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152 Washington State DOT Office of Emergency Management Emergency Operations Plan M 54-11.01, May 2011 Portions of WSDOTâs Emergency Operations Plan relevant to training and exercises are presented below: Concept of Operations It is vital that WSDOT regions, divisions, programs, and employees understand their roles during a disaster. The following section describes the all-hazards framework for WSDOT staff to follow during a disaster. Preparedness Phase The preparedness phase consists of building and maintaining emergency plans and conducting emergency training and exer- cises. It is a primary goal of the WSDOT Emergency Management Program to maintain a constant state of readiness and the ability to respond and recover from any hazard that threatens the state transportation system. Training and Exercises WSDOT Emergency Responder Training â WSDOT personnel who respond to emergencies need to understand the actions they must take during emergencies. This requires training that may include, but is not limited to, classroom instruction, required reading, and participation in drills and exercises. Emergency response training and the determination of who must attend will be developed and coordinated by the WSDOT Emergency Management Working Group with oversight from the WSDOT Office of Emergency Management. Further details can be found in Appendix C Training and Exercise Plan. Training records for emergency management-related training are maintained by WSDOT Staff Development. National Incident Management System (NIMS) and Incident Command System (ICS) Training â WSDOT employ- ees who have a role in emergency response shall receive training on the National Incident Management System and the Inci- dent Command System. Information concerning whether or not a position requires NIMS and/or ICS training is located in the Training Matrix found in Appendix C or can be found by contacting the WSDOT Office of Emergency Management. NIMS and ICS training is conducted by the WSDOT Office of Emergency Management and can be taken online through self-study courses or through other local sources. The Training and Exercise training matrix shown below outlines position-specific training requirements for NIMS/ICS classes. WSDOT must report that all staff have completed training annually as required by Homeland Security Presidential Directive Five (HSPD-5). Category IS 100 (cc: CX7) 01 First responders (Disaster Teams, IRT) 02 First Line Supervisors (Maintenance Superintendents) 03 Middle Management 04 Command and General Staff (HQ OEM staff) 05 Other (TMC, EOC) Category IS 200 (cc: CY4) 02 First Line Supervisors (Maintenance Superintendents) 03 Middle Management 04 Command and General Staff (HQ OEM staff) 05 Other (TMC, EOC) APPENDIX F Washington DOT Emergency Operations Plan Training and Exercises
153 Category IS 300 (cc: C3U) 03 Middle Management 04 Command and General Staff (HQ OEM staff) 05 Other Category IS 400 (cc: C3V) 04 Command and General Staff (HQ OEM staff) 05 Other Category IS 700 (cc: CY5) 01 Entry Level first responders and disaster workers (Disaster Teams, IRT) 02 First Line Supervisors (Maintenance Superintendents) 03 Middle Management 04 Command and General Staff (HQ OEM staff) 05 Other (Exec Team, TMC, EOC, RA/ME) Category IS 800 (cc: CY6) 03 Emergency Management personnel in middle management 04 Emergency Management personnel in Command and General Staff (HQ OEM staff) 05 Other (WSDOT 2011, Appendix C) WebEOC & SharePoint Training â WSDOT personnel who are assigned to work in an EOC shall receive WebEOC and SharePoint training. This training is designed to familiarize personnel with WSDOTâs Common Operating Picture (COP) during emergency/disaster operations. Exercises â To ensure that WSDOT is ready to respond to and recover from any major emergency, EOC staff routinely take part in drills and exercises. Drills and exercises provide an opportunity to assess WSDOTs emergency operations prepared- ness and personnel and equipment readiness. WSDOT should, when staff availability and the situation allows, take part in statewide and federal exercises or drills. WSDOT also conducts its own drills or exercises as needed. The WSDOT Emergency Management Working Group will coordinate all internal exercises. Appendix C Training and Exercise Plan Introduction Planning, Training, and Exercises â A Continuous Cycle Emergency preparedness is a continuous, cyclical process with three key functions: planning, training, and exercising. Each function depends on the other two and does not stand alone. The process begins with an assessment that leads to planning actions. Once plans are in place, training for those plans takes place. Exercises are then created and evaluated to ensure the plans and resulting actions are in place and function correctly. The content of that evaluation leads to further improvement planning and outlining corrective actions to be resolved, and the cycle begins again. The WSDOT Emergency Management Program has three sections that correspond to the base functions. They are the Emergency Operations Plan (that this is an appendix to), emergency response training, and emergency exercises (that ultimately include identifying needed improve- ments and creating strategies to address those issues). Each part is equally important to reaching the goal of agency emer- gency preparedness.
154 1. WSDOT Emergency Operations Plan (EOP) â The EOP tells what should be done in an emergency, who is respon- sible, and by what authority. The standard operating guidelines within the regions and divisions define how they will carry out the response. 2. Training â Policy training on the EOP or other guiding plans (e.g., Bridge Inspection Plan, Continuity of Operations Plan), FEMA-mandated classes (i.e., Incident Command System and National Incident Management System), and familiarization with local standard operating guidelines, as well as hands-on skills training, are critical. 3. Exercises â Exercises are designed to test knowledge and skill in responding to and managing emergencies. They are based on the plans written, the training received on them (as outlined above), and the response actions of participants. By utilizing this system the WSDOT Emergency Management Program is able to determine the effectiveness of the current response to emergencies and determine what changes should be made to the program to enhance it and move it forward. Training Training involves a process that allows for learning new information, while an exercise is a simulated scenario that gives emer- gency responders an opportunity to practice their knowledge, skills, and plans. All WSDOT employees should receive train- ing on actions they should take during emergencies in conjunction with their facility emergency actions plan. This includes items such as drop-cover-hold and evacuation and assembly procedures. Additional training should be provided for WSDOT personnel who will implement the emergency operations plan. This should cover emergency response roles for everyone, including field responders, specialized teams, and EOC staff. Headquarters EOC conducts regularly scheduled training ses- sions with staff, and the regions are encouraged to do the same (minimum of twice per year). Emergency training required by specific job classes (e.g., ICS/NIMS, IRT, building evaluation) is managed and tracked by staff development. The current FEMA requirements for NIMS training are followed as determined by the Office of Emergency Management for the specific position held. Following an actual emergency or an emergency exercise, the after-action analysis might show that additional emergency training is needed. The indication of the need for additional training will be forwarded to the involved area or persons, along with the recommendation of the type of training that should be conducted or taken. The training should be provided as soon as possible to take the best advantage of the learning opportunity that the recent response exercise provided. General Exercise Information An exercise is a simulated emergency that gives emergency responders an opportunity to practice their knowledge, skills, and plans in response to the given scenario. Exercises can help: 1. Assess how ready the department is to handle an emergency. 2. Identify procedures that canât be accomplished as outlined or are ineffective during a response to an emergency. 3. Provide a forum for WSDOT employees to practice their skills and improve performance under varying degrees of stress. 4. Give responders from different agencies an opportunity to work together as a team before an emergency occurs. 5. Identify improvements that are needed in emergency plans, guidelines, and training. 6. Identify resources that are lacking or needed to improve response. 7. Provide a way to educate and involve the public, the news media, and key community organizations in WSDOTâs emergency planning efforts. Evidence shows that exercises had a substantial impact on improving performance during an actual emergency for all the reasons listed above.
