National Academies Press: OpenBook

Guidelines for Transportation Emergency Training Exercises (2006)

Chapter: 4.0 Discussion-Based Exercises

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Suggested Citation:"4.0 Discussion-Based Exercises." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"4.0 Discussion-Based Exercises." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"4.0 Discussion-Based Exercises." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"4.0 Discussion-Based Exercises." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"4.0 Discussion-Based Exercises." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"4.0 Discussion-Based Exercises." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"4.0 Discussion-Based Exercises." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"4.0 Discussion-Based Exercises." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Guidelines for Transportation Emergency Training Exercises Tabletops require a set of coordinated planning activities to be successfully conducted and evaluated. 33 4.0 DISCUSSION-BASED EXERCISES This section describes the process that can be used by transportation agencies to develop the discussion-based exercises specified in the progressive exercise program, concentrating on the table- top exercise. Section 5 presents this process for operations-based exercises. Whether conducted for discussion-based or operations-based exercises, the exercise planning process involves considerable coordination within the transportation agency and among potential par- ticipating agencies and officials. The planning process includes convening a planning team, setting program management timelines, conducting planning conferences, identifying exercise design objec- tives, developing the scenario and documentation, assigning logistical tasks, managing the exercise, and identifying the evaluation methodology. OVERVIEW Although seminars, workshops, and games are types of discussion-based exercises, the most com- monly used discussion-based exercise in transportation is the tabletop. In the transportation envi- ronment, a tabletop exercise is typically a 4- to 8-hour facilitated discussion centered on an incident scenario. The scenario unfolds in discrete time periods (e.g., over 24 hours from incident detection and verification through notification, initial response, dispatch and mobilization of resources, evacu- ation and treatment of the injured, damage assessment and repair, stabilization of the scene, and gradual restoration of service). The basic outline of events and response under way during each time period is portrayed in short brief- ings (using PowerPoint presentations, photographs, video clips, or other means of communication). At the end of each briefing, a caucus period provides participants with the opportunity to discuss the issues associated with responding to the scenario presented. In addition to the briefings, a situation manual (sometimes called a player’s handbook) is provided that corresponds with the briefings and provides additional details about the incident and response. To facilitate discussion, participants are divided into small groups by functional area. Participants are encouraged to periodically migrate between groups to foster communication. At the conclusion of each caucus session, a spokesperson from each group will report back to all attendees about what was discussed. After the tabletop is complete, a series of evaluation activities will be performed to assess perfor- mance and identify areas of improvement. First, a debrief is performed among participants to gather their assessments regarding the tabletop. Then, an AAR will be developed to document the tabletop, and an improvement plan will be prepared to integrate recommendations into the transportation agency emergency planning, training, and exercise programs. EXERCISE PLANNING TEAM The exercise planning team is responsible for designing, developing, conducting, and evaluating all aspects of transportation emergency exercises. The planning team determines exercise design objec- tives; tailors the scenario to transportation and jurisdictional needs; and develops documents used in simulation, control, and exercise evaluation. The exercise planning team for discussion-based exercises is typically smaller than the team needed for operations-based exercises. As explained in Section 3 of this report, in the transportation environ- ment, one to three persons can typically organize a tabletop exercise or game when supported by con- sultants and members of an ad hoc team, committee, or task force assembled with local responders. The exercise planning team is often managed by a lead exercise planner (also referred to as the exer- cise director, exercise planning team leader, or point of contact). The team should be a manageable

