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A Guide to Emergency Response Planning at State Transportation Agencies (2010)

Chapter: Section 4 - Develop an Emergency Preparedness Program

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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
×
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Suggested Citation:"Section 4 - Develop an Emergency Preparedness Program." National Academies of Sciences, Engineering, and Medicine. 2010. A Guide to Emergency Response Planning at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/14469.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

23 This section explains the emergency planning process and the all-hazards approach to emer- gency management; it also emphasizes that the process is a continuous one, not something done once and then shelved. In the overall emergency management/risk management, all-hazards approach, the state transportation agency has two distinct roles: (1) developing and maintain- ing its own EOP and (2) supporting the State EOP. The state transportation agency also will work to mitigate consequences. Executing the plan in actual emergencies is more significant than the plan itself. This notwith- standing, the approach taken in this section is to deal with the entire planning process from the perspective of the agency’s own EOP. This includes four main phases: emergency planning, emergency preparedness, emergency response, and emergency recovery. Because the planning and preparedness phases are perhaps the best way to maximize the success and safety of the response and recovery efforts, these sections provide greater detail. Finally, as agencies begin this process, it is important to reinforce that this is not a standard. This is a suggested process derived from the relevant national directives, policies, and guidelines intro- duced in Sections 1 and 2. Even the Comprehensive Preparedness Guideline 101 is just that—a guideline. The discussions below do not attempt to replace or unnecessarily duplicate CPG 101, although some reference and duplication are necessary. More significantly, the 2010 Guide attempts to fill in gaps unique to transportation that are not explicit in CPG 101 and provides a means for state transportation agencies to perform self-assessments of their own emergency planning, preparedness, response, and recovery processes. Emergency Planning Phase The planning phase is arguably the most important step in developing and administering an effective emergency preparedness program. Without proper planning, emergency response per- sonnel can easily find themselves significantly hampered by the confusion and contradictory actions often encountered during complex emergency response activities. As state transporta- tion agencies assume greater levels of responsibility for managing large-scale evacuations in response to natural disasters, as well as no-notice evacuations, shelter-in-place, or quarantine in response to biological outbreaks, large-scale hazardous chemical releases, and WMD threats, the need for planning at the agency level also increases. Consistent with National Incident Manage- ment System (NIMS) and National Response Framework (NRF) requirements, an all-hazards approach to emergency planning must be taken to ensure the agency’s ability to respond appro- priately to all emergency events. FEMA’s Comprehensive Preparedness Guide 101 (CPG 101, 2009), Developing and Maintain- ing State, Territorial, Tribal, and Local Government Emergency Plans, serves as the basis for much S E C T I O N 4 Develop an Emergency Preparedness Program

of the emergency planning process taking place in the United States today. The 2009 publication replaces State and Local Guide 101, Guide for All-Hazards Emergency Planning (SLG101) (SLG101, 1996) and emphasizes the following 12 principles of effective emergency planning: 1. Planning is an orderly, analytical, problem-solving process. 2. Plans guide preparedness activities. 3. Planning helps deal with complexity. 4. Emergency planning addresses all hazards. 5. Emergency planning does not need to start from scratch. 6. Planning depicts the anticipated environment for action. 7. Planning must involve all partners. 8. Planning assigns tasks, allocates resources, and establishes accountability. 9. Planning includes senior officials throughout the process to ensure both understanding and buy-in. 10. Time, uncertainty, risk, and experience influence planning. 11. Effective plans not only tell those within the planning community what to do (the task) and why to do it (the purpose), effective plans also inform those outside the jurisdiction about how to cooperate and provide support and what to expect. 12. Planning is fundamentally a risk management tool. There also is a distinction between a state transportation agency managing its specific responsi- bilities, as directed, in large-scale evacuations as part of the larger EM activity versus actually man- aging large-scale evacuations, which is not typically the agency’s role. Put another way, in relatively small incidents, the state transportation agency will play a proactive role in managing the incident, perhaps in a supporting role to law enforcement; however, in a major incident/evacuation/shelter- in-place/quarantine, while the agency’s role might be a major one, it is expressly a supporting role. With these fundamental principles in mind, the 2010 Guide’s discussion of emergency plan- ning begins by reviewing the steps necessary to create an effective emergency planning process, realizing that emergency planning does not need to start from scratch. This is especially true in today’s post-9/11 and Hurricane Katrina environment in which most states have emergency planning processes in place. This 2010 Guide also recognizes that there are numerous, acceptable planning processes that state transportation agencies can take that may not exactly match the processes discussed here. It is important to note, however, that regardless of the approach used, each planning process should address the key principles above and meet the requirements of NIMS and the NRF. Table 3, copied from CPG 101, depicts the relationships among different planning processes. The following provides updated guidance to state transportation agencies pertaining to the most recent federal emergency planning policies and resources, including the all-hazards approach to emergency management required by NIMS and the NRF. The format encourages agencies to con- duct self-assessments and is intended to assist them as they evaluate their current emergency plan- ning processes and determine if these processes are consistent with recent federal requirements and guidelines. The discussion also provides resources to those agencies that find their emergency plan- ning processes do need to be updated or modified. Being NIMS-compliant is important, as is devel- oping workable emergency plans that meet all participants’ expectations. Step 1—Form a Collaborative Planning Team CPG 101 states, “. . . planners achieve unity of purpose through horizontal coordination and vertical integration of plans among all levels and sectors.” Simply put, planning is a continuous and ongoing process that requires the active participation of, involvement of, and coordination with all levels of government. The reason for using a multi-organizational and multidisciplinary 24 A Guide to Emergency Response Planning at State Transportation Agencies

