DOE G 151.1-3, Programmatic Elements

AVAILABLE ONLINE AT: INITIATED BY: www.directives.doe.gov National Nuclear Security Administration Office of Emergency Management DOE G 151.1-3 7-11-07 Programmatic Elements Emergency Management Guide [This Guide describes suggested nonmandatory approaches for meeting requirements. Guides are not requirements documents and are not to be construed as requirements in any audit or appraisal for compliance with the parent Policy, Order, Notice, or Manual.] U.S. Department of Energy Washington, D.C. NOT MEASUREMENT SENSITIVE DOE G 151.1-3 i 7-11-07 DOE G 151.1-3 - Programmatic Elements Table of Contents 1. PROGRAM ADMINISTRATION.................................................................................... 1-1 1.1 Introduction......................................................................................................................1-1 1.2 General Approach ............................................................................................................1-1 1.3 Planning Responsibilities.................................................................................................1-4 1.3.1 Technical Planning Basis .....................................................................................1-4 1.3.2 Program Implementation......................................................................................1-5 1.3.3 Documentation .....................................................................................................1-5 1.3.4 Resource Management .........................................................................................1-6 1.3.5 Policy Issues.........................................................................................................1-7 1.4 Preparedness Responsibilities..........................................................................................1-7 1.4.1 Program Planning.................................................................................................1-7 1.4.2 Program Implementation....................................................................................1-10 1.4.3 Documentation ...................................................................................................1-11 1.4.4 Policy Issues.......................................................................................................1-11 1.5 Readiness Assurance Responsibilities ...........................................................................1-12 1.5.1 Program Plan......................................................................................................1-12 1.5.2 Program Implementation....................................................................................1-12 1.5.3 Documentation ...................................................................................................1-13 1.6 Response Responsibilities..............................................................................................1-13 1.6.1 Programmatic Activities.....................................................................................1-13 1.6.2 Documentation ...................................................................................................1-15 1.7 Document Control..........................................................................................................1-15 1.8 Classified/Sensitive Information....................................................................................1-16

APPENDIX A. Standard Format and Content of Emergency Plans for Hazardous Material Programs...............................................A-1 2. TRAINING AND DRILLS ................................................................................................ 2-1 2.1 Introduction......................................................................................................................2-1 2.2 General Approach ............................................................................................................2-1 2.3 Training Program Management .......................................................................................2-2 2.3.1 Program Plan........................................................................................................2-3 2.3.2 Schedule .............................................................................................................2-4 2.3.3 Program Assessments...........................................................................................2-4 2.3.4 Trainer/Instructor Qualifications and Evaluations ...............................................2-4 2.3.5 Course Documentation.........................................................................................2-6 2.3.6 Emergency Responder Training Records.............................................................2-6 2.4 Training Needs Assessment.............................................................................................2-7 2.4.1 Training for Onsite Emergency Responders ........................................................2-7 2.4.2 Training for Offsite Emergency Responders .......................................................2-8 2.5 Specific Training Requirements ......................................................................................2-9 2.5.1 Regulatory Requirements.....................................................................................2-9 2.5.2 Site-Specific Training ........................................................................................2-10 2.5.3 First Responder Training....................................................................................2-10 2.5.4 Offsite Responder Training................................................................................2-11 2.5.5 Training on Change............................................................................................2-11 ii DOE G 151.1-3 7-11-07 2.5.6 Operational Emergency Hazardous Material Program ......................................2-11 2.6 Training Development ...................................................................................................2-13 2.6.1 Training Goals and Objectives...........................................................................2-13 2.6.2 Training Delivery ...............................................................................................2-13 2.6.3 Developing Course Materials.............................................................................2-14 2.6.4 Test Methodology ..............................................................................................2-15 2.6.5 Course Evaluation ..............................................................................................2-16 2.6.6 Remedial Training..............................................................................................2-16

2.7 Training Delivery...........................................................................................................2-16 2.8 Drills ..............................................................................................................................2-17 3. EXERCISES........................................................................................................................ 3-1 3.1 Introduction......................................................................................................................3-1 3.2 General Approach ............................................................................................................3-2 3.3 Exercise Program.............................................................................................................3-3 3.4 Types of Exercises ...........................................................................................................3-4 3.4.1 Discussion-Based Exercises.................................................................................3-5 3.4.2 Operations-Based Exercises.................................................................................3-7 3.5 DOE/NNSA Exercise Requirements ...............................................................................3-9 3.6 Exercise Planning ..........................................................................................................3-11 3.6.1 Exercise Planning Team.....................................................................................3-12 3.6.2 Exercise Planning Functions ..............................................................................3-13 3.6.3 Exercise Planning Team Position Descriptions .................................................3-15 3.6.4 Exercise Planning Meetings/Conferences..........................................................3-16 3.6.5 Exercise Planning Schedule ...............................................................................3-20 3.7 Exercise Documentation ................................................................................................3-21 3.7.1 Situation Manual (SITMAN) .............................................................................3-22 3.7.2 Exercise Plan (EXPLAN) ..................................................................................3-22 3.7.3 Controller and Evaluator Documentation ..........................................................3-28 3.8 Exercise Objectives........................................................................................................3-31 3.8.1 Developing Exercise Objectives ........................................................................3-31 3.8.2 Basis for Exercise Objectives.............................................................................3-33 3.9 Exercise Preparation ......................................................................................................3-34 3.9.1 Controller and Evaluator Training .....................................................................3-34 3.9.2 Responder and Observer Briefings ....................................................................3-35 3.9.3 Exercise Setup....................................................................................................3-36

3.10 Conduct of the Exercise .................................................................................................3-36 3.10.1 Roles of Participants ..........................................................................................3-36 3.10.2 Conduct ...........................................................................................................3-38 3.11 Exercise Evaluation .......................................................................................................3-40 3.11.1 Planning and Organization of the Evaluation ....................................................3-41 3.11.2 Evaluation Process .............................................................................................3-44 3.11.3 Critiques ...........................................................................................................3-46 3.12 Follow-up Activities ......................................................................................................3-47 3.12.1 Corrective Actions and Improvement Items ......................................................3-47 3.12.2 Maintaining Records ..........................................................................................3-47 APPENDIX B. Controller and Evaluator Manual.......................................... B-1 DOE G 151.1-3 iii (and iv) 7-11-07 4. READINESS ASSURANCE.............................................................................................. 4-1 4.1 Introduction......................................................................................................................4-1 4.2 General Approach ............................................................................................................4-2 4.3 Readiness Assurance Program.........................................................................................4-3 4.3.1 Evaluation Program..............................................................................................4-4 4.3.2 Improvement Program .........................................................................................4-8 4.3.3 Documentation of Readiness Assurance ............................................................4-12 4.3.4 Management Commitment.................................................................................4-13 4.4 Evaluations.....................................................................................................................4-15 4.4.1 Emergency Management Program Elements .....................................................4-18 4.4.2 Program and Exercise Evaluations.....................................................................4-23 4.4.3 Evaluation Criteria .............................................................................................4-25 4.4.4 Findings ...........................................................................................................4-26 4.4.5 Generic Faults ....................................................................................................4-28 4.4.6 Program Readiness.............................................................................................4-31 4.5 Evaluation Process .........................................................................................................4-31 4.5.1 Data Sources ......................................................................................................4-33 4.5.2 Evaluation Results..............................................................................................4-39

4.6 Self-Assessments ...........................................................................................................4-41 4.7 Post-Emergency Evaluation...........................................................................................4-43 4.8 Performance Indicators ..................................................................................................4-45 4.8.1 General Characteristics of Performance Indicators............................................4-46 4.8.2 Emergency Management Performance Indicators .............................................4-49 4.8.3 DOE/NNSA Framework and Performance Indicators .......................................4-53 APPENDIX C. Emergency Readiness Assurance Plans ................................ C-1 APPENDIX D. Evaluation Criteria ................................................................D-1 APPENDIX E. Systematic Approach for Performing Self-Assessments of Emergency Management Programs ...................................... E-1 List of Tables Table 3-1. Sample Planning Schedule for a Site-level Annual Exercise ................................................3-21 Table 4-1. Focus and Limitations of Evaluation Tools.............................................................................4-8 DOE G 151.1-3 1-1 7-11-07 1. PROGRAM ADMINISTRATION 1.1 Introduction The purpose of this chapter is to assist Department of Energy (DOE) and National Nuclear Security Administration (NNSA) field elements in complying with the DOE O 151.1C (the Order) requirement to provide effective organizational management and administrative control of an emergency management program by establishing and maintaining authorities and resources necessary to plan, develop, implement, and maintain a viable, integrated, and coordinated program. Each manager or administrator of a DOE-, NNSA- and/or DOE/NNSA contractor-operated facility/site or activity subject to this Order shall designate an individual to administer the emergency management program. This individual shall develop and maintain the emergency plan, develop the (Emergency Readiness Assurance Plan (ERAP) and its annual updates, develop and conduct training and exercise programs, coordinate assessment activities, develop related documentation, develop a system to track and verify correction of findings or lessons learned, and coordinate emergency resources. Responsible administrators of emergency management programs should use the guidance in this chapter to define responsibilities and implement functions to ensure and maintain effective emergency planning, preparedness, readiness assurance, and response activities. This chapter is designed primarily for facilities/sites or activities that are required to implement an Operational Emergency Hazardous Material Program and is directed at operations and emergency management staff at Field Elements and operating contractor organizations responsible for DOE and NNSA facilities/sites or activities. This guide cancels and supersedes the following. • DOE G 151.1-1, Vol. 5, Ch. 1, Program Administration, dated 8-21-97 • DOE G 151.1-1, Vol. 5, Ch. 2, Standard Format and Content for Emergency Plans, dated 8-21-97 • DOE G 151.1-1, Vol. 5, Ch. 3, Emergency Readiness Assurance Plans (ERAPs), dated 8-21-97 • DOE G 151.1-1, Vol. 5, Ch. 4, Training and Drills, dated 8-21-97 • DOE G 151.1-1, Vol. 7, Ch. 1, Development and Conduct of Exercises, dated 8- 21-97

• DOE G 151.1-1, Vol. 7, Ch. 3, Exercise Controller and Evaluator Manual, dated 8-21-97 1-2 DOE G 151.1-3 7-11-07 1.2 General Approach Management and Operating (M&O) contractor managers/administrators at each DOE/NNSA facility and site retain overall authority and responsibility for emergency management at their respective levels. However, responsibility for and authority over the development and day-to-day operation and maintenance of the program should be delegated to a specifically designated emergency management program administrator, with responsibility and authority to ensure: • Development and maintenance of the Hazards Surveys and Emergency Planning Hazards Assessments (EPHAs), emergency plans and procedures, and related and supporting documentation • Development and conduct of training and exercise programs, and development, conduct, and coordination of the readiness assurance program and activities [e.g., evaluations (internal and external)] • Coordination of emergency resources by identifying resource needs and ensuring the availability of adequate resources • Development and submittal of the annual ERAP • Interface with State and local emergency response elements, other Federal agencies, and private institutions providing emergency medical and other emergency support to the site The designated administrator has authority and resources in accordance with assigned responsibilities and has access to top-level management. The administrator is responsible for implementing a facility/site- or activity-specific comprehensive emergency management program based upon a graded approach that is commensurate with hazards. The administration of programmatic activities (i.e., planning, preparedness, readiness assurance, and programmatic response element) activities is established and maintained through rigorous adherence to a formal process. Review and approval processes are established and documented to ensure that the planning and development of components of the emergency management program receive sufficient oversight by staff, management, and DOE/NNSA elements. To ensure that programmatic activities are initiated, completed, and periodically repeated in a timely and efficient manner, reasonable schedules are established for planning (e.g., document submission, reviews, approvals), preparedness (e.g., training), readiness assurance (e.g., self-assessments), and programmatic response element [e.g., maintaining Emergency Response Organization (ERO) assignment roster] functions. Adequate resources are identified and obtained to ensure that the program is ready to respond. Financial resource requirements are identified and budgeted. Response facility needs are identified and locations established. Equipment requirements are identified; DOE G 151.1-3 1-3 7-11-07 supplies of required equipment are monitored and acquired as needed. Personnel requirements are identified and addressed. An emergency management document control system that meets industry standards for document review, approval, distribution, and change control is established or emergency management documents are controlled under an existing site-wide document control system. An auditable administrative program for ensuring the availability of vital records (i.e., essential to the continued functioning or reconstitution of an organization during or after an emergency), regardless of media, is established and reliably maintained (Cf. DOE O 243.2). If classified information or materials are being used or generated, effective security procedures and controls are implemented, and security reviews are conducted.

Administration of an emergency management program can vary considerably from site to site depending on characteristics of the site and program, including, size, geographical layout, hazards, administrative structure of the M&O contractor, and structure and constituents of the ERO. A small site with few facilities and hazards and a simple response structure may have one program administrator responsible for management and control of the program, who may have direct responsibility for various aspects of the detailed planning, implementation, and maintenance functions and activities. At a larger site with many facilities, more extensive hazards, and a more complicated ERO, the program administrator may delegate detailed programmatic responsibilities to site-level and facility-level administrators, retaining overall responsibility for site-wide program administration and control. Information and data that the designated site administrator can track and oversee depends primarily on the size of the site and scope of the emergency management program. With only a few facilities, the program administrator at a small site is familiar with details of the site-wide program, as well as each individual facility program. The administrator at a large site may only be personally cognizant of the larger aspects of each facility program (e.g., percentage of each facility ERO trained versus the detailed data on who is trained). On a multiple-facility site, the site emergency management program administrator is responsible for tasks similar to those of the facility program administrator (or for all tasks, if the sole administrator). In addition, the site program administrator is responsible for review and oversight of emergency management activities of facility emergency management program administration. The site program administrator must prepare guidance for facility emergency planners to ensure an effective, integrated site program is achieved when the facility capabilities are activated for a coordinated response. The program administrator's job is to ensure the emergency management program is developed and maintained - not necessarily to perform all these tasks or track/monitor all activities personally. Emergency management authority may be delegated to subordinate administrators responsible for various aspects of the program (e.g., exercises, training, plans and procedures). The designated emergency management program administrator has ultimate responsibility for ensuring that requirements of the Departmental emergency 1-4 DOE G 151.1-3 7-11-07 management-related policies and Orders are met. The program administrator coordinates with other site groups responsible for implementing various aspects of emergency preparedness and response (e.g., Health Physicists, Industrial Hygienists, Medical, Public Affairs, Security, Operations, and Engineering). The general approach in this chapter focuses on functions or activities, specific responsibilities, and documentation that are expected to be accomplished at any DOE or NNSA site in order to effectively manage and administer an emergency management program. At a site with a single site administrator or at one with multiple facility/area administrators, the same management and administrative control is required to assure that emergency response capabilities are maintained and are ready to respond.

In the following sections, general responsibilities of program administration are discussed in the context of the key activities of an emergency management program: planning, preparedness, readiness assurance, and response. 1.3 Planning Responsibilities As indicated in the Order, emergency planning includes “the identification of hazards and threats, hazard mitigation, the development and preparation of emergency plans and procedures, and the identification of personnel and resources needed for an effective response.” In the following sections, the responsibilities of program administration with respect to emergency management planning activities are divided according to the following topics: technical planning basis, program implementation, documentation, resource management, and policy issues. 1.3.1 Technical Planning Basis The primary responsibility of the emergency management program administrator(s) is the establishment and implementation of the Comprehensive Emergency Management System. This involves the establishment of an Operational Emergency Base Program that coordinates and integrates the emergency planning and preparedness requirements of applicable Federal, Tribal, State, and local laws, regulations, and ordinances, and other Orders and standards of performance. As warranted, the Base Program is expanded to implement additional emergency management requirements of an Operational Emergency Hazardous Material Program, if hazardous materials pose a major threat to the health and safety of workers and the public. The Hazards Survey and EPHA (if required) are the technical planning basis for establishing the scope of the facility/site- or activity-level emergency management program. Development of the Hazards Surveys and EPHA is often a complex and multi- disciplinary activity involving a number of technical skills and facility/site or activity organizations, coordinated by the emergency management program administrator(s). The program administrator(s) ensures that the proper technical staff are assigned to the efforts [e.g., health physicists when radioactive materials are involved; industrial hygienists to address toxic chemicals; meteorologists; subject matter experts (SMEs) in the transport and dispersion of hazardous materials; operations personnel; security specialists; etc.]. DOE G 151.1-3 1-5 7-11-07 A key responsibility of program administrator(s) is to ensure that the technical planning basis (i.e., Hazards Surveys and EPHAs) is regularly maintained and reflects the current operations and hazards associated with the facility/site or activity. The appropriate method is dependent on the specific facility or site programs established on the site [e.g., hazardous materials inventory control systems, Integrated Safety Management Systems (ISMS)] that can be utilized to achieve emergency management objectives. 1.3.2 Program Implementation Using the results and conclusions of the technical planning basis, the program administrator(s) coordinates the development of the emergency plan(s) and the implementing procedures for the Base Program and, as required, the Hazardous Material Program and ensures that they are commensurate with the hazards on the facility/site. As with the Hazards Survey and EPHA efforts, this activity may require involvement of personnel from a variety of technical areas and facility/site organizations.

