit: New Directions, previously published or copyrighted material used herein.
published in 1987 and based on a study sponsored by the Urban Mass
Cooperative Research Programs (CRP) grants permission to reproduce material in this
Transportation Administration--now the Federal Transit Admin-
publication for classroom and not-for-profit purposes. Permission is given with the
istration (FTA). A report by the American Public Transportation understanding that none of the material will be used to imply TRB, AASHTO, FAA,
Association (APTA), Transportation 2000, also recognized the need FHWA, FMCSA, FTA, or Transit Development Corporation endorsement of a
for local, problem-solving research. TCRP, modeled after the particular product, method, or practice. It is expected that those reproducing the
longstanding and successful National Cooperative Highway material in this document for educational and not-for-profit uses will give appropriate
acknowledgment of the source of any reprinted or reproduced material. For other uses
Research Program, undertakes research and other technical activities
of the material, request permission from CRP.
in response to the needs of transit service providers. The scope of
TCRP includes a variety of transit research fields including plan-
ning, service configuration, equipment, facilities, operations, human
resources, maintenance, policy, and administrative practices. NOTICE
TCRP was established under FTA sponsorship in July 1992. The project that is the subject of this report was a part of the Transit Cooperative
Proposed by the U.S. Department of Transportation, TCRP was Research Program conducted by the Transportation Research Board with the approval
authorized as part of the Intermodal Surface Transportation of the Governing Board of the National Research Council. Such approval reflects the
Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum Governing Board's judgment that the project concerned is appropriate with respect to
both the purposes and resources of the National Research Council.
agreement outlining TCRP operating procedures was executed by
the three cooperating organizations: FTA, The National Academies, The members of the technical advisory panel selected to monitor this project and to
acting through the Transportation Research Board (TRB); and review this report were chosen for recognized scholarly competence and with due
consideration for the balance of disciplines appropriate to the project. The opinions
the Transit Development Corporation, Inc. (TDC), a nonprofit
and conclusions expressed or implied are those of the research agency that performed
educational and research organization established by APTA. the research, and while they have been accepted as appropriate by the technical panel,
TDC is responsible for forming the independent governing board, they are not necessarily those of the Transportation Research Board, the National
designated as the TCRP Oversight and Project Selection (TOPS) Research Council, the Transit Development Corporation, or the Federal Transit
Committee. Administration of the U.S. Department of Transportation.
Research problem statements for TCRP are solicited periodically Each report is reviewed and accepted for publication by the technical panel according
but may be submitted to TRB by anyone at any time. It is the to procedures established and monitored by the Transportation Research Board
responsibility of the TOPS Committee to formulate the research Executive Committee and the Governing Board of the National Research Council.
program by identifying the highest priority projects. As part of the
evaluation, the TOPS Committee defines funding levels and
expected products.
The Transportation Research Board of The National Academies, the National
Once selected, each project is assigned to an expert panel,
Research Council, the Transit Development Corporation, and the Federal Transit
appointed by the Transportation Research Board. The panels prepare Administration (sponsor of the Transit Cooperative Research Program) do not
project statements (requests for proposals), select contractors, and endorse products or manufacturers. Trade or manufacturers' names appear herein
provide technical guidance and counsel throughout the life of the solely because they are considered essential to the clarity and completeness of the
project. The process for developing research problem statements and project reporting.
selecting research agencies has been used by TRB in managing
cooperative research programs since 1962. As in other TRB activ-
ities, TCRP project panels serve voluntarily without compensation.
Because research cannot have the desired impact if products fail
to reach the intended audience, special emphasis is placed on
disseminating TCRP results to the intended end users of the Published reports of the
research: transit agencies, service providers, and suppliers. TRB
provides a series of research reports, syntheses of transit practice, TRANSIT COOPERATIVE RESEARCH PROGRAM
and other supporting material developed by TCRP research. APTA are available from:
will arrange for workshops, training aids, field visits, and other
Transportation Research Board
activities to ensure that results are implemented by urban and rural Business Office
transit industry practitioners. 500 Fifth Street, NW
The TCRP provides a forum where transit agencies can Washington, DC 20001
cooperatively address common operational problems. The TCRP and can be ordered through the Internet at
results support and complement other ongoing transit research and http://www.national-academies.org/trb/bookstore
training programs. Printed in the United States of America
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 525, VOLUME 9
Systematic, well-designed research provides the most effective Price $42.00
approach to the solution of many problems facing highway
Project 20-59(18)
administrators and engineers. Often, highway problems are of local
ISSN 0077-5614
interest and can best be studied by highway departments
individually or in cooperation with their state universities and ISBN 0-309-09850-5
others. However, the accelerating growth of highway transportation Library of Congress Control Number 2006902324
develops increasingly complex problems of wide interest to © 2006 Transportation Research Board
highway authorities. These problems are best studied through a
coordinated program of cooperative research.