size (3 to 10 people) and include a representative from each major participating jurisdiction and response agency. A successful exercise planning team ▪ Addresses the transportation agency’s emergency response structure (whether this is based on the incident command system [ICS] or an agency-specific emergency response structure); ▪ Employs project management principles; ▪ Clearly defines roles, responsibilities, and functional area skills; ▪ Highlights leadership and teamwork; ▪ Follows a standardized exercise design and development process; and ▪ Calls on the support of senior officials. ▪ In addition to transportation personnel, membership on the exercise planning team might include appropriate community members representing emergency management and response partners, medical partners, other transportation partners, key vendors, and working and knowledgeable members of the transportation agency. PROJECT MANAGEMENT TIMELINE Based on the progressive exercise program established for the transportation agency, timelines for developing discussion-based exercises should be established. In the transportation environment, plan- ning for games and tabletops typically takes 3 to 6 months. A typical timeline is presented in Table 7. PLANNING CONFERENCE MATERIALS Planning conferences are meetings used to develop critical elements of the exercise and include at least one representative from all participants in the exercise. The lead exercise planner and the exer- cise planning team should decide on the number of meetings to successfully conduct a given exercise. Also, work plans should be developed by the exercise planning team to generate materials to be used in the conferences. Typically, these materials include an agenda, the rationale for conducting the discussion-based exercise, the transportation agency exercise objectives, and a draft scenario. These materials are sometimes called a “read-ahead package” and can greatly increase the efficiency of the conferences. While the number of planning conferences necessary for a transportation-based tabletop or game can vary, usually at least two planning conferences are conducted: the initial planning conference (IPC) and the final planning conference (FPC). The IPC builds the framework for executing exercise design, development, control, conduct, and eval- uation among the participants. Specifically, the IPC addresses the exercise purpose and overarching exercise objectives, conditions that affect exercise design (i.e., assumptions and artificialities), exercise design requirements, anticipated levels of participation, proposed exercise locations, control and eval- uation methodologies, and tasks to participants. The IPC presents the basic scenario, scope, and timeline developed in draft by the exercise planning team. It offers a chance to solicit input for each participant’s objectives and build consensus among par- ticipants on exercise expectations. The purpose of this conference is to reach an agreement on the exer- cise concept and overall objectives, develop working groups, and select working group leaders. Once action items identified in the IPC have been adequately addressed and all assigned activities have been completed, the transportation agency may hold an FPC with all participants. This conference is Guidelines for Transportation Emergency Training Exercises Planning conference materials help create the tabletop. 34

Guidelines for Transportation Emergency Training Exercises designed to finalize exercise organization and staffing, scheduling documentation, control, evaluation, logistics, and administration. During this conference, the assembled representatives may also rehearse the discussion-based exercise to ensure that the personnel responsible for managing the exercise are comfortable with their roles. DESIGN AND DEVELOPMENT Several key elements must be developed by the exercise planning leader, the exercise planning team, any consultants, and any members of ad hoc committees established with local responders who will participate in the exercise. The key elements that will guide the exercise and enable the creation of the materials are the following: ▪ Exercise Scope: Identifies the specific functions to be demonstrated during the exercise and establishes the extent of organization and personnel participation. ▪ Participant List: Identifies who will be participating in the exercise. At the tabletop, attendees will typically have one of three roles: • Players: Respond to the situation presented using expert knowledge of response procedures in place in their community or agency and insights derived from training. Players will be seated Tabletop exercises typically include players, observers, and facilitators. 35 TABLE 7 TYPICAL PROJECT MANAGEMENT TIMELINE Tabletop Exerc ise Act iv i ty T ime Before and Af ter Exercise (E) Day Estab l i sh Date o f Tab le top E–120 days Deve lop Tab le top Concept , Se lec t Da te o f In i t i a l P lann ing Confe rence E–120 days Prepare and Ma i l In i t i a l P lann ing Confe rence Read- Ahead Packet E–110 days Prepare In i t ia l P lann ing Conference Br ie f E–93 days Conduc t In i t ia l P lann ing Conference E–90 days Prepare and Approve In i t ia l P lann ing Conference E–83 days Prepare and Pr in t Dra f t S i tua t ion Manua l E–52 days Rev iew Mater ia ls fo r F ina l P lann ing Confe rence E–50 days Conduc t F ina l P lann ing Confe rence E–45 days Prepare and Approve F ina l P lann ing Confe rence E–38 days F ina l i ze S i tua t ion Manua l E–15 days F ina l i ze Mu l t imed ia Presen ta t ions (Coord ina ted w i th S i tua t ion Manua l ) E–7 days Se t Up Fac i l i t y and Rev iew Presen ta t ion E–1 day Conduc t Tab le top E day Co l lec t and Ana lyze Data (Par t i c ipan t , Observer , Eva lua to r ) E+21 days Dra f t an A f te r Ac t ion Repor t (Forward I t fo r Par t i c ipan t Rev iew) E+28 days Rece ive Par t i c ipan t Rev iew Comments on A f te r Ac t ion Repor t E+49 days F ina l i ze A f te r Ac t ion Repor t E+60 days D is t r ibu te F ina l Exerc ise Eva lua t ion Repor t (EER) E+75 days Deve lop Improvement P lan E+105 days Imp lement Improvement P lan As needed

