dEPA
How to Develop a Multi-Year
Training & Exercise (T&E) Plan
A Tool for the Water Sector
;
i .1.
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How to Develop a Multi-Year Training and Exercise (T&E) Plan
A Tool for the Water Sector A ___ _
Planning is the cornerstone of preparedness.
Preparedness is a shared responsibility beginning
with you and extending to the federal government.
Training and exercises are critical to the
preparedness process. A multi-year training and
exercise (T&E) plan is a tool that can be used to
help your utility attain preparedness goals. This
document will assist utilities to create multi-year
T&E plans that can lead to increased emergency
preparedness. The material in this document is
based on the Homeland Security Exercise and
Evaluation Program (HSEEP) guidance found at
https://hseep.dhs.gov/pages/1001_HSEEP7.aspx.
This document is organized into three main
sections. The first section provides background on
the different types of training and exercises. The
second section describes the importance of a T&E
plan and walks the reader through a water and
wastewater utility multi-year T&E plan template.
The final section of this document consists of
attachments. The attachments provide example
T&E plan documents, exercise resources, an
improvement planning matrix, and a capabilities-
based planning flow diagram. For example,
Attachment 1 provides templates for a multi-year
T&E plan schedule for a small, medium, and
large utility. Those new to training and exercise
planning are strongly encouraged to take FEMA's
free online class, An Introduction to Exercises
(IS-120.a). The course can be found at http://
training.fema.gov/EMIWeb/IS/IS 120A.asp. The
multi-year T&E plan described in this document
is not intended to cover standard training (e.g.,
sampling procedures, workplace safety) conducted
as a part of routine utility operations, although it
may be advantageous to combine standard training
and emergency preparedness training as part of the
utility multi-year T&E plan schedule.
Why is emergency preparedness (e.g.,
training and exercises) important for the
water sector?
Utilities must prepare to maintain their critical
services under all-hazard conditions. Preparedness
is essential for effective incident and emergency
management and recovery. The water sector
should be engaged in a continuous cycle of
planning, organizing, training, equipping,
exercising, evaluating, and taking corrective
actions to achieve and maintain readiness to
respond to, and reduce impacts from, emergencies.
Preparedness also leads to increased resiliency,
which is a key component of a utility's ability to
provide critical services under adverse conditions.
Planning
Making
Improvements
Evaluating
Organizing
PREPAREDNESS
CYCLE • Training
Equipping
Exercising
Presidential Policy Directive 8 (PPD-8) is aimed
at strengthening the security and resilience of the
United States through systematic preparation
for the threats that pose the greatest risk to the
security of the nation, including acts of terrorism,
cyber attacks, pandemics, and catastrophic natural
disasters. PPD-8 recognizes the role the water
sector plays in providing basic human needs during
a response. Additionally, HSPD-7 named drinking
water and water treatment systems as critical
infrastructure and key resources that must be
maintained for the health and stability of the nation.
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What are the different types of training?
Training is one of the first steps to ensuring your
utility is properly prepared to respond to an
emergency. An effective response depends in
large part on the successful execution of a utility's
plans and procedures. Utility personnel should
be trained to execute new plans and procedures
before implementation. Training may come in
many forms including self-directed (e.g., online
courses), or instructor-led (e.g., staff training on
new security procedures). Self-directed training
is very convenient for people to schedule, but
typically does not allow a student to interact with
an instructor or other students. Instructor-led
trainings resolve this problem, but are not always
scheduled such that everyone can attend.
Training Example:
After the Director of Water Treatment at the
South Bend Water Works (SBWW) in Indiana
took on the role of Emergency Planner at his
utility, he began to attend his county's Local
Emergency Planning Committee (LEPC)
meetings. After a couple of unsuccessful
attempts, the SBWW was able to secure a
$10,000 education grant from the LEPC to
host two instructor-led water sector Incident
Command System (ICS) trainings at SBWW.