In recognition of these needs, the highway administrators of the
American Association of State Highway and Transportation COPYRIGHT PERMISSION
Officials initiated in 1962 an objective national highway research Authors herein are responsible for the authenticity of their materials and for obtaining
program employing modern scientific techniques. This program is written permissions from publishers or persons who own the copyright to any
previously published or copyrighted material used herein.
supported on a continuing basis by funds from participating
member states of the Association and it receives the full cooperation Cooperative Research Programs (CRP) grants permission to reproduce material in this
publication for classroom and not-for-profit purposes. Permission is given with the
and support of the Federal Highway Administration, United States
understanding that none of the material will be used to imply TRB, AASHTO, FAA,
Department of Transportation. FHWA, FMCSA, FTA, or Transit Development Corporation endorsement of a
The Transportation Research Board of the National Academies particular product, method, or practice. It is expected that those reproducing the
was requested by the Association to administer the research material in this document for educational and not-for-profit uses will give appropriate
program because of the Board's recognized objectivity and acknowledgment of the source of any reprinted or reproduced material. For other uses
of the material, request permission from CRP.
understanding of modern research practices. The Board is uniquely
suited for this purpose as it maintains an extensive committee
structure from which authorities on any highway transportation
subject may be drawn; it possesses avenues of communications and NOTICE
cooperation with federal, state and local governmental agencies, The project that is the subject of this report was a part of the National Cooperative
universities, and industry; its relationship to the National Research Highway Research Program conducted by the Transportation Research Board with the
Council is an insurance of objectivity; it maintains a full-time approval of the Governing Board of the National Research Council. Such approval
research correlation staff of specialists in highway transportation reflects the Governing Board's judgment that the program concerned is of national
importance and appropriate with respect to both the purposes and resources of the
matters to bring the findings of research directly to those who are in National Research Council.
a position to use them.
The members of the technical committee selected to monitor this project and to review
The program is developed on the basis of research needs
this report were chosen for recognized scholarly competence and with due
identified by chief administrators of the highway and transportation consideration for the balance of disciplines appropriate to the project. The opinions and
departments and by committees of AASHTO. Each year, specific conclusions expressed or implied are those of the research agency that performed the
areas of research needs to be included in the program are proposed research, and, while they have been accepted as appropriate by the technical committee,
to the National Research Council and the Board by the American they are not necessarily those of the Transportation Research Board, the National
Research Council, the American Association of State Highway and Transportation
Association of State Highway and Transportation Officials. Officials, or the Federal Highway Administration, U.S. Department of Transportation.
Research projects to fulfill these needs are defined by the Board, and
Each report is reviewed and accepted for publication by the technical committee
qualified research agencies are selected from those that have
according to procedures established and monitored by the Transportation Research
submitted proposals. Administration and surveillance of research Board Executive Committee and the Governing Board of the National Research
contracts are the responsibilities of the National Research Council Council.
and the Transportation Research Board.
The needs for highway research are many, and the National
Cooperative Highway Research Program can make significant
contributions to the solution of highway transportation problems of
mutual concern to many responsible groups. The program,
however, is intended to complement rather than to substitute for or
duplicate other highway research programs.
