Guidelines for Transportation Emergency Training Exercises (2006)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Guidelines for Transportation Emergency Training Exercises 2 1.0 INTRODUCTION Transportation professionals at all levels of their agencies and in all types of communities are now work- ing to prevent and respond to new threats to public safety. These professionals are engaged in plan- ning and training; development of procedures; evaluation of security design criteria and technology; and enhanced coordination with local, regional, and state agencies to mitigate the effects of natural and human-made disasters. In assessing the effectiveness of this activity, the best way to determine trans- portation preparedness is by conducting and evaluating emergency exercises. The guidelines in this report have been designed as a reference for transportation exercise coordina- tors. They describe steps in emergency exercise development, implementation, and evaluation and highlight available literature and materials to support transportation agencies, including state depart- ments of transportation (DOTs), transportation management centers, and public transportation systems. References to useful materials are presented in standard bibliographic format, with corresponding uni- form resource locators (URLs) to direct transportation exercise coordinators to web resources. Information provided in the guidelines is based on an extensive literature review, telephone interviews with personnel responsible for developing and evaluating exercises in the transportation environment, and analysis of recent recommendations and guidance provided by the Federal Emergency Manage- ment Agency (FEMA) and the Preparedness Directorate Office of Grants and Training (G&T, formerly the Office for Domestic Preparedness). Both FEMA and the G&T are part of the Department of Home- land Security (DHS). Materials that were developed by contractor teams documenting findings and assessments from exer- cises for the Federal Transit Administration (FTA) and the Federal Highway Administration (FHWA) were also consulted. Although the guidelines contain the elements of an effective transportation emergency exercise pro- gram, it is important to recognize that transportation agencies alone cannot achieve their preparedness objectives. Emergency management and public safety agencies are the lead stakeholders in ensuring a community’s readiness. Transportation professionals must coordinate closely with their peers at these agencies. Many of these peers are now working to improve their capabilities by addressing new require- ments specified in the National Response Plan (NRP) and the National Incident Management System (NIMS), which were both recently released by the DHS. The guidelines in this report build on existing practices to create an integrated emergency response capability that can expand or contract based on the nature of the emergency and that uses technol- ogy and procedures to support the exchange of information among agencies across all levels of gov- ernment. Transportation agencies should be integrated into this emerging system because they may play a major role in primary response actions that might be needed in times of natural or human-made disasters. An effective program of training exercises strengthens the ties between the transportation, emergency management, and public safety communities through partnership, joint activities, and shared exercise improvement plans. GUIDELINES ORGANIZATION The guidelines provide an overview of the process currently recommended for managing an emergency exercise program in the transportation environment. These guidelines are written in plain language in order to be accessible to those who may have little or no experience in exercises. Wherever pos- sible, the guidelines include references to other resources that will be valuable in creating an effec- tive program. The guidelines are organized into five sections. Section 1 provides an introduction to the “Guidelines for Transportation Emergency Training Drills and Exercises” project; offers a brief overview of why transportation agencies conduct exercises; and

Guidelines for Transportation Emergency Training Exercises highlights existing federal regulations, recommendations, and programs to support transportation exercises. Section 2 introduces the concept of a progressive exercise program and highlights new and emerg- ing programs sponsored by FEMA and the G&T. This section also provides an overview of the seven different types of exercises that make up a progressive exercise program. Section 3 illustrates how a progressive exercise program can be established in the transportation environment and provides information on program costs and grant funding opportunities. Section 4 describes how an agency can plan, design, conduct, and evaluate discussion-based exer- cises that will help improve the agency’s ability to respond to transportation emergencies. This section includes references to forms and templates that can be used by a transportation agency to address specific needs. Section 5 outlines and describes how an agency can plan, design, conduct, and evaluate operations- based exercises that will help improve the agency’s ability to respond to transportation emergencies. This section includes references to forms and templates that can be used by a transportation agency to address specific needs. Appendixes to the guidelines include an abbreviation list (Appendix A), a glossary of terms (Appen- dix B), a detailed bibliography with URLs to locate materials on the Internet (Appendix C), and a list of training and exercise websites for additional information (Appendix D). Attachments to the guidelines include ▪ Information on the NRP and NIMS and how they affect transportation agencies (Attachment 1); ▪ A transportation exercise evaluation