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28 A Guide to Emergency Response Planning at State Transportation Agencies budget for research, printing, seminars, consulting services, and other expenses that may be nec- essary during the development process. Focus. Develop a comprehensive EOP and coordinate state transportation agency emer- gency planning and management activities with the state's NIMS coordinator. National Incident Management System Compliance Issues. Ensure that Federal Prepared- ness Awards (to include, but not limited to, the DHS Homeland Security Grant Program and Urban Area Security Initiative Funds) to state/territorial/tribal departments and agencies, as well as local governments, support all required NIMS Compliance Objectives (requirements). Supporting Resources. · NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emergency Trans- portation Operations, search for title at www.TRB.org/SecurityPubs · Emergency Management Guide for Business & Industry, http://www.fema.gov/business/guide/ section1a.shtm Step Observations CPG 101 provides significantly more detail pertaining to the emergency planning process and the potential members who can be included on a collaborative planning team. Step Checklist For the purposes of this 2010 Guide, state transportation agencies should evaluate the ade- quacy of their emergency planning processes by considering whether they have14 · Identified the overall agency lead EPC and team to lead the planning function. · Provided the EPC and his/her staff with adequate authority to perform their duties. · Established a mission statement to clarify the purpose of the agency's emergency prepared- ness functions. · Established a schedule and budget to ensure the agency's EPC and team have adequate resources and sufficient time to perform the emergency planning function. · Identified and formed relationships with each of the other federal, state, and local agencies that the agency may need to work with in response to an emergency event. Step 2--Conduct Research to Identify Hazards and Threats and Analyze Gathered Data Consistent with Principle 1 (planning is an orderly, analytical, problem-solving process), it is clear that some degree of research and analysis must be performed at the state transportation agency level to (1) identify the hazards and threats that may exist or occur in the agency's region and (2) determine the appropriate actions that can be taken to respond. Forming a collaborative team (per Step 1) is also essential to the research and analysis process for the same reason. While emergency management planners may be able to draw from previous experiences and known facts, in many cases, assumptions will need to be made to analyze the risks, resources, needs, and capabilities required to respond to differing emergencies. Involving the planning team in the research and analysis process should help identify as many facts as possible and minimize assumptions. The eight key phases (0512) within the research process are described below. 14 The state transportation agency might not have the lead in all these actions. Often the SEMA will have the lead, particularly in tracking evacuees or those sheltered in place/quarantined; however, the agency may provide secondary support for such "requirements."
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Develop an Emergency Preparedness Program 29 PLAN Phase 05: Identify Documents to be Developed, Reviewed, Approved, and/or Updated Regarding the State Transportation In our complex free society, there Agency's Emergency Response is no perfect solution to address Plans and Programs every security concern, but by Purpose. Clarify the scope of the state transportation agency's emer- working together collectively to gency planning process and the expected deliverables and outcomes. analyze threats, understand our capabilities, and apply resources Actions. Identify the documents to be developed, reviewed, approved, intelligently, we can manage risk. and/or updated regarding the agency's emergency response plans and pro- grams. This action would focus not only on the transportation-related ele- Michael Chertoff, Secretary, Department of Homeland Security, April 1, 2005 ments of the State EOP, but also on any specific plans, guidance, overviews documents, standard operating procedures (SOPs), operating manuals, field operations guides (FOGs), handbooks, or job aids needed to support the capabilities of agency personnel to respond to emergencies. Focus. The state transportation agency emergency planning process begins with the State EOP and the functional annexes and hazard-specific appendices. Specific plans, procedures, or other documents developed by the transportation agency and/or other agencies may support implemen- tation of the