The program administrator(s) ensures that emergency plans and implementing procedures are coordinated with all involved site and facility response elements, integrated for site- wide consistency, and in accordance with Departmental policies. Emergency management plans are developed for Base Program Facilities, which must address the minimum Base Program requirements, and for facilities requiring a Hazardous Material Program, whose requirements are seamlessly integrated with Base Program requirements. Coordination and cooperation of tenant facilities (if any) with the site organization in programmatic and response activities should be described in the emergency plans. The program administrator(s) ensures that emergency plans and procedures have the following characteristics: • Document the emergency management program, including provisions for response to an Operational Emergency (OE) and procedures to describe how the emergency plan will be implemented. • Clearly state roles, responsibilities, and requirements associated with program administration, EROs, individual positions, operations, and interfaces. • Describe the integration and coordination of the emergency management program with the DOE/NNSA ISMS. • Are compliant with the requirements of the National Response Plan (NRP) and the National Incident Management System (NIMS). 1.3.3 Documentation Documentation of the technical planning basis (i.e., Hazards Surveys and EPHAs) is an essential component of an emergency management program. It represents the technical information related to hazards on the facility/site or activity, methods and assumptions that form the foundation of the program, and documented evidence that responsible 1-6 DOE G 151.1-3 7-11-07 emergency management planners understand the facility/site- or activity-specific hazards. Existing hazardous material databases and safety documentation are monitored to ensure that Hazards Surveys and EPHAs represent the current status of hazards and operations at the facility/site or activity. The program administrator(s) is responsible for ensuring that emergency plans and procedures are developed, verified, validated, reviewed periodically, updated as necessary, and that the program receives an appropriate level of oversight. This includes providing direction and guidance for conducting and documenting reviews, assessments, and approvals to ensure they are consistent, correct, up-to-date, and complete. Program administrators ensure that reasonable schedules are established and SMEs are made available to provide competent reviews and evaluations. Appendix A contains an outline and recommended content for an emergency plan for a facility/site required to have a Hazardous Material Program. 1.3.4 Resource Management Emergency management programs require resources to function effectively. Emergency management programs are developed based on the technical planning basis, four programmatic and ten response program elements. Each program element requires financial, material, and human resources to develop and maintain the program. • Financial resources. The program administrator(s) tracks the financial resources allocated for their emergency management programs, including costs of facilities, equipment needed to respond to emergencies, training programs, drills and exercises, and all related personnel costs. Annual budgets are prepared, based on program needs identified through the readiness assurance process. The program administrator(s) provides justification for budget requests and acts as an advocate for needed resources. (Cf. DOE Order 226.1, Implementation of Department of Energy Oversight Policy, for possible additional sources of information regarding the identification of program needs.)

• Emergency facilities and equipment requirements. Changes in Hazards Surveys and EPHAs and the results of program and exercise evaluations and self-assessments may identify needed modifications and improvements that necessitate revising or updating facilities or equipment. • Personnel requirements. Program and exercise evaluations, as well as the self- assessment process, may identify additional personnel needs. These requirements should also be documented so that additional resources can be allocated. In summary, the program administrator(s) is responsible for ensuring: adequate resources are identified and obtained to ensure that the program is ready to respond; financial resource requirements are identified and budgeted; facilities and equipment requirements are identified, monitored, and acquired; and personnel requirements are identified and DOE G 151.1-3 1-7 7-11-07 addressed. Resource needs (including personnel, facilities and equipment, and financial) are identified and justified in the annual ERAP. 1.3.5 Policy Issues The emergency plan and associated procedures, as well as supporting planning documentation (e.g., EPHAs), must comply with DOE/NNSA policy as contained in DOE O 151.1C, Comprehensive Emergency Management System. A companion Emergency Management Guide (EMG), DOE G 151.1-series, provides guidance for implementing the Order requirements and represents a source for interpreting the intent of the requirements in the Order. The program administrator(s) is responsible for ensuring that all of the emergency management program elements are consistent with Order requirements, including both prescriptive requirements as well as broadly stated and general performance goals found in the EMG. Plans must also be fully compliant with the requirements of the NRP and NIMS. Examples of policy issues that should be monitored include: • The Order contains no prescriptive requirements for performing EPHAs. However, the EMG provides sufficient guidance for developing an EPHA that satisfies the intent of the Order (e.g., a spectrum of events analyzed, including beyond-design- basis events, identification of emergency recognition indicators). • The emergency plans and associated procedures for consequence assessments and protective actions are consistent with the Order requirements in terms of the components (and phases) of the assessment process and Protective Action Criteria (PAC) selected for triggering protective actions. • Prescriptive times for emergency notifications are given in the Order and must be followed in the facility/site and activity procedures. • ERO training requirements (i.e., initial and refresher training) are given in the Order. 1.4 Preparedness Responsibilities As indicated in the Order, emergency preparedness includes “. . . the acquisition and maintenance of resources, and the conduct of training, drills, and exercises.” In the next four sections, the responsibilities of program administration with respect to emergency preparedness activities are divided according to program plans, program implementation, documentation, and policy issues. 1.4.1 Program Planning Training and Drills. DOE/NNSA emergency management training and drill programs ensure that personnel are prepared to respond to, manage, mitigate, and recover from emergencies associated with DOE/NNSA facilities/sites and activities. Training 1-8 DOE G 151.1-3 7-11-07

programs can include a variety of instruction methods, such as classroom instruction, computer-based or web-based coursework, and hands-on training and drill activities. General training for employee response, required as part of the Base Program, may be included as part of an employer's General Employee Training (GET) program. This program may include emergency awareness, warnings and alarms, evacuation and accountability, and first aid. Hazardous Material Programs have additional training requirements for developing and maintaining specific emergency response capabilities for all personnel identified as members of their EROs. The training program should be commensurate with the hazards identified in the EPHA. The program administrator(s) must ensure the development and coordination of training program activities to prevent conflict with other activities and to ensure that resources are available. In larger facility/site programs, there may be an individual assigned to be the manager of the training program(s). In smaller programs, the designated site emergency management program administrator(s) may be responsible for all aspects of the training program. The program administrator should also ensure a formal training plan [cf. DOE G 151.1-3, Chapter 2] is developed that describes program goals and objectives, organizational responsibilities, resources, and planned activities. The administration of training and drills programs should include functions to: • Ensure that a plan is developed and maintained describing and documenting the training and drills program. • Ensure a comprehensive and coordinated program of training and drills for the identified ERO, both primary and alternate members. • Establish training requirements for each position in the facility/site- or activity- specific ERO. • Ensure a coordinated program for all responders, both initial training, and annual refresher training based on the plan and procedures for that emergency management program. • Identify and coordinate adequate resources for training program implementation, including facilities, equipment, budget, etc. • Ensure the integration of GET in the Base Program and training programs necessitated by the DOE/NNSA Hazardous Material Program. • Ensure the training program adequately addresses each Response Element of the facility/site or activity emergency management programs. • Ensure that the program plan provides for demonstrations of proficiency following training for ERO positions. DOE G 151.1-3 1-9 7-11-07 • Identify training needs and provide for development, scheduling and delivery of training activities. • Establish qualifications for the training staff for each training module. • Ensure that drills provide practical, hands-on training and use realistic situations and scenarios; ensure they are coordinated with site groups, such as Health Physicists, Industrial Hygienists, Medical, Public Affairs, Security, etc. Exercises. Emergency management exercises are formal, evaluated demonstrations of the integrated response capabilities of an emergency management program. Exercises are conducted to validate the response program elements of an emergency management program. Exercises should be realistic simulations of potential facility/site or activity emergencies. They may vary significantly in size and complexity to achieve their respective purposes. Department of Homeland Security (DHS) exercise methodology refers to these evaluated demonstrations as discussion-based or operations-based exercises (cf. Chapter 3 of DOE G 151.1-3).

Exercise-specific objectives are used to establish the exercise scope, specify the emergency response functions to be demonstrated, identify the extent of organizations/ personnel participating, and identify the breadth and depth of exercise activities to be accomplished or simulated. Typically, not all emergency management program elements are demonstrated in each exercise. The program administrator(s) ensures that a systematic approach is used, with emphasis on participation and coordination among the members of the EROs, to develop an exercise plan to ensure that all elements of facility/site and activity programs are exercised and validated over a multi-year period. Coordination of exercises is particularly important at sites with multiple, integrated facility emergency management programs, where response resources are shared, and efficiency in scheduling and conducting exercises is paramount. The administration of exercise programs should include functions to: • Ensure a formal exercise program to validate all response elements over a five-year period, in accordance with DOE O 151.1C. • Ensure each exercise has specific objectives keyed to the emergency plan and procedures. • Ensure that exercises are evaluated, including a critique process to gather and document observations of the participants. • Ensure that a system is in place to track lessons-learned and corrective actions resulting from the evaluation of exercises. • Ensure, at a minimum, the conduct of building evacuation exercises consistent with Federal regulations, local ordinances, or National Fire Protection Association (NFPA) Standards. 1-10 DOE G 151.1-3 7-11-07 • Ensure tests of communications systems annually, or as often as needed, to ensure information can be efficiently exchanged with response organizations off site, and at DOE/NNSA field element and Headquarters (HQ)-levels. 1.4.2 Program Implementation Training and Drills. The emergency management program administrator(s) has the responsibility for the conduct of the training program, including the scheduling of drills, based on the plans and procedures developed for the specific program. Administration of the training and drills program implementation should include functions to: • Ensure training and periodic drills are scheduled, conducted, monitored, and documented. • Ensure coordination of training and drills at sites with multiple facilities. • Ensure auditable training and drill records are developed, maintained, and updated. • Ensure a system is in place to track the development and implementation of lessons- learned from training and drills and promote program improvements. • Conduct periodic (training program) self-assessments, including evaluating instruction and reviewing (training) materials. • Ensure drills provide supervised, “hands-on” training for members of EROs. • Ensure emergency preparedness training is provided to all workers who may be required to take protective actions. • Ensure emergency-related training on facility/site conditions and hazards is made available/offered to offsite response organizations that may need to respond onsite. • Maintain access to a qualified training staff. Exercises. For effective conduct of the exercise program, the administrator(s) must ensure that: • Each facility exercises its emergency response capability annually in a facility operations-based exercise.

• Each site exercises its site-level ERO elements and resources, as well as its integrated emergency response capability, at least annually in a site operations-based exercise. For multiple-facility sites, this site-wide exercise will be rotated among the facilities. • Offsite response organizations are invited to participate in the annual site-wide exercise once every three years. Site-wide exercises that include offsite participation are referred to as full-participation operations-based exercises. DOE G 151.1-3 1-11 7-11-07 • The annual site-wide exercise is a full-participation operations-based exercise at least every third year, if offsite response organizations agree to participate. • The evaluation of exercises conducted by the sites and facilities is accomplished by knowledgeable, independent organization(s) whose staff displays familiarity with responder organizations, functions, and procedures. • Auditable exercise records are developed, maintained, and updated. • Corrective actions items, identified as a result of the evaluation and critique process, are incorporated into the emergency management program. • A system is in place to track the development and implementation of lessons-learned from exercises and promote program improvements. 1.4.3 Documentation Training and Drills. The training program plan should be documented and training materials archived. Training and drill records enable the emergency management program administrator(s) to determine the types of training to be scheduled, the numbers of people to be trained, the specific individuals to be trained, and the type and quantity of resources that are needed to conduct the training and drills. Scores on training validation tests and performance during drills should also be recorded. The training records provide a means for verifying qualification requirements for ERO participation. Lessons-learned from training and drill sessions are recorded and correlated with exercise evaluations, and other readiness assurance activities to determine additional training program needs. Exercises. A complete, documented operations-based exercise package [i.e., an Exercise Plan (EXPLAN), as described in DOE G 151.1-3, Chapter 3] should be produced for each annual site-level exercise. Facility-level exercises can be accomplished with an exercise package that contains only the essential elements that are required to actually conduct the exercise. Exercise participation records enable the emergency management administrator(s) to ensure that individual members of the ERO are given the opportunity to demonstrate their proficiency annually. An exercise report [i.e., After Action Report (AAR)] should be produced following the exercise that provides an account of exercise control, player performance, and self-assessment evaluation findings. 1.4.4 Policy Issues Training and Drills. Policy issues related to training and drills will focus on the adequacy of the training to prepare ERO members for their respective response tasks. The Order requires a coordinated program of training and drills for developing and maintaining ERO position skills, including initial and refresher training. The administrator(s) are responsible for ensuring that the training matches the skills required for the specific ERO positions. 1-12 DOE G 151.1-3 7-11-07

Exercises. In addition to frequency requirements for conducting the exercises, the administrator must ensure that the scopes of facility- and site-level operations-based exercises match the intent of the Order. Also, the exercise program should include facilities participating in the site-level exercise on a rotating basis and all of the emergency management program elements validated over a multi-year basis. 1.5 Readiness Assurance Responsibilities As indicated in the Order, emergency readiness assurance includes “. . . evaluations (assessments) and documentation to ensure stated emergency response capabilities are sufficient to implement emergency plans.” In the next three sections, the responsibilities of the program administrator(s) with respect to emergency readiness assurance activities will be divided according to the following topics: program plan, program implementation, and documentation. 1.5.1 Program Plan Readiness assurance provides a framework and associated tools to assure emergency plans, implementing procedures and resources are sufficiently maintained, exercised and evaluated; and appropriate, timely improvements are made in response to identified needs. The framework consists of evaluations, improvements, and documentation. Emergency management administrator(s) should develop a readiness assurance plan that consists of evaluations (e.g., internal and external program evaluations, exercise evaluations, performance tests of single response tasks, tabletop tests of decision-making) and a real-time improvement system to ensure that findings from all evaluations (including self-assessments) result in corrective actions that are implemented in the program and are verified and validated. In addition, the administrator(s) should institute a lessons learned program to take advantage of lessons, not only from DOE/NNSA, but also from other Federal (e.g., DHS) and commercial activities performing similar tasks. 1.5.2 Program Implementation To assure a quality emergency management program, persons with knowledge of the program or response activity being assessed should conduct an internal assessment of all aspects of a facility or site emergency management program annually. These assessments will be the basis for improvements, which should be integrated into the emergency management program. The site emergency management program administrator(s) should coordinate the scheduling of evaluations and assessments by external organizations to minimize impacts and maximize benefits. Evaluation schedules shall be forwarded to the Program Office and HQ Associate Administrator of Emergency Operations to ensure maximum coordination. The emergency management program administrator(s) should coordinate the response to emergency management evaluation findings. The emergency management program administrator should maintain a root cause investigation and corrective action program that establishes and documents an integrated site program for corrective actions, including tracking corrective actions, and validating DOE G 151.1-3 1-13 7-11-07 the adequacy of corrective actions resulting from the annual assessments. The program should also include specific findings and lessons learned from training, drills, exercises, and particularly those from actual responses and self-assessments, even though such findings may not have the same visibility and urgency as those associated with external oversight. Site emergency management program administrators should maintain an open door policy for employee concerns regarding emergency management.

1.5.3 Documentation The emergency management program administrator ensures the timely preparation of facility ERAP elements for inclusion in the site ERAP. The contributions to the site ERAP are made on an annual basis and reflect current and projected facility emergency management program capabilities, resources, and requirements (e.g., personnel, facilities, equipment, emergency planning and preparedness activities, etc.). Guidance on this topic may be found in DOE G 151.1-3, Appendix C. Lessons learned from evaluations of exercises should be included with such records to enable facility emergency management program administrators to identify areas requiring additional training or that could require changes to the facility emergency plan and implementing procedures. 1.6 Response Responsibilities The responsibilities of the program administrator(s) related to plans and procedures associated with emergency response have been covered in Section 1.4. However, associated with several of the response emergency management program elements are functions/activities that must be maintained on a regular or periodic basis in order to be ready in the event of an OE. The program administrator(s) must ensure that these functions are performed regularly. DOE G 151.1-4 contains guidance related to all of the response program elements, and, in particular, descriptions of the associated programmatic functions. These response-related programmatic functions/activities are identified and associated documentation requirements are indicated in the following sections. 1.6.1 Programmatic Activities ERO. An adequate number of fully trained personnel, with periodic participation in an exercise, an evaluated drill, or an actual response, are assigned to facility- and site-level ERO positions to ensure adequate staffing for emergency response. The standby staffing of ERO emergency facility positions and response teams is effectively accomplished. ERO rosters are periodically reviewed for accuracy (e.g., current qualifications, correct phone number, correct response time, etc.) Communication systems used to activate both on shift and off shift emergency response personnel are periodically tested. Offsite Interfaces. The emergency management program administrator(s) should meet with local emergency planning officials at least annually and upon significant program change to ensure their collective understanding of the site emergency plan and emergency 1-14 DOE G 151.1-3 7-11-07 plan implementing procedures. This should occur as the documents affecting their roles, responsibilities, and activities change or require greater emphasis or attention, particularly in the area of emergency categories, classifications, notifications, and protective action recommendations. The program administrator(s) is also responsible for the development, review, and update of facility/site-specific mutual aid agreements/memoranda of agreement/memoranda of understanding (MAAs/MOAs/MOUs) relevant to a comprehensive and effective emergency management program. These MAAs/MOAs/MOUs routinely involve support provided to and/or from offsite organizations or, on a multiple-facility site, support provided to and/or from other facilities, contractors, and/or offsite organizations. On a multiple-facility site, MAAs/MOAs/MOUs with offsite organizations should be developed, maintained, and updated by the site emergency management program administrator and are typically maintained as a part of the site emergency plan. There are DOE/NNSA locations where DOE/NNSA retains full responsibility for development and maintenance of agreements with offsite organizations.