at various functional group discussion tables. Players are encouraged to move among the tables periodically to share information and communicate between agencies. • Observers: Support the functional groups as they develop responses to the situation in the caucus sessions. Observers are free to migrate among any of the tables during the discus- sion period in order to observe responses or to lend particular expertise. However, they do not participate in the moderated discussion period. • Facilitators: Provide situation updates and moderate discussions. They also provide addi- tional information or resolve questions, as required. Facilitators do not evaluate or direct your response. Participants from both the transportation agency and responder agencies may also assist with facilitation as subject matter experts during the tabletop exercise. ▪ Exercise Objectives: Identify the stated goals of exercise activities (i.e., the desired end results that participants should achieve with respect to the problem being exercised). Exercise objectives focus on improving an understanding of a response concept, identifying opportunities or problems, and/or achieving a change in attitude. Process and decision making are more important than minor details. Emphasis is on coordination, integration of capabilities, problem identification, and resolu- tion. Attachment 4 lists possible objectives for use in transportation exercises. ▪ Exercise Scenario: Provides a sequential account of a hypothetical situation or a chain of events that depicts an incident, emergency, or crisis and all the associated consequences used to frame and guide simulation during an exercise. Attachment 5 provides a sample set of materials to support exercise development and evaluation. DOCUMENTATION Once the design and development activities have been completed and discussed during the IPC, then the exercise planning team must prepare at least two sets of materials to support the tabletop: ▪ Multimedia presentations and ▪ A situation manual (SITMAN, sometimes called a player’s handbook). Multimedia presentations include PowerPoint presentations, photographs, maps, video clips, and other materials designed to enhance the reality of the tabletop. These presentations are organized into mod- ules that support the tabletop. For example, the presentations may begin with an introduction to the tabletop (PowerPoint presenta- tion), followed by a brief video on the threat to be addressed in the scenario (e.g., flooding in a major urban area or a sarin gas release in a subway system). Then, a PowerPoint presentation may be given on the tabletop objectives and the exercise rules. Next, to support each interval of the scenario, materials such as the following may be used: maps; video- tapes documenting the dispersal of a chemical agent or smoke in a facility; a recording of a 911 call; PowerPoint presentations documenting injuries resulting from accidents, explosions, or symptomology demonstrating exposure to chemical or biological agents; pictures of equipment used to clear debris from roadways; and pictures of control centers, media briefing stations, press conferences, and tempo- rary traffic control strategies. In this manner, information can be effectively conveyed to support the table- top and, in some instances, educate the participants on specific elements of response in the trans- portation environment (e.g., on ways to access vehicles, hazards, and activities to be performed). The SITMAN is a participant handbook for discussion-based exercises. It is particularly effective for tabletops because it provides background information on the exercise scope, schedule, and objectives. Guidelines for Transportation Emergency Training Exercises Documentation required for tabletops includes multimedia presentations and situation manuals, sometimes called player’s handbooks. Sample materials can be found online at http://trb.org/ news/blurb_detail. asp?id=6007. 36

