APTA RT OP S 007 04 Standard for Rail Transit System Emergency Management

8/12/2019 APTA RT OP S 007 04 Standard for Rail Transit System Emergency Management

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Volume 4 - Operating Practices

APTA RT-OP-S-007-047/26/04

Copyright 2004 by The American Public Transportation Association1666 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 writtenpermission of The American Public Transportation Association.

7. Standard for Rail Transit SystemEmergency Management

Approved June 6, 2003APTA Rai l Transit Standards Operating Practices Commit tee

Approved May 23, 2003APTA Rai l Transit Standards Task Force

Authorized June 6, 2004APTA Rai l Transit Standards Policy Committee

Abst ract: This standard contains minimum emergency management requirements for railtransit systems including emergency mitigation, preparedness, response, and recovery. Thisdocument also includes informative annexes of non-required guidelines for rail transit systemsdeveloping emergency management plans.

Keywords: accident, emergency, emergency equipment, emergency management, emergencyplan, emergency preparedness, emergency procedure, emergency response, incident, railtransit system


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Copyright 2004 APTA. All rights reserved. 7.ii

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. Thecorresponding 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 forrail 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 notlimited 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 thepublic

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, thegovernment regulations override any conflicting practices required or recommended by this document.


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Copyright 2004 APTA. All rights reserved. 7.iii

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 RailTransit 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 contributedto the review and approval process of the Standard for Rail Transit System Emergency Management:

Peter Tereschuck, Chair

Nigel Astell

Franklin D. BeaufordHarvey 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. HaggasRichard 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 MulcahyDan 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 EditorAntoinette Hankins, Program Assistant

Thomas Peacock,Director-Operations & Technical Services

David Phelps, Senior Project Manager - Rail Programs


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Copyright 2004 APTA. All rights reserved. 7.iv

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.........................................................................................................................................7.43.2 Abbreviations and acronyms.............................................................................................................7.6

4. Mitigation...............................................................................................................................................7.7

5. Preparedness...........................................................................................................................................7.8

5.1 Emergency management plan ...........................................................................................................7.85.2 Roles and responsibilities................................................................................................................7.105.3 Emergency training, practices, and drills........................................................................................7.105.4 Levels of emergencies.....................................................................................................................7.115.5 Participating outside agencies (POAs)............................................................................................7.11

6. Response...............................................................................................................................................7.11

6.1 Operations Control Center (OCC) ..................................................................................................7.116.2 OCC back-up...................................................................................................................................7.126.3 Incident command system (ICS).....................................................................................................7.14

6.4 General emergency response procedures ........................................................................................7.146.5 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..........................................................................................................................7.24B.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.........................................................................................................7.32C.2 Specific roles and responsibilities of RTS departments and personnel..........................................7.35C.3 Guidelines for emergency training, practices and drills.................................................................7.35C.4 Levels of emergencies ....................................................................................................................7.40C.5 Participating outside agencies ........................................................................................................7.40C.6 Emergency equipment, supplies, and technology ..........................................................................7.42


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Copyright 2004 APTA. All rights reserved. 7.v

Annex D (Informative) Guidelines for emergency response ...................................................................7.45

D.1 Operations Control Center back-up................................................................................................7.45D.2 General emergency response procedures .......................................................................................7.49D.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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Copyright 2004 APTA. All rights reserved. 7.1

Standard for Rail Transit System EmergencyManagement

1. Overview

This standard contains requirements and guidelines for rail transit system (RTS) emergencymanagement (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 anemergency 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 1provides 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 modifiedfor 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 7describes required emergency recovery procedures.

This document also includes comprehensive informative annexes to use as a companion to thestandard.Annex Acontains a bibliography of references that are not cited in this document but

that contributed to its development.Annex B, C, D, and Ecorrespond to Sections 4, 5, 6, and 7of this standard, and address mitigation,preparedness, response, and recoveryrespectively.

Sections 4-7specify minimum requirements for the four components of emergency management

and list a corresponding annex section where the reader can find additional information andguidelines 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 areoptional. 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 tracksor 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 FederalRegulations (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 emergencymanagement. The information contained in the main body of this document (not including the

1For references in Italics, see Section 2.


