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7. Standard for Rail Transit System Emergency Management

Approved June 6, 2003 APTA Rail Transit Standards Operating Practices Committee Approved May 23, 2003 APTA Rail Transit Standards Task Force Authorized June 6, 2004 APTA Rail Transit Standards Policy Committee

Abstract: This standard contains minimum emergency management requirements for rail transit systems including emergency mitigation, preparedness, response, and recovery. This document also includes informative annexes of non-required guidelines for rail transit systems developing emergency management plans. Keywords: accident, emergency, emergency equipment, emergency management, emergency plan, emergency preparedness, emergency procedure, emergency response, incident, rail transit system

Copyright 2004 by The American Public Transportation Association 1666 K Street, NW, Washington, DC, 20006-1215, USA No part of this publication may be reproduced in any form, in an electronic retrieval system or otherwise, without the prior written permission of The American Public Transportation Association.

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Introduction
(This introduction is not a part of APTA RT-OP-S-007-O4, Standard for Rail Transit System Emergency Management.)

This standard describes the minimum requirements for rail transit system emergency management. The corresponding annexes provide non-required guidelines for rail transit systems developing emergency management plans. APTA rail transit safety standards represent an industry consensus of acceptable safety requirements for rail transit systems. This document was created by representatives from those parties concerned with its provisions, namely, transit operating/planning agencies (rail transit systems), manufacturers, consultants, engineers, and general interest groups. APTA recommends the use of this standard by: Individuals or organizations that operate rail transit systems Individuals or organizations that contract with others for the operation of rail transit systems Individuals or organizations that influence how rail transit systems are operated (including but not limited to consultants, designers, and contractors)

This standard is intended to satisfy the following objectives: To help minimize the impact of rail transit system emergencies To provide procedures for developing, evaluating, and revising emergency management plans To provide emergency response procedures for emergency management plans To provide overall guidance for rail transit system emergency management planning To help rail transit systems achieve high levels of safety for passengers, employees, and the public

The application of any standards, practices, or guidelines contained herein is voluntary. In some cases, federal and/or state regulations govern portions of rail transit system operation. In such cases, the government regulations override any conflicting practices required or recommended by this document.

Copyright 2004 APTA. All rights reserved.

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Participants
APTA greatly appreciates the contributions of the following members of the Emergency Management & Accident Investigation Subcommittee who provided the primary effort in drafting the Standard for Rail Transit System Emergency Management:
Gabrielle Bayme Rudy Crespo David Gibson Richard J. Hanratty, Jr. Len Hardy Charles Joseph Lisa Mancini Dan Murphy George C. Neal Lori Oakley Tom Peacock Wayne Terry

The following members of the Rail Transit Standards Operating Practices Committee contributed to the review and approval process of the Standard for Rail Transit System Emergency Management: Peter Tereschuck, Chair
Nigel Astell Franklin D. Beauford Harvey Becker John E. Blum Charles Briscoe Aubrey Burton Robert Campbell Rudy Crespo Jess Diaz James P. Dunn Brian P. Dwyer Charles Dziduch Alfred E. Fazio Steve A. Feil Gerald C. Francis James T. Gallagher David J. Gibson Kent L. Haggas Richard J. Hanratty, Jr. Leonard Hardy John P. Hogan Tony Iannone Paul E. Jamieson, P.E. Austin Jenkins Al Johnson Charles Joseph Daryl E. Lampkins Antonio J. Lares Maurice M. Lewis Paul V. Liston Lisa Mancini Pat McBride W. Mark Miller Terrance Mulcahy Dan Murphy George C. Neal Paul O'Brien Lori Oakley Paul Oversier Jeffrey A. Parker Chester Patton Gary Rosenthal Harry Saporta Frederick Schein Paul Stangas Douglas Taylor Wayne Terry George Turner

APTA Rail Transit Standards Operating Practices Committee project consultants:


Kenneth Korach. Transportation Resource Associates, Inc Christopher Wallgren. Transportation Resource Associates, Inc.

APTA Rail Transit Standards project team:


Gabrielle Bayme, Standards Development Program Specialist and Project Editor Saahir Brewington, Administrative Assistant and Project Editor Antoinette Hankins, Program Assistant Thomas Peacock, Director-Operations & Technical Services David Phelps, Senior Project Manager - Rail Programs

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Contents
1. Overview ................................................................................................................................................7.1 1.1 Scope and purpose ............................................................................................................................7.1 1.2 Alternate practices.............................................................................................................................7.2 2. References ..............................................................................................................................................7.2 3. Definitions, abbreviations, and acronyms ..............................................................................................7.4 3.1 Definitions.........................................................................................................................................7.4 3.2 Abbreviations and acronyms.............................................................................................................7.6 4. Mitigation...............................................................................................................................................7.7 5. Preparedness...........................................................................................................................................7.8 5.1 Emergency management plan ...........................................................................................................7.8 5.2 Roles and responsibilities................................................................................................................7.10 5.3 Emergency training, practices, and drills........................................................................................7.10 5.4 Levels of emergencies.....................................................................................................................7.11 5.5 Participating outside agencies (POAs)............................................................................................7.11 6. Response...............................................................................................................................................7.11 6.1 Operations Control Center (OCC) ..................................................................................................7.11 6.2 OCC back-up...................................................................................................................................7.12 6.3 Incident command system (ICS).....................................................................................................7.14 6.4 General emergency response procedures ........................................................................................7.14 6.5 Potential emergency scenarios ........................................................................................................7.17 7. Recovery...............................................................................................................................................7.19 Annex A (informative) Bibliography.......................................................................................................7.21 Annex B (Informative) Guidelines for emergency mitigation .................................................................7.24 B.1 Mitigating hazards..........................................................................................................................7.24 B.2 Safety and emergency features for vehicles and facilities..............................................................7.26 Annex C (Informative) Guidelines for emergency preparedness.............................................................7.32 C.1 Emergency management plan.........................................................................................................7.32 C.2 Specific roles and responsibilities of RTS departments and personnel..........................................7.35 C.3 Guidelines for emergency training, practices and drills .................................................................7.35 C.4 Levels of emergencies ....................................................................................................................7.40 C.5 Participating outside agencies ........................................................................................................7.40 C.6 Emergency equipment, supplies, and technology ..........................................................................7.42

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Annex D (Informative) Guidelines for emergency response ...................................................................7.45 D.1 Operations Control Center back-up................................................................................................7.45 D.2 General emergency response procedures .......................................................................................7.49 D.3 Emergency-specific response procedures ......................................................................................7.55 Annex E (Informative) Guidelines for emergency recovery ....................................................................7.74 E.1 Restoration of normal conditions and service ................................................................................7.74

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Standard for Rail Transit System Emergency Management


1. Overview
This standard contains requirements and guidelines for rail transit system (RTS) emergency management (EM). This document uses the Federal Emergency Management Agency (FEMA) concept of comprehensive emergency management (CEM) which emphasizes the importance of mitigation, preparedness, response, and recovery in managing and containing the effects of an emergency situation. The organization of this document uses these four FEMA categories. The body of this standard contains the minimum requirements for RTS emergency management programs and is divided into seven sections. Section 1 provides the overview of the document. Section 2 contains references that are cited in this document. Section 3 provides definitions, abbreviations, and acronyms that are either not found in other standards, or have been modified for use with this standard. Section 4 describes emergency mitigation. Section 5 describes emergency preparedness requirements. Section 6 describes required emergency response provisions and procedures. Section 7 describes required emergency recovery procedures. This document also includes comprehensive informative annexes to use as a companion to the standard. Annex A contains a bibliography of references that are not cited in this document but that contributed to its development. Annex B, C, D, and E correspond to Sections 4, 5, 6, and 7 of this standard, and address mitigation, preparedness, response, and recovery respectively. Sections 4-7 specify minimum requirements for the four components of emergency management and list a corresponding annex section where the reader can find additional information and guidelines on how to meet these requirements. References to other sections of the document are in bold italic font. Since more than one way exists for fulfilling many of the emergency management requirements put stated this standard, the guidelines provided in the annexes are optional. The use of the word should in the annexes of this document does not legally obligate the RTS to follow a guideline. The Federal Railroad Administration (FRA) regulates rail transit systems that operate on tracks or share rights-of-way that are part of the general U.S. railroad system. These transit systems must follow the requirements in the FRAs Code of Federal Regulations (CFR), 49 CFR, Part 239, Passenger Train Emergency Preparedness, May 4, 19981.

1.1 Scope and purpose


This standard provides requirements and guidelines for rail transit system emergency management. The information contained in the main body of this document (not including the
1

For references in Italics, see Section 2. Copyright 2004 APTA. All rights reserved.

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annexes) represents an industry consensus for minimum emergency management requirements for light and heavy rail transit systems. The annexes provide guidelines to assist rail transit systems prevent, manage, and resolve the various types of emergencies that may, with reasonable likelihood, occur during the life cycle of the system. This document focuses on electrically powered rail transit systems and may not fully address the emergency issues faced by other transit modes, such as diesel multiple units (DMUs). Emergency management as referred to in this document, addresses all activities the RTS takes to reduce the impact of emergencies that occur in or around RTS stations, tracks, vehicles, and yards. Although rail transit systems have a history of providing assistance during emergency situations outside the RTS jurisdiction, specific requirements and guidelines for such assistance are not contained in this document.

1.2 Alternate practices


Individual rail transit systems may modify the practices in this standard to accommodate their specific equipment and mode of operation. APTA recognizes that some rail transit systems may have unique operating environments that make strict compliance with every provision of this standard impossible. As a result, certain rail transit systems may need to implement the standards and practices herein in ways that are more or less restrictive than this document prescribes. A rail transit system (RTS) may develop alternates to the APTA standards so long as the alternates are based on a safe operating history and are described and documented in the systems safety program plan (or another document that is referenced in the system safety program plan). Documentation of alternate practices shall: a) Identify the specific APTA rail transit safety standard requirements that cannot be met b) State why each of these requirements cannot be met c) Describe the alternate methods used d) Describe and substantiate how the alternate methods do not compromise safety and provide a level of safety equivalent to the practices in the APTA safety standard (operating histories or hazard analysis findings may be used to substantiate this claim)

2. References
This document shall be used in conjunction with the following publications. If the following publications are superseded by an approved revision, the revision shall apply. APTA Guidelines for the Design of Rapid Transit Facilities, Washington DC, June 1981. APTA Moving People Safely. APTA Passenger Rail Equipment Safety Standards, revised 2004. Volume 2: Construction and Structural Standards Volume 3: Electrical Standards
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Volume 4: Inspection and Maintenance Standards Volume 5: Mechanical Standards and Recommended Practices Volume 6: Passenger System Standards APTA Rail Transit Standards, 2004. Volume 2: Vehicle Inspection and Maintenance Volume 4: Operating Practices Volume 5: Fixed Structure Inspection and Maintenance Volume 6: Signals and Communications Inspections, Maintenance and Testing APTA Resource Kit: Severe Weather Operations (CD-ROM).2 CFR 49, Part 239, Railroad Locomotive Safety Standards, Code of Federal Regulations, Passenger Train Emergency Preparedness, October 2002. DOT-VNTSC-FTA-MA-26-5005-00-01, Hazard Analysis Guidelines for Transit Projects, U.S. Department of Transportation, Federal Transit Administration, Final Report, January 2000. FTA-MA-26-7009-98-1, Critical Incident Management Guidelines, U.S. Department of Transportation, Federal Transit Administration, Final Report, July 1998. Manual for the Development of Rail Transit System Safety Program Plans, Rail Safety Audit Program, American Public Transportation Association, Rev. June 2001. MUNI Emergency Operating Procedures Earthquakes, Revised April 16, 2002 NFPA 130: National Fire Protection Association, 2000. NFPA 130: Subsection 3.2.7, Standard for Fixed Guideway Transit and Passenger Railroad Systems, National Fire Protection Association, 2000. San Francisco Bay Area Rapid Transit Emergency Plan, Revised November 2002, Chapter 1. UMTA-MA-06-0152-85-1, Recommended Emergency Preparedness Guidelines for Rail Transit Systems, U.S. Department of Transportation, Urban Mass Transit Administration, Reprint December 1991. UMTA-MA-06-01586-89-1, Recommended Emergency Preparedness Guidelines for Elderly and Disabled Rail Transit Passengers, U.S. Department of Transportation, Urban Mass Transit Administration, Reprint May 1997. UMTA-MA-06-0196-91-1, Recommended Emergency Preparedness Guidelines for Urban, Rural, and Specialized Transit Systems, U.S. Department of Transportation, Urban Mass
2

To request, contact the APTA Information Center. Copyright 2004 APTA. All rights reserved.

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Transportation Administration, Reprint, February 1995.

3. Definitions, abbreviations, and acronyms


For the purposes of this document, the terms and definitions in Sections 3.1 and 3.2 apply.

