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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. "Section 3 - Assess Agency Status in Emergency Response Training." 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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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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SECTION 3 Assess Agency Status in Emergency Response Training This section introduces the self-assessment process of the 2010 Guide. There are several tools that state transportation agencies and other agencies can use to establish the thoroughness of their planning and identify areas that could be improved in future updates of the EOP. The two perspectives of this self-assessment are (1) the state transportation agency's role and involvement in the State EOP in the context of the responsibilities of the agency in ESF #1-- Transportation and ESF #3--Public Works; and (2) the thoroughness of the agency's own EOP(s). The next section, Develop an Emergency Preparedness Program, summarizes self-assessment tools. The section details all the steps recommended for this process; it is high-level information, based on the NIMS requirements and other documents, and generally follows the process laid out in CPG 101 (CPG 101, 2009). The 2010 Guide refers to the Plan-Prepare-Respond-Recover regi- men as stages. The Full Emergency Response Requirements Matrix (Section 6) presents full details of the process. Each stage consists of several Steps; each step is then composed of several Phases; all are labeled (for example, PLAN-01, PLAN-02, etc). Each phase has several Action Items associated with it, which in turn have several Supporting Actions. Collectively, these are all the actions and activities that would be included in an ideal EOP (see Figure 7). The Full Emergency Response Require- ments Matrix includes columns where the agency can note the status as not started, in progress, or completed. This is the most detailed approach to self-assessment. These requirements are drawn from several sources, notably from NIMS. It Stage: Plan Prepare Respond Recover is unlikely that any agency is fully compliant with all of these; however, agen- cies should give priority to those derived from NIMS, which are indicated by Step text enclosed between two single stars (*___*) in the matrix. Text between two Phase sets of stars (**___**) is suggested by the NUG; these should be high-priority Action Item actions as well. FEMA also has a compliance process that applies primarily to the State EOP. Supporting Action The current version is accessible on the FEMA website (FEMA-Compliance, Figure 7. Actions and activities to be 2009). Here, states can record their compliance using an online tool called included in an ideal emergency NIMSCAST (National Incident Management System Capability Assessment operations plan. Support Tool), which is generally exercised by the State EMA (NIMSCAST, 2008). 22