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38 A Guide to Emergency Response Planning at State Transportation Agencies capabilities and limits the risks that the agency will take actions that could actually hinder, rather than support response activities. This process also addresses virtually all planning principles emphasized by CPG 101. Step Checklist To evaluate the adequacy of the transportation agency's processes for developing and analyz- ing courses of action in response to specific hazards and threats, an agency should consider whether it has Used scenario-based, functional, and capabilities-based planning to depict how the agency's response to emergencies may unfold, using a formal process for building relationships among the occurrence of hazards, decision points, and response actions. Identified the resources needed to support the agency's response activities to ensure that ade- quate resources are available. Step 5--Write the Plan Each of the above activities sets the groundwork for writing or updating the state and/or state transportation agency Emergency Operations Plan(s); however, when discussing how best to write an EOP, agencies must consider two fundamentals of emergency planning. First, planning assigns tasks, allocates resources, and establishes accountability. This means that an effective EOP must clearly define the organizational roles and responsibilities of transportation agency person- nel, as well as those of other emergency response agencies. Second, effective EOPs not only tell those within the planning community what to do (the tasks) and why to do them (the purposes), effective EOPs also inform those outside the jurisdiction about how to cooperate and provide support and what to expect. The best way to incorporate this principle in the plan development, review, and revision process is to use the state transportation agency's emergency planning team. Completion of the following two key phases will fulfill this step. PLAN Phase 16: Develop and/or Update Transportation-Related Components of State EOP, Functional Annexes, and Hazard-Specific Appendices Purpose. Complete state transportation planning inputs and deliverables for the State EOP and supporting documents. Actions. Establish expectations regarding transportation functions during the range of poten- tial incidents addressed in the State EOP. Develop/update transportation-related components of the State SOP, the functional annexes to the State EOP, and the hazard-specific appendices to the State EOP. Ensure that state transportation agency liaisons are available to support the State EOC and, if applicable, the county/municipal EOCs, TMC(s) and/or FC(s), during a state-declared emergency. Focus. Although formats vary, many state transportation agencies choose to follow the State EOP format for their agency plans. This makes the plans more consistent and, when put to use, information is often easier for outside parties to find when the formats are similar or the same. At a minimum, CPG 101 states that the EOP should include the following sections (with sug- gested advice included): Introductory Material identifies producers of the plan. Purpose Statement sets the tone of the plan. Scope clearly identifies what jurisdictional, geographic, and functional boundaries are appli- cable in the plan. Situation Overview summarizes hazards faced by the state transportation agency and discusses how the agency fits into the regional response structure, including how other responders can use transportation in accomplishing their responsibilities.

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Develop an Emergency Preparedness Program 39 Planning Assumptions identifies what the planning team assumed to be facts for planning purposes, and perhaps more importantly, what uncertainties exist and how they might be mitigated. Concept of Operation (ConOps) explains the decisionmaker's or leader's intent with regard to operation. Recognize that ConOps has a somewhat different meaning in the transportation world, which the document must make clear. Organization and Assignment of Responsibilities establishes the emergency organization that will be relied on to respond to emergency situations, including the types of tasks to be performed, by position and organization. Direction, Control, and Coordination describes the framework for all direction, command and control, and coordination activities, and identifies who has strategic, tactical (as applica- ble), and operational command and control of response assets and services. Information Collection and Dissemination describes the essential information common to all emergencies identified during the planning process. Include coordination with the rela- tively new state and regional Fusion Centers (see Appendix F). Communication describes the response organization-to-response organization communica- tion protocols and coordination procedures to be used during emergencies and disasters. If a common interagency communications center is not available, the plan must then cover how interagency communications will be achieved, including backup systems. Administration, Finance, and Logistics addresses the general support requirements and the availability of services and support for all types of emergencies. This should include refer- ences to EMAC and other mutual-aid agreements; authorities for and policies on augment- ing staff by reassigning public employees and soliciting--and managing--volunteers; and general policies for maintaining financial records, reporting, tracking resource needs, and other information. Plan Development and Maintenance describes the planning process, participants, and how EOP revisions are coordinated during the preparedness phase. This should also include assign- ing responsibility for overall planning and coordination to a specific person and providing for a regular cycle of testing, reviewing, and updating the EOP. Make clear all processes for post-incident review and EOP adjustment. Authorities and References provides the legal basis for emergency operations and activities. This should (1) include a list of laws, statutes, ordinances, executive orders, mutual-aid and other agreements, etc.; (2) specify the extent and limits of the emergency authorities granted to the state transportation agency; and (3) pre-delegate emergency authorities and provisions for continuity of operations. Any necessary supporting annexes, appendices, plans, and/or procedures. 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. Apply common and consistent terminology as used in NIMS, including establishment of plain language (clear text) communication standards. Include preparedness organizations and elected and appointed officials in development of EOPs. Supporting Resources. Guide for All-Hazard Emergency Operations Planning http://www.fema.gov/pdf/plan/slg101.pdf 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, Section 1: Step 3--Develop the Plan, http://www.fema.gov/business/guide/section1c.shtm

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40 A Guide to Emergency Response Planning at State Transportation Agencies PLAN Phase 17: Develop Supporting Materials; Include any Specific Plans, Guidance, Overviews, Documents, SOPs, Operating Manuals, FOGs, Handbooks, and Job Aids Needed to Support Capabilities of State Transportation Agency Personnel to Respond to Emergencies Purpose. Ensure that sufficient reference materials exist to support the training and response activities of state transportation personnel during emergencies. Actions. Identify needed state transportation agency plans or documents to be developed, including any agency-specific emergency response plans, COOP/COG plans, etc. Supporting actions may include developing the following: SOPs detailing the procedures for performing individual functions identified in the trans- portation-related component of the State EOP and hazard-specific annexes. If applicable, an Operations Manual detailing the performance of a number of interdepend- ent functions specified in the transportation-related elements of the State EOP. A FOG or Handbook, such as a durable pocket or desk guide, containing essential, basic infor- mation needed to perform specific assignments or functions as specified in the transportation- related elements of the State EOP. Job Aids to provide detailed checklists or other aids for job performance or job training regard- ing the transportation-related elements specified in the State EOP and Hazard-Specific Annexes. Criteria for the reporting, and (particularly) verifying potential incidents by motorists or to the citizens, even from specially trained individuals, such as road watch, volunteer spotter, and other probe programs (including transit vehicle operators). TSA has First Observer, a watch program for highway security (the toll-free number for the call center--Information Sharing Analysis Center [ISAC]--is 1-888-217-5902). 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, 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. Apply common and consistent terminology as used in NIMS, including establishment of plain language (clear text) communication standards. Include preparedness organizations and elected and appointed officials in the development of EOPs. Supporting Resources. NRF Resource Center, Job Aids/SOPs, http://www.fema.gov/emergency/nrf/jobaids.htm NCHRP Report 525: Surface Transportation Security, Volume 8: Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies, search for title at www.TRB.org/SecurityPubs Step Observations Include the recommended contents outlined in CPG 101 in the state transportation agency's EOP. Step Checklist To evaluate the adequacy of a state transportation agency's EOP, the agency should consider whether its EOP has Developed and/or updated transportation-related components of the State EOP to provide state transportation planning inputs and deliverables for the State EOP and supporting documents.