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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 http://ops.fhwa.dot.gov/publications/ics_guide/ics_guide.pdf (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 http://www.i95coalition.net/i95/Portals/0/Public_Files/pm/reports/I95CC%20NIMS%20Guide%
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.