The trainings were open to all first responders
in the county, but the majority of attendees
were from SBWW.
What are the different types of
exercises?
There are seven types of exercises defined
within HSEEP, each of which is either
discussion-based or operations-based.
Discussion-based exercises are used to
develop or familiarize participants with
plans, policies, agreements, and
procedures. Types of discussion-
based exercises include:
• Seminar: A seminar is an
informal discussion, designed
to orient participants to new
or updated plans, policies, or
procedures (e.g., a seminar to review a new or
updated Emergency Response Plan [ERP]).
• Workshop: A workshop resembles a seminar,
but is employed to build specific products, such
as a draft plan or policy (e.g., a workshop to
develop a utility's continuity of operations plan
or COOP).
• Tabletop Exercise (TTX): A TTX involves key
personnel discussing simulated scenarios in an
informal setting. TTXs can be used to assess
plans, policies, and procedures (e.g., a TTX to
assess a Water and Wastewater Agency Response
Network's Operational Plan).
• Game: A game is a simulation of operations
that often involves two or more teams, usually
in a competitive environment, using rules, data,
and procedures designed to depict an actual or
assumed real-life situation (e.g., a scenario-
driven set of questions and answers that allows
teams to move pieces on a game board).
Operations-based exercises validate plans, policies,
agreements and procedures, clarify roles and
responsibilities, and identify resource gaps in a
field environment. Types of operations-based
exercises include:
• Drill: A drill is a coordinated, supervised
activity usually employed to test a single, specific
operation or function within a single entity
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(e.g., collecting water samples in response to a
potential intentional contamination incident).
Functional Exercise (FE): A functional exercise
examines and/or validates the coordination,
command, and control among various
agencies such as water, public health, fire, law
enforcement, and emergency operations centers
(e.g., utility personnel, other first responders, and
emergency officials responding to an incident in
real time).
Full-Scale Exercise (FSE): A full-scale exercise
is a multi-agency, multi-jurisdictional, multi-
discipline exercise involving functional and
"boots on the ground" response (e.g., utility
personnel performing visual inspections of
facilities or collecting samples).
It is important to select the correct exercise to
ensure you are able to meet your designated
training objectives. For example, if your objective
is to build relationships with other first responders,
a tabletop exercise maximizes "face time" with all
of the participants in an interactive environment.
Please see Attachment 2 for water sector examples
of exercises and for a listing of resources and
tools to help you plan and conduct training and
exercises.
What is a Multi-Year T&E Plan?
The multi-year T&E plan is the foundational
document guiding a successful training and
exercise program. The plan is intended to
be a companion document to an emergency
preparedness plan (e.g., ERP, Community
Comprehensive Emergency Management Plan, or
Emergency Operations Plan). The plan is also a
living document that should be updated and refined
annually. The multi-year T&E plan provides a
roadmap for your utility to follow in accomplishing
the priorities described in your ERP. Each priority
is linked to a corresponding need identified by your
utility, agency, or jurisdiction, and, if applicable,
an Improvement Plan (IP) action. An IP identifies
changes/updates to plans, policies, or procedures
as determined during an exercise. The IP also
assigns the responsibility for completing these
actions/tasks to a person or group along with an
implementation timeline. Attachment 3 provides
a format for organizing an IP. Remember, your
training and exercises should focus on developing
those capabilities that will help you to achieve your
specified goals.
Included in a multi-year T&E plan is the training
and exercise schedule, which provides a graphic
illustration of the proposed activities scheduled
for a three year period (Attachment 1 provides
examples of a multi-year T&E schedule). It is
representative of the natural progression of training
and exercises that should take place in accordance
with a building-block approach, which entails
focusing on specific capabilities in a cycle of
escalating complexity and improvement.
What are the benefits of a Multi-Year T&E
Plan?
