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46 A Guide to Emergency Response Planning at State Transportation Agencies standards and measures to assess the current capabilities, performance, and overall prepared- ness of the agency. Since HSPD-8 was first issued on December 17, 2003, states have worked to develop and implement required standards and metrics and have developed strategies consistent with the NPG to plan and prepare for, respond to, and recover from emergency events. In doing so, many states have established specific preparedness measures that state transportation agencies must meet (typically identified in the State EOP). The following has been developed to provide state transportation agencies with the tools necessary to evaluate the effectiveness of their own emer- gency preparedness processes against the standards and metrics required by NIMS and to pro- vide additional detail on how best to implement the agency EOP. As with the discussion of emergency planning, the following discussions are presented in a format that encourages the transportation agency to conduct self-assessments. Step 1--Develop Approaches to Implement State Transportation Agency Roles and Responsibilities During Emergencies In order for state transportation agencies to implement their roles and responsibilities dur- ing emergency events, they must first know what their roles and responsibilities are. The research and data analysis phase of emergency planning recommended that agencies start the research process by reviewing the State EOP and its supporting annexes/appendices. This is necessary to identify any transportation-related activities, issues, requirements, and/or needs that the agency may be designated to complete or fulfill. Similarly, the state transportation agency should also review the EOPs and emergency transportation plans of local and regional transportation organizations and agencies to determine if the agency is being relied upon to provide support and resources at the local and regional level. Developing approaches to implement its roles and responsibilities during emergencies requires the agency to complete four phases. PREPARE Phase 01: Establish Protocols for Heightened Homeland Security Advisory System (HSAS) Threat Levels Purpose. Address DHS/TSA and FHWA/FTA recommendations for responding to elevated HSAS threat levels. Actions. Clarify the threat warning and notification system the state transportation agency will use. Identify specific actions that the agency will take for each HSAS level. Where possible, coordinate the activities identified for each HSAS level with the transportation-related activities identified in the state's basic EOP and the Hazard-Specific Annexes. Focus. Increase the readiness of state transportation agencies and improve their ability to respond appropriately to changing threat levels and conditions. Supporting Resources. Common Issues in Emergency Transportation Operations Preparedness and Response, http:// ops.fhwa.dot.gov/publications/etopr/common_issues/etop_compliance.htm Transit Agency Security and Emergency Management Protective Measures, http://transit- safety.volpe.dot.gov/publications/security/ProtectiveMeasures/PDF/ProtectiveMeasures.pdf Emergency Transportation Operations, Preparedness, http://www.ops.fhwa.dot.gov/opssecurity/ preparedness/index.htm NCHRP Report 525: Surface Transportation Security, Volume 14: Security 101: A Physical Secu- rity Primer for Transportation Agencies, search for title at www.TRB.org/SecurityPubs TCRP Synthesis 80: Transit Security Update, search for title at www.TRB.org/SecurityPubs

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Develop an Emergency Preparedness Program 47 PREPARE Phase 02: Develop Memorandum of Understanding/Agreement (MOU/A) with other Local and State Agencies Regarding Transportation- Related Elements Specified in State and Regional EOPs Purpose. Ensure that formal plans and procedures are in place for mutual aid, as specified by FEMA in the NRF and NIMS and in the State EOP. Actions. Promote intrastate and interagency mutual-aid agreements (to include agree- ments with the private sector and nongovernmental organizations [NGOs]). Develop MOU/As and notification/information-sharing protocols with local/regional and state partners regard- ing the transportation-related elements specified in the State EOP. Supporting actions may include the following: Use the state/territory response asset inventory for intra- and interstate mutual-aid (such as EMAC) requests, exercises, and actual events. Build relationships with local, regional, state, and federal Emergency Management Agencies (EMAs), Emergency Operation Centers (EOCs), Emergency Planning Com- mittees, Emergency Response Commissions, TMCs, Fusion Centers (FCs), and Public Health and Agricultural organizations. Figure 8 illustrates the overlapping interests of the TMC (called Operations Center here), EOC, and the FC. Define key terms, roles, and responsibilities of individuals, and contact information. Include procedures for requesting and providing assistance. Include procedures, authorities, and rules for payment, reimbursement, and allocation of costs. Include notification procedures and protocols for interoperable communications. Source: FHWA, 2008 Explain relationships with other agreements among jurisdictions. Address workers' compensation and treatment of liability and immunity. Provide for recognition of qualifications and certifications. Figure 8. Overlapping interests. Share agreements, as required. Review, support, and adopt FEMA's ongoing efforts to develop a national credentialing system. Expand mutual-aid agreements beyond support services and equipment to include