Published reports of the
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
are available from:
Transportation Research Board
Business Office
NOTE: The Transportation Research Board of the National Academies, the 500 Fifth Street, NW
National Research Council, the Federal Highway Administration, the American Washington, DC 20001
Association of State Highway and Transportation Officials, and the individual and can be ordered through the Internet at:
states participating in the National Cooperative Highway Research Program do http://www.national-academies.org/trb/bookstore
not endorse products or manufacturers. Trade or manufacturers' names appear
herein solely because they are considered essential to the object of this report. Printed in the United States of America
OCR for page R6
COOPERATIVE RESEARCH PROGRAMS STAFF
ROBERT J. REILLY, Director, Cooperative Research Programs
CHRISTOPHER W. JENKS, TCRP Manager
CRAWFORD F. JENCKS, NCHRP Manager
S. A. PARKER, Senior Program Officer
EILEEN P. DELANEY, Director of Publications
BETH HATCH, Editor
PROJECT PANEL (TCRP Project J-10C and NCHRP Project 20-59(18))
RICHARD WINSTON, Chicago Transit Authority (Chair)
RICHARD M. GAUDIOSI, Booz Allen Hamilton, Medford, NJ
RICHARD HANRATTY, Southeastern Pennsylvania Transportation Authority
MARK W. HARRIS, Maryland DOT
JOHN K. JOYCE, Cumming, GA
THOMAS C. LAMBERT, Metropolitan Transit Authority of Harris County, TX
LISA A. MANCINI, CSX Transportation, Jacksonville, FL
JAMES D. MCGEE, Nebraska DOR
TERRY SIMMONDS, Olympia, WA
SHMUEL Z. YAHALOM, State University of New York Maritime College
BRIAN ZIEGLER, Pierce County (Washington) Public Works and Utilities
MICHAEL TABORN, FTA Liaison
EDWARD DETWILER, TSA Liaison
JEFFREY W. GRAVES, TSA Liaison
GREG HULL, APTA Liaison
CHRISTOPHER A. KOZUB, National Transit Institute Liaison
MATTHEW D. RABKIN, Volpe National Transportation Systems Center Liaison
DAWN TUCKER, Research and Innovative Technology Administration Liaison
TRB Executive Committee Subcommittee for TCRP
JOHN R. NJORD, Utah DOT (Chair)
DAVID B. HORNER, Federal Transit Administration, U.S.DOT
MICHAEL D. MEYER, Georgia Institute of Technology
WILLIAM W. MILLAR, American Public Transportation Association
ROBERT E. SKINNER, JR., Transportation Research Board
MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA
C. MICHAEL WALTON, University of Texas, Austin
LINDA S. WATSON, LYNX--Central Florida Regional Transportation Authority
TRB Executive Committee Subcommittee for NCHRP
JOHN R. NJORD, Utah DOT (Chair)
J. RICHARD CAPKA, Federal Highway Administration
JOHN C. HORSLEY, American Association of State Highway and Transportation Officials
MICHAEL D. MEYER, Georgia Institute of Technology
ROBERT E. SKINNER, JR., Transportation Research Board
MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA
C. MICHAEL WALTON, University of Texas, Austin
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol-
ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology
and to their use for the general welfare. On the authority of the charter granted to it by the Congress in
1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni-
cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Acad-
emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration
and in the selection of its members, sharing with the National Academy of Sciences the responsibility for
advising the federal government. The National Academy of Engineering also sponsors engineering programs
aimed at meeting national needs, encourages education and research, and recognizes the superior achieve-
ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the
services of eminent members of appropriate professions in the examination of policy matters pertaining
to the health of the public. The Institute acts under the responsibility given to the National Academy of
Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative,
to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the
Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate
the broad community of science and technology with the Academy's purposes of furthering knowledge and
advising the federal government. Functioning in accordance with general policies determined by the Acad-
emy, the Council has become the principal operating agency of both the National Academy of Sciences
and the National Academy of Engineering in providing services to the government, the public, and the
scientific and engineering communities. The Council is administered jointly by both the Academies and
the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. William A. Wulf are chair and vice chair,
respectively, of the National Research Council.
The Transportation Research Board is a division of the National Research Council, which serves the
National Academy of Sciences and the National Academy of Engineering. The Board's mission is to promote
innovation and progress in transportation through research. In an objective and interdisciplinary setting,
the Board facilitates the sharing of information on transportation practice and policy by researchers and
practitioners; stimulates research and offers research management services that promote technical
excellence; provides expert advice on transportation policy and programs; and disseminates research
results broadly and encourages their implementation. The Board's varied activities annually engage more
than 5,000 engineers, scientists, and other transportation researchers and practitioners from the public and
private sectors and academia, all of whom contribute their expertise in the public interest. The program is
supported by state transportation departments, federal agencies including the component administrations of
the U.S. Department of Transportation, and other organizations and individuals interested in the
development of transportation. www.TRB.org
www.national-academies.org
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This ninth volume of both NCHRP Report 525: Surface Transportation Security
FOREWORD and TCRP Report 86: Public Transportation Security is designed to assist transporta-
By S. A. Parker tion agencies in developing drills and exercises in alignment with the National Incident
Staff Officer Management System (NIMS). In his September 8, 2004, letter to state governors,
Transportation Research Department of Homeland Security Secretary Tom Ridge wrote that "NIMS provides a
Board consistent nationwide approach for Federal, State, territorial, tribal, and local govern-
ments to work effectively and efficiently together to prepare for, prevent, respond to,
and recover from domestic incidents, regardless of cause, size, or complexity."
Emergency preparedness is necessary to maximize the safety and security of pas-
sengers, employees, and emergency responders, as well as the general public, when an
emergency event occurs that involves vehicles or infrastructure (including power sup-
plies and communications links) of transportation systems in the United States. Pre-
paredness requires a significant amount of planning and the involvement of all mem-
bers of the emergency community, including law enforcement, fire services, emergency
management agencies, and emergency medical services. The result should be a detailed
plan for responding to a variety of anticipated events and, to a reasonable degree, unan-
ticipated events.