Organizations which may be needed in a supporting role and/or needed for long-term support have been identified and pre-designated offsite points-of-contact, including organization, names, and telephones numbers, are documented, maintained, and available to the response organization. Planned response functions to be provided by offsite organizations are periodically tested and verified. Emergency Facilities and Equipment. Designated response facilities, especially multi- use facilities, are adequately maintained. Inventories of all emergency equipment and supplies are maintained in identified locations. Periodic inspections, operational checks, calibration, preventive maintenance and testing of equipment and supplies are carried out as required. Categorization and Classification. Emergency Action Level (EAL) sets are reviewed and tested regularly against a range of initiating conditions and emergency event/condition scenarios. Consequence Assessment. A formal Quality Assurance Program is implemented and maintained for control of the tools used in consequence assessment. Emergency Medical Support. Arrangements with offsite medical facilities to transport, accept, and treat contaminated, injured personnel are established, documented, and periodically reviewed. Onsite and offsite medical personnel are periodically offered information and training on facility/site-specific hazardous materials and offered opportunities for participation in drills and exercises. Emergency Public Information. Workers and site personnel are informed of emergency response plans, response capabilities, and planned protective actions. Information is disseminated periodically to the public regarding facility hazards, how they will be alerted and notified of an emergency, what their actions should be in the event of an emergency, and points of contact for additional information. Continuing DOE G 151.1-3 1-15 7-11-07 education is provided to the area news media for the purpose of acquainting the media with the facility, management personnel, facility hazards, emergency plans, and points of contact. A list of 24-hour media points-of-contact is available and maintained current. 1.6.2 Documentation Written MAAs/MOAs/MOUs should be developed to ensure that the provision of support during an exercise and an actual emergency is not dependent on the presence of specific individuals. MAAs/MOAs/MOUs may be mutual aid or support agreements between onsite and offsite response organizations or may require Departmental elements or contractor organizations to provide specific capabilities, training, and/or information in exchange for assistance from offsite organizations. Copies of supporting MAAs/MOAs/MOUs between Departmental entities and Tribal, State, and local governments or response organizations should be maintained as an appendix to the emergency plan. If the potential release of phone numbers and radio call information is of concern, a table listing just the MOAs/MAAs/MOUs with renewal dates can be included in the emergency plan. 1.7 Document Control The volume of information and documents that support and define an emergency management program, together with supporting technical information and reports, represents a significant challenge to emergency management program administration. A reliable document control system for document review, approval, distribution, and change control should be established, where none exists, or emergency management documents should be controlled under an existing site-wide document control system. The following list represents some of the documents that should be managed under a document control system:

• Technical Supporting Information (e.g., diagrams, illustrations, maps, reference documents, and technical documents, such as risk assessments and Material Safety Data Sheets) • Emergency Management Documents (e.g., facility/site Hazards Surveys and/or EPHAs, Plans and Procedures, Emergency Planning Zone (EPZ) documentation, all MOU, MOA, MAA, and all other documents required by Orders or other applicable laws or regulations) • Auditable Program Records (e.g., complete training and drill records; exercise records, including participation and evaluation reports; program assessment and evaluation reports; and records resulting from actual emergencies; corrective actions and associated closure verification/validation records) The program administrator(s) must determine the appropriate controls to be placed on each document, based on the need for review, approval, distribution, and change control. No specific document control system is required, but the system should “meet industry 1-16 DOE G 151.1-3 7-11-07 standards.” It also includes ensuring the availability of vital records essential for the continued functioning, operation, or reconstitution of a site organization/activity during or after an emergency [e.g., continuity of operations (COOP)]. DOE/NNSA encourages the program administrator(s) to make maximal use of technological tools, such as the Internet, to increase document and information availability. However, the availability of sensitive, unclassified [e.g., Official Use Only (OUO)] facility/site documents containing information that could be exploited by malevolent interests (e.g., EPHAs, facility/site diagrams and maps) must be secured following DOE/NNSA guidelines. The program administrator(s) ensures that adequate documentation of all technical data which supports the emergency management program is maintained, kept current using both hard copy and electronic media where possible, and shared with those who require access to it. The program administrator(s) should ensure that up-to-date and controlled, if appropriate, copies are maintained, information is properly distributed and/or made available or accessible, documents are updated when needed or required, and required supporting information is maintained. This enables the emergency management program administrator(s) to ensure that changes and updates are distributed to all organizations using and/or maintaining these documents. Copies of such documents maintained on electronic media should be read-only, access-controlled; the specific procedures used to address access to these electronic media files should be determined by the respective facility and/or site. At the same time, the emergency management program administrator(s) must ensure that Federal and Departmental security regulations and guidance associated with sharing such information and documents are being met and/or complied with. 1.8 Classified/Sensitive Information If classified and/or sensitive information or materials are being used or generated at/by a facility or site, the emergency management program administrator(s) is responsible for ensuring that required security procedures and controls are incorporated at the appropriate facility and/or site levels. This also includes ensuring that required security reviews are conducted, documented, and lessons learned implemented. The administrator also ensures that a Derivative Classifier (DC) or an Unclassified Controlled Nuclear Information (UCNI) reviewing official reviews emergency management documents [e.g., plans and procedures, Hazards Surveys/EPHAs (especially location and quantity of nuclear materials and malevolent event scenarios), and supporting program documentation].

DOE G 151.1-3 A-1 7-11-07 APPENDIX A. Standard Format and Content of Emergency Plans for Hazardous Material Programs A.1 Introduction Emergency management programs for each DOE/NNSA facility/site and activity are documented in an emergency plan. The plan describes provisions for response to Operational Emergencies and activities for maintaining the emergency management program. The recommended emergency plan format and content for Operational Emergency Hazardous Material Programs is provided in this chapter. The requirements for Base Programs and Hazardous Material Programs should be seamlessly integrated into one Emergency Plan for the facility or site with hazardous materials that require a more substantial level of planning and response capabilities. Section A.2 addresses the format and content of the Hazardous Material Program emergency plan. A.2 Emergency Plan This section provides a candidate format and associated content for the Hazardous Material Program Emergency Plan. Figure A-1 contains a recommended format for the emergency plan. Specific content for each section in the plan follows. EXECUTIVE SUMMARY Summarize the Emergency Plan by briefly stating its purpose and a description of what is included in each chapter. TABLE OF CONTENTS See Figure A-1. A-2 DOE G 151.1-3 7-11-07 EXECUTIVE SUMMARY TABLE OF CONTENTS 1. INTRODUCTION 1.1 Purpose of Emergency Plan 1.2 Scope 1.3 Concept of Operation 1.4 Site Description 2. EMERGENCY RESPONSE ORGANIZATION (INTERNAL) 2.1 Organization Structure 2.2 Emergency Direction and Control 2.3 Emergency Management Operations 3. OFFSITE RESPONSE INTERFACES 3.1 Overview 3.2 Other Federal Agencies 3.3 Tribal Organizations 3.4 State Government 3.5 Local Organizations 3.6 Private Organizations 3.7 Mutual Aid Agreements (MAAs), Memoranda of Agreement (MOAs), and Memoranda of Understanding (MOUs) 3.8 Offsite Medical Facilities 4. EMERGENCY FACILITIES AND EQUIPMENT 4.1 Emergency Facilities 4.2 Emergency Equipment 5. EMERGENCY CATEGORIZATION AND CLASSIFICATION 5.1 Definitions 5.2 Criteria for Operational Emergencies Not Requiring Classification 5.3 Emergency Action Levels (EALs) 6. NOTIFICATIONS AND COMMUNICATIONS 6.1 Notifications 6.2 Communications 7. CONSEQUENCE ASSESSMENT 7.1 Consequence Determination 7.2 Coordination 8. PROTECTIVE ACTIONS AND REENTRY 8.1 Protective Action Criteria (PACs) 8.2 Records 8.3 Protective Actions 8.4 Reentry 8.5 Emergency Planning Zones (EPZs) 8.6 Communication 8.7 Termination of Protective Actions 8.8 Shutdown of Operations Figure A-1. Recommended Format for Operational Emergency Hazardous Material Program Emergency Plan DOE G 151.1-3 A-3 7-11-07 9. EMERGENCY MEDICAL SUPPORT 9.1 System 9.2 Staff 9.3 Equipment 9.4 Transportation and Evacuation 9.5 Communications 10. TERMINATION, AND RECOVERY 10.1 Emergency Termination 10.2 Recovery 11. EMERGENCY PUBLIC INFORMATION 11.1 Public Information Organization 11.2 Public Information Facilities 11.3 Public Education 11.4 Public Inquiries 11.5 Security 11.6 Field and Headquarters Coordination 12. PROGRAM ADMINISTRATION 12.1 Emergency Management Program Administrator 12.2 Document Control 13. TRAINING AND DRILLS 13.1 Courses 13.2 Training, Certification, and Proficiency Requirements 13.3 Examinations 13.4 Record Keeping 13.5 Offsite Personnel 13.6 Offsite Training Support 13.7 Offsite Personnel Training 13.8 Instructor Training and Qualification 13.9 Drills 14. EXERCISES 14.1 Exercises 14.2 Offsite Coordination

15. READINESS ASSURANCE 15.1 Self-Assessment 15.2 Corrective Action Program 15.3 Lessons-Learned Program Appendixes List of Figures List of Tables List of Acronyms List of Definitions Agreements Maps Listing of Emergency Management Personnel References Figure A-1. Recommended Format for Operational Emergency Hazardous Material Program Emergency Plan (cont’d) A-4 DOE G 151.1-3 7-11-07 1. INTRODUCTION 1.1 Purpose of Emergency Plan State that the purpose of this Emergency Plan is to provide the Departmental community with an effective and efficient emergency management operation that will provide acceptable levels of protection. For example, the Emergency Plan provides an efficient and effective response operation that, should an emergency occur, will protect the health and safety of workers, responders, the public, and the environment. Identify the Departmental Orders and legislation that require this plan and that this Emergency Plan satisfies. Describe the operational use of the Emergency Plan and Emergency Plan Implementing Procedures (EPIPs). 1.1.1 Update of Emergency Plan State the process and time table for Emergency Plan updates, including required periodic updates and updates made necessary by changes in emergency planning or facility operations and/or hazards. 1.1.2 Distribution of Copies Identify which organizations, Departmental and non-Departmental, are to receive copies of the Emergency Plan. 1.2 Scope Identify the types of emergencies, per DOE O 151.1C, to which this Emergency Plan applies and does not apply. (Emergency Plans generally are for Operational Emergencies and not Energy or Emergency Assistance emergencies.) Identify the boundaries and define the site to which this Emergency Plan applies (i.e., site emergency plan versus building or facility Emergency Plan). 1.3 Concept of Operations Describe the concept on which site-wide emergency planning is based. Identify the documents, reports, surveys, and assessments used to develop this Emergency Plan, or refer to where this information can be found in the Emergency Plan. 1.4 Site Description 1.4.1 Overview Site Description Identify the overall function and mission of the site. Broadly describe the site and the buildings and facilities within the site. Use maps and other graphics/diagrams as appropriate to describe the site. Do not use classified information. DOE G 151.1-3 A-5 7-11-07 1.4.1.1 Detailed Facility Description In detail, describe the specific facilities that, by the nature of the hazards present on those facilities, could cause an emergency to be declared. Do not use classified information in the facility description. Identify the maximum number of employees in each facility described. Provide facility floor plans where appropriate. 1.4.1.2 Hazard Survey and Hazards Assessment A Hazards Survey shall be used by the site, facility, or activity Emergency Manager to identify the planning requirements addressed in the Operational Emergency Base Program. A Departmental site, facility or activity may then be required to establish and maintain a quantitative Emergency Planning Hazards Assessment (EPHA). The quantitative EPHA analyzes hazards significant enough to warrant consideration in a facility/site or activity Operational Emergency Hazardous Material Program. Include or summarize the results of the Hazards Survey. Describe known hazards originating outside the Departmental facility that could impact the health and safety of onsite personnel or other Departmental interests.

List and/or summarize the significant radiological and non-radiological hazards present. Describe the system for updating the EPHA. The EPHA may be included as a separate appendix, if desired or necessary for completeness. Identify technical supporting documents that describe the methodology and information of EPHAs used as the bases for emergency planning. Describe the hazards associated with leased facilities (if applicable). 1.4.1.3 Contractors Identify the major contractors and their contractual commitments and responsibilities. 1.4.1.4 Leased Facilities on Site (if applicable) Identify facilities onsite that are leased to others, including contractual arrangements and agreements. Identify emergency management agreements and interfaces with the site emergency management program. 1.4.2 Physical Attributes of the Site 1.4.2.1 Geography Identify the state, county, and any other appropriate local subdivision in which the site is located. Discuss the site location with respect to prominent natural and man-made features such as rivers, lakes, or dams. Describe land use of A-6 DOE G 151.1-3 7-11-07 surrounding area. Discuss any groundwater features. Identify other vital features, such as fault lines or flood plains. 1.4.2.2 Topography and Geology Briefly describe the terrain of the site and the surrounding area, including ground cover and elevations. Describe the geology of the site and the surrounding area, particularly as it relates to possible seismic activity. 1.4.2.3 Population Distribution Describe the surrounding area (offsite) population, including population density. Provide maps identifying potentially affected onsite population groupings and, based on the most recent census information available, offsite populations to distances of 10 and 50 miles from the site boundary. Discuss projected population growth or change trends and the basis for these projections. 1.4.2.4 Meteorology Briefly describe the general climate of the region, including types of air masses, synoptic features (high- and low-pressure systems and frontal systems), general airflow patterns, temperature and humidity, precipitation, and relationships between synoptic-scale atmospheric processes and local meteorological conditions. 1.4.2.5 Natural Phenomena Describe seasonal and annual frequencies of severe weather phenomena, including hurricanes, tornadoes, and waterspouts, thunderstorms, lightning, hail, severe drought, and high air pollution potential. Describe the potential for earthquakes and floods. 1.4.2.6 Transportation System Describe major public and private transportation systems used by employees and the surrounding public. This includes waterways, airports, rail systems; major highways located on, through, and near the site and major local access routes. Describe any transportation systems operated within the site. Describe any transportation interfaces required for site evacuations. 1.4.2.7 Utility System Describe the public and private utility systems used by the site that would be affected by an actual emergency or declaration of an emergency. Describe how the utilities would be affected and the effect on the surrounding population. Identify and describe any back-up utility systems present and the plan for their use. DOE G 151.1-3 A-7 7-11-07 2. EMERGENCY RESPONSE ORGANIZATION (INTERNAL) 2.1 Organization Structure

Generally describe the overall organizational structure of the site and describe in detail the emergency response organization, including its relationship to the overall structure. Figures, diagrams, and organization charts may be used to show lines of authority between the various government officials, the emergency manager, and heads of various departments. Specifically delineate the functions, authorities, and responsibilities of all internal organizational elements with emergency responsibilities. Outline the relationship of all emergency organizations to each other, with Departmental (field and Headquarters) and other Federal, Tribal, state, and local organizations. List all committees with emergency management or emergency planning roles and responsibilities. Describe the purpose and make-up of each committee. Include both onsite and offsite committees in which employees serve either as a working member, a participant, or an observer. List the members, the authority and responsibility of each committee, and the authority and position of each member. Identify the meeting frequency and any other pertinent details to describe the committee. 2.2 Emergency Direction and Control Delineate the site chain of command in the event of an emergency. Discuss the organizational structure, authorities and responsibilities, and roles played by each position. Include an organization chart specifying, at a minimum, the positions responsible for emergency direction and control, both during routine operations and emergency conditions. Identify the succession of authority for emergency positions. 2.3 Emergency Management Operations Describe the actions and activity for the following: • Declaration of an Operational Emergency • Activation of the command center or Emergency Operations Center (EOC) • Emergency response • Reentry • Emergency termination The actions describing the activation of the command center or EOC include the time required for staffing (during both normal duty hours and non-duty hours) and the minimum positions required for activation. Note that this section is not intended to include detailed emergency procedures, which are contained in separate implementing procedures. Describe each position's emergency management responsibilities, its place in the overall organization, and the authority and responsibility of each position. A-8 DOE G 151.1-3 7-11-07 3. OFFSITE RESPONSE INTERFACES 3.1 Overview Provide an overview of relationships, both formal and informal, with offsite organizations, including other Departmental elements and other Federal government, Tribal, state, and local organizations with emergency management or emergency planning responsibilities. MAAs, MOAs, and MOUs should be described in this section. 3.2 Other Federal Agencies Describe agreements with other Federal agencies, specifying the role of the agency, potential response, regulatory control, and notification chain required. Discuss the relationship of the organization in the activation of the National Response Plan (NRP) and its role in the National Incident Management System (NIMS). Examples of Federal agencies that may be involved in a Departmental response are as follows: • Department of Defense • Defense Threat Reduction Agency • Department of Homeland Security • U.S. Forest Service • Federal Bureau of Investigation • Federal Aviation Administration • U.S. Coast Guard • U.S. Environmental Protection Agency • Nuclear Regulatory Commission • National Oceanic and Atmospheric Administration