informa- tion sharing and interagency decision making. Establish MOUs with the owners of telecommunications, electrical power transmission trunk lines, pipelines, viaducts, etc., for monitoring these facilities, and include in the EOP appro- priate responses to damage to them. Focus. DHS recommends that basic MOU/As include protocols for requesting assistance, chain of command and control, compatibility of resources, and what level of assistance is to be expected. MOU/As developed by state transportation agencies should therefore define the trans- portation-related elements, activities, roles, responsibilities, and resources that the agency will supply during emergency response activities, as well as those the agency will receive from other response agencies and organizations. MOU/As should also incorporate the NIMS requirements, especially when the transportation agency enters into an agreement with private-sector compa- nies or volunteer organizations that are not mandated to meet the NIMS requirements. Other information an agency may include in an MOU/A includes the following: Definitions of key terms used in the agreement; Definitions of participating agency jurisdictional boundaries; Procedures for requesting and providing assistance; Procedures, authorities, and rules for payment, reimbursement, and allocation of costs; Notification procedures; Protocols for interoperable communications; Relationships with other agreements among jurisdictions;

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48 A Guide to Emergency Response Planning at State Transportation Agencies Treatment of liability, immunity, and workers' compensation; Recognition of qualifications and certifications; Future evaluation and modification of procedures and protocols; Training and joint exercise responsibilities; and Sharing agreements. National Incident Management System Compliance Issues. To achieve NIMS compliance, promote and/or develop intrastate and interagency mutual-aid agreements and assistance agree- ments (to include agreements with the private sector and nongovernmental organizations). Supporting Resources. Catastrophic Hurricane Evacuation Plan Evaluation: A Report to Congress: Chapter 5: Findings and Recommendations, http://www.fhwa.dot.gov/reports/hurricanevacuation/chapter5.htm Using Highways for No-Notice Evacuations: Routes to Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer_nn/index.htm PREPARE Phase 03: Develop Approach to Provide State Transportation Agency Critical Services during Emergencies Purpose. Develop Continuity of Operations (COOP) and Continuity of Government (COG) plans to define activities that must be performed if an emergency event affects access to essential operating and maintenance facilities, vehicle fleets, systems, and senior management and tech- nical personnel. Actions. Establish a common understanding with community, state, and federal jurisdic- tions of the capabilities and distinct types of emergency response equipment available. Develop a state transportation agency COOP. Supporting actions may require the agency to Develop a state transportation agency COG Plan. Acquire or pre-identify key equipment and supplies specified in the COOP. Identify response resources and develop an asset inventory conforming to NIMS resource typ- ing standards, including DHS standards as identified by FEMA's National Integration Center (NIC). When feasible, propose modification or new resource definitions to the NIC to include in the resource typing effort. Identify strategies to obtain and deploy major equipment, supplies, facilities, and systems in sufficient quantities to perform assigned missions and tasks. Implement an effective logistics system to mobilize, track, use, sustain, and demobilize phys- ical and human resources. The system must support both the residents in need and the teams responding to the incident. Develop Personnel Resource Lists that identify appropriate personnel available to support var- ious incident types. Include contractor and NGO personnel. Develop Equipment/Materials Resource Lists that identify equipment and materials needed and available for various incident types. Include contractor and NGO resources. To the extent permissible by state and local law, ensure that relevant national standards and guidance to achieve equipment, communications, and data interoperability are incorpo- rated into state and local acquisition programs. Share these lists with appropriate local, state, and regional EMAs. Develop extended/emergency staffing plans, including suspension of vacation and leave and overtime/compensatory time provisions, as warranted. Focus. In many cases, the state may have also developed a COOP and/or COG Plan to define the activities that must be performed to respond to heightened DHS/TSA Homeland Security Advi- sory System (HSAS) threat levels and emergency events that affect access to essential operation and