Develop an Emergency Preparedness Program 25 planning team is clear—a broad range of expertise is necessary to effectively implement the all- hazards approach of emergency management prescribed by NIMS and Principle 4 (emergency planning addresses all hazards). Given the number and complexity of the different hazards a community may face, it is excep- tionally difficult for any one individual, or even an organization, to be fully versed in how to best prepare for, respond to, and recover from every hazard, particularly when the incident escalates. Forming a collaborative planning team enables all participants to gain a better understanding of the capabilities, needs, and response tactics of each organization involved in the response activ- ities. Forming the team also addresses Principles 3 (planning helps deal with complexity) and 7 (planning must involve all partners) by enabling team participants to better understand how the decisions made by emergency managers and responders at all government levels may affect the ability of others to fulfill their response requirements. The four key phases in Step 1 are described below.12 Integrated Planning System CPG 101 NIMS Preparedness NIMS Incident Command Form the planning team Understand the situation Understand the situation • Conduct research • Analyze the information Understand the situation Gather information Determine goals and objectives Determine goals and objectives Establish incident objectives and strategy Estimate course and harm Determine appropriate strategic goals Plan development (analyze courses of action) Develop the plan • Develop and analyze courses of action • Identify resources Develop the plan Assess options and resource requirements Plan preparation, review, approval Plan preparation, review, approval • Write the plan • Approve and disseminate the plan Prepare and disseminate the plan Plan and implement actions Source: CPG 101, 2009 Table 3. Comparison of published planning processes. 12Recall that much of this information, including the supporting references, is summarized in tabular form in “Organizational, Staffing, and Position Guidance” in Section 6.

PLAN Phase 01: Identify and Designate a Lead Emergency Planning Coordinator (EPC) and Staff to Oversee the State Transportation Agency Emergency Planning Process Purpose. Designate the best-qualified individuals and team to lead the state transportation agency’s emergency planning function. Actions. Designate a lead Emergency Planning Coordinator (EPC) and staff to oversee the agency’s emergency planning process. Vest the EPC with adequate authority and resources to fulfill the goals and objectives of the agency’s emergency management program. Focus. Develop a comprehensive EOP and coordinate state transportation agency emergency planning and management activities with the state’s NIMS coordinator. For the State EOP, the State Emergency Management Agency (SEMA) will likely have formed the team, with the trans- portation agency being a lead agency for ESF #1 (Transportation) and ESF #3 (Public Works) and supporting others. This team would typically include DHS and FEMA regional offices and per- sonnel; state emergency management representatives; law enforcement personnel; public health officials; emergency fire, medical and rescue services personnel; and even some local EMAs. For the state transportation agency’s EOP, the team will tend more toward regional and local lev- els, including agencies that would be part of traffic incident and emergency response in the absence of State EOC (SEOC) activation. There should be total consistency between the state’s and the trans- portation agency’s EOPs from the top-down perspective, but the agency’s EOP will have more details and probably a broader set of partners—more locally oriented—than the State EOP. Appendix C lists the typical stakeholders in TIM and ER and their typical roles and responsibilities. Delineation of roles and responsibilities is discussed further in a white paper (see Appendix L). National Incident Management System Compliance Issues. To achieve NIMS compliance, • Adopt NIMS for all departments and agencies, as well as promote and encourage NIMS adop- tion by associations, utilities, nongovernmental organizations (NGOs), and private-sector emer- gency management and incident response organizations. • Establish and maintain a planning process to communicate, monitor, and implement all NIMS compliance objectives across the state/territory/tribe (including departments/agencies), to include local governments. This process must provide a means for measuring progress and facilitate reporting. • Designate and maintain a single point of contact within government to serve as principal coor- dinator for NIMS implementation jurisdiction-wide (to include a principal coordinator for NIMS implementation within each department/agency). Supporting Resources. • Guide for All-Hazard Emergency Operations Planning, http://www.fema.gov/pdf/plan/ 0-prelim.pdf • NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emergency Transporta- tion Operations, search for title at www.TRB.org/SecurityPubs PLAN Phase 02: Establish Authority of EPC and Planning Team Purpose. Ensure the state transportation agency’s Emergency Planning Coordinator (EPC) and Planning Team have adequate authority to perform the emergency planning function. Actions. Demonstrate management’s commitment and promote an atmosphere of coopera- tion by authorizing the agency EPC and Planning Team to take the steps necessary to develop/update the agency’s emergency plans and response program. Support this action by participating in the State EOP process. 26 A Guide to Emergency Response Planning at State Transportation Agencies

