106 KAR 1:220. Local exercise.

 

      RELATES TO: KRS 39A.050(2)(l),

39C.050(4), 39E.010(1), 42 U.S.C. 11001-11050

      STATUTORY AUTHORITY: KRS

39A.050(2)(j), (m), 39A.070(3), 39E.040(6), 39E.080(4), 42 U.S.C. 11003(c)

      NECESSITY, FUNCTION, AND CONFORMITY:

KRS 39A.050(2)(l) requires the division to institute exercise programs. This

administrative regulation establishes requirements for exercising a local plan.

 

      Section 1. Definitions. (1)

"Exercise" means a test and evaluation of a local plan.

      (2) "Federal fiscal year"

means a period beginning October 1 of a calendar year and ending September 30

of the following calendar year.

      (3) "Full-scale exercise"

means a comprehensive test and evaluation of a local plan utilizing written

objectives that emphasize the practice of multiple emergency functions and

require actual deployment of policy, coordination, and operations personnel,

equipment, and resources in response to a simulated emergency.

      (4) "Functional exercise"

means a limited test and evaluation of a local plan utilizing written

objectives that emphasize the practice of direction and control procedures and

require actual and simulated utilization of policy, coordination, and

operations personnel, equipment, and resources in response to a simulated

emergency.

      (5) "Local plan" means the

written emergency operations plan of a city, county, charter county, or

urban-county government, pursuant to KRS Chapters 39A to 39F.

      (6) "Tabletop exercise"

means a group discussion, led by a facilitator, utilizing a written scenario

narrative and a set of problem statements, directed messages, or prepared

questions designed to test and evaluate a local plan.

 

      Section 2. Tabletop Exercise

Requirement. A tabletop exercise shall consist of the following:

      (1) Development and use of a written

scenario based on a hypothetical emergency situation; and

      (2) Development and use of at least

fifteen (15) written problem statements, directed messages, or prepared

discussion questions worded specifically to test or evaluate the provisions of

a local plan.

 

      Section 3. Functional Exercise

Requirement. A functional exercise shall consist of the following:

      (1) At least twenty-five (25) percent

staffing of a primary or alternate local emergency operations center;

      (2) An operational test of communications

and emergency power equipment in a local emergency operations center;

      (3) Use of message forms or status

boards in a local emergency operations center;

      (4) Development and use of a written

scenario based upon one (1) or more hazards specified in a local plan;

      (5) Development and use of five (5)

or more written exercise objectives;

      (6) Testing of seven (7) or more

disaster and emergency response functions specified in a local plan;

      (7) Development and use of written

evaluation criteria;

      (8) Designation and use of a lead

evaluator; and

      (9) Conduct of an exercise critique

involving exercise participants.

 

      Section 4. Full-scale Exercise

Requirement. A full-scale exercise shall consist of the following:

      (1) Completion of the requirements of

Section 3 of this administrative regulation, except subsections (1), (5) and

(6);

      (2) At least seventy-five (75)

percent staffing of a primary or alternate local emergency operations center;

      (3) Development and use of ten (10)

or more written exercise objectives;

      (4) Testing of fifteen (15) or more

disaster and emergency services response functions specified in a local plan;

and

      (5) Field deployment of at least five

(5) emergency response and support agencies.

 

      Section 5. Local Exercise

Requirement. (1) Except as provided in subsection (2) of this section, a local

director shall:

      (a) Schedule, design, conduct, and

document one (1) tabletop, functional, or full-scale exercise by September 30

of each federal fiscal year; and

      (b) At least once during each period

of four (4) consecutive federal fiscal years, include in an exercise specified

in paragraph (a) of this subsection, testing and validation of a local plan

specified in KRS 39E.150.

      (2) During each period of four (4)

consecutive federal fiscal years, a local director shall schedule, design,

conduct, and document at least one (1) functional or full-scale exercise in

lieu of one (1) tabletop exercise specified in subsection (1)(a) of this

section.

      (3) Within thirty (30) days prior to

conducting a tabletop exercise specified in subsection (1)(a) of this section,

a local director shall submit to an area manager in final draft form the

following:

      (a) A completed KyEM Form 201,

"Exercise Narrative Scenario" or computer-generated equivalent; and

      (b) A completed list of written

problem statements, directed messages, or prepared discussion questions

established pursuant to Section 2(2) of this administrative regulation.

