A Guide to Emergency Management at State Transportation Agencies (2020)

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352 353 Appendix E1: TDOT Exercise Program 386 Appendix E2: TDOT Needs Assessment A P P E N D I X E Tennessee DOT Resource Documents

Tennessee DOT Resource Documents 353 Comprehensive Exercise Program (CEP) for The State of Tennessee Department of Transportation July 1, 2015 Prepared by the Tennessee Department of Transportation Maintenance Division Appendix E1: TDOT Exercise Program

354 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 1 This Comprehensive Exercise Program was prepared by the Tennessee Department of Transportation (TDOT) to develop, implement and maintain a viable emergency preparedness exercise program. This program was designed around State and Federal guidelines for such programs. Its primary purpose is to evaluate the emergency response capabilities and other emergency actions of the Tennessee Department of Transportation.

Tennessee DOT Resource Documents 355 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 2 Table of Contents I. Introduction II. Authority III. Exercise Standards and Participation IV. Situation and Assumptions V. Exercise Operations VI. Exercise Administration and Logistics Operations VII. Exercise Direction, Control, and Communications VIII. State Threat/Hazard Tables for Exercise Planning IX. References and Resources Appendix 1: Priorities and Focus Appendix 2: Tennessee Multi-Year Exercise Plan Appendix 3: Exercise Design Template

356 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 3 I. Introduction A. Purpose The purpose of this plan is to define and establish the framework for an agency-wide comprehensive emergency management exercise program for the Tennessee Department of Transportation (TDOT). This document defines the details of planning, scheduling and executing emergency management exercises for TDOT. For State consistency in documentation this document is known as The Comprehensive Exercise Program (CEP). For Federal Homeland Security Exercise and Evaluation Program (HSEEP) requirements, this document serves TDOT as the agency exercise guidelines for planning and delivering disaster, homeland security, and emergency management exercises. The State of Tennessee uses the HSEEP process as a planning methodology and not as regulation. The TDOT CEP further serves to support the State Multi-year Training and Exercise Plan/Program (MTEP). As a supporting document to the Transportation Emergency Preparedness Plan (TEPP), the CEP program and the plan is designed to support and improve the response and recovery planning process via the multi-year exercise cycle. The TEPP defines the roles and responsibilities associated with the preparedness, response, and recovery efforts directed towards natural disasters, technological accidents, man-made events and other major incidents that impact the State of Tennessee, the Department of Transportation and the State’s transportation infrastructure system. The purpose of the comprehensive exercise program is to: 1) Exercise the TEPP, supporting plans, catastrophic annexes and specific policies and procedures to ensure TDOT’s ability to respond effectively to the needs of the citizens and local jurisdictions during emergencies, 2) Exercise the Emergency Support Functions (ESF) assigned to TDOT under the Tennessee Emergency Management Plan (TEMP) to respond effectively to the needs of the citizens and local jurisdictions during emergencies there by improving individual and team performance, strengthening professional relationships, retaining skills, abilities, experiences and practicing or clarifying response organization roles and responsibilities, 3) Institutionalize and document the TDOT emergency management exercise program and its principles to regularly test or practice the skills, abilities, and experiences within the community of emergency management for the State of Tennessee. The CEP will also validate or test the capabilities of TDOT policies, plans, procedures, organization, equipment, facilities, personnel, training and agreements for the response and recovery phases that will allow for the return of TDOT and the transportation infrastructure system to a normal status as soon as possible; and to establish exercise program processes, practices, goals and objectives for TDOT emergency management stakeholders across the State.

Tennessee DOT Resource Documents 357 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 4 4) Follow the State and agency policy and plan review cycle in order to validate the new or updated documents. 5) Establish a documented corrective action process/plan (CAP) and improvement plan (IP) that will ensure constant improvement in emergency response capabilities in TDOT. The CEP offers a process to track identified areas for improvement, areas to sustain, gaps in planning or shortfalls in policies, personnel, organization, equipment, and training; and implement recommended changes that will materially improve the emergency management program with the State in order to assist with effective and efficient response to an incident. 6) To comply with TEMA and Federal homeland security requirements and known emergency management best practices. 7) To exercise response operations and planning efforts according to contractual obligations. 8) To exercise emergency response operational plans for all PROBABLE and the more likely POSSIBLE hazards and threats to Tennessee. 9) To exercise the capabilities and legal guidelines to provide the service, assistance, coordination, and expertise to the citizens of Tennessee as described by the TEMP; and 10) To support to local jurisdictional training and exercise programs as best as is possible. B. Goal The goal of the CEP is to develop, implement and institutionalize a quality comprehensive, objective based and threat focused exercise program. The CEP provides policy, guidance, and standards for scheduling, uniformity in design, development, execution, and evaluation of emergency response exercises throughout TDOT. There is a great deal to be learned from well-planned and executed exercises. However, identifying, documenting and capturing the issues or items to be improved are the greatest benefit. The documenting process is not always just looking for items to be improved. It is not there to just find fault. The program also wants to identify items that worked well or successes so that they can also be maintained, shared and trained for future operations. The term “lessons learned” is a misnomer. Until it is identified and documented for improvement or defined as a success, it is yet to be determined that it has been “learned.” A more telling term is “lessons identified” or lessons “obtained.” It is a goal of this plan to convert lessons obtained into lesson learned by providing feedback into the emergency management training and operational communities that will truly improve and sustain emergency preparedness within TDOT. These exercise-identified lessons are the basis for improvement in emergency preparedness plans, training, organizations and resource requirements. In order to achieve its goal, the TDOT Comprehensive Exercise Program will: • Establish relationships with members of State, local and Federal government emergency management communities as well as volunteer agencies and private industry in the design, development, conduct, and evaluation of exercises. • Build on existing relationships across the State through the regional TDOT staff. • Emphasize joint State and local exercises, with the support of State and Federal partners, addressing effective evaluation and identification of corrective actions or improvement planning. • Provide flexibility for incorporating TDOT priorities, goals and objectives via needs assessments into each exercise. • Consolidate exercise objectives and requirements so that individual exercises provide the opportunity to fulfill requirements in multiple program areas to achieve greater overall efficiency.

358 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 5 • Provide for the design of exercises that are shorter in duration and focus on the need to exercise particular emergency preparedness functions. • Provide support for local agency emergency management exercise programs. C. Scope This comprehensive exercise plan (CEP) addresses the specific threats and hazards known to the State of Tennessee allowing for focused emergency preparedness exercise planning. These functions include infrastructure items supporting transportation; and systems or organizations including warning; communications; engineering; evacuation; emergency welfare services; and emergency transportation services. These activities are defined by Emergency Support Functions (ESF) related to the protection of the civil population by TCA 58-2-101-106. The exercise program identifies specific hazards identified in the TEMP, by priority as probable or possible. This exercise plan addresses the known possible threats and hazards to Tennessee and its citizens. See Appendix 2: Tennessee Multi-Year Exercise Plan. D. Exercise Management 1. Exercises conducted in accordance with the TDOT CEP will be used to test, practice, and validate emergency preparedness skills, abilities, experience, plans, policies, procedures, equipment, systems, and facilities developed to mitigate, prepare for, respond to, and recover from the effects of all types of emergencies. 2. Exercises will be used to evaluate Emergency Operations Plans (TEPP and annexes) within TDOT. Observations and evaluations will be collected, analyzed and used to formulate After Action Reports (AAR) that will be the basis of the Corrective Action Plans (CAP) and improvement practices. The CAPs are recommended for all exercises conducted under the auspices of the TDOT CEP. In some cases, the AAR documentation and improvement plans may be required for reporting purposes. 3. Since the true purpose of any exercise is to determine areas to be sustained or improved, then one of the goals would be for each Emergency Support Function (ESF) assigned to TDOT in the TEMP to be exercised at least once during a three-year period thereby validating the document and skills of the response staff. While some ESFs like ESF 2 (communications) would be exercised in most exercises; others like ESF 15 (recovery) would take special efforts to develop an exercise with these objectives. The ESFs at the State level are staffed by Emergency Service Coordinators (ESC). The individual ESC participation will be handled on a case by case basis for particular exercise requirements based on stakeholder approved objectives. 4. Each exercise (workshop, table-top, functional, full-scale or otherwise) should include setting up a management system based on the concepts of Incident Command System (ICS) and the National Incident Management System (NIMS) The process of exercising the way the organization responds helps ensure the exercise objectives are valid and a quality set of results are obtained. 5. Exercises are conducted to evaluate an organization’s capability to execute one or more portions of its response or contingency plans based on known threats. Exercises are designed to demonstrate capability or detect shortcomings in order to capture planning, logistical, training or other areas in need of adjustment. The final part of the exercise process is to improve an organization’s ability to serve the citizens of their jurisdiction. Many exercise design formats are available for use in the field of Emergency Management. TEMA does not mandate a particular exercise design format although TEMA does recommend that State agencies and local jurisdictions plan and conduct exercises using a comprehensive

