Preparedness

Preparedness is a state of readiness that allows individuals or an enterprise to avoid, prevent, respond to, and recover from the effects of natural disasters, criminal acts, terrorism, or technological incidents. Paratransit preparedness is built on a continuous cycle of planning, training, and exercising, with follow-up evaluation and performance monitoring to build personal and organizational capabilities.

Personal preparedness focuses on building awareness, knowledge, and skills so people can operate equipment safely, follow procedures, and take other appropriate actions in an emergency. Paratransit organizational preparedness includes improving or upgrading equipment and facilities to better withstand or more readily recover from the effects of a disaster.

3.A Planning

3.A.1 Resource Capabilities Assessment

A resource capabilities assessment is a detailed inventory of what resources your organization could utilize to support your own customers during an emergency, as well as to participate in community-wide emergency response efforts. This assessment includes vehicles, facilities, equipment, tools, and most importantly, your people and their individual talents and skills. A resource capabilities assessment includes an inventory of transit vehicles and their specific characteristics, transit facilities and their capacity to support emergency response, specialized transit equipment and tools that can assist emergency operations, and transit staff and the skill sets they possess.

This assessment is not just the sum total of your assets; it also considers limitations. For example, if you plan to continue delivering essential services to your normal customers during an emergency, what is the spare capacity of vehicles and drivers that you can contribute to community emergency response? How long will it take to mobilize them? What could you provide if you cancel all but life-sustaining medical transportation? Once mobilized, can you maintain a maximum effort for the next 12, 24, or 48 hours? What will it take to return to normal after the emergency is over? These and other related questions are part of a realistic capabilities assessment. This assessment should be updated periodically to ensure it adequately reflects the current state of paratransit resource capabilities.

The information gleaned from these assessments needs to be discussed in the context of likely emergency response scenarios. First, consider how you will address the essential needs of your own customers, and then have discussions with local (city or county) emergency management to develop a clear understanding of organizational capabilities, limitations, and expectations. This will help ensure that limited paratransit resources will be used effectively, focused on missions that do the most good for vulnerable members of the community.

Considerations

• In urban and suburban areas, fixed-route coaches and school buses are normally used for mass evacuation missions. Paratransit vehicles are more often focused on helping people with access and functional needs.
• It is important that emergency management understands the capabilities and limitations of paratransit. Emergency management may not consider how paratransit should support emergency response. If information is not shared in the planning process, the needs of people with access and functional needs and the resources to serve them may be over- or underestimated.
• Asset inventories are most helpful for advance-notice emergencies when plans to strategically pre-position and stage resources can be executed. In no-notice events, knowing the number of vehicles and drivers paratransit can provide on short notice may help emergency responders and incident commanders deploy those resources where and when they are needed most.

Effective Practices

• Many paratransit systems maintain a current vehicle inventory based on class, type, capacity, and wheelchair accessibility. In some states, these vehicle inventories are reviewed annually as part of the system safety program plan. While an inventory is only part of a resource capabilities assessment, it is a key building block and a good way to get started.

Strategy

• Conduct an assessment of your critical paratransit resources. Share this assessment with emergency management to aid in defining your potential role in community-wide emergency response plans. Emphasize your commitment to first and foremost serve your customers.
• The tool that follows provides a structure for gathering information on critical paratransit assets. Your asset analysis will include the number and special operating characteristics of each type of paratransit revenue vehicle and non-revenue support vehicle. It should also include an assessment of paratransit facilities and ancillary equipment that could be used to support emergency response activities. Another essential component is the number of drivers, mechanics, dispatchers, and supervisory staff available for deployment during emergency operations.

Tool: Resource Capabilities Assessment

Assess the following paratransit resource capabilities and update the assessment periodically to ensure it adequately reflects the current state of your paratransit resource capabilities.

Resources for Urban/Suburban and Rural/Tribal Areas

• Critical Asset Analysis Form

http://bussafety.fta.dot.gov/show_resource.php?id=3319

A rating system to determine the levels of criticality and vulnerability of a transit organization's critical assets.

• Capabilities Assessment Checklist

http://bussafety.fta.dot.gov/show_resource.php?id=3104

Checklist to assist transit agencies in conducting a capabilities assessment to determine whether their system has targeted security measures and preparedness planning procedures in place.

• Vehicle Inventory Database

http://bussafety.fta.dot.gov/show_resource.php?id=4229

This worksheet is the spec or design of a potential vehicle inventory database. The idea is to collect all the vital info on each vehicle and put it in the database so dispatchers or supervisors can call up a "record" and find out anything they might need to know about a vehicle. For ICS, it provides a complete description of a "resource," namely, the vehicle.

3.A.2 Emergency Support Function 1 (ESF-1) Coordination

The National Response Framework (NRF) includes fifteen emergency support functions (ESFs) covering core areas of responsibility for emergency response and recovery. Under this system, ESF-1 is transportation. Some states utilize slightly different structures that parallel, but are not identical to, the national ESF system.

From a practical perspective, an emergency response mission for transportation involves two primary functions: evacuation and reentry. It is generally assumed that most of the population will evacuate in private automobiles. Most emergency evacuation plans anticipate using school and transit buses for the needs of transit-dependent citizens, and some plans include paratransit resources for those with access and functional needs. Some plans anticipate calling in private contractors or assume that buses from neighboring jurisdictions will be mobilized. Unless there is a coordinated plan to marshal these diverse resources, they will not be effectively deployed.

Frequently, the transportation representative within the EOC has experience with highways but limited experience with public transit and even less with paratransit. This lack of experience/expertise can lead to paratransit being underutilized, overextended, or inappropriately deployed during a community emergency.

Paratransit's primary focus during emergencies will be to provide life-sustaining transportation services to its customers. When paratransit managers have an active role in community-wide emergency operations, they can better coordinate resources to support emergency transportation requests, disseminate emergency information to paratransit customers, and provide external stakeholders with perspective on the needs of paratransit clients.

Secondary use of paratransit vehicles during community emergencies may include the provision of transportation for emergency responders; the distribution of food, water, or other supplies; and temporary shelter or respite location for responders and/or the public.

Considerations

• In urban/suburban areas, it is common for the transit system to have a seat in the EOC. Problems can arise if there is insufficient communication and coordination between transit and paratransit.
• Many rural/tribal paratransit providers do not have a formal role at their local EOC, a shortcoming that tends to negatively impact response capabilities.
• In emergencies with advance notice, where the EOC is activated prior to the event, paratransit can play an effective role in identifying and evacuating individuals with access and functional needs.
• In no-notice emergencies, the EOC is activated after the disaster has occurred. Lack of prior planning reduces the likelihood of paratransit being included in unified command.

Effective Practices

• A proven approach to overcoming coordination challenges is to marshal all transportation resources under ESF-1. In such instances, agency representatives from transit, paratransit, and other transportation agencies sit within the ESF-1 group of the Operations or Logistics section of the EOC. Using this approach, when the EOC identifies the need for transportation resources, they notify the lead for ESF-1 who then deploys the appropriate resources to support the mission request.

Strategy

• Work with local emergency management and other transportation providers in your area to create a transportation operations plan for emergency response and define the role of your paratransit agency within that plan.