Develop an Emergency Preparedness Program 27 Establish a clear line of authority between team members and the state transportation agency EPC. Upper management should appoint participants to the planning team in writing. Partici- pant job descriptions could also reflect this assignment. 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. Establish and maintain a plan- ning process to communicate, monitor, and implement all NIMS compliance objectives across the state/territory/tribal departments and agencies, to include local governments. This process must provide a means for measuring progress and facilitate reporting. Supporting Resources. • NRF Resource Center, http://www.fema.gov/emergency/nrf/mainindex.htm PLAN Phase 03: Issue Mission Statement for the Planning Team Purpose. Clarify the purpose of the state transportation agency’s emergency planning function. Actions. The state transportation agency Chief Executive Officer (CEO) should issue a mis- sion and vision statement to demonstrate the agency’s commitment to emergency planning.13 The statement should define and/or identify the following: • Scope of activities to be performed by the EPC and Planning Team, • The agency’s high-level goals for the emergency planning process, • Documents and/or programs to be developed by the agency’s emergency planning team. The statement should emphasize that the entire organization should be involved in creating these documents and programs, and • The authority and structure of the planning group. Focus. Develop a comprehensive EOP and coordinate state transportation agency emergency planning and management activities with the state’s NIMS coordinator. National Incident Management System Compliance Issues. Establish and maintain a plan- ning process to communicate, monitor, and implement all NIMS compliance objectives across the state/territory/tribal departments and agencies, to include local governments. This process must provide a means to measure progress and facilitate reporting. Supporting Resources. • Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.htm PLAN Phase 04: Establish Planning Team Schedule and Budget Purpose. Ensure the state transportation agency EPC and Planning Team have adequate resources and schedule to perform the emergency planning function. Actions. The Emergency Management Team defines specific goals and objectives of the emergency management process and performance metrics. Establish a work schedule and plan- ning deadlines. Modify timelines as priorities become more clearly defined. Develop an initial 13References to the Chief Executive Officer are not intended to imply that he or she performs the work indicated— staff typically does that—but it is important that the CEO strongly endorse the work.

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 (05–12) within the research process are described below. 14The 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.”

Develop an Emergency Preparedness Program 29 PLAN Phase 05: Identify Documents to be Developed, Reviewed, Approved, and/or Updated Regarding the State Transportation Agency’s Emergency Response Plans and Programs Purpose. Clarify the scope of the state transportation agency’s emer- gency planning process and the expected deliverables and outcomes. Actions. Identify the documents to be developed, reviewed, approved, and/or updated regarding the agency’s emergency response plans and pro- grams. This action would focus not only on the transportation-related ele- 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 In our complex free society, there is no perfect solution to address every security concern, but by working together collectively to analyze threats, understand our capabilities, and apply resources intelligently, we can manage risk. Michael Chertoff, Secretary, Department of Homeland Security, April 1, 2005

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

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 Develop an Emergency Preparedness Program 31

[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. 32 A Guide to Emergency Response Planning at State Transportation Agencies

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. Develop an Emergency Preparedness Program 33

Supporting Resources. • Simplified Guide to the Incident Command System for Transportation Professionals, http:// ops.fhwa.dot.gov/publications/ics_guide/ics_guide.pdf Step Observations Experience teaches that the range of possible threats should not be limited to the obvious or those with a relatively high probability. No one can foresee all possibilities, but, for example, preplanned evacuation and diversion routes for all Interstates and other freeways and expressways are certainly reasonable precautions. This process requires a broad range of expertise to limit the assumptions that may be made by personnel who are inexperienced with certain hazard and threat types and responses. FEMA Publication 386-2, Understanding Your Risks: Identifying Hazards and Estimat- ing Loss, is an excellent resource for state transportation agencies looking to become more familiar with the hazard and risk assessment process (FEMA, 2001). Step Checklist To evaluate the adequacy of their research and hazard analysis processes as they pertain to emergency planning, state transportation agencies should determine whether they have • Identified the documents that need to be developed, reviewed, approved, and/or updated per- taining to the agency’s emergency plans and programs to clarify the scope of the agency’s emergency planning process and its desired or expected outcomes. • Worked with the State NIMS Coordinator to identify transportation agency requirements for addressing statewide implementation of NIMS and ensured the agency’s Emergency Planning Coordinator and team, as well as all agency emergency responders, received NIMS training. • Reviewed the State EOP and supporting annexes/appendices and other documents for trans- portation-related activities to determine how these documents currently address transportation issues, requirements, needs, and assets. • Reviewed the relevant hazards likely to result in an emergency requiring activation of the SEOC to identify and assess the relevant hazards for the agency and state. • Ensured the state transportation agency’s EOP deals similarly with incidents that do not rise to the severity that requires State (or Regional) EOC activation, particularly a clear understand- ing among partners of the ICS. • Gathered information pertaining to vulnerable populations to identify issues or requirements that may exist with these populations. • Determined the status of agency emergency planning activities to date and identified areas needing improvement to determine what still needs to be done. