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NCHRP REPORT 525 Surface Transportation Security Volume 16 A Guide to Emergency Response Planning at State Transportation Agencies

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TRANSPORTATION RESEARCH BOARD 2010 EXECUTIVE COMMITTEE* OFFICERS CHAIR: Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington VICE CHAIR: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY Allen D. Biehler, Secretary, Pennsylvania DOT, Harrisburg Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles Eugene A. Conti, Jr., Secretary of Transportation, North Carolina DOT, Raleigh Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, and Director, Center for Transportation Studies, University of Virginia, Charlottesville Jeffrey W. Hamiel, Executive Director, Metropolitan Airports Commission, Minneapolis, MN Paula J. Hammond, Secretary, Washington State DOT, Olympia Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, DC Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley Susan Martinovich, Director, Nevada DOT, Carson City Debra L. Miller, Secretary, Kansas DOT, Topeka Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Tracy L. Rosser, Vice President, Corporate Traffic, Wal-Mart Stores, Inc., Mandeville, LA Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO Beverly A. Scott, General Manager and Chief Executive Officer, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA David Seltzer, Principal, Mercator Advisors LLC, Philadelphia, PA Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim Director, Energy Efficiency Center, University of California, Davis Kirk T. Steudle, Director, Michigan DOT, Lansing Douglas W. Stotlar, President and CEO, Con-Way, Inc., Ann Arbor, MI C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin EX OFFICIO MEMBERS Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York University, Brooklyn; Foreign Secretary, National Academy of Engineering, Washington, DC Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, DC John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC David T. Matsuda, Deputy Administrator, Maritime Administration, U.S.DOT Victor M. Mendez, Administrator, Federal Highway Administration, U.S.DOT William W. Millar, President, American Public Transportation Association, Washington, DC Tara O'Toole, Under Secretary for Science and Technology, U.S. Department of Homeland Security, Washington, DC Robert J. Papp (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT Peter M. Rogoff, Administrator, Federal Transit Administration, U.S.DOT David L. Strickland, Administrator, National Highway Traffic Safety Administration, U.S.DOT Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT Polly Trottenberg, Assistant Secretary for Transportation Policy, U.S.DOT Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC *Membership as of October 2010.

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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 525 Surface Transportation Security Volume 16 A Guide to Emergency Response Planning at State Transportation Agencies Charles E. Wallace TELVENT Gainesville, FL Annabelle Boyd Jason Sergent Anne Singleton BOYD, CATON & GRANT TRANSPORTATION GROUP, INC. Earlysville, VA Stephen Lockwood PB CONSULT Washington, DC Subscriber Categories Highways Planning and Forecasting Policy Public Transportation Security and Emergencies Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2010 www.TRB.org

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NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 525: VOLUME 16 RESEARCH PROGRAM Systematic, well-designed research provides the most effective Project 20-59(23) approach to the solution of many problems facing highway ISSN 0077-5614 administrators and engineers. Often, highway problems are of local ISBN 978-0-309-15503-8 interest and can best be studied by highway departments individually Library of Congress Control Number 2006902911 or in cooperation with their state universities and others. However, the 2010 National Academy of Sciences. All rights reserved. accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of COPYRIGHT INFORMATION cooperative research. Authors herein are responsible for the authenticity of their materials and for obtaining In recognition of these needs, the highway administrators of the written permissions from publishers or persons who own the copyright to any previously American Association of State Highway and Transportation Officials published or copyrighted material used herein. initiated in 1962 an objective national highway research program Cooperative Research Programs (CRP) grants permission to reproduce material in this employing modern scientific techniques. This program is supported on publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, a continuing basis by funds from participating member states of the FMCSA, FTA, or Transit Development Corporation endorsement of a particular product, Association and it receives the full cooperation and support of the method, or practice. It is expected that those reproducing the material in this document for Federal Highway Administration, United States Department of educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission Transportation. from CRP. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board's recognized objectivity and understanding of NOTICE modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which The project that is the subject of this report was a part of the National Cooperative Highway Research Program, conducted by the Transportation Research Board with the approval of authorities on any highway transportation subject may be drawn; it the Governing Board of the National Research Council. possesses avenues of communications and cooperation with federal, The members of the technical panel selected to monitor this project and to review this state and local governmental agencies, universities, and industry; its report were chosen for their special competencies and with regard for appropriate balance. relationship to the National Research Council is an insurance of The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved objectivity; it maintains a full-time research correlation staff of by the Governing Board of the National Research Council. specialists in highway transportation matters to bring the findings of The opinions and conclusions expressed or implied in this report are those of the research directly to those who are in a position to use them. researchers who performed the research and are not necessarily those of the Transportation The program is developed on the basis of research needs identified Research Board, the National Research Council, or the program sponsors. by chief administrators of the highway and transportation departments The Transportation Research Board of the National Academies, the National Research and by committees of AASHTO. Each year, specific areas of research Council, and the sponsors of the National Cooperative Highway Research Program do not needs to be included in the program are proposed to the National endorse products or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of the report. Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America