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annexes) represents an industry consensus for minimum emergency management requirementsfor 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 electricallypowered 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 emergencysituations 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 mayhave unique operating environments that make strict compliance with every provision of thisstandard 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 arebased 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 andprovide 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, ReprintDecember 1991.

UMTA-MA-06-01586-89-1, Recommended Emergency Preparedness Guidelines for Elderly andDisabled 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

2To request, contact the APTA Information Center.


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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 3.2apply.

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 whichthe incident will be managed and through which all communication and activities will becoordinated. Also referred to as the Incident Command Post and the Field Command Post.

3.1.3 comprehensive emergency management (CEM): A practice of emergency managementthat breaks emergency planning into four phases: mitigation, preparedness, response, and

recovery. CEM presents an all hazards approach to emergency management, focusing onprocedures that can be used for multiple emergencies.

3.1.4 consequence management:Measures to alleviate the damage, loss, hardship, or sufferingcaused 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 thepotential 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 seniorofficials 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 warroom.

3.1.7 emergency management (EM) plan: The written document that contains a specific railtransit systems emergency procedures and/or checklists.

3.1.8 emergency management (EM):All actions a rail transit system takes to reduce theimpact 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 haveaspects that apply only to a specific given emergency scenario and cannot be easily applied toany 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 areapplicable to a wide array of emergency scenarios with minimal revisions for emergency-specificneeds. Examples include procedures for evacuation, notification, and crowd control.


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agency, transit authority, transit system.

3.1.24 recovery:The phase of emergency management that occurs after emergency responseactivities 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 situationhas 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 ofequipment 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 forcarrying 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, IncidentCommander (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 measurefor 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 orproperty to intimidate or coerce a government, the civilian population or any segment thereof, infurtherance of political or social objectives.

3.1.32 train operator:A qualified employee having direct control and responsibility for themovement of a train.

3.1.33 unified command:A chain of command that is multi-jurisdictional in which more thanone 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 Americans with Disabilities Act

APTA American Public Transportation AssociationCEM comprehensive emergency management

CEO Chief Executive Officer

CFR Code of Federal Regulations

DMUs diesel multiple unitsEOCC Emergency Operations Control Center (war room)

EM emergency management

FEMA Federal Emergency Management Agency


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FRA Federal Railroad AdministrationFTA Federal Transit Administration

HPPL High performance photo-luminescent

IC incident commanderICS Incident Command System

NBC nuclear/biological/chemical

OCC Operations Control Center (Rail Control Center)PA public address system

POA participating outside agency

RTS rail transit system

SOCC Satellite Operations Control Center (or back-up OCC)UMTA Urban Mass Transit Administration

USDOT 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. Emergencymitigation for rail transit systems includes but is not limited to:

a) The use of safe and secure designs for vehicles, equipment, and facilities (see APTAManual of Standards and Recommended Practices for Passenger Rail Equipment,

Volumes 2, 3, & 5)

b) Safe operating practices (see APTA Manual of Standards and Recommended Practicesfor 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 (seeAPTAManual ofStandards and Recommended Practices for Passenger Rail Equipment, Volume 6)

e) Periodic maintenance of vehicles and equipment (see APTA Manual of Standards andRecommended Practices for Passenger Rail Equipment, Volume 4and 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 RTSemergency mitigation standards


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The RTS shall determine appropriate mitigation strategies to use as part of their overallemergency management program.

For emergency mitigation guidelines, seeAnnex B.

For hazard identification and risk assessment guidelines, seeAnnex B.1.

5. Preparedness

The preparedness phase of emergency management establishes the objectives, procedures, andresources 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 andcoordinate with local jurisdictions as necessary to ensure emergency preparedness.

For emergency preparedness guidelines, seeAnnex 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 systemsemergency 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 planshall 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 5.3

Levels of emergencies 5.4

Roles and responsibilities 5.2

Coordination with participating outside agencies 5.5

OCC emergency operations 6.1

OCC back-up 6.2

Incident Command System (ICS) 6.3


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EM plan requirements Section

Procedures and/or checklists 6.4

Restoration of normal conditions and service 7.1

Documentation 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, seeAnnex 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, seeAnnex 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 specifyregular 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 effectivenessof the EM program that include the following steps:

a) Review and compare the general content of their new or existing emergency managementplan to the content requirements in this standard

b) Perform an objective comparison of the procedures contained in the annexes of thisstandard 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, seeAnnex C.1.3.

