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Guidelines for Transportation Emergency Training Exercises
2.0 PROGRESSIVE EXERCISE PROGRAMS
Since the mid-1980s, federal, state, and local agencies involved in the design, conduct, and evaluation
of emergency exercises have emphasized the importance of a progressive exercise program. This
approach encourages each transportation agency to organize and prepare for a series of increasingly
complex exercises, using a process whereby each successive exercise builds upon the previous one to
meet specific operational goals. This program is coordinated using a set of project management tools
that promote defined goals, measurable objectives, formal schedules, and dedicated resources.
As indicated in Figure 1, a progressive program implements a cycle of planning development, training,
exercises, and improvement actions. This cycle is used to direct and schedule exercise activity and then
to ensure that identified improvements are addressed.
Progressive Planning
exercise programs Development
emphasize the
inter-relationships
between planning, Improvement Training
training, Actions
exercises, and the
identification and
implementation of Exercises
improvement
actions. FIGURE 1 PROGRESSIVE EXERCISE PROGRAM CYCLE
A progressive exercise program begins with the establishment of a 3-year exercise cycle. Within this
cycle, targeted areas of focus are identified based on formal needs assessments, threat and vulnera-
bility assessments, and the recommendations of senior personnel. For example, target areas may
include the use of communications equipment and systems across multiple jurisdictions, the integration
of transportation resources into the incident/unified command system established by local responders,
and the performance of specific types of activities in the transportation environment (e.g., de-energizing
and re-energizing third-rail or overhead catenary systems, station and vehicle evacuations, procedures
for vehicle hijackings, and procedures for managing suspicious packages in transportation facilities and
on vehicles).
Next, emergency response plans, policies, procedures, immediate actions, and job aids are developed,
or existing documents are reviewed, in these focus areas. Training is then provided, or the quality of
existing training is assessed. Then, over the course of the 3-year cycle, increasingly complex types of
exercises are conducted to assess and reinforce critical activities within the target areas of focus. Each
exercise is evaluated, and results are incorporated into the planning development process.
Most transportation agencies, like their partners in law enforcement and other public safety disciplines,
have already developed plans and procedures and provided initial training. Some transportation agen-
cies have previous experience with emergency exercises. Whenever a transportation agency finds
itself in this process, it can initiate the progressive exercise program cycle.
FEMA AND G&T PROGRAMS
In the early 1990s, FEMA developed a core curriculum devoted to supporting the capabilities of local
and state agencies to integrate different types of emergency exercises into effective progressive pro-
grams. FEMA also initiated a series of grant programs designed to support exercises conducted at the
local, regional, and state level. Over the last 15 years, many transportation agencies have developed
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Guidelines for Transportation Emergency Training Exercises
Previously exercise programs using these materials and resources. Both the FTA and the FHWA have developed
developed FTA guidelines based on these materials:
and FHWA
guidelines built on Critical Incident Management Guidelines, Volpe National Transportation Systems Center,
FEMA's Cambridge, Mass., 1998. http://gulliver.trb.org/publications/security/FinalCrisisManagement
Comprehensive Guidelines.pdf.
Exercise Program.
Emergency Preparedness Introductory Materials, FHWA, Washington, D.C., 2002. http://ops.fhwa.
dot.gov/opssecurity/index.htm.
Information on FEMA's Comprehensive Exercise Curriculum is available at http://www.training.
fema.gov/EMIWeb/CEC/.
With the creation of the DHS in 2003, the G&T (formerly the Office for Domestic Preparedness) has now
taken the lead in the development of grant programs and supporting guidelines to enhance the pre-
paredness of local and state agencies for terrorism-related events. FEMA (also now a part of the
DHS) has retained responsibility for emergency exercises assessing response capabilities for nat-
ural disasters and other non-terrorism-related events.