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COOPERATIVE RESEARCH PROGRAMS CRP STAFF FOR NCHRP REPORT 525, VOLUME 16 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs S. A. Parker, Senior Program Officer Tom Van Boven, Senior Program Assistant Eileen P. Delaney, Director of Publications Hilary Freer, Senior Editor NCHRP PROJECT 20-59(23) PANEL Field of Special Projects--Area of Safety John Corbin, Wisconsin DOT, Madison, WI (Chair) Gordon Aoyagi, Justice and Security Strategies, Inc., Rockville, MD Robert E. "Chris" Christopher, Washington State DOT, Olympia, WA Henry DeVries, I-95 Corridor Coalition, Rhinebeck, NY Patricia Faust, Federal Highway Administration, Dover, DE Jonathan L. Gifford, George Mason University, Arlington, VA Steven M. Mondul, Office of the Governor - Virginia, Richmond, VA Calvin Roberts, Michigan DOT, Lansing, MI Jeffrey L. Western, Western Management and Consulting, LLC, Madison, WI Mark Wikelius, Minnesota DOT, Lindstrom, MN Ernesto L. Acosta, TSA Liaison David Helman, FHWA Liaison Ken Lord, FTA Liaison Regina McElroy, FHWA Liaison William Brownlow, AASHTO Liaison Mark S. Bush, AASHTO Liaison William Grizard, APTA Liaison Vincent P. Pearce, US DOT Liaison Joedy W. Cambridge, TRB Liaison AUTHOR ACKNOWLEDGMENTS This report was prepared by Charles Wallace (Area Manager), Telvent; Annabelle Boyd (President and Senior Analyst), Jason Sergent (Senior Analyst), and Anne Singleton (Technical Analyst), all Boyd, Caton & Grant Transportation Group, Inc. (BCG); and Stephen Lockwood (Principal Consultant), PB Consult. Douglas Ham, the original Principal Investigator for Telvent, contributed some research and inputs to the document before he transferred to the Department of Homeland Security. Other staff from Telvent and BCG assisted in the research, analysis, and development of the report.

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FOREWORD By S. A. Parker Staff Officer Transportation Research Board The 2010 A Guide to Emergency Response Planning at State Transportation Agencies replaces a 2002 document, A Guide to Updating Highway Emergency Response Plans for Terrorist Inci- dents. Many states have used the 2002 Guide to institute some kind of emergency response plan; however, the risk environment of threats and hazards has changed since 2002. In addi- tion, new technologies and new, more comprehensive laws, policies, and guidelines require that transportation agencies broaden their operational agenda beyond traffic and weather events to include emergency response planning for all hazards. The 2010 Guide is designed for use by executive management and emergency response planners at state transportation agencies as they and their local/regional counterparts assess their respective emergency response plans and identify areas needing improvement. The 2010 Guide reflects accepted practices in emergency response planning and incorporates advances made over the last decade in Traffic Incident Management (TIM), Emergency Transportation Operations (ETO), and supporting programs. In addition to the introduction, background, and institutional context for emergency response planning, the 2010 Guide has two major sections: Sections 35: Design an Emergency Preparedness Program--this contains a program-level review of the all-hazards approach to emergency management, which will help transporta- tion agencies assess their plans and identify areas needing improvement. Section 6: Resource Guide--this contains guidance on organizational, staffing, and position decisions; decision-making sequences; a full emergency response matrix; and a purpose and supporting resources for action reference matrix. The 2010 Guide provides links in its appendices to model emergency operations plans, policy and procedural memoranda, and training and exercise plans. These are supple- mented on line with Appendix K, an annotated bibliography; Appendix L, which consists of the white paper, "Identification and Delineation of Incident Management and Large-Scale Emergency Response Functions," and a spreadsheet tool ref- erenced within the White Paper; Appendix M, a downloadable Microsoft PowerPoint slide show; and Tracking Emergency Response Effects on Transportation (TERET), a spreadsheet tool (developed under a previous NCHRP project) designed to assist transportation managers to recognize mass-care transportation needs and identify and mitigate potential transportation- related criticalities in essential services during extreme events.

