Guidelines for Transportation Emergency Training Exercises (2006)

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Guidelines for Transportation Emergency Training Exercises Progressive exercise programs emphasize the inter-relationships between planning, training, exercises, and the identification and implementation of improvement actions. 7 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. FIGURE 1 PROGRESSIVE EXERCISE PROGRAM CYCLE Planning Development Exercises Improvement Actions Training 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

exercise programs using these materials and resources. Both the FTA and the FHWA have developed guidelines based on these materials: ▪ Critical Incident Management Guidelines, Volpe National Transportation Systems Center, Cambridge, Mass., 1998. http://gulliver.trb.org/publications/security/FinalCrisisManagement Guidelines.pdf. ▪ 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 I–III. 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 I–III, 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: Guidelines for Transportation Emergency Training Exercises Previously developed FTA and FHWA guidelines built on FEMA’s Comprehensive Exercise Program. 8

Guidelines for Transportation Emergency Training Exercises ▪ 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. 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. 9 FIGURE 2 G&T HSEEP REPORT COVERS

TYPES OF EXERCISES The G&T’s HSEEP identifies seven distinct types of exercises arrayed along a continuum designed to promote a comprehensive preparedness capability. This typology is modified from FEMA’s earlier curriculum, which combined seminars and workshops into a single category and which did not include games. A visual representation of the HSEEP approach is presented in Figure 3. Guidelines for Transportation Emergency Training Exercises The G&T and FEMA identify seven types of exercises: seminars, workshops, tabletops, games, drills, functional exercises, and full-scale exercises. Each of these exercise types should be conducted at least once over the 3-year exercise cycle. 10 Discussion–Based Exercises Operations–Based Exercises Seminars Workshops Tabletops Games Drills Functional Exercises Full-Scale Exercises Planning/Training C a p a b il it y FIGURE 3 PROGRESSIVE EXERCISE CONTINUUM The relationships among these increasingly complex types of exercises offer a “building block” approach to emergency readiness. This approach ensures successful progression in exercise design, complex- ity, and execution and allows for the appropriate training and preparation to occur in the community con- ducting the exercise. Although each exercise type identified in Figure 3 can be executed as a single activity, greater benefit can be achieved through a progressive program that exposes participants to gradually increasing levels of complexity. Implementation of such a program allows the collective com- munity to achieve and maintain competency in executing transportation and local emergency response plans. DISCUSSION-BASED AND OPERATIONS-BASED EXERCISE CATEGORIES As a critical element of the progressive exercise program, the seven types of exercises identified in Figure 3 are divided into two distinct categories. ▪ Discussion-based exercises are normally the starting point in the building block approach to the progressive exercise cycle. Discussion-based exercises include seminars, workshops, tabletops and games. The types of exercises typically focus on existing plans, policies, mutual aid agree- ments, and procedures. Thus, they are effective tools for familiarizing agencies and personnel with current or expected response capabilities. They may also provide a forum for developing new plans and procedures. These types of exercises tend to focus on policy-oriented issues. In conducting discussion-based exercises, facilitators and/or presenters usually lead the discussions, helping to keep participants on track and ensure that objectives are met. ▪ Operations-based exercises represent the next stage in the exercise cycle. Operations-based exercises include drills, functional exercises, and full-scale exercises. These exercises are used to validate the plans, policies, agreements, and procedures solidified in discussion-based exercises. Discussion-based exercises include seminars, workshops, tabletops, and games. Operations-based exercises include drills, functional exercises, and full-scale exercises.

