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Guidelines for Transportation Emergency Training Exercises ATTACHMENT 1 NRP AND NIMS REFERENCE MATERIALS 90

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Guidelines for Transportation Emergency Training Exercises National Response Plan and National Incident Management System Requirements for Transportation Agencies In addressing requirements identified in the National Response Plan and the National Incident Management System, prior to conducting emergency exercises, most transportation agencies will, at a minimum, have to perform the following activities: Review National Response Plan/National Incident Management System requirements and identify the elements relevant for the transportation agency in coordinating with its emergency response communities at the local/regional/state level. Review protocols developed by local/regional/state emergency management agencies and emergency response agen- cies to support implementation of the National Incident Management System. Identify impacts on transportation activi- ties and emergency response functions. Revise memorandum of understanding/memorandum of agreement with local/regional/state emergency management agencies and emergency responders to reflect National Incident Management System requirements and to formalize mutual aid protocols (required in both the National Response Plan and the National Incident Management System). Revise the transportation agency's emergency operations plan to reflect National Response Plan and National Incident Management System organizational structures, terminology, definitions of emergency and of incidents of national signifi- cance, revised memoranda of understanding/memoranda of agreement, and local/regional/state communication and coordination protocols. Provide a copy of the revised transportation emergency operations plan to the local/regional/state emergency manage- ment agency. Develop a system for 24/7 emergency notification from/communication with local/regional/state emergency manage- ment agency and/or emergency operations center. Review existing transportation commitments to city/county/state emergency operations plans, verify transportation agency resources, and document emergency management capacity. Develop an inventory of the transportation agency's emergency management capacity and update it annually, submit- ting the revised inventory to the appropriate local/regional/state emergency management agency. Designate a member of the transportation agency to participate in city/county emergency management agency board meetings, training, and other activities. Designate a member of the transportation agency to serve as a contact person for the local/regional/state emergency coordinator on matters in connection with the local/regional/state incident management system protocol. Develop a procedure to provide the local/regional/state emergency operations center with information received from transportation personnel regarding the traffic capacity along routes and any unusual incidents that may impact emer- gency services, and keep the emergency operations center regularly informed of any route changes. Revise transportation emergency operating procedures to reflect National Response Plan/National Incident Manage- ment System terminology and protocols, revised memoranda of understanding/memoranda of agreement with local/regional/state emergency management and response agencies, and revised commitments to city/county/state emergency operations plans. Designate a representative from the transportation agency to serve as a liaison with the local/regional/state emergency management agency and to report to the local/regional/state emergency operations center upon activation. Prepare to provide, at the incident scene, a representative, if requested to do so by the local/regional/state emergency management agency or emergency responders, to assist in coordinating the provision of the transportation agency's services. 91

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Guidelines for Transportation Emergency Training Exercises Participate in the training conducted by the local/regional/state emergency management agency and assist, to the degree the transportation agency deems appropriate, the local/regional/state emergency management agency in the development and delivery of training programs in connection with the local/regional/state incident management system. Develop a formal process for addressing requests from the local/regional/state emergency management agency or emergency operations center in connection with the response to and recovery from a major emergency incident. Prepare and update training to reflect revised transportation emergency plans, procedures, and coordination protocols with local/regional/state emergency management agencies and emergency responders. 92