3.3 Tribal Organizations Describe the roles of Tribal organizations with emergency response or regulatory control responsibilities relevant to Departmental facilities and/or sites. Summarize primary and secondary support roles. Describe Tribal emergency plans or procedures that affect the Departmental facility or program. Specify the nature of any MAAs, MOAs, or MOUs with the local tribal organizations. 3.4 State Government Describe the roles of state organizations with emergency response or regulatory control responsibilities relevant to Departmental facilities and/or sites. Summarize primary and secondary support roles. Describe emergency plans or procedures with impact upon the Departmental facility or program. Specify the nature of any MAAs, MOAs, or MOUs with the State. DOE G 151.1-3 A-9 7-11-07 3.5 Local Organizations Describe the roles of local organizations with emergency response or regulatory control duties as they pertain to Departmental facilities and/or sites. Summarize primary and secondary support roles. Describe local emergency plans or procedures that affect the Departmental facility or program. Specify the nature of any MAAs, MOAs, or MOUs with the local authorities. 3.6 Private Organizations Describe the roles of private organizations with emergency response responsibilities relevant to Departmental facilities and/or sites. Summarize primary and secondary support roles. Describe private emergency plans or procedures that affect the Departmental facility or program. Specify the nature of any MOAs or MOUs with the local private organizations. Describe any contractual arrangements and annual funding obligations in order to maintain the desired level of emergency preparedness. 3.7 MAAs, MOAs, and MOUs List all MAAs, MOAs, and MOUs with offsite organizations. Include in the list the parties to the agreement, points of contact, the date of the agreement, and the expiration date of the agreement. Identify all organization(s) responsible for negotiating, executing, and maintaining agreements. Specify where documents are on file, and include copies of the unclassified MAAs, MOAs, and MOUs in an appendix to this Emergency Plan. List all classified MAAs, MOAs, and MOUs, identify unclassified points of contact, and state where the agreement can be viewed. 3.8 Offsite Medical Facilities Discuss capabilities of local medical centers to support mass casualties and contamination events. 4. EMERGENCY FACILITIES AND EQUIPMENT 4.1 Emergency Facilities List and provide a brief description of the following facilities. Distinguish between dedicated and non-dedicated facilities. Maps and floor plans of facilities should be included when a complete description of the facility will be useful in a response. 4.1.1 EOC or Command Center 4.1.2 Alternate or Secondary EOC 4.1.3 Emergency Response Facilities A-10 DOE G 151.1-3 7-11-07 4.1.4 Technical Support Center 4.1.5 Primary and Alternate Onsite JIC 4.1.6 Offsite Communications Center 4.1.7 Decontamination Facilities 4.1.8 Medical Facilities 4.1.9 Security Control Centers 4.2 Emergency Equipment List and describe the equipment likely to be used for responding to emergencies. Include in the list: equipment capability and limitations, quantity of equipment, locations (both fixed and portable equipment), consumables, maintenance requirements, certification requirements, expiration dates, and computer/communications compatibilities. 4.2.1 Communications Equipment

4.2.2 Heavy Construction Equipment 4.2.3 Decontamination Equipment 4.2.4 Alarm Equipment 4.2.5 Rescue Team Equipment 4.2.6 Sanitation and Survival Equipment 4.2.7 Transportation Equipment 4.2.8 Personnel Protection Equipment 4.2.9 Gas and Liquid Monitoring Equipment 4.2.10 Damage Control Equipment 4.2.11 Fire Fighting Equipment 4.2.12 Emergency Power Equipment 4.2.13 Logistics Support Equipment (maps, plans, etc.) DOE G 151.1-3 A-11 7-11-07 5. EMERGENCY CATEGORIZATION AND CLASSIFICATIONS 5.1 Definitions State the definitions of Operational Emergencies and emergency classes per DOE O 151.1C. In the interest of consistency, the definitions as provided in the Departmental Orders can be repeated. 5.2 Criteria for Operational Emergencies Not Requiring Classification State the criteria used to define an emergency. Briefly describe the methodologies used to develop criteria and reference specific technical supporting documents. 5.3 Emergency Action Levels (EALs) Identify the EALs used to define an emergency. Briefly describe the methodologies used to develop EALs and reference technical supporting documents. The EALs should be described for all potential emergencies at the facility or site, including radiological, non-radiological, terrorism, sabotage, fire, explosion, security, and natural phenomena. Describe the criteria for each classification of emergency at the facility or site. Identify personnel (positions) responsible for determining the classification and action level. Discuss the level of emergency staffing required at each level. Describe how the EALs are incorporated into and integrated with the facility procedures that govern response to alarms and/or abnormal events. Identify where the complete EALs are kept on file. 6. NOTIFICATIONS AND COMMUNICATIONS 6.1 Notifications Discuss the required and proceduralized notification process for onsite and offsite notifications for all operational emergencies. Specify time limits in which notifications are required, and the authority for the time limit. Identify personnel (positions) responsible for both initiating and receiving notifications. Discuss the method of notification (e.g., beepers, telephone). Discuss notification procedure for termination of an incident. Discuss the procedure variance for classified notifications. Include copies of all notification record forms, particularly those forms used in response to DOE O 231.1A and its successors. 6.1.1 Offsite Notifications Identify the applicable requirements for notification and communication with appropriate offsite agencies and organizations, including, at a minimum, Tribal government; state government; local government; local fire, police, and medical organizations; private organizations; contractor organizations; other Federal A-12 DOE G 151.1-3 7-11-07 agencies; and any organization for which an agreement of notification has been signed. 6.1.2 Onsite Notifications Identify personnel (positions) required to be notified for any emergency, specifying any differences for day shift or night shift. Discuss, if appropriate, the Duty Officer Program and specific responsibilities. 6.1.3 Departmental Radiological Emergency Response Assets Identify the notification procedure for requesting Departmental radiological emergency response assets, and the specific circumstances under which notification is permitted or required. 6.1.4 Field EOC and Headquarters Operations Center Notifications

Identify the circumstances under which the operations/field/site EOCs and/or the Headquarters Operations Center are notified of an emergency and describe the procedures for notification, including the responsible personnel. 6.2 Communications Describe the communications systems and equipment employed by emergency personnel at the site or any specific facility for any notifications, sirens, or warnings to the public, including a description of primary and alternate systems. Discuss communications interface with offsite organizations; describe the integration of the site’s communications with offsite response resources, such as the police, fire and offsite EROs. Identify what portions of the system are dedicated to the Emergency Management System. Describe the equipment, back-up equipment, readiness assurance, and testing procedures. Describe the troubleshooting system for ensuring that problems noted during tests and drills are identified, tracked, and resolved. Reference to any listing of communication equipment in the Emergency Equipment chapter is acceptable. Describe the procedures and plans for communicating classified information. 7. CONSEQUENCE ASSESSMENT 7.1 Consequence Determination Describe the procedure(s) used to determine the potential consequences based on the results of hazard assessments and input from all other pertinent areas, such as intelligence and meteorological information. Describe the methodologies used for consequence assessment and reference technical supporting documentation. DOE G 151.1-3 A-13 7-11-07 Describe the expected utilization of the National Atmospheric Release Advisory Center (NARAC) capabilities during a response. Describe the procedures for continually (and in real time, where appropriate) monitoring an emergency or a continuing situation to update the consequence assessment. Describe the processes for initiating and performing field monitoring for both radiological and chemical releases. When appropriate, include a discussion of any special circumstances associated with coordination and execution of offsite field monitoring. 7.2 Coordination Describe the procedure to coordinate with other Federal, Tribal, State, and local organizations information necessary to make accurate and timely consequence determinations. 8. PROTECTIVE ACTIONS AND REENTRY Identify the purpose and intended use of protective actions. Describe protective actions used at the facility/site or activity and under what circumstances they are implemented. 8.1 Protective Action Criteria (PACs) 8.1.1 Radiological PACs. List and summarize existing radiological Protective Action Guides (PAGs). Reference applicable supporting technical documentation. 8.1.2 Chemical PACs. List the AEGL/ERPG/TEEL used for chemicals involved in potential Operational Emergencies. Reference applicable supporting technical documentation. 8.2 Records Describe the procedures and the responsible organization tasked with maintaining an accurate log of the events of the emergency, including all follow-up health and hygiene surveys. Describe the coordination procedures with medical personnel and facilities. Identify the length of time and method of storing the records. 8.3 Protective Actions Present the assumptions for the development of protective actions for both offsite and onsite populations. Discuss what constitutes potential protective actions at the site, such as sheltering-in-place, monitoring activities, and accounting of personnel. Discuss the process for implementing the protective actions. Discuss the procedures for ensuring that the protective actions are timely, communicated, safe, and complete. Identify the notification process and responsibilities.

Describe the considerations used to determine whether shelter-in-place or evacuation is appropriate. Identify the notification process and responsibilities. A-14 DOE G 151.1-3 7-11-07 Discuss conditions requiring shelter-in-place. Discuss the method(s) for implementing shelter-in-place and for accounting for personnel. Identify the location of shelters. Discuss conditions requiring evacuation (full or partial). Identify onsite evacuation routes and include maps. Discuss the method for collecting and housing the evacuated individuals. Describe access control procedures for evacuated areas. Discuss the method and procedures for accountability of onsite personnel and visitors. 8.4 Reentry Describe the plan and criteria for reentry at each facility, where applicable, for the entire site, and identify all reentry plans. Identify and discuss, where appropriate, the criteria for reentering areas under emergency conditions or which had restricted access during the emergency. Describe the procedure used to assess damage and/or contamination. Identify personnel who develop, approve, or implement reentry and indicate their relationship to the emergency organization. The reentry plan shall also include: methods for protection of workers from hazardous exposure, exposure guides for rescue personnel, facility accessibility, security considerations, access to protective clothing and equipment, availability of medical assistance, and debriefing procedures. Provide references to technical supporting documentation if applicable. Note that some activities of reentry may be relevant to recovery. 8.5 Emergency Planning Zones (EPZs) Describe the procedures and/or the predetermined emergency planning zones in determining potentially affected areas. Use maps, as appropriate, for an accurate and complete description. Identify the persons (positions) responsible for determining and recommending protective actions for the public within the plume exposure EPZ and receiving protective action recommendations from the site. Specify the evacuation routes to be used in an emergency. Discuss sheltering and evacuation plans for the EPZ. Define the size of the plume EPZ limit, specifically noting what portions of the EPZs fall onsite and offsite. Describe the exposure pathways. Describe conditions, procedures, and authorities for evacuation of local populations. Describe the ingestion pathway planning zone. Identify the persons (positions) responsible for determining and recommending protective actions for the public within the ingestion pathway planning zone. 8.6 Communication Describe the communications to notify other Federal, Tribal, State, local, and private organizations of necessary actions required for their protection or for DOE G 151.1-3 A-15 7-11-07 which they are responsible for informing the public or otherwise need to take action. Define and list, if necessary, sources of information used by Federal, Tribal, State, and local organizations in further determining their course of action. 8.7 Termination of Protective Actions Describe how protective actions are lifted or modified, the authorities for removal of protective actions, how this information is communicated, both onsite and offsite, and how the activity is accomplished. Describe any post-emergency communications or follow-up actions. 8.8 Shutdown of Operations Describe the system to ensure safe shutdown of facility and/or site operations following the declaration of an emergency.

9. EMERGENCY MEDICAL SUPPORT Describe the medical capabilities available onsite and offsite to respond to an emergency. 9.1 System Describe the onsite medical care organization responsible for medical care for managing injured and/or contaminated personnel. Describe the onsite medical care capabilities and facilities. Discuss roles, responsibilities, and procedures for treatment of radiological and chemical exposures (e.g., radiological prophylaxis). Describe the provisions in place to ensure coordination among onsite medical, industrial hygiene, health physics, environmental response, security, and management personnel during emergencies. 9.2 Staff Identify the lead medical emergency director. Describe the staff available both permanently and on call, outlining qualifications and training required. Identify the minimum requirements for offsite medical assistance including contractual arrangements and offsite staff training requirements. 9.3 Equipment Describe the health services available onsite and offsite for response to emergencies. Describe the equipment available for extrication, rescue, and transport of injured personnel. Describe the onsite facilities and equipment for decontamination of injured personnel. Describe the equipment available for bioassay and whole body counting. Identify the types of medical supplies maintained onsite and any special equipment maintained offsite for emergencies. Describe how the quality and quantity of these supplies are determined, maintained, and ensured. A-16 DOE G 151.1-3 7-11-07 9.4 Transportation and Evacuation Describe the transportation and evacuation capabilities, equipment, and process for moving contaminated and uncontaminated casualties. Identify person/positions with responsibility and authority for evacuation of injured or ill personnel. 9.5 Communications Describe the communications procedures in place for emergencies. Identify the persons/positions responsible for notifying emergency medical teams, security, administration, offsite hospital and offsite emergency services. 10. EMERGENCY PUBLIC INFORMATION Describe the program to provide information concerning the emergency to the media and the general public, including information release approval. Identify the recommended time requirements for information release. 10.1 Emergency Public Information (EPI) Organization Describe the organization, including the relationship to the overall emergency organization, which will be used to disseminate information to the media and the general public. Identify the personnel within the Public Information Office who are authorized to release information (e.g., to employees and their families, media, and the public), including the designated spokesperson. 10.2 Public Information Facilities Describe the facilities and communications equipment used to disseminate information to the public. Include meeting rooms, press areas, and communications facilities. Describe the function and staffing of the Joint Information Center (JIC). Discuss the coordination roles at the JIC (both onsite and offsite). 10.3 Public Education Describe the public education program and methodology for informing workers and the public of potential hazards at DOE/NNSA sites and providing information on emergency plans and protective actions before and during emergencies as well as how they will be notified of the protective actions, including recommended evacuation routes and sheltering.

10.4 Public Inquiries Describe the plan to respond to public and worker inquiries, including rumor control. DOE G 151.1-3 A-17 7-11-07 10.5 Security Describe the plan to ensure that security is not being compromised with the release of sensitive or classified information to the public. 10.6 Field and Headquarters Coordination Describe the plan to coordinate with the operations/field/site office and Headquarters on the release of information to the public. 11. TERMINATION AND RECOVERY Describe the plan and criteria for declaring the emergency condition terminated and transitioning to recovery at each facility, where applicable, and for the entire site, and identify all termination and recovery plans. The plan includes termination authority and responsibility and recovery criteria for protection of workers and the general public from hazardous exposure, exposure guides for recovery personnel, facility accessibility, security considerations, access to protective clothing and equipment, availability of medical assistance, and requirements for establishing the recovery organization. Provide references to technical supporting documentation if applicable. 11.1 Emergency Termination Describe the procedures for terminating the state of emergency, including the personnel responsible for decision-making and their relationship to the overall emergency organization described in Chapter 2 of the emergency plan. Address the special circumstances of an error in initial categorization that necessitate an emergency downgrade. Describe the conditions or identify the document under which the emergency may be terminated and initiation of recovery activities may occur. 11.2 Recovery Describe the recovery (transition) process from an emergency condition to the restoration of a safe, pre-emergency environment. Discuss the plan to restore vital systems, such as power, water, and communications. Include a discussion of the areas that must be verified for safety, such as fire hazards, toxic gas, and radiation. Describe the measures taken to ensure that security procedures are maintained. Describe the continued recovery (transition) process from a safe environment to the pre-emergency conditions. Describe the recovery organization and the authority and responsibility of the chain of command that restores pre-emergency conditions. Describe how this organization may differ from the emergency organization described in Chapter 2. Describe the plan, either here or in Chapter 10, to notify the media and the public about the conditions of emergency recovery. A-18 DOE G 151.1-3 7-11-07 12. PROGRAM ADMINISTRATION 12.1 Emergency Management Program Administrator Provide the name, position, mailing address, and telephone number of the Emergency Management Program Administrator at the facility and/or site level. (This information should also be provided in the appendix that lists the emergency management personnel.) Indicate, where appropriate, whether the Emergency Management Program Administrator has been given emergency management responsibility through delegation of authority. 12.2 Document Control Identify the procedure used to control dissemination of or access to the facility or site Emergency Plan and to assure its annual review and update. 13. TRAINING AND DRILLS Describe the goals and objectives of the facility and/or site training and drills program. Describe the overall approach to the design of the training and drill program, including training analysis methodology, overall curriculum design, and qualifications.

13.1 Courses List the available courses for emergency response planning, preparedness, and analysis, including title, length of course, target audience, a brief summary, and the periodicity or schedule. 13.2 Training, Certification, and/or Proficiency Requirements Describe courses given to emergency management personnel. Identify training, certification, and/or proficiency requirements for key emergency management positions and response teams. Identify periodicity of courses and employee requirement for training and retraining or refresher training. 13.3 Examinations Describe the examinations, if any, required for emergency response organization personnel qualification and/or certification and for documenting individual and team proficiency. 13.4 Record Keeping Describe the system of record keeping for verifying that training and proficiency requirements are met. DOE G 151.1-3 A-19 7-11-07 13.5 Training for Onsite Public Describe the system of training available to and required for visitors, vendors, and subcontractors. 13.6 Offsite Training Support Describe the available offsite training resources available to onsite emergency response organization personnel, which can substitute for or complement existing onsite training courses and/or meet training, certification, and/or proficiency requirements. 13.7 Offsite Personnel Training Describe the in-house training available to offsite organizations in order to support their abilities to participate in site emergency response actions. Describe training available, if any, for the general public. Describe procedures for documenting attendance of offsite personnel at training. 13.8 Instructor Training and Qualification Describe the plan to provide qualified instructors for the onsite training available to emergency response organization personnel and the required qualifications of such instructors, including training courses for instructors. 13.9 Drills Describe the drill program, per DOE O 151.1C, including the goals, frequency, complexity, and integration of lessons learned into emergency planning. Describe how the drills develop expertise and proficiency in performing emergency activities such as notification, communication, fire control, medical planning, and Hazardous Materials (HAZMAT) response. Describe how drills will be controlled and evaluated, and how lessons learned from drills, improvements, and/or corrective actions, are incorporated into emergency planning. 14. EXERCISES Discuss the intended purpose of the exercise program. 14.1 Exercises Describe the emergency management exercise program and how it conforms to the requirements of DOE O 151.1C and any other applicable Federal, State, and local legislative-based regulation. Describe how exercises will be controlled and evaluated and how lessons learned from exercises (improvements and/or corrective actions) are incorporated into emergency planning. A-20 DOE G 151.1-3 7-11-07 14.2 Offsite Coordination Describe the method of coordination with Headquarters and participating Federal, Tribal, State, local, and private organizations for drill or exercise planning, and the level of participation. 15. READINESS ASSURANCE Describe the procedures for developing a structured readiness assessment program, including program and exercise evaluations (e.g., self-assessments, external evaluations, performance indicators). 15.1 Self-Assessment Describe the site internal assessment program, which requires an internal assessment to be conducted annually.