A multi-year T&E plan will help to ensure that your
utility performs regular training and exercises with
a focus on continual improvement. Performing
regular training and exercises will ensure that
employees stay current in their preparedness
roles, and will also facilitate new employees'
understanding of your utility's preparedness plans
and operations. Training and exercises will also
allow your utility to determine where changes/
updates may need to be incorporated into ERPs,
as well as identify the need for additional mission
critical resources.
Planning should be conducted with your response
partners, such as your local fire department(s),
police department(s), public health department,
local emergency management agency (EMA),
state primacy agency, and utilities in neighboring
jurisdictions. Planning in a multi-agency, multi-
jurisdictional environment helps to ensure that
your plans are coordinated with response partners,
reducing redundancy and building relationships.
Training and exercising with response partners will
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improve incident response by addressing many of
the road blocks typically identified in After Action
Reports:
• Poor communications;
• Poor information flow;
• The failure to establish incident command early;
• The failure to utilize unified command;
• Up-front identification of technical specialists;
• Safety concerns;
• Roles and responsibilities;
• Understanding the capabilities and limitations of
response partners;
• Prioritizing incident objectives; and
• Ineffective resource management.
What are the components of a Multi-Year
T&E Plan?
The following Water and Wastewater Utility Multi-
Year T&E Plan Template provides a summary of
the components that could be included in your
utility's plan.
Potential plan components include the following:
• Section 1. Purpose
• Section 2. Points of Contact
• Section 3. Program Priorities/Capabilities-Based
Training
• Section 4. Methodology and Improvement
Tracking
• Section 5. Multi-year Training and Exercise Plan
Schedule
Water and Wastewater Utility Multi-Year
T&E Plan Template
Section 1. Purpose
The first section provides a discussion of the
purpose of your utility's multi-year T&E plan. You
can use the information above to help develop an
introduction.
Section 2. Points of Contact
A primary contact list for personnel involved with
training and exercises at your utility is provided in
this section. In addition, you should also include
your local EMA training coordinator, and other
emergency management contacts in your state and
local jurisdiction. It is important to keep this list
and the associated contact information up-to-date.
A points of contact list template is provided below,
and you should feel free to add other positions to
this list as necessary.
Your utility's Training & Exercise Manager could
be a superintendent, manager, or operator. It
should be someone who is familiar with your
utility's ERP and who also has good organizational
skills.
Points of Contact Template
Position Name Phone/Email
Utility Superintendent
Training and Exercise Manager
Emergency Management Director
LEPC Representative
Fire Department Liaison
Police Department Liaison
Public Health Department Liaison
Hazardous Material Handling Team
WARN Steering Committee Members
Contractors
Neighboring Utility
Other
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Section 3. Program Priorities/Capabilities-Based
Training
Program priorities are identified by first conducting
a review of your utility's vulnerability assessment,
existing plans (e.g., ERP), lessons learned from
recent incidents or previous years' training and
exercises, IPs, and any recent act, regulation, or
initiative, taking into account how your efforts
will support or complement your jurisdiction's
homeland security priorities. Conducting
this assessment of your priorities helps you to
identify gaps, excesses, and deficiencies in your
preparedness capabilities. You can then select
Be sure to link your priorities back to your
jurisdiction's priorities. You can then use your
selected priorities to write your multi-year T&E
plan. Identifying and describing your specific
priorities in the multi-year T&E plan will help
you to focus your program on those capabilities
which you would like to develop to support your
priorities. See the capabilities-based planning flow
diagram in Attachment 4 for an example.
A template for this section of your multi-year T&E
plan is provided below. Remember, your priorities
should lead to the development of response and
recovery capabilities at your utility.
Capabilities-Based Planning Template
I. [INSERT PRIORITY]
[Briefly describe the priority.]
Corresponding Local Priorities: [Insert local priorities to which the utility's priority most closely
corresponds.]
Capabilities that Support this Priority: [Identify capabilities and corresponding training and
exercises that support this identified priority. Remember to only list those training courses and
exercises that your utility will participate in over the following three years.]