155 Organization of an Exercise Some training and exercises are organized by the office, region, or division involved and some are organized by the WSDOT Office of Emergency Management (OEM), while others are organized through a collaborative process between both and/or an outside agency or jurisdiction. WSDOT exercises held for WSDOT employees are organized completely within WSDOT. Other collaborative exercises involving outside entities (e.g., another state, local jurisdiction, FEMA, or the U.S. Coast Guard) are usually created and organized by the lead agency. WSDOT in Exercises Involving Outside Entities Most emergencies involve many different types of responders, and WSDOT is often among them. Although WSDOT is not usually the lead agency in large-scale emergencies, nearly every emergency situation depends on a functioning transporta- tion infrastructure to allow for response. This means that WSDOT is highly involved and a valuable responder. Executive management, affected regions and divisions, involved or nearby field crews, and any outside agencies that might participate in or observe the actions of the responders should be notified in advance (in particular during a full-scale exercise in which resources are actually moved and/or utilized). Smaller drills, tabletops, or functional exercises that only affect a few people in a specific location will not need this level of notification but should be shared with local leadership. Types of Exercises â Definitions Drills â A drill is a coordinated, supervised exercise activity normally used to test a single specific operation or function. With a drill, there is no attempt to coordinate organizations or fully activate the EOC. Its role in an exercise program is to practice and perfect one small part of the response plan and help prepare for more extensive exercises, in which several functions will be coordinated and tested. Fire Drills â In order to ensure a safe and quick evacuation of WSDOT facilities during a fire, ALL WSDOT facilities should conduct a fire drill, including full building evacuation and personnel accountability, twice per year. For planning pur- poses fire drills dates and times should be annotated in the Facility Emergency Action Plan. Drop-Cover-Hold Drills â During an earthquake the standard practice for WSDOT personnel is to âdrop-cover and hold.â Drop-cover-hold drills should be conducted in ALL WSDOT facilities twice per year. Tabletop Exercises (TTX) â A tabletop exercise is a facilitated analysis of a major emergency or disaster situation in an informal, stress-free environment. It is designed to elicit constructive discussion as participants examine and resolve problems based on existing operational plans and identify where those plans need to be refined. Functional Exercises â A functional exercise is a fully simulated, interactive exercise that tests the capability of an orga- nization to respond to an event. The exercise tests multiple functions of the organizationâs operational plan. It is a coordinated response to a situation in a time-pressured, realistic simulation. Full-Scale Exercises â A full-scale exercise simulates a real event as closely as possible. It is an exercise designed to evaluate the operational capability of emergency and disaster management systems in a highly stressful environment that simulates actual response conditions. To accomplish this realism, it requires the mobilization and actual movement of person- nel, equipment, and resources. Ideally, the full-scale exercise should test and evaluate most functions of the emergency plan or operational plan. Full-scale exercises will be conducted at a minimum ONE time annually. In the event of a Level II or Level III Activation the annual full-scale exercise requirement can be waived. Exercise Planning Exercise Planning Team Exercise design is a complex task. It is best done by a team consisting of persons who have expertise. Depending on the scope of the exercise, the team may consist of agencies outside of the department, WSDOT regions or divisions, the Washington Emergency Management Division, and the WSDOT Office of Emergency Management. Smaller exercises will need less input, so only a few representatives might be needed. Rarely should a single person create an exercise if it affects more than just a single office or function. The person who organizes an exercise â for example, a local jurisdiction emergency manager
156 â will put together an exercise planning team. For WSDOT-only exercises the persons on the team should be representatives from the level of participation and/or from the involved portion of the department (e.g., region, area, division). The Emergency Management Working Group (EMWG) shall coordinate WSDOT in-house exercises and participate on the exercise planning teams and/or will provide subject matter experts for use by the team. The Office of Emergency Management will assist in exercise creation and coordination of statewide in-house exercises and will assist as requested with region and division exercises. It will also provide initial representation on exercise planning teams for exercises being coordinated by out- side entities. If additional expertise is needed, OEM staff will contact the EMWG staff who will coordinate and provide them. The Exercise Planning Team is the backbone of exercises, and a high level of interest, cooperation, and commitment by the members will be the difference between a successful and unsuccessful exercise. This team begins its process by determining what capabilities are lacking or need to be improved (staff, equipment, com- munications, plans, training, etc.) for the body that is being exercised. Once that has been completed, the type of exercise and the objectives for it can