3.1 Definitions
3.1.1 Chief Executive Officer (CEO): Overall head of organization. 3.1.2 command post: A location at the site of an emergency designated as the place from which the incident will be managed and through which all communication and activities will be coordinated. Also referred to as the Incident Command Post and the Field Command Post. 3.1.3 comprehensive emergency management (CEM): A practice of emergency management that breaks emergency planning into four phases: mitigation, preparedness, response, and recovery. CEM presents an all hazards approach to emergency management, focusing on procedures that can be used for multiple emergencies. 3.1.4 consequence management: Measures to alleviate the damage, loss, hardship, or suffering caused by emergencies. These include measures to restore essential services, protect public health and safety, and provide emergency relief to affected state and local governments. 3.1.5 emergency: An unforeseen combination of circumstances and/or incidents with the potential to negatively impact safe transit operations that calls for immediate action, assistance, or relief. 3.1.6 emergency operations control center (EOCC): A pre-identified location for senior officials from the RTS and, if required, emergency responders from participating outside agencies to meet and discuss strategies for coping with the emergency. Also known as the war room. 3.1.7 emergency management (EM) plan: The written document that contains a specific rail transit systems emergency procedures and/or checklists. 3.1.8 emergency management (EM): All actions a rail transit system takes to reduce the impact of emergencies. 3.1.9 emergency responder: Any individual employed by the RTS or a participating outside agency that plays an active role in emergency response or recovery. 3.1.10 emergency-specific response procedures: Procedures and/or checklists that have aspects that apply only to a specific given emergency scenario and cannot be easily applied to any other emergency scenario. Examples include procedures for earthquakes, hurricanes, terrorism, and the release of dangerous substances. 3.1.11 general emergency response procedures: Procedures and/or checklists that are applicable to a wide array of emergency scenarios with minimal revisions for emergency-specific needs. Examples include procedures for evacuation, notification, and crowd control.
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3.1.12 guideway: The portion of a transit line and its structures that exists within right-of-way fences, outside lines of curbs or shoulders, underground tunnels, cut or fill slopes, ditches, channels, and waterways. 3.1.13 hazard: Any real or potential condition that can cause injury, death, or damage or loss of equipment or property. 3.1.14 high performance photoluminescent material (HPPL): A material that is capable of emitting fluorescent and/or phosphorescent light at a high rate and for an extended period of time after absorption of light radiation from an external source by the process of photon excitation. 3.1.15 Incident Command System (ICS): A system used to manage emergency response activities, that consists of a hierarchy/chain of command (command function) and emergency communications protocols. 3.1.16 incident commander (IC): Incident commander is the individual responsible for all functions at the field response level. If the transit agency is the only responder, then they will be the IC. When emergency responders such as the fire department and police are on site, they will take on the responsibility of IC. 3.1.17 incident: A specific event or circumstance that has a negative effect on operations. 3.1.18 mitigation: The phase of emergency management that utilizes sustained actions to reduce or eliminate long-term risk to people and property from hazards and limits the effects of hazards. Mitigation for rail transit systems may include design considerations for safe vehicles and facilities, safety training, and other activities or provisions that promote a safe operating environment. 3.1.19 Operations Control Center (OCC): A location or locations designed, equipped, and staffed for the purposes of monitoring and controlling RTS activities from a central location or locations. Also known by various other names such as Rail Operations Center, Rail Control Center, and Rail Service Control Center. 3.1.20 participating outside agency (POA): Any organization not directly affiliated with the RTS that may respond during a transit emergency. Examples include but are not limited to fire departments, police departments, utilities, hospitals, contractors with specialized equipment, and local, state, and federal government agencies. 3.1.21 preparedness: The phase of emergency management that prepares the RTS in advance for emergency response and recovery. Preparedness for rail transit systems includes but is not limited to the development of emergency procedures and/or checklists and an emergency management plan, emergency response training, and inter-agency agreements. 3.1.22 rail transit supervisor: A qualified employee who has direct control over assigned staff and equipment and is responsible for the safe and efficient performance of an assigned portion of the rail transit system. 3.1.23 rail transit system (RTS): The organization or portion of an organization that operates rail transit service and related activities. Syn: operating agency, operating authority, transit
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agency, transit authority, transit system. 3.1.24 recovery: The phase of emergency management that occurs after emergency response activities are completed and any immediate danger has passed. Recovery for rail transit systems includes but is not limited to restoration of normal operations, damage repair, debriefing, assessment of emergency response, and documentation. 3.1.25 response: The phase of emergency management that occurs once an emergency situation has been confirmed or, in some cases, when warning signs indicate that an emergency is imminent. 3.1.26 hazard: Any real or potential condition that can cause injury, death, or damage or loss of equipment or property. 3.1.27 risk: The probability of a hazardous condition occurring in a given context. 3.1.28 Satellite Operations Control Center (SOCC): A designated backup location for carrying out essential functions if the existing OCC is incapacitated, threatened, or in harms way. Syn: Backup OCC. 3.1.29 single command: A chain of command used in the ICS in which a single, Incident Commander (IC) has overall responsibility for the management of an incident or emergency when the event overlaps one or more jurisdictions . 3.1.30 social mitigation: Passenger awareness programs, education on self-protective measure for both passengers and employees, and other situational or procedural measures. 3.1.31 terrorism: The intentional and unlawful use of force and violence against persons or property to intimidate or coerce a government, the civilian population or any segment thereof, in furtherance of political or social objectives. 3.1.32 train operator: A qualified employee having direct control and responsibility for the movement of a train. 3.1.33 unified command: A chain of command that is multi-jurisdictional in which more than one agency (including the RTS) shares responsibility for the management of the emergency.

3.2 Abbreviations and acronyms


For the purposes of this standard, the following abbreviations and acronyms apply: ADA APTA CEM CEO CFR DMUs EOCC EM FEMA Americans with Disabilities Act American Public Transportation Association comprehensive emergency management Chief Executive Officer Code of Federal Regulations diesel multiple units Emergency Operations Control Center (war room) emergency management Federal Emergency Management Agency
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FRA FTA HPPL IC ICS NBC OCC PA POA RTS SOCC UMTA USDOT

Federal Railroad Administration Federal Transit Administration High performance photo-luminescent incident commander Incident Command System nuclear/biological/chemical Operations Control Center (Rail Control Center) public address system participating outside agency rail transit system Satellite Operations Control Center (or back-up OCC) Urban Mass Transit Administration United States Department of Transportation

4. Mitigation
The mitigation phase of emergency management minimizes potential risks by eliminating, controlling, or reducing hazards that may cause emergencies. Mitigation activities help prevent some emergencies and will help lessen the effects of emergencies that do occur. Emergency mitigation for rail transit systems includes but is not limited to: a) The use of safe and secure designs for vehicles, equipment, and facilities (see APTA Manual of Standards and Recommended Practices for Passenger Rail Equipment, Volumes 2, 3, & 5) b) Safe operating practices (see APTA Manual of Standards and Recommended Practices for Rail Transit Systems, Volume 4: Operating Practices) c) Passenger education materials and displays for safe riding practices, onboard policies, and personal security (known as social mitigation) d) Easily accessible and adequately marked facility and vehicle exits (see APTA Manual of Standards and Recommended Practices for Passenger Rail Equipment, Volume 6) e) Periodic maintenance of vehicles and equipment (see APTA Manual of Standards and Recommended Practices for Passenger Rail Equipment, Volume 4 and APTA Manual of Standards and Recommended Practices for Rail Transit Systems, Volume 2) f) Safety training g) Apply safety devices h) Apply warning devices (besides just at exits) i) Apply operating procedures j) Efficiency checks/audits on personnel and facilities to ensure compliance of RTS emergency mitigation standards

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The RTS shall determine appropriate mitigation strategies to use as part of their overall emergency management program. For emergency mitigation guidelines, see Annex B. For hazard identification and risk assessment guidelines, see Annex B.1.

5. Preparedness
The preparedness phase of emergency management establishes the objectives, procedures, and resources for future emergency response efforts. Preparedness includes the development of documented emergency procedures and/or checklists, assignment of responsibilities for all phases of emergency response and recovery, and emergency response training. The RTS shall document its preparedness activities in an emergency management plan and coordinate with local jurisdictions as necessary to ensure emergency preparedness. For emergency preparedness guidelines, see Annex C.

5.1 Emergency management plan


The RTS shall develop formal procedures for the development, approval, implementation, evaluation, and revision of an EM plan that fulfills the requirements of this standard. 5.1.1 Required components of EM plan The emergency management plan is a written document that contains the rail transit systems emergency procedures and/or checklists. The RTS shall develop an EM plan in close cooperation with local emergency personnel that may assist the RTS during an emergency. The EM plan shall address the EM plan requirements in Table 1, as specified in the corresponding sections of this standard.
Table 1 EM plan requirements EM plan requirements Section

Emergency training, practices, and drills Levels of emergencies Roles and responsibilities Coordination with participating outside agencies OCC emergency operations OCC back-up Incident Command System (ICS)

5.3 5.4 5.2 5.5 6.1 6.2 6.3

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EM plan requirements

Section

Procedures and/or checklists Restoration of normal conditions and service Documentation

6.4 7.1 7.2

At the discretion of the RTS, the plan may be detailed in a single document that comprehensively covers all applicable requirements, or the plan may be outlined in a brief master document that refers to complementary stand-alone documents that cover response and recovery procedures. The layout and design of the written EM document is also left to the discretion of the individual RTS. For guidelines on the layout and components of an EM plan, see Annex C.1.1. 5.1.2 Development of new EM plan New rail transit systems without existing EM programs shall develop a written EM plan. The new plan shall fulfill the requirements described in this standard. For EM plan development guidelines, see Annex C.1.2. 5.1.3 Approval of EM plan The senior management of each RTS shall develop a formal process for approving new emergency management plans and for approving periodic changes to existing plans. The CEO of the RTS shall have final approval authority for the plan. 5.1.4 Implementation of EM plan In order to ensure the most effective implementation of the EM plan, rail transit systems shall keep all components of their plan updated and maintained. The RTS shall determine and specify regular intervals to conduct the following activities that support the EM plan: a) Evaluation, revisions, and re-approval of EM plan b) General and refresher training c) Drills and/or table top exercises d) Updates of emergency response contact lists e) Coordination meetings with participating outside agencies f) Testing and maintenance of emergency equipment g) Inspection, testing, and replenishment of emergency supplies h) Inspection of facilities and structures

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5.1.5 Evaluation of EM Plan The RTS shall create and implement procedures for monitoring and evaluating the effectiveness of the EM program that include the following steps: a) Review and compare the general content of their new or existing emergency management plan to the content requirements in this standard b) Perform an objective comparison of the procedures contained in the annexes of this standard to those of the RTS c) Review the impact of system changes such as expansion and changes in service on EM For EM plan evaluation guidelines, see Annex C.1.3. 5.1.6 Revision of EM plan Rail transit systems shall develop and implement a process for using new information, including lessons learned from drills and past emergency response and recovery efforts to improve their emergency management programs. The RTS shall establish: a) The conditions under which the EM plan should be revised b) The frequency for making revisions to the emergency response program For EM plan revision guidelines, see Annex C.1.4.

5.2 Roles and responsibilities


5.2.1 General roles and responsibilities of RTS For emergencies affecting RTS personnel and passengers as well as RTS stations, tracks, vehicles and yards, the RTS shall define its role and responsibility, including both situations in which the RTS is the IC and situations in which the IC is from a participating outside agency (POA). (See Section 5.5). 5.2.2 Specific roles and responsibilities of RTS departments and personnel The RTS shall identify and clearly define the emergency management roles and responsibilities for all applicable RTS employees, departments, and internal organizations in their EM plan. For guidelines on how to define emergency management roles and responsibilities for RTS departments and personnel, see Annex C.2.

5.3 Emergency training, practices, and drills


Training of both RTS employees and participating outside agencies is a crucial step in the successful implementation of emergency preparedness programs. The RTS shall determine the following for training programs:
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a) Who needs to be trained b) Who will facilitate/instruct c) The depth and duration of the training required d) The key points to be covered e) A means of assessing the extent to which employees grasped the key points f) Specifications for periodic refresher training g) How to develop lesson plans, presentation materials, student handouts, and reference materials for training programs For guidelines on emergency training, practices and drills, see Annex C.3.

5.4 Levels of emergencies


The RTS shall define levels of emergencies to determine the scope and magnitude of the response required by a specific event. For guidelines on defining emergency levels and classifications, see Annex C.4.

5.5 Participating outside agencies (POAs)


Rail transit systems shall identify outside agencies (POAs) who may respond when emergencies require special skills or equipment not available to the RTS, and develop procedures for achieving coordination with these agencies. For guidelines on establishing inter-agency protocols and agreements, see Annex C.5.

6. Response
The response phase of emergency management implements planned emergency activities, responsibilities, and agreements. The RTS shall address the response procedures in Sections 6.16.5 in their EM plan (as a minimum). For emergency response guidelines, see Annex D.

6.1 Operations Control Center (OCC)


The OCC is responsible for the central control of rail operations and plays a crucial role in the initial stages of emergency response. The RTS shall describe the following in their EM plan in order to assist the OCC with emergency response: a) The general roles and responsibilities of key OCC personnel during emergencies b) The roles and responsibilities of the OCC in the incident notification, evaluation and documentation processes
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c) The scope and location of emergency plans and procedures d) The practices and policies for coordinating OCC activities with the Emergency Operations Control Center (EOCC) (see Section 6.2.2)

6.2 OCC back-up


The RTS shall assure continuity of operations in case of the following events: a) The functioning of the OCC is jeopardized b) Loss of OCC (see Section 6.2.1 and Annex D.1) c) Loss of communication and/or other vital systems (see Annexes D.1.1.1 and D.2.9) d) Key infrastructure damage The RTS may designate an Emergency Operations Control Center (EOCC) (see Section 6.2.2) and/or Satellite Operations Control Center (SOCC) as emergency backups to the OCC. The Emergency Operations Control Center (EOCC) is a pre-identified location for senior officials from the RTS and emergency responders from POAs to meet and develop strategies for coping with the emergency. A major objective of the EOCC is to support the IC. The EOCC may also be known as the war room. The Satellite Operations Control Center (SOCC) is a designated location for carrying out essential functions if the existing OCC is incapacitated, threatened or in harms way. The RTS shall describe the organizational structure and principal functions of all applicable operations control facilities (OCC, EOCC, and SOCC) in their EM plan. For an example, see the San Francisco Bay Area Rapid Transit Emergency Plan, Chapter 1. For guidelines on the functioning of the EOCC and SOCC during emergencies, see Annex D.1. 6.2.1 Loss of OCC In the EM plan, the RTS shall provide clear procedures and/or checklists to be used if the OCC becomes inoperative. The loss of OCC procedures shall include the following provisions: a) Instructions for using back up train routing systems b) Instructions for using back up communication systems including System-wide alternate communications line Cellular/mobile telephone service for supervisory staff Default settings for visual messaging apparatus Local manual control of station visual messaging apparatus
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c) Procedural instructions for field personnel d) System response requirements for expected duration of loss e) Guidelines for determining the extent and time-line of impact to operations f) Lists of key contractors and services to contact g) Internal and external notification requirements h) Policies for OCC coordination with the SOCC (if applicable) and the Emergency Operations Control Center (EOCC) if applicable For guidelines on handling the loss of the OCC, including the establishment of an SOCC, see Annex D.1.1. 6.2.2 Emergency Operations Control Center (EOCC) The RTS shall designate a location to serve as an EOCC. The EOCC is a pre-identified location for senior officials from the RTS and, if required, emergency responders from POAs to meet and develop strategies for coping with emergencies. A major objective of the EOCC is to support the IC. The RTS shall staff the EOCC with the personnel necessary to make emergency management policy decisions and equip the EOCC with emergency communications equipment. The RTS shall identify the conditions under which an EOCC should be activated. Conditions that may warrant the activation of the EOCC include: a) A local or state emergency is declared b) The emergency is of long duration (system recovery may take several days or longer) c) The emergency requires resources beyond the rail transit systems capability d) Major policy decisions are needed in response to the emergency For EOCC guidelines, see Annex D.1.2.

