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NCHRP Report 525 Volume 16: A Guide to Emergency Response Planning at State Transportation Agencies (2011)
National Cooperative Highway Research Program (NCHRP)

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Lockwood, Stephen, Singleton, Anne, Wallace, Charles E, Sergent, Jason, Boyd, Annabelle, Transportation Research Board. "Institutional Authority Context." NCHRP Report 525 Volume 16: A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press, 2011.

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Page
13
Front Matter (R1-R11)
Summary (1-4)
Background (5-5)
Guide Scope (6-6)
Guide Audience (7-7)
Guide Development Process (8-9)
Homeland Security Presidential Directives (10-10)
National Emergency Management Policies and Guidelines (11-12)
Institutional Authority Context (13-14)
Guiding Principles (15-18)
Emergency Incident Characteristics and Terminology (19-21)
Section 3 - Assess Agency Status in Emergency Response Training (22-22)
Emergency Planning Phase (23-23)
Step 1 - Form a Collaborative Planning Team (24-27)
Step 2 - Conduct Research to Identify Hazards and Threats and Analyze Gathered Data (28-33)
Step 3 - Determine Goals and Objectives of Emergency Planning and Response Activities (34-34)
Step 4 - Develop and Analyze Courses of Action and Identify Resources (35-37)
Step 5 - Write the Plan (38-40)
Step 6 - Approve and Implement the Plan (41-41)
Step 7 - Exercise the Plan and Evaluate Its Effectiveness (42-43)
Prepare for the Emergency (44-45)
Step 1 - Develop Approaches to Implement State Transportation Agency Roles and Responsibilities During Emergencies (46-50)
Step 2 - Establish Communication Protocols and Mechanisms for Public Outreach (51-56)
Step 3 - Emergency Evacuation/Shelter-in-Place/Quarantine Plans and Traffic Control and Management Protocols and Procedures (57-61)
Step 4 - Develop Mobilization Plans for State Transportation Agency Personnel and Resources (62-65)
Step 5 - Ensure Cost Tracking and Accountability (66-66)
Respond to the Emergency (67-68)
Step 1 - Initiate Emergency Response (69-70)
Step 2 - Address Emergency Needs and Requests for Support (71-73)
Step 3 - Manage Evacuations, Shelter-in-Place, or Quarantine (74-76)
Step 4 - Implement Emergency Response Actions (77-79)
Step 5 - Continue Response Requirements (80-81)
Step 6 - Conclude Response Actions (82-82)
Step 1 - Restore Traffic to Affected Areas (83-85)
Step 2 - Identify and Implement Lessons Learned (86-88)
Impact on and of the Transportation System (89-90)
Example: Escalation of Incidents and Response (91-94)
List of Acronyms (95-97)
References (98-99)
Other Resources (100-100)
Planning-Level Organizational Principles (101-101)
PREPARE for Emergencies (102-102)
Decision-Making Sequences (103-103)
Full Emergency Response Matrix (104-125)
Purpose and Supporting Resources for Action Reference Matrix (126-136)
Appendix A - Guide to Using Portions of the 2002 Guide (137-138)
Appendix B - Emergency Response Legal Authorities (139-139)
Appendix C - Emergency Response Stakeholder Responsibilities (140-145)
Appendix D - Key Emergency Response Definitions (146-149)
Appendix E - Key Traffic Incident Definitions (150-152)
Appendix F - Intelligence Fusion Centers (153-154)
Appendix G - Transportation Emergency Response Effects Tracking (TERET) (155-155)
Appendix H - Model Emergency Operations Plans (156-156)
Appendix I - Policy and Procedural Memoranda and Memoranda of Understanding (157-157)
Appendix J - Training/Exercise Plans (158-158)
Abbreviations used without definitions in TRB publications (159-159)

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Institutional Context for Emergency Response 13 National Transportation Policy There is considerable FHWA guidance on traffic incident management using an all-hazards approach. The following are two relevant transportation documents: · The FHWA Manual on Uniform Traffic Control Devices (MUTCD). (MUTCD, 2003) The pri- mary purpose of the MUTCD is to establish standardized signing, markings, signaling, traffic con- trol for various facilities, and, more germane to this 2010 Guide, temporary traffic control devices. The relevance is that Chapter 6I of the MUTCD 2003 edition, "Control of Traffic Through Traf- fic Incident Management Areas," requires that incident scenes must have maintenance of traffic (MOT), or temporary traffic control (TTC), as it is called in the MUTCD, deployed to ensure the safety of responders, victims, and the passing public. This applies to any incident that blocks any part of any roadway for more than 30 minutes, whether it is a traffic crash or other traffic inci- dent, or another natural or human-made incident that affects the roadway. · National Unified Goal (NUG) for Traffic Incident Management.10 Unlike the foregoing doc- uments, the NUG is just that--a goal, but one increasingly adopted by the TIM community and by EM responders, as appropriate. The NUG for TIM is ­ Responder Safety; ­ Safe, Quick Clearance; and ­ Prompt, Reliable, Interoperable Communications. The NUG for TIM was developed through a consensus process led by the National Traffic Inci- dent Management Coalition (NTIMC) and it has been endorsed by over 18 national organizations. The major goals above have 18 strategies for achieving those goals. The challenge is to propagate the National Unified Goal down from the national association level to practicing responders. The MUTCD is a transportation-agency document (required by law),11 but its requirements are not widely known in some public safety agencies. In the process of participating in EM/ER planning with their counterparts, state and other transportation agencies should educate their colleagues in these requirements. Organizations like NTIMC have been successful in educating other agencies at the association level, particularly through creation and adoption of the National Unified Goal. Institutional Architecture of Emergency Response Two contexts explain the institutional architecture of EM/ER: the authorities for EM/ER and the organizational relationships. Institutional Authority Context The underlying bases for this process are HSPD-5, -7, and -8. Figures 2 through 4 illustrate how DHS has implemented the three HSPDs. These documents are effectively mandatory for any agency wishing to receive Federal Disaster Relief funds. Many, if not all states have enacted legislation requiring the use of NIMS, and thus all other pertinent policies and guidelines within their states; this includes local governments. 10 Available at http://timcoalition.org/?siteid=41. 11 The Highway Safety Act of 1966 decreed that traffic control devices on all streets and highways open to pub- lic travel in accordance with 23 U.S.C. 109(d) and 402(a) in each state shall be in substantial conformance with the Standards issued or endorsed by FHWA. Public Law 23 CFR 655.603 adopted the MUTCD as the national standard for any street, highway, or bicycle trail open to public travel in accordance with 23 U.S.C. 109(d) and 402(a). The Uniform Vehicle Code (UVC) is one of the publications referenced in the MUTCD. Adapted from MUTCD, 2003.

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14 A Guide to Emergency Response Planning at State Transportation Agencies Figure 2. Implementation of HSPD-5, Management of Domestic Incidents. Figure 3. Implementation of HSPD-7, Infrastructure Identification, Prioritization, and Protection.