Guidelines for Transportation Emergency Training Exercises Operations-based exercises can clarify roles and responsibilities, identify gaps in resources needed to implement plans and procedures, and improve individual and team performances. Common characteristics include actual response, mobilization of apparatus and resources, and commit- ment of personnel, usually over an extended period of time. These exercises may involve single or multiple agencies or jurisdictions. Table 2 presents these categories of exercises as they are usually applied in the transportation envi- ronment. Generally, transportation organizations will start their exercise program with seminars, work- shops, and tabletop exercises. Games may be used by executive leadership to test decision-making capabilities under stressful conditions. These types of exercise are inexpensive and can be implemented quickly. They are an effective means of ensuring that plans, policies, procedures, resources, and agree- ments are in place and that response agencies and personnel are familiar with them. Seminars can be incorporated into a transportation agency’s existing training and responder familiarization programs. 11 TABLE 2 ELEMENTS OF A PROGRESSIVE EXERCISE PROGRAM Type of Exerc ise Category of Exerc ise High-Level Object ives Level of Ef for t Frequency* Seminar Ongo ing as par t o f t ra in ing Workshop Low 2-3 t imes per year Tab le top 1 t ime per year Game Discuss ion- based Assess ing the adequacy o f and fami l ia r i t y w i th the par t i c ipan t ’ s p lans , po l i c ies , p rocedures , resources , and in te ragency / in te r ju r i sd ic t iona l re la t ionsh ips Med ium As needed Dr i l l 1 t ime per year Func t iona l Exerc ise Med ium– High 1 t ime per 2 years Fu l l -Sca le Exerc ise Opera t ions- based Exper t observa t ion and assessment o f th ree leve ls o f per fo rmance: 1 . Task- leve l , 2 . Agency /d isc ip l ine / func t ion leve l , and 3 . M iss ion- leve l H igh 1 t ime per 3 years *Depends on s ize o f t ranspor ta t ion agency and complex i ty o f emergency response ac t i v i t ies , based on gu ide l ines deve loped by FEMA, the G&T, and t ranspor ta t ion p rac t i ce . Then, the transportation organization may conduct drills, functional exercises, and full-scale exer- cises. Depending on complexity, some full-scale exercises can require up to 1 year to develop. Most performance-based exercises conducted in the transportation environment require 3 to 6 months of planning and coordination activity prior to execution. As part of the progressive exercise program, different types of exercises test critical response activities with different frequencies. BRIEF OVERVIEW OF EXERCISE TYPES A brief overview of each type of exercise is provided below. SEMINARS Seminars are generally employed to orient participants to, or to provide an overview of, authorities, strategies, plans, policies, procedures, protocols, response resources, or concepts and ideas within the exercise program. Seminars are a good starting point for transportation agencies that are creating or making major changes to their plans and procedures. Seminars also provide opportunities to gain awareness of, or assess the capabilities of, interagency or interjurisdictional operations. Seminars are the basic building block for exercise development.

Seminars offer the following benefits: ▪ A low-stress environment employing any number of instruction techniques, such as lectures, multi- media presentations, panel discussions, case study discussions, expert testimony, and decision support tools; ▪ Informal discussions led by a seminar leader; ▪ An atmosphere that is not constrained by real-time portrayal of events; and ▪ Effectiveness with both small and large groups. Seminars are typically conducted in a lecture-based format with limited feedback or interaction from par- ticipants. Examples of seminars typically conducted in the transportation environment include emer- gency familiarization sessions provided for local responders, meetings to review existing response plans and procedures, sessions to assess interagency agreements and mutual aid, and presentations on lessons learned from agency response to an actual event or emergency. Typical products associated with seminars include ▪ Training manuals or workbooks, ▪ PowerPoint and other visual presentations and briefings, and ▪ Critique summaries. WORKSHOPS Workshops are a forum for information exchange and usually focus on development of a product, includ- ing critical elements of the exercise and evaluation program. Workshops give the transportation agency and its partners in the emergency response and management community the opportunity to ▪ Collect or share information; ▪ Obtain new or different perspectives; ▪ Test new ideas, processes, or procedures; ▪ Train groups to perform coordinated activities; ▪ Obtain consensus on exercise program activities; and ▪ Build teams. In conjunction with the transportation agency’s exercise development process, workshops are most useful in planning specific aspects of exercise design, such as ▪ Program or exercise objectives, ▪ Exercise scenario and key events listings, and ▪ Evaluation elements and standards of performance. Facilitation and breakout sessions are common. Typical products developed during workshops include draft work materials, presentations, and critique summaries. Guidelines for Transportation Emergency Training Exercises Workshops can be used to provide training and to support development of revised procedures and plans. 12