15.2 Corrective Action Program Describe site validation and verification procedures for Corrective Actions and the tracking system used to monitor Corrective Action Plan schedules and milestones. 15.3 Lessons-Learned Program Describe the program responsible for collecting relevant site-wide and community-wide lessons learned, evaluating them and identifying potential applications, and implementing the lessons learned in site processes and activities. Appendixes List of Figures List of Tables List of Acronyms List of Definitions Agreements Maps Listing of Emergency Management Personnel References DOE G 151.1-3 2-1 7-11-07 2. TRAINING AND DRILLS 2.1 Introduction The purpose of this chapter is to assist DOE and NNSA field elements in complying with the DOE O 151.1C requirement to ensure that a coordinated program of training and drills for developing and/or maintaining specific emergency response capabilities is an integral part of the emergency management program. The program must apply to emergency response personnel and organizations that the facility/site expects to respond to onsite emergencies. The Order further requires that emergency-related information must be available to offsite response organizations. This chapter is designed primarily for facilities/sites and activities that are required to implement an Operational Emergency Hazardous Material Program and is directed at operations and emergency management staff at Field Elements and operating contractor organizations that are responsible for DOE and NNSA facilities/sites and activities. 2.2 General Approach DOE/NNSA emergency management training programs must ensure that personnel are prepared to respond to, manage, mitigate, and recover from emergencies involving hazards associated with facilities and onsite activities. A comprehensive and systematic training program should be established to accomplish emergency management training goals. The training program should provide a current and structured view of program-specific training requirements and also address position- specific requirements for all primary and alternate personnel assigned to the emergency response organization. Minimum program standards should be defined for emergency responder position training, proficiency, performance, and refresher training. The program should be integrated and coordinated with related training programs provided by other site organizations. Training courses should be performance-based and include testing to validate learning. The program should ensure that instructors are qualified in both instructional skills and technical competency for the training subject. Training documentation and records should be formally managed and controlled to ensure that training programs support current emergency plans and requirements and that training records are maintained for instructors and for all personnel assigned Emergency Response Organization (ERO) positions. Drill and exercise participation and performance should be documented for each member of the ERO. Requirements for initial and periodic refresher training should be identified for all emergency response organization personnel. This should include special team training for functional groups with technical and management assignments and training for decision makers to ensure they can perform duties promptly and accurately. Training needs should also be addressed for offsite emergency response personnel and organizations that are expected to support onsite response to emergencies. This includes

2-2 DOE G 151.1-3 7-11-07 training on facility and site-specific hazards and emergency plans and participation in training and drills to ensure integration of onsite and offsite response resources. Emergency drills should be developed, scheduled, and conducted to provide supervised “hands-on” training and validation of classroom training for emergency responders and to provide practical training on interface between site groups that support emergency response. Drills should be developed based upon feedback from actual events and exercise experience, to validate corrective actions from program evaluations, and to validate new or revised procedures and equipment or facility changes. The Department of Homeland Security (DHS) employs a broad definition of “exercise” that focuses on many of the general functions attributed to the training and drills programs [cf. DHS Homeland Security Exercise and Evaluation Program (HSEEP)], as described in this emergency management guidance. For example, the “drill” is considered an “exercise” that can be used for training or testing performance in a single or limited functional area. The broad range of purposes attributed to exercise activities described in the HSEEP series emphasizes the design of exercises to familiarize personnel with plans and procedures, achieve teambuilding, build consensus, examine contingencies, solve problems, evaluate functions, measure resources, and examine interfaces. Although these training aspects of drills are emphasized in DOE guidance, the term is commonly used throughout the DOE/NNSA complex as a small-scale exercise (e.g., facility-level exercise). This chapter of the EMG provides a system-based approach to emergency management training and is organized into the following sections: • Training program management • Training needs assessment for onsite and offsite personnel • Training requirements • Training development • Training delivery • Training drills/practical applications Sites should reference DOE G 414.1-2A for information on training plans, training effectiveness, qualification of personnel, and management responsibility regarding training programs and also reference DOE O 360.1B, Federal Employee Training. 2.3 Training Program Management Effective management of a training program requires a formal training plan be developed that describes program goals and objectives, organizational responsibilities, resources, and planned activities. To accomplish the elements of the program plan, a schedule of development, delivery, and evaluation activities should be developed and updated as needed. Annual internal assessments of training development and implementation identify needed improvements in the program. Trainer/instructor qualifications should be DOE G 151.1-3 2-3 7-11-07 established and updated to reflect changes in instructional techniques as well as relevant technical disciplines. Evaluation of the training staff ensures their appropriate skill levels and the knowledge base. Documentation of training requirements and lesson plan reviews ensure that the course materials meet expectations for the subject positions. Finally, a system for managing emergency responder training records ensures that staff personnel on ERO rosters are trained for the positions assigned. 2.3.1 Program Plan A comprehensive and systematic training program plan includes the following: • A full description of training program goals and objectives, compliance with requirements, and administrative policies and procedures

• Identification of current training needs for all emergency responder positions • Identification of training resources, staff, facilities, and reference material to support training activities • Schedule for training activities, including development, delivery and evaluation of training programs and courses • Description of the process for identifying and documenting training needs for emergency responders • Requirements for ERO qualification and re-qualification, including retraining and remedial training The program plan should also identify administrative processes that support the systematic approach to training. Such processes should be identified for the following elements of training management: • Identifying training program approval and signature authority • Establishing a matrix of training requirements for ERO positions • Identifying methods for selecting qualified instructors and establishing a list of training staff qualified to teach each course or program • Describing how training records are maintained in a manner that can be audited • Describing how refresher training addresses the details of program changes and lessons learned from actual events, exercises, and program evaluations • Describing how the emergency management training program is integrated and coordinated effectively with related training provided by other organizations 2-4 DOE G 151.1-3 7-11-07 (e.g., confined space entry training, radiological monitoring training, and hazard communication training) The training program plan should address training for all primary and alternate personnel assigned to the facility- and site-level ERO. A training program plan typically distinguishes the following levels of training requirements: • Initial training to qualify for a position on the ERO • Refresher training to maintain competency and receive information on changes and lessons learned related to required knowledge and skills • Remedial training to correct deficiencies in performance or testing related to ERO positions • Annual participation in performance-based training methods such as drills, simulations and exercises in order to maintain ongoing proficiency and skills An effective way to illustrate the emergency management organization’s training plan is to use a matrix to list ERO positions and specific training required for each position. The matrix is both an internal tool for tracking positions and training as well as a tool for satisfying external evaluators of the completeness of the program. 2.3.2 Schedule A schedule for developing, delivering, and evaluating training activities should be developed and updated as needed. The schedule should provide a current and structured view of program-specific training requirements, including a detailed list of courses and drills provided by the emergency management department, as well as dates for scheduled implementation. Internal program assessments should be also indicated. 2.3.3 Program Assessments Internal assessments of training development and implementation should be performed once a year as part of the required annual assessment of the overall emergency management program. A process should be identified to ensure that recommendations from training assessments and lessons learned from previous training drills are incorporated into future training development and implementation efforts. Internal assessments should aim to improve training programs, including administration, development and delivery. The site internal corrective actions tracking system provides a convenient tool for ensuring that identified corrections are made to the program.

2.3.4 Trainer/Instructor Qualifications and Evaluations Qualifications. Each training program should develop a list of requirements for qualifying instructors/trainers. These requirements should be reviewed and updated periodically to keep pace with changes in instructional techniques as well as relevant DOE G 151.1-3 2-5 7-11-07 technical disciplines. Two primary qualification areas to be addressed in instructor requirements are as follows: • Instructional skills - These are skills related to the imparting of knowledge, regardless of the subject. Examples include adult learning methodologies, presentation skills, and training in the use of various instructional media, such as video and on-line computer instruction. • Technical knowledge and experience - Adequate understanding of theory, practical knowledge, and experience in the content area are needed. Technical competency is based on instructor credentials, job references, and demonstration of technical expertise. Proficiency in instructing the subject areas should also be evaluated as part of instructor qualification. Examples of areas where technical or subject-specific expertise are necessary include dose assessment, emergency medical and emergency public information. A schedule should be established to ensure continuing education and professional development of emergency management trainers/instructors in their areas of expertise. Evaluations. Management should also conduct internal reviews of the training staff as part of the annual assessment of the training program. These evaluations should demonstrate the following: • The instructor methods are consistent with the site training program standards and are appropriate to the course objectives. • Instruction adheres to the documented lesson plan and evaluation. • Subject-matter knowledge and experience are appropriate for course content. • Instructional presentation styles are appropriate and support course methodology. • Instructor-related feedback/ratings from course evaluation forms are analyzed and documented. • Post-training evaluations of instructors are analyzed and documented. Instructor deficiencies identified during the evaluation should be corrected and documented within a specified period. Input from the evaluation should also be used to improve knowledge, skills, and abilities of the staff. Documentation supporting the staff qualifications should be maintained in a manner that may be audited. Documentation should include the following: • A matrix of staff positions, including requisite education and experience cross- referenced with each training staff member; 2-6 DOE G 151.1-3 7-11-07 • Qualification records; and • Feedback and post-training evaluations 2.3.5 Course Documentation All documentation for a particular training program should be kept in either hard copy or electronic format. Files should be organized by date, iteration, or topic. Course history files should include rosters/attendance sheets, evaluations of knowledge and performance, and lesson plans and tests. • Training Requirements - Training requirements for each emergency response position should be documented and reviewed and updated on an annual basis. This ensures training requirements are still relevant to that position and provides an opportunity to add any new requirements assigned to the position. For example, should hazards change or regulatory requirements for select training change, the organization may need to revise training requirements for some emergency response positions.

• Lesson Plan Reviews - Each site is responsible for maintaining current, documented lesson plans for all site-specific training developed by that site. Lesson plans include course documentation of classroom training, on-the-job training (OJT) programs, practical drill training and computer-based training. Lesson plans should be reviewed prior to their use. This process includes a review by a subject matter expert (SME) to ensure that information contained in lesson plans continues to be consistent with current procedures and practices and remains applicable to DOE emergency management. Lesson plans should be updated prior to use if there have been changes to the emergency plan and related procedures since the last annual review. Updates should include the dated signature of the SME. 2.3.6 Emergency Responder Training Records A system for managing emergency responder training records should include a means for tracking the following: • Course attendance and completion • Status of individual emergency responder qualifications • Scheduled training, including a system for reminding employees and program administrators when training is needed • In-house and external training • Training dates, location, length, and name of the instructor • Participation in emergency drills and exercises DOE G 151.1-3 2-7 7-11-07 Training records should also include all documentation supporting the implementation of training developed by a DOE/NNSA facility/site or activity. Such documents include the following: • Memos relating to scheduled and canceled training or training exemptions • Certificates for training conducted outside of DOE • Course and program evaluations There have been situations in which training received by an individual emergency responder has become an issue during litigation after an accident or emergency. Facilities should seek advice from General Counsel to determine whether to include additional information in the training records. Examples of additional records to maintain may include lesson plans by course iteration, participant evaluations, and any memoranda or documentation regarding remedial training received by an individual. 2.4 Training Needs Assessment 2.4.1 Training for Onsite Emergency Responders Training needs are based on tasks to be performed by an emergency responder, hazards that may be encountered by response personnel, and established requirements and standards for emergency responder training. A systematic process should be used to identify and document performance-based training requirements for emergency responder positions. Training needs are identified initially by reviewing regulatory requirements and existing training programs, and then conducting a needs analysis. In the case of training requirements originating from a regulatory source [i.e., the Occupational Safety and Health Administration (OSHA), National Fire Protection Association (NFPA), DOE Order], a needs analysis may have already been accomplished and included in the regulation. Further in-depth analysis need not be conducted, once applicable requirements have been determined. These requirements should be included and addressed in the design and development phases of the training program. Examples of Federal requirements that specify training for emergency responders are included in Section 2.5.

A needs analysis should ensure that training for individual emergency response positions provides knowledge and skills associated with assigned tasks to be performed. The needs analysis should document the training that the emergency responder receives related to their normal position in the work force that is applicable to their ERO responsibilities. Training topics should reflect specific function, position, and responsibilities consistent with activities associated with the Program Elements of the emergency management program. Training should incorporate lessons learned in emergency planning and response based on site experience, as well as experience from throughout the DOE/NNSA complex, other government agencies, and private industry. Appropriate 2-8 DOE G 151.1-3 7-11-07 topics to be considered for inclusion in emergency management training programs are listed in Section 2.5. Analysis of emergency response training needs should be ongoing. Additional analysis is appropriate when a discrepancy or problem is identified in the performance of an emergency response task and whenever program changes occur. Responsible managers should receive and use information from a variety of sources to ensure that training continues to reflect changes and to address lessons learned. Training requirements may be modified based on changes in hazards, response facilities or equipment, communication systems, site or facility mission or layout, reorganization of the ERO, or revision of procedures or requirements. Training needs may also change based on drill or exercise evaluations, results of independent evaluations, occurrence reports, and industry lessons learned. Tabletop analysis is a recommended method for identifying site-specific training needs. This method utilizes a facilitator to guide a group of subject matter experts through a process of job analysis and selection of tasks to be addressed in training. For personnel who have transferred from another DOE site or for contractor or personnel with experience in a closely related industry, a streamlined and standardized qualification process can be established. The feasibility of streamlining qualifications must be evaluated on a case-by-case basis and documented by proof of experience. Some additional training will usually be required to become familiar with facility-specific hazards and procedures. 2.4.2 Training for Offsite Emergency Responders Training needs should also be identified for offsite emergency responders who may be involved in response to site emergencies. The applicable agreements [i.e., Memorandum of Agreement (MOA) or Memorandum of Understanding (MOU)] should identify the type of training needed. A systematic process should be used to determine which offsite organizations have emergency responders that may require site-specific training. For example: • Facility-specific orientation training on hazards and emergency response procedures, as well as emergency notification and communications should be offered annually to state, tribal and local emergency response organizations. • Private hospitals, medical and ambulance services expected to support onsite response efforts or receive contaminated injured personnel from the site should also receive training on site hazards and protection from those hazards as well as interface and communications with site responders.