II. [Continue to list priorities, capabilities, and associated training and exercises in this format.]
capabilities to validate through training and
exercises that support your identified priorities.
Target capabilities identified by the Department
of Homeland Security that apply to all agencies
and organizations, as well as those specific to the
water sector, are located at http://www.fema.gov/
pdf/government/training/tcl.pdf. These can be used
as a starting point when identifying capabilities to
support your program's priorities.
Capabilities-based preparedness emphasizes
training and exercising specific capabilities (e.g.,
maintaining operations during a power outage),
rather than more general threats or incidents (e.g.,
hurricane, tornado). This is because capabilities
are applicable to a wide variety of threats and
incidents. For example, a utility located in an area
prone to power outages may want to develop the
capability to operate using backup generators. In
this example, the cause of the power outage (e.g.,
hurricane, tornado) is beside the point, as the
capability to operate using backup generators will
mitigate the consequences of power outages that
may occur due to a variety of incidents.
Section 4. Methodology and Improvement
Tracking
In this section, describe how the training courses
and exercises were chosen and how they will
be tracked with respect to progression and
improvement. Keep in mind that sequence, mix,
and range of training courses and exercises ensure
that your utility increases its preparedness through
different and progressively challenging training
courses and exercise activities. The methodology
chosen should:
• Challenge participants with increasingly
advanced coursework and scenarios;
• Target specific skills, knowledge, and capabilities
needed to execute all facets of the ERP;
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• Incorporate, reinforce, and verify lessons learned
from training, exercises, and actual incidents;
• Identify demonstrated capabilities and areas in
need of improvement;
• Provide a means of evaluation and improvement
planning for exercises; and
• Ensure a method to share lessons learned
and best practices from training courses and
exercises.
To ensure that you capture all suggestions and
lessons learned from exercises, you may wish
to use a form such as an Improvement Planning
Matrix (Attachment 3).
Section 5. Multi-Year Training and Exercise
Plan Schedule
The template and examples in Attachment 1 are
provided to help you complete your respective
schedules. The template can be modified to meet
the requirements of your utility. The guidelines
below will assist you to develop the appropriate
information for the template. In addition,
Attachment 5 lists utilities that have successfully
implemented T&E programs.
Steps to Develop a Multi-Year T&E Plan Schedule
Step 1: Enter the year in which the training and/or exercise will be
conducted. For example, if your utility is developing the schedule for
2011 through 2013 and you are working on 2011, write "2011 (Year One)"
after the colon.
Step 2: Enter all participating jurisdictions (e.g., state, regional, local,
agency, facility) on the left side of the schedule.
Step 3: The schedule is broken into quarters and months. For each
jurisdiction, enter the appropriate quarter and month of the training
course and/or exercise. If an exact date is unknown, enter the
information into the appropriate year or quarter.
Step 4: Write and color-code cells based on the priority of each training
course and exercise type (e.g., TTX, FSE), so that users can easily
understand what training course or exercise is being conducted to
satisfy what priority.
Step 5: Remember to consider the sequence, mix, and range of
training and exercises, as well, as the building block approach.
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Attachment 1
Multi-Year Training & Exercise Plan Schedule
This attachment contains a template to develop a multi-year T&E plan schedule. It also includes
examples of multi-year T&E plan schedules for small, medium, and large utilities. You are encouraged
to review the example that coincides with your respective utility size and resource levels. Use the
corresponding template to develop your own multi-year T&E plan schedule as part of your overall multi-
year T&E plan.
Do not forget to check with your usual training and assistance providers (e.g., rural water affiliate or local
water works section). These organizations may also offer training or exercise opportunities that satisfy
your program priorities.
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Purpose: Use this form to develop your training and exercise schedule (examples follow).