Guidelines for Transportation Emergency Training Exercises TABLETOPS Tabletops can involve senior transportation agency staff, relevant elected or appointed officials and board members, other key operations and maintenance staff, and local responders in an informal set- ting to discuss simulated situations. This type of exercise is intended to stimulate discussion of various issues regarding a hypothetical situation. Tabletops can be used to assess plans, policies, and procedures or to assess the types of systems needed to guide the prevention of, response to, and recovery from the defined event. Tabletops are typ- ically aimed at facilitating the understanding of concepts, at identifying strengths and shortfalls, and/or at achieving a change in attitude. Participants are encouraged to discuss issues in depth and to develop decisions through slow-paced problem solving rather than rapid, spontaneous decision making that occurs under actual or simulated emergency conditions. In contrast to the scale and cost of full-scale exercises, tabletops can be a cost- effective tool when used in conjunction with more complex exercises. The tabletop’s effectiveness is derived from the energetic involvement of participants and their assessment of recommended revisions to current policies, procedures, and plans. There are two categories of tabletops: basic and advanced. In a basic tabletop, the scene set by the scenario materials remains constant. The scene describes an event or emergency incident and brings participants up to the simulated present time. Players apply their knowledge and skills to a list of prob- lems presented by the leader. Problems are discussed as a group, and a resolution is generally agreed upon by the players and summarized by the leader. In an advanced tabletop, play revolves around delivery of prescripted messages to players that alter the original scenario. The exercise leader usually introduces problems one at a time in the form of a written message, simulated telephone call, videotape, or other means. Participants discuss the issues raised by the problem, using appropriate plans and procedures. Activities in a tabletop may include: ▪ Practicing group problem solving, ▪ Familiarizing senior management, ▪ Conducting a specific case study, ▪ Examining personnel contingencies, ▪ Testing group message interpretation, ▪ Participating in information sharing, ▪ Assessing interagency coordination, and ▪ Achieving limited or specific objectives. Tabletops are often most effective when they are used to enhance general awareness; validate plans and procedures; and identify strengths and weaknesses in coordination, communication, and inter- agency information sharing and analysis. Products generally associated with tabletops include the following: ▪ Situation manuals, ▪ PowerPoint presentations and other visual briefings, Tabletops are the most common type of emergency exercise performed in the transportation environment. 13

▪ Evaluation plans, and ▪ AARs or improvement plans. GAMES A game is a simulation of operations that often involves two or more teams, usually in a competitive envi- ronment, using rules, data, and procedures designed to depict an actual or assumed real-life situation. A game does not involve the use of actual resources, but the sequence of events affects, and is in turn affected by, the decisions made by the players. Players are commonly presented with scenarios and asked to perform a task associated with the sce- nario episode. Each episode then moves to the next level of detail or complexity, taking into account the players’ earlier decisions. The decisions made by game participants determine the flow of the game. The goal is to explore decision-making processes and the consequences of decisions. In a game, the same situation can be examined from different perspectives by changing variables and parameters that guide player actions. Large-scale games are multijurisdictional and can include active participation from local to national levels of government. Games stress the importance of the planners’ and players’ under- standing of interrelated processes. With the evolving complexity and sophistication of current simulations, there are increased opportuni- ties to provide enhanced realism for game participants. The use of computer-generated simulations can provide a more realistic and time-sensitive method of introducing situations for analysis. Planner deci- sions can be input and models run to show the effect of decisions made during a game. Games are excellent vehicles for the following: ▪ Gaining policy or process consensus, ▪ Conducting “what-if” analyses of existing plans, and ▪ Developing new plans. DRILLS A drill is a coordinated, supervised activity usually employed to test a single operation or function in a single agency. Drills are commonly used to provide training in the use of new equipment, to develop or test new policies or procedures, or to practice and maintain current skills. Typical attributes include ▪ A narrow focus, measured against established standards; ▪ Instant feedback; ▪ A realistic environment; ▪ Performance in isolation; and ▪ Performance as a subset of full-scale exercises (FSEs). Drills are commonly performed in the transportation environment, where the existence of clear proce- dures, operating rulebooks, and structures for employee supervision and evaluation support the incor- poration of this type of exercise activity into basic operations training and evaluation. For each drill, clearly defined plans, policies, and procedures need to be in place. Personnel should be familiar with those plans and policies and be trained in the processes and procedures to be drilled. Guidelines for Transportation Emergency Training Exercises Shortly after September 11, APTA conducted a series of games with public transportation general managers and executive directors. 14

Guidelines for Transportation Emergency Training Exercises FUNCTIONAL EXERCISES The functional exercise is designed to test and evaluate individual capabilities, multiple functions or activ- ities within a function, or interdependent groups of functions. It generally focuses on exercising the plans, policies, procedures, and staffs of the direction and control nodes of either incident command and uni- fied command or the transportation agency’s emergency response organization. Events are usually pro- jected through an exercise scenario, with event updates that drive activity at the management level. The movement of equipment and personnel is simulated. The objective of the functional exercise is to execute specific plans and procedures and apply estab- lished policies, plans, and procedures under crisis conditions, within a particular function or by a spe- cific team. The functional exercise simulates the reality of operations in a functional area by presenting complex and realistic problems that require rapid and effective responses by trained personnel in a highly stressful environment. Activities in a functional exercise include ▪ Evaluating functions; ▪ Evaluating emergency operations centers (EOCs), headquarters, and staff; ▪ Reinforcing established policies and procedures; ▪ Measuring the adequacy of resources; and ▪ Examining interjurisdictional relationships. FULL-SCALE EXERCISES In a full-scale exercise (FSE), response elements are required to mobilize and deploy to a designated site in response to a simulated attack, generally for an extended period. Actual mobilization and move- ment of personnel and resources are required to demonstrate coordination and response capability. EOCs and field command posts are activated. The FSE is the largest, most costly, and most complex exercise type and may involve participation at the local, area, state, and federal levels. Although scripted events may be used, the exercise is primarily driven by player actions and decisions. The FSE is used to evaluate the operational capabilities of systems, functional interfacing, and interac- tion during an extended period. It involves testing a major portion of operations plans and overall orga- nization under field conditions. Activities in an FSE may include: ▪ Assessing organizational or individual performance; ▪ Demonstrating interagency cooperation; ▪ Allocating resources and personnel; ▪ Assessing equipment capabilities; ▪ Activating personnel and equipment locations; ▪ Assessing interjurisdictional cooperation; ▪ Exercising public information systems; ▪ Testing communications systems and procedures; and ▪ Analyzing memoranda of understanding (MOUs), standard operating procedures (SOPs), plans, policies, and procedures. 15

COMPLIANCE WITH THE NATIONAL RESPONSE PLAN (NRP) AND THE NATIONAL INCIDENT MANAGEMENT SYSTEM (NIMS) In creating its progressive exercise program, each transportation agency should be aware that the G&T is coordinating the HSEEP with new requirements in the NRP and NIMS. The NRP (December 2004) ▪ Establishes a comprehensive, national, all-hazards approach to domestic incident management across a spectrum of activities; ▪ Is predicated on NIMS (March 2004), which is a nationwide template enabling government and nongovernmental responders to respond to all domestic incidents; ▪ Provides the structure and mechanisms for nation-level policy and operational coordination for domestic incident management; ▪ Does not alter or impede the ability of federal, state, local, or tribal departments and agencies to carry out their specific authorities; and ▪ Assumes that incidents are typically managed at the lowest possible geographic, organizational, and jurisdictional level. Figure 4 depicts the relationship between the NRP and NIMS. Guidelines for Transportation Emergency Training Exercises The NRP directs federal involvement in major emergencies. NIMS is used by local responders to provide a framework that can support the integration of state and federal resources into the emergency response effort. 16 Local Support or Response National Incident Management System (NIMS) Standardized processes and procedures for incident management State Support or Response Federal Support or Response National Response Plan (NRP) Activation and proactive application of integrated federal resources Incident The NRP is activated for Incidents of National Significance The DHS integrates and applies federal resources both before and after the incident NIMS aligns command, control, organization structure, terminology, communication protocols, resources, and resource-typing for synchronization of response efforts at all echelons of government. FIGURE 4 RELATIONSHIP BETWEEN THE NRP AND NIMS The NRP distinguishes between incidents that require DHS coordination, termed Incidents of National Significance, and the majority of incidents occurring each year that are handled by responsible jurisdic- tions or agencies through other established authorities and existing plans. The DHS bases the defini- tion of Incidents of National Significance on the following four criteria: ▪ A federal department or agency acting under its own authority has requested the assistance of the Secretary of Homeland Security.

Guidelines for Transportation Emergency Training Exercises ▪ The resources of state and local authorities are overwhelmed, and federal assistance has been requested by the appropriate state and local authorities. An example is major disasters or emer- gencies as defined under the Robert T. Stafford Disaster Relief and Emergency Assistance Act. ▪ More than one federal department or agency has become substantially involved in responding to an incident. Examples include credible threats; indications or warnings of imminent terrorist attack; acts of terrorism directed domestically against the people, property, environment, or political or legal institutions of the United States or its territories or possessions; and threats or incidents related to high-profile, large-scale events that present high-probability targets, such as National Special Secu- rity Events (NSSEs) and other special events as determined by the Secretary of Homeland Secu- rity, in coordination with other federal departments and agencies. ▪ The Secretary of Homeland Security has been directed to assume responsibility for managing a domestic incident by the President. To prepare for these events, as specified by the DHS in the NRP, state governments must develop emer- gency operations plans (EOPs) compliant with NRP requirements by April 30, 2005, or, at the latest, during the state’s next established cycle for updating its EOP. It is anticipated that requirements in state EOPs will affect municipal and county emergency planning activities, which, in turn, will impact trans- portation agencies. In addition, NIMS has specific requirements for local emergency management and public safety agen- cies. These requirements must be implemented by the end of fiscal year 2006. State-level activities include ▪ Incorporating NIMS into state EOPs; ▪ Incorporating NIMS into existing training programs and exercises; ▪ Ensuring that federal preparedness funding supports state, local, and tribal NIMS implementation; ▪ Promoting intrastate mutual aid agreements; ▪ Coordinating and providing NIMS technical assistance to local entities; and ▪ Institutionalizing the use of the incident command system. Affected jurisdictions should support NIMS implementation by doing the following: ▪ Completing the NIMS Awareness Course, “National Incident Management System (NIMS), An Introduction” IS 700. This independent study course developed by the Emergency Manage- ment Institute (EMI) explains the purpose, principles, key components, and benefits of NIMS. The course is available at http://training.fema.gov/EMIWeb/IS/is700.asp. ▪ Formally recognizing NIMS and adopting NIMS principles and policies. States, territories, tribes, and local entities should establish legislation, executive orders, resolutions, or ordinances to formally adopt NIMS. Go to http://www.fema.gov/nims and click on Tools and Templates for examples. ▪ Establishing a baseline by determining which NIMS requirements are already addressed. State, territorial, tribal, and local entities have already implemented many of the concepts and protocols identified in NIMS. As gaps in compliance with NIMS are identified, states, territories, tribes, and local entities should use existing initiatives—such as the G&T Homeland Security grant programs—to develop strategies for addressing those gaps. 17