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6.3 Incident command system (ICS)


In cooperation with POAs, the RTS shall establish a formal incident command system (ICS) to be used for incidents and emergency situations. The ICS consists of a hierarchy/chain of command (command function) and communication protocols for emergency operations. The RTS shall address each level of emergency (see Section 5.3) in the ICS. For guidelines on incident command systems including command functions, see FTA_MA-2670009-98-1, Critical Incident Management Guidelines and Annex D.1.4 of this document.

6.4 General emergency response procedures


General emergency response procedures are procedures and/or checklists that are applicable to a wide array of emergency scenarios with minimal revisions for emergency-specific needs. The RTS EM plan shall contain general emergency response procedures and/or checklists for the activities listed in Sections 6.4.1-6.4.11 as a minimum. The RTS shall assign clear responsibility for the management, coordination, and implementation of each task in the procedures. For guidelines on general emergency response procedures, see Annex D.2. For guidelines on emergency-specific response procedures, see Annex D.3. 6.4.1 Notification The RTS shall develop procedures and/or checklists for notifying key parties of emergency situations and incidents with the potential to develop into emergencies. Such action is necessary to ensure effective emergency response. The RTS shall provide notification procedures/checklists for the following employees and/or departments: The first RTS employee who becomes aware of the emergency The RTS employee/s and/or departments responsible for: Informing customers/passengers of emergencies Deciding to contact participating outside agencies The release of timely, accurate information to the media The notification procedures/checklists shall include the following components as a minimum: a) Guidelines on what information to obtain from employees, passengers, or other individuals first reporting emergencies to the RTS b) Guidelines for what persons/departments are to be contacted at what stage of the process c) Policy for reporting emergencies within the RTS

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d) Guidelines for disseminating appropriate information to customers e) Inter-agency policy for broadcasting system status information to the public f) Instructions and policy for contacting POAs g) Instructions and policy for media notification 6.4.2 Traction power removal and restoration Although traction power removal/restoration is not itself an emergency, a procedure for doing so is often required in response to other emergency situations. The RTS shall develop procedures for the removal and subsequent restoration of traction power. For traction power removal and restoration guidelines, see Annex D.2.1. 6.4.3 Removal of trains from service Although the removal of trains from service is not itself an emergency, a procedure for doing so is often required in response to other emergency situations. The RTS shall develop procedures and/or checklists for the removal of trains from service. Examples of emergencies that may require the removal of trains from service include but are not limited to: a) Fires/explosions (see Annex D.3.7) b) Earthquakes (see Annex D.3.4.1) c) Floods (see Annex D.3.4.4) 6.4.4 Emergency ventilation Some emergencies that occur when people are in underground or confined spaces require emergency ventilation. Other instances require cutting off ventilation. If the RTS operates in tunnels, and/or has locations where people are in underground or confined spaces, the RTS shall develop procedures and/or checklists for implementing ventilation scenarios for both emergency and normal operations. These procedures/checklists should take into account special local circumstances and provide for unanticipated conditions. For emergency ventilation guidelines, see Annex D.2.2. 6.4.5 Evacuation The RTS shall develop procedures and/or checklists for the emergency evacuation of stations and vehicles. For evacuation guidelines, see Annex D.2.3.

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6.4.6 Rescue trains If a rail transit systems trackway is isolated from surface streets (underground, aerial, at-grade exclusive right-of-way) an emergency may require the use of a rescue train. Rescue trains may transport emergency responders and equipment to the scene of the emergency and assist in the passenger evacuation. If applicable, the RTS shall develop procedures and/or checklists for the use of rescue trains. For rescue train guidelines, see Annex D.2.4. 6.4.7 Crowd control Emergencies involving large numbers of people may require crowd control. The RTS shall develop procedures and/or checklists for crowd control. For crowd control guidelines, see Annex D.2.5. 6.4.8 Alternative transportation Emergencies that cause service delays and/or extensive crowd build-up may require an alternative means of transportation. The RTS shall develop procedures and/or checklists for establishing alternative means of transportation. For alternative transportation guidelines, see Annex D.2.6. 6.4.9 Media The RTS shall develop procedures and/or checklists for interacting with the media that include the following: a) Policies, procedures and/or checklists for personnel dealing with media inquiries during emergencies b) Emergency-specific criteria for the release of emergency information c) Contact information for local media sources d) Responsibilities for: Formulating official statements and advisories Enforcing emergency information release policies

For media interaction guidelines, see Annex D.2.7. 6.4.10 Safety and law enforcement If applicable, the RTS shall develop procedures and/or checklists that include information and/or actions that assist local law enforcement with emergency response such as: a) A clear delegation of the responsibilities for applicable RTS system safety staff
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b) Instructions for the transition of site jurisdiction c) Policy for security and site preservation d) Instructions for assisting passenger needs at the emergency site e) Guidelines for the protection of assets and property f) Instructions for collecting and preserving evidence g) Guidelines for enforcing RTS emergency response policies and procedures For safety and law enforcement guidelines, see Annex D.2.8. 6.4.11 Legal issues and claims The RTS shall develop procedures and/or checklists in preparation for any legal claims resulting from an incident or emergency. These procedures/checklists shall include the following: a) Instructions for obtaining the names and contact information of injured people b) Policy to help RTS employees avoid legal complications resulting from an emergency c) A list of on-staff or consultant legal advisors

6.5 Potential emergency scenarios


The following potential emergency scenarios may require one or more of the response procedures in Section 6.4 and/or procedures specific to the particular type of emergency. The RTS shall develop procedures for all emergency scenarios deemed relevant to the RTS operating environment including but not limited to those listed in Table 2. For help determining the specific emergencies an individual RTS is at risk for, see the risk assessment guidelines in Annex B.1.2. For guidelines on developing procedures for each of these scenarios see the corresponding section of Annex D.

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Table 2 Potential emergency scenarios Potential emergency scenario


* Not every instance of some of these scenarios develops into an emergency.

Annex section (for guidelines)

Emergencies involving passengers and/or employees Sick or injured passengers or personnel Death or serious injury on the right of way Emergencies related to train movements Intrusions into the right of way Derailments and collisions Emergencies related to infrastructure Loss of station power Loss of vital signal system Natural disasters/severe weather Earthquakes Hurricanes Tornadoes/high winds Floods Blizzards/heavy snow Terrorism/criminal threats and actions Hostages/barricaded subject Bomb threat Unauthorized person in control of train Civil unrest Computer system attacks Hazardous material spills and releases Fires/explosions

D.3.1 D.3.1.1 D.3.1.2 D.3.2 D.3.2.1 D.3.2.2 D.3.3 D.3.3.1 D.3.3.2 D.3.4 D.3.4.1 D.3.4.2 D.3.4.3 D.3.4.4 D.3.4.5 D.3.5 D.3.5.1 D.3.5.2 D.3.5.3 D.3.5.4 D.3.5.5 D.3.6 D.3.7

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Potential emergency scenario


* Not every instance of some of these scenarios develops into an emergency.

Annex section (for guidelines)

On train On shared right of way On elevated structures or tunnels In a station Explosions

D.3.7.1 D.3.7.2 D.3.7.3 D.3.7.4 D.3.7.5

7. Recovery
The recovery phase of emergency management occurs after emergency response activities are completed and immediate danger has passed. The primary activities of emergency recovery are the restoration of normal transit service and documentation and assessment of emergency response. The RTS shall include recovery procedures as part of their EM plan. For emergency recovery guidelines, see Annex E.

7.1 Restoration of normal conditions and service


The RTS shall develop procedures and/or checklists to safely and quickly restore service after an emergency. For restoration of service guidelines, see Annex E.1.

7.2 Documentation
The RTS shall develop procedures for documenting emergency response and recovery activities. See the UMTA-MA-06-0152-85-1, Recommended Emergency Preparedness Guidelines for Rail Transit Systems, Table 2-1 for a list of supporting documentation for emergencies.

7.3 Assessment
The RTS shall develop procedures for reviewing and assessing the efficiency and success of actions taken in preparation, response, and recovery to actual emergencies.

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Informative Annexes

Emergency Management Planning Guidelines

Abstract: The guidelines provided in these annexes are intended to serve as a source of information and ideas to assist rail transit systems in developing their own written emergency management plans. Disclaimer: The guidelines contained in these annexes are not specifications or regulations and are not intended for construction, bidding, or permit purposes. The use of the word should does not legally obligate the RTS to follow a guideline. The RTS is free to evaluate the appropriateness of each recommended guideline for the individual operating environment. Use of the guidelines in these annexes is optional.

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Annex A

(Informative) Bibliography
[B1] [B2] [B3] [B4] [B5] [B6] [B7] [B8] 49 CFR, Part 239, Passenger Train Emergency Preparedness, Federal Railroad Administration (FRA) Code of Federal Regulations (CFR), May 4, 1998. APTA Resource Kit: Emergency Preparedness Plans (CD-ROM). 3 APTA RT-RP-RGC-002-04, Recommended Practice for Rail Transit Grade Crossing Public Education and Rail Trespass Prevention. APTA RT-S-OP-003-04, Standard for Safe Operations in Yards. APTA RT-S-OP-012-04, Standard for General Rules General Safety Rules. APTA SS-PS-002-98, Standard for Emergency Signage for Access of Passenger Rail Equipment, Rev. 2. APTA-SS-PS-004-98, Standard for Low-Location Exit Path Markings, Rev. 1. Boyd, A, and J.P. Sullivan. Emergency Preparedness for Transit Terrorism. TCRP Synthesis of Transit Practice 21, Transportation Research Board, National Research Council. National Academy Press, Washington, DC: 1997.4 CFR 49, Railroad Locomotive Safety Standards, Code of Federal Regulations, October 2002.

[B9]

[B10] Checklists for Emergency Response Planning and System Security, American Public Transportation Association, December, 2001.5 [B11] DOT-FTA-MA-26-5019-03-01, The Public Transportation System Security and Emergency Preparedness Planning Guide, U.S. Department of Transportation, Federal Transit Administration, Final Report, January 2003. [B12] DOT-VNTSC-FTA-98-5, Rail Tunnel Systems, U.S. Department of Transportation, U.S. Department of Energy, Federal Transit Administration, National Institute of Justice, March 2002. (NOTEThis is a controlled document available only to transit systems.) [B13] Emergency Preparedness Plan for the Metro Transit, Minneapolis, Minnesota, May 1998. [B14] FEMA Emergency Management Guide for Business and Industry Federal Emergency Management Agency, GPO, 2000. [B15] FEMA Guide for All-Hazard Emergency Operations Planning, State and Local Guide (101) Chapter 6, Attachment G Terrorism, F.E.M.A.

To request, contact the APTA Information Center at <rgandee@apta.com>; 1666 K St. NW, 11th Floor, Washington, DC 20006; (202) 4964889. 4 http://gulliver.trb.org/publications/tcrp/tsyn27.pdf 5 <http://www.apta.com/services/safety/checklist.cfm>. Copyright 2004 APTA. All rights reserved.