State EOP, including the following: · Overview and Primers--a brief concept summary of a function, team, or capability. · Standard Operating Procedures (SOPs) or Operations Manuals--complete reference docu- ments detailing the procedures for performing a single function (SOP) or a number of inter- dependent functions (Operations Manual). · Field Operations Guide (FOGs) or Handbooks--durable pocket or desk guides, containing essential, basic information needed to perform specific assignments or functions. · Job Aids--checklists or other aids useful in performing or training for a specific job to be per- formed in the EOP. Other plans may be available for state transportation review, including the state's or agency's · Continuity of Operations Plan (COOP); · Continuity of Government Plan (COG); · Critical Infrastructure/Key Resources (CI/KR) Protection Plans; and · Pandemic Flu Plan. Transportation-specific plans may include · Transportation/Traffic Incident Management Plans; and · Emergency Response Plans and Hazard-Specific Response Plans (e.g., snow/ice, hurricane, and responses like contraflow operations). National Incident Management System Compliance Issues. To achieve NIMS compliance, · Revise and update EOPs, SOPs, and standard operating guidelines (SOGs) to incorporate NIMS and NRF components, principles, and policies, to include planning, training, response, exercises, equipment, evaluation, and corrective actions. · Include preparedness organizations and elected and appointed officials in the development of EOPs. Supporting Resources. · Overview: ESF and Support Annexes Coordinating Federal Assistance In Support of the National Response Framework, http://www.fema.gov/pdf/emergency/nrf/nrf-overview.pdf · NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emergency Transporta- tion Operations, search for title at www.TRB.org/SecurityPubs
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30 A Guide to Emergency Response Planning at State Transportation Agencies · Final Report for the Application of Technology to Transportation Operations in Biohazard Situations, http://www.its.dot.gov/eto/docs/transops_biohazard/executive.htm PLAN Phase 06: Work with State NIMS Coordinator to Identify State Transportation Agency Requirements for Addressing Statewide Implementation of the National Incident Management System Purpose. Ensure compliance and coordination with statewide initiatives to meet NIMS requirements. Actions. Work with the State NIMS Coordinator to identify state transportation agency requirements for addressing statewide NIMS implementation. If necessary, provide NIMS train- ing for the agency Emergency Planning Coordinator and team. Focus. Develop relationships and capacity to determine and develop compliance actions to ensure state transportation agency actions comply with NIMS. The agency planning team should meet with the State NIMS Coordinator to establish a working relationship for addressing NIMS compliance issues and to determine if the agency should have a NIMS coordinator. If so, and if one is not already assigned, determine whether the agency Emergency Planning Coordinator should assume this role. This role may include the following: · Receive and review a copy of the State's NIMS Implementation Plan. · Obtain from the State NIMS Coordinator a clear list of NIMS requirements being addressed by the state and any outstanding corrective action plans (CAPs) filed with FEMA that may relate to the transportation agency. National Incident Management System Compliance Issues. To achieve NIMS compliance, · Ensure that state adoption of NIMS through executive order, proclamation, resolution, or leg- islation applies to the state transportation agency and that the agency requires no additional action to formally adopt NIMS. · Determine how the state has established its NIMS compliance baseline against the FY05 and FY06 NIMS implementation requirements and the specific actions required for the trans- portation agency in FY 2007 through FY 2009. · Determine any specific NIMS training requirements applicable for the agency and obtain the status of the department in meeting these requirements. · Determine if the state is implementing NIMS resource typing protocols for the inventory and tracking of transportation-related resources and what actions the agency should perform to ensure incorporation of these protocols into its planning activities. · If not already occurring, determine if monthly or quarterly meetings should be conducted with the State NIMS Coordinator to ensure full implementation of NIMS in all transporta- tion agency planning, training, and drilling activities. Supporting Resources. · Simplified Guide to the Incident Command System for Transportation Professionals, http:// www.ops.fhwa.dot.gov/publications/ics_guide/index.htm · State NIMS Integration: Integrating the National Incident Management System into State Emergency Operations Plans and Standard Operating Procedures, Version 1.0, http://www. fema.gov/pdf/nims/eop-sop_state_online.pdf · NIMS Implementation and Compliance Guidance for Stakeholders, http://www.fema.gov/ emergency/nims/ImplementationGuidanceStakeholders.shtm · NIMS Training, http://www.fema.gov/emergency/nims/nims_training.shtm · National Incident Management System (Draft, 2007), http://www.fema.gov/pdf/emergency/ nrf/nrf-nims.pdf