Tennessee DOT Resource Documents 359 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 6 Emergency Management Exercise Design format. Exercise Design can be relatively simple or rather complex according to the number of exercise objectives and the scope of the exercise. Exercises should be built from the objective up, not from the scenario down. Standard exercise plans include the following: • Defined scope (who, how much, to what extent, etc.) • Purpose Statement (why are we having this exercise) • Clear exercise objectives (simple, measurable, achievable, realistic, and task oriented) (SMART) • Use of the concepts of the Incident Command System (ICS) • Use of appropriate plans, procedures, policies, and laws • Clearly defined exercise roles to include identifying players, safety officer, evaluators, and controllers. The Exercise Director should ensure that evaluators and controllers are knowledgeable of the function/event they are evaluating or controlling. • Safety plan to include procedures for stopping the exercise or drill should an unsafe condition exist, briefings on conditions that may impact health or safety, (e.g., weather conditions; avoidance of vehicles or hazards), and procedures for providing timely medical care. • Critique of the exercise involving all participants (“hot wash”) within 24 hours after the exercise, preferably immediately following the exercise. • An AAR submitted to the jurisdiction’s governing body; the AAR should identify the following for each exercise objective: o Are the procedures sound? o Are resources sufficient to support the procedures? o Are personnel adequately trained to follow the procedures and use resources? • An Improvement Plan (IP) or Corrective Action Plan (CAP); the IP/CAP should identify the following: o What is the specific corrective action/improvement to be acted upon? o Who will be responsible for the action? o When will the action take place? o How will the corrective action be resourced? o How and when will the overseeing agency be notified that the corrective action is completed? 6. The TEMA Operations Division is the 24-hour warning point for the State. The TCA requires State notification for many emergency and disaster response situations that occur across the State. As a result of this requirement, State notification is often an exercise requirement for State agency and local jurisdiction exercises. TEMA Operations will facilitate this exercise requirement whenever possible. TEMA Operations participation requirements are listed below. • Any emergency exercise, drill, evaluation, game, etc., that requests TEMA Ops participation must be coordinated prior to the event. • All coordination with TEMA must go through the TDOT ESLs working with their respective TEMA Regional Office(s) or at the State level, through the TDOT ESCs working with TEMA Operations. • Request for limited TEMA Ops play must include o Exercising agency o Point of contact: name, telephone, e-mail o Type of exercise: TTX, FE, FSX, drill, etc.

360 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 7  Exercise location  Date and time of exercise  Specifically, what does the exercising agency request TEMA Ops do for their exercise?  Approximate time TEMA Ops participation will be required • It is understood that TEMA Ops is the State Watch Point with many daily duties and responsibilities. There is no Ops exercise cell, the Ops Officers that are participating in the exercise are on-duty Ops Officers that may have to break away from exercise play in order to deal with real-world situations. • The TEMA State Emergency Operations Center (SEOC) participation during exercises is normally limited to the annual and bi-annual DOE and FNF exercises that are required for their particular programs. Activating the SEOC and appropriate ESCs is a large and expensive undertaking that is normally reserved for major, multi-agency exercises and real-world events. Full or partial SEOC participation in exercise play will require extensive coordination and approval by the TEMA Director and will not normally be used for TDOT-driven exercises. 7. The TDOT Regional personnel are the backbone of TDOT’s response capability and the key players in the agency’s support to other State agencies local county governments and the customer service mission. The Regional personnel are the primary planners, participants, observers, and evaluators for the agency during exercise planning, execution, and post exercise activities throughout the State. Regional Directors may be asked to support local and State exercises with available resources whenever appropriate and possible. 8. Exercise and Live (real) incident documentation. The AAR and improvement portions (improvement plans–IP) of this plan will be used to document agency responses. As with all AAR/IP documents, this is intended to further document the response and capture the corrective action planning requirements to document improvement planning. This can address day to day mission tracking, exercises and large-scale, catastrophic events. E. Exercise Documentation Reporting Based on State accreditation requirements emergency preparedness exercises will be scheduled and reported to the TEMA Planning Branch State Exercise Officer (SEO) or Exercise Coordinator (EC). TDOT will continue to schedule and document annual exercise activities through the program worksheet and the quarterly report submitted to the TEMA exercise coordinator. It is the intent of this process to ensure that TDOT is credited with participation in the required number of exercises. This will help ensure future availability of resources. II. Authority The Tennessee Code Annotated (TCA) directs the Tennessee Emergency Management Agency to “establish guidelines and schedules for exercises that evaluate the ability of the State and its political subdivisions to respond…” This assignment of duty is the driving force for the Comprehensive Exercise Program. As such TEMA will exercise the emergency management capabilities of the State to provide the service, assistance, coordination, and expertise to the citizens of Tennessee as prescribed by the Tennessee Code Annotated (TCA) sections 58-2-16 (b)(1)(G), 58-2-101 to 124, TCA 58-2-401 to 403, TCA 58-2-501, TCA 58-2-601 to 604, TCA 58-2-701, TCA 58-2-801 to 813, TCA 58-8-101 to 112 and the TEMP. The TDOT exercise program follows the TEMA guidelines and schedules for emergency management exercises.

Tennessee DOT Resource Documents 361 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 8 III. Exercise Standards and Participation A. TDOT 1. It is the intent of TDOT to institutionalize these exercise standards and processes across the Department and to sustain these standards. 2. TDOT will use this exercise process to improve plans, support the continuity of government and support emergency management across the State. 3. Exercises are to be risk, threat and hazard based. 4. Exercises are to be designed around defined objectives that support the needs of TDOT. B. TEMA TEMA does not mandate any one particular exercise methodology or process; however, TEMA uses the guidelines defined in the DHS Homeland Security Exercise and Evaluation Program (HSEEP), the Emergency Management Accreditation Program (EMAP), and Emergency Management Performance Grant (EMPG) documentation. In order to assist in achieving and maintaining State-level accreditation, TDOT will follow those same guidelines. C. Emergency Management Principles In the process of planning for and coordinating exercises, these principles will provide a cornerstone for the overall process. 1. Comprehensive – emergency managers consider and take into account all hazards, all phases, all stakeholders, and all impacts relevant to disasters. 2. Progressive – emergency managers anticipate future disasters and take preventive and preparatory measures to build disaster-resistant and disaster-resilient communities. 3. Risk-driven – emergency managers use sound risk management principles (hazard identification, risk analysis, and impact analysis) in assigning priorities and resources. 4. Integrated – emergency managers ensure unity of effort among all levels of government and all elements of a community. 5. Collaborative – emergency managers create and sustain broad and sincere relationships among individuals and organizations to encourage trust, advocate a team atmosphere, build consensus, and facilitate communication. 6. Coordinated – emergency managers synchronize the activities of all relevant stakeholders to achieve a common purpose. 7. Flexible – emergency managers use creative and innovative approaches in solving disaster challenges. 8. Professional – emergency managers value a science and knowledge-based approach; based on education, training, experience, ethical practice, public stewardship and continuous improvement. D. Emergency Management Accreditation Program (EMAP) (Standards 4.14) Exercise, Evaluations, and Corrective Actions - A program of regularly scheduled exercises and appropriate follow-through activities, designed for assessment and evaluation of emergency plans and capabilities, is critical to a State, territorial or local emergency management program. The entity shall evaluate program plans, procedures, and capabilities through periodic reviews, testing, post-incident reports, lessons learned, performance evaluations, and exercises. The product of these reviews is documented and disseminated within the program and to selected partners. Exercises shall be designed to test individual essential elements, interrelated elements, or the entire plans(s). A documented exercise