To meet its new mission, the G&T has developed the Homeland Security Exercise and Evaluation Pro-
gram (HSEEP), which builds on the previous FEMA curriculum. This program, which is being coordi-
nated with FEMA, has been promoted by the DHS as the new standard for emergency exercises. It has
been designed following the NRP and NIMS. Using these new DHS requirements, HSEEP now empha-
sizes consistent terminology, common processes, and an implementation approach that is practical and
flexible enough for all exercise planners (regardless of their sponsoring agency or organization).
To provide guidance for all organizations conducting emergency exercises, the G&T has prepared a
series of four manuals:
HSEEP Volume I: Overview and Doctrine provides requirements and guidance for the establishment
and maintenance of a homeland security exercise program.
HSEEP Volume II: Exercise Evaluation and Improvement offers a proven methodology for evalu-
ating homeland security exercises and implementing an improvement program.
HSEEP Volume III: Exercise Program Management and Exercise Planning Process assists plan-
ners in establishing an exercise program and outlines a standardized planning process adaptable
to any types of exercise.
HSEEP Volume IV: Sample Exercise Documents and Formats provides sample exercise materi-
als referenced in HSEEP Volumes IIII. These materials are available only through the G&T Secure
Portal, a web-based system that enables the G&T to establish user names and passwords for all
organizations using these materials. To gain access to the G&T Secure Portal, call the G&T Help
Desk at 1-800-368-6498. These materials include both samples and templates for all phases of the
exercise planning, implementation, and evaluation processes.
Figure 2 shows the covers of the first two volumes.
HSEEP Volumes IIII, and a table of contents regarding the information contained on the G&T Secure
Portal as part of Volume IV, can be accessed at http://www.ojp.usdoj.gov/odp/docs/hseep.htm.
These materials emphasize the value of a progressive exercise program, depicted in Figure 1, and
offer several important considerations for transportation agencies:
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Guidelines for Transportation Emergency Training Exercises
FEMA/G&T
programs have
important
considerations for
transportation
agencies. These
programs provide
a standardized
process that is
being used by
transportation's
partners in
public safety and
emergency
management. FIGURE 2 G&T HSEEP REPORT COVERS
A 3-year exercise cycle is established, and a set of program management tools are used by trans-
portation exercise coordinators to organize activities, develop a schedule, assign resources, and
ensure that evaluations are adequately performed to identify and incorporate improvements into
the transportation agency's response capabilities.
Templates and reporting forms have been developed that can be accessed by transportation exer-
cise coordinators to support program management; FEMA and G&T grant applications; monitoring
of the implementation of identified improvements; and coordination with municipal, county, and state
response partners.
The FEMA and G&T exercise programs offer a graduated approach to readiness, focusing first on
ensuring the internal response capabilities of the transportation agency (through the development
of plans, policies, and procedures) and the conduct of training. Then the program reaches out to
the major organizations that would be involved in managing a transportation emergency. The pro-
gram reviews mutual aid and interagency agreements and clarifies roles and responsibilities.
Finally, once internal and external emergency response plans and activities have been clarified,
the program offers a series of increasingly complex exercises to test the effectiveness of plans
and personnel.
In the progressive exercise cycle, a series of planning conferences and meetings are identified
to ensure that all partners are ready to participate in the exercises and to enable the building of
confidence and clarity in response activities.
Through the involvement of multiple organizations, the program enables the participating person-
nel to test, not only their implementation of emergency management procedures but also their coor-
dination with each other in the process.
The program is carefully planned to achieve identified goals and objectives, which are determined
at the beginning of the three-year exercise cycle and refined throughout.
Transportation agencies that wish to receive funding to support their exercise programs from G&T
or FEMA are required to follow this approach. By following this approach, each transportation
agency can ensure that the levels of exercise sophistication are tailored to its specific needs, while
maintaining the same delivery strategy over the three-year cycle. Specific forms, templates and
other information developed by FEMA and the G&T relevant to the emergency exercise develop-
ment, implementation and evaluation process will be identified in the remainder of this report.
9