guide in compliance with DHS recommendations (Attach- ment 2); ▪ A template for performing a needs assessment to direct exercise programs (Attachment 3); ▪ A set of exercise design objectives (Attachment 4); ▪ A set of materials to support exercise development, implementation, and evaluation (Attach- ment 5); and ▪ A set of materials that support the development of transportation incident response typologies for use in developing emergency exercises (Attachment 6). WHY CONDUCT EXERCISES? Transportation agencies are vulnerable to a range of events that may result in emergencies. Table 1 illustrates some of the most likely of these events, organized into categories of human-caused events (both intentional and unintentional) and naturally occurring events. An exercise is a focused practice activity that places the participants in a simulated situation that requires them to function in the capacity that would be expected of them in a real event. A good, well-evaluated exer- cise reveals inconsistencies in plans, highlights deficiencies in resources, and underscores any need for additional training. Going directly into a real emergency operation without practicing in exercises involves substantial risks. For example, many participants may not know or thoroughly understand what their emergency respon- sibilities are or how these responsibilities relate to activities performed for other elements of the response. Equipment may not function as expected, and procedures may not be as effective as 3

anticipated. Such risks, when thoughtfully considered, are unacceptable to most transportation agen- cies. Accordingly, a broad spectrum of exercise activity is necessary if functional emergency response and recovery capability is to be realistically assessed and improved. Well-designed and -executed exercises are the most effective means of: ▪ Testing and validating policies, plans, procedures, training, equipment, and interagency agreements; ▪ Clarifying and training personnel in roles and responsibilities; ▪ Demonstrating mastery of standard and emergency operating procedures, communications, equipment, and public information dissemination; ▪ Improving internal agency and interagency coordination and communications; ▪ Identifying gaps in resources; ▪ Improving individual performance; and ▪ Identifying specific actions that should be taken to improve the response capability. Exercises are also an excellent way to demonstrate community resolve and cooperation to prepare for disastrous events. Review of successful responses to emergencies over the years has shown that pre- emergency exercising pays huge dividends when an actual emergency occurs. This is especially true in instances where communities were involved in full-scale exercises that tested the range of response activities, communications protocols, and resources to be applied. As providers of a public service, transportation agencies have a responsibility to ▪ Ensure customer and employee safety and security at all times, ▪ Train employees so that they know what to do when an emergency occurs, Guidelines for Transportation Emergency Training Exercises 4 Human-Caused Naturally Occurring Intentional Unintentional  Droughts  Dust/Wind Storms  Earthquakes  Electrical Storms  Floods  High Winds  Hurricanes  Ice Storms  Landslides  Naturally Occurring Epidemics  Snowstorms and Blizzards  Tornadoes  Tropical Storms  Tsunamis  Typhoons  Wildfires  Bomb Threats and Other Threats of Violence  Disruption of Supply Sources  Fire/Arson  Fraud/Embezzlement  Labor Disputes/Strikes  Misuse of Resources  Riot/Civil Disorder  Sabotage: External and Internal Actors  Security Breaches  Terrorist Assaults Using Chemical, Biological, Radiological, or Nuclear Agents  Terrorist Assaults Using Explosives, Firearms, or Conventional Weapons  Theft  Vandalism  War  Workplace Violence  Accidental Contamination or Hazardous Materials Spills  Accidental Damage to or Destruction of Physical Plant and Assets  Accidents That Affect the Transportation System  Gas Outages  Human Errors  HVAC System Failures or Malfunctions  Inappropriate Training on Emergency Procedures  Power Outages  Software/Hardware Failures or Malfunctions  Unavailability of Key Personnel  Uninterruptible Power Supply (UPS) Failure or Malfunction  Voice and Data Telecommunications Failures or Malfunctions  Water Outages TABLE 1 EMERGENCY EVENTS AFFECTING TRANSPORTATION AGENCIES

Guidelines for Transportation Emergency Training Exercises ▪ Recognize that they are part of the regional emergency response effort, and ▪ Correct gaps and vulnerabilities in the system. Exercises help the transportation agency to fulfill these responsibilities. In the transportation environ- ment, exercises provide an effective way to implement and fine-tune an agency’s emergency plan, pro- vide training, and improve system safety and security. Transportation agencies that integrate exercise and evaluation programs into their preparedness activities can more efficiently and effectively execute their emergency response plans during an actual event. FEDERAL EXERCISE REQUIREMENTS FOR TRANSPORTATION AGENCIES With the exception of rules promulgated by the Federal Railroad Administration (FRA),1 which regulates Amtrak and commuter railroads; the Environmental Protection Agency (EPA),2 which governs haz- ardous materials suppliers and shippers; and the Department of Energy (DOE),3 which oversees the shipment of radioactive materials, there are no specific regulatory requirements mandating transporta- tion exercise programs for state DOTs, transportation management centers, and public transportation agencies. Even without direct regulation or requirement, transportation agencies have an interest in obtaining sup- port from federal funding sources, guidance from the lessons learned through the exercise programs already established, and continued means of coordinating