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[B16] FTA Homeland Security Presidential Directive #3, National Transit Response Model, Federal Transit Administration, August 2002. 6 [B17] FTA Top 20 Security Program Action Items for Transit Agencies: Self-Assessment Checklist, Federal Transit Administration, November, 2003. [B18] FTA/Transportation Safety Institutes (TSI) Effectively Managing Transit Emergencies course. [B19] FTA-MA-90-9007-98-1, Transit Security Handbook, U.S. Department of Transportation, Federal Transit Administration, Final Report, May 1998. [B20] Guidelines for Managing Biological Terrorism Transit Systems DRAFT December 2001. (Distribution of this document is restricted to CEO/general managers and law enforcement officers.) [B21] Guidelines for Managing Chemical Agent Incidents in Subway Systems FINAL 2002. [B22] Hurricane Manual 1999 Miami-Dade Transit, Florida, 1999. [B23] Immediate Actions for Transit Agencies for Potential and Actual Life Threatening Incidents, Federal Transit Administration, March 2004. [B24] Incident Management Plan for the Tri-County Metropolitan Transportation District of Oregon/Tri-Met, Oregon, January 1999. [B25] MARTA Emergency Management Plan, Georgia, December 1999. [B26] Metro Rail System Emergency Response Plan, Los Angeles-MTA, California, Revision 1, August 1999. [B27] Moving People Safely: Safety Guidelines for Urban Rapid Transit Systems, Third Edition, Published by The American Public Transportation Association in cooperation with the Chicago Transit Authority, Washington DC, November, 1977. Chapter 7. [B28] NFPA 130: Subsection 3.2.7, Standard for Fixed Guideway Transit and Passenger Railroad Systems, National Fire Protection Association, 2000. [B29] Operating Bulletin No. 01-22, Procedures for Dealing with Substances Suspected of Being Tainted with Anthrax, San Francisco Bay Area Rapid Transit District, California November 6, 2001. [B30] Policastro, A.J., and S.P. Gordon. The Use of Technology in Preparing Subway Systems for Chemical/Biological Terrorism. Proceedings of the 1999 Commuter Rail/Rapid Transit Conference, Toronto, American Public Transportation Association: Washington, DC, 1999. [B31] Policastro, A.J., F. OHare, D. Brown, M. Lazaro, and S. Filer. Guidelines for Managing Suspected Chemical and Biological Agents Incidents in Rail Tunnel Systems, (Law Enforcement Sensitive), Argonne National Laboratory for U.S. Department of Transportation, Federal Transit Administration: Washington, DC, March 2002.

http://www.apta.com/services/safety/ohs3.cfm>

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[B32] Sacramento RTD Emergency Preparedness Plan for the Sacramento Regional Transit District, California, revised November 2002. [B33] Southeastern Pennsylvania Transportation Authority Railroad Division Passenger Train Emergency Preparedness Plan, SEPTA, Pennsylvania, October 1998. [B34] State of Florida Emergency Response Plan, Terrorist Weapons, Effects & Emergency Response Needs, May 2003. [B35] Suggested Anti-terrorism Security Measures, American Public Transportation Association.7 [B36] Summary of Existing Standards for Transit Design and Safety Consideration, American Public Transportation Association.8 [B37] Top 20 Security Program Action Items for Transit Agencies, Federal Transit Administration, November, 2003. [B38] Toronto Transit Commission Corporate Emergency Plan, TTC, Canada, Updated September 1998. [B39] Transit Risk Manager (software), Transportation Research Board, 1996.9 [B40] Transit Threat Level Response Recommendations, Federal Transit Administration, March 2004. [B41] Volpe, Connecting Communities: Emergency Preparedness and Security Forum, Federal Transit Administration, www.transitsafety.volpe.dot.gov/training/EPSSeminarReg/CD/index.html.

http://www.apta.com/services/safety/suggested.cfm <http://www.apta.com/services/safety/existstds.cfm 9 This software can be obtained free of charge from APTA: American Public Transportation Association, c/o TCRP Dissemination, 1666 K St. NW, 11th Floor, Washington, DC 20006.
8

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Annex B

(Informative) Guidelines for emergency mitigation


This annex corresponds to Section 4 of the body of this document. Use Section 4 to determine the minimum requirements for mitigation and this annex for guidance on how to meet these requirements.

B.1 Mitigating hazards


Emergency mitigation is an ongoing process that requires regular evaluation and updates of existing policies. This section provides a brief summary of mitigation activities for rail transit systems, with suggested resources for further information. The RTS may wish to document these activities in the EM plan. For the purpose of mitigating emergencies, the RTS should: a) Identify potential hazards that may affect RTS personnel, patrons, tracks, stations, vehicles, and yards b) Determine the level of risk (probability) for each identified hazard c) Take actions to reduce the risk of identified hazards d) Perform periodic inspection and maintenance on all equipment, vehicles, facilities and structures (see APTA Rail Transit Standards Volumes 2, 5, and 610) e) Establish design criteria for station facilities, vehicles, guideway facilities, vehicle yard and maintenance facilities, communications and power systems f) Establish minimum safety and security requirements for the design of new facilities, the renovation of existing facilities, and the maintenance of existing systems g) Develop and implement safe operating practices and procedures h) Take steps to educate passengers and increase passenger awareness of onboard policies, emergency exit information, safe riding practices and personal security (with consideration for elderly and non-English speaking passengers and people with disabilities) i) Have measures in place to educate emergency responders about emergency access For additional information, see Section 4 of the FTA-MA-26-7009-98-1, Critical Incident Management Guidelines, the APTA Rail Safety Audit Program, Manual for the Development of Rail Transit System Safety Program Plans, and DOT-VNTSC-FTA-00-01, Hazard Analysis Guidelines for Transit Projects.
10

For references in Italics, see Section 2. Copyright 2004 APTA. All rights reserved.

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B.1.1 Hazard identification Some types of hazards may be unique to the geographic location of the RTS. For example, some rail transit systems have found that rising water caused by severe weather outside their vicinity is a common event in their service area. In another example, a failure of the local radio station (used as the emergency broadcast system) could be a technological failure that especially impacts rural areas. Geographically, the RTS may also be affected by its proximity to railroads or major highways and find that vehicles may be immobilized by blockages on the rail line or highway. For a complete description of a hazard identification process, see the Manual for the Development of Rail Transit System Safety Program Plans, APTA Rail Safety Audit Program, p. 12. B.1.2 Risk assessment Risk assessments contribute to the formation of policies and standards by pinpointing the likeliness of hazards to occur and the potential areas of vulnerability for the RTS. Each of the risks identified should then be assessed to determine potential impact on RTS operations, employee safety, and property loss or damage. A detailed risk assessment assigns a level of risk to each identified hazard, based on the potential for damage to property, personnel, and operations: negligible, marginal, critical, or catastrophic. Based on the level of risk and the estimated probability of the identified hazard occurring, priorities can be set to mitigate hazards. Table 3 summarizes this prioritization. For a full description of hazard assessment and analysis, refer to DOT-VNTSC-FTA-MA-26-5005-0001, Hazard Analysis Guidelines for Transit Projects and Manual for the Development of Rail Transit System Safety Program Plans, APTA Rail Safety Audit Program, pp. 13-15. For a list of potential risk factors and mitigation methods to resolve identified risks, see FTA-MA-26-700998-1, Critical Incident Management Guidelines, pp. 15-18.

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Table 3 Hazard resolution Matrix

Hazard level I. Catastrophic A. Frequent Risk level B. Probable C. Occasional D. Remote E. Improbable Unacceptable Unacceptable Unacceptable Undesirable Acceptable/WR* II. Critical Unacceptable Unacceptable Undesirable Undesirable Acceptable/WR* III. Marginal Unacceptable Undesirable Undesirable Acceptable/WR* Acceptable/WR* IV. Negligible Acceptable/WR* Acceptable/WR* Acceptable Acceptable Acceptable

* Acceptable/WR Acceptable with review by management staff

Source: FTA-MA-26-7009-98-1, Critical Incident Management Guidelines, p. 18 (1) and the Manual for the Development of Rail Transit System Safety Program Plans, APTA Rail Safety Audit Program, p. 15. Once hazards are identified and priorities are set for addressing them, various mitigation methods can be used to resolve them.

B.2 Safety and emergency features for vehicles and facilities


B.2.1 Vehicle safety features and design considerations The acquisition of safe vehicles is a key to emergency mitigation. The RTS should determine the types of vehicle safety features necessary to mitigate and recover from the types of emergencies that might occur in its operating environment and utilize this information when purchasing or upgrading vehicles. Access, elevators, signage, and communications features should comply with Americans with Disability Act (ADA) regulations. Vehicle safety features and characteristics that may affect emergency response and recovery include: a) Car-to-platform gap b) Emergency braking c) Wheel spin/slide correction d) Jerk limits e) No-motion detector/door interlock f) Parking brake g) Friction brake h) Track brake
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i) Flame and smoke emission characteristics j) Hazard alarms for the following: Emergency brake fails to apply when requested Service brakes fail to apply when requested Propulsion fails to cease when requested No-motion detection system indicates no-motion when the train is moving Door opens spontaneously when not commanded Door opens on wrong side of vehicle Door closes on a person's limb and indicates door is closed Door interlocks erroneously indicate door is closed and locked Indication of being uncoupled when not coupled Excessive currents or overheated equipment that may cause fire Vehicle moves in wrong direction (actual vs. commanded)

k) Cab equipment Windshield wiper and washer Warning devices, "horn" and "bell" Windshield and side window defroster/de-mister Cab makeup interlocks to establish train line

l) Interior lights Overhead lights Doorway lights Operator's cab light Console light Stairway floor lights Door warning lights For additional information on interior lighting for emergencies, see APTA-E-013-99,
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Standard for Emergency Lighting System Design for Passenger Cars. m) Exterior lights Headlights Cyclops light Tail lights and stop lights Marker lights Destination signs Door open indicator lights Door out of service indicator Door warning light Turn signals and hazard indicators Emergency lighting

n) Interior/exterior appointments Window glazing Windshields Interior equipment enclosures Emergency lighting High performance photo-luminescent (HPPL) interior emergency exit signage HPPL interior emergency exit path markings Exterior equipment enclosures Exterior emergency access retro-reflective signage Exit path marking lighting Emergency exits

See UMTA-MA-06-0152-85-1, Recommended Emergency Preparedness Guidelines for Rail Transit Systems for recommendations related to vehicle emergency equipment.

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See the UMTA-MA-06-01-0196-91-1, Recommended Emergency Preparedness Guidelines for Urban, Rural, and Specialized Transit Systems for a summary of federal requirements for public transit vehicle features. B.2.2 Facility safety features Safe facilities are also crucial for emergency mitigation. The RTS should determine the facility safety features necessary to mitigate and recover from the types of emergencies likely to occur in its operating environment, and utilize this information when building, re-modeling or repairing infrastructure and facilities. The RTS should also determine the most safety conscious design and location for facility features. Access, elevators, signage, and communications features should comply with Americans with Disability Act (ADA) regulations. Facility safety features that may affect emergency response and recovery include: a) Communications devices Passenger assistance phones including provisions for hearing impaired on platforms and ticket vending areas Speakers and amplifiers for public address system coverage of all public areas Variable message displays and signage in all public levels of stations Emergency management panels to aid emergency responders

b) Security features Cameras and monitors for closed circuit television (CCTV) camera coverage in all public areas (security surveillance equipment) Wayside, platform and station intrusion detection (WIDS, PIDS, trip alarms)

c) Access/egress Escalators and elevators with transparent panels Emergency exits (stairs, doors) and cross passages (vertical/horizontal) with enclosure requirements and fire separations for aerial and tunnel stations Emergency access to station and guideway, security fencing, access gates HPPL interior emergency exit signage, stairway floor marking, and exit path marking Emergency lighting

For additional information on interior lighting for emergencies, see APTA-E-013-99, Standard for Emergency Lighting System Design for Passenger Cars. d) Fire protection

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Fire wall ratings and occupancy separations (set backs, penetrations) Low combustibility and optical smoke density materials for stations, tunnels, and vehicles Fire and pressure rated doors, frames, and assemblies (louvers, glazing, hardware) Gas sensors Heat and smoke alarms Fire suppression water tanks, at stations, yards and shops HPPL fire safety signage Fire extinguishers Fire hose cabinets (hose, extinguisher, telephone) Fire department inlets/outlets Pre- action sprinkler and inert gas systems [train control and communications (TCC) and traction power sub-station (TPSS) rooms] Automatic sprinkler systems, standpipes, and other related equipment in underground stations and tunnel areas Emergency exhaust system (fans, smoke dampers, blast relief, gas purging)

e) Visibility Ability to see into stations from the outside (use of open spaces, glass, and other transparent design elements) Emergency lighting and its duration Warning lights (flashing and strobe) Security lighting

f) Safety barriers Mid-trackway railings to separate patrons from traffic and trackway in side platform stations and station approaches (grade stations) High contrast, tactile warning strips, edge pavers and/or audio warnings at platform safety edges, pedestrian/trackway interfaces and between car barriers Right-of-way intrusion sensors Platform edge doors to separate passengers from track
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g) Refuge/points of safety Refuge areas/points of safety in trackways and under station platforms Areas of refuge/points of safety in deep tunnel stations (the elevator concourses) HPPL close clearance signs

h) Seismic event protection Seismic detectors and alarms Seismic anchors for fire/life safety equipment (transformers, fans, pumps)

i) Grounding and current protection Cathodic and stray current protection for pipes, rebar, trackwork, etc. Lightning mitigation and grounding Traction power substations grounding and enclosures

j) Backup power for critical loads (alarms, lighting, signs, fans, controls) k) ADA compliant pedestrian crossing signals and signage at station area crosswalks l) Roll-up grills configurations (station lock ups, alarms, key plans) m) Drainage and water stops n) Wet (or dry) stand pipes in tunnel stations (connections, sizing, sumps, pumps) o) Under-car deluge systems, water curtains and drainage For information on the inspection and maintenance of rail transit system stations and structures see APTA RT-S-FS-009-01, Standard for Station, Shop and Yard Inspection and Maintenance and APTA RT-S-FS-007-01, Standard for Transit Structure Inspection and Maintenance.

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Annex C

(Informative) Guidelines for emergency preparedness


This annex corresponds to Section 5 of the body of this document. Use Section 5 to determine the minimum requirements for emergency preparedness and this annex for guidance on how to meet these requirements.

