Guidelines for Transportation Emergency Training Exercises (2006)

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

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

 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. Guidelines for Transportation Emergency Training Exercises 92

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

Guidelines for Transportation Emergency Training Exercises 94 Response Element Activities Performed by Local Agencies to Establish NIMS/NRP Command and Coordinating Response Structure Activities Performed by the Transportation Agency to Integrate into NIMS/NRP Response Structure EOCs by personnel representing multiple jurisdictions and functional disciplines, organized to provide/coordinate information and resources and to support long-term analysis and planning  Activation and staffing of state EOCs to assume responsibility for coordination of information and resources to support state incident management activities  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.  Coordination with EOCs established at the local/county/state level, including the dispatching of transportation representatives to local/county/state EOCs and the designation of electronic and telephonic means of communication.  Coordination with federal EOCs as necessary and requested Multiagency Coordination Entities Coordination entities are established to manage federal resources at the scene, including:  JFO coordination group, which coordinates the request and delivery of federal assistance and support from various special teams composed of 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. Transportation is prepared to support multiagency coordination entities, including:  Coordination with federal multiagency coordination entities as necessary, required, or requested. (Continued)

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

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

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

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

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

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

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

Guidelines for Transportation Emergency Training Exercises 102 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 Works and Engineering)  Infrastructure protection and emergency repair  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 Management  Coordination of incident management efforts  Issuance of mission assignments  Resource and human capital  Incident action planning  Financial management ESF #6 - Mass Care, Housing, and Human Services  Mass care  Disaster housing  Human services ESF #7 - Resource Support and Logistics  Resource support (facility space, office equipment and supplies, contracting services, etc.) ESF #8 - Public Health and Medical Services  Public health  Medical service and mental health services  Mortuary services ESF #9 - Urban Search and Rescue  Life-saving assistance  Urban search and rescue ESF #10 - Oil and Hazardous Materials Response  Environmental safety and short- and long-term cleanup ESF #11 - Agriculture and Natural Resources  Nutrition assistance  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

Guidelines for Transportation Emergency Training Exercises 103 Command and Coordinating Structures in the National Incident Management System Structure Description ICS (Incident Command System) The management system used to direct all operations at the incident scene. The incident commander is located at an incident command post at the incident scene. UC (Unified Command) A type of ICS used when there are two or more agencies with incident jurisdiction. Agencies work together through their 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 (Unified Area Command) A type of ICS used when there are two or more incidents in close proximity. Area command works directly with incident 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 (Emergency Operating Centers) A facility or location from which the overall direction, control, and decision making of an operational response is coordinated. EOCs are used in various ways at all levels of government and 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 (Multiagency Coordination Systems) Organizations used to coordinate resources between agencies or jurisdictions. MACS are useful for regional situations or for coordinating among federal and state agencies. MACS can be established at a jurisdictional EOC or at a separate facility.

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