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Develop an Emergency Preparedness Program 31 PLAN Phase 07: Review State EOP and Supporting Annexes and Appendices and Other Documents for Transportation-Related Activities Purpose. Determine how the State EOP and supporting annexes, appendices, and other documents address transportation issues, requirements, and needs. Actions. Work with the State NIMS Coordinator to obtain a copy of State EOP and sup- porting annexes, appendices, and other documents. Ensure that state transportation agency plans and procedures are consistent with the State EOP. Focus. Traditionally, State EOPs have not recognized the full capabilities of transportation agencies, particularly in the intelligent transportation systems (ITS) arena. Based on the infor- mation gathered from the State EOP, the transportation agency may find it necessary to update or modify its contributions to the State EOP (usually ESFs #1 and #3) and perhaps revise the emergency management and response procedures and protocols in the agency EOP to better mesh with those prescribed by the State EOP. National Incident Management System Compliance Issues. To achieve NIMS compliance, · Revise and update EOPs, SOPs, and SOGs to incorporate NIMS and NRF components, prin- ciples, and policies, to include planning, training, response, exercises, equipment, evaluation, and corrective actions. · Include preparedness organizations and elected and appointed officials in the development of EOPs. Supporting Resources. · NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emergency Transporta- tion Operations, search for title at www.TRB.org/SecurityPubs · The Public Transportation System Security and Emergency Preparedness Planning Guide, http://transit-safety.fta.dot.gov/publications/security/PlanningGuide.pdf · TCRP Report 86: Public Transportation Security, Volume 7: Public Transportation Emer- gency Mobilization and Emergency Operations Guide, search for title at www.TRB.org/ SecurityPubs PLAN Phase 08: Review Relevant Hazards Likely to Result in an Emergency Requiring Activation of State Emergency Operations Center Purpose. Identify and analyze the potential hazards and threats in the state transporta- tion agency's region to evaluate the full progression of how they will occur and be resolved by the region. Actions. Beginning with an identified hazard, evaluate its impacts in terms of prob- ability and severity. This action can be accomplished using CAPTA/CAPTool available as part of NCHRP Report 525: Surface Transportation Security, Volume 15: Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA). Determine realistic response activities and the consequences of not being able to complete these activities. Focus. The culmination of this process is development of hazard scenarios that form the foundation for writing or updating the state transportation agency's emergency preparedness plan and/or protocols. Analyzing the levels of probability and severity of each identified hazard helps agency emergency planners prioritize the actions necessary to prepare for such events and helps determine and communicate acceptable levels of risk. National Incident Management System Compliance Issues. Plan for and/or participate in an all-hazards exercise program (for example, Homeland Security Exercise and Evaluation Program
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32 A Guide to Emergency Response Planning at State Transportation Agencies [HSEEP]) (FEMA-HSEEP, 2009) that involves emergency management/response personnel from multiple disciplines and/or multiple jurisdictions. Supporting Resources. · National Infrastructure Protection Plan, http://www.dhs.gov/xprevprot/programs/editorial_ 0827.shtm · NCHRP Report 525: Surface Transportation Security, Volume 12: Making Transportation Tunnels Safe and Secure, search for title at www.TRB.org/SecurityPubs · NCHRP Report 525: Surface Transportation Security, Volume 11: Disruption Impact Estimating Tool--Transportation (DIETT): A Tool for Prioritizing High-Value Transportation Choke Points, search for title at www.TRB.org/SecurityPubs · NCHRP Report 525: Surface Transportation Security, Volume 10: A Guide to Transportation's Role in Public Health Disasters, search for