Instructions: Fill in your utility name and the year for which you are completing this schedule. On the left hand side, list all outside agencies you expect to
work with. Fill in, by quarter and month, the exercise or training you plan to conduct or attend to the right of the appropriate agency. You
can list both in-house events (e.g., an ERP seminar) as well as those that involve others (e.g., a pandemic tabletop exercise). One event may
satisfy multiple priorities. Remember to start small (e.g., a seminar) and then work your way up to larger events (e.g., a functional exercise).
AGENCY/
JURISDICTION
[UTILITY NAME]
[PARTICIPANT]
[PARTICIPANT]
[PARTICIPANT]
[PARTICIPANT]
[PARTICIPANT]
[UTILITY NAME] MULTI-YEAR TRAINING & EXERCISE SCHEDULE: [YEAR]
Qtrl
J
F
M
Qtr2
A
M
J
Qtr3
J
A
S
Qtr4
0
N
D
Priorities Addressed: [insert priority titles in blocks below and color code events in table above that address the priorities below]
Priority 1
[Insert Priority Title]
Priority 2
[Insert Priority Title]
Priority 3
[Insert Priority Title]
Priority 4
[Insert Priority Title]
Priority 5
[Insert Priority Title]
Priority 6
[Insert Priority Title]
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Example Multi-Year T&E Plan Schedule for a
Small Utility
AGENCY/
JURISDICTION
SMALL UTILITY
[NEIGHBORING
UTILITY NAME]
[COUNTY HEALTH
DEPARTMENT]
[ STATE PRIMACY
AGENCY]
[LOCAL EMA]
[LOCAL FIRE
DEPARTMENT]
SMALL UTILITY MULTI-YEAR TRAINING & EXERCISE SCHEDULE: [2011 (YEAR ONE)]
Qtrl
J
TRAINING:
HAZMAT
SAFETY
F
TRAINING:
TELEPHONE
THREATS
M
TRAINING:
ICS-100.A
Qtr2
A
TRAINING:
EVACUATION
DRILL
M
EXERCISE: ERP
WORKSHOP
J
EXERCISE:
MUTUAL AID
WORKSHOP
Qtr3
J
EXERCISE:
PANDEMIC
INFLUENZA
TABLETOP
A
EXERCISE:
EMERGENCY
CONTACT &
CALL-IN
SEMINAR
S
TRAINING:
NlMS
IS-700.A
Qtr4
0
EXERCISE:
ALL-HANDS
ERP SEMINAR
N
EXERCISE:
HAZMAT
SPILL DRILL
D
EXERCISE:
WATER
SECURITY
WEBINAR
CD
Priorities Addressed: Utility T&E Priorities (small utilities can leverage training sponsored by their response partners)
Priority 1
Safety
Priority 2
Communications
}•
\
Example
Utility
Priorities
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Example Multi-Year T&E Plan Schedule for a
Medium Utility
AGENCY/
JURISDICTION
MEDIUM UTILITY
[NEIGHBORING
UTILITY NAME]
[COUNTY HEALTH
DEPARTMENT]
[ STATE PRIMACY
AGENCY]
[LOCAL EMA]
[LOCAL FIRE
DEPARTMENT]
MEDIUM UTILITY MULTI-YEAR TRAINING & EXERCISE SCHEDULE: [2011 (YEAR ONE)]
Qtrl
J
TRAINING:
HAZMAT
SAFETY
F
EXERCISE:
COOP
WORKSHOP
M
TRAINING:
ICS-100.A
Qtr2
A
EXERCISE:
MUTUAL AID
WORKSHOP
M
EXERCISE: ERP
WORKSHOP
J
TRAINING:
TELEPHONE
THREATS
Qtr3
J
EXERCISE:
EMERGENCY
CONTACT
SEMINAR
EXERCISE:
PANDEMIC
INFLUENZA
TABLETOP
A
EXERCISE:
COOP
TABLETOP
S
TRAINING:
NlMS
IS-700.A
Qtr4
0
EXERCISE:
ALL-HANDS
ERP SEMINAR
N
EXERCISE:
HAZMAT
SPILL DRILL
D
EXERCISE:
WATER
SECURITY
WEBINAR
Priorities Addressed: Utility T&E Priorities (medium utilities can conduct some exercises and training as well as participate in
those sponsored by their response partners)
Priority 1
Safety
Priority 2
Communications
Priority 3
Continuity of
Operations
}
Example
Utility
Priorities