5.1.6 Revision of EM plan

Rail transit systems shall develop and implement a process for using new information, includinglessons 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, seeAnnex C.1.4.

5.2 Roles and responsibi lities

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). (SeeSection 5.5).

5.2.2 Specific roles and responsibi lities 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, seeAnnex C.2.

5.3 Emergency training, practices, and drill s

Training of both RTS employees and participating outside agencies is a crucial step in thesuccessful 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 referencematerials for training programs

For guidelines on emergency training, practices and drills, seeAnnex 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, seeAnnex 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, seeAnnex 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 6.1-

6.5in their EM plan (as a minimum).

For emergency response guidelines, seeAnnex 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 anddocumentation 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 EmergencyOperations 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 6.2.1andAnnex D.1)

c) Loss of communication and/or other vital systems (seeAnnexes 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 forcoping 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 applicableoperations 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, seeAnnex 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 EmergencyOperations Control Center (EOCC) if applicable

For guidelines on handling the loss of the OCC, including the establishment of an SOCC, seeAnnex 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 anddevelop 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, seeAnnex 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) tobe 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-26-

70009-98-1, Critical Incident Management GuidelinesandAnnex D.1.4of 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 theactivities listed in Sections 6.4.1-6.4.11as a minimum. The RTS shall assign clear responsibilityfor the management, coordination, and implementation of each task in the procedures.

For guidelines on general emergency response procedures, seeAnnex D.2.

For guidelines on emergency-specific response procedures, seeAnnex D.3.

6.4.1 Notification

The RTS shall develop procedures and/or checklists for notifying key parties of emergencysituations and incidents with the potential to develop into emergencies. Such action is necessary

to ensure effective emergency response. The RTS shall provide notificationprocedures/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 otherindividuals 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, seeAnnex D.2.1.

6.4.3 Removal of t rains 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 (seeAnnex D.3.7)

b) Earthquakes (seeAnnex D.3.4.1)

c) Floods (seeAnnex 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 shalldevelop 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, seeAnnex 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, seeAnnex D.2.3.


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6.4.6 Rescue t rains

If a rail transit systems trackway is isolated from surface streets (underground, aerial, at-gradeexclusive 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 theuse of rescue trains.

For rescue train guidelines, seeAnnex 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, seeAnnex D.2.5.

6.4.8 Alternative t ransportation

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 forestablishing alternative means of transportation.

For alternative transportation guidelines, seeAnnex 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 duringemergencies

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, seeAnnex 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, seeAnnex D.2.8.

6.4.11 Legal issues and claims

The RTS shall develop procedures and/or checklists in preparation for any legal claims resultingfrom 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. TheRTS 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 ofAnnex 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 D.3.1

Sick or injured passengers or personnel D.3.1.1

Death or serious injury on the right of way D.3.1.2

Emergencies related to train movements D.3.2

Intrusions into the right of way D.3.2.1

Derailments and collisions D.3.2.2

Emergencies related to infrastructure D.3.3

Loss of station power D.3.3.1

Loss of vital signal system D.3.3.2

Natural disasters/severe weather D.3.4

Earthquakes D.3.4.1

Hurricanes D.3.4.2

Tornadoes/high winds D.3.4.3

Floods D.3.4.4

Blizzards/heavy snow D.3.4.5

Terrorism/criminal threats and actions D.3.5

Hostages/barricaded subject D.3.5.1

Bomb threat D.3.5.2

Unauthorized person in control of train D.3.5.3

Civil unrest D.3.5.4

Computer system attacks D.3.5.5

Hazardous material spills and releases D.3.6

Fires/explosions D.3.7


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Potential emergency scenario

* Not every instance of some of these scenarios developsinto an emergency.

Annex section(for guidelines)

On train D.3.7.1

On shared right of way D.3.7.2

On elevated structures or tunnels D.3.7.3

In a station D.3.7.4

Explosions D.3.7.5

7. Recovery

The recovery phase of emergency management occurs after emergency response activities arecompleted 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, seeAnnex 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, seeAnnex 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 PlanningGuidelines

Abst ract: The guidelines provided in these annexes are intended to serve as a source ofinformation and ideas to assist rail transit systems in developing their own written emergencymanagement plans.

