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Institutional Context for Emergency Response 11 Figure 1. National context for homeland security and emergency management. National Emergency Management Policies and Guidelines This set of documents created the principle requirements for ER planning and relates to various agencies: NIMS--created a national standard system for federal, state, tribal, and local governments to work together to prepare for, and respond to, incidents affecting lives and property. It presents and integrates accepted practices proven effective over the years into a comprehen- sive framework for use by incident management organizations in an all-hazards context. (NIMS, 2008) The following two NIMS companion documents are tailored to transportation professionals: FHWA's Simplified Guide to the Incident Command System for Transportation Profession- als (FHWA, 2006a)5 introduces the Incident Command System (ICS) to stakeholders who could be called upon to provide specific expertise, assistance, or material dur- ing highway incidents, but who may be largely unfamiliar with ICS organization and operations.6 I-95 Corridor Coalition's Supplemental Resource Guide to the National Incident Management System (NIMS) for Transportation Management Center Professionals. (I-95CC, 2008)7 National Response Framework (NRF)--replaced the earlier National Response Plan and was expanded in scope, audience, and breadth (NRF, 2008). The NRF is the definitive guide for 5 Available at (accessed January 2009). 6 ICS was an outgrowth from lessons learned from wildfires in the western U.S. in the 1970s and has since been refined and formalized in NIMS. 7 Available at 20-%2011-3B.pdf (accessed January 2009.)

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12 A Guide to Emergency Response Planning at State Transportation Agencies ER and delineates the nation's response doctrines, responsibilities, and structures. It embraces NIMS and updates the Emergency Support Function (ESF) descriptions. There are several important companion documents to the NRF:8 ESF Annexes define the stakeholders and their roles and responsibilities, purpose, capabil- ities, and concept of operations for the 15 ESFs. These are critical to effective ER planning; state/local versions adapted to state and local conditions are typically included in EOPs. Support Annexes are a separate set of annexes that describe how federal departments and agencies; state, territorial, tribal, and local entities; the private sector; volunteer organiza- tions; and nongovernmental organizations (NGOs) coordinate and execute the common functional processes and administrative requirements for efficient and effective incident management. They may support several ESFs. Incident Annexes are a separate set of annexes that describe the concept of operations to address specific contingency or hazard situations or an element of an incident requiring specialized application of the Framework. National Infrastructure Protection Plan (NIPP)--meets HSPD-7, Infrastructure Identifica- tion, Prioritization, and Protection (DHS, 2006) requirements. The NIPP provides the coor- dinated approach used to establish national priorities, goals, and requirements for Critical Infrastructure and Key Resources (CI/KR) protection so that federal funding and resources are applied in the most effective manner to reduce vulnerability, deter threats, and minimize the consequences of attacks and other incidents. National Preparedness Guidelines (NPG)--implements the National Preparedness Goal called out in HSPD-8, National Preparedness (NPG, 2007). It introduces a number of capabilities- based planning tools, including9 National Planning Scenarios are a diverse set of 15 high-consequence threat scenarios for potential terrorist attacks and natural disasters that form the basis for coordinated federal planning, training, exercises, and grant investments needed to prepare for emer- gencies of all types. The scenarios include 12 chemical, biological, radiation, nuclear, and explosive weapons (CBRNE) threats; a cyber attack; a Category 5 hurricane; and an earthquake. Target Capabilities List (TCL) defines 37 specific capabilities that communities, the private sector, nongovernment agencies, and all levels of government should collectively possess in order to respond effectively to disasters. Universal Task List (UTL) is a series of 1,600 unique tasks that can facilitate efforts to pre- vent, protect against, respond to, and recover from the events represented by the National Planning Scenarios. It presents a common vocabulary and identifies key tasks that support development of essential capabilities among organizations at all levels. No entity will per- form every task. NOTE: These authorities--the documents and their requirements--are continually changing, some frequently, others over longer intervals. Results of the research team's 2008 survey of state transportation agencies show that 43% of respondents had difficulty keeping up with changing NIMS and National Response Plan/National Response Framework requirements from DHS. Even more (56%) indicated they had difficulty interpreting or understanding NIMS. 8 The following text was adapted from several Annex documents. The list of annexes is included in the Appen- dix K description of the NRF. 9 Descriptions adapted from the NPG. The NPG components are security-sensitive and are not available on the public website. Appendix K discusses how homeland security and EM personnel can access secure documents.