      (4) Within thirty (30) calendar days

following completion of a tabletop exercise, a local director shall submit to

an area manager a written exercise report consisting of the following:

      (a) A completed KyEM Form 201,

"Exercise Narrative Scenario" or computer-generated equivalent;

      (b) A copy of the written exercise

discussion problem statements, directed messages, and prepared questions

established pursuant to Section 2(2) of this administrative regulation;

      (c) A completed KyEM Form 205,

"Exercise Participant Roster" or computer-generated equivalent; and

      (d) A completed KyEM Form 206,

"Exercise Critique" or computer-generated equivalent.

      (5) Within thirty (30) calendar days

prior to conducting a scheduled functional or full scale exercise, a local

director shall submit the following to an area manager, in final draft form:

      (a) A completed KyEM Form 201,

"Exercise Narrative Scenario" or computer-generated equivalent; and

      (b) A completed KyEM Form 202,

"Exercise Objectives" or computer-generated equivalent.

      (6) Within thirty (30) calendar days

following completion of a functional or full scale exercise, a local director

shall submit to a county judge/executive, a mayor, and an area manager a

written local exercise report consisting of the following completed forms:

      (a) KyEM Form 201, "Exercise

Narrative Scenario" or computer-generated equivalent;

      (b) KyEM Form 202, "Exercise

Objectives" or computer-generated equivalent;

      (c) KyEM Form 203, "Exercise

Evaluation Criteria" or computer-generated equivalent;

      (d) KyEM Form 204, "Master

Sequence of Events List" or computer-generated equivalent;

      (e) KyEM Form 205, "Exercise

Participant Roster" or computer-generated equivalent;

      (f) KyEM Form 206, "Exercise

Critique" or computer-generated equivalent; and

      (g) KyEM Form 207, "Exercise

After Action Report" or computer-generated equivalent.

 

      Section 6. Exercise Substitution. (1)

In lieu of conducting and documenting a scheduled tabletop, functional, or

full-scale exercise in a federal fiscal year, a local director may request to

substitute the actual response of a local disaster and emergency services organization

to a major emergency situation or disaster occurrence in a local jurisdiction

during the federal fiscal year of the actual response.

      (2) A local director requesting to

substitute an actual response to a major emergency situation or disaster

occurrence, in lieu of conducting and documenting a scheduled tabletop,

functional, or full-scale exercise shall, within sixty (60) calendar days

following termination of associated emergency response operations, submit to an

area manager, for transmittal to the director, an after-action report in

memorandum form, containing the following information:

      (a) A brief description of the type

or kind of emergency situation or disaster that occurred in the local

jurisdiction;

      (b) Date of the emergency situation

or disaster occurrence;

      (c) The geographic area adversely

affected by the emergency situation or disaster;

      (d) The estimated population in the

adversely affected geographic area;

      (e) The major problems experienced

and the actions taken by local government to mitigate or respond to the major

problems;

      (f) Significant assets utilized to

mitigate or respond to the emergency situation or disaster; and

      (g) Critique comments describing the

general effectiveness of the mitigation or response efforts of local government

forces, including the adequacy of the local plan and any significant deficiencies

noted.

 

      Section 7. Incorporation by

Reference. (1) The following material is incorporated by reference:

      (a) "Exercise Narrative

Scenario, October 2000";

      (b) "Exercise Objectives,

October 2000";

      (c) "Exercise Evaluation

Criteria, October 2000";

      (d) "Master Sequence Of Events

List, October 2000";

      (e) "Exercise Participant

Roster, October 2000";

      (f) "Exercise Critique, October

2000"; and

      (g) "Exercise After Action

Report, October 2000".

      (2) This material may be inspected,

copied, or obtained, subject to applicable copyright law, at the Office of the

Director, Division of Emergency Management, State Emergency Operations Center,

100 Minuteman Parkway, Boone National Guard Center, Frankfort, Kentucky 40601,

Monday through Friday, 8 a.m. to 4:30 p.m. (27 Ky.R. 1982; Am. 2842; 3076; eff.

5-14-2001.)