• Offers of annual training for all parties in mutual aid agreements should be considered. These same parties should be offered the opportunity to participate in training drills and exercises. (Ref. DHS HSEEP program for specific information on DOE G 151.1-3 2-9 7-11-07 requirements pertaining to emergency exercises for local and state agencies and integration with offsite responders) Training, drills and exercises should aim to achieve team building, consensus building, contingencies examination, problem solving, resources measurement, and interface examination. 2.5 Specific Training Requirements Each site must determine the specific emergency response training requirements that apply to the ERO positions based on specific site hazards, conditions, resources, and emergency plans. Applicable requirements will differ from site to site. For example, for sites that involve mining operations, the Mine Safety and Health Administration (MSHA) regulations for mine rescue training may apply. Differences would result from the situation where a site must maintain an onsite fire brigade vs. a site that depends solely upon offsite agency fire response. The following sections describe specific training requirements derived from applicable regulations, position-specific functions, site characteristics and operations, and details of the emergency management program. 2.5.1 Regulatory Requirements Training personnel should monitor applicable regulations promulgated by OSHA, MSHA, Nuclear Regulator Commission (NRC), Environmental Protection Agency (EPA), NFPA, and DHS. The impact of regulatory changes on training needs can be evaluated using the following questions: • What conditions do the changes address? • Do those conditions exist at this facility/site? • Will changes influence the way our personnel perform their tasks? • What specific effects will this change have on training? • Does the condition require an immediate response? The following are examples of non-DOE Federal and national requirements that specify training for emergency responders: • 29 CFR 1910.156 specifies fire fighter training • 40 CFR 265.37 specifies training for EROs Granted Facility Access and Training for Hospitals Receiving Facility Patients • 40 CFR 112.7 specifies training for Spill Prevention, Control and Countermeasures • 29 CFR 1910.120 specifies training for Hazardous Materials Emergency Response • 29 CFR 1910.38 specifies training for Emergency Action Plan/Evacuation of Employees 2-10 DOE G 151.1-3 7-11-07 • 29 CFR 1910.157 specifies Fire Extinguisher Education • 29 CFR 1910.146 specifies Confined Space Rescue Training • NFPA 472 specifies training for Professional Competence of Responders • NFPA 473 specifies training for Professional Competence of EMS Personnel • NFPA 1500 specifies training for fire department Occupational Safety and Health Programs • NRP and NIMS • DHS HSEEP, Volumes I through IV. • Emergency Operations Training Academy (EOTA) Other Federal or State training requirements may apply for some DOE/NNSA sites. 2.5.2 Site-Specific Training

General training for employee response, including training on protective actions in an emergency is required as part of the Operational Emergency Base Program. This may be included as part of an employer's General Employee Training (GET) Program. Emergency-related information in this training should include emergency awareness, overview of the organization’s emergency response plan, warning systems and alarms, protective action (e.g., evacuation and sheltering), accountability for site workers in the event of an emergency, and first aid. Employees assigned to specific responsibilities for onsite emergency response should receive additional training to address those responsibilities. At a minimum, this includes emergency managers, building wardens who support personnel accountability and protective action procedures (e.g., personnel assigned to close doors and windows and shutdown of ventilation systems), personnel assigned to perform first aid/cardio pulmonary resuscitation (CPR) or use fire extinguishers, emergency spokespersons, and personnel responsible for interface with offsite response organizations that may support onsite emergency response. 2.5.3 First Responder Training Initial and annual refresher training should be provided to workers who are likely to witness emergency conditions involving hazardous materials and who are expected to notify the proper authorities. These workers are expected to attain the applicable training level according to the requirements specified in 29 CFR 1910.120. DOE G 151.1-3 2-11 7-11-07 2.5.4 Offsite Responder Training As discussed in Section 2.4, emergency-related information, instruction concerning notification procedures, and training on site-specific conditions and hazards should be made available to offsite personnel who might be requested to respond to an emergency at the DOE facility/site, as well as hospitals that have agreed to receive patients from facility emergencies. Offsite responders should also have the opportunity to participate in drills conducted to validate procedures and test integration of resources with the facility response organizations. 2.5.5 Training on Change When changes occur involving facilities or sites (e.g., change in mission, facility decommissioning, organization reengineering) or when hazards change, employees and responders should receive training on how these changes apply to them and their responsibilities for emergency response. Annual re-training should address changes; however, training on changes may need to occur prior to scheduled re-training to ensure safe and effective response. 2.5.6 Operational Emergency Hazardous Material Program The Operational Emergency Hazardous Material Program described in DOE O 151.1C requires a coordinated training program consisting of formal training and drills. The program develops and/or maintains specific emergency response capabilities for all personnel and organizations expected to respond to onsite emergencies. This training program should consist of a combination of self-study, homework, formal classroom training, field training focusing on skills, and drills. All personnel (including both the primary and alternates) who constitute the ERO should receive both initial and annual refresher training. Emergency-related training should also be made available to offsite response organizations.

Training should emphasize the need for prompt, accurate, and practical judgments involving event categorization and classification, protective actions and the urgency of notifications of Operational Emergencies. Training should address decision-making when information is incomplete or uncertain and when events and conditions are not covered explicitly by Emergency Action Level (EAL) procedures. The training program should be “commensurate with the hazards” identified in the Emergency Planning Hazards Assessments (EPHAs). Individual training programs should be commensurate with assigned emergency-response responsibilities. Training topics should reflect the trainee’s functional position and responsibilities. Appropriate topics to consider in the training program include: • Hazards assessments • Emergency Management Program Administration 2-12 DOE G 151.1-3 7-11-07 – Management and decision-making • ERO – Incident command – Activation and coordination of response resources – Hazardous materials emergency response – Fire-fighting • Offsite interfaces – Coordination and liaison with offsite response and support organizations • Emergency facilities and equipment operation • Emergency categorization and classification – Decision-making • Notification and communications • Consequence assessment – Dose projection – Field monitoring – Decision-making • Protective Actions and Reentry – Protective actions/protective action recommendations decision-making – Reentry planning – Rescue – Decontamination • Emergency medical support • Emergency public information – Emergency spokesperson skills • Emergency Termination and recovery – Recovery planning DOE G 151.1-3 2-13 7-11-07 2.6 Training Development In this section, development of individual training courses is discussed. The initial step in training course development is establishment of goals and objectives. The method for delivery of the training will depend on the target audience and the goals and objectives of the training. Course materials will be designed to facilitate the learning process and will be consistent with the delivery method selected. A key element of the course development is identification of the method for testing whether students have successfully achieved the specified level of competency in the material presented. Once all aspects of the course have been developed, the training should be evaluated to determine whether it meets expectations. Finally, the special subject of remedial training development is briefly discussed in this section. 2.6.1 Training Goals and Objectives The training or instructional goals for a specific course state the anticipated outcome of instruction. The instructional goal provides a broad statement of what will be accomplished at the conclusion of the lesson or course. Training objectives are measurable statements of intent that specify expected outcomes of each stage of training. They should state clearly what participants would know or be able to demonstrate after training. Course results will be measured against the original goals and objectives set at the beginning of course development. 2.6.2 Training Delivery

Methods of training delivery are an important consideration in the design of each course. Appropriate methods for delivering the specific training depend on the target audience’s composition, location, need, and job complexity. The type of delivery for emergency management training should also be based on learning objectives, learning tasks, and group size. Class size may need to be controlled to maximize instructor/ student interaction. Classroom-style delivery of training may effectively use live classroom, video presentations, computer-based instruction, or self-paced instruction via computer disk and Internet. Most training should combine instructor presentation with student participation and hands-on demonstration and experience. Training demonstrations, role- playing, and practical skills training should be realistic but with due consideration for student and facility safety. ISMS practices should be fully implemented when bringing realism into practical training or drills. To maximize student involvement, classroom training may be augmented with tabletop simulations, hands-on drills, role-playing exercises, group tasks, facilitated group discussions, and assigned reading/reporting. Practical exercises that put knowledge into practice are very effective to help ensure student ability to apply knowledge in the context of realistic hypothetical situations. 2-14 DOE G 151.1-3 7-11-07 2.6.3 Developing Course Materials Course materials are the materials used by instructor and participants to facilitate training. When preparing to develop course materials, first review any existing training materials, regulations, manuals, and industry guidelines for usability. Existing materials should be reviewed against instructional objectives to determine whether they partially or fully meet training requirements. Course materials can include lesson plans/course documentation, training support materials, and participant materials. Lesson Plans/Course Documentation. An instructor uses a lesson plan as the primary training tool for guiding the learning process. Standard lesson plans for classroom instruction promote consistent, effective instructor presentation and may include the following: • Administrative information (name of course, time allotted, target population, instructional method, and approval) • Training goal and objectives • Details about training methodology • Lesson content based on learning objectives • Lesson content sufficiently detailed to ensure consistent and repeatable training • Safety information, as relevant • Training support requirements Training Support Requirements. Training support materials should be selected and/or developed to support and reinforce the learning objectives. For each course documented, identify, develop, and maintain a list of the resources including trainers, technology, equipment, and facilities (classrooms, laboratories, and response facilities) required to support training activities. Training support materials or aids to consider include computers, software, video, models, demonstration equipment, scenarios and classroom exercises. Participant Materials. The purpose of participant materials is to enhance learning and to provide reference materials for participants. Materials might include any of the following: • Student workbook • Job aids such as procedures or equipment operating instructions • Glossary of terms • Checklists used to document action steps

DOE G 151.1-3 2-15 7-11-07 • Copies of viewgraphs used by trainer to illustrate key points • References discussed during training session • Lesson plan outline Participant materials should be marked “For Training Use Only” to ensure that trainees do not confuse them with procedures. 2.6.4 Test Methodology Training and drills should include some form of measurement or demonstration that indicates completion of training objectives and achievement of qualification standards. Tests document the knowledge and skills a participant has gained from training. Written examinations and performance evaluations measure achievement of each instructional objective. Each evaluation item should reference a specific training objective. Emergency drills in particular provide an excellent opportunity to incorporate performance tests of individual emergency responder and response group proficiencies. Instructors who evaluate practical performance tests during drills must have the technical experience and expertise to provide a valid assessment of performance. When constructing a test, the following characteristics and constraints should be considered: • Test length should reasonably reflect the length and complexity of the lesson plan that is delivered. • Multiple test items for each learning objective may more accurately verify that learning has taken place. • Vary test materials or use randomly selected test banks to ensure long-term validity of tests and ensure that test information is not shared and compromised between students. • Performance tests should include checklists addressing each learning objective. • Development of pre-tests and post-tests, and the comparison of results, can help validate that learning has taken place and help verify the effectiveness of the specific training course. • Intermediate evaluation (i.e., measuring progress during the course) can help instructors to verify learning before the training course is complete and may prevent the need for remedial training at the end. • Evaluation of course objectives measures what the participants know or can perform at the end of training. 2-16 DOE G 151.1-3 7-11-07 2.6.5 Course Evaluation Training programs should be evaluated by the training organization for the adequacy of the following: program and lesson content; examinations; presentation; documentation; and, post-training performance. Participants should be encouraged to provide evaluation of course materials and delivery as part of the overall program evaluation process. This evaluation process determines strengths and weaknesses, improves content and delivery, and ensures that revisions are made as appropriate. Development of new courses should include evaluation and validation of the effectiveness of course materials using pilot presentations, peer reviews, and/or review by subject matter experts. 2.6.6 Remedial Training Remedial training is additional training provided to a participant who did not correctly answer the required number of test questions or who was unable to successfully complete a formal training session in the previous iteration. Because remedial training requirements are lesson-specific, they should be prescribed in each lesson plan so they are ready for use in case they are needed. Remedial training focuses on the specific knowledge or skills challenging the participant. Remedial training might consist of additional instruction or training directly related to the training objectives for the portion of the course in which the participant had difficulty. The remedial training is intended to raise the individual’s competency to a level that allows attainment of the knowledge and skills required to successfully complete the lesson or demonstrate the skill proficiency required to perform the job.

2.7 Training Delivery The previous section briefly discussed methods for delivery of training and how the delivery method should be part of the training plan. This section provides specific guidance to training organizations, including instructors responsible for actually delivering training. In preparation for delivery of training, training personnel should confirm that the following are ready for the training session: • Equipment — instructional equipment such as projectors, VCRs, computer hardware, computer software and television monitors • Facilities — classrooms and setup of the classroom, exercise sites, ranges, computer labs, etc. • Course administration — materials, supplies, documentation, such as attendance sheets, certificates, and participant notebooks • Instructor Qualifications/Skills — knowledge of lesson plan content and knowledge of target population’s needs; preparation of lesson plan and participant learning activities DOE G 151.1-3 2-17 7-11-07 The following is practical guidance for instructors to help ensure successful delivery of training: • Adhere to the lesson plan content and presentation method defined in the training design document. • Adhere to all safety measures listed in the lesson plan. • Create an instructional atmosphere that enhances the learning process. • Use effective communication skills to keep students engaged in discussions and activities. • Dress appropriately for the environment and training activities. For example, if the normal dress is business casual or if training will be conducted outside, dress accordingly. • Provide and monitor feedback from participants to ensure active learning. • Ensure that participants accomplish all the objectives during training. • Ensure involvement of all students in training activities, group tasks, discussions, and hands-on learning experiences. • Evaluate participant performance during and at completion of the training session. • Ensure that all required materials are made available to the participant for self- paced training. • Use standardized materials for on-the-job and technology-based training programs. 2.8 Drills Drills are training methods that allow an individual to put knowledge into practice in the context of a scenario-based simulation. The drill provides practical training to enhance preparedness for emergency response personnel and organizations that are expected to respond to onsite emergencies. Qualification requirements for each emergency response position should include annual participation in at least one training drill (or, alternatively, an exercise) during which practical knowledge and skills are demonstrated. Drills are supervised hands-on instruction and application sessions for individuals or teams. These sessions provide an opportunity to demonstrate and maintain individual and organizational proficiency. During drills, the desired skills or actions may or may not be first demonstrated by the instructor(s). These training activities are documented by a plan, which includes a performance checklist used by the instructor or evaluator. The checklist has two purposes: to provide feedback during the training and to summarize overall performance. Because the focus is training, it is often appropriate for 2-18 DOE G 151.1-3 7-11-07 the instructor to stop and correct participant actions during the activity rather than waiting until the end.

Drills should be of sufficient scope, duration, and frequency to ensure adequate training for all emergency response functions applicable to the facility. The size and complexity of any drill will depend on the objectives. Many drills will be functional, focusing on training responders involved in a specific response function. Drills can range from hands-on instruction involving one procedure to a multi-organizational, scenario-driven event. Drills should be as realistic as possible, using realistic scenarios based on hazards surveys and EPHAs as well as actual facility conditions. Conduct of drills requires a skilled and experienced instructor(s) who can present the scenario, control activities of responders, and provide feedback that enhances learning. Within the DOE/NNSA emergency management system, the distinction between a drill and an exercise is reflected in their primary purpose, namely, a drill is oriented toward training and is not a graded evaluation of the response activity. Because the focus of a drill is training, some aspects of drill conduct can be made more flexible than in an exercise. Some emergency response roles may be combined and the instructor/controller may be free to stop and correct the responder actions during the drill. In a small drill, one instructor may plan, conduct and evaluate the performance. Consideration should always be given to the need for safety and security plans when drills are conducted. Any drill that has the potential to affect or might be observed by an offsite population (e.g., activities of a field monitoring team, smoke from a fire drill, etc.) should be planned to avoid public concern or inconvenience. The following represent typical functions/activities for the focus of drills: • Emergency medical team response • Hazardous Material (HAZMAT) response • JIC activation • Dose assessment drill • Field monitoring drill • Emergency notifications/communications with offsite agencies • Protective Force interface with Fire Department Successful implementation of drills involves systematic planning, conduct, and assessment. • Planning for drills should involve the following components: – Performance objectives. Identify the performance, including conditions and standards of performance. The objectives should reference a specific policy, procedure, or training requirement. DOE G 151.1-3 2-19 7-11-07 – Performance checklist. Develop a checklist based on the performance objectives, conditions, and standards of performance. Also, identify how the drill will be conducted in the context of the assessment checklist. – Scenario description. Describe the elements or system being trained through use of the specific scenario. Scenarios may be restricted to specific, limited aspects of the emergency management system. Scenarios should be based on site hazards identified in the Hazards Survey or EPHA. The scenario description should include a detailed description of events and conditions that emergency responders need to deal with and a timeline of events and actions that are expected to take place. – Controls. Describe the controls imposed to ensure the integrity of the drill (e.g., safety plans, security notifications, use of trusted agents, equipment controls, time limitations and coordination with other operational elements). – Resource requirements. Description of resources needed to conduct the drill (e.g., facilities, personnel, and equipment).

– Compensatory measures. Describe the measures to be taken to compensate for any degradation of security or response capabilities during the training. – Documentation and approval process. Identify the approval process for drill plans, the dates on which drills were conducted, and the results/corrective actions identified. – References. Included are lesson plans, DOE Headquarters and site orders/manuals, and site policy documents containing requirements for objectives being tested. • Conduct of a drill requires that the instructor adhere to the Emergency Plan. This ensures that the training provides an accurate and valid representation of the emergency management program. Feedback from the instructor during the training is essential. Guidelines for conduct of a drill include: – Explain the purpose and objectives of the training drill/practical application. – Maintain a calm and professional attitude. – Question to verify the knowledge gained by participants. – When there is a deficiency, stop the drill/application and provide immediate corrective action. – Provide fact-based feedback. – Respect participants’ experience and expertise. 2-20 DOE G 151.1-3 7-11-07 • Assessment requires the instructor to document results of training drills in a formal report. Consider including the following elements: – Description of the drill. Describe the conditions under which the test was performed and specifics of who participated. – Summary of performance. Describe what was observed during the training drill. Include not only positives, but also opportunities for performance improvement. – Results. Analyze data to describe observed performance against the performance standards from the objectives. – Remediation/corrective actions. List and discuss recommendations for emergency response measures that did not meet requirements. Identify the individuals or organizations for corrective actions. If remedial training is required, identify the schedule for conducting the training. Both immediate and long-term solutions should be addressed. Tabletop Activities. Tabletop activities represent a cost-effective type of training drill experience during which emergency responders have an opportunity to interact with other response positions and learn their individual responsibilities, decision-making functions, and communication requirements in the context of these interactions. Tabletops may range from lecture and guided discussion to a detailed verbal simulation of response to a particular scenario. The instructor and/or students verbally walk-down response to a facility-specific scenario to illustrate the overall direction the response is taking and to clarify participant perceptions of their roles. Learning objectives for a tabletop will determine the focus of the activity (e.g., overall coordination versus detailed problem-solving). Because of the inherent flexibility of this approach, trainers are free to structure the training experience creatively, controlling scenario time and trainee activity. However, a tabletop requires significant preparation to ensure that objectives are satisfied. The instructor must be skilled to facilitate and record the training session. A co-instructor or recorder can also be used to note questions and problems to be addressed later through procedure revisions, additional training, or agreements between response groups. If a tabletop involves multiple response groups or a detailed or highly technical scenario, then representatives of the involved groups/ agencies or technical specialists should be involved in the planning of the activity to ensure that scenario details, procedures, and expected response actions are correct.

