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Develop an Emergency Preparedness Program 35 Defining the goals and objectives of emergency planning and response activities involves just one phase, as described below. PLAN Phase 13: Establish State Transportation Agency Operational Priorities, Response Goals, and Intermediate Objectives in Response to Hazards Identified in Existing State EOP and Supporting Documents, as well as New Challenges Identified during Analysis Process Purpose. Clarify what constitutes success regarding the state transportation agency's response to the range of emergencies that could occur resulting from the hazards identified for the state. Actions. Develop state transportation agency goals and objectives that build on the emer- gency response needs and demands of the agency and its partners, as determined through haz- ard analysis and risk assessment activities described above. Focus. Complete the activity safely with as little impact as possible on the people, property, equipment, and infrastructure of the affected area. Supporting Resources. NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emergency Trans- portation Operations, search for title at www.TRB.org/SecurityPubs Step Observations Goals and objectives establish the basis for performance measures against which the state transportation agency's emergency planning and preparedness activities can be measured. Step Checklist To evaluate the adequacy of the state transportation agency emergency response goals and objectives, the agency should consider whether it has Established agency operational priorities, response goals, and intermediate objectives in response to hazards identified in the existing State EOP, as well as new challenges identified during the analysis process to clarify what constitutes success regarding the agency's response to the range of hazards that could occur. Established performance metrics to measure how well the goals and objectives are being achieved. Step 4--Develop and Analyze Courses of Action and Identify Resources Once possible hazards and threats have been identified, the state transportation agency's plan- ning team should analyze the courses of action necessary to respond to each hazard and/or threat. While the hazard and threat identification process may largely entail scenario-based plan- ning, developing the courses of action to take in response to hazards and threats often requires functional and capabilities-based planning. The objective of these planning processes is to force the planning team to imagine how response activities will unfold through the course of the response, beginning with the onset of the emergency and ending with a full return to normal operations. This includes identifying the actions that will be taken by the state transportation agency and all other response agencies, and the resources necessary to ensure the safety and success of response efforts. This process includes Phases 14 and 15, which follow.

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36 A Guide to Emergency Response Planning at State Transportation Agencies PLAN Phase 14: Use Scenario-Based, Functional, and Supporting Planning Concepts Capabilities-Based Planning to Depict how the State Transportation Agency's Response to a Range of Scenario-Based Planning: As the Emergency Situations May Unfold name implies, this planning process Purpose. Employ an all-hazards approach to emergency management. starts with building a scenario. The impact of the scenario is analyzed Actions. Use a formal process for building relationships among the occur- to determine appropriate response rence of hazards, decision points, and response actions, including the following: strategies. Establish a timeline for the event and response actions, depending on the Functional Planning: This planning type of hazard or threat to be addressed. process identifies the common tasks Develop a full-response scenario, keeping in mind the goals and objectives that the community must perform discussed above that are to be fulfilled during response activities. during emergencies. It is the basis Identify critical decision points during the response efforts and how much for the all-hazards approach to time leaders will likely have to make these decisions during the response. planning described in State and Identify specific response actions, including what the action is and who is Local Guide 101. It identifies lead taking it; when it will be performed, how long it will take to complete and the and supporting agencies for time actually available; what prompted the action and what will be its result response tasks. (both desired and undesired); and what resources are needed to complete the Capabilities-Based Planning: A action. capability is the ability to take a Assess progress made toward the end state; identify whether goals and objec- course of action. Capability-based tives are being met and if any new needs or demands develop; identify tasks planning answers the question, that, if not completed, would cause the response to fail; and check for omis- "Do I have the right mix of TOPPLEF sions and gaps, inconsistencies in organizational relationships, and