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Example Multi-Year T&E Plan Schedule for a
Large Utility
AGENCY/
JURISDICTION
LARGE UTILITY
[NEIGHBORING
UTILITY NAME]
[COUNTY HEALTH
DEPARTMENT]
[ STATE PRIMACY
AGENCY]
[LOCAL EMA]
[LOCAL FIRE
DEPARTMENT]
LARGE UTILITY MULTI-YEAR TRAINING & EXERCISE SCHEDULE: [2011 (YEAR ONE)]
Qtrl
J
EXERCISE:
ERP REVIEW
WORKSHOP
F
EXERCISE: ERP
SEMINAR FOR
EMPLOYEES
TRAINING:
EVACUATION
DRILL
M
EXERCISE: ERP
SEMINAR FOR
EMPLOYEES
EXERCISE:
MUTUAL AID
WORKSHOP
Qtr2
A
EXERCISE:
WATER
SECURITY
WEBINAR
TRAINING:
HAZMAT
HANDLING
COURSE
M
EXERCISE:
HAZMAT
HANDLING
DRILL
EXERCISE
J
EXERCISE:
HURRICANE
SEASON
AWARENESS
WORKSHOP
Qtr3
J
EXERCISE:
MULTI-AGENCY
HAZMAT
INCIDENT
TABLETOP
A
EXERCISE:
PANDEMIC
INFLUENZA
TABLETOP
TRAINING:
ICS/NIMS
S
EXERCISE:
COOP
SEMINAR FOR
SUPERVISORS
Qtr4
0
EXERCISE:
COOP
WORKSHOP
N
EXERCISE:
IN-HOUSE
COOP
TABLETOP
D
Priorities Addressed: Utility T&E Priorities (large utilities may conduct both in-house and multi-agency, multi-jurisdictional
training and exercises)
Priority 1
Safety
Priority 2
Communications
Priority 3
Continuity of
Operations
i
Example
Utility
Priorities
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Attachment 2
Exercise Examples and Resources
Exercises
Seminar: Many utilities host seminars to
familiarize staff with a variety of topics such
as workplace safety, administrative policies,
and ERPs. They may not always use the term
"seminar" to refer to this type of informal
educational session.
Workshop: Prior to the development of the
"Resource Typing Manual for Water Sector
Mutual Aid and Assistance" (AWWA, 2008), three
workshops were held around the country so that
individual water and waste water utilities could
provide input as to how the Manual should be
developed and what resources it should contain.
Tabletop Exercise: The Pennsylvania Department
of Environmental Protection is conducting water
sector tabletop exercises from 2009-2011 in
all 67 counties of Pennsylvania. The goal of
the exercises is to bring together local drinking
water and wastewater service providers and other
emergency responders to provide response training,
enhance coordination and communication between
all responders, and improve understanding of
each agency's respective emergency roles and
responsibilities during a water or wastewater
incident. Discussions center on a hazmat incident
that affects utility operations.
Game: To help make reviewing ICS basics more
engaging, utilities attending water sector ICS-
200 or higher can participate in ICS Jeopardy.
Teams are formed, categories and dollar values
are selected, and teams provide the question to
the answer given. Facilitators serve as host and
judge, and scores are kept. The game helps to keep
people involved in reviewing basic concepts of
ICS, and is much more interesting than reviewing
ICS basics through a series of standard PowerPoint
slides.
Drill: Some water utilities invested in rapid field
testing equipment in response to 9/11. Some of
this equipment tests for parameters not usually
analyzed for by the utilities (e.g., ricin, anthrax),
and therefore is not normally used by the utility.