The objective of Volume 9: Guidelines for Transportation Emergency Training
Exercises is to provide guidelines for use by transportation exercise coordinators. Steps
are described in the process of emergency exercise development, implementation, and
evaluation. In addition, the available literature and materials to support transportation
agencies--including state departments of transportation (DOTs), traffic management
centers (TMCs), and public transportation systems--are described. Useful materials
are presented as references, with Internet addresses, where applicable. The guidelines
in this report are supplemented online at www.TRB.org/SecurityPubs and http://trb.
org/news/blurb_detail.asp?id=6007 with more than 80 resource files.
These guidelines comprise the required elements of a successful transportation
emergency exercise program. However, transportation professionals seeking greater
levels of preparedness must recognize the critical part that public safety organizations
will play in any community emergency and must closely coordinate with these organi-
zations. These guidelines were developed jointly under TCRP and NCHRP. They are
appropriate for exercise coordinators at state and local transportation agencies respon-
sible for all modes of transportation.
McCormick Taylor, Inc., prepared this volume of NCHRP Report 525/TCRP
Report 86 under NCHRP Project 20-59(18)/TCRP Project J-10C.
Emergencies arising from terrorist threats highlight the need for transportation
managers to minimize the vulnerability of travelers, employees, and physical assets
through incident prevention, preparedness, mitigation, response, and recovery. Man-
OCR for page R9
agers seek to reduce the chances that transportation vehicles and facilities will be tar-
gets or instruments of terrorist attacks and to be prepared to respond to and recover from
such possibilities. By being prepared to respond to terrorism, each transportation
agency is simultaneously prepared to respond to natural disasters such as hurricanes,
floods, and wildfires, as well as human-caused events such as hazardous materials spills
and other incidents.
This is the ninth volume of NCHRP Report 525: Surface Transportation Security
and the ninth volume of TCRP Report 86: Public Transportation Security, two series
in which relevant information is assembled into single, concise volumes--each per-
taining to a specific security problem and closely related issues. These volumes focus
on the concerns that transportation agencies are addressing when developing programs
in response to the terrorist attacks of September 11, 2001, and the anthrax attacks that
followed. Future volumes of the reports will be issued as they are completed.
To develop this volume in a comprehensive manner and to ensure inclusion of sig-
nificant knowledge, available information was assembled from numerous sources,
including a number of state departments of transportation. A topic panel of experts in
the subject area was established to guide the researchers in organizing and evaluating
the collected data and to review the final document.
This volume was prepared to meet an urgent need for information in this area. It
records practices that were acceptable within the limitations of the knowledge avail-
able at the time of its preparation. Work in this area is proceeding swiftly, and readers
are encouraged to be on the lookout for the most up-to-date information.
Volumes issued under NCHRP Report 525: Surface Transportation Security and
TCRP Report 86: Public Transportation Security may be found on the TRB website at
http://www.TRB.org/SecurityPubs.
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Guidelines for Transportation Emergency Training Exercises
CONTENTS
Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.0 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Guidelines Organization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Why Conduct Exercises?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Federal Exercise Requirements for Transportation Agencies . . . . . . . . . . . . . . . . . . . . . . . . 5
2.0 Progressive Exercise Programs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
FEMA and G&T Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Types of Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Discussion-Based and Operations-Based Exercise Categories . . . . . . . . . . . . . . . . . . . . . 10
Brief Overview of Exercise Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Compliance with the National Response Plan (NRP) and the National Incident
Management System (NIMS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
DHS Mission Outcomes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
3.0 Establishing a Progressive Exercise Program in the Transportation Environment . . . . . . . 20
Steps in the Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
4.0 Discussion-Based Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Exercise Planning Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Project Management Timeline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Planning Conference Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Design and Development. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Documentation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Logistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Media Policy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Call-Off Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
5.0 Operations-Based Exercise Planning Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Exercise Planning Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Exercise Planning Timelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Exercise Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Exercise Planning Conferences. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Design and Development. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Improvement Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Transportation Incident Response Typology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
Appendix A -- Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Appendix B -- Glossary of Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Appendix C -- Categorized Resource Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Appendix D -- Training and Exercise Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
Attachment 1 NRP and NIMS Reference Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Attachment 2 Transportation Exercise Evaluation Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Attachment 3 Needs Assessment Template . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Attachment 4 Exercise Design Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
Attachment 5 Sample Exercise Package . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
Attachment 6 Transportation Incident Response Typology. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