362 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 9 program is established that regularly tests the skills, abilities, and experience of emergency personnel as well as the plans, policies, procedures, equipment, and facilities of the agency. The exercise program is tailored to the range of hazards that confronts the agency. Procedures shall be established to ensure that corrective action is taken on any deficiency identified in the evaluation process and to revise the relevant program plan. The corrective action process identifies, and addresses deficiencies experienced in real-world and exercise events. E. Department of Energy Exercise Program Contractual obligations between the Department of Energy and the State of Tennessee require the State to conduct exercises to prepare the offsite response community for a potential emergency at the DOE Oak Ridge Reservation. There are two documents that are applicable to the offsite DOE exercise program: the Tennessee Oversight Agreement (TOA) and State of Tennessee Multi-Jurisdictional Emergency Response Plan for the Oak Ridge Reservation (MJERP). The proponent for the TOA is the Tennessee Department of Environment and Conservation (TDEC). TDEC is the lead State agency identified in the TOA. The TOA is an agreement between the U.S. Department of Energy and the State that provides an assurance of protection to citizens as well as financing for the responsibilities and obligations outlined in the document. The MJERP is the off-site emergency response plan and is essentially an annex to the Tennessee Emergency Management Plan (TEMP). The MJERP is the plan under which TEMA, TDEC, TDOT, and other State agencies operate during an emergency on any of the three Oak Ridge Reservation sites. The document has detailed information on what actions must be accomplished in the event of an emergency on any of the Oak Ridge Reservation sites, and it assigns responsibilities to the various State agencies and local governments for an appropriate response. Both documents task TEMA as the lead offsite agency, consistent with the TCA and TEMP, to coordinate with DOE and risk local governments on the conduct of emergency drills and exercises to include an annual full participation exercise, and drills involving communication, field monitoring, sheltering, and medical emergencies. TDOT is always a major player in these exercises and drills. An exercise committee made up of DOE, TEMA, TDOT, other State agencies, volunteer agencies, and local governments determine the objectives, scenarios, detailed timelines of exercise events, and evaluation criteria. TEMA is tasked with developing a Corrective Actions Report that identifies changes in plans, procedures, organization, or resources that must be made to correct the identified weakness areas. The overall goal of the DOE exercise program is to improve the offsite response capabilities by testing the viability and effectiveness of the DOE MJERP. These required DOE exercises will be noted in the overall CEP multi-year schedule and counted toward exercise requirements for TDOT and other State agencies and host and risk counties. F. TVA Fixed Nuclear Facility (FNF) Exercise Program

Tennessee DOT Resource Documents 363 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 10 Similar to the Department of Energy exercise program FNF exercises are contractual obligations between the State, the Utility [Tennessee Valley Authority (TVA)] and the Federal Government; the State’s obligation is to support and participate in scheduled FNF exercises. The Federal Emergency Management Agency (FEMA) and Nuclear Regulatory Commission (NRC) are the overseeing Federal agencies for this exercise program. The Criteria for Preparation and Evaluation of Radiological Emergency Response Plans and Preparedness in Support of Nuclear Power Plants (NUREG-0654) and supporting revisions provide the standard by which the FNF/REP Program is measured for the purpose of exercises. For each exercise an Extent-of-Play (EOP) is written that contains six evaluation criteria. In those criteria are criterion/objectives that must be met. The exercise focus is on the viability and effectiveness of the Multi-Jurisdictional Radiological Emergency Response Plans (MJRERP). These required TVA exercises will be noted in the overall CEP multi-year schedule and counted toward the EMPG requirements for host and risk counties. TDOT is also a major player in the FNF exercise program. IV. Situation and Assumptions A. Situation The hazard identification section mentioned in Section I (Introduction) and V (Exercise Operations) describes the various threats and hazards to which the State may be subjected. It must also be realized that any event that occurs within the State of Tennessee might potentially affect one of the adjoining States, and vice versa. The defined five- (5-) year exercise cycle is identified and will be exercised in groupings for maximum training and exercise value based on the probable and likely priority threat to the State population. See Appendix 2: Tennessee Multi-Year Exercise Plan. B. Assumptions The response to disasters and emergency management events begins and ends at home. However, local governments may be overwhelmed in their abilities to respond to the magnitude of the hazards that they may face. The State and Federal resources will play a significant role in response and recovery efforts. Most certainly response capabilities will be strained requiring mutual aid agreements and memorandums of agreement. The TEPP will be exercised to demonstrate those capabilities and where necessary make corrective actions to fix identified subject areas. TDOT’s portion of the larger State response and resource support will also exercise its capabilities to address the responsibility to support local government. All levels of government should exercise activities and resources (emergency support functions) that are common for their identified hazards and threats. V. Exercise Operations A. Mission of the TDOT Exercise Program To exercise TDOT’s response to identified natural and human-caused hazards by validating existing capabilities (personnel an equipment), plans, procedures, policies, and practices, for the protection of the civil population; and to identify gaps or shortfalls in capabilities, plans, procedures, and processes to allow corrective actions to be taken by converting lessons obtained into lessons learned and applied. B. Intent

364 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 11 The safety of all Tennesseans is without a doubt one of the most important responsibilities of State government. As defined in the TCA, the Tennessee Emergency Management Agency is the lead State Agency for the planning of preparedness, response, mitigation, and recovery operations resulting from attack, natural or manmade disasters, or other emergency condition that arise in the State. As the lead agency TEMA will participate, observe, facilitate, evaluate, and/or coordinate, to the extent possible, emergency response, recovery, and mitigation exercises in Tennessee. Limited resources will preclude TDOT personnel from full participation in all exercises. The TDOT ESCs and Regional ESLs will work with TEMA HQ and Regional Offices, respectively to coordinate participation as appropriate for given exercises with local emergency management organizations and State agencies as needed. It is the goal of TDOT to support State and local emergency management exercise efforts to ensure that the citizens of the State are served by the most prepared, capable, and professional agencies possible. As such, all documentation of these events and results will be retained by the local organization for their internal use. C. Exercise Purpose and Goal The main goal of any exercise is to test plans, policies, procedures, practices, and personnel; the design team must create a situation that does just that, no more, no less. There should be no hidden agendas or tricks in the design. D. TDOT Exercise Design Working Group The Exercise Design Working Group will be formed as needed and will be composed of personnel appropriate to the function being exercised. The Exercise Design Working Group will: • Base all exercises against specific goals and objectives and not on scenario. • Set scenario based on accomplishing the specific goals and objectives • Staff the exercise based on the exercise design not on tradition • Insure adequate play for all participants • Conduct the proper type of exercise to meet the specific goal or objective (Seminar, Workshop, Table Top, Functional, Drill, Full-scale) • Evaluation standards and forms should fit the exercise, again based against goals and objectives • Utilize subject matter experts as evaluators, not just traditional personnel. E. Exercise Stake Holders The exercise stake holders are the Regional or Headquarters leadership. This group represents the chartering authority for the exercise. In many cases they may also represent the funding authority. The process of scheduling, funding and delivery of an exercise is done with the authority of this group. F. Exercise Scheduling and Calendar Exercises will be planned and conducted annually that aim to validate and improve the response, recovery, planning and mitigation to the identified hazards. Exercise priorities will shift from year to year in order to address identified hazards and the multi-year exercise cycle in Appendix 2. The TDOT ESC will coordinate with the TEMA staff, and other State, regional and Federal agencies for at least one (1) exercise per quarter and one (1) full-scale exercise (FSE) annually (as per Presidential Policy Directive 8, dated 30 March 2011). The State will continue to participate in local and regional exercises with primary focus on assisting with the improvement of local response capabilities and relationships with State, regional and Federal organizations. Regional personnel are encouraged to coordinate with their TEMA regional