To ensure that staff members know how to operate
this equipment, many utilities conduct drills to
ensure staff familiarity with its use. In addition to
training on equipment, drills can be used to assess
new procedures, practice or maintain skills, or
prepare for a more complex exercise.
Functional Exercise: Fulton County, GA
conducted a functional exercise in 2003 centered
on the intentional contamination of its water
distribution system. Participants (who included the
utility, fire, hazmat, law enforcement, emergency
medical technician, and emergency operations
center staff) were segregated by role. They
communicated by cards which simulated phone,
radio, and facsimile transmissions. Unlike a
tabletop, the time-pressured participants drove the
pace and actions of the exercise as they responded
to pieces of scripted information given to them by
exercise controllers.
Full-Scale Exercise: Many utilities rely on
gaseous chlorine as a disinfectant. Gaseous
chlorine can pose several significant health threats
to a community, especially if it is released into the
environment. Many utilities conduct full-scale
exercises in response to simulated chlorine leaks.
These exercises typically involve utility staff as
well as staff from the local fire department, hazmat
team, law enforcement, public health, and media
outlets, and involve the dispatch and movement of
resources in a field environment.
12
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Resources
1. In 2010, U.S. EPA developed atool to assist
utilities in conducting tabletop exercises: a mini-
DVD entitled "Tabletop Exercise Tool for Water
Systems: Emergency Preparedness, Response, and
Climate Resiliency." This mini-DVD is available
as U.S. EPA publication 817-C-10-001 and can
be obtained from http://yosemite.epa.gov/ow/
SReg.nsf/description/TTX_Tool. Other tabletop
exercise scenarios developed for utilities (including
those with a focus on terrorism incidents) can be
found online at http://www.epa.gov/safewater/
watersecurity/tools/trainingcd/.
2. The Federal Emergency Management Agency
(FEMA) offers free, online training regarding
exercises:
Course Name:
Course Code:
CEUs:
College Credits:
Course Name:
Course Code:
CEUs:
College Credits:
Course Name:
Course Code:
CEUs:
College Credits:
An Introduction to Exercises
IS-120.a
0.5
1.0 (When combined w/ IS-
130)
Exercise Evaluation and
Improvement Planning
IS-130
0.5
1.0 (When combined w/ IS-
120.A)
Exercise Design
IS-139
1.5
1.0
3. FEMA also offers a free, online training
regarding exercising business continuity plans for a
pandemic:
http://training.fema.gov/EMIWeb/IS/IS522.asp
4. U.S. EPA conducts Water Sector Incident
Command System (ICS) training throughout the
United States. The training covers all levels of ICS
(100, 200, 300, and 400) and is open to all water
and wastewater utilities. In addition to being free
to attend, most trainings qualify as contact hours
or continuing education units for both water and
wastewater operator licenses. To learn more about
why ICS training is important and for a training
location near you, please visit www.horsleywitten.
com/workshops.html. If you are interested in
conducting your own ICS training at your utility,
you will find ready-to-go PowerPoint presentations
with instructor notes at http://water.epa.gov/
infrastructure/watersecurity/emerplan/index.cfm.
5. U.S. EPA also conducts Water Sector National
Incident Management System (NIMS) and National
Response Framework (NRF) training. The training
describes NIMS and how water and wastewater
utilities can implement NIMS. The NRF
training discusses how the federal government
responds to and provides support to state and
local governments and agencies during major
catastrophes, with an emphasis on Emergency
Support Function (ESF) #3. ESF #3 defines how
U.S. EPA and other agencies provide support
to water and wastewater utilities during major
emergencies. To learn more about NIMS and NRF
training and for a training location near you, please
visitwww.horsleywitten.com/workshops.html.
6. U.S. EPA conducts several discussion-based
exercises for the water sector around the nation.