Tool: ESF-1 Coordination

Resources for Urban/Suburban and Rural/Tribal Areas

• Transportation and Emergency Preparedness Checklist

http://bussafety.fta.dot.gov/show_resource.php?id=3346

Developed by the National Consortium on Human Services Transportation, this checklist was designed as a tool for the planning process prior to an emergency situation to ensure safe and appropriate transportation for transportation-dependent populations, including the elderly, persons with disabilities, and individuals without access to personal transportation in an emergency situation.

• Implications for Public Transportation Agencies

http://bussafety.fta.dot.gov/show_resource.php?id=4132

http://www.trb.org/main/blurbs/156130.aspx

Excerpt from Section 2 of TCRP Report 86: Public Transportation Security, Volume 7: Public Transportation Emergency Mobilization and Emergency Operations Guide that provides a list of recommended emergency planning activities transit systems might consider utilizing.

• An Outline for Developing a Local Transit System Emergency Management Plan

http://bussafety.fta.dot.gov/show_resource.php?id=3750

Excerpt from the Texas Department of Transportation's "Guidebook for Emergency Management Planning for Texas Transit Agencies" that presents outlines for a transit agency emergency plan and for a local emergency plan annex.

• Disaster Response: Lessons Learned in Kansas

http://bussafety.fta.dot.gov/show_resource.php?id=3833

An article from the April 2008 Kansas Trans Reporter newsletter that discusses lessons learned regarding what has gone well and what has not for Kansas area transit agencies that have responded to natural disasters.

• Emergency Support Function 1—Transportation Annex—FEMA

http://bussafety.fta.dot.gov/show_resource.php?id=4150

The Transportation Annex document from FEMA that outlines the purpose of the ESF-1 function.

• A County ESF-1 Transportation Annex Example

http://bussafety.fta.dot.gov/show_resource.php?id=4153

An example of a county's ESF-1 Transportation Group Annex from the website of the Fairfax County, Virginia, government website.

3.A.3 Interagency Coordination

To effectively serve your customers during emergencies, your agency needs to coordinate emergency transportation services with its human service partners and medical service providers as well as other key stakeholders.

It is critical that paratransit agencies discuss with local hospitals and other medical facilities, such as dialysis clinics, the likelihood of life-sustaining health services being unavailable during an emergency. This discussion would include ascertaining whether these facilities have backup power generators to allow them to continue operating when an emergency involves long power outages within a community. A good approach would be for paratransit to identify alternative locations where passengers could be transported for life-sustaining care if the primary location is no longer in operation. This coordination and communication between paratransit agencies and medical care providers should take place from the onset of an emergency until after the emergency has passed and medical care providers are able to resume operating on a normal schedule. This critical concern is best addressed through good up-front planning involving paratransit providers, medical care facilities, and partner human service agencies.

Because key community emergency management decisions are made at LEPC meetings involving law enforcement, fire and rescue, public health, and other partner agencies, it is essential for paratransit to be involved. When transit and paratransit managers do not engage or are not invited into the emergency planning process, it can lead to serious gaps in Emergency Operations Plans (EOPs). Proactive paratransit providers work hard to ensure they have a voice at the emergency planning table. Sometimes getting a voice at the table takes a "push" from state emergency management, the state department of transportation (DOT), local political leadership, or advocates.

Considerations

• In urban/suburban areas, the local transit system may participate on the LEPC, but frequently the paratransit division is not involved. As a result, emergency management may make assumptions on how to use transportation resources without full consideration of paratransit capabilities and paratransit clients.
• In designated high-risk metropolitan areas of the United States, interagency coordination also occurs through the UASI. This program provides funding to address the unique planning, organization, equipment, training, and exercise needs of high-threat, high-density urban areas related to terrorist threat.
• In rural/tribal settings, paratransit providers are often left out of the LEPC process. Thus, plans to serve individuals with access and functional needs during community emergencies may not be fully developed.

Effective Practices

• Paratransit assigns a safety or operations manager to work with local emergency management and participate in the LEPC along with law enforcement, fire and rescue, public health, and other partner agencies. This individual frequently will serve as paratransit's agency representative at the local EOC during an emergency event.

Strategy

• Be proactive in soliciting invitations from emergency management and/or other key stakeholders to participate in local and/or regional emergency planning meetings. LEPC meetings or UASI meetings are often the platforms for most successfully interfacing with partner agencies and/or emergency management. Once your agency receives an invitation, be sure a representative attends all meetings. This will ensure the highest level of interagency coordination within the community emergency planning and preparedness process.

Tool: Interagency Coordination

Resources for Urban/Suburban and Rural/Tribal Areas

• TRB Special Report 294: The Role of Transit in Emergency Evacuation

http://bussafety.fta.dot.gov/show_resource.php?id=3800

http://www.trb.org/main/blurbs/160047.aspx

This report explores the roles that transit systems can play in accommodating the evacuation, egress, and ingress of people from and to critical locations in times of emergency.

• Response and Recovery for Declared Emergencies and Disasters

http://bussafety.fta.dot.gov/show_resource.php?id=3348

This document addresses response and recovery actions that transit agencies can take, including securing funding and reimbursement for restoring services following a declared emergency or disaster. It is written specifically for transit agencies that are either affected by a declared emergency or disaster or that offer services to an affected community or region. It applies to all modes of transit and to all types of declared emergencies and disasters.

• Supporting Community Evacuation

http://bussafety.fta.dot.gov/show_resource.php?id=3762

http://www.trb.org/main/blurbs/156130.aspx

This excerpt from Chapter 5 of TCRP Report 86: Public Transportation Security, Volume 7: Public Transportation Emergency Mobilization and Emergency Operations Guide describes activities that transportation systems may take to improve their capabilities to support community evacuations.

• Elements of Interorganizational Agreements

http://bussafety.fta.dot.gov/show_resource.php?id=3746

This excerpt from the "Guidebook for Emergency Management Planning for Texas Transit Agencies" explains what the content of interorganizational agreements or MOUs relating to emergency planning and procedures should encompass.

• Local Emergency Planning Committees Purpose

http://bussafety.fta.dot.gov/show_resource.php?id=3906

This document was developed by the Nebraska Emergency Management Agency (www.nema.ne.gov) to provide a description of LEPCs and explain their purpose.

• Local Emergency Planning Committee Handbook

http://bussafety.fta.dot.gov/show_resource.php?id=3908

This handbook from the Texas Department of Public Safety was developed to provide LEPCs with the guidance needed to make the Emergency Planning and Community Right-to-Know Act and related state laws work.

• Locate your LEPC

http://bussafety.fta.dot.gov/show_resource.php?id=3907

This website allows agencies to search for LEPCs by state or zip code.

• Illustration of Roles Transit Plays in Emergency Evacuation

http://bussafety.fta.dot.gov/show_resource.php?id=4170

This illustration from TRB Special Report 294 lists the primary roles that five transit systems take on during emergency evacuations in their respective cities.

• National Cooperative Highway Research Program (NCHRP) Project 20-59(32), "A Transportation Guide for All-Hazards Emergency Evacuation"

http://apps.trb.org/cmsfeed/TRBNetProjectDisplay.asp?ProjectID=2607

This project provides an all-hazards emergency evacuation guide for transportation and emergency management agencies that identifies, reviews, and integrates a range of resources necessary for state transportation agencies to plan, train, exercise, and execute all-hazards emergency evacuations. The primary audiences are those at the state and local level who are responsible for planning (and execution or support) of an evacuation within a state, including but not limited to transportation, public safety, and emergency management. The guide will be of interest to other entities involved in support of evacuations, including transit, paratransit, advisors on access and functional needs, fire and rescue, law enforcement, public works, and health and human services, as appropriate, to be able to mobilize evacuation resources and make well-considered tactical decisions. The guide is designed to be applicable on a state, multi-state, or cross-jurisdictional border basis.

3.A.4 Essential Material Supply

Your agency will need to address how it will obtain the essential materials required to provide life-supporting transportation services to its customers during an emergency, as well as to assist emergency management in disaster response, if called upon to do so. A supply chain disruption during or after an emergency may curtail essential services for vulnerable populations, including transportation for dialysis or other life-sustaining medical treatment. Thus, your agency needs priority access to fuel, backup power, and other essential supplies to maintain operations.

Mission-critical resources for paratransit include fuel, communications systems, dispatching systems, petty cash, and contingency contracts for goods and services. Fuel is the most critical commodity. There may be competition for fuel supplies and other goods and services based on local hazard and threat scenarios. The greater the competition for these resources, the more advanced planning is required.

Considerations

• In urban/suburban areas, paratransit agencies may have on-site fuel storage capacity, as well as partners in local or regional government to provide reliable sources for fuel or other mission-critical resources. Large agencies are also more likely to have alternative facilities for dispatching and staging vehicles. However, advance planning is required to ensure that backup systems and Mutual Aid Agreements (MAAs) are operational.
• In rural/tribal settings, paratransit agencies often rely on commercial suppliers for fuel and other commodities and are less likely to have contingency contracts with other vendors or MAAs with local government.
• With advance-notice events, there is time to requisition and stock up on critical resources. As such, the public's expectations regarding emergency response and recovery will be higher. For no-notice events, agencies will have to get by with supplies on hand; therefore, those with storage capacity (or full tanks) can sustain operations the longest.

Effective Practices

• Self-reliance and on-site storage capacity is the most desirable strategy for fuel supplies. Paratransit providers have successfully used security and emergency preparedness grants to upgrade operational facilities, increase on-site fuel storage and purchase backup generators and power systems.
• In some regions, the agency that leads the ESF-1 function takes the lead in fuel procurement. Emergency management will work with state, county, or municipal entities and private fuel vendors to guarantee that transit and paratransit are a high priority for fuel supplies.
• A three-day supply of food and water stored at the paratransit base for employees is very helpful in supporting any extended emergency deployment.

Strategy

• Local resource availability during an emergency is critical to paratransit emergency response capabilities. The greater the competition for resources to support long-term emergency response, the greater the need for advance planning. These plans should include redundancy for critical resources such as fuel, backup electrical power, and other essential resources such as food and water for staff and hard copy backups of critical documents. Access to essential material supply may require close coordination with emergency management and other key public and/or private stakeholders.

Tool: Essential Material Supply

The following issues are to be considered as a part of the paratransit planning process.

Resource for Urban/Suburban Areas

• Recommended Practice for a Continuity of Operations Plan

http://bussafety.fta.dot.gov/show_resource.php?id=4125

This document is a recommended practice from the American Public Transportation Association (APTA) for creating and implementing a Continuity of Operations Plan (COOP).

Resources for Rural/Tribal Areas

• TCRP Report 86: Public Transportation Security/NCHRP Report 525: Surface Transportation Security, Volume 8: Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies

http://bussafety.fta.dot.gov/show_resource.php?id=2987

http://www.trb.org/main/blurbs/156474.aspx

The purpose of this report is to assist transportation agencies in evaluating and modifying existing operations plans, policies, and procedures, as called for in NIMS.

• COOP Planning Checklist

http://bussafety.fta.dot.gov/show_resource.php?id=4152

This checklist is from TCRP Report 86/NCHRP Report 525, Volume 8: Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies to assist in developing a COOP from the beginning.

3.A.5 Duplication of Emergency Service Obligations

Emergency transportation plans must account for the needs of people with communication, transportation, health, independence, and support-system limitations for local incidents as well as community-wide disasters that can overwhelm local resources. Problems can arise when paratransit providers are knowingly or unknowingly written into emergency plans for social service agencies and resident care centers. In such instances, paratransit may feel obligated to hold back staff and vehicles in order to meet these service obligations, especially if contracted to do so. Multiple simultaneous service requests may also overwhelm paratransit resources. To ensure paratransit is able to meet its primary obligation to customers and, if necessary, support community emergency response, it is essential that paratransit not overcommit its resources. There should be clear dialogue on this issue between paratransit providers, paratransit partner agencies, and emergency management during the planning process.

Considerations

• Duplication of emergency service obligations may not be apparent in response to local incidents but can become a more significant problem for large-scale disasters where resource limitations have more serious and immediate life-safety impacts.
• In urban/suburban settings, transit coaches are more often utilized to support evacuation requests, while paratransit resources are used to sustain regular paratransit operations.
• In rural/tribal settings, paratransit/demand-response service is more often the only public transit resource. With limited resources available, overcommitment is compounded by lack of involvement with local emergency management in the planning process.
• Duplication of emergency response commitments occurs during notice and no-notice events, but during no-notice emergencies there is less time to assess and respond to evacuation needs and less opportunity for effective interagency communication and coordination.

Effective Practices

• In many states, resident care centers are required to have evacuation plans. Some parts of the country ensure these plans are coordinated to help identify and eliminate dangerous service duplication concerns.
• In some states, resident care centers are directed to develop their own evacuation plans using their own resources or private carriers rather than relying on public transit or paratransit resources.
• In practice, all service requests for evacuation should be coordinated through the local EOC ensuring that mission assignments are operating in support of the Incident Action Plan.

Strategy

• Successful paratransit planning includes strategies to prioritize multiple requests for paratransit resources, thus ensuring that emergency response commitments to customers and outside entities are achievable. Participate in planning meetings with emergency management, human service agencies, resident care centers, and other key stakeholders to clearly delineate paratransit priorities in emergency response and recovery. These priorities also need to be reflected in your paratransit emergency operation plans and protocols.

Tool: Prioritizing Service Obligations

Resources for Urban/Suburban and Rural/Tribal Areas

• Checklist for Capabilities Assessment Summary and Transit Resources Available

http://bussafety.fta.dot.gov/show_resource.php?id=3745

A form from the "Guidebook for Emergency Management Planning for Texas Transit Agencies" for listing community emergency response services that a transit agency is able to perform and resources that a transit system is able to provide in the event of a community emergency.

• Congregate and Residential Care Facilities

http://bussafety.fta.dot.gov/show_resource.php?id=4166

Chapter 6 of FHWA's "Evacuating Populations with Special Needs" discusses the transportation needs for evacuating congregate and residential care facilities (CRCF) and the associated adaptive equipment.