Tennessee DOT Resource Documents 365 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 12 offices for exercise scheduling and planning assistance. See Appendix 2: Tennessee Multi-Year Exercise Plan. As required and requested, TDOT will participate in exercises with the U.S. Department of Energy (DOE) and Tennessee Valley Authority (TVA) annually or more often as agreed by separate official memorandums of understanding. G. Exercise Scheduling and Reporting In order to maintain an exercise schedule for both Statewide (TEMA) events and regional or local emergency management exercises the State Exercise Officer will maintain a schedule and distribute it via the TEMA Regional Directors. The data will address the following: exercising jurisdiction (or agency), date of exercise, type of exercise and treat or hazard being exercised. Following the completion of an exercise the State Exercise Officer and the TEMA regional staff will update information to the State exercise schedule. This data will address EMPG reporting requirements for local jurisdictions and State level employee positions. The data will contain the following: Exercise organization, Participants, exercise dates, Exercise jurisdiction, exercise type, Exercise threat or hazard, and a short definition of the scenario. The TEMA regional EMPG exercise report will support this requirement. These two data sources are intended to facilitate coordination of exercises across the State and ensure grant requirements (EMPG) are met. The TEMA EC will forward exercise data as required to FEMA Region IV. H. Training and Exercise Planning Workshop (TEPW) The TEMA Plans and Exercise Branch maintains a Statewide exercise calendar. The calendar is distributed to State officials and available to local jurisdictions via the regional area coordinators. TDOT will report any planned exercises to the State Exercise Officer at TEMA so that it may be posted to the calendar. The purpose of the calendar is to ensure that personnel planning exercises across the State may coordinate with other exercising jurisdictions in order to facilitate information sharing and lessons learned before, during, and after exercises. While TEMA does not mandate its use, it encourages State agencies and local jurisdictions to utilize the Homeland Security Exercise and Evaluation Program (HSEEP), including the National Exercise Schedule (NEXS) and the Corrective Action Program (CAP) System for exercise scheduling and monitoring and tracking of corrective actions. Actual emergencies that occur and demand an activation of the SEOC or incident management operations will count towards required exercise events. These events should be documented using an AAR process. The AAR is maintained locally, only the event report is forwarded to the State Exercise Officer for credit. As per TEMA guidance, State agencies should participate in at least one exercise per quarter of any type (e.g., Drills, Tabletop Exercises, Functional), and one full-scale exercise within a 12- month period. Real-world events do not count toward meeting this requirement. TEMA facilitates a Statewide objective-based, threat, and hazard-focused exercise program. As documented in the TEMP, the State has identified several hazards and assessed the likelihood of occurrence for each. Hazards are broken into two major categories Natural Hazards and Human- Caused Hazards, and further broken into accidental and intentional categories.

366 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 13 The TDOT multi-year exercise plan is based on these identified hazards. As part of the TEPP, TDOT will conduct exercises based on these listed threats. Based on known threats and review of hazards from across the State, the three (3) year exercise cycle laid out in Appendix 2 will be followed. I. Exercise Design Guidelines The Exercise Planning Cycle drives the planning process. The cycle is a never ending process of evaluating plans, process, procedures, equipment, training, and policies. The cycle supports each level of leadership and functional area within the Department. The cycle consists of five recurring steps. Strategy Planning Exercise Design and Development Exercise Conduct Exercise Evaluation Improvement Planning J. Objectives Based TDOT will follow an objective-based exercise development model. Objective based exercises are just that, objective based. The exercise stakeholders meet during the exercise concept and objectives meeting to develop the exercise scope, purpose, level of participation, goals, and objectives. It is important in this meeting to achieve a couple of points: - Keep the list of objectives to something manageable. More is not better. - Objectives should be SMART (Simple, Measurable, Achievable, Realistic, and Task- oriented). - The exercise should focus on the identified local threat and hazards list. - Build the exercise from the bottom up. In other words, build it up from the desired objectives. Do not come in with a proposed scenario. The scenario supports the objectives, not the other way around. K. Local Hazard and Threat Focused The exercise should be connected to the list of possible hazards. For example, the national planning scenarios identify a major hurricane as a scenario to plan for and exercise. Tennessee (including TDOT) will define objectives for this exercise that make sense for Tennessee and design an exercise that supports this requirement. Thus, Tennessee would exercise the threat of heavy rain and high winds, or for shelter of coastal evacuees. Tennessee would not exercise the response to storm surge. The hazard tables, at the end of this document, define the State of Tennessee identified hazards and the supporting multi-year exercise schedule in Appendix 2. L. Exercise Types There are seven exercise types broken into two categories. The discussion based category includes Seminars, Workshops, Table Tops, and Simulations or Games. The operational based exercises include Drills, Functional, and Full-scale. Based on the purpose of the exercise and the objectives, selecting the correct type of exercise is critical in order to achieve the desired outcome. Seminar. A seminar is an informal discussion, designed to orient participants to new or updated plans, policies, or procedures (e.g., a seminar to review a new Evacuation Standard Operating Procedure).

Tennessee DOT Resource Documents 367 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 14 Workshop. A workshop resembles a seminar, but is employed to build specific products, such as a draft plan or policy (e.g., a Training and Exercise Plan Workshop is used to develop a Multi-Year Training and Exercise Plan). Tabletop Exercise (TTX). A tabletop exercise involves key personnel discussing simulated scenarios in an informal setting. TTXs can be used to assess plans, policies, and procedures. Simulation or Game. A game is a simulation of operations that often involves two or more teams, usually in a competitive environment, using rules, data, and procedure designed to depict an actual or assumed real-life situation. Operations-based Exercises validate plans, policies, agreements, and procedures; clarify roles and responsibilities; and identify resource gaps in an operational environment. Types of Operations- based Exercises include: Drill. A drill is a coordinated, supervised activity usually employed to test a single, specific operation or function within a single entity (e.g., a fire department conducts a decontamination drill). Functional Exercise (FE). A functional exercise examines and/or validates the coordination, command, and control between various multi-agency coordination centers (e.g., emergency operation center, joint field office, etc.). A functional exercise does not involve any "boots on the ground" (e.g., first responders or emergency officials responding to an incident in real time). Full-Scale Exercise (FSE). A full-scale exercise is a multi-agency, multi- jurisdictional, multidiscipline exercise involving functional (e.g., joint field office, emergency operation centers, etc.) and "boots on the ground" response (e.g., firefighters decontaminating mock victims). M. Exercise Team Exercise Development Team: Responsible to coordinate all exercise planning, scheduling, and logistics activities. 1. Exercise Design Team: Responsible for the development of the objectives, concepts, scenarios, MSEL, exercise messages, support requirements and communication method and/or equipment. 2. Controller/Simulation Team: Responsible for the development of the Control/Simulation Plan. The plan should include the following at a minimum: • Exercise control and simulation activity management • Provisions for controller/simulator training and briefing • Procedures for monitoring and reporting of exercise activities to include the flow and pace of the exercise • Procedures to track the accomplishment of exercise objectives • Procedure to record the responses of players • Procedure for message injection to include the development of ad hoc messages to support exercise objectives • A list of required exercise forms to include instructions for use and preparation