C.1 Emergency management plan


C.1.1 Recommended EM plan components In addition to the required EM plan components described in Section 5.1.1 of this document, the RTS should include the components and/or procedures described in Annexes C.1.1.1C.1.1.5.
C.1.1.1 Policy statement

The upper management of each RTS should develop a top-level policy statement regarding the systems emergency management program. The policy statement should clearly communicate to employees and the public the transit systems commitment to the emergency management program as well as its importance. The CEO or other appropriate RTS manager should sign the policy statement.
C.1.1.2 Overview (of EM plan)

The EM plan should include an overview describing the overall scope, purpose, and organization of the document.
C.1.1.3 Scope (of EM plan)

The scope should explain what is covered in the plan and, if necessary, what is not covered in the plan.
C.1.1.4 Purpose (of EM plan)

The purpose of the plan should explain why the plan is needed.
C.1.1.5 Definitions (of EM plan)

The RTS should provide definitions for terms that would enhance the usefulness of the EM plan document. Each definition should be a brief, self-contained description of the term in question. The term should not be used in its own definition.

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C.1.2 Development of new EM plan The RTS should develop new EM plans that comply with the requirements in the body of this document (see Section 5.1). The RTS EM plan development process should also: a) Address any needs specific to the individual RTS operating environment b) Use applicable guidelines contained in the annexes of this document c) Ensure compatibility and coordination with local, state, and federal public safety agency emergency programs as applicable d) Utilize the following documents which provide additional information that may be useful in the development of new EM plans: APTA Guidelines for the Design of Rapid Transit Facilities APTA Moving People Safely: Safety Guidelines for Urban Rapid Transit System UMTA-MA-06-01586-89-1, Recommended Emergency Preparedness Guidelines for Elderly and Disabled Rail Transit Passengers UMTA-MA-06-0152-85-1, Recommended Emergency Preparedness Guidelines for Rail Transit Systems NFPA 130, Standard for Fixed Guideway Transit and Passenger Railroad Systems FTA-MA-26-7009-98-1, Critical Incident Management Guidelines

C.1.3 Evaluation of EM plan In evaluating EM programs, the RTS should perform the steps required in Section 5.1.5 of the body of this document and compare their existing or new EM plan to the following: a) The general and overall content recommended in the annexes of this document b) The procedures recommended in the annexes of this document c) The procedures contained in the references cited in Section 2 of the body of this document In response to these comparisons, the RTS should improve their plan by revising, adapting, and adding as necessary. The RTS should use the following questions in evaluating new or existing EM plans: What do we do now and is it sufficient? Do we need to address this topic? What priority should the topic receive?
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How detailed can the plan be without hampering a response? What resources or data do we have available that would assist us in addressing this issue? How adequate are response times for participating outside agencies and how quickly would these resources be overwhelmed? What resources are available through outside contractors and what are their response times?

The RTS should measure the success of the EM plan by how well it operates when implemented not by how all encompassing it is. C.1.4 Revision of EM plan In revising EM programs, the RTS should perform the steps required in Section 5.1.6 of the body of this document and establish a means for evaluating the success of the revisions when put into practice. The RTS should establish responsibilities for the following actions to successfully implement the revision process: a) Determining and implementing lessons learned from other rail transit systems b) Determining and implementing new intelligence capacities and technologies c) Analyzing the results of response to drills and actual incidents and emergencies d) Making recommendations for improvements based on the analysis of response to drills and actual incidents and emergencies e) Turning recommendations into formal revisions in the EM plan f) Notifying staff and participating outside agencies of revisions C.1.5 Senior management support The ongoing development, fast approval, swift implementation, and overall success of the EM plan will require the active involvement, participation, review, and financial support of the RTS senior management. RTS senior management should: a) Identify appropriate RTS personnel, contractors, and members of participating agencies (a management team) to be responsible for each step of the EM plan development, approval, implementation, evaluation, and revision process b) Establish budgets for these processes c) Identify internal and external resources for these processes d) Oversee the time allocation, inter-agency coordination, training, and resources for these processes

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e) Develop a process for approving new emergency preparedness plans and for approving periodic changes to existing plans (see Section 5.1.6) f) Develop a top-level policy statement for the emergency management program (see Annex C.1.1.1)

C.2 Specific roles and responsibilities of RTS departments and personnel


The RTS should include a section on the Specific roles and responsibilities of RTS departments and personnel in the EM plan (see Section 5.4.2 of the body of this document). Options for clarifying roles and responsibilities in the EM plan include: a) Having RTS employee/departmental responsibilities for emergencies as a separate section of the EM plan b) Including RTS employee/departmental roles and responsibilities within each of the EM plan sections that list tasks or procedures c) Having quick reference aids (checklists) for each department and/or title that may participate in emergency management The RTS may differ in how they assign employee and departmental roles and responsibilities based on their individual needs and organizational structure. The RTS should delegate clear responsibilities for all applicable RTS employees, departments, and internal organizations (or their equivalents) that play a role in emergency response in their EM plan. See the UMTA-MA-06-0152-85-1, Recommended Emergency Preparedness Guidelines for Rail Transit Systems, Section 2.4 for additional information on RTS functions and responsibilities.

C.3 Guidelines for emergency training, practices and drills


In training, practices and drills programs the RTS should perform the steps required in Section 5.2 of the body of this document and a) Provide specifications for training program/s instructor qualifications b) Organize the emergency training, practices and drills section of their EM plan as shown in Sections C.3.1-C.3.4 below c) Use the guidelines in Sections C.3.1-C.3.5 below The UMTA-MA-06-0152-85-1, Recommended Emergency Preparedness Guidelines for Rail Transit Systems provide additional information on training programs for both transit and emergency response organizations.

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C.3.1 General training Any RTS employee or contractor could be first on the scene of an incident, receive an incident report from the public, and/or play an unplanned role in the response to an incident or emergency. Rail transit systems should: a) Provide general emergency management training to familiarize all employees and any contractors involved in day-to-day operations with the RTS EM program and procedures b) Conduct training as part of the employee or contractors initial orientation to their job, reinforced by periodic refresher training c) Include instructions on emergency reporting and notification procedures and the use of emergency supplies C.3.2 Specialized training Rail transit systems should develop and implement more comprehensive emergency management training for selected employees and contractors that play key roles in emergency response. This training should include instruction on how to access and operate emergency equipment. C.3.3 RTS familiarization program for participating outside agencies Each RTS should develop and execute training programs to familiarize the emergency response staff of participating outside agencies with rail operations, vehicle features, system infrastructure, and emergency management procedures. This familiarization program should include: a) General information about the RTS, including number of line segments, cities, towns and communities the system operates through, as well as specific emergency response agency jurisdictions represented b) Specific line descriptions, including length, terminals and station locations, hours of service and service headway, maps, emergency exits, etc. c) An RTS ridership overview noting periods of peak service and maximum load points d) Emergency practice and drills e) Information on the following specific aspects of the RTS Rail vehicle characteristics exterior Exterior vehicle schematic Number and types of vehicles Differing safety components of each vehicle

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High voltage areas including pantograph/3rd rail/trolley pole Emergency vehicle access from outside Diesel propulsion system emergency shut off switch if applicable

Rail vehicle characteristics interior Interior vehicle schematic Load capacity including wheel chair securement locations Seat construction Normal/emergency lighting systems Floor, wall and ceiling construction Tool compartment, including emergency pantograph lowering device Traction motor floor inspection plate Fire extinguisher locations Emergency window exit locations and removal instructions Type of window glass, including the operating cab windshield Train door operation, normal and emergency

Maintenance facility characteristics Location and specific address of each facility Type of work performed in each facility Hazardous materials type and specific locations In-facility emergency cleansing locations Number of tracks, including specific reference to special use tracks Facility/track emergency access Emergency power shut off Location of essential heavy tools and equipment

Operation control center (OCC) Location, address and emergency telephone numbers of OCC personnel
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Hours of operation/level of staffing Overall system responsibility, including coordination with emergency response agencies Radio system operation overview
NOTEInclude similar operating information for other communication facilities that exist where the movement of trains, equipment and coordination of personnel is dispatched and/or monitored.

Traction power characteristics The type of traction power used (overhead catenary/3rd rail/fossil fuel) Voltage used and specifics for power generation and distribution Specific locations for all sub-stations on the system, including system schematic and addresses Sub-station construction Emergency access and power removal procedures Emergency communication such as telephone Procedures for right of way access and traction power removal

Grade crossings General operation procedures for automatic crossing equipment Schematic representation of grade crossing locations Specific terminology for grade crossing apparatus and its operation, including timing Method used to manually place a crossing gate in the raised position The impact a power outage will have on grade crossing equipment

Elevated structures and tunnels Schematic representation of the location of elevated structures and tunnels on the system Emergency evacuation from structures or tunnels, including specific locations where conditions may require the use of specialized equipment Train evacuation during power failures

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Emergency walkways, stairs, ladders and crossovers Emergency power, lighting and ventilation Location of equipment emergency responders may need Authority for movement of trains and other equipment during emergencies Emergency response access to structures and tunnels, i.e. height and specific locations

C.3.4 Refresher training Because emergency response policies and procedures change over time, new employees are hired, employees change positions, and information retention decays with time, rail transit systems should develop and implement EM program refresher training. In developing refresher training for all employees and for employees with key emergency response roles, rail transit systems should consider: a) The extent of emergency management program changes over time b) The amount of time passed since the employees were last trained c) The depth of the refresher training in relation to the initial training C.3.5 Practice and drills Practice and drills allow rail transit systems to test their emergency management procedures under controlled, simulated emergency situations. Practice and drills can be particularly valuable when the emergency procedures include POAs. Rail transit systems should develop and implement a practice and drills program to periodically exercise portions of the RTS emergency management procedures. In developing a program of practice and drills, rail transit systems should determine: a) Which emergency procedures would benefit most from hands on practice and drills b) The merits of table-top versus live field exercises c) The scope of field exercises d) Specific goals to be accomplished or features tested e) A frequency for practice and drills f) The amount of advanced notice to give participants in practices and drills g) How to minimize disruption to normal service and to the community

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h) The use of technology or tests of technology i) The use of intelligence information j) If peers will help evaluate the results of practices and drills k) If the media will participate or be notified l) Necessary documentation for exercise results (video-tape, voice recording, observers notes) m) How to evaluate the results of practices and drills n) How to use lessons learned to strengthen the emergency management program o) Whether or not to observe or participate in practices and drills held by other rail transit systems p) If and when to share lessons learned with other rail transit systems

C.4 Levels of emergencies


Table 4 below lists recommended classifications for levels of emergencies.
Table 4 Levels of emergencies Level Scope and magnitude

1 2

RTS resources are adequate and available. RTS resources are not adequate and assistance is required from participating outside organizations. RTS resources are overwhelmed and extensive state or federal resources are required.

C.5 Participating outside agencies


The RTS should coordinate with the following entities: a) Fire departments in each jurisdiction that the RTS operates b) Police departments in each jurisdiction that the RTS operates c) Emergency medical services (if separate from fire departments) d) Utility departments e) Other local public or private transportation providers f) Pipeline
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g) Local hospitals h) Local governments i) State government(s) (if the system operates in more than one state), including state safety oversight agency j) Contractors with specialized equipment (heavy mobile cranes, etc.) k) Coroners office l) The National Guard m) Applicable federal agencies including but not limited to: NTSB, the Federal Bureau of Investigation (FBI), FRA, FTA, FEMA, Coast Guard, National Response Center (USDOT), etc. C.5.1 Inter-agency protocols The RTS should develop procedures for achieving coordination among the various agencies that may participate in emergency response. In developing these procedures, rail transit systems should determine: a) When the POA needs representation at the EOCC (see Sections 6.2.2 and 6.3 and Annexes D.1.2 and D.1.4) b) The level of RTS assistance the POA will need for emergency response c) The standard procedures for who assumes incident command. d) The interrelationship between functional RTS departments, other RTS departments, and POAs (creating an organizational chart with contact information for all agencies is recommended) The RTS should provide the POAs with the following: A contact list of the personnel in charge of each functional RTS department Copies of the various plans, reports, and records developed, used, and maintained by the RTS during an emergency Instructions on the use and operation of fire protection equipment, exits and ventilation fans Contact information for RTS personnel that will be key contacts when working with POAs (such as a legal officer and a public information officer) Inter-agency agreements and coordination should be up-to-date.

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C.5.2 Inter-agency agreements Rail transit systems should negotiate inter-agency agreements with participating outside agencies. The EM plan should contain a list of POAs with their designated contacts and evidence of signed agreements. Inter-agency agreements should include: a) Notification protocols b) The type of assistance the RTS may require in different emergencies c) How the participating outside agency will respond d) The training that the participating agency will need from the RTS e) How the participating outside agency will take part in drills, table-top exercises and field exercises f) Plans for controlled dissemination of up-to-date emergency procedures to applicable personnel/agencies Inter-agency agreements may be two-way. That is, the participating agency may need RTS assistance under certain circumstances. The agreement should address these circumstances. See the FTA Recommended Emergency Preparedness Guidelines for Rail Transit Systems, Section 2.3 for additional information on inter-agency agreements.