3.A.6 Safety, Security, and Emergency Preparedness Plans

Forward-thinking paratransit providers have plans that address safety, security, and emergency preparedness. Guidance in developing these plans is often provided by local, state, and federal entities as well as peer paratransit providers that have experience in responding to disasters. The specific focus of these plans is generally as follows:

• A system safety program plan addresses (1) vehicle safety, (2) worker safety, and (3) customer safety. It is intended for wide distribution internally, with partner agencies, and with the public.
• A system security plan addresses security threats from criminal or terrorist elements to (1) transit facilities, (2) transit equipment, and (3) transit personnel and customers. Due to the sensitive nature of a System Security Plan, it is distributed internally and shared with partners on a need-to-know basis.
• A paratransit agency's Emergency Operations Plan addresses internal paratransit issues regarding (1) paratransit command and control, (2) paratransit continuity of operations, (3) paratransit incident response operations, and (4) paratransit post-event recovery. Paratransit EOPs are often shared with emergency management and included as an annex to the overall EOP.

For many paratransit agency managers, dispatchers, and drivers, emergency response actions are improvised because emergency response plans and protocols have not been formalized. Effective paratransit EOPs should be distilled into checklists providing the level of detail needed for effective response by drivers, dispatchers, maintenance staff, supervisors, and managers.

An important concept in addressing safety concerns includes collecting safety data related to vehicle accidents and passenger/employee incidents. This data can be analyzed for accident and incident trends that can then be proactively addressed by the paratransit agency. Safety- or security-related "near-miss" data involves collecting information about when an accident is narrowly averted or an on-vehicle security threat does not come to fruition. This data can be helpful in addressing concerns to lower paratransit vulnerability. For more information on developing safety, security, and emergency operation plans, policies, and procedures, visit the FTA Bus Safety and Security Program website at http://bussafety.fta.dot.gov.

Considerations

• Paratransit safety considerations are similar for paratransit providers in urban, suburban, rural, and tribal areas, with the exception of traffic volume.
• Paratransit security concerns tend to be greater in urban/suburban areas than in rural/tribal areas, as the prevalence of crime and the risk of terrorism tend to be greater in urban centers.
• Regardless of agency size, location, and composition, emergency plans should provide paratransit staff with clear response protocols that apply to all types of emergency events, with or without prior warning or preparation.

Effective Practices

• Where the state DOT takes an active role in safety, security, and emergency management oversight, paratransit will often receive technical assistance. This includes planning templates provided by the state DOT; training on safety, security, and emergency procedures; and support for local and regional exercises and interagency coordination. This eases the burden of plan development and fosters continuity across jurisdictions.
• Some paratransit agencies have developed job- and location-specific emergency procedures, protocols, and checklists for managers, supervisors, dispatchers, drivers, and mechanics. Incident-specific checklists based on paratransit emergency planning can be kept on a computer for dispatchers, put in a binder or on a clipboard for supervisors, or printed on laminated cards for drivers. (The resource section includes links to emergency procedures and protocol examples.)
• In a number of states, emergency preparedness and response capabilities are considered when evaluating grant applications. This gives paratransit an added incentive for supporting their emergency preparedness program.
• It is helpful when FTA Regional Offices are proactive in providing emergency preparedness guidance to transit and paratransit providers. The FTA Bus Safety and Security Program is an excellent source of emergency preparedness technical assistance material.

Strategy

• Paratransit normal operations and emergency operations are well served by a system safety program plan, system security plan, and a paratransit EOP. The models for preparing these plans are varied. Some transit agencies combine all three into a single document; some have separate safety, security and emergency preparedness plans. The approach taken is far less important than the content of the planning document(s). These plans should include policies, procedures and protocols to enhance the safety of paratransit operations; to improve the security of paratransit personnel, customers, vehicles and facilities; and to meet paratransit customer emergency transportation needs and/or support community-wide emergency response and recovery.

Tool: Safety, Security, and Emergency Preparedness Plans

Resources for Urban/Suburban Areas

• Manual for the Development of Bus Transit System Safety Program Plans

http://bussafety.fta.dot.gov/show_resource.php?id=2951

Prepared by APTA, this document serves as a primer and guideline for both new start and established bus systems in defining the elements recommended for inclusion in a system safety program plan.

• Recommended Practice for the Development and Implementation of a Security and Emergency Preparedness Plan (SEPP)

http://bussafety.fta.dot.gov/show_resource.php?id=3916

This APTA-recommended practice for the development and implementation of a security and emergency preparedness plan represents a common viewpoint of those parties concerned with its provisions, namely transit operating/planning agencies (transit systems), manufacturers, consultants, engineers and general interest groups.

• Protective Measures Implementation Process and Worksheets

http://bussafety.fta.dot.gov/show_resource.php?id=4130

This site features a process and checklist taken from the "Transit Agency Security and Emergency Management Protective Measures" document. The objective of this general implementation process is to integrate the Homeland Security Advisory System threat conditions with a transit agency's security and emergency management program using an applicable subset of protective measures.

• System Hazard and Security Plan (HSP) Template and Instructions

http://bussafety.fta.dot.gov/show_resource.php?id=2971

http://bussafety.fta.dot.gov/show_resource.php?id=2972

A template published by TRB to guide the development of a transit agency plan that deals with security events from routine to severe and identifies specific threats, organizational and personnel roles and responsibilities, and countermeasure and strategy activities.

• Checklists for Emergency Response Planning and System Security

http://bussafety.fta.dot.gov/show_resource.php?id=3562

A checklist from APTA's website that provides guidance for emergency response planning, coordination, and training.

Resources for Rural/Tribal Areas

• Bus Transit System Safety and Security Review Template

http://bussafety.fta.dot.gov/show_resource.php?id=3016

This Florida DOT template for developing or revising system safety and security program plans references Florida state code for easy compliance verification.

• Passenger, Vehicle, and System Safety Program Plan

http://bussafety.fta.dot.gov/show_resource.php?id=3018

The Buncombe County Community Transportation Program guide for preventing accidents and injuries to customers, employees, and the general public lists resources for completing all of the necessary reports for accountability to safety.

• Managing System Safety for Rural Transit

http://bussafety.fta.dot.gov/show_resource.php?id=3116

This briefing from the Community Transportation Association of America (CTAA) outlines steps for rural transit agencies to develop and implement a system safety plan.

• Skagit Transit System Safety Program Plan

http://bussafety.fta.dot.gov/show_resource.php?id=3055

This plan establishes methods for ensuring that the safety implications of system modifications are addressed prior to making changes and provides a mechanism for identifying, eliminating, and/or controlling hazards.

• Missouri Model Transit Bus Safety and Security Program

http://bussafety.fta.dot.gov/show_resource.php?id=3379

This document provides a sample safety and security program from the Missouri DOT, Transit Section.

• System Security and Emergency Preparedness Plan (SSEPP) Template

http://bussafety.fta.dot.gov/show_resource.php?id=3007

This detailed, yet generic, template from the Ohio DOT may assist agencies in developing an SSEPP by using a "fill-in-the-blank" approach.

• Model System Security Program Plan Template

http://bussafety.fta.dot.gov/show_resource.php?id=2975

This Louisiana Department of Transportation and Development template is to assist transit agencies in developing a comprehensive system security program plan.