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Guidelines for Transportation Emergency Training Exercises Primary Response Components and Activities in NIMS and the NRP Response Activities Performed by Local Agencies Activities Performed by the Element to Establish NIMS/NRP Command and Transportation Agency to Coordinating Response Structure Integrate into NIMS/NRP Response Structure On-Scene Local responders establish incident Transportation agency establishes its Command command system (ICS) on-scene, incident management system (IMS) Structure including: on-scene, including: Incident commander Transportation incident Incident command post commander Activation of incident command Transportation command post sections Activation of transportation field Incident logistics center organization Incident communications framework Transportation field Incident action planning communications Use of ICS incident action planning Liaison role with responder ICS and support/recording forms Incident briefing and scene safety Transportation participation in local responder incident action planning Transportation incident activity log Expanded On- Local responders expand ICS to unified Transportation role is established in Scene Command command, including: supporting unified command, Structure Unified commander including: Unified command structure Participation in unified command Activation and staffing of ICS sections or liaison with unified command under unified command Continued activation of Communications framework to support transportation field organization unified command Transportation field Incident action plan (IAP) for unified communications framework to command interface with unified command Use of ICS IAP and support/recording Transportation briefing and scene forms for unified command safety Transportation participation in incident action planning Oversight of On- Local responders expand unified command Transportation role is established in Scene Command to establish unified area command, supporting unified area command, Structure including: including: Unified area command structure and Transportation support for members multiple command posts/incident Overall incident priorities scenes Allocation of critical resources based Transportation participation in on identified priorities unified area command or liaison Support for integrated management of with unified area command each incident Transportation support for Support for communications across priorities established by unified incidents area command Identification and reporting of Transportation support for resource needs resource allocation and identification of additional resources required Transportation field communications framework Multiagency Emergency operations centers (EOCs) are Transportation establishes its Coordination established to support incident response, coordinating structure to support local Systems-- including: incident response, including: Emergency Activation and staffing of department Activation and staffing of a Operations Centers operations centers (DOCs), linked to transportation EOC to support (EOCs ) incident command post, to support transportation field response. individual agency response (e.g., fire, Setting up a designated police, and emergency medical communication link between the services) transportation EOC and the Activation and staffing of local/county transportation command post (continued) 93

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Guidelines for Transportation Emergency Training Exercises (Continued) Response Activities Performed by Local Agencies Activities Performed by the Element to Establish NIMS/NRP Command and Transportation Agency to Coordinating Response Structure Integrate into NIMS/NRP Response Structure EOCs by personnel representing Coordination with EOCs multiple jurisdictions and functional established at the disciplines, organized to local/county/state level, including provide/coordinate information and the dispatching of transportation resources and to support long-term representatives to analysis and planning local/county/state EOCs and the Activation and staffing of state EOCs designation of electronic and to assume responsibility for telephonic means of coordination of information and communication. resources to support state incident Coordination with federal EOCs as management activities necessary and requested Activation and staffing of the Regional Response Coordination Center (RRCC) as a standing facility operated by FEMA to coordinate regional response efforts, establish federal priorities, and implement federal support Activation and staffing of a joint field office (JFO) as a temporary federal facility established locally to coordinate operational federal assistance to the affected jurisdiction(s). The JFO takes over from the RRCC. Activation and staffing of the Homeland Security Operations Center (HSOC) to serve as the primary national hub for domestic incident management operational coordination and situational awareness. Also shares homeland security information with local/regional/state and federal EOCs. Multiagency Coordination entities are established to Transportation is prepared to support Coordination manage federal resources at the scene, multiagency coordination entities, Entities including: including: JFO coordination group, which Coordination with federal coordinates the request and delivery multiagency coordination entities of federal assistance and support from as necessary, required, or various special teams composed of requested. federal and state personnel. The Interagency Incident Management Group (IIMG), which is a federal headquarters-level entity that facilitates federal domestic incident management for incidents of national significance. The IIMG membership is flexible and can be tailored or task- organized to provide the appropriate subject-matter expertise required for the specific threat or incident. 94

