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U.S. Department of Energy GUIDE
Washington, D.C. 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.]
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 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 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; 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
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.].
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 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 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 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.
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.
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.
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.
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 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 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 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 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].
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.
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
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 (contd)
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.
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 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.
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.
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.
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
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.)
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
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 sites 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.
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. 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
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.
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.
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.
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.
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.
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
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 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
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 (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
organizations 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 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;
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
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 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 dri