Handbook of exercises for transportation sector personnel


Functional Exercise Checklist



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Functional Exercise Checklist

Initiation Process - Functional Exercise


Identify Driver(s)

Contract


Specific wording concerning exercise

Grant


What was stated in the Grant/Application?

Code/Legislative Requirement

What does the code/legislation state and require?

Political

For what specific purpose?

Internal


What is motivating this change?

Identify Stakeholders

Establish Stakeholders List

Name

Organization



Contact Information

Position



Identify Funding Streams

Discretionary

General Fund - Budgeted for Exercise

Grant Funding



Identify Scope of Exercise

Who is the lead agency?

Who are the participants?

Road


Rail

Mass Transit

Public Works

First Responders: Police, Fire, EMS

Emergency Management

Type of Exercise Envisioned

Jurisdictions Involved

Special District

Local: City, County

Regional, MPO

State

Federal


Resources Involved

Identify Scenario Restrictions

Identify Labor/Union Restrictions

Number of hours between breaks

Number of hours between meals

Number of hours before overtime

Scope of Work

Establish Charter

Identify Exercise Director

Internal and External Restrictions

HSEEP Compliance

Identify Objective of Exercise






Planning Process – Functional Exercise


Establish Design Team

Technical (field)

Procedural (management)

Legal


Evaluation Team

Identify Leader



Controller Team

Identify Leader



Site Selection

Site owner/controlled contact info

Traffic Route

Ingress


Egress

Staging


Check-In Point

Rehab (Red Cross, Fire Associates, Caterer)

Bathroom Facilities

Water


Safety Plan

Heat/Cold/Medical/Fire/Trespassing/Traffic



Communications Plan

Between Controllers

Between Participants and Controllers/Sim Cell

Resources List and Their Sources

Signs, Cones

Mannequins

Actors


Water Jugs

Portable Toilets

Printing

Trash Cans



Scenario Development

Goals/objective addressed

Realistic/Believability by Participants

Create participant direction cards/Victim symptom cards

Establish Simulations Cell (Sim Cell)

Script message traffic as required

Create Master Sequence of Events List (MSEL)
Notification/Activation of Participants (choose one of the items below)

Pre-stage participants and provide a brief of what has occurred to that point

Activate response ___ minutes before event to compensate for response time

Activate as with real event and expect ___ minutes delay before arrival



Location/Site Plan Layout

Ingress/Egress

Cones/Signs

Staging


Rehab

Location Set-Up and Tear-Down Plan
(who brings what; sets it up/takes it down)

Site Staging

Check-In/Out

Cones


Signs

Directions

Event Construction

Vehicle Layout

Dummy Positioning

Rehab


Trash Cans

Portable Toilets



Create Exercise Plan (EXPLAN)

Recommend use of HSEEP Template



Create Controller/Evaluator C/E Handbook

Recommend use of HSEEP Template



Exercise Documentation

Print







Suggested Meeting Agenda Topics – Functional Exercise


Initial Planning Meeting

Goal and Objectives – Develop

Location – Identify options

Scenario – Discuss

Logistics/Support – Identify issues specific to this exercise

Midterm Planning Meeting

Location – Report on the options, then select best option

Scenario – Develop

Evaluators and Controllers – Discuss evaluation tools for goal and


objectives

Logistics/Support – Identify resources



Master Scenario Events List Meeting

Use Goals and Objectives to identify critical tasks/conditions/standards

Establish timeline with appropriate triggering events to activate critical tasks/conditions/standards

Prepare contingency injects to be used if participants fail to engage


appropriately

Address artificialities the exercise venue may create



Final Planning Meeting

Location – Confirm date, time and point of contact

Scenario – Complete and finalize

Evaluators and Controllers – Ensure evaluation tools are synchronized to scenario and identify assignments

Logistics/Support – Confirm entities and commitment






Executing Process – Functional Exercise


Issue Exercise Documentation (as required)

Evaluator and Controller briefing (prior to day of exercise)

Assignment by location, participants, or both



Check In (for support staff, Evaluators, Controllers)

Safety Brief

Actor/Victim Briefing

Actor/Victims with Symptom Cards



Begin Exercise Play

Document time exercise begins

Notify all involved parties of exercise commencement

Terminate Exercise Play

Document time exercise ends

Notify all involved parties of termination






Controlling Process – Functional Exercise


Controllers

Monitor and adjust exercise play

Provide injects to participants as required by MSEL

Interact with participants to address resource requests



Evaluators

Monitor and document activities/actions of participants

Discussion with Controllers on objectives missed

Documenters

Scribe(s) take notes of sessions

Photographer(s) discreetly document activities throughout

Controller/Evaluator Debrief

Note: This time is used by participants and other exercise staff to pack up and stand by for the Hot Wash

Conducted by the lead Evaluator immediately following exercise


termination

Ensure all Evaluators, Controllers are included

When possible, include exercise design team and Exercise Director

Discuss course of exercise events. Were goal and objectives met?

Document conversation

Submit findings to Exercise Director



Exercise Hot Wash

Conducted by Exercise Director

Include all participants, exercise staff, rehab staff, actor/victims, Evaluators, Controllers, exercise planners, and observers

Issue Participant Feedback Form

Thanks and Acknowledgements

Funding Source

Location Owner

Exercise Design Team

Controllers

Evaluators

Volunteers

Discuss Exercise Results (document discussion)

Goals

Objectives



Scenarios

Actions Taken

What Went Right/Wrong

Areas of Improvement

Thank participants for attendance

Collect Participant Feedback Form





Closing Process – Functional Exercise


Exercise Director Reviews Documentation

Participant Feedback Forms

Evaluator Observation Forms

Notes from Controller/Evaluator Debrief

Notes from Hot Wash

Prepare Draft After Action Report

Incorporate comments related to goal and objectives



Convene After Action Conference

Invite Controllers and Evaluators

Review Draft After Action Report

Create Final After Action Report

Establish list of action items for inclusion in the Improvement Plan

Exercise Director Creates Improvement Plan

Each improvement element is tied to one of the core capabilities

Each improvement action is assigned to a specific organization with start/ending dates

Submit After Action Report/Improvement Plan to appropriate authorities

Retain Improvement Plan for inclusion in future grant applications

Consolidate Documentation

Place into Exercise Documentation Folder

Notes/Minutes

Other Lessons Learned from Exercise

Participant Feedback Forms

Debrief Notes

Photos

Miscellaneous Documentation





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