▪ Establishing a timeframe and strategy for full NIMS implementation. States, territories, tribes, and local entities are encouraged to achieve full NIMS implementation during FY 2005. To the extent that full implementation is not possible during FY 2005, which ends on Sept. 30, 2005, fed- eral preparedness assistance must be leveraged to complete NIMS implementation by Sept. 30, 2006. Beginning FY 2007 (Oct. 1, 2006), federal preparedness assistance will be conditioned by full compliance with NIMS. States should work with the tribal and local governments to develop a strategy for statewide compliance with NIMS. ▪ Institutionalizing the use of the incident command system (ICS). If state, territorial, tribal and local entities are not already using ICS, then they must institutionalize the use of ICS (consistent with the concepts and principles taught by the DHS) across the entire response system. Additional information on NRP and NIMS requirements can be found at http://www.fema.gov/nims/ nims.shtm and at http://trb.org/news/blurb_detail.asp?id=6007. To enhance transportation capabili- ties to address these requirements, Attachment 1 of these guidelines contains a set of introductory materials explaining NRP and NIMS requirements and highlighting specific areas that may affect transportation agencies. DHS MISSION OUTCOMES In addressing NRP and NIMS requirements, whether at the state level (state DOTs) or the local level (transportation management centers and transit agencies), transportation emergency procedures and training will be developed or revised. Emergency exercises provide an important way to verify the capa- bilities of participants to address new requirements, protocols, and practices. To ensure that emer- gency exercises support implementation of NRP and NIMS requirements, the DHS has developed eight mission outcomes to guide the evaluation of all emergency exercises. These mission outcomes are presented in Table 3. Using the DHS mission outcomes, transportation agencies and their partners can develop exercise evaluation criteria to assess performance of critical activities and to identify measures to benchmark capabilities and needs. Attachment 2 provides an exercise evaluation guide created specifically for transportation agencies to provide sample evaluation and performance measures to be used during transportation exercises, following the DHS mission outcomes. Additional information on using this exer- cise evaluation guide is provided in Section 5 of these guidelines. Guidelines for Transportation Emergency Training Exercises 18

Guidelines for Transportation Emergency Training Exercises TABLE 3 DHS MISSION OUTCOMES FOR EXERCISE EVALUATION 19 Mission Outcome Title Definition I Prevention and Deterrence The ability to prevent, deter, or protect against terrorist actions and to identify and prepare for natural disasters. II Emergency Assessment The ability to detect an incident, determine its impact, classify the incident, conduct environmental monitoring, and make agency-to-agency and government-to-government notifications. III Emergency Management The ability to direct, control, and coordinate a response; provide emergency public information to the population at risk and the population at large; and manage resources—this outcome includes direction and control through the incident command system, EOC, and joint information center. IV Incident Site/Hazard Mitigation The ability to control, collect, and contain an incident at its source and to mitigate the magnitude of its impact—this outcome also includes all response tasks conducted at the incident scene except those specifically associated with victim care. V Public Protection The ability to provide initial warnings to the population at large and the population at risk; to direct people to shelter-in-place or evacuate; to provide evacuee support (e.g., transportation for evacuees, a reception center, and sand shelters); to protect special populations (e.g., people in schools, people with disabilities, transit-dependent people, and incarcerated people); and to manage traffic flow and access to the affected area. VI Victim Care The ability to treat victims at the scene, transport patients, treat patients at a medical treatment facility, track patients, handle and track human remains, and provide tracking and security of patients’ possessions and evidence. VII Investigation/Apprehension The ability to investigate the cause and source of the attack; prevent secondary attacks; and identify, apprehend, and prosecute those responsible. VIII Recovery/Remediation The ability to restore essential services, restore businesses and commerce, clean up the environment, render the affected area safe, compensate victims, provide long-term mental health and other services to victims and the public, and restore a sense of well-being in the community.