be created. These will then help determine what type of scenario to exercise and the scope of involvement. The exercise planning teams design, develop, conduct, and evaluate exercises. They determine objectives, create scenarios, and develop documentation that will assist in creation of after-action reports, improvement plans, and corrective action plans. These items are crucial to an ever-improving emergency management program. Exercises require a great amount of planning, creativity, and preparation, and the exercise planning team must use the hard work, experience, and energy of all members to create and conduct an effective exercise. Exercise planning teams also develop and distribute the pre-exercise materials, develop agendas, send invitations, and provide information for the media as points of contact for exercise participants, among other responsibilities. The members often conduct exercise briefings and training sessions prior to an exercise and may be used as exercise controllers, facilitators, and evaluators. If additional persons outside of the team are used to fill those roles, the exercise planning team members are responsible to recruit and train them. The Homeland Security Exercise and Evaluation Program (HSEEP) The Homeland Security Exercise and Evaluation Program is the model that is used to create the WSDOT Training and Exer- cise Program. This program is the national standard and is required to meet federal mandates for compliance with the National Incident Management System. HSEEP contains a modular system that structures the way in which an agency can determine deficiencies, address them, and exercise on them, and then capture the results and incorporate them into the next cycle. This system uses a building-block approach to allow for a gradual increase in knowledge and skills. This approach builds on exercise successes, boosts confi- dence, and gains management support. This is done by beginning with smaller exercises, building on what was learned, and moving into larger types of exercises. This helps to alleviate the frustration of moving directly into a full-scale exercise in which the participants are overwhelmed, most often ending in poor results. Exercise Objectives Exercise objectives are created to test particular capabilities that have been deficient in the past or to verify those that have been successful. By creating specifics monitored and evaluated during the exercise, the review of these items can be focused to determine if they are being met. Objectives are a description of what is to be tested during the exercise. They should define specific goals, provide a framework for scenario development, and drive the formulation of the events injected to create response and to provide evaluation criteria. Due to all of that, objectives are the cornerstone of exercise design and development. The number of objectives should, however, be limited but should adequately support successful completion of exercise intent.
157 Exercise Scenarios It is important to exercise on a variety of hazards and actions, from preparedness to response to recovery. However, the type of hazard should not be the starting point for exercise development. Determination of the capabilities that need to be tested and the objectives written from them should always come first, and then the type, hazard, and scope should follow. Exercise Documents and Presentations To follow the HSEEP program there are several documents to create prior to an exercise. These will vary depending on if it is a smaller seminar, a tabletop exercise (discussion-based exercise), or a large, full-scale exercise (operations-based exercise) in which field resources are being deployed. In addition to the basic documentation, there may be a desire to create multimedia presentations and audio visual elements, have actors play the parts of victims or outside persons, and even have actual involve- ment and/or participation by the media. All of these things must be created, coordinated, and managed to ensure all involved receive needed information that is current and accurate. Exercise Conduct Safety of the exercise participants, facilitators, controllers, and evaluators (and, if in the area, volunteers and the public) take precedent over exercise events. All persons share in the basic responsibility for ensuring a safe environment for all involved. Articulated safety requirements are part of the exercise plan. Follow-up After exercises are complete and input gathered from all involved, an after-action report (AAR) with a corrective action plan (CAP) is created to rectify found deficiencies. These documents should also be shared with the persons within the department who were notified that the exercise was being planned and conducted. Completion of these documents and sharing them is vital to improving the emergency training and exercise plan and overall department preparedness. They allow for capability assessments, which lead to creation of an improvement plan to guide future training, exercises, and updated plans and pro- cedures. All items listed in the CAP shall be assigned out to a particular person for coordination by an assigned completion date. A region or division person should be placed in charge of managing the completion of all CAP items. A copy of all CAPs with regular updates shall be sent to the OEM where statewide trend analysis on deficiencies will be done. If statewide issues occur, the OEM will share those issues and assist in seeking answers that will help everyone. The follow-up documents used in the HSEEP process should also be used following significant emergency events. This allows for a consistent procedure for capturing what occurred and how the deficiencies found are tracked to resolution.