Typical topics for the focus of tabletop training activities may include: • Coordination and interfaces between the site and offsite agencies • Emergency Operations Center (EOC) management decision-making • Interfaces within the JIC DOE G 151.1-3 2-21 (and 2-22) 7-11-07 • Interfaces between site response groups (e.g., Health Physics, Security, Fire Department) • Hostage negotiations • Emergency categorization/classification DOE G 151.1-3 3-1 7-11-07 3. EXERCISES 3.1 Introduction The purpose of this chapter is to assist DOE and NNSA field elements in complying with the DOE O 151.1C requirement to establish a formal exercise program that validates all elements of a facility/site or activity emergency management program over a 5-year period. The exercise program should validate both facility- and site-level emergency management program elements by initiating a response to simulated, realistic emergency events or conditions in a manner that, as nearly as possible, replicates an integrated emergency response to an actual event. Planning and preparation for exercise conduct should use an effective, structured approach that includes documentation of specific objectives, scope, timelines, injects, controller instructions, and evaluation criteria. Each exercise should be based on a realistic scenario derived from the facility/site or activity Emergency Planning Hazards Assessment (EPHA) and must be conducted, controlled, evaluated, and critiqued effectively and reliably. Lessons learned from the exercise evaluation should be developed to ensure that corrective actions are implemented and improvements are made to the program. Requirements, development, and implementation of an exercise program, including program planning and management, are addressed in this chapter. Guidance is provided on the design and development of an exercise including: scheduling, work planning, determining objectives, and production of an exercise plan. Exercise conduct, control, and evaluation processes are also described. The Department of Homeland Security (DHS) Homeland Security Exercise and Evaluation Program (HSEEP) is a Federal-level exercise program developed by the DHS for State, county and local emergency management programs. The DHS approach addresses not only Homeland Security sponsored exercises, but also those exercises where Federal level agencies may interact with State, county and local emergency management programs. Therefore, to ensure consistency with the DHS approach to exercise development, conduct, and evaluation, common exercise concepts and processes of the HSEEP are incorporated in the guidance presented in this chapter using DHS terminology where applicable. Two generic types of exercises will be defined in this chapter based on HSEEP exercise methodology: discussion-based exercises and operations-based exercises. Although both types can play a significant role in facility/site and activity preparedness activities, the guidance in this chapter will focus primarily on operations-based exercises, which are the subject of emergency management program requirements specified in DOE O 151.1C. An easy-to-use computer-based tool for developing DOE emergency exercises, the Exercise Builder, has been developed by participants in the Emergency Management 3-2 DOE G 151.1-3 7-11-07

Issues Special Interest Group (EMI SIG) Exercises and Drills Subcommittee, under the sponsorship of the DOE/HQ Office of Emergency Management. It makes available generic exercise components such as scenarios, objectives and criteria and provides a PC- based application that can be used to develop exercise packages. End products include exercise scopes, objectives, scenario materials, and evaluator modules. Once exercise packages have been developed, they can be modified for future use. Training is also available for using Exercise Builder. Web-based tutorials are available to prepare emergency management staff to plan and develop exercise/drill objectives and scenario materials. Information for obtaining this training and the Exercise Builder tool can be found on the following website: http://www.orise.orau.gov/emi. This chapter is designed primarily for facilities/sites and activities that are required to implement an Operational Emergency Hazardous Material Program and is directed at operations and emergency management staff at Field Elements and operating contractor organizations that are responsible for DOE and NNSA facilities/sites and activities. 3.2 General Approach Emergency management exercises are formal, evaluated tests and demonstrations of the integrated capabilities of facility/site and activity emergency response resources (i.e., personnel, facilities, and equipment), conducted for the purpose of testing/validating multiple elements of an emergency management program. Exercises include realistic simulations of emergencies and tests of response capabilities, such as command, control, and communication functions and event-scene activities. Exercises can vary significantly in scope, size, and complexity to achieve their respective objectives. A valid test of response capabilities requires a formal and structured approach for planning, developing, and conducting each exercise. Exercise-specific objectives are used to specify the emergency response functions to be tested. Exercise objectives must be well defined and achievable. The set of objectives should effectively define the pre- determined extent of organization/personnel participation and scope (i.e., breadth and depth) of exercise activities to be accomplished or simulated. The scenario must be based on the specific hazards associated with the facility/site or activity that is the focus of the emergency. The scenario must provide the opportunity for participating organizations/personnel to demonstrate each objective in order to evaluate the function or activity. The flow of the scenario timeline and events must be effectively controlled and the response of the participants must be realistic and professional. An effective evaluation and critique process, based on specific evaluation criteria, ensures clear and useful findings are accurately developed and ultimately will lead to lessons learned and corrective actions resulting in an improved emergency management program. General guidance in this chapter is primarily applicable to operations-based exercises throughout the DOE/NNSA complex at all levels of the emergency response organization: facility, site, Cognizant Field Elements, and Headquarters levels for DOE/NNSA Federal and contractor organizations, including the response activities of the Radiological Emergency Response Assets and Transportation Emergency Preparedness DOE G 151.1-3 3-3 7-11-07

Program. This guidance follows the DOE/NNSA commensurate with hazards approach to emergency management. Guidance is provided for facilities/sites and activities with varying types and levels of hazards and with differing organizational structures and complexity. Functional aspects of planning, development, and conduct of exercises are addressed, but not roles and responsibilities of specific organizations or individuals. Requirements, development, and implementation of an emergency management exercise program, including program planning and management, are presented. Guidance is provided on design and development of an exercise including scheduling, work planning, determining objectives, and production of an exercise package. Conduct, control, and the evaluation process for exercises are also described. 3.3 Exercise Program A formal exercise program ensures testing and validation of the elements of a facility/site or activity emergency management program over a 5-year period. The program should provide a continuing series of periodically conducted exercises to evaluate emergency response capabilities and to provide assurances that members of the ERO are prepared to respond promptly, efficiently, and effectively to an actual emergency. The program includes a plan for validating all elements of each program by incorporating specific objectives in exercises over the planning period. The exercise program includes provisions for incorporating specific exercise objectives in each exercise designed to: • Periodically test specific aspects of emergency response • Validate plans/procedures • Validate implemented corrective actions • Test program improvements • Evaluate notifications and communications A formal exercise program should be established and maintained for each DOE/NNSA facility/site or activity to address the following: • Long-range planning and scheduling for future exercises, and short-range planning for the current year’s exercises • Overall planning, preparation, conduct, control, and evaluation of exercises • Development of comprehensive exercise objectives based upon Base Program and Hazardous Material Program requirements from DOE O 151.1C and program-specific EPHAs • Development of exercises commensurate with, and based upon, the facility/site hazards and types of scenarios identified in the EPHAs 3-4 DOE G 151.1-3 7-11-07 • Application of sufficient resources to the exercise program • Roles and responsibilities of all aspects of the exercise development, conduct, and evaluation process are assigned Long- and short-range program planning should include: • A long-range plan to be prepared and maintained as part of the Emergency Readiness Assurance Plan (ERAP). The long-range plan should be developed in concert with the various organizations affected by its provisions. The plan should include the general schedule, scope, and objectives of the exercise over a 5-year period and provide for demonstrating all aspects of the emergency program in a systematic and comprehensive manner. • A short-range plan to address fiscal year planning. It should include the scope, exercise objectives, participants, and schedule for the major tasks and activities associated with the current year’s exercise(s). Planning and scheduling for a specific exercise includes confirming or modifying the planned scope, developing detailed objectives, committing the participants and resources, and identifying and scheduling the various activities.

• Each organization should identify a single individual who is responsible for the exercise program. Depending on the organization’s size and the scope/complexity of the exercise program, these responsibilities may be the primary or collateral duties of the individual. Responsibilities include the authority or capability to commit and coordinate the resources necessary for an effective exercise program. Exercise program functions to be performed by the designated individual should include the following: • Resolving conflicts identified during the exercise scheduling process. • Concurring on the scope and objectives of each exercise. • Coordinating organizational resources for development, conduct, response, and critique of an exercise. • Monitoring potential programmatic impacts from the exercise development process, as well as resolving any specific exercise development difficulties or conflicts. • Coordinating with the training and drill program to ensure that all participants have completed their required fundamental emergency management training (not specific to an exercise) prior to a scheduled exercise. 3.4 Types of Exercises Various types of exercises can be used to test and validate DOE/NNSA facility/site and activity emergency response capabilities. The type used will be based on DOE/NNSA DOE G 151.1-3 3-5 7-11-07 requirements and the identified goals of the exercise, and can include discussion-based and operations-based exercises. 3.4.1 Discussion-Based Exercises Discussion-based exercises are used as a starting point in the building block approach to the cycle, mix, and range of exercises. Discussion-based exercises include seminars, workshops, tabletop exercises (TTXs), and games. These types of exercises highlight existing plans, policies, mutual aid agreements, and procedures. Discussion-based exercises typically focus on strategic, policy-oriented issues and are ideal tools for familiarizing agencies and personnel with current or expected jurisdictional capabilities. Facilitators and/or presenters usually lead the discussion, keeping participants on track while meeting the objectives of the exercise. NOTE: Although referred to as “exercises” in DHS terminology, discussion-based exercises can accomplish evaluation functions similar to several frequently used techniques for conducting DOE emergency management program evaluations. These include emergency plan and procedure reviews, interviews, Limited Scope Performance Tests (LSPT) and tabletop drills (both of which are scenario- based discussions between evaluators and interviewees). Chapter 4, Section 4.5 of DOE G 151.1-3 describes some of these readiness assurance evaluation techniques. A. Seminars Seminars are used to orient participants to, or provide an overview of, authorities, strategies, plans, policies, procedures, protocols, response resources, and new concepts/ideas. Seminars can be a starting point when developing or making major changes to plans and procedures. Seminars offer the following attributes: • Low-stress environment employing a number of instruction techniques such as lectures, multimedia presentations, panel discussions, case study discussions, expert testimony, and decision support tools • Informal discussions led by a seminar leader • Lack of time constraints caused by real-time portrayal of events • Effective with both small and large groups B. Workshops

Workshops, while similar to seminars, differ in two important aspects: player interaction is increased and the focus is on achieving or building a product (such as a plan or a policy). Workshops provide an ideal forum for: • Collecting or sharing information • Obtaining new or different perspectives • Testing new ideas, processes, or procedures • Training groups in coordinated activities 3-6 DOE G 151.1-3 7-11-07 • Problem solving of complex issues • Obtaining consensus • Team building Workshops, used in conjunction with operations-based exercise development, are useful in achieving specific aspects of exercise design (e.g., determining program or exercise objectives, developing exercise scenario and key events listings, and determining evaluation elements and standards of performance). A workshop may be used to produce new emergency operating procedures, mutual aid agreements, Multiyear Exercise Plans, and Improvement Plans (IPs). Workshops share the following common attributes: • Low-stress environment • No-fault forum • Employ different instructional techniques to convey information • Facilitated, working breakout sessions • Plenum discussions led by a workshop leader • Goals oriented toward an identifiable product • Lack of time constraint from real-time portrayal of events • Effective with both small and large groups C. Tabletop Exercise (TTX) TTXs generally involve senior staff, elected or appointed officials, or other key personnel in an informal setting in which situations are discussed that arise during simulated scenarios. The TTX can be used to assess response plans, policies, and procedures, or types of systems needed to mitigate and respond to the specific emergency event. The TTX is typically aimed at facilitating understanding of concepts, identifying strengths and weaknesses, and/or achieving a change in attitude. The TTX format focuses on slow-paced problem solving rather that the rapid, spontaneous decision-making that occurs during actual emergencies or operations- based exercises. TTX methods can be divided into two categories: basic and advanced. In a basic TTX, the scene set by the scenario remains constant. The emergency event is described to the participants up to a certain point in time. The leader is then presented with a set of problems to be discussed by participants, resolved by the group, and summarized by the leader. In an advanced TTX, play is initiated through injects to the participants that alter the original scenario. The exercise controller usually introduces problems one at a time in the form of written injects; participants then discuss the problems, using appropriate plans and procedures. DOE G 151.1-3 3-7 7-11-07 The TTX can have the following attributes: • Practicing group problem solving • Familiarizing senior officials with a situation • Conducting a specific case study • Examining personnel contingencies • Testing group message interpretation • Participating in information sharing • Assessing coordination among participants • Achieving limited or specific objectives D. Games A game is a simulation of operations that often involves two or more teams, usually in a competitive environment, using rules, data, and procedures designed to depict an actual or assumed real-life situation. It does not involve the use of actual resources, and the sequence of events affects, and is in turn affected by, the decisions made by the players. Games stress the importance of planner and player understanding and comprehension of interrelated processes.

Players are presented with scenarios and asked to perform a task associated with a scenario episode. As each episode moves to the next level of detail or complexity, it takes into account players’ earlier decisions; thus, the decisions made by players determine the flow of the game. The goal is to explore decision-making processes and the consequences of those decisions. In a game, the same situation can be examined from various perspectives by changing the variables and parameters that guide player actions. Large-scale games can be multi-jurisdictional and include active participation from Federal, Tribal, State, and local governments. Games are excellent vehicles for the following: • Gaining policy or process consensus • Conducting “what-if” analyses of existing plans • Developing new plans 3.4.2 Operations-Based Exercises Operations-based exercises represent the next iteration of the exercise cycle and can be used to validate the plans, policies, agreements, and procedures, possibly solidified in previous discussion-based exercises. Operations-based exercises include drills, functional exercises (FEs), and full-scale exercises (FSEs). They can clarify roles and responsibilities, identify gaps in resources needed to implement plans and procedures, and improve individual and team performance. Operations-based exercises are characterized by actual response, mobilization of apparatus and resources, and 3-8 DOE G 151.1-3 7-11-07 commitment of personnel, usually over an extended period of time. Operations-based exercises play the primary role in the readiness assurance program for a facility/site and will be the focus of much of the guidance in this chapter. A. Drills According to the DHS exercise program HSEEP, a drill is a coordinated, supervised activity usually employed to test a single specific operation or function. Drills are also commonly used to provide training on new equipment, develop or test new policies or procedures, or practice and maintain current skills. Typical attributes include: • A narrow focus, measured against established standards • Realistic environment • Performance in isolation • Instant feedback • Opportunity to stop, correct/educate, and restart In Chapter 2 of DOE G 151.1-3, the drill program is focused on drills as part of the overall training program, whereas in this chapter the focus is on the role of drills as operations-based exercises, employed to test operations or functions. B. Functional Exercise (FE) The FE is designed to test and evaluate individual capabilities, multiple functions or activities within a function, or interdependent groups of functions. The FE is generally focused on exercising the plans, policies, procedures, and staffs of the direction and control nodes of Incident Command (IC) and Unified Command (UC). Generally, events are projected through an exercise scenario with event updates that drive activity at the management level. Movement of personnel and equipment is simulated. The objective of the FE is to execute specific plans and procedures and apply established policies, plans, and procedures under crisis conditions, within or by particular functional teams. An FE simulates the reality of operations in a functional area by presenting complex and realistic problems that require rapid and effective responses by trained personnel in a highly stressful environment. Attributes of an FE include: • Evaluating functions

• Evaluating Emergency Operations Centers (EOCs), Headquarters, and staff • Reinforcing established policies and procedures • Measuring resource adequacy • Examining facility or site internal relationships DOE G 151.1-3 3-9 7-11-07 C. Full-Scale Exercise (FSE) The FSE is the most complex of the operations-based exercises. FSEs are exercises that test many aspects of an integrated emergency response. An FSE focuses on implementing, analyzing, and evaluating plans, policies, and procedures. Events are projected through a scripted exercise scenario with built-in flexibility to allow updates to drive activity. A FSE is conducted in a real-time, stressful environment that closely mirrors a real event. First responders and resources are mobilized and deployed to the scene where they conduct their actions, as nearly as possible, as if a real incident had occurred. The FSE simulates the reality of operations in multiple functional areas by presenting complex and realistic problems requiring critical thinking, rapid problem solving, and effective responses by trained personnel in a highly stressful environment. Other entities that are not involved in the exercise, but would be involved in an actual event, should be instructed not to respond. Typical FSE attributes include: • Assessing organizational and individual performance • Demonstrating interagency cooperation • Allocating resources and personnel • Assessing equipment capabilities • Activating personnel and equipment • Assessing inter-agency cooperation • Exercising public information systems • Testing communications systems and procedures • Analyzing memorandums of understanding (MOUs), standard operating procedures (SOPs), plans, policies, and procedures The level of support needed to conduct a FSE is greater than needed during other types of exercises. The exercise site is usually extensive with complex site logistics. Food and water must sometimes be supplied to participants and volunteers. Safety issues, including those surrounding the use of props and special effects, must be very closely monitored. 3.5 DOE/NNSA Exercise Requirements DOE O 151.1C contains specific requirements associated with the conduct of operations- based exercises for DOE/NNSA facilities/sites or activities. The following specific exercise requirements apply: 3-10 DOE G 151.1-3 7-11-07 A. Facility Requirements. Each DOE/NNSA facility [or group of facilities with common facility-level Emergency Response Organization (ERO) positions] must test and demonstrate the proficiency of personnel in facility-level ERO positions in accomplishing facility-specific emergency response duties and responsibilities in a facility operations-based exercise, including facility-level evaluation and critique, at least annually. Evaluations of annual facility exercises by Departmental entities (e.g., Cognizant Field Element, Program Secretarial Officer, or Headquarters Office of Health, Safety, and Security) must be performed periodically so that each facility has an external Departmental evaluation at least every 3 years. [These facility-level operations-based exercises can exhibit a number of the defining characteristics of functional exercises (FEs) in HSEEP terminology].