mis- (training, organizations, plans, peo- matches between the plans of the state transportation agency and other ple, leadership and management, response parties and jurisdictions. equipment, and facilities) elements to perform required response Focus. Identify and analyze all possible hazards and risks faced by the state tasks?" The Target Capabilities List transportation agency and develop response plans and procedures that can be provides a definition; an outcome; used to safely mitigate and control these hazards and risks. and preparedness and performance activities, tasks, and measures for a National Incident Management System Compliance Issues. Plan for and/ predetermined set of capabilities. It or participate in an all-hazards exercise program (for example, HSEEP) that combines aspects of scenario- and involves emergency management/response personnel from multiple disciplines functional-based planning and uses and/or multiple jurisdictions. the planning process described in CPG 101. Supporting Resources. A Guide to Updating Highway Emergency Response Plans for Terrorist Inci- (CPG 101, 2009) dents, http://freight.transportation.org/doc/NCHRP_A.pdf Emergency Management Guide for Business & Industry, Section 1: Step 2-- Analyze Capabilities and Hazards, http://www.fema.gov/business/guide/ section1b.shtm TCRP Report 86: Public Transportation Security, Volume 10: Hazard and Secu- rity Plan Workshop: Instructor Guide, search for title at www.TRB.org/Security Pubs NCHRP Report 525: Surface Transportation Security, Volume 4: A Self-Study Course on Terrorism-Related Risk Management of Highway Infrastructure, search for title at www.TRB.org/SecurityPubs NCHRP Report 525: Surface Transportation Security, Volume 3: Incorporating Security into the Transportation Planning Process, search for title at www.TRB. org/SecurityPubs

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Develop an Emergency Preparedness Program 37 PLAN Phase 15: Identify Resources Needed to Support State Transportation Agency's Emergency Response Activities Purpose. Ensure adequate resources are available for emergency response efforts. Actions. Use a formal process to identify resource shortfalls including all facilities vital to emergency operations and how they may be affected by individual hazards or threats, and develop a list of alternative resources that may be obtained from neighboring states or jurisdic- tions, or private suppliers. Identify additional information needs to help drive decision-making and response actions. The Emergency Management Assistance Compact (EMAC), administered by the National Emergency Management Association (NEMA), is a congressionally ratified organization that provides form and structure to interstate mutual aid (FEMA-EMAC, 2007) (NEMA, 2008). The EMAC should be a significant part of the State EOP, including the preparation, response, and recovery processes. Likewise, the EMAC should play a significant role in the state transportation agency's EOC structure and operations, especially if the state is authorized to use EMAC locally. Through EMAC, a disaster-impacted state can request and receive assistance from other mem- ber states quickly and efficiently, with liability and reimbursement terms and conditions already addressed and accepted at the state level. It is important in this regard that all involved in emer- gency management use NIMS resource typing to ensure consistency with standard resource def- initions to receive timely responses to fulfill the request from other states or FEMA. Focus. Identify and analyze all possible hazards and risks faced by the state transportation agency and develop response plans and procedures that can be used to safely mitigate and con- trol these hazards and risks. National Incident Management System Compliance Issues. To achieve NIMS compliance, Ensure that Federal Preparedness 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 Compli- ance Objectives (requirements). Ensure inventory response assets conform to NIMS National Resource Typing Definitions, as defined by the FEMA Incident Management Systems Integration Division. Confirm that equipment, communications, and data systems acquired through state/territorial and local acquisition programs are interoperable. Use response asset inventory for intrastate/interstate mutual-aid requests (such as EMAC), training, exercises, and incidents/planned events. Supporting Resources. TCRP Report 86: Public Transportation Security, Volume 10: Hazard and Security Plan Work- shop: Instructor Guide, search for title at www.TRB.org/SecurityPubs NCHRP Report 525: Surface Transportation Security, Volume 4: A Self-Study Course on Terrorism- Related Risk Management of Highway Infrastructure, search for title at www.TRB.org/Security Pubs NCHRP Report 525: Surface Transportation Security, Volume 3: Incorporating Security into the Transportation Planning Process, search for title at www.TRB.org/SecurityPubs Step Observations Through this process, state transportation agencies are able to consider alternative solutions to their emergency response needs and demands. In all cases, agencies should attempt to develop multiple solutions for each problem faced. This helps build the depth of the agency's response