• Safety and Security Plan

http://bussafety.fta.dot.gov/show_resource.php?id=4022

This document is a sample plan from the Tillamook County Transportation District.

• Developing an Emergency Operations Plan

http://bussafety.fta.dot.gov/show_resource.php?id=4133

This excerpt from Section 4 of TCRP Report 86: Public Transportation Security, Volume 7: Public Transportation Emergency Mobilization and Emergency Operations Guide provides guidance to transit agencies in developing a comprehensive EOP.

• Sample Emergency Preparedness Plan

http://bussafety.fta.dot.gov/show_resource.php?id=3026

This sample emergency preparedness plan worksheet from the Center for Urban Transportation Research (CUTR) uses an easy-to-follow outline structure to guide users in developing an emergency preparedness plan.

• Disaster Information from FEMA

http://bussafety.fta.dot.gov/show_resource.php?id=4134

This link to FEMA's website can assist with finding information on declared disasters and emergencies and disaster aid programs.

• Disaster Response and Evacuation Policy

http://bussafety.fta.dot.gov/show_resource.php?id=3937

This resource outlines disaster response policy and procedures and includes a notification and deployment/evacuation checklist. It was developed by the Southeast Alabama Regional Planning & Development Commission.

• Emergency Response Functional Checklist

http://bussafety.fta.dot.gov/show_resource.php?id=3942

This checklist from Wiregrass Transit Authority provides a list of tasks for emergency notification, deployment, and evacuation.

• Transit Operating Procedures for Safety and Security

http://bussafety.fta.dot.gov/show_resource.php?id=3128

This in-depth guide was written for the New Mexico DOT to aid transit agencies in developing standard operating procedures, emergency operating procedures, and transit security procedures; it comes with numerous standardized forms.

• Guidance for Paratransit Emergency Planning

http://bussafety.fta.dot.gov/show_resource.php?id=4180

This document outlines the results of a study conducted in 2008 to improve preparedness of ADA paratransit for emergencies. The following are a few of the topics addressed: responding to requests for transportation assistance during a disaster, including from other agencies; ensuring contractor preparedness and staff availability, including contract provisions about contractor staff obligation; prioritizing trips; and registries of paratransit customers who will need assistance during an emergency.

Sample Emergency Protocols

• Transit Property Trespass

http://bussafety.fta.dot.gov/show_resource.php?id=4111

• Suspicious Item on Transit Vehicle

http://bussafety.fta.dot.gov/show_resource.php?id=3582

• Emergency Management Requests Transit Assistance

http://bussafety.fta.dot.gov/show_resource.php?id=3583

• Dangerous Person(s) on Transit Property

http://bussafety.fta.dot.gov/show_resource.php?id=3584

• Dangerous Person on Transit Vehicle

http://bussafety.fta.dot.gov/show_resource.php?id=3585

• Shooter or Hostage Situation on Transit Vehicle

http://bussafety.fta.dot.gov/show_resource.php?id=3586

• Suspicious Item in or near Transit Facility

http://bussafety.fta.dot.gov/show_resource.php?id=3587

• Serious Transit Vehicle Accident/Incident

http://bussafety.fta.dot.gov/show_resource.php?id=3589

• Transit Vehicle Fire

http://bussafety.fta.dot.gov/show_resource.php?id=3590

• Armed Robbery

http://bussafety.fta.dot.gov/show_resource.php?id=3974

• Bomb Threat/Suspicious Device

http://bussafety.fta.dot.gov/show_resource.php?id=4094

• Vehicle Fire

http://bussafety.fta.dot.gov/show_resource.php?id=4095

• Facility Hazmat

http://bussafety.fta.dot.gov/show_resource.php?id=4098

• Facility Fire

http://bussafety.fta.dot.gov/show_resource.php?id=4099

• Natural Disaster

http://bussafety.fta.dot.gov/show_resource.php?id=4100

• Transit Medical Emergency

http://bussafety.fta.dot.gov/show_resource.php?id=4102

• Criminal Acts on Transit Property

http://bussafety.fta.dot.gov/show_resource.php?id=4103

• Injury/Assault

http://bussafety.fta.dot.gov/show_resource.php?id=4104

• Security-Sensitive Information

http://bussafety.fta.dot.gov/show_resource.php?id=4106

• Suspicious Mail

http://bussafety.fta.dot.gov/show_resource.php?id=4107

• Power Outage

http://bussafety.fta.dot.gov/show_resource.php?id=4108

• Transit Property Theft

http://bussafety.fta.dot.gov/show_resource.php?id=4110

3.A.7 Surge Capacity

Paratransit agencies that are part of a government entity frequently have personnel policies that designate staff as "emergency response workers." In cases where emergency service is not mandated, some agencies develop "volunteer lists" of personnel who indicate they are willing to work in support of an emergency response. Regardless, experience from recent disasters demonstrates that paratransit drivers, dispatchers, supervisors, and mechanics may be unable to report to work due to disaster effects, as well as concerns for personal or family welfare. This can result in insufficient staff to support operations.

In a major community-wide or regional disaster event, emergency response operational periods are typically twelve hours long, which may run counter to the United States Department of Transportation (USDOT) and applicable state regulations for driving and on-duty hours. Twelve-hour shifts (or twelve on and twelve off) may be feasible for paratransit drivers as long as the duty cycle includes non-driving time and total driving time does not exceed ten hours per shift. Since emergency response activities often continue for extended hours and even days, issues of driver fatigue and relief shifts inevitably arise. Managing staff hours and preventing fatigue is an obvious health and safety issue.

In general, paratransit providers will want their own trained and qualified personnel to operate their vehicles. However, in a large-scale emergency it may be necessary to bring in additional drivers from neighboring jurisdictions or to utilize public safety, public works, or National Guard personnel to augment local staff. Many states allow law enforcement or emergency responders to commandeer vehicles (for example, to enter a contaminated or dangerous environment). The planning process needs to address concerns related to licensing, vehicle orientation and training, insurance, liability, and cost recovery.

Considerations

• Paratransit providers—large or small, urban or rural—may experience a lower percentage of staff reporting to work during emergencies than anticipated. Accurately estimating the number of employees willing and able to report for duty during a community emergency presents a significant challenge.
• No-notice emergencies are particularly challenging because there is no lead-time for mobilization. Mobilizing employees for emergency response is doubly challenging if power, telephone and cell phone service has been disrupted.
• In many states, a sworn officer can waive the Passenger Endorsement requirement for otherwise properly licensed drivers to operate vehicles in an emergency situation.

Effective Practices

• The best mobilization plans are built around a detailed personnel roster that defines roles, responsibilities, and duty stations for each person. The roster works as a call-down list, so each position has a "primary" as well as "backups" identified.
• A personal and family preparedness orientation increases the likelihood that staff will be prepared to report to work to support emergency response and will help management gain a realistic picture of who will be available should a disaster strike.
• Establishing operational periods that provide for sufficient rest and recuperation for essential personnel, as well as providing adequate food and water for all staff involved in the response, helps limit the impact of extended operational hours.