C.6 Emergency equipment, supplies, and technology


C.6.1 Emergency equipment The acquisition of equipment can be a key to the overall success of emergency response. The RTS should determine the types and quantities of emergency equipment necessary to respond and recover from the types of emergencies likely to occur in its operating environment and should procure or arrange for access to this equipment. The RTS should also develop and implement a program to regularly inspect, test, and maintain emergency equipment under RTS control. The RTS should procure or arrange for twenty-four hour access to the following equipment: a) High capacity mobile cranes b) Generators c) Mobile lighting systems d) Bulldozers e) Re-railing/lifting equipment
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f) High capacity pumps g) Mobile ventilating fans h) Ladder/tower trucks i) Breathing equipment j) Water transportation equipment (if applicable) k) Other equipment as determined by the RTS C.6.2 Emergency supplies The RTS should determine the types, quantities and pre-positioning locations of emergency supplies necessary to mitigate and recover from the types of emergencies likely to occur in that operating environment and should pre-position these supplies in easily accessible locations identified by the RTS. The RTS should also regularly inspect, test, and replenish emergency supplies. The RTS should procure or arrange for twenty-four hour access to the following supplies: a) Hand held radios b) Flashlights c) Batteries d) Personalized protective equipment (goggles, ear plugs, gloves, boots, hard hats, and dust masks) e) Hand tools f) Sandbags g) First aid supplies h) Ladders i) Flares (unless prohibited) j) Bull horns k) Mobile food service l) Ropes m) Other supplies as determined by the RTS

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C.6.3 Technology Technology offers rail transit systems tools to aid in the implementation of their emergency management programs. Rail transit systems should have a formal approach for monitoring, assessing and making investments in new technologies for use in their emergency management programs. As part of this approach, rail transit systems should: a) Determine how to use technology in emergency management b) Utilize FTA, Transit Cooperative Research Program (TCRP), or other grants for emergency response technology demonstrations c) Keep track of experiments/demonstrations at other rail transit systems d) Include appropriate use of technology into emergency management procedures and training e) Budget for investment in new emergency management technology f) Change the emergency management program to make effective use of new technology g) Cooperate with POAs on the use of new technology

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Annex D

(Informative) Guidelines for emergency response


This annex corresponds to Section 6 of the body of this document. Use Section 6 to determine the minimum requirements for emergency response and this annex for guidance on how to meet these requirements.

D.1 Operations Control Center back-up


D.1.1 Continuity of operations
D.1.1.1 Loss of train-to-OCC radio communications

The RTS should develop procedures and/or checklists for loss of train-to-OCC radio communications that include the provisions listed in Annex D.3 and RTS-determined limits on the operation of the affected train.
D.1.1.2 Loss of OCC functional capability

The RTS should develop operations control back-up procedures and/or checklists for loss of OCC functional capability that fulfill the requirements of Section 6.2.1 of the body of this document and include an alternate means of communicating to passengers and a back-up plan for secondary systems. See also Annex D.3. D.1.2 EOCC In order to increase the efficiency of the EOCC, the RTS should ensure that the following is at hand at the EOCC location: a) A list of senior RTS personnel with authority to activate the EOCC b) An organization chart showing the organizational structure and principal functions of the EOCC showing the interrelationship between RTS departments involved with the EOCC and participating outside agencies with contact information for the person/s in charge of RTS departments involved with the EOCC (management, operations, planning, logistics, and finance)

c) Procedures for appointing an RTS incident commander (applicable only if no POAs are involved) d) Procedures to be used when the IC is from an outside agency
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e) Contact information for the legal officer and public information officer assigned to the EOCC f) A description of and the location of EOCC facilities, emergency equipment, supplies other material resources g) Emergency plans, system operations rules and procedures manuals, chemical/biological, nuclear, radiological, explosive manuals, reports, and/or logs h) Wall-mounted system maps and informational display boards i) Topographical maps of the systems surrounding area and amenities j) Communication and informational systems: RTS radios with spare batteries Conventional phone and cell phone capabilities Phone and radio emergency back-up systems Computers with internet access Satellite television

k) Provisions for accommodation and food service for occupants during an emergency To the extent possible, the EOCC should be structurally resistant to the various emergencycausing elements. D.1.3 SOCC Under normal conditions, an OCC will continue to monitor and control activities on the mainline, in the yard, and at facilities. In the event that it is not possible to continue to use the OCC, and to the extent possible, the RTS should have provisions in place for a SOCC which will enable the agency to carry on essential functions. The SOCC should be structurally resistant to the various emergency-causing elements, disaster equipped, and be located away from, and independent of, the OCC. The following supplies/resources should be available at the SOCC: a) Telephone b) Transit radio with adequate spares c) Cell phone d) Supervisory control and data acquisition (SCADA) monitor and control function e) System map
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f) Paging system g) Photocopier h) Fax machine i) Telephone directory j) Miscellaneous office supplies k) Restroom facility l) Food plan m) Copies of various plans, rules and procedures (e.g. Emergency Management Plan, Safety and Security Plan, APTA RT-S-OP-002-02, Accident Investigation and Reporting Procedures) D.1.4 Incident Command System (ICS) The ICS should remain in place for the life of the emergency, use comprehensive resource management and be implemented by qualified, trained RTS employees and emergency responders. In their EM plan, the RTS should include: a) A clear description of the ICS b) The criteria for implementing the ICS c) Consolidated action plans for ICS implementation d) A policy for expanding or contracting the ICS as the scope of the emergency changes
NOTEAt the discretion of the RTS, the ICS can be utilized for any type or size of emergency ranging from a minor incident to a major catastrophe. D.1.4.1 Command function

The ICS uses one of two command functions: single command or unified command (see Annexes D.1.4.1.1-D.1.4.1.2 below). The nature and severity of the incident or emergency drive the applicability of each. The RTS should designate and train the following ICS officers (as necessary) that play an integral role in both single and unified command: a) incident commander (IC) The individual responsible for overall management of the incident. The IC coordinates communications and emergency response activities and remains in control of the situation until relieved, superseded by authority or the situation is resolved

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b) An RTS employee responsible for the direction and coordination of all on-site operations. This individual shall be responsible for coordinating alternate service, route diversions, detours, etc. as deemed necessary. All information should be reported directly to IC c) An RTS employee responsible for providing facilities, services, and materials for the emergency (logistics). This individual is generally an RTS employee responsible for power, signal, track or engineering functions d) An RTS employee responsible for gathering accurate, up-to-date information from the IC for dissemination to the public while the ICS is in place In the EM plan, the RTS should provide clear instructions for when and how the ICS officers should be appointed.
D.1.4.1.1 Single command

When the incident or level of emergency warrants, the ICS may be conducted by single command. Single command is a chain of command used in the ICS in which a single, Incident Commander (IC) has overall responsibility for the management of an incident or emergency when the event overlaps one or more jurisdictions (see Annex D.1.4.1). When operating by single command, RTS employees are responsible for emergency response.
D.1.4.1.2 Unified command

Some emergencies call for the involvement of several agencies. In this circumstance the ICS should be conducted by unified command. Unified command is a chain of command that is multi-jurisdictional in which more than one agency (including the RTS) shares responsibility for the emergency management. When operating by unified command, the IC may be an RTS employee or an employee of a participating outside agency. Individuals from participating outside agencies may play central roles in addition to the ICS officers from the RTS (see Annex D.1.4.1).
D.1.4.2 ICS communication protocol
D.1.4.2.1 ICS communication provisions

The ICS needs a clearly defined communication protocol. In the EM plan, the RTS should include: a) A defined method for communications and back-up communications during an emergency b) Instructions for naming or otherwise differentiating incidents/emergencies to prevent confusion in the event that multiple incidents/emergency situations occur simultaneously c) Defining a clear method for transitioning of ICS from single command to unified command d) Standard terminology to be used during emergencies by all agencies within your jurisdiction
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e) Instructions for transmitting the names and contact information of the appointed IC and ICS officers to all RTS departments and/or participating outside agencies involved in the ICS
D.1.4.2.2 Points-of-contact

Each RTS department and participating outside agency involved in emergency response should designate a single individual (point-of-contact) to be responsible for acting as liaison between the IC, their department, and the points-of-contact from other departments/agencies. The RTS should generate a list of POC contact information. Since contact information changes frequently, the list itself should not be in the EM plan. However, the EM plan should specify how often the POC contact list must be updated, who is in charge of updating it, who will receive the list, and the places the list will be posted/stored for reference. The list should include the current points-of-contact from: a) RTS departments involved in emergency response such as management, operations, planning, logistics, and finance b) Participating outside agencies such as the local fire department, emergency medical services and others

D.2 General emergency response procedures


The RTS should provide the following for each of the procedures described in Sections 6.4.16.4.11 of the body of this document: a) Guidelines for determining which emergency situations require the procedure b) A list of emergency situations where the procedure should be avoided. (For example, the establishing of emergency ventilation should not be implemented when there has been a release of dangerous substances) c) Instructions for when and how to contact the OCC and participating outside agencies d) A means of locating all equipment necessary for implementing the procedure e) A checklist and/or concise instructions on how to implement the procedure for all key departments and/or employees f) If applicable, variations in the procedure based on the level of emergency (see Section 5.3 and Annex C.3) For more information on general emergency response procedures see Chapter 7 of APTA Moving People Safely. For information on response procedures for emergency situations with numerous specific needs and considerations, see the emergency-specific response procedures in Annex D.3 below.

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D.2.1 Traction power removal and restoration In addition to the requirements in Section 6.4.2 of the body of this document and the guidelines in Annex D.2, the RTS should provide the following in their procedures for traction power removal and restoration: a) The assignment of a single individual or a series of people to be responsible for both removing and restoring traction power b) A procedure for transferring the above responsibility if necessary c) Instructions for locally removing power from sections of the RTS to minimize disruption of the system as a whole d) A means of verifying that traction power has, in fact, been removed from a portion of the system e) Instructions for restoring traction power D.2.2 Emergency ventilation In addition to the requirements in Section 6.4.4 of the body of this document and the guidelines in Annex D.2, the RTS should provide the following in their procedures for establishing emergency ventilation: a) Guidelines for determining what capacity of ventilation is required during emergencies b) Instructions for controlling ventilation equipment both on-site and in remote locations c) Guidelines for the pre-positioning of portable, mobile ventilation equipment d) A source of back-up power for emergency ventilating equipment D.2.3 Evacuation In addition to the requirements in Section 6.4.5 of the body of this document and the guidelines in Annex D.2, the RTS should provide the following in their evacuation procedures: a) The sequence of events, in order of execution, to be taken during an evacuation b) Maps/diagrams of available evacuation routes c) A list or map of entry/access points for emergency responders (including those accessible by air and ground transportation) d) Policy for elevator and escalator usage during evacuation e) A list of conditions requiring the use of the right-of-way/tunnel for station evacuation f) A means for keeping approaching trains clear of the station
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g) Instructions for evacuating specific vehicle types and railroad infrastructures h) Instructions for emergency lighting system implementation i) Instructions for the activation of fans and the removal of traction power as appropriate j) A means of estimating the number of individuals within the station or the vehicle k) Guidelines for internal/external communications during evacuations including a description of information required by the OCC and other key emergency responders (see Annex D.2.3.1) l) Means of communication with customers during evacuations (including pre-recorded PA instructions) m) Instructions and guidelines for communicating with customers to minimize confusion and panic n) A contingency plan in case passengers self-evacuate prematurely o) A means for determining the need for rescue trains, alternate transportation and/or crowd control to carry out evacuation p) Guidelines for opening/reversing fare gates and other obstructions to increase pedestrian flow q) Instruction for addressing the needs of elderly, disabled and non-English speaking individuals. (See the Recommended Emergency Preparedness Guidelines for Elderly and Disabled Rail Transit Passengers.) r) A list of safe staging areas for passengers once evacuated s) Instructions for determining how and when to reopen the station or resume revenue service
D.2.3.1 Information checklist for evacuations

The OCC should gather the following information when anticipating an evacuation effort: a) The severity of the emergency (see Section 5.3 and Annex C.3) b) The evacuation location c) The means/route of evacuation (rescue train, walkway, other) d) Where to stage support personnel to aid with the evacuation e) Train location and movement capability f) The passenger load

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g) Support service availability (fire departments, police, operations supervisors, etc.) h) Rescue train availability i) Evacuation locations, in order of preference, including but not limited to Station platforms (unless it requires taking a train with a fire/smoke condition underground) Maintenance-of-way access points Trackage at-grade Aerial structures Underground (between stations)

D.2.3.2 Evacuation responsibilities

The RTS should clearly define its internal responsibilities to manage, coordinate and execute emergency evacuation and formally promulgate responsibilities for each strata of the organization that would reasonably be expected to take part in an evacuation and recovery effort, including, but not limited to: a) The vehicle crew b) Rail transit supervisors c) The OCC d) Station attendants e) Transit police and security staff f) System safety personnel D.2.4 Rescue trains In addition to the requirements in Section 6.4.6 of the body of this document and the guidelines in Annex D.2, the RTS should provide the following in their rescue train procedures: a) A means of determining the most appropriate train (or other vehicle) in the system to utilize as a rescue train b) Guidelines for transforming a passenger carrying train into a rescue train, including the clearing of passengers at a station, loading of rescue crews and equipment, and criteria for departing to the emergency site c) Operational requirements for a rescue train (sound horn, flashlights, operation of doors, etc.)
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d) Operational restrictions for a rescue train (such as speed) e) Special procedures for communicating with the rescue train f) Instructions for boarding and moving passengers g) Instructions for coupling with and moving stranded trains D.2.5 Crowd control In addition to the requirements in Section 6.4.7 of the body of this document and the guidelines in Annex D.2, the RTS should provide the following in their crowd control procedures: a) A personnel and security deployment plan to implement crowd control b) A list of specific locations system-wide where crowd control measures are most likely to be required c) A policy agreement with respective law enforcement agencies pertaining to crowd control d) Guidelines for crowd control communications e) A means of protecting train operations in the event of large crowds f) Instructions for accessing crowd accumulation through the use of patron-metering processes including turnstiles g) Guidelines for informing operations personnel of their role in crowd control procedures D.2.6 Alternative transportation In addition to the requirements in Section 6.4.8 of the body of this document and the guidelines in Annex D.2, the RTS should provide a resource list identifying available transportation alternatives for all times of day as part of their procedure for establishing alternative transportation. D.2.7 Media In preparation for emergencies likely to attract media attention, the RTS should comply with the requirements in Section 6.4.9 of the body of this document and a) Appoint a specific RTS department to be responsible for public and media relations including but not limited to specific on-scene management responsibility b) Provide training for personnel to ensure they are familiar with RTS media relations policies c) Appoint an RTS staff member to assist/advise the IC with media inquiries d) Provide guidelines to help ensure the accuracy of information released
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e) Assign responsibility for the release of timely, accurate information f) Provide a checklist and/or complete instructions on when and how to contact the media in response to emergency situations g) Create of an inter-agency policy for broadcasting system status information to the public The RTS should also utilize the general emergency response provisions in Annex D.2. D.2.8 Safety and law enforcement In addition to the requirements in Section 6.4.10 of the body of this document and the guidelines in Annex D.2, the RTS should provide the following procedures: a) Procedures for securing an area for investigation by authorities b) Guidelines for obtaining witness statements (when applicable) from individuals who may have witnessed the event c) Guidelines for preserving all records, voice tapes, and other evidence for submittal to the investigating agency D.2.9 Emergency communications The RTS should develop procedures for communication systems usage, availability, and operation during emergencies. In addition to the requirements pertaining to communications in Sections 6.2, 6.2.1, and 6.3 of the body of this document and the guidelines in Annex D.2, the RTS should include the following in their emergency communication procedures: a) Persons/departments that will need to be contacted via communication systems b) Forms of communication to be used in emergency situations c) Responsibilities for the operation of communication systems devices during emergencies d) Back-up operational procedures and provisions for communicating to key players in the event of a communication systems failure. These back-up procedures should include: Procedures to follow if train-to-OCC radio communications are lost Procedures to be followed by train operators Procedures to be followed by OCC personnel Provisions for quickly restoring communications

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e) The communication systems procedures for emergencies should include consideration of the following channels/forms of communication: Alarms Public address systems (PAs) on trains Public address systems (PAs) in stations Local radio/television stations and other forms of media Train, maintenance and police radios Hotlines to fire departments Law enforcement telecommunications system Municipal government officials emergency telephone system Terminal zones and yard control towers Automatic dialing telephones Direct line telephones Maintenance telephones Hard wire military field phones Public telephones Cell phones and pagers Tape recorders Computer systems/emails

NOTEIn emergency situations reducing the volume of normal radio and telephone traffic to free these channels of communication is highly recommended.