with other providers of emergency services that are most closely linked to existing funding sources and exercise requirements (i.e., with emergency management, emergency medical, fire, and law enforcement agencies). Both the FTA and the FHWA have issued recommendations and provided funding to support the conduct of emergency exercises. In 2002, using supplemental funds from the Department of Defense (DOD), FTA invited the largest 100 transit systems to submit applications for grants up to $50,000 per transit agency to conduct single or multiple emergency exercises. The amount awarded depended on the number and complexity of the exercises. Eighty-two of the largest 100 agencies applied for and were awarded grants. As a condition of these grants, transit agencies submitted after action reports (AARs) and evaluations and, in some instances, complete exercise packages to the FTA. Through the spring of 2004, the FTA assessed the materials received from transit agencies. Two reports have been issued so far: ▪ Development of Guidelines for Planning, Conducting, and Evaluating Transit Emergency Opera- tions Exercises: Compendium of Drill Practice, FTA, Office of Safety and Security, Washington, D.C., March 2004. ▪ Briefing Paper of Learning Objectives and Measures of Effectiveness, FTA, Washington, D.C., March 2004. 5 1 49 CFR—Passenger Train Emergency Preparedness Part 239. According to Part 239, “each railroad oper- ating passenger train service shall conduct full-scale emergency simulations, in order to determine its capability to execute the emergency preparedness plan under the variety of scenarios that could rea- sonably be expected to occur on its operation, and ensure coordination with all emergency responders who voluntarily agree to participate in the emergency simulations.” The frequency of emergency simu- lations under 49 CFR 239 varies, but for most affected agencies, it requires at least one simulation per year to include participation with local emergency responders, a critique, and a debrief. 2 The Emergency Planning and Community Right-to-Know Act (EPCRA) of 1986, and corresponding reg- ulations issued by the states for local emergency planning committees (LEPCs), fire departments, and state emergency response commissions (SERCs). 3 The Transportation Emergency Preparedness Program (TEPP) is a departmentwide program that inte- grates transportation emergency preparedness activities under a single program to address the emer- gency response concerns of state, tribal, and local officials affected by the DOE’s requirements for ship- ment of radioactive materials.

These reports can be downloaded from http://trb.org/news/blurb_detail.asp?id=6007. Additional reports are pending. To provide guidance to support the development of emergency planning and exercise programs, in January 2003, the FTA released its “Top 20 Security Program Action Items for Transit Agencies,” available at http://transit-safety.volpe.dot.gov/security/SecurityInitiatives/Top20/default.asp. This website provides resources and templates to help transit agencies implement 20 distinct action items prioritized by the FTA as critical to improving both security and emergency preparedness. The devel- opment of a transportation exercise program is highly recommended and addressed in two of the Top 20 Security Action Items. Other items, such as emergency response planning and training, also sup- port exercise programs. In 2002 and 2003, the FHWA conducted 21 workshops around the United States on transportation operations preparedness and response. The overall objectives of the workshops were to ▪ Increase participant awareness of (1) the critical processes, issues, and activities that may arise during and following an emergency and (2) the possible approaches for addressing them; ▪ Enhance working relationships among personnel from multiple organizations responsible for emergency preparedness and response in each of the 10 regions; ▪ For transportation emergency response planning and readiness in each of the 10 regions, iden- tify both (1) areas for improvement and (2) next steps to address these areas; and ▪ Provide input to transportation emergency preparedness guidance materials being prepared at the national level. These workshops also provided a model for conducting emergency exercises that could be used by state DOTs and transportation management centers around the nation. Also, the FHWA has estab- lished a website with information to support the development and evaluation of emergency exercises. This website is located at http://www.ops.fhwa.dot.gov/OpsSecurity/. In cooperative programs with the American Association of State Highway and Transportation Offi- cials (AASHTO), with the Transportation Research Board (TRB), with the FTA, and with the Ameri- can Public Transportation Association (APTA), the FHWA has sponsored training workshops on emergency planning and threat and vulnerability assessment. Both of these critical elements must be in place to support an effective exercise program. Additional information on these programs is available at http://www.trb.org/securitypubs. As will be discussed in the next section of this report, FEMA and the G&T have helped each other develop guidelines for conducting and evaluating emergency exercises. FEMA’s program of guide- lines addresses exercises conducted for natural disasters and technological accidents; the G&T’s program of guidelines focuses on terrorism-related events. Although following the guidelines in these programs is not mandatory, transportation agencies and their partners in municipal, county, and state governments can obtain grant funding by doing so. FEMA and G&T guideline programs, both revamped in the last few years, offer the most consistent guidance yet on exercise planning, perfor- mance, and evaluation. Guidelines for Transportation Emergency Training Exercises 6