Strategy

• Develop a formal policy defining the responsibilities and report-to-work requirements for essential personnel. This policy should include a mechanism to determine the number of available frontline staff that will report during emergencies and strategies to sustain paratransit emergency response operations as long as necessary with plans for driver relief.
• Since there may be situations when non-paratransit personnel may be assigned to operate your paratransit vehicles during an emergency response, planning should also consider procedures for training external personnel on paratransit vehicle operation.

Tool: Addressing Surge Capacity

Resources for Urban/Suburban and Rural/Tribal Areas

Essential Personnel

• Essential Personnel Policy

http://bussafety.fta.dot.gov/show_resource.php?id=3771

This policy from Coast Transit Authority summarizes procedures to ensure the presence of adequate and appropriate personnel essential to carry out the transit agency's responsibilities for hurricane evacuations and other emergency response events.

• Employee Emergency Response Participation

http://bussafety.fta.dot.gov/show_resource.php?id=3113

This document is Wiregrass Transit Authority's template for employees to acknowledge whether they agree to participate in emergency response efforts.

• Mobilization Personal Readiness Checklist

http://bussafety.fta.dot.gov/show_resource.php?id=4144

This checklist from the Caltrans Transit Emergency Planning Guidance Technical Appendices provides support to responders in taking care of personal needs before deployment.

Vehicle Operation

• Resource Inventory Form

http://bussafety.fta.dot.gov/show_resource.php?id=3567

APTA's Emergency Response Preparedness Program template for transit agencies to use in listing transportation resources that can be spared to assist emergency management in a disaster response.

Vehicle Orientation

• New Bus Operator Vehicle Orientation Documentation Form

http://bussafety.fta.dot.gov/show_resource.php?id=3170

This form is New Mexico DOT's checklist that is used to certify and document that a driver has received instruction on and understands the operation and purpose of the listed features and functions of a specific vehicle prototype.

• Vehicle and Equipment Orientation Documentation Form

http://bussafety.fta.dot.gov/show_resource.php?id=3984

This Cleveland Area Rapid Transit form is used to document driver orientation on vehicles and equipment.

3.A.8 Contracted Paratransit Services

When paratransit is under direct control of a transit agency or government entity, there is a clear mandate to continue to serve paratransit customers, as well as to support emergency response missions, to the extent possible. Issues of billing and cost recovery are usually not part of the equation-at least in the initial phases of an emergency. This is less true when it comes to contracted service where provider contracts may not specify emergency responsibilities of contracted paratransit staff, and the contracting transit agency or authority may lack the ability to direct the activities of contractor staff during an emergency. In practice, paratransit contractors are usually responsive to agency service requests but, by nature, contracted service is a more arms-length transaction than in-house operations. Private contractors may not have the same protections or obligations as the contracting entity, and if there is no guarantee that emergency service requests are billable at prevailing rates, contractors may refuse to participate. This issue can be particularly complex when the contracting agency provides the vehicles and the contractor provides the drivers and support staff to put those vehicles on the road.

Contract service providers need to be participants in the emergency response planning process to ensure all impacting issues are appropriately addressed and actual emergency response activities will not be negatively impacted. Contracted service provider staff should be active in emergency response planning; developing emergency response procedures and protocols; and participating in training, drills, and exercises.

Considerations

• Many urban/suburban transit systems enter into contracts with paratransit service providers. The transit system or governing entity needs to ensure that contract language includes the requirements and expectations for contractor participation in community emergency response, including reimbursement rates for such services.
• While most rural/tribal paratransit services are operated in-house, those rural systems that contract for paratransit service should include contract language covering requirements and expectations during community emergency response.

Effective Practices

• Some government entities and transit systems have paratransit service provider contracts that address requirements and expectations during emergency response operations. Where such contract language does not exist, some agencies develop an MOU or similar agreement to address this issue in the interim until the paratransit service contract is next put out to bid.
• Involving both internal and contracted paratransit staff in emergency planning, training, and exercises further reinforces understanding about emergency roles and responsibilities.
• It has proven helpful to have an in-house paratransit employee dedicated to staying in communication with contracted paratransit services during an emergency to keep the connection between supervisors open and available.

Strategy

• If your agency contracts out any or all of its paratransit services, ensure contracts contain formal language regarding your contractor's roles and responsibilities during emergencies, either in service to your customers or in support of community-wide emergency response and recovery. Additionally, reinforce these expectations through planning, training, and exercises.

Tool: Contracted Paratransit Services

Resources for Urban/Suburban and Rural/Tribal Areas

• Transit Service Contracting

http://bussafety.fta.dot.gov/show_resource.php?id=3130

This excerpt from Chapter 8 of the Iowa DOT, Office of Public Transit, "Transit Manager's Handbook" discusses topics to be considered when contracting with outside parties.

• Contract Elements and Performance Standards

http://bussafety.fta.dot.gov/show_resource.php?id=4171

http://www.trb.org/Publications/Blurbs/153664.aspx

Chapters 5 and 6 of TCRP Synthesis of Transit Practice 31: Paratransit Contracting and Service Delivery Methods contain excerpts about paratransit contracting elements such as methods of compensation, contractor continuity, performance incentives and penalties, performance monitoring of contractors, and customer complaint procedures.

• Ensuring Contractor Preparedness and Staff Availability

http://bussafety.fta.dot.gov/show_resource.php?id=4181

This excerpt from "Guidance for Paratransit Emergency Preparedness" lists contract provisions from several agencies that were interviewed for a study on paratransit emergency planning.

3.B Training

3.B.1 National Incident Management System/Incident Command System

The ICS, NIMS, and NRF are federally mandated training certification programs for any agency that may be asked to support emergency response and recovery activities. FEMA and other organizations may consider NIMS certification in establishing eligibility for disaster reimbursement.

NIMS certification is designed to help any agency, including paratransit, integrate quickly and effectively into the command and field levels of an emergency response, regardless of jurisdiction or incident size. This training includes the courses ICS-100, ICS-200, ICS-300, ICS-400, IS-700 NIMS, and IS-800 NIMS. Free online courses are available at http://training.fema.gov.

Considerations

• Frequently, the upper echelon of operational leadership within urban/suburban transit systems may be NIMS certified, but paratransit managers, supervisors, and dispatchers may not be. This can create significant problems when paratransit resources are deployed in a large-scale community emergency response.
• Rural/tribal paratransit organizations may be unaware of NIMS certification requirements or not deem it a high priority. When paratransit management is unfamiliar with NIMS, coordination and cooperation in a community-wide emergency response can be negatively impacted.

Effective Practices

• Some state DOTs encourage or mandate NIMS certification as part of safety, security, and emergency management oversight.
• Transit and paratransit agencies may direct employees to take the online NIMS and ICS courses, attend courses conducted by local police or fire and rescue personnel, or retain consultants to teach the NIMS and ICS courses in the context of paratransit operations.
• Paratransit systems sometimes make basic NIMS and ICS training part of their new-hire curriculum, ensuring that new employees receive the certification.
• At many agencies, NIMS compliance is a result of internal advocacy.

Strategy

• Your paratransit agency has options regarding the way it can meet the NIMS compliance requirement. You may direct employees to take online courses, attend training conducted by local police or fire and rescue personnel, or bring in outside expertise to teach FEMA courses in the context of paratransit operations. Whatever approach you take, addressing the requirement for NIMS training and certification is a priority.