For example, the Agency has been sponsoring
tabletop exercises for various state Water and
Wastewater Agency Response Networks (WARNs).
These exercises help the WARNs to fully develop
their notification procedures during an incident and
develop or refine their operating procedures. If you
would like to conduct an exercise for your WARN,
U.S. EPA developed a WARN Tabletop Exercise
Facilitator Guide that can be found at http://www.
epa.gov/safewater/watersecurity/pubs/guide_warn_
ttfacilitator.pdf.
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Attachment 3
Improvement Planning Matrix
Purpose:
Instructions:
Use this form to capture ideas for follow-up after exercises.
On the far left, list the idea or suggestion. Next, identify who you think should be responsible for implementing the suggestion and who can
assist. Also list any needed resources and possible sources for those resources. Check whether the item is short-term (less than a year) or
long-term (more than a year). Gather these forms at the end of the exercise to help create the After Action Report or Improvement Plan.
IMPROVEMENT PLANNING MATRIX
ACTION/TASK FOLLOW-UP
LEAD INDIVIDUAL OR
AGENCY
RESPONSIBLE
SUPPORT INDIVIDUAL OR
AGENCY
RESOURCES NEEDED AND
POSSIBLE SOURCES
TIMELINE
SHORT- LONG-
TERM TERM
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Attachment 4
Example Water Sector Capabilities-Based Planning Flow Diagram
Strengthen
Communications
This is one of your jurisdiction's priorities.
Positive contact
with customers
during water
emergencies
Establish an
agreement to use
a reverse 911
system
This is a priority of your utility determined by examining your
vulnerability assessment, existing plans (e.g., ERP), lessons
learned from previous incidents and training and exercises,
improvement plans (IPs), and recent acts, regulations, or
initiatives.
This capability to access a reverse 911 system supports your
utility's priority to have positive contact with customers and your
jurisdiction's priority to strengthen communications.
Conduct a
reverse 911
seminar for
employees
This exercise introduces the new capability to your utility staff.
Participate in a
jurisdiction-level
communication
drill
This exercise validates the new capability and proves that your
staff can access and use the capability.
Conduct an
exercise after
action review
Evaluate the drill and determine if improvements are required to
fully meet your priority. The after action review can help you to
develop an IP if necessary.
Update your
multi-year T&E
Plan
Incorporate training and exercises determined to be useful from
your improvement planning process. Be sure to update your
ERP also.
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Attachment 5
Utility Training & Exercise (T&E) Program Examples
Utility
Massachusetts
Water
Resources
Authority
(MWRA)
T&E Type Descriptio
Contact
Seminars, tabletop
exercises (TTXs),
drills, full-scale
exercises
MWRA's T&E program includes seminars
on topics such as the utility's Continuity
of Operations Plan and pandemic planning
and includes monthly TTXs and drills.
The TTXs are used to discuss roles,
responsibilities, and procedures in the event
of a dam break, and the drills cover items
such as safe boating practices when staff is
responding to reservoir incidents. MWRA
recently completed a full scale exercise
centered on a break in a water supply shaft.
Approximately three fulltime equivalent
employees (FTEs) manage the MWRA T&E
program.
David Gilmartin
David. gilmartin@mwra.
state.ma.us
617-305-5917
Pennsylvania
American Water
(PAAW)
Seminars, TTXs
PAAW operates approximately 60 public
water supplies in Pennsylvania, ranging
in size from 3,000 to 135,000 customers.
PAAW began its T&E program by
conducting Incident Command System (ICS)
seminars for its employees. Currently, ICS
training is refreshed at the same time annual
TTXs are facilitated. TTXs are conducted
in each of the five regions of the PAAW
system each year, bringing together utility
and outside agency staff to discuss issues
associated with power outages, tornados, and
contamination, to name a few.
Johnlhli
John.ihli@amwater.com
717-531-3311
Office of Water (4601M) • EPA 816-K11-003 • May 2011
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http://water.epa.gov/drink/
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