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Develop an Emergency Preparedness Program 49 maintenance facilities, vehicle fleets, systems, and senior management and technical personnel. The state transportation agency should also review these plans to determine what agency-critical services will be required to support COOP and COG activities. Because state transportation agencies will likely be called upon to support mass evacuations of their regions (or in some cases, shelter-in-place or quarantine--the prevention of evacuation), it is important that they develop a formalized approach to evacuation management that includes plans, policies, and procedures for evacuations with or without notice. 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 establishing plain lan- guage (clear text) communication standards. Include preparedness organizations and elected and appointed officials in the development of EOPs. Supporting Resources. 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 PREPARE Phase 04: Develop State Transportation Agency Approach to Evacuation/Shelter-in-Place/Quarantine Management Purpose. Ensure the state transportation agency formalizes its approach to evacuation man- agement, including plans, policies, and procedures for evacuations with and without notice, and its approach to shelter-in-place and quarantine management. Actions. Convene stakeholders to develop and revise evacuation/shelter-in-place/quarantine plans. Include practitioners with previous experience. Supporting actions may include the following: Identify goals, objectives, and guidelines for evaluating and updating the plan. Identify the ultimate decisionmaker, Incident Commanders, organizations, and those with authority and responsibility for evacuation by position; ensure their tasks have been pre-defined. Identify roles and responsibilities of government agencies, including transportation and pub- lic safety, and how these agencies coordinate their efforts with each other. Identify variations in direction and control for different types of events that require evacuation/ shelter-in-place/quarantine. Conduct practice exercises (at least tabletop) to test the plan for evacuation/shelter-in-place/ quarantine of vulnerable populations. Identify the number and location of people and vehicles to be evacuated, sheltered-in-place, or quarantined. Identify primary and secondary evacuation/shelter-in-place/quarantine routes based on prob- ability and feasibility of use, survivability, ease of restoration, functional service, and strategic location. Identify agencies and personnel who will report to the EOC and how they will be notified to report. Address shelters and in-place provisions. Document decision criteria to be monitored and evaluated prior to issuing an evacuation/ shelter-in-place/quarantine order.

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50 A Guide to Emergency Response Planning at State Transportation Agencies Identify how and when the evacuation/shelter-in-place/quarantine order is communicated to the emergency management community and to the public. Define specific criteria for voluntary, recommended, or mandatory evacuation/shelter- in-place/quarantine events. Include pre-approved drafts of executive orders for evacuations or prevention of evacuation. Describe the time phasing of evacuation/shelter-in-place/quarantine execution (i.e., sequential and concurrent activities) for different levels of response. Plan for communicating with limited English-speaking individuals and people with special needs (e.g., hearing, physical, mental, vision impairments). Address the use of public transit vehicles, school buses, paratransit, trains, ferries, aircraft, and other publicly or privately owned vehicles that may be used during the evacuation. (Note: here- inafter, all of these vehicles are referred to generically as transit vehicles.) Designate routes and locations for ingress traffic and pre-staged equipment, materiel, and per- sonnel along the evacuation/shelter-in-place/quarantine routes, including fuel and personal relief facilities for emergency staff and those affected populations. Include a strategy for restricting and securing access to evacuated, sheltered-in-place, or quarantined areas. Determine policies for rescue and possible evacuation/shelter in-place/quarantine care for pets and livestock. Determine policies for containing agricultural emergencies, such as traffic control if stop- movement or shelter-in-place/quarantine operations are necessary because of the deliber- ate or accidental introduction of foreign plant or animal diseases into the U.S. food supply system. Supporting Resources. Using Highways for No-Notice Evacuations: Routes to Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer_nn/index.htm Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effec- tive Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.htm Managing Pedestrians During Evacuation of Metropolitan Areas, http://www.ops.fhwa. dot.gov/publications/pedevac/index.htm TRB Special Report 294: The Role of Transit in Emergency Evacuation, search for title at www.TRB.org/SecurityPubs NCHRP Synthesis 392: Transportation's Role in Emergency Evacuation and Reentry, search for title at www.TRB.org/SecurityPubs NCHRP Report 525: Surface Transportation Security, Volume 13: A Guide to Traffic Control of Rural Roads in an Agricultural Emergency, search for title at www.TRB.org/SecurityPubs ACRP Report 5: Quarantine Facilities for Arriving Air Travelers: Identification of Planning Needs and Costs, search for title at www.TRB.org/SecurityPubs Step Observations Based on the information gathered through these activities, the state transportation agency can begin to update and modify its own emergency management and response procedures and plans, as necessary, to better coordinate with those at the state/territorial/tribal, regional, and local levels. This may also require that these other agencies and organizations update their own plans and pro- cedures when the state transportation agency has determined that (1) it is not capable of provid- ing the support specified in those plans, or (2) it is capable of providing support and resources in excess of those currently stated in the State EOP, and in local and regional emergency management documents. In all cases, the transportation agency should work with these agencies and organiza- tions (through its emergency planning team) to develop a consistent and unified approach to emer- gency management.