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Guidelines for Transportation Emergency Training Exercises Tiers of Response TIER ONE: LOCAL PLANNING AND RESPONSE LOCAL EMERGENCY MEDICAL LOCAL EMERGENCY LOCAL RESPONDERS RESPONDERS MANAGEMENT AGENCY EMERGENCY (LAW ENFORCEMENT, (LOCAL PUBLIC (EMA) /EMERGENCY PLANNING SPECIAL WEAPONS & HEALTH, OPERATIONS CENTER COMMITTEE TACTICS, FIRE, EMS, HOSPITALS, (EOC) (LEPC) HAZMAT, CORONER, ETC.) CLINICS, ETC.) LOCAL OTHER AGENCIES PUBLIC WORKS/ TRANSPORTATION PRIVATE WITH UTILITIES/ AND TRANSIT TRANSPORTATION TRANSPORTATION TELECOMMUNICATIONS AGENCIES/TMCs PROVIDERS RESOURCES AND AND STATE DOTs NEEDS TIER TWO: REGIONAL AND STATE PLANNING AND RESPONSE STATE REGIONAL STATE EMERGENCY STATE LAW DEPARTMENTS OF MUTUAL AID MANAGEMENT ENFORCEMENT PUBLIC HEALTH, RESPONDERS AGENCY AND AND FIRE ENVIRONMENT (OTHER LOCAL DEPARTMENT OF SERVICES AND WORKER JURISDICTIONS) HOMELAND SECURITY SAFETY STATE STATE OTHER STATE STATE NATIONAL DEPARTMENT OF DEPARTMENT OF DEPARTMENTS GUARD TRANSPORTATION AGRICULTURE AND RESOURCES TIER THREE: FEDERAL PLANNING AND RESPONSE DEPARTMENT OF HOMELAND DEPARTMENTS OF FEDERAL BUREAU ENVIRONMENTAL SECURITY HEALTH AND OF PROTECTION (INCLUDING FEMA, HUMAN SERVICES, INVESTIGATION AGENCY G&T, TSA, AND ENERGY CUSTOMS, etc.) U.S. MILITARY NUCLEAR U.S. DEPARTMENT (INCLUDING CENTERS FOR REGULATORY OF COAST GUARD DISEASE COMMISSION TRANSPORTATION AND CORPS OF CONTROL ENGINEERS) 95

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National Response Plan Components ESF #5 Emergency ESF #10 Oil & ESF #15 External Basic Plan Management Hazardous Materials Affairs ESF #4 Firefighting ESF # 9 Urban ESF #14 Long-Term Search and Rescue Recovery ESF #3 Infrastructure ESF #8 Public Health ESF #13 Law & Medical Services Enforcement ESF #2 ESF #7 Resource ESF #12 Energy Communications Support & Logistics ESF #1 Management ESF #6 Mass Care, ESF #11 Agriculture & Transportation Housing & Human Natural Resources Services Emergency Support Function (ESF) Annexes Cyber Response JFO SOP Donations Management Food Safety and PFO SOP Logistics Agriculture Response HSOC SOP Terrorism Response Mitigation IIMG SOP Biological Response Law Private-Sector Natural Resources Nuclear/Radiological Coordination Response Financial Management Community Relations Hazardous Materials Response NRP Changes and Worker Safety and Congressional Affairs Catastrophic Incident Updates Health Response Acronyms and Public Affairs Abbreviations Support Annexes Incident Annexes Terms and Definitions Appendices

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Guidelines for Transportation Emergency Training Exercises National Response Plan and National Incident Management System National Incident Management System (NIMS) Standardized processes and procedures for incident management NIMS aligns command, control, organization structure, terminology, communication protocols, resources and resource-typing for synchronization of response efforts at all echelons of government. Incident Local Support or DHS integrates Response and applies Federal resources both pre- and State postincident Support or Response Federal Support or Response National Response Plan (NRP) NRP is activated for Activation and proactive application of incidents of national significance integrated federal resources 97

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Guidelines for Transportation Emergency Training Exercises Comparison of NIMS and the NRP NIMS NRP Purpose NIMS provides a consistent, flexible, and The NRP provides a core operational plan for national incident adjustable national framework within which management. It establishes national-level coordinating government and private entities at all levels can structures, mechanisms for national-level policy, and operational work together to manage domestic incidents, coordination for domestic incident management that must be regardless of their cause, size, location, or incorporated into existing federal interagency incident plans. complexity. This flexibility applies across all phases of incident management: prevention, preparedness, response, recovery, and mitigation. Components Command and Management--incident Base Plan--concept of operations, coordinating structures, command system (ICS), multiagency roles and responsibilities, definitions, etc. coordination centers (i.e., emergency Emergency Support Function Annexes--groups operations centers, or EOCs), and public capabilities and resources into functions that are most likely information needed during an incident (e.g., transportation, firefighting, Preparedness--emergency operations plans, and mass care) procedures, training, and progressive exercise Support Annexes--describes common processes and program specific administrative requirements (e.g., public affairs, Resource Management--standard resource financial management, and worker safety & health) typing (use of emergency support functions) Incident Annexes--outlines core procedures and roles and and inventories responsibilities for specific contingencies (e.g., biological, Communications/Information radiological, and cyber incident, and hazmat spills) Management--defined protocols and Appendixes--glossary, acronyms, authorities, and interoperable communications compendium of national interagency plans Supporting Technologies--dispatch/ communications, incident management, personal protective equipment, and detection equipment Ongoing Management and Maintenance-- NIMS Integration Center, available at http://www.fema.gov/nims/ 98