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This volume of NCHRP Report 525 was prepared under NCHRP Project 20-59(23) by Tel- vent; Boyd, Caton & Grant; and PB Consult. Surface transportation agencies are recognizing that because of their broad policy respon- sibility, public accountability, large and distributed workforces, heavy equipment, and robust communications infrastructure, they are uniquely positioned among civilian gov- ernment agencies to swiftly take direct action to protect lives and property. The institutional heft of such agencies also provides a stable base for campaigns to mitigate or systematically reduce risk exposure over time through all-hazards capital investments. This is the sixteenth volume of NCHRP Report 525: Surface Transportation Security, a series in which relevant information is assembled into single, concise volumes--each per- taining to a specific hazard or security problem and closely related issues. These volumes focus on the concerns that transportation agencies are addressing when developing pro- grams in response to the terrorist attacks of September 11, 2001, and the anthrax attacks that followed. Future volumes of the reports will be issued as they are completed. To develop this volume in a comprehensive manner and to ensure inclusion of signifi- cant knowledge, available information was assembled from numerous sources, including state departments of transportation. A topic panel of experts in the subject area was estab- lished to guide the researchers in organizing and evaluating the collected data and to review the final document. This volume was prepared to meet an urgent need for information in this area. It records practices that were acceptable within the limitations of the knowledge available at the time of its preparation. Work in this area is proceeding swiftly, and readers are encouraged to be on the lookout for the most up-to-date information. Volumes issued under NCHRP Report 525: Surface Transportation Security may be found on the TRB website at http://www.TRB.org/SecurityPubs.

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CONTENTS 1 Summary 5 Section 1 Introduction 5 Background 6 Object and Scope of the 2010 Guide 6 Guide Scope 7 Guide Audience 8 Guide Organization and Structure 8 Guide Development Process 10 Section 2 Institutional Context for Emergency Response 10 Emergency Response Authorities 10 Public Laws Governing Homeland Security and Emergency Management 10 Homeland Security Presidential Directives 11 National Emergency Management Policies and Guidelines 13 National Transportation Policy 13 Institutional Architecture of Emergency Response 13 Institutional Authority Context 15 Organizational Context 15 Guiding Principles 19 Key Definitions 19 Emergency Incident Characteristics and Terminology 22 Section 3 Assess Agency Status in Emergency Response Training 23 Section 4 Develop an Emergency Preparedness Program 23 Emergency Planning Phase 24 Step 1: Form a Collaborative Planning Team 28 Step 2: Conduct Research to Identify Hazards and Threats and Analyze Gathered Data 34 Step 3: Determine Goals and Objectives of Emergency Planning and Response Activities 35 Step 4: Develop and Analyze Courses of Action and Identify Resources 38 Step 5: Write the Plan 41 Step 6: Approve and Implement the Plan 42 Step 7: Exercise the Plan and Evaluate Its Effectiveness 44 Step 8: Review, Revise, and Maintain the Plan 44 Prepare for the Emergency 46 Step 1: Develop Approaches to Implement State Transportation Agency Roles and Responsibilities During Emergencies 51 Step 2: Establish Communication Protocols and Mechanisms for Public Outreach

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57 Step 3: Emergency Evacuation/Shelter-in-Place/Quarantine Plans and Traffic Control and Management Protocols and Procedures 62 Step 4: Develop Mobilization Plans for State Transportation Agency Personnel and Resources 66 Step 5: Ensure Cost Tracking and Accountability 67 Respond to the Emergency 69 Step 1: Initiate Emergency Response 71 Step 2: Address Emergency Needs and Requests for Support 74 Step 3: Manage Evacuations, Shelter-in-Place, or Quarantine 77 Step 4: Implement Emergency Response Actions 80 Step 5: Continue Response Requirements 82 Step 6: Conclude Response Actions 83 Recover from the Emergency 83 Step 1: Restore Traffic to Affected Areas 86 Step 2: Identify and Implement Lessons Learned 89 Section 5 Nature and Degree of Hazards/Threats 89 Range of Hazards 89 Impact on and of the Transportation System 91 Example: Escalation of Incidents and Response 95 List of Acronyms 98 References 100 Other Resources 101 Section 6 Resource Guide 101 Introduction 101 Organizational, Staffing, and Position Guidance 101 Planning-Level Organizational Principles 102 PREPARE for Emergencies 103 RESPOND to Emergencies 103 RECOVER from Emergencies 103 Decision-Making Sequences 104 Detailed Self-Assessment Tools 104 Full Emergency Response Matrix 126 Purpose and Supporting Resources for Action Reference Matrix 137 Appendix A Guide to Using Portions of the 2002 Guide 139 Appendix B Emergency Response Legal Authorities 140 Appendix C Emergency Response Stakeholder Responsibilities 146 Appendix D Key Emergency Response Definitions 150 Appendix E Key Traffic Incident Definitions 153 Appendix F Intelligence Fusion Centers 155 Appendix G Transportation Emergency Response Effects Tracking (TERET) 156 Appendix H Model Emergency Operations Plans

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157 Appendix I Policy and Procedural Memoranda and Memoranda of Understanding 158 Appendix J Training/Exercise Plans