368 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 15 • Preparation for the critique • At the critique, successes and areas to improve will be collected by the TDOT Office of Emergency operations to prepare an AAR. 3. Evaluation Team: Responsible for the development of the EEG documentation and the evaluation process during the exercise delivery. N. Exercise Planning and After Action Conferences Following the approval by the stake holder group to hold the exercise, a Concept and Objectives Meeting (C&O) is held. This meeting is attended by exercise officials, exercise planning team leader, TDOT personnel who have been identified as participants, and any outside agency participants. The forum is to identify exercise goals, shape the objectives, develop exercise capability, and identify planning team members. This group represents all work units involved. It should not be a large group. It should have only one representative from each Region with the authority to approve the overall exercise concept and objectives. As said earlier, the objectives should be limited to only a few. Too many objectives will make the exercise very hard to design, difficult to deliver, and cause loss of focus on the exercise outcome. Initial Planning Conference (IPC) in HSEEP guidance is defined as mandatory. While the State of Tennessee (through TEMA) does not mandate the use of HSEEP guidance, the outcome of this meeting is important. The meeting is designed to shape the exercise, get input on scope, assumptions, artificialities, threat and hazards to be addressed, and discussion and review of overall objectives as discussed in the C&O meeting. Each agency involved should have input on the objectives development process. The agency buy-in by all parties is important. While the scenario concept can be discussed here, remember the objectives come first. The objectives must be agreed to and finalized before the scenario and MSEL development effort can continue. The exercise development team and the design team are defined during this meeting. Team members are assigned to develop documents (e.g., SitMan, MSEL) and prepare logistics support. This meeting should also begin the discussion on the plan for exercise evaluation. Mid-Term Planning Conference (MPC). In HSEEP guidance, this meeting is defined as an optional meeting. It is used for complex operations based exercises. Its purpose is to discuss exercise staffing, documents, timeline, scheduling, and logistics. It can review of the draft EXPLAN, Controller and Evaluator Handbook, etc. Master Scenario Events List Conference (MSEL). This meeting is for operations-based exercises. The meeting can be incorporated into MPC or FPC. This meeting is designed to review the exercise timeline. The MSEL is a chronological list that supplements the exercise scenario with event synopses and responses and provides the basis for the exercise injects. Final Planning Conference (FPC). This is an HSEEP required meeting for the exercise agency representatives. The stake holders may also be present. The meeting provides the final review of all exercise processes, procedures, documentation, and approval of final drafts of all exercise materials. After Action Conference (AAC). This is the last meeting and is conducted several days or weeks following the exercise. Its purpose is to review the final AAR document. The AAR will include exercise observations and recommendations from the participants, exercise controllers, and exercise documents, such as the evaluations guides (EEG). Once approved, this AAR document

Tennessee DOT Resource Documents 369 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 16 becomes the official record of the exercise. This conference is usually facilitated by the exercise director and CAP leader. O. Exercise Documentation The list below briefly describes the important document types associated with most exercises. Exercise Planning and Coordination Checklist, in Appendix 2, is a template to assist with exercise planning. It will support exercises from workshops through full-scale events. Situation Manual (SitMan) is a participant handbook for discussion-based exercises, particularly TTXs. It provides background information on exercise scope, schedule, and objectives. It also presents the scenario narrative that will drive participant discussions during the exercise. Exercise Plan (ExPlan) typically used for operations-based exercises, provides a synopsis of the exercise and is published and distributed to players and observers prior to the start of the exercise. The ExPlan includes the exercise objectives and scope, safety procedures, and logistical considerations, such as an exercise schedule. The ExPlan does not contain detailed scenario information. The The The A Controller and Evaluator (C/E) Handbook supplements the ExPlan for operations-based exercises, containing more detailed information about the exercise scenario and describing exercise controllers’ and evaluators’ roles and responsibilities. Because the C/E Handbook contains information on the scenario and exercise administration, it is distributed only to those individuals specifically designated as controllers or evaluators. Master Scenario Events List (MSEL) is a chronological timeline of expected actions and scripted events (i.e., injects) to be inserted into operations-based exercise play by controllers in order to generate or prompt player activity. It ensures necessary events happen so that all exercise objectives are met. A Player Handout is a 1 to 2 page document, usually handed out the morning of an exercise, which provides a quick reference for exercise players on safety procedures, logistical considerations, exercise schedule, and other key factors and information. Exercise Evaluation Guides (EEGs) help evaluators collect and interpret relevant exercise observations. EEGs provide evaluators with information on what tasks they should expect to see accomplished during an exercise, space to record observations, and questions to address after the exercise as a first step in the analysis process. The EEGs are not meant as report cards. Rather, they are intended to guide an evaluator’s observations so that the evaluator focuses on capabilities and tasks relevant to exercise objectives to support development of the After Action Report/Improvement Plan (AAR/IP). An After-Action Report/Improvement Plan (AAR/IP) is the final product of an exercise. The AAR/IP has two components: an AAR, which captures observations and recommendations based on the exercise objectives as associated with the capabilities and tasks; and an IP, which identifies specific corrective actions, assigns them to responsible parties, and establishes targets for their completion. The lead evaluator and the exercise planning team draft the AAR and submit it to conference participants prior to an After Action Conference (see below). The draft AAR is distributed to conference participants for review no more than 30 days after exercise conduct. The final AAR/IP is an outcome of the After Action Conference and should be disseminated to participants no more than 60 days after exercise conduct. P. Exercise Design and Development

370 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 17 The exercise process can be a very deliberate series of steps that ensure all organizations have input and all requirements are met. The exercise design process should address the principles of being; - Objectives-based - Focused on identified threats and hazards - Capabilities- and Performance-based Following this short list of principles will help ensure a NIMS compliant exercise and consistence in use of HSEEP guidelines. The use of SMART objectives that address specific community plans or procedures associated with known capabilities help keep the exercise design process focused and allow for a well-delivered event. Q. Exercise Design Considerations • Each Region or Division will submit a list of objectives or goals that they would like to accomplish during this exercise. The Master Scenario Events List (MSEL) will be tailored to meet these specific needs as well as unplanned responses. A chief evaluator and his team will evaluate the exercise based on the exercise objectives. • Implementation of disaster response plans, polices, and procedures during the exercise will depict actions that would be expected to occur under actual response conditions and, therefore, will provide a sound basis for evaluation. • Some personnel and equipment will be pre-positioned at exercise locations prior to the start of the exercise. Some simulation during the exercise will replace actual participation. Caution here – do not allow unrealistic simulation. There is a difference between simulation and unrealistic. • The type of exercise selected by the jurisdiction should be consistent with the Multi-Year Training and Exercise Plan. • Exercise objectives should be based on capabilities and their associated critical tasks. • Any Region or Division may wish to create its own Simple, Measurable, Achievable, Realistic, and Task-oriented (SMART) objectives based on its specific plans/procedures associated with required response capabilities and tasks. • The scenarios used in exercises should be tailored toward validating the capabilities and should be based on TDOT’s risk/vulnerability assessment. R. Scenarios The scenarios used in exercises and the supporting Master Scenario Event List (MSEL) should be crossed-walked with the objectives and selected capabilities. No event should be on the MSEL that does not support the objectives or the selected capabilities. The selected scenario should be approved by the stakeholders and connected to the entity’s risk/vulnerability assessment. The scenario, while connected to the community threat and hazard lists, is not overly important. The scenario supports the delivery of the exercise objectives, not the other way around. S. Exercise Conduct After the design and development steps are complete, the exercise takes place. Exercise conduct steps include set up, briefings, facilitation of and conduct of the exercise, evaluation, wrap up, and a hot wash. The MSELs are used by the exercise control team to drive the exercise following the time line developed by the design team. The evaluation team uses the EEG documentation to evaluate the participants activities in response to the unfolding scenario and the tasks required.