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Guidelines for Transportation Emergency Training Exercises Applicability NIMS is applicable across all levels of government The NRP is applicable to all federal departments and agencies and emergency organizations, and that may be requested to provide assistance in actual or nongovernmental and private-sector organizations. potential incidents of national significance that require a Adoption of NIMS by state and local organizations coordinated and effective response by an appropriate is a condition of federal preparedness assistance. combination of federal, state, local, tribal, private-sector, and National Incident Management Compliance nongovernmental entities. Assessment Tool (NIMCAST) submissions can be made now. Partial compliance is required by FY 2006; full compliance is required by FY 2007. Command and Coordination Structure NIMS also provides a set of standardized The NRP organizational structure addresses site-specific incident organizational structures--such as the incident management activities and the broader regional or national command system (ICS), multiagency coordination issues related to the incident, such as impacts on the rest of the systems, and public information systems--as well country, immediate regional or national actions required to avert as requirements for processes, procedures, and or prepare for potential subsequent events, and the management systems designed to improve interoperability of multiple threats or incidents. This structure includes: among jurisdictions and disciplines in various areas, including the following: training, resource National Incident Management System Command and management, personnel qualification and Coordination Structure (command posts, single/unified/area certification, equipment certification, command, and state, local, tribal and private-sector communications and information management, emergency operations centers) technology support, and continuous system Joint field office (JFO), which is responsible for coordinating improvement. Specific elements of NIMS command federal assistance and supporting incident management and coordination structure include: activities National Response Coordinating Center (NRCC), Regional Command posts on-scene using the incident Response Coordinating Center (RRCC), and Homeland command system Security Operations Center (HSOC), which serve as regional Incident command system/unified command and national-level multiagency situational awareness and Area command/unified area command (if operational coordination centers needed) Interagency Incident Management Group (IIMG), which State, local, tribal, and private-sector serves as the national headquarters-level multiagency emergency operations centers, with resources coordination entity for domestic incident management typed according to the 15 emergency support Homeland Security Council (HSC) and other White House functions (ESFs) in the NRP. organizations, which serve as the national-level multiagency coordination entities to advise and assist the President on homeland security and other policy issues. 99

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Guidelines for Transportation Emergency Training Exercises Command and Coordinating Structure in the National Response Plan Field Level Regional Level National Level NIMS Framework The structure for NRP coordination is based on the NIMS construct: Incident Command System/Unified Command on-scene supported by an Area Command (if needed), multiagency coordination centers, and multiagency coordination entities. Multiagency Coordination JFO Interagency Entity Coordination Incident Strategic coordination Group Management Prioritization between incidents and associated resource allocation Group EOCs/Multiagency Coordination Centers Local State Regional Homeland Emergency Ops Emergency Ops Joint Field Response Security Support and coordination Office Coordination Operations Identifying resource shortages Center Center and issues Center Center Gathering and providing information Implementing multiagency coordination The role of regional coordinating structures Incident Command varies depending on the Directing on-scene The focal point for coordination of federal situation. Many incidents may emergency management support is the Joint Field Office. As be coordinated by regional appropriate, the JFO maintains connectivity structures using regional with federal elements in the ICP in support assets. Larger, more complex of state, local and tribal efforts. incidents may require direct coordination between the JPO Area and national level, with Command regional components An Area Command is established when the continuing to play a complexity of the incident and incident supporting role. management span-of-control considerations so dictate. Incident Incident Incident Command Post Command Post Command Post 100