Tool: Addressing NIMS Compliance Requirements

Resource for Urban/Suburban and Rural/Tribal Areas

• NIMS Training Program

http://bussafety.fta.dot.gov/show_resource.php?id=4137

This link is to FEMA's NIMS online training courses.

3.B.2 Emergency Preparedness Training

Safe vehicle operations, driver safety, passenger safety, and overall organizational performance depend on effective and relevant training in safety, security, and emergency response at all levels of an organization. There are no universal training standards in the paratransit industry, though most agencies provide some training on vehicle fires and evacuation, accident handling, potentially violent passengers, and other dangerous situations that may occur. Some agencies provide specific guidance and training on roles and responsibilities during community-wide emergencies.

Considerations

• Due to organizational size and complexity of paratransit systems in urban areas, it is more likely that emergency response training has been provided to leadership and management staff; however, it has not always been provided to supervisory or frontline personnel.
• In rural and tribal paratransit systems, emergency response training tends to be uneven due to limited resources and because it is not always regarded as a high priority.
• Advance-notice emergencies and planned special events may provide a window of opportunity to conduct timely emergency response briefings and training to staff. Response to no-notice incidents depends on existing plans, procedures, experience, and training.

Effective Practices

• Paratransit providers that create internal emergency response plans and protocols and provide training for their staff on roles and responsibilities that are critical to success during internal or community-wide emergency response have been proven to be more effective during an emergency. The importance of this planning and training has been clearly underscored by the successful transit response to flooding events in North Dakota and wildfire events in California, Arizona, and New Mexico.
• Paratransit providers should consider providing first aid, cardiopulmonary resuscitation (CPR), and/or automated external defibrillator (AED) training to frontline employees and drivers since emergency situations may require paratransit drivers to respond to passengers' medical needs.

Strategy

• Train all frontline and supervisory paratransit staff on procedures and protocols for responding to internal paratransit-specific emergencies as well as community disasters. The skills developed during this training are critical to successful employee performance, be it for paratransit emergency response or community emergency response. Ideally, this training will be a combination of classroom-setting orientations on emergency procedures and protocols and on-vehicle, hands-on demonstrations of emergency response skills.

Tool: Training for Emergency Response

Resources for Urban/Suburban and Rural/Tribal Areas

• Vehicle Evacuation Procedures

http://bussafety.fta.dot.gov/show_resource.php?id=3268

This website features New Mexico DOT's vehicle evacuation procedures for drivers.

• Immediate Actions (IAs) for Transit Agencies for Potential and Actual Life-Threatening Incidents

http://bussafety.fta.dot.gov/show_resource.php?id=3009

This FTA guidance is intended to help transit agencies reinforce and improve how well their frontline employees react and respond to potential and actual life-threatening incidents.

3.B.3 Personal and Family Preparedness

Effective emergency planning recognizes the benefit of public outreach and education on personal and family preparedness. Paratransit employees who do not have personal and family emergency plans are less likely to report to work following a disaster. This can result in insufficient staff to support life-sustaining trips and other emergency response mission requests. Providing training in personal and family preparedness can help mitigate this concern.

Considerations

• To date, many urban/suburban and rural/tribal paratransit providers have not emphasized personal emergency preparedness for staff.
• In advance-notice incidents, paratransit staff may have time to assemble supplies and prepare to "weather the storm." Impacts from no-notice events are substantially greater on staff that does not have preparedness plans.
• In emergency events where advance notice is possible, paratransit staff may have a small window to assemble personal supplies and develop appropriate family response strategies. Paratransit emergency response activities can be hampered by paratransit staff not properly preparing their families for emergencies, thus delaying their response time or precluding them from responding at all.

Effective Practices

• Paratransit agencies should conduct a personal preparedness and emergency operations briefing annually for employees and include this training as part of their new-hire program. Such programs are frequently offered in conjunction with regional and national preparedness programs, such as the Great Shakeout or National Preparedness Month. Information and materials are available at no or low cost from the American Red Cross, FEMA, the National Transit Institute (NTI) and local emergency management.
• At some agencies, employees are required to have a personal survival plan on file with the agency's health and safety or human resources office that includes preparedness arrangements and up-to-date emergency contact information.

Strategy

• Provide employees with informational materials about personal and family emergency preparedness so your staff is better prepared and more likely to report to work and perform successfully during emergencies. These materials can be distributed on an annual basis, perhaps in advance of each major storm season. Conduct training on personal preparedness using in-house trainers, the Red Cross, local emergency management, or other subject matter experts. Consider addressing personal and family preparedness issues as a part of the new-hire orientation program.

Tool: Personal and Family Preparedness

Resources for Urban/Suburban and Rural/Tribal Areas

• Personal Workplace Disaster Supplies Kit Checklist

http://bussafety.fta.dot.gov/show_resource.php?id=4128

This one-page document from the American Red Cross lists the recommended supplies to keep at the workplace in case employees are confined for many hours, or perhaps overnight, during a disaster or emergency.

• Emergency Preparedness Guide for Transit Employees on the Job and at Home

http://bussafety.fta.dot.gov/show_resource.php?id=3948

This guide from NTI and FTA helps transit employees prepare themselves and their families to cope with man-made or natural emergencies while still allowing them to effectively fulfill their transit duties.

• Immediately after a Disaster

http://bussafety.fta.dot.gov/show_resource.php?id=4135

This FEMA web link provides emergency response steps and other information to assist individuals and families immediately after a disaster.

3.C Exercises

3.C.1 Discussion-Based Exercises

A key strategy to assess emergency response plans is discussion-based exercises, commonly called tabletop exercises. Using an emergency scenario, tabletop exercises provide a forum for a paratransit agency, or for multiple participating agencies, to review EOPs, policies, procedures, command structure, and communication protocols.

Paratransit managers and supervisors are encouraged to participate in tabletop exercises coordinated by their city or county and engage with partner agencies in realistic disaster scenarios. This is where planning assumptions are tested and working relationships with emergency management, first responders, and other emergency support agencies are established. If not invited to the table, paratransit should be proactive and advocate to get involved or identify advocates in local government or the community to encourage participation. State DOTs and state emergency management agencies can also act as catalysts at the state level to encourage participation.

Considerations

• In urban/suburban areas, paratransit systems sometimes conduct internal discussion-based exercises to orient staff to their roles and responsibilities related to serving their customers during an emergency. Additionally, at times, paratransit staff should participate in external tabletop exercises involving key community emergency response stakeholders.
• In rural/tribal areas, paratransit staff does not usually conduct internal discussion-based exercises and often are not invited to participate in external community-wide tabletop exercises.

Effective Practices

• Participation in basic and advanced tabletop exercises, both internally and externally, helps validate transportation planning assumptions, fosters greater coordination, and tends to lay the groundwork for a more successful disaster response.

Strategy

• Hold discussion-based and tabletop exercises internally to build staff skills, validate your emergency response plans, and enhance your staff's understanding of their roles and responsibilities for meeting customer transportation needs during an emergency response. Proactively solicit emergency management for an invitation to participate in community exercises in order to foster relationships with first responders and partner agencies and ensure that your emergency plans do not conflict with broader community emergency response procedures. State DOTs and state emergency management agencies may be able to act as catalysts at the state level to encourage paratransit involvement in community emergency response simulations and exercises.