Tennessee DOT Resource Documents 371 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 18 It is important to open the exercise introduction briefing by addressing the exercise objectives with the participants and to close the exercise hot wash following the exercise by reviewing the objectives again. This process keeps the objectives in front of all the participants and ensures awareness. T. Exercise Hot Wash The “hot wash” is a term for a meeting that happens with exercise participants, evaluators, and controllers immediately following the exercise. It is important to do this immediately following the event while events and conservations are still fresh. The data collected here captures participant’s thoughts on what happened, why it happened, and its possible impact. The discussion should allow for open discovery of observations and comments without concern for retribution. U. After Action Reporting and Improvement Planning/Corrective Action Plan The results of exercises are not always known or clear immediately following an exercise. The hot wash and the following After Action Conference (AAC) are arguably the most important events and documents that come from the whole exercise development and delivery process. V. Documentation and Dissemination The final, approved AAR and its CAP/IP should be sent to all exercise stakeholders tasked with a portion of the improvement plan. The exercise director and the corrective action coordinator have the responsibility to assist with this distribution to exercise players. The conclusion and close out of the exercise are complete when the corrective action coordinator reports that all listed improvement planning items are complete. The CAP coordinator will manage this process. VI. Exercise Administration and Logistics Operations For discussion-based exercises, this section is can be very simple and short. However, for operational-based exercises this section should have more detail. For a full-scale exercise, it would be very detailed. A. Safety Safety is of the utmost importance. It is most critical during some functional exercises and always during full-scale exercises. However, it applies to all operations, including training and exercise activities. NOTE: EVERYONE BECOMES A SAFETY OFFICER DURING AN EXERCISE AND HAS THE AUTHORITY AND DUTY TO STOP THE EXERCISE IF THEY WITNESS AN UNSAFE ACT OR CONDITION. A PRINCIPLE SAFETY OFFICER WILL BE ASSIGNED FOR THE EXERCISE WHO HAS THE AUTHORITY TO STOP ACTIVITIES IF AN UNSAFE CONDITION EXISTS.

372 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 19 The exercise planning checklist, in Appendix 3, is designed to support exercise delivery for events ranging from workshops to full-scale exercises. This checklist provides management, coordination, and logistics functions for the exercise committee. C. Health and Welfare Considerations This section of the Exercise Plan allows the identification of any hazards of concerns in the exercise area. It may also define location of cooling or warming areas for exercise staff along with drinking water or refreshment sources. D. Meal Plan This section allows the logistics officer to define how exercise staff will be feed during the exercise. E. Medical Issues The plan should address the “real-world” medical response plan and how the actual “real- world” medical team is contacted. F. Weather Observations The exercise staff should offer a real-world weather report and address exercise operation if inclement weather should arrive. VII. Exercise Direction, Control, and Communications A. Exercise Leadership and Positions The following positions should be identified: Exercise Committee Exercise Design Team Lead Controller Lead Evaluator Safety Officer Logistics Coordinator B. Participant Leadership The senior exercise participants should be defined so the exercise staff is aware. C. Communication The radio or communication methods should be defined and the channels or frequencies for player use and exercise control should be determined. This should be noted in the exercise planning documentation. All communications at the beginning and end of each transmission will state: THIS IS AN EXERCISE. B. Exercise Planning and Coordination Checklist

Tennessee DOT Resource Documents 373 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 20 VIII. State Threat/Hazard Tables for Exercise Planning Exercise Year 1 NATURAL HAZARD HUMAN-CAUSED HAZARD Accidental Intentional PROBABLE Severe Weather/Tornado Outbreak Winter Weather Transportation (Hazmat) POSSIBLE Communications Failure Energy Failure Hazardous Materials Terrorism Exercise Year 2 NATURAL HAZARD HUMAN-CAUSED HAZARD Accidental Intentional PROBABLE Severe Weather Transportation Flood Hazardous Materials Geological Hazard POSSIBLE Dam or Levee Failure Terrorism Exercise Year 3 NATURAL HAZARD HUMAN-CAUSED HAZARD Accidental Intentional PROBABLE Severe Weather/Tornado Outbreak Transportation Severe Winter Weather POSSIBLE Earthquake Energy Failure Biological Dam or Levee Failure Continuity of Operations (COOP) Hazardous Materials

374 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 21 Master Hazard Table HAZARDS IDENTIFICATION AND PRIORITY FOR TENNESSEE 1 July 2015 NATURAL HUMAN-CAUSED HAZARD HAZARD Accidental Intentional PRIORITY PRIORITY PRIORITY PROBABLE 1 Severe storm (not tornado or winter) 1 Hazardous materials (HAZMAT) 2 Tornado Out Break 2 Transportation accident (no HAZMAT) 3 Flood 3 Communications failure 4 Severe winter storm 4 Energy failure 5 Wild Fire / Fire 6 Geologic hazard 7 Extreme temperature POSSIBLE 1 Drought 1 Dam or levee failure 1 Civil disturbance 2 Biological (human and animal) 2 Dept of Energy Facilities 2 Cyber Event / Computer network Attack 3 Earthquake 3 Tennessee Valley Authority Facilities 3 Financial System Collapse 4 Terrorism UNLIKELY 1 Famine 2 Range Fire 3 Hurricane 4 Avalanche NO THREAT Tsunami, volcano, glacier/iceburg, tidal surge, tropical cyclone, aircraft "blue ice," asteroid/comet/meteors, etc. Such events are conceivable, but the probability is so low, that they are not considered a threat to Tennessee. Environmental concerns such as air or water pollution and contamination are subsets of other emergencies, or are routine non-emergency tasks that are transferred to the mission of another agency.

Tennessee DOT Resource Documents 375 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 22 IX. References and Resources FEMA Comprehensive Exercise Program. 23 Oct 2004, http://www.fema.gov/rrr/contents.shtm Tennessee Emergency Management Plan (TEMP). Tennessee Code Annotated (TCA). http://198.187.128.12/tennessee/lpext.dll?f=templates&fn=fs- main.htm&2.0 Emergency Management Accreditation Program (EMAP). September 2012, EMAP Lexington, Kentucky. A Strategy for Tennessee. February 2004, Governor’s Office of Homeland Security, Nashville, Tennessee. Homeland Security Exercise and Evaluation Program. July 2004, U.S. Department of Homeland Security, Washington, DC Exercise Design (IS 139). March 2003, Emergency Management Institute (EMI), Federal Emergency Management Agency (FEMA), Emmitsburg, Maryland, http://www.training.fema.gov/EMIWeb/IS/is139.asp Presidential Policy Directive 8, 30 March 2011, White House, Washington, DC