Guidelines for Transportation Emergency Training Exercises It also presents the scenario narrative that will drive participant discussions during the exercise. The SITMAN should mirror the briefings provided during the tabletop, support the scenario narrative, and allow participants to read along while watching events unfold. A sample SITMAN prepared by the American Red Cross is available at http://www.tallytown.com/ redcross/SmallpoxTabletopExercise.pdf. A SITMAN template prepared by FEMA is available at http://training.fema.gov/emiweb/downloads/ EXERCISE%20PLAYER%20HANDBOOK.doc. The G&T Secure Portal contains samples and templates for multimedia presentations and SITMANs for a variety of terrorism-related scenarios. Descriptions of these materials and how they can be used for tabletops are available in HSEEP Volume IV at http://www.ojp.usdoj.gov/odp/docs/HSEEPv4.pdf. A sample table of contents for a SITMAN appears in Figure 7. 37 FIGURE 7 SITUATION MANUAL TABLE OF CONTENTS I. Introduction II. Schedule of Events III. Purpose and Scope IV. Design Objectives V. Exercise Structure (Modules or Phases of Activity) VI. Instructions for Exercise Conduct VII. Roles and Responsibilities for Facilitators, Participants, and Observers VIII. Assumptions and Artificialities IX. Exercise Rules X. Information Necessary to Support the Discussion-Based Exercise XI. Scenario XII. Issues for Consideration (Key Questions to Be Discussed During the Exercise) XIII. Referenced Appendices LOGISTICS Critical to ensuring the success of the tabletop is providing an appropriate space for the exercise, ensur- ing that all participants can see and hear multimedia presentations and can work together effectively to address questions and issues covered in the tabletop. Issues to be considered include the following: ▪ Room layouts; ▪ Beverages, snacks, or working lunch;

▪ Badges; ▪ Name tents and table tents; ▪ Invitation packages; ▪ Rules of conduct signs; ▪ Sign-in sheets; and ▪ Participant feedback forms. The G&T Secure Portal contains sample room layouts, invitation packages, sign-in sheets, and partici- pant feedback forms. HSEEP Volume IV describes these materials and is available at http://www.ojp. usdoj.gov/odp/docs/HSEEPv4.pdf. MEDIA POLICY Members of the media can support the transportation progressive exercise program. Not only can they inform the public that an exercise is taking place, but they can also make the public aware that the trans- portation agencies and public safety community are preparing for disasters and terrorism. Most experienced exercise planners in the transportation community recommend close coordination with the media. Many agencies even include media representatives as participants in tabletop exer- cises, since their activities and perspectives will help ensure that transportation service changes and delays are broadcasted in a timely and accurate manner and that, in the event of a major incident on the transportation system, the emergency response and investigation are broadcasted. Media partic- ipation builds trust and understanding and provides additional working contacts. In addition, members of the media may learn more about what is involved in responding to an emergency in the transporta- tion environment. Of course, if the media participates, an agreement needs to be established with the participating media representatives that they are there as participants and are not to report on the specific event. The exer- cise planning team should discuss possible media involvement with all participating agencies and deter- mine if any elements of the tabletop are considered too sensitive for media involvement. If so, certain restrictions can be placed on media participation. Whether the media participates in the tabletop or not, the transportation agency should develop a writ- ten news release to be disseminated to media outlets. This release should inform the media and the public about the tabletop exercise. Additionally, the news release can be distributed to VIPs and other observers as further evidence of the transportation agency’s commitment to its exercise program. The news release may include the following information: ▪ Introduction to exercise, ▪ Identification of the sponsoring transportation agency, ▪ Brief overview of the transportation agency’s progressive exercise program, ▪ Exercise purpose and expected outcomes, ▪ Exercise scope and duration, ▪ General scenario information (e.g., location, goals, and objectives), and ▪ List of participating agencies. Guidelines for Transportation Emergency Training Exercises Transportation agencies, perhaps more than their partners in public safety and emergency management agencies, have a long history of including media representatives in tabletop exercises. 38