title at www.TRB.org/SecurityPubs PLAN Phase 09: Gather Information Regarding Vulnerable Populations Purpose. Identify the special dynamics of affected areas including knowing the best evacu- ation routes, shelter-in-place/quarantine locations, points of entry and exit, the demographics of seniors and vulnerable populations, and the special equipment and services necessary to evac- uate, shelter-in-place, or quarantine these citizens safely. Actions. Work with the State NIMS Coordinator and partner transportation agencies to identify transportation-disadvantaged and vulnerable populations. Develop plans and proce- dures, and assemble resources needed to safely evacuate, shelter-in-place, or quarantine these populations. Focus. Improve emergency response capabilities and processes for evacuating transporta- tion-disadvantaged and vulnerable populations. National Incident Management System Compliance Issues. To achieve NIMS compli- ance, plan for vulnerable populations in the development of EOPs (to include, but not limited to individuals with limited English language proficiency, individuals with disabilities, children, the aged, etc.). Supporting Resources. · Emergency Preparedness and Individuals with Disabilities, http://www.dotcr.ost.dot.gov/ asp/emergencyprep.asp · G197--Emergency Planning & Special Needs Population, http://training.fema.gov/EMIWeb/ STCourses/crsdesc.asp?courseid=G197 PLAN Phase 10: Determine Status of State Transportation Agency Emergency Planning Activities and Data to Identify Areas Needing Improvement Purpose. Assess what still needs to be done. Actions. Verify that the agency has completed procedures regarding how to work with the state to request federal assistance. Focus. Improve emergency response capabilities and processes. National Incident Management System Compliance Issues. Plan for and/or participate in an all-hazards exercise program (for example, HSEEP) that involves emergency management/response personnel from multiple disciplines and/or multiple jurisdictions.
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Develop an Emergency Preparedness Program 33 Supporting Resources. · National Preparedness Guidelines, http://www.fema.gov/pdf/emergency/nrf/National_ Preparedness_Guidelines.pdf · Emergency Support Function Annexes: Introduction, http://www.fema.gov/pdf/emergency/ nrf/nrf-annexes-all.pdf PLAN Phase 11: Define Response Issues, Roles, and Tasks by Reviewing Universal Task List, Target Capabilities List, Resource Typing List, and National Planning Scenarios Purpose. Ensure coordination with DHS and FEMA guidance. Actions. Work with the State NIMS Coordinator and partner transportation agencies. Develop plans and procedures, and assemble resources needed to respond safely to emergency events. Focus. Improve emergency response capabilities and processes. National Incident Management System Compliance Issues. Plan for and/or participate in an all-hazards exercise program (for example, HSEEP) that involves emergency management/response personnel from multiple disciplines and/or multiple jurisdictions. Supporting Resources. · National Preparedness Guidelines, http://www.fema.gov/pdf/emergency/nrf/National_ Preparedness_Guidelines.pdf PLAN Phase 12: Based on Activities Identified in State EOP and Supporting Annexes and Appendices, Develop/Update State Transportation Agency's Transportation Incident Management Organization to Ensure All Activities Conform to National Incident Management System and National Response Framework Requirements Purpose. Ensure that an incident management organization, compliant with NIMS, has been established to integrate state transportation personnel into the Incident Command System (ICS) to be used during emergencies requiring activation of the State EOC. Actions. Update organization charts and determine whether specific teams, groups, commit- tees, and/or temporary organizations will be used to manage state transportation agency responses to emergencies identified in the State EOP. Review agency Traffic Incident Management (TIM) Plans and Protocols and specific emergency response plans to identify incident management structures currently used. Identify and train agency field personnel in charge of on-scene response in procedures to coordinate with the ICS established by the local or state emergency response agencies on scene. Focus. Improve emergency response capabilities and processes. National Incident Management System Compliance Issues. To achieve NIMS compliance, · Revise and update EOPs, SOPs, and SOGs to incorporate NIMS and NRF components, prin- ciples, and policies to include planning, training, response, exercises, equipment, evaluation, and corrective actions. · Include preparedness organizations and elected and appointed officials in the development of EOPs.