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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