376 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 23 APPENDIX 1: PRIORITIES AND FOCUS I. Introduction The purpose of this appendix is to establish the priority and multi-year exercise focus based on a six-year cycle. One of the CEP’s overarching goals is to ensure that the Transportation Emergency Preparedness Plan (TEPP) addresses the needs of the State during emergencies, and to provide a recovery system to return TDOT and the transportation infrastructure system to a normal status as soon as possible after such emergencies. The TEMP defines the roles and responsibilities associated with the preparedness, response, and recovery efforts directed at natural disasters, technological accidents, terrorism and other major events that might impact the State of Tennessee. This cyclic exercise schedule will address the threats to the State and the proper validation of TDOT plans. The specific purposes of exercise planning and evaluation are: a. To exercise emergency responses to all possible and the more likely probable threats to Tennessee, such as tornados, flood, winter weather, drought, fire, earthquake, and hazardous materials accidents. b. To establish a corrective action program (CAP) that will identify shortfalls in policies, personnel or equipment that may prevent effective or efficient response to emergency or disaster situations. The CAP will put in place corrective actions and identify successes to be retained and shared. II. Hazard Identification The State has identified hazards and assessed the likelihood of occurrence for each. This is found in the State Mitigation Plan and echoed in the TEPP. Hazards are broken into two major categories Natural Hazards and Human-Caused Hazards, the latter is further broken into accidental and intentional categories. These are listed with the exercise design plan. III. Exercise Scheduling Exercises will be planned and conducted annually that aim to improve the planning, response, recovery, and mitigation to the identified State hazards. Exercise priorities will shift from year to year in order to address all identified hazards within a three-year cycle. TDOT will continue to participate in local exercises with primary focus on improving local capabilities with State and Federal assistance. As a matter of practice in scheduling TDOT will not conduct exercises during the period of March – May annually. This period is known to have natural-caused weather-driven events. Exercise Year Focus Areas - Response - Recovery - Resource Operations and Logistics - Communications - Disaster Assistance - Target Capabilities Regional Tennessee Catastrophic (TNCAT) cycle - West - 2014 - Middle - 2015 - East - 2016

Tennessee DOT Resource Documents 377 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 24 APPENDIX 2 TENNESSEE MULTI-YEAR EXERCISE PLAN 1. Training Year 2015 (October 2014 – September 2015) Exercise Priority 1. Transportation Accident (Hazmat) 2. Terrorism 3. Tornado Outbreak 4. Communications 5. Winter Weather 6. Energy failure 7. Hazardous Materials 2. Training Year 2016 (October 2015 – September 2016) Exercise Priority 1. Severe Weather/Flood 2. Geological Hazard 3. Dam or Levee Failure 4. Transportation (non-Hazmat) 5. Terrorism 6. Communications 7. Hazardous Materials 3. Training Year 2017 (October 2016 – September 2017) Exercise Priority 1. Earthquake 2. Dam or Levee Failure 3. Communications 4. Continuity of Operations 5. Energy Failure 6. Severe Weather/Winter Storm/Tornado Outbreak 7. Hazardous Materials

378 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 25 APPENDIX 3: EXERCISE DESIGN TEMPLATE Exercise Plan General Section This Exercise Plan identifies policies, procedures, administrative requirements, and exercise roles and responsibilities that will support exercise-planning initiatives. Exercise Type State what type of exercise is going to be conducted: 1. Orientation 2. Drill 3. Tabletop 4. Functional 5. Full-Scale Exercise Purpose This Exercise Plan provides exercise developers with guidance concerning procedures and responsibilities for exercise design and support. It explains the exercise concept, establishes the basis for the exercise, and establishes and defines the communications, logistics, and administrative structure needed to support the exercise—before, during, and after. [Describe the purpose of the plan itself and the mission and goals of the exercise. Provide specific information to exercise developers on the exercise objectives, points of review, administrative procedures and methods of control for simulation and evaluation. Most important, lay out the exercise methodology, including Control and Evaluation Team structure, team member responsibilities, and procedures.] Scenario Narrative [Briefly describe the hazard and related events and conditions setting the stage for the exercise. Provide background information for the emergency to enhance the realism of the situation.]

Tennessee DOT Resource Documents 379 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 26 Scope [Describe type of exercise, scope of exercise, dates of exercise, primary exercise locations, hours of operations, participating organizations, and the briefing/narrative summary that will start the exercise as follows.] Exercise play will officially begin on [insert time, day of week, date] and end at approximately [insert time, day of week, date] as determined by the exercise director. The exercise will be played [insert number of hours] per day at all primary exercise locations; however, some locations [insert if some are out of sequence or have limited extents of play]. On [insert date] the exercise will be initiated by a [describe whether briefing, incident, or video, and provide a general description of the information. Example: The briefing will begin with a description of the situation as it currently exists. The briefing will describe background actions that have been taken by emergency response organizations as well as a review of the weather situation. This background briefing will be based on the information in Scenario Narrative.] There will be a post-exercise meeting at each player location on [insert date]. (May use calendar to illustrate scheduled activities.) List of Exercise References [The following are types of references to be listed.] Student Manual Agency EOC staffing pattern o Locations o EOC positions with descriptions Exercise Control Plan Exercise Evaluation Plan Exercise Scenarios Job Aids Assumptions, Artificialities, and Simulations [The following assumptions are fairly generic; you may modify and/or add specifics for your own exercise.] The assumptions, artificialities, and simulations applicable during the exercise are provided in the following paragraphs.

380 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 27 Exercise Assumptions The following assumptions must be made in order to ensure that the exercise is as realistic as possible. It is intended that exercise events progress in a logical and realistic manner and that all exercise objectives be achieved during exercise play. Exercise participants are well versed in their own department and agency response plans and procedures. The term “participants” includes planners, controllers, simulators, evaluators, and players. Players and controllers will use real-world data and information support sources. Players will respond in accordance with existing plans, policies, and procedures. In the absence of appropriate written instructions, players will be expected to apply individual initiative to satisfy response and recovery requirements. Implementation of disaster response plans, policies, and procedures during the exercise will depict actions that would be expected to occur under actual response conditions, and therefore, will provide a sound basis for evaluation. Actions to direct unit, personnel, or resource deployments will result in simulated movement during the exercise unless live deployment in real time is stipulated to achieve an exercise objective. Real-world response actions will take priority over exercise actions. Exercise Artificialities It is recognized that the following artificialities and constraints will detract from realism; however, exercise planners should accept these artificialities as a means of facilitating accomplishment of exercise objectives. [This section will be based upon your extent of play agreements and include any pre-exercise player activity or pre-positioning of equipment. The following are examples.] The exercise will be played in near-real time; however, to meet exercise objectives, some events may be accomplished by participants before the exercise, and other events may be accelerated in time to ensure their consideration during play. Many alert, notification, initial activation, and emergency response procedures as well as some early response actions will not be a part of the exercise. Responses obtained by players from simulations may not be of the quality or detail available from the real organization or individual.

Tennessee DOT Resource Documents 381 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 28 Exercise Artificialities (Continued) During the exercise, actions may occur to direct unit, personnel, or resource deployments, and subsequent movement of resources may be played; however, these actions may be simulated with no live movement occurring in the exercise. Some personnel and equipment may be pre-positioned at exercise locations rather than moved in real time during the exercise, and they will enter play at predetermined times from their pre-positioned locations. When this exercise artificiality occurs, it will be referred to in exercise documentation as exercise pre-positioning to differentiate it from the live deployments that will be evaluated. Exercise Simulations Simulation during exercises is required to compensate for nonparticipating individuals or organizations. Although simulations necessarily detract from realism, they provide the means to facilitate exercise play. [Describe, in general, any areas that will be simulated. Examples include weather information, simulation of nonparticipating organizations, media, victims, evacuees, etc.] Exercise Objectives [Each developed exercise requires objectives that provide the foundation and guidance for exercise development. Objectives are designed to reflect the validity of community plans, procedures, and systems, and provide the basis for exercise control/simulation and evaluation. The following are examples of exercise objectives.] Demonstrate the capability to initiate public warning procedures at the EOC, including activation of the Emergency Alert System (EAS). Demonstrate the capability of the local EOC to coordinate the comprehensive response activities. Demonstrate the capability of management to conduct and coordinate an evacuation. Demonstrate responsible organization capability to identify shelters and mass care facilities for immediate use. Demonstrate the collection and dissemination of information to the public during emergency operations. Demonstrate the capability to conduct rapid situational assessment. Demonstrate the ability to identify immediate supplemental medical assistance to meet the health and medical needs of disaster victims. Demonstrate procedures for tracking assets and resources committed to response operations. Demonstrate the ability to prioritize and use jurisdictional resources and assets for maximum effectiveness during response operations. Determine the procedures for requesting assistance from higher levels of government.