Disclaimer: The guidelines contained in these annexes are not specifications or regulationsand are not intended for construction, bidding, or permit purposes. The use of the word shoulddoes not legally obligate the RTS to follow a guideline. The RTS is free to evaluate theappropriateness of each recommended guideline for the individual operating environment. Useof the guidelines in these annexes is optional.


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Annex A

(Informative)

Bibliography

[B1] 49 CFR, Part 239, Passenger Train Emergency Preparedness, Federal Railroad Administration(FRA) Code of Federal Regulations (CFR), May 4, 1998.

[B2] APTA Resource Kit: Emergency Preparedness Plans (CD-ROM).3

[B3] APTA RT-RP-RGC-002-04,Recommended Practice for Rail Transit Grade Crossing PublicEducation and Rail Trespass Prevention.

[B4] APTA RT-S-OP-003-04, Standard for Safe Operations in Yards.

[B5] APTA RT-S-OP-012-04, Standard for General Rules General Safety Rules.

[B6] APTA SS-PS-002-98, Standard for Emergency Signage for Access of Passenger Rail Equipment,Rev. 2.

[B7] APTA-SS-PS-004-98, Standard for Low-Location Exit Path Markings, Rev. 1.

[B8] Boyd, A, and J.P. Sullivan. Emergency Preparedness for Transit Terrorism. TCRP Synthesis ofTransit Practice 21, Transportation Research Board, National Research Council. National

Academy Press, Washington, DC: 1997.4

[B9] CFR 49, Railroad Locomotive Safety Standards, Code of Federal Regulations, October 2002.

[B10] Checklists for Emergency Response Planningand System Security, American PublicTransportation Association, December, 2001.5

[B11] DOT-FTA-MA-26-5019-03-01, The Public Transportation System Security and EmergencyPreparedness Planning Guide, U.S. Department of Transportation, Federal TransitAdministration, 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 EmergencyManagement 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.

3To request, contact the APTA Information Center at ; 1666 K St. NW, 11 thFloor, Washington, DC 20006; (202) 496-

4889.

4 http:/ /gulliver.trb.org/publications/tcrp/tsyn27.pdf5.


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[B16] FTA Homeland Security Presidential Directive #3, National Transit Response Model, FederalTransit 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, FederalTransit 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 ofOregon/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 ChicagoTransit Authority, Washington DC, November, 1977. Chapter 7.

[B28] NFPA 130: Subsection 3.2.7, Standard for Fixed Guideway Transit and Passenger RailroadSystems, National Fire Protection Association, 2000.

[B29] Operating Bulletin No. 01-22, Procedures for Dealing with Substances Suspected of BeingTainted 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 TransitConference, Toronto, American Public Transportation Association: Washington, DC, 1999.

[B31] Policastro, A.J., F. OHare, D. Brown, M. Lazaro, and S. Filer. Guidelines for ManagingSuspected Chemical and Biological Agents Incidents in Rail Tunnel Systems, (Law EnforcementSensitive), Argonne National Laboratory for U.S. Department of Transportation, Federal TransitAdministration: Washington, DC, March 2002.

6http://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 TrainEmergency Preparedness Plan, SEPTA, Pennsylvania, October 1998.

[B34] State of Florida Emergency Response Plan, Terrorist Weapons, Effects & Emergency ResponseNeeds, 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 PublicTransportation 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 September1998.

[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 TransitAdministration, www.transitsafety.volpe.dot.gov/training/EPSSeminarReg/CD/index.html.

7http://www.apta.com/services/safety/suggested.cfm

8


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Annex B

(Informative)

Guidelines for emergency mit igationThis annex corresponds to Section 4of the body of this document. Use Section 4to 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 transitsystems, 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 andstructures (seeAPTA Rail Transit Standards Volumes 2, 5, and 610)

e) Establish design criteria for station facilities, vehicles, guideway facilities, vehicle yardand maintenance facilities, communications and power systems

f) Establish minimum safety and security requirements for the design of new facilities, therenovation 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 withdisabilities)

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, theAPTA Rail Safety Audit Program, Manual for the Development ofRail Transit System Safety Program Plans, and DOT-VNTSC-FTA-00-01, Hazard Analysis

Guidelines for Transit Projects.