B. Site Requirements. A site operations-based exercise is designed to test and demonstrate integrated emergency response capabilities of personnel in facility- and site-level ERO positions. Site-level ERO elements and resources must participate in a minimum of one site operations-based exercise annually. For multi-facility sites, the basis for the exercise should be rotated among facilities or groups of facilities on a site. [In general, site-level operations-based exercises may be considered full-scale exercises (FSEs) in HSEEP terminology]. A site operations-based exercise that involves participation of offsite response organizations is referred to as a full participation operations-based exercise. According to DOE O 151.1C, offsite response organizations must be invited to participate in a site-level exercise at least once every 3 years. [In general, a full participation operations-based exercise may be considered a full-participation FSE.] C. Specific Activity Requirements. Operations-based exercises of each of the Department’s radiological emergency response assets must be conducted at least once every 3 years. D. No-Notice Exercises (NNXs). Contractor facilities/sites and activities participate in a program of No-Notice Exercises, conducted in concert with and at the discretion of the Associate Administrator, Office of Emergency Operations, to determine if the facility/site or activity ERO accomplishes selected objectives, based on applicable plans, procedures, and/or other established requirements. Although generally operations-based exercises, NNXs can use the discussion-based exercise format if the specific objectives can be accomplished. The NNX is designed to require minimum resource expenditure and cause only limited disruption of facility/site or activity operations. In addition to participation of initial responders, the site/facility organization assigns a “trusted agent” to assist in the identification of a credible emergency scenario and to provide facility- /site- specific information. The Headquarters (HQ) DOE/NNSA Office of Emergency Management schedules (with facility/site or activity concurrence), conducts, and documents the NNX and its evaluation, including the development and coordination of the exercise design package, providing an exercise director and controllers/evaluators, conducting participant and formal controller/evaluator critiques, and producing an After Action Report (AAR). DOE G 151.1-3 3-11 7-11-07 The primary purpose of the NNX is to provide an objective test of the ability of key elements of emergency response capabilities to respond without prior notice to a simulated Operational Emergency. NNXs are currently focused on initial activation, mobilization, and response activities in six program elements: • ERO – Activation and mobilization of key elements of the ERO • Emergency Categorization and Classification – Categorization/classification of the simulated emergency event • Notification and Communication - Initial and follow-up notifications and communications • Consequence Assessment – Initial assessments of the emergency [e.g., Timely Initial Assessments (TIA)] • Protective Actions – Determination of initial protective actions and offsite protective action recommendations • Emergency Public Information – Initial activities (e.g., initial press release)

The NNX provides a low-impact and low-cost opportunity to test the initial aspects of an emergency response and to enhance key initial function. The NNX is deliberately designed to minimize resources necessary for exercise planning, conduct, control, and evaluation. The NNX is characterized by a limited number of exercise objectives and either no effort or a minimal development effort expended on characterizing the consequences of the event for use by controllers during the exercise. An essential component of the NNX exercise is a limited disruption of normal operations that usually ensures the exercise will be of short duration (e.g., 2 to 3 hours). The frequency for including NNXs in an annual readiness assurance program for a facility/site or activity should be based on the need for validating lessons learned; reevaluating areas based on observations during prior training, drills, or exercises; or validating recently implemented or revised plans and procedures without incurring the cost and impact of the facility- or site-level exercise. 3.6 Exercise Planning This section addresses generic aspects of exercise planning. Planning for an exercise is fully documented by an exercise plan that includes: specific exercise objectives, scope, scenario, participants, simulations, timelines, injects (i.e., messages), technical data, safety and security provisions, controller instructions, and evaluation criteria. Planning should be coordinated among onsite ERO components and offsite organizations or groups regarding their respective participation and exercise objectives. 3-12 DOE G 151.1-3 7-11-07 3.6.1 Exercise Planning Team The exercise planning team is responsible for designing, developing, conducting, and evaluating all aspects of an exercise. The planning team determines exercise design objectives, tailors the scenario to the needs of the participating organizations, and develops documentation used in exercise evaluation, control, and simulation. Planning team members also help with developing and distributing pre-exercise materials and conducting exercise briefings and training sessions. Due to this high level of involvement, planning team members are ideal selections for controller and evaluator positions during the exercise itself. An Exercise Director manages the exercise planning team (also referred to as the Lead Exercise Planner or Exercise Planning Team Leader). The team should be a manageable size and include a representative from each major participating onsite and offsite emergency response organization/agency, with team membership modified to fit the type or scope of an exercise, (e.g., an operations-based exercise may require more logistical coordination than a discussion-based exercise). Depending on the individual exercise, planning team members can be drawn from a variety of response disciplines within a DOE/NNSA facility/site (e.g., fire/hazardous materials, emergency medical services, security, emergency management, occupational health, and emergency public information). The planning team may expand or contract in size according to the scope of a given exercise, causing a member or group leader to assume additional roles. Exercise planning teams should follow a combination of common considerations and principles, including: • Exercise planning teams can be efficient and effective when they adhere to an Incident Command System (ICS)-based structure.

• Planning teams should be formed in advance of the exercise to ensure adequate time for effective planning, preparation, and review of the exercise package. • Members assigned to these teams should be familiar with emergency plans and procedures in their areas of technical expertise and be experienced in exercise development. • Team members may work independently or meet in subgroups to develop their respective parts of the scenario; members can participate in more than one team, if necessary. • Effective project management ensures identification, development, and management of critical and supportive tasks; frequent communication about project status; and use of management plans and timelines (e.g., task schedules, Gant charts). • Exercise planning team members should be aware of both their individual responsibilities and team responsibilities. Tasks should be identified and assigned to an appropriate planning team member, and clear deadlines should be established. DOE G 151.1-3 3-13 7-11-07 • Subject matter experts (SMEs) should be used in the planning process to ensure that a realistic and challenging scenario is chosen. For example, in a biological terrorism scenario, public health departments and hospitals will have larger roles than special weapons and tactics teams or the bomb squad. • Certain exercise objectives may require detailed technical or specialty areas of expertise for the development of scenarios, injects, and data. In these situations, a special team can be formed. Typically, this expertise is in specific areas or disciplines such as process operations, health physics, medical, chemistry, safety engineering, or plume modeling. • Team members should demonstrate appropriate leadership principles, including mentoring, motivation, discipline, personnel management, and time management. Team leaders and members should delegate tasks as necessary. Planning team members should strive toward group and common goals, using all available expertise while fostering creativity. • Team members should implement standardized processes (such as incorporating task, time, and project management) into exercise design and development. Exercise planning meetings/conferences should be scheduled to develop and review tasks and outputs. • Both DOE/NNSA and contractor senior management representatives should be briefed to gain their support. • Coordination with the emergency management training program manager (if designated as a trusted agent) should occur in the exercise planning stage. This allows sufficient time before an exercise is conducted to satisfy any new management training or qualification requirements (not specific to an exercise). Exercise planners are to consider themselves as trusted agents and understand that, in most cases, they will participate as facilitators or SMEs, rather than as participants. Planning team members, as a general rule, are not exercise players except at smaller, less populated DOE/NNSA facilities with limited emergency response/ management capabilities. In those cases, exercise planning team members who act as both planners and players should be especially careful not to divulge exercise information in advance. 3.6.2 Exercise Planning Functions Development and conduct of a DOE/NNSA exercise requires a structured and coordinated planning process. For each exercise, the following list includes several key functions or activities that should be accomplished at some level, depending on the type and scale of the exercise:

• Development, documentation, and scheduling. – Scope - Who, what, where, how, and why of the exercise. 3-14 DOE G 151.1-3 7-11-07 – Objectives - Specific objectives provide the basis for evaluating/validating the performance of response capabilities by each participating organization. Each exercise objective should clearly state what is to be demonstrated and be specific, attainable, and measurable. – Participants - Who will plan the exercise and who will respond, control, and evaluate. Any limitations or simulations regarding their participation are identified and documented. – Safety - Safety is an integral part of each exercise. The exercise should be conducted in a manner that protects workers and other personnel and does not cause harm to the environment. – Security - Instructions on facility access, use of firearms, and classification issues. – Scenario – Technically accurate mechanism developed to provide responders with the opportunity to meet objectives. The scenario is consistent with the set of exercise objectives and explicitly supports an evaluation/validation of each objective. – Budget - What the exercise will cost to plan, conduct, and evaluate, and the financial obligations of participating organizations. – Logistical Support - Specific responsibilities for support activities. – Administrative Activities - Procurement, documentation, and reproduction responsibilities. – Public Affairs Plan - A public information/education plan should be developed, especially for full-participation site-level operations-based exercise, to coordinate activities with appropriate offsite State, Tribal, and local authorities, the media, and the public. This plan should be developed early in the planning process to ensure coordination with interested offsite authorities/officials. • Oversight of the exercise development process. • Exercise control • Exercise evaluation and critiques • Exercise AAR • Implementation of corrective actions These key functions or activities should be reflected in the Exercise Planning Team structure presented next. DOE G 151.1-3 3-15 7-11-07 3.6.3 Exercise Planning Team Position Descriptions Providing exercise planning team members with clearly stated roles and responsibilities, along with assigned specific tasks and completion timelines, will facilitate the exercise planning process by ensuring that tasks are not overlooked, forgotten, or identified only at the last minute. Regardless of the size of an exercise planning team certain core groups must be formed as described below: Exercise Director/Lead Exercise Planner • Overall responsibility for exercise planning, development, conduct, and evaluation Planning Group • Schedules exercise activities • Determines exercise scope, objectives, participants, and planning schedule • Develops scenario guidelines • Coordinates administrative, logistics, safety, and security activities • Maintains fiscal responsibility Scenario Development Group • Includes members from all participating organizations • Coordinates development, assembly, and production of exercise package • Develops scenario component, including, for example – scenario narrative, Master Scenario Events List (MSEL), time line, injects and messages, and the exercise technical data Control Group • Responsible for the safe and effective conduct of the exercise • Exercise control • Safety Evaluation Group • Responsible for observing, evaluating, and critiquing the exercise

Other planning groups (tasks may be separated from above main teams) • Administration/Logistics • Communications 3-16 DOE G 151.1-3 7-11-07 • Technical data preparation • Security/safety • Public information • Visitors If an ICS management model is used for organizing the Exercise Planning Team, then the groups described above will be formed under the headings of core ICS groups: Command Group, Operations Group, Planning Group, Logistics Group, and Administration Group (Cf. HSEEP reference). During the planning process, as tasks increase in frequency and complexity, the planning team grows. It may be necessary to expand positions to include several functional experts or SMEs and additional logistical support or service staff. Many large, complex exercises may start with a planning team that fills most, if not all, of the organizational structure represented by the groups indicated above. 3.6.4 Exercise Planning Meetings/Conferences The Exercise Director/Lead Exercise Planner and the exercise planning team should decide on the number of meetings needed to successfully conduct a given exercise. To effectively host planning meetings, the Exercise Director needs access to information on the program, its objectives, and its flexibilities and limitations. Listed below are basic descriptions of primary objectives for each type of planning meeting along with information on tools (e.g., agendas, draft documents, checklists, and presentations) used to assist the exercise planning team in designing, developing, and conducting an exercise. Providing advance information to the planning team members significantly enhances the efficiency of a planning meeting. These materials may be provided to team members in a read-ahead packet, which may include proposed agenda items, any relevant background information, and expected meeting outcomes. In addition to making the attendees better informed, a read-ahead packet also allows them to understand the relevancy and importance of the meeting. The scope, type (operations- or discussion-based), and complexity of an exercise should determine the number of meetings necessary to successfully conduct an exercise. Planning meetings are listed in typical chronological order: A. Concept and Objectives (C&O) Meeting. The C&O meeting is used to identify the type, scope, objectives, and purpose of the exercise. Typically attended by the Exercise Director, management of the sponsoring facility, and DOE and Management & Operating (M&O) contractor management responsible for other facilities and the response assets expected to be involved in the exercise, and representatives from participating offsite response organizations. The formal beginning of the planning process (when held directly before the Initial Planning Conference/Meeting [IPC]) helps planners identify an overall exercise goal, develop rough drafts of exercise objectives, and identify exercise planning team members. For less complex exercises DOE G 151.1-3 3-17 7-11-07 and for sites or facilities with limited resources, the C&O meeting can be conducted in conjunction with the IPC. Possible topics or issues for a C&O meeting include: • Exercise purpose • Review of the facility/site or activity • Review of the applicable EPHA • Proposed scenario, goals, and objectives • Exercise location, date, and duration • Assumptions and artificialities (the scenario is plausible and events occur as they are presented; there are no hidden agendas or trick questions)

• Control and evaluation • Security organization and structure • Logistics B. Initial Planning Conference/Meeting (IPC): The IPC lays the foundation for exercise development. It is used to gather input from the exercise planning team on the scope, design, requirements and conditions (such as assumptions and artificialities), objectives, level of participation, and scenario variables (e.g., hazard selection, venue). The IPC obtains the planning team’s input on exercise location, schedule, duration, and other details required to develop exercise documentation. Planning team members should be assigned responsibility for the tasks outlined in the meeting. Unless a C&O meeting is held, the IPC is typically the first step in the planning process. During the IPC, planning team members are assigned responsibility for tasks associated with designing and developing exercise documents and logistics (e.g., incident scene management, personnel). In addition to conducting the meeting, the team should gather appropriate photos and audio recordings for use in preparing the final documents and/or multimedia presentations used in support of the exercise. An important discussion point for an IPC includes understanding the rationale for developing the exercise. Outcomes expected as a result of an IPC include: • Clearly defined, obtainable, and measurable objectives • Identified scenario variables (e.g., threat scenario, number of casualties, venue) 3-18 DOE G 151.1-3 7-11-07 • Appropriate participants are invited to participate • SMEs and presenters identified and recruited, if necessary • Information delivery method identified • Responsibility assigned for exercise documents and presentations/briefings • All source documents (e.g., policies, plans, procedures) acquired to draft exercise documents and presentations • Responsibility for logistical issues (e.g., registration, badges, invitations) identified and assigned • Dates for completion of action items and tasks established • Planning schedule developed • Critical tasks for the next planning meeting identified • Date, time, and location of the next meeting and the actual exercise In the period between the IPC and the next meeting, exercise planning team members should prepare their assigned draft exercise documents and presentations. If possible, these materials should be provided to planning team members in advance of the next meeting. C. Mid-Term Planning Conference/Meeting (MPC): Typically employed for operations-based exercises (e.g., drills, FEs, and FSEs), the MPC presents an additional opportunity in the planning timeline to settle logistical and organizational issues that arise during planning (e.g., staffing concepts, scenario and timeline development, scheduling, logistics, and administrative requirements). It is also a session to review draft documentation. A MSEL meeting can be held in conjunction with or separate from the MPC to review the scenario timeline for the exercise. The second half of the MPC can be devoted to development of the scenario timeline. If necessary, the exercise planning team may allow sufficient time to conduct a walkthrough of the exercise site and gather pictures, maps, and other visual aids. The MPC should be held at, or near, the exercise site to facilitate the walkthrough. The following outcomes are expected as a result of an MPC: • Final exercise plan details (if applicable) agreed upon • Scenario timeline revised • Documentation revised

DOE G 151.1-3 3-19 7-11-07 • Scenario injects developed • Date, time, and location of the Final Planning Conference/Meeting (FPC) finalized The time between the MPC and the FPC should be used to finalize the exercise plan, scenario timeline, and remaining exercise documentation (as determined at the IPC). D. Master Scenario Events List (MSEL) Meeting: For more complex operations- based exercises, one or two additional planning meetings, or MSEL meetings, may be held specifically to review the scenario timeline. If not held separately, MSEL meetings can be incorporated into the MPC and FPC. The MSEL meeting should focus on MSEL development. The MSEL is a chronological list that supplements the exercise scenario with event synopses, expected/anticipated responses, anticipated timing and location of the opportunity for meeting exercise objectives, and responsible personnel. The MSEL should include scenario events that will prompt players to implement the plans, policies, and procedures that planners want the exercise to test. The MSEL identifies the timing and summary content of all key events, messages, or injects and contingency messages. It should also establish the methods that will be used to inject each particular event (e.g., phone call, fax, radio call, e-mail). In developing the MSEL, the exercise planning team must first consider tasks, conditions, and standards set forth by each exercise objective (as determined during the IPC). A task consists of performing a function or activity that demonstrates the ability to accomplish an objective. A condition is the environment in which a task is performed and can be established by the scenario or through the MSEL. Standards are the criteria by which each task is evaluated. The planning team determines if tasks were completed; this allows evaluation to take place. If scenario conditions do not stimulate the appropriate behavior, the planning team must develop a MSEL entry to explain the situation. A well-written entry considers the following: • If the entry is a key event (i.e., is it directly related to meeting an exercise objective) • The target behavior, who will demonstrate the target behavior, and what will stimulate the behavior (e.g., course of play, phone call, actor, video) • What/Who originates the stimulant, who receives it, and how is it received • What the expected action is • A contingency inject in case the behavior fails to be demonstrated 3-20 DOE G 151.1-3 7-11-07 Once the MSEL is drafted, the exercise planning team should coordinate and sequence entries and resolve any conflicts between events, thus forming a credible and challenging MSEL that will enhance the exercise experience for the players. It is essential that the final MSEL be reviewed with quality assurance procedures in mind. E. Final Planning Conference/Meeting (FPC): The FPC provides a forum to review the process and procedures for conducting the exercise, final drafts of all exercise materials, and all logistical requirements. There should be no major changes made to either the design or the scope of the exercise or to any supporting documentation. The FPC ensures that all logistical requirements have been arranged, all outstanding issues have been identified and resolved, and all exercise products are re