D.3 Emergency-specific response procedures


The emergency scenarios listed in Annexes D.3.1-D.3.7 below may require one or more the general response procedures described in Section 6.4 of the body of this document. In addition to the applicable general response procedures needed, these particular emergency scenarios may benefit from more detailed procedures tailored to the specific needs of the emergency. Annexes D.3.1-D.3.7 provide recommended procedures and guidelines for detailed emergency procedures of this sort. The RTS should include the following for each of the procedures described in Annexes D.3.1D.3.7:
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A checklist and/or concise instructions on how to implement the procedure for all key departments and/or employees A means of locating all equipment necessary for implementing the procedure If necessary, truncated service and/or bus bridge procedures If applicable, modifications to train operations including determining the proper movement of the train involved and other trains given the particular circumstances of the emergency (for example: reduced speed, stop or bypass)

For each the emergency scenarios described in Annexes D.3.1-D.3.7 establishing the facts should be included as part of the procedures for the scenario. The facts should be established to the fullest extent possible and should include (but not be limited to): a) The exact location of the event (track designation/number, milepost, station aerial, subway, at-grade, yard location) b) The nature and severity of the incident c) The number and status/condition of any individuals involved (injuries, fatalities) d) Number of cars involved and vehicle identification numbers e) Extent of property damage including structures and equipment f) Presence of fire, smoke, or fuel spills (see Annexes D.3.6 and D.3.7) g) Presence of hazardous materials h) The number and location of persons on board (with special consideration for the elderly and disabled) i) Whether immediate evacuation is necessary or underway For more information on emergency-specific response procedures, see Chapter 7 of APTA Moving People Safely. Rail transit systems should also review the references in Section 2 of the body of this document as well as emergency plans from other similar rail transit systems (several are available in the APTA Emergency Preparedness Plans Resource Kit) as aids in developing their own specific procedures.

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D.3.1 Emergencies involving passengers and/or employees


D.3.1.1 Sick or injured passengers or personnel

The RTS procedures and/or checklists for responding to sick or injured passengers or personnel should comply with the general response requirements in Section 6.4 of the body of this document. These procedures and/or checklists should provide instructions/guidelines for: a) Seeking the assistance of medically trained passengers if necessary b) Appointing an RTS employee to remain with the ill/injured person until medical assistance arrives c) Criteria for selecting best station for emergency responders to access the train d) Procedures for proceeding directly to that station as an express train e) When and how to clear the immediate area by evacuating other passengers (see Annex D.2.3) f) Removing immobile ill/injured passengers from the train (this should be left to emergency responders unless circumstances require immediate evacuation of all passengers and employees such as in the instance of a fire) g) Notifying riding passengers and passengers at the stations of an existing medical emergency and the action to be taken h) Moving the train in the event of an incapacitated train operator The RTS should also utilize applicable emergency-specific response procedures and provisions from Annex D.3.
NOTEIf two or more people exhibit similar unexplained symptoms, see Annex D.3.6. D.3.1.2 Death or serious injury on the right-of-way

In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should determine the cross-passage or exit door number nearest the lead car (if underground) as part of the procedures and/or checklists for handling death or serious injury on the right-of-way. If the injured person remains on the right-of-way or in contact with the train, emergency responder concurrence should be obtained before moving incident train(s). The RTS should develop and implement a protocol for the relief of the train operator postincident.

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D.3.2 Emergencies related to train movements


D.3.2.1 Intrusions into the right-of way

In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should include the following as part of the procedures and/or checklists for responding to intrusions onto the right-of-way: a) Procedures and responsibilities for responding to intrusion alarms b) Guidelines for system operation limits during an intrusion event
D.3.2.2 Derailments and collisions

In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should include the following tasks as part of the procedures and/or checklists for derailments and collisions: a) Determine if there are any hazardous site conditions: fouled tracks, downed wires, third rail damage b) If possible, have passengers assemble in undamaged portion of train c) Apply accident/incident investigation procedures (see APTA RT-S-OP-002-02, Standard for Accident Investigation) d) Mobilize maintenance and repair crews as needed D.3.3 Emergencies related to infrastructure
D.3.3.1 Loss of station power

In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should include the following tasks as part of the procedures and/or checklists for loss of station power: Estimate the number of patrons, if any, affected by the outage Contact the local utility company Determine the extent of the outage and estimate when power will be restored Manually operate trains into stations as necessary

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The RTS should provide the following when developing the procedures and/or checklists for the loss of station power: a) Having an RTS employee remain at the site to assist patrons as directed and relay information to the OCC until transit police/security officers and/or other emergency response personnel arrive b) The use of dual controls, feeder cables, etc., to provide redundancy should failure in one component occur c) Providing alternate power source to the following components: Station emergency lighting All illuminated signs Ventilation system (subway) Radio and telephone systems Public address system Fire alarm system Pumps (subway and other sub-grade locations) Other components as deemed necessary by the RTS

D.3.3.2 Loss of vital signal system

The loss of the vital signal system is not necessarily an emergency in and of itself. However it may cause or contribute to an emergency or happen as a result of an emergency. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should consider the following when developing the procedures and/or checklists for the loss of vital signal system: a) Identifying all signal system components that perform safety critical functions b) Providing a redundant means for performing safety critical functions including a alternate means of performing functions normally performed by signal systems c) Restrictions on operations (reduced speeds, etc.) to compensate for loss of safety critical signal system components d) Inspection, test and maintenance procedures to quickly restore the safety critical functions performed by signal system components

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e) Quick response technical support contracts for replacement/repair of safety critical signal system components f) Effective system documentation and configuration control procedures g) Alternative grade crossing protection measures h) Procedures to ensure safety for loss of surface street traffic signaling light rail transit D.3.4 Natural disasters/severe weather procedures Rail transit systems should identify the specific natural disaster and severe weather scenarios likely to occur in their specific operating environment. As part of this analysis, the RTS should consider the natural disaster and severe weather events described in Annexes D.3.4.1-D.3.4.4. For more information on severe weather procedures, see the APTA Resource Kit: Severe Weather Operations on CD-ROM.
D.3.4.1 Earthquakes

Because major earthquakes may result in widespread damage and many casualties, rail transit systems operating in areas with a history of earthquakes should develop and implement earthquake procedures. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should develop procedures and/or checklists for earthquakes that address the following a) How to determine the level of severity and location of the earthquake b) How to determine the extent of earthquake damage c) How damaged trackway, switches, or overhead wires might affect safety d) The possibility of passengers being trapped in elevators e) When to keep passengers aboard trains and when to evacuate f) How to safely get trains into the stations if evacuation is necessary g) How to recover stranded trains from affected areas h) When and if fare gates should be put into exit only mode i) The use of emergency transfers upon request j) The use of pre-recorded earthquake announcements

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k) How to safely move vehicles to open areas in case of after shocks l) How to assist the community served by the RTS with earthquake recovery The RTS should determine the order of the tasks listed in a) through l) above. The RTS should consider having more than one earthquake plan based on level of severity and conditions. For samples of existing earthquake procedures, see Chapter 9 of the San Francisco Bay Area Rapid Transit Emergency Plan and the MUNI Emergency Operating Procedures Earthquakes.
D.3.4.2 Hurricanes

Hurricanes are tropical cyclones in which winds reach a constant speed of at least 74-mph and may gust to 200 mph. Hurricanes spiral bands can cover an area several hundred miles in diameter. The spirals are heavy cloud bands that cause torrential rain and often generate tornadoes. In their procedures and/or checklists for hurricanes, the RTS should utilize the applicable general response procedures described in Section 6.4 of the body of this document and the applicable emergency-specific response procedures and provisions from Annex D.3. The RTS should also a) Identify shelters for key personnel. b) Consider the use of a hurricane response team c) Determine which command center to use for hurricanes (EOCC, SOCC) The RTS should organize the hurricane procedures to lay out the actions of the RTS during the following four phases of a hurricane: Phase IHurricane pre-season--Winter and spring are the hurricane pre-season. The RTS should conduct preparatory activities and hurricane response team training (if applicable) during the pre-season. Phase II Hurricane watch and warning--Phase II starts when the National Weather Service issues a hurricane watch for a portion of the rail transit systems operating area and lasts until either the hurricane makes landfall in the operating area or the hurricane watch is canceled. During Phase II, the RTS will execute their role in evacuation plans, complete an orderly cessation of service, and take steps to protect passengers, personnel, property, and equipment. Phase IIIHurricane landfall--Phase III starts when the hurricane makes landfall and ends when civil authorities issue an all clear. During the landfall period, the RTS procedures should only address extreme emergency action necessary to prevent injury or loss of life. Phase IVPost storm recovery--During Phase IV, the RTS may call on employees to assist civil authorities to provide assistance to disaster victims. The RTS will assess damage and take steps to restore service.

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D.3.4.2.1 Phase I--Pre-season preparations

The RTS should make the following preparations during the preseason: a) Make site inspections of vulnerable areas b) Test pre-positioned emergency equipment (pumps/generators etc.) c) Check and replenish pre-positioned emergency supplies d) Review and update the mitigation plan e) Review and update roles and responsibilities of transit employees f) Conduct refresher hurricane procedures training for key employees The RTS should participate in regional exercises and/or conferences on hurricane response if applicable.
D.3.4.2.2 Phase II--Hurricane watch

The National Weather Service issues hurricane watches that cover a specific area and time period. The watch means that hurricane conditions are possible usually within 24-36 hours. The watch does not mean that the hurricane will make landfall. During the hurricane watch period, the RTS should implement the hurricane procedures that cover: a) Hurricane team assembly and assignments (if applicable) b) Site precautionary protective activities c) Tests of emergency equipment and supplies (pumps/generators, etc.) d) Recharging and testing of communication equipment e) Fueling of emergency vehicles f) Initial removal of debris and small outdoor equipment
D.3.4.2.3 Phase II--Hurricane warning

The National Weather Service issues hurricane warnings usually 24 hours prior to when hurricane conditions are expected. If the hurricane changes path unexpectedly, the warning may be issued only 10-18 hours prior to the expected hurricane conditions. A warning will also identify those areas where dangerously high water and waves are forecast even though winds may be less than hurricane force. During the hurricane-warning period, the RTS should implement the hurricane procedures that cover: a) Hurricane team activation (if applicable) b) Assignment of communication equipment

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c) Pre-positioning of emergency vehicles d) Securing of small equipment e) Securing facilities f) Removal/securing all outside loose equipment and containers g) Storage/protection of fuels and other flammable materials h) Installation of sandbags, plywood and other protective material i) Cessation of service j) Parking and protecting vehicles k) Shutting off utilities l) Shelter and emergency supplies for essential employees m) Arrangements for services and supplies needed for recovery n) Dismissal of non-essential employees o) Communications during warning and landfall phases
D.3.4.2.4 Phase III--Hurricane landfall

Hurricane team members (if applicable) and other RTS employees should seek immediate shelter at pre-designated sites and if possible remain in communication with hurricane command center. Hurricane team members should remain in their shelters and take no action except to preserve life and prevent injury unless otherwise requested by the command center.
D.3.4.2.5 Phase IV--Post storm recovery

The recovery period involves two overlapping stages: the emergency period immediately following the hurricane, and the restoration period. During the emergency period, actions include but are not limited to the search and rescue efforts for injured, homeless and missing persons and attending to those persons requiring refuge and food. The RTS should coordinate with civil authorities on how to best use RTS resources during the post storm emergency period. The RTS should plan for and implement the following actions as part of post storm restoration of service: a) Call essential employees to return to duty b) Review recovery plans and priorities with essential employees c) Take steps to protect equipment and property from looting/vandalism d) Inspect equipment/facilities for damage, flooding, downed wires, etc. e) Determine that it is safe to restore power and other utilities
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f) Call non-essential employees to return to duty g) Remove and dispose of debris h) Remove sandbags, shutters, tape, plywood and other protective materials i) Inspect elevator machine rooms/escalator pits prior to restoring power j) Perform vehicle, track, signal system and power system inspections k) Run non-revenue service trains at reduced speed l) Incrementally restore revenue service m) Consider special reduce/no fare period if needed n) Replenish pre-positioned emergency supplies and protective materials
D.3.4.3 Tornadoes/high winds

