Current through Register Vol. 51, No. 6, December 1, 2024
RELATES TO:
KRS
39A.050(2)(l),
39C.050(4),
39E.010(1),
39E.150,
42 U.S.C.
11001-11050
NECESSITY, FUNCTION, AND CONFORMITY:
KRS
39A.050(2)(m) requires the
Division of Emergency Management to promulgate administrative regulations to
implement KRS Chapter 39A through 39F.
KRS
39A.050(2)(l) requires the
Division of Emergency Management to institute exercise programs for local
emergency management. This administrative regulation establishes requirements
for exercising a local emergency management 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 management 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 requiring 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 through 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 development and use of:
(1) A written scenario based on a
hypothetical emergency situation; and
(2) At least fifteen (15) written problem
statements, directed messages, or prepared discussion questions worded
specifically to test or evaluate the provisions of the local plan.
Section 3. Functional Exercise
Requirement. A functional exercise shall consist of:
(1) At least twenty-five (25) percent
staffing of a primary or alternate local emergency operation 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 established in the 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:
(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 management 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 established 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 established 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 established in
paragraph (a) of this subsection, testing and validation of a local plan
established 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 established in subsection (1)(a) of this
section.
(3) Within thirty (30)
days prior to conducting a tabletop exercise established in subsection (1)(a)
of this section, a local director shall submit a final draft of the following
to the area manager:
(a) A completed Exercise
Scenario, KyEM Form 201, 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; and
(c) A completed Exercise Objectives, KyEM
Form 202, or computer-generated equivalent.
(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 Exercise Scenario, KyEM Form
201, 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 Exercise Participant Roster,
KyEM Form 205, or computer-generated equivalent; and
(d) A completed Exercise Critique, KyEM Form
206, 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 final draft of the following forms or computer-generated
equivalent to the area manager:
(a) A
completed Exercise Scenario, KyEM Form 201; and
(b) A completed Exercise Objectives, KyEM
Form 202.
(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, mayor, or
area manager a written local exercise report consisting of the following
completed forms or their computer-generated equivalent:
(a) Exercise Scenario, KyEM Form
201;
(b) Exercise Objectives, KyEM
Form 202;
(c) Exercise Evaluation
Criteria, KyEM Form 203;
(d) Master
Sequence of Events List, KyEM Form 204;
(e) Exercise Participant Roster, KyEM Form
205;
(f) Exercise Critique, KyEM
Form 206; and
(g) Exercise After
Action Report.
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 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, shall submit to the area manager for
transmittal to the Director of the Division of Emergency Management, 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 Scenario", KyEM Form
201, June 2022;
(b) "Exercise
Objectives", KyEM Form 202, June 2022;
(c) "Exercise Evaluation Criteria", KyEM Form
203, June 2022;
(d) "Master
Sequence of Events List", KyEM Form 204, June 2022;
(e) "Exercise Participant Roster", KyEM Form
205, September 2000;
(f) "Exercise
Critique", KyEM Form 206, June 2022; and
(g) "Exercise After Action Report", KyEM Form
207, June 2022.
(2) This
material may be inspected, copied, or obtained, subject to applicable copyright
law, at the Division of Emergency Management, Emergency Operations Center, 100
Minuteman Parkway, Frankfort, Kentucky 40601-6168, Monday through Friday, 8
a.m. to 4:30 p.m.
STATUTORY AUTHORITY:
KRS
39A.050(2)(j), (m),
39A.070(3),
39E.040(6),
39E.080(4),
42 U.S.C.
11003(c)