382 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 29 Exercise Concept [Describe procedures before, during, and after the exercise to be taken by the various exercise development teams. Describe how each team will interact with other participants. List the procedures that each team’s members will follow to fulfill their responsibilities.] Management Structure [Describe the exercise development team organizational structure as follows.] Overall exercise planning, conduct, and evaluation for the exercise is the responsibility of the [insert title]. [Title] is responsible for coordinating all exercise planning activities between [insert Federal, State, and local departments and agencies and other participating organizations. Identify others in charge at each organizational level. Include those in charge of control and evaluation.]. Exercise Team Staffing, Rules, and Procedures [For a large exercise, there may be an exercise director with assistants and other functional areas besides evaluation and control and simulation, such as support and coordination. Adapt the following text and charts to reflect your exercise management structure.] The team chiefs and personnel selected as exercise team members must be knowledgeable of emergency management and response functions. [Insert other qualifications identified by the exercise management team leader.] They need this knowledge to understand ongoing exercise activities and to be able to track them. In order to meet this need, individuals who meet these requirements may be recruited from nonparticipating (or participating) emergency response organizations. The exercise team will identify rules or guidelines for conduct during the exercise and will identify procedures of the exercise—before, during, and after.

Tennessee DOT Resource Documents 383 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 30 Exercise Team Staffing, Rules, and Procedures (Continued) The following team structure will be used. [Identify exercise control team organization. Modify the chart below to reflect organization. Specific action sites should be added, such as State and local EOCs. If one simulation cell is used for all locations, modify the chart accordingly.] Exercise Design Structure 1. Exercise Design Team – Responsible for coordinating all exercise planning activities. The Exercise Director will assign exercise tasks and responsibilities, provide guidance, establish timelines, and monitor the development process. The team chief is responsible for developing the exercise objectives, concepts, scenarios, master scenario events list, exercise messages administrative support requirements, communication methods. 2. Control/Simulation Team – The control/simulation team chief is responsible for the development of the Control Plan. The plan should include but not be limited to the following: Exercise control and simulation activity management. Provisions for controller/simulator training and briefing. Procedures for monitoring and reporting of exercise activities to include the flow and pace of the exercise. Procedures to track the accomplishment of exercise objectives. Procedures to record the responses of players. Procedures for message injection, including the development of ad hoc messages to support exercise objectives. A list of required exercise forms, including instructions for use and preparation. Preparation for the critique. Exercise Design Team Exercise Control Team Participant Support Team Exercise Evaluation Team

384 A Guide to Emergency Management at State Transportation Agencies TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 31 Exercise Design Structure (Continued) 3. Evaluation Team – The Evaluation Team Chief is responsible for the development of the Evaluation Plan. The plan should include all evaluation activities that should occur before, during, and after the exercise. Evaluation activities should include but not be limited to the following: Exercise evaluation activity management. Provisions for evaluator training and briefing. Procedures for monitoring and evaluating exercise activities. Procedures to track the accomplishment of exercise objectives. Procedures to record and evaluate the responses of players. Procedures to track message injection, including the development of ad hoc messages to support exercise objectives. A list of required exercise forms, including instructions for use and preparation. Preparation for the critique. 4. Participant Support Team – The participant support team is responsible for coordinating exercise support activities. This team works with the other teams to develop consistent staff briefings for the controllers, simulators, evaluators, and participants, and develops the player handbook. The handbook should contain a list of instructions for players and provide information regarding player responsibilities and functions to be performed during the exercise. The handbook should contain but not be limited to the following: A schedule of player exercise briefings. Provisions for review of community or organization plans, policies, and procedures. Scenario overview. Exercise objectives. Procedures for preparation of exercise-generated messages, logs, and reports. Emergency Operating Center procedures. Expected player actions. Administrative requirements. Recommended pre-exercise training events.

Tennessee DOT Resource Documents 385 TEMA, Comprehensive Exercise Program (CEP), Replaces TEMA CEP dated January, 31, 2006 Dated: 8 August, 2012 32 Safety and Security [Describe the safety procedures, to include canceling of the exercise if an actual emergency occurs. Detail any special security issues involved with the exercise, location, or equipment.] Administrative and Logistical Support Requirements Administrative and logistical support will be required to support all phases of the exercise. The level of support required will depend upon the complexity and length of the exercise, number of players involved, and the number of objectives being demonstrated. Administrative and logistical support consists of personnel, equipment, supplies, and facilities. [Describe the logistics and administrative support that will be provided at each exercise location. Examples of areas to consider when developing logistics/administrative support for the exercise are given below.] Administrative support at exercise locations/action sites. Personnel to assist with pre-exercise training registration, training, and packaging of training materials. Information on facilities (rooms, etc.) for the exercise. Site Preparation/Support [Describes site preparations that may be necessary to meet exercise objectives, and test plans and procedures.] Job Aids [List those aids that will assist the design team.]

386 A Guide to Emergency Management at State Transportation Agencies TDOT TRAINING NEEDS ASSESSMENT Current Course Offerings 2017 2018 Projected number of CLASSES required to meet Need (use 15 people per class for calculation) Projected number of CLASSES required to meet Need (use 15 people per class for calculation) Professional Development Courses TEMA 101 Instructor Methodology Principles of Emergency Management Incident Management & Command ICS 100/200 Classroom G-300 ICS for Expanding Incidents G-400 Advanced ICS G-191 ICS/EOC Interface Course S-775 TN EOC Operations Course G-402 ICS Overview for Executives and Senior Leaders Hazardous Materials Courses Hazardous Materials Awareness Hazardous Materials for Operational Level Response Radiological Courses Modular Emergency Response Radiological Transportation Training (MERRTT) (16 Hours) MERRITT (TEMA Rad) (8 Hours) Fundamentals Course for Radiological Response (320) (24 Hours) Search and Navigation Courses TEMA Search Operations – 8 hrs. GPS Land Navigation Course Basic Visual Tracking Managing Search Operations FEMA Courses Damage Assessment Workshop Exercise Development Basic Public Information Other Courses ICS Train-the-Trainer Course Communications Leader Course (ComL) Auxiliary Communications Course (AuxComm) Emergency Management Support Team (EMST) Training Appendix E2: TDOT Needs Assessment

Tennessee DOT Resource Documents 387 Other Offerings: National Domestic Preparedness Consortium (DHS funded courses): The National Domestic Preparedness Consortium (NDPC) is a professional alliance sponsored through the Department of Homeland Security/FEMA National Preparedness Directorate. The NDPC focus is to address the counter-terrorism preparedness needs of the nation’s emergency first responders within the context of all hazards, including chemical, biological, radiological, and explosive weapons of mass destruction (WMD) hazards. The consortium is made up of members that include the Center for Domestic Preparedness (CDP) in Anniston, Alabama, the New Mexico Institute of Mining and Terrorist Education (National Center for Biomedical Research and Training), Texas A&M University National Emergency Response and Rescue Training Center (TEEX), the Department of Energy’s Nevada Test Site (NTS), the Transportation Technology Center, Inc. (TTCI), and the National Disaster Preparedness Training Center at the University of Hawaii (NDPTC). Information about the course offerings for these classes can be found at: http://www.ndpc.us/index.html Federal Emergency Management Agency, National Emergency Training Center, Emmitsburg, Maryland. The National Emergency Training Center has a variety of courses that can be conducted in the state. You can access the list of other training courses from the National Domestic Preparedness Consortium and the Federal Emergency Management Agency through the TEMA web page under training, federal training resources. https://www.firstrespondertraining.gov/TEI/tei.do?a=home Submitted by: __________________________________________________ Agency: ________________________________________________________