10For references in Italics, see Section 2.


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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, somerail 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 especiallyimpacts 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 theDevelopment 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 thelikeliness 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, orcatastrophic. 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-26-5005-00-

01, 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 ofpotential risk factors and mitigation methods to resolve identified risks, see FTA-MA-26-7009-

98-1, Critical Incident Management Guidelines, pp. 15-18.


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Table 3 Hazard resolution Matrix

Hazard level

I. Catastrophic II. Critical III. Marginal IV. Negligible

A. Frequent Unacceptable Unacceptable Unacceptable Acceptable/WR*

B. Probable Unacceptable Unacceptable Undesirable Acceptable/WR*

C. Occasional Unacceptable Undesirable Undesirable Acceptable

D. Remote Undesirable Undesirable Acceptable/WR* Acceptable

Risklevel

E. Improbable Acceptable/WR* Acceptable/WR* Acceptable/WR* Acceptable

* Acceptable/WR Acceptable with review by management staff

Source: FTA-MA-26-7009-98-1, Critical Incident Management Guidelines, p. 18 (1) and theManual 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 facil ities

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 orupgrading 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 Systemsfor 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 Systemsfor 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 repairinginfrastructure 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 mayaffect emergency response and recovery include:

a) Communications devices

Passenger assistance phones including provisions for hearing impaired on platformsand 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) withenclosure 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, andvehicles

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 undergroundstations 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 othertransparent 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 platformstations and station approaches (grade stations)

High contrast, tactile warning strips, edge pavers and/or audio warnings at platformsafety 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 structuressee APTA RT-S-FS-009-01, Standard for Station, Shop and Yard Inspection and Maintenance

andAPTA RT-S-FS-007-01, Standard for Transit Structure Inspection and Maintenance.


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Annex C

(Informative)

Guidelines for emergency preparednessThis annex corresponds to Section 5of the body of this document. Use Section 5to 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 5.1.1of this document, the

RTS should include the components and/or procedures described inAnnexesC.1.1.1C.1.1.5.

C.1.1.1 Policy s tatement

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 toemployees 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 iscovered in the plan and, if necessary, what is notcovered in the

plan.

C.1.1.4 Purpose (of EM plan)

The purpose of the plan should explain whythe plan is needed.

C.1.1.5 Defin itions (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 thisdocument (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 agencyemergency programs as applicable

d) Utilize the following documents which provide additional information that may be usefulin 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 forElderly and Disabled Rail Transit Passengers

UMTA-MA-06-0152-85-1, Recommended Emergency Preparedness Guidelines forRail 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 5.1.5of thebody 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 thisdocument

In response to these comparisons, the RTS should improve their plan by revising, adapting, andadding 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 responsetimes?

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 5.1.6of the body

of this document and establish a means for evaluating the success of the revisions when put intopractice. The RTS should establish responsibilities for the following actions to successfullyimplement 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 drillsand 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 theseprocesses


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e) Develop a process for approving new emergency preparedness plans and for approvingperiodic changes to existing plans (see Section 5.1.6)

f) Develop a top-level policy statement for the emergency management program (seeAnnex 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 separatesection 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 mayparticipate 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 theirEM plan.

See the UMTA-MA-06-0152-85-1, Recommended Emergency Preparedness Guidelines for RailTransit Systems, Section 2.4 for additional information on RTS functions and responsibilities.

C.3 Guidelines for emergency training, practices and dri lls

In training, practices and drills programs the RTS should perform the steps required in Section

5.2of 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.3.4below

c) Use the guidelines in Sections C.3.1-C.3.5below

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 incidentreport 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 anycontractors 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 ofemergency supplies

C.3.2 Specialized train ing

Rail transit systems should develop and implement more comprehensive emergency managementtraining 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 andcommunities the system operates through, as well as specific emergency response agencyjurisdictions represented

b) Specific line descriptions, including length, terminals and station locations, hours ofservice 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 emergenc

Documents

APTA RT OP S 007 04 Standard for Rail Transit System Emergency Management