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Guidelines for Transportation Emergency Training Exercises Overview of Initial Federal Involvement under the Stafford Act EOC = Emergency Operations Center Homeland Incident Security Ops Center Occurs Monitors threats & potential Federal incidents Local First Responders Alerts Arrive first at scene Assistance NRP Mayor/County Resources Executive Delivers May deploy in Activates local EOC advance of Joint Field imminent Requests aid Office danger from Provides coordination of federal Governor resources Activates state EOC Preliminary Damage Activates Assessment & Requests President For Declares major Presidential Emergency disaster or Declaration Response emergency Homeland Team or other Security Ops elements Center Deployed as Evaluates necessary situation Activates DHS and Reports others to Implement Secretary, DHS National Reviews situation, Response Plan assesses need for May convene disaster Activates declaration and activation of NRP elements Interagency Incident Management Group Frames operational courses of action 101

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Guidelines for Transportation Emergency Training Exercises Emergency Support Functions in the National Response Plan Emergency Support Function Scope of Activities ESF #1 - Transportation Transportation support/movement of civil population Transportation safety Restoration/recovery of transportation infrastructure Movement restrictions Damage and impact assessment ESF #2 - Communications Coordination with telecommunication industry Restoration/repair of telecommunications infrastructure Protection, restoration, and sustainment of national cyber and information technology resources ESF #3 - Infrastructure (Public Infrastructure protection and emergency repair Works and Engineering) Infrastructure restoration Engineering services, construction management Critical infrastructure liaison ESF #4 - Firefighting Firefighting activities Resource support to rural and urban firefighting operations ESF #5 - Emergency Coordination of incident management efforts Management Issuance of mission assignments Resource and human capital Incident action planning Financial management ESF #6 - Mass Care, Housing, Mass care and Human Services Disaster housing Human services ESF #7 - Resource Support and Resource support (facility space, office equipment and Logistics supplies, contracting services, etc.) ESF #8 - Public Health and Public health Medical Services Medical service and mental health services Mortuary services ESF #9 - Urban Search and Life-saving assistance Rescue Urban search and rescue ESF #10 - Oil and Hazardous Environmental safety and short- and long-term cleanup Materials Response ESF #11 - Agriculture and Nutrition assistance Natural Resources Animal and plant disease/pest response Food safety and security Natural/cultural resources and historic properties protection and restoration ESF #12 - Energy Energy infrastructure assessment, repair, and restoration Energy industry utilities coordination Energy forecast ESF #13 Law Enforcement Facility and resource security Security planning and technical and resource assistance Public safety/security support Support for access, traffic, and crowd control ESF #14 - Long-Term Recovery Social and economic community impact assessment Long-term community recovery assistance to states, local governments, and the private sector Mitigation analysis and program implementation ESF #15 - External Affairs Emergency public information and protective action guidance Media and community relations Congressional and international affairs Tribal and insular affairs 102

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Guidelines for Transportation Emergency Training Exercises Command and Coordinating Structures in the National Incident Management System Structure Description ICS The management system used to direct all operations at the (Incident incident scene. The incident commander is located at an Command incident command post at the incident scene. System) UC A type of ICS used when there are two or more agencies with (Unified incident jurisdiction. Agencies work together through their Command) designated incident commanders at a single incident command post to establish a common set of objectives and strategies and a common incident action plan. Area Command A type of ICS used when there are two or more incidents in (Unified Area close proximity. Area command works directly with incident Command) commanders. Area command becomes unified area command when incidents are multijurisdictional. Area command may be established at an EOC facility or at a location other than an incident command post. EOC A facility or location from which the overall direction, control, (Emergency and decision making of an operational response is coordinated. Operating EOCs are used in various ways at all levels of government and Centers) within private industry to provide coordination, direction, and control during emergencies. EOC facilities can also be used to house area command and MACS activities as determined by agency or jurisdiction policy. MACS Organizations used to coordinate resources between agencies (Multiagency or jurisdictions. MACS are useful for regional situations or for Coordination coordinating among federal and state agencies. MACS can be Systems) established at a jurisdictional EOC or at a separate facility. 103

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Guidelines for Transportation Emergency Training Exercises Command Structures in the National Incident Management System 104