Tool: Discussion-Based Exercises

Resource for Urban/Suburban and Rural/Tribal Areas

• Tabletop Exercises

http://bussafety.fta.dot.gov/show_resource.php?id=3345

This document, excerpted from the Caltrans Transit Emergency Preparedness Technical Appendices, lists eleven crisis/emergency scenarios for transit agencies to use to conduct tabletop exercises.

3.C.2 Operational Exercises

Operational exercises include functional and full-scale exercises.

Functional exercises test and evaluate the operational capability of specific emergency response functions such as mobilization, communications, or activation of a transportation-specific operations center.

A full-scale exercise, by comparison, tests and evaluates the capability of multiple functions operating together. Full-scale exercises occur in real time, in the field, involving the actual movement of equipment and personnel in the manner they would be called upon in an actual event.

Participating in functional and full-scale exercises allows paratransit staff, emergency management, and first responders to practice mobilizing an effective and coordinated community emergency response.

Functional and full-scale exercises generally conclude with a debriefing session where participants analyze their successes and failures. Outcomes from this analysis are documented in an AAR that includes an improvement plan detailing strategies for participants to enhance and update their organization's emergency plans and protocols.

Considerations

• Urban/suburban transit systems are frequently integrated into community emergency drills and exercises. However, exercises tend to rely on fixed-route buses rather than paratransit vehicles. Thus, paratransit providers, whether internal or contracted, have little opportunity to exercise their capability to respond to actual emergency events.
• Similarly, in rural/tribal areas, school buses are often the main transportation resource emergency managers anticipate using for emergency response, and paratransit is often an afterthought when constructing community emergency response drills and exercises.
• Paratransit agencies that have participated in emergency drills and exercises respond more effectively to advance-notice and no-notice emergencies.
• Under the 2001 Emergency Supplemental Appropriations Act for Recovery from and Response to Terrorist Attacks on the United States, Public Law 107-38, FTA awarded funding to support conducting emergency preparedness drills. Paratransit providers were encouraged to coordinate with regional FTA representatives to determine their grant qualifications. More information can be found at http://www.fta.dot.gov/13442_1595.html.

Effective Practices

• Paratransit providers that actively pursue opportunities to conduct internal emergency drills and participate in external emergency exercises are typically better prepared to respond to emergencies. Practicing internal emergency drills can enhance and benefit the working relationships of paratransit staff, while participating in external exercises can help develop or strengthen relationships between paratransit, first responders, and emergency management.

Strategy

• Participate in functional and full-scale exercises that enhance response and recovery capabilities and ensure that paratransit emergency response plans and protocols do not conflict with those of other agencies or local response strategies. You may need to identify advocates in local government or within the community that can help encourage emergency management to include paratransit in exercises. State DOTs and state emergency management agencies also may be able to act as catalysts at the state level to support your involvement in local and regional exercises.

Tool: Operational Exercises

Resource for Urban/Suburban Areas

• Guidelines for Transportation Emergency Training Exercises

http://bussafety.fta.dot.gov/show_resource.php?id=4131

The ninth volume of both NCHRP Report 525: Surface Transportation Security and TCRP Report 86: Public Transportation Security assists transportation agencies in developing drills and exercises in alignment with NIMS.

Resource for Rural/Tribal Areas

• Homeland Security Exercise and Evaluation Program Volume IV: Sample Exercise Documents and Formats

http://bussafety.fta.dot.gov/show_resource.php?id=3099

The Department of Homeland Security (DHS) provides sample exercise documents and formats intended for the exercise planner to use and/or modify when designing and developing exercises.

3.C.3 Inclusion of People with Access and Functional Needs

Emergency response drills and exercises should include individuals who experience limitations with walking, hearing, seeing, speaking, breathing, understanding, learning, remembering, responding quickly, or fatigue. Not including these individuals in planning, drills, and exercises can easily lead to faulty emergency planning assumptions.

Considerations

• Based on current definitions, people with access and functional needs comprise a significant percentage of the population of our country. As a result of legal decisions and social changes, many people that fall within this definition live independently throughout the community. Paratransit is an essential resource for these individuals in urban, suburban, rural, and tribal communities.
• Advice from individuals with access and functional needs can be extremely helpful in planning for and exercising an emergency response. These individuals can assist by providing input on priorities for service in an emergency, appropriate staging area locations, effective protocols for serving passengers on a paratransit vehicle during an emergency, and evacuating customers with or without assistive devices.
• A common planning assumption for advance-notice emergencies is that people who may need extra time evacuating, such as older adults and people with disabilities, will be encouraged to evacuate early. This can have significant impacts on paratransit operations and should be examined during interagency exercises.
• Following no-notice emergencies, most paratransit agencies plan to return customers to their homes. Some percentage of paratransit customers will be unable to return home because of disaster effects or lack of support resources at their homes following the disaster. Planning for how to best serve these customers caught "in system" on paratransit vehicles or at dropoff locations should be examined during both internal and interagency exercises.

Effective Practices

• By advocating for the inclusion of people with access and functional needs in discussion-based and operational exercises, paratransit can help prepare itself and the community for the diversity of emergency response challenges faced in urban, suburban, rural, and tribal communities.

Strategy

• When people with communication limitations, medical needs, independence concerns, supervision requirements, and transportation limitations as well as representatives from disability and aging organizations are included in emergency planning and disaster exercises, emergency response plans are more likely to address the diverse and specific necessities of people with access and functional needs.
• Although your paratransit agency cannot unilaterally ensure such inclusion takes place, it can play a strong role as a catalyst. Through your interactions with emergency management, you can help provide a voice for people with access and functional needs in the emergency planning process.

Tool: Inclusion of People with Access and Functional Needs

Resources for Urban/Suburban and Rural/Tribal Areas

• Preparedness for All: Why Including People with Disabilities in Drills Is a Learning Tool

http://bussafety.fta.dot.gov/show_resource.php?id=4139

This excerpt is from IAEM Bulletin, Volume 22, No. 4, April 2005. Co-authors of this article are Michael Byrne, Director of Justice & Public Safety, Microsoft, and former First Deputy Director, New York City Office of Emergency Management/Capt. FDNY, and Elizabeth A. Davis, JD, EdM, Director, EAD & Associates Emergency Management & Special Needs Consultants, and former Special Needs Advisor, New York City Office of Emergency Management.

• Emergency Planning for Special Needs Populations

http://bussafety.fta.dot.gov/show_resource.php?id=4138

This article addresses the process Josephine County, Oregon, has undertaken to bring residents with special needs into its emergency planning process. It is an excerpt from IAEM Bulletin, Volume 22, No. 4, April 2005, authored by Mark Sorensen, Regional Healthcare Preparedness Coordinator of Josephine County.

• Serving and Protecting All by Applying Lessons Learned—Including People with Disabilities and Seniors in Disaster Services

http://bussafety.fta.dot.gov/show_resource.php?id=4172

Recommendations in this document are intended to help states benefit from lessons learned so that strong and resilient infrastructures can be built that will include the diverse populations of people with disabilities and seniors in all emergency services.