Guidelines for Transportation Emergency Training Exercises To address media coverage of the event, some transportation agencies encourage key participants to give interviews with the media at the conclusion of the tabletop. Arrangements for video footage from a portion of the tabletop can also be provided, allowing the media to shoot images of the tabletop exer- cise as it begins prior to any significant discussion. The G&T Secure Portal contains sample news releases for tabletop exercises. HSEEP Volume IV provides a description of these materials and is available at http://www.ojp.usdoj.gov/odp/docs/ HSEEPv4.pdf. EVALUATION Evaluation is the final cycle in the exercise process. The FTA recently assessed results received from 82 exercises that were conducted by public transportation agencies and that were funded by a special grant program. These results showed that evaluation was the most difficult part of the exercise process for many transit operators. This occurred primarily because insufficient attention was paid to the devel- opment of exercise objectives and the creation of evaluation metrics to support assessment of the tran- sit system’s performance.5 Evaluation during discussion-based exercises, particularly for tabletops, typically requires the fol- lowing activities: ▪ Hot Wash and After Action Review: A “hot wash” is an informal debriefing session, immediately following the exercise, between tabletop players and members of the exercise planning team, in which players discuss their reactions to and observations of the exercise. The after action review is a formal, evaluative debriefing session among the planning team members only. Both sessions provide the key issues and findings for the data analysis required to prepare the after action report. ▪ After Action Analysis and Report: The after action report (AAR) is the key postexercise docu- ment developed by the exercise planning team, in partnership with transportation agency depart- ments and key participants. It provides a historical record of findings and forms the basis for refine- ments to plans, policies, procedures, training, equipment, and overall preparedness. To prepare the report, the exercise planning team will analyze information gathered during the exercise, from the after action review, and from other sources (e.g., plans and procedures) to compare the actual results of the response with the intended outcome. Input will also be sought from observers who served as technical subject matter experts. AARs describe the exercise scenario, player activities, preliminary observations, major issues, and recommendations for improvements. Sample AARs can be viewed at the following websites: • http://38.232.74.112/CAL_SONS_04.nsf/resources/CAL/$File/ CALSONSTTEXAfterActionReport.pdf. • http://www.au.af.mil/au/awc/awcgate/doj/sample_aar.pdf. • The G&T Secure Portal contains samples of AARs for tabletop exercises. HSEEP Volume IV provides a description of these materials and is available at http://www.ojp.usdoj. gov/odp/docs/HSEEPv4.pdf. ▪ Improvement Plan: The improvement plan is a matrix prepared by the transportation agency to address the findings and recommendations identified in the exercise and documented in the AAR. It should provide a description of the actions that will be taken, the timeline for implementation, Evaluation is a critical element of the tabletop exercise. Previous assessments conducted for FTA have identified evaluation as one of the most challenging elements of emergency exercises for transportation agencies. 39 5Development of Guidelines for Planning, Conducting, and Evaluating Transit Emergency Operations Exercises: Task #2: Compendium of Drill Practice. Federal Transit Administration (Washington, DC), March 4, 2004, pg. 25.

and the person or department with lead responsibility. The improvement plan should be a dynamic improvement program that is continually updated and revised. A sample matrix is available from FEMA at http://training.fema.gov/emiweb/downloads/CorrectiveActionform.doc. CALL-OFF PROCEDURES Sometimes, an exercise becomes ineffective for the players. That means that through an unforeseen cir- cumstance, the exercise fails to be effective or ceases to be effective in its ability to meet the objectives. In any exercise, discussion-based or operations-based, an exercise that is becoming ineffective should be considered for suspension or cancellation. It is not appropriate to call off an exercise for the conve- nience of evaluators or controllers. It is appropriate, however, if exercise players can no longer contribute to the exercise as it was designed. An appropriate call-off procedure should be designated before the conduct of any exercise. It is a good idea in a tabletop to make those decisions at normal break opportunities or before introducing another message from the scenario being played out. Controllers and evaluators should always be cognizant of safety issues that may present themselves during any exercise. If the safety of participants or bystanders is in any way compromised, it is the responsibility of those conducting the exercise to suspend or terminate the exercise. Appropriate atten- tion to that call-off procedure should be part of any safety plan in any operations-based exercise. Guidelines for Transportation Emergency Training Exercises 40

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TRB’s National Cooperative Highway Research Program (NCHRP) Report 525: Surface Transportation Security and TRB’s Transit Cooperative Research Program (TCRP) Report 86: Public Transportation Security series publications have jointly published Guidelines for Transportation Emergency Training Exercises. The report is Volume 9 in each series. The report is designed to assist transportation agencies in developing drills and exercises in alignment with the National Incident Management System. The report describes the process of emergency exercise development, implementation, and evaluation. In addition, the available literature and materials to support transportation agencies such as state departments of transportation, traffic management centers, and public transportation systems are described.

NCHRP Report 525: Surface Transportation Security is a series in which relevant information is assembled into single, concise volumes—each pertaining to a specific security problem and closely related issues. The 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 report will be issued as they are completed.

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