High winds can pose a threat to rail transit systems, particularly those that operate on elevated platforms or bridges. The RTS should develop and implement procedures for dealing with high winds. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should include the following tasks in the procedures and/or checklists for tornadoes and high winds: a) Contact the National Weather Service to obtain the latest weather forecast for the area b) Establish a wind velocity threshold for safe train operations c) If the wind velocity reached the threshold or debris has begun to fall onto the trackway and stopping distance may be too great to avoid contact with track obstructions, trains should be operated at reduced speed or stopped d) If power lines or trees are down in or near the trackway trains should be stopped until further instruction from the OCC
D.3.4.4 Floods

The RTS should develop and implement procedures for handling floods within the system. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should include the following tasks as part of the procedures and/or checklists for floods: a) Determine the condition that caused the area to flood, e.g., broken water main, sewer backup, inoperative pump, unusually high tides, etc.
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b) Assess the affect of the flood on train operations in the area c) If any tracks within the emergency scene are "out-of-service," cancel all interlocking routes leading into the emergency scene until the area or specific tracks are declared safe for train operations d) If the cause of the flood condition is suspected to be broken water pipes, notify and request response from the appropriate water company The RTS should determine the order of the tasks listed in a) through d) above. The RTS should address the following when developing the procedures and/or checklists for floods: When and how to move a train through a flooded area How to drain and pump stations to reduce flooding Precautions for low points in the system where flood is most likely Security at the emergency scene to prevent unauthorized personnel from entering When to remove traction power in the affected area so as not to strand trains in the flooded area Restricting all trains from entering the incident site
D.3.4.5 Blizzards/heavy snow

The RTS should develop and implement procedures for handling blizzards/heavy snow within the system. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should address the following as part of the procedures and/or checklists developed for blizzards/heavy snow: a) When and how to implement blizzard/heavy snow procedures as the forecast and actual conditions worsen b) The responsibilities of various parts of the organization to implement blizzard/heavy snow procedures: Upper management Transportation department Car equipment department Maintenance-of-way department Safety/security department
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Public relations/affairs department

c) Training on content and implementation of blizzard/heavy snow plans and procedures d) When and how to communicate with the media and public on the impact of blizzards/heavy snow on operations e) Who, when and how to notify rail transit staff on the implementation of blizzard/heavy snow procedures f) Winterization of equipment and vehicles g) Appropriate cold weather clothing with high visibility markings for RTS staff h) General health warnings of exposure in extreme temperatures, risks of disorientation in severe snow storm conditions, and the risk of heart attack associated with vigorous heavy lifting while manually removing accumulated snow. i) Pre-positioning of snow fighting supplies Shovels Sand Melting chemicals

j) Availability and location of snow fighting equipment Snow plows for track vehicles Ice cutter heads for pantographs 4-wheel drive vehicles for staff Snow blowers Road snowplows Contracts for snow removal

k) Approach for graceful reduction of service as conditions worsen l) How to monitor the following conditions on the right-of-way Snow accumulation and its affects Affects of street plowing Ice/snow in flangeways Reduced visibility of signals
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Frozen switches Defective switch heaters Arcing/icing on catenary Driving conditions on transit property Walking conditions on platforms and in stations and parking lots Other conditions that may affect safe movement of people

m) Revision of the blizzard/heavy snow plan and procedures based on lessons learned from big storms D.3.5 Terrorism/criminal threats and actions Terrorists and criminals pose a growing threat to disrupt RTS operations and cause emergency situations. A terrorist attack can take several forms, depending on the technological means available to the terrorist, the nature of the political issue motivating the attack, and the points of weakness of the terrorists target. Bombings have been the most frequently used terrorist method in the United States. Possibilities include attacks at transportation facilities including incidents involving chemical or biological agents. Management of terrorist emergencies is primarily the responsibility of the impacted jurisdiction. The RTS should develop and maintain effective mechanisms for addressing a variety of terrorist/criminal scenarios that may happen within the RTS operating area including but not limited to those described in Annexes D.3.5.1-D.3.5.6 below. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should include the following tasks in their procedures and/or checklists for responding to terrorist/criminal threats and/or actions: a) Immediately notify the police and the OCC b) If outside support is necessary to cope with the effects of a terrorist disaster, contact the local government (city or county), which then seeks support from the affected state, which then seeks Federal support when state or local resources and capabilities are unable to handle the magnitude of the event For more information on responding to terrorist/criminal threats and incidents see: Guide for All-Hazard Emergency Operations Planning, State and Local Guide (101) Chapter 6, Attachment G Terrorism, F.E.M.A. FTA-MA-26-7009-98, Critical Incident Management Guidelines, U.S. Dept. of Transportation, Federal Transit Administration.

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DOT-VNTSC-FTA-98-5, Rail Tunnel Systems (March 2002), U.S. Dept. of Transportation, U.S. Dept. of Energy, Federal Transit Administration, National Institute of Justice.*
*NOTEThis is a controlled document available only to transit systems. D.3.5.1 Hostages/barricaded subject

Rail transit systems should develop and implement procedures for handling hostage/barricaded subject incidents. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should include the following tasks in their procedures for addressing hostages/barricaded subject: a) Instruct the employee reporting the event to remain at a safe distance and to continue to relay information until police officers arrive at the scene b) If conditions permit, instruct the reporting employee to clear all unnecessary personnel away from the area and prevent other from entering c) Determine and communicate as necessary: d) The number and location of hostage-takers e) Weapons in possession of hostage-takers f) Demands made by the hostage-takers g) Hold trains clear of the scene h) Transition to unified command structure and comply with the directions of the IC
D.3.5.2 Bomb threat

Rail transit systems should develop and implement procedures for handling bomb threats in conjunction with local law enforcement. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergencyspecific response procedures and provisions from Annex D.3 above, the procedures for bomb threats should include but not be limited to the following tasks: a) The RTS employee receiving the threat should obtain as much specific information as possible b) If the threat is made by phone, the RTS employee receiving the threat should keep the caller on the line as long as possible so that call may be traced c) If the threat is aimed at a train, the train operator should be instructed to hold at a certain location, notify the OCC by landline, and cease all transmissions that could risk detonation of the bomb d) Train operator should not take any action that may panic the passengers
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e) For threats involving NBC agents follow the procedures described in Annex D.3.5.3 below f) If an explosion occurs, follow the procedures described in Annex D.3.6 below
D.3.5.3 Unauthorized person in control of train

Rail transit systems should develop and implement procedures for handling unauthorized person/s in control of train. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should address the following in the procedures for handling unauthorized person/s in control of train: a) How to communicate with unauthorized individual(s) b) What to communicate to unauthorized individual(s) c) How to handle demands made by unauthorized individual(s) d) How to use automated train control systems, if available e) How to use train routing options f) How to keep other trains clear g) Where to stop the train h) How to stop the train i) How to get emergency responders aboard j) How to communicate with passengers k) What to communicate to passengers
D.3.5.4 Civil unrest

Rail transit systems should develop and implement procedures for handling civil unrest. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should address the following in the procedures and/or checklists for responding to civil unrest events or riots: a) How and when to hold trains b) Where and when to establish a command post near the affected area to monitor events c) When and how to request police assistance to protect human life, facilities and equipment d) When and how to request a fire department unit to be placed on stand by at the command post
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D.3.5.5 Computer system attacks

Computer viruses, computer hackers, and other forms of computer crime represent a threat to seriously disrupt the operations of rail transit systems. Rail transit systems should develop and implement procedures and technologies to reduce their vulnerability to computer system attacks. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should include the following in their procedures for reducing vulnerability to computer system attacks: a) Employee awareness programs b) Up-dates to all employees on most recent virus threats c) Well trained computer system support staff d) Effective firewalls and other computer system security techniques e) Frequent up-dates of anti-virus software f) Technology to detect unauthorized use/attempts to use computer systems g) Membership/participation in FBI computer crime website h) Contingency plans for back-ups and quick recovery D.3.6 Hazardous materials spills and releases Rail transit systems should develop and implement procedures for handling incidents involving hazardous materials caused by accidental spills/leaks and those caused by terrorism/criminal actions. In addition to the applicable general response procedures described in Section 6.4 of the body of this document and applicable emergency-specific response procedures and provisions from Annex D.3 above, the RTS should address the following in their procedures for hazardous material releases and spills: a) What odors or visible evidence of hazardous materials to report b) How to determine the nature and extent of the spill or release (origin, amount, symptoms, area affected, appearance, etc.) c) When and where to stop affected trains d) What to tell passengers, patrons and public e) What to do with ventilation/air handling systems f) When and how to move the train to a yard g) What to do with the train in the yard

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h) How to contain and isolate the scene i) How to determine decontamination procedures with participating outside agencies j) How to comply with state and federal regulations on hazardous materials releases k) How to handle incidents occurring off RTS property that will affect RTS employees or operations l) When and how to evacuate (see Annex D.2.3) with special consideration to the following items: Where to assemble (an area upwind from the spill) Keep out of smoke, fumes or dust resulting from the incident Avoid breathing vapors from the spilled material DO NOT smoke, light any matches, eat, drink, or apply cosmetics

Intentional releases of hazardous materials that constitute NBC or weapons of mass destruction incidents are not appropriate for discussion in a publicly available document. These procedures should remain closely held by each individual RTS. D.3.7 Fires/explosions Fires can be a primary emergency incident, or they can be a secondary emergency event resulting from an accident, natural disaster or terrorist/criminal activity. The threat of a fire to a transit system is significant in both likelihood and in potential consequence. Accidental flammable liquid or vapor intrusion creates the potential for a serious fire or explosion resulting in damage to the trainway and/or injury to transit passengers and personnel. Rail transit systems should develop and implement procedures and/or checklists for responding to each of the fire scenarios described in Annexes D.3.7.1-D.3.7.5. To develop and to implement these procedures, rail transit systems should consult National Fire Protection Association (NFPA) 130. In their fire procedures and/or checklists, the RTS should include: a) All applicable general response procedures described in Section 6.4 of the body of this document b) Applicable emergency-specific response procedures and provisions from Annex D.3 above c) Instructions on the location, use and operation of fire suppression equipment d) Determine source and location of smoke/fire e) Hold all passenger trains clear of the area
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f) Contact fire department(s)giving them instructions for most direct access to the fire g) Guidelines for determining the nature of the fire (electrical, trash, other) h) Assessing the impact the fire will have on train operations i) Instructions for determining if hazardous materials or terrorism may be involved (see Annexes D.3.5 and D.3.6 above)
D.3.7.1 On train

The RTS should include the following tasks in the procedures and/or checklists for fires on trains: a) Determine the following: Train length The location of the train (milepost and track designation) if underground, location of nearest cross-passage door near lead car Whether train is stationary or moving Whether possibility exists for moving passengers and uncoupling the burning car provided adequate braking can be assured on the uncoupled piece

b) Assuming the train is mobile, determine the preferred location to stop the train for passenger off-boarding and fire suppression ( do not take a burning train underground) c) Deactivate train ventilating systems d) Isolate the incident area and ensure that other trains do not block the path of the incident train e) Assist fire fighters in gaining access to the train and removing any trapped/injured passengers f) Activate emergency ventilation systems as appropriate (see Section 6.4.4 and Annex D.2.2)
D.3.7.2 On shared right-of-way

For fires on the shared right-of-way, the RTS should notify other users.
D.3.7.3 On elevated structures or tunnels

The RTS should include the following tasks in the procedures and/or checklists for fires on elevated structures or tunnels: a) Consider the unique characteristics generated by elevated structures or enclosed areas if initiating evacuation procedures (see Annex D.2.3)
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b) When fire has been extinguished, inspect structure or tunnel for damage c) Repairs and tests to safely return structure or tunnel to service
D.3.7.4 In a station

The RTS should include the following tasks in the procedures and/or checklists for fires on in a station: a) Implement necessary train movement restrictions and prevent train intrusion into the incident area b) Remove stopped trains, if any, from the affected area c) Determine whether to close station to prevent access to affected area(s)
D.3.7.5 Explosions

The RTS should include the following tasks in the procedures and/or checklists for explosions: a) Determine whether anyone is trapped by fallen debris b) Determine and locate the existence of smoke and/or fire c) Hold trains clear of the scene d) Because a secondary blast may occur, ensure that all persons remain at a safe distance from the blast site until police arrive
NOTEKeep in mind that if the explosion was the result of an attack, the evacuation site may be targeted. Personnel must be aware of strange packages or objects at the evacuation site.

e) If NBC agents or weapons of mass destruction are suspected follow RTS procedures for handling such incidents f) Once the investigation is complete and the site released, conduct appropriate inspections (track, signals, equipment) and ensure that all personnel are clear of the area prior to restoring revenue service

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Annex E

(Informative) Guidelines for emergency recovery


This annex corresponds to Section 7 of the body of this document. Use Section 7 to determine the minimum requirements for emergency recovery and this annex for guidance on how to meet these requirements. The RTS should include the procedures and guidelines described in this annex in addition to the recovery requirements in Section 6.

E.1 Restoration of normal conditions and service


The RTS should consider providing the following in their restoration of service procedures: a) A list of systems inspections necessary to safely resume service b) A list of system or component tests necessary to resume service c) A means of determining and communicating special operating restrictions/procedures necessary to resume service d) A list of back-up systems or other work-arounds that may be required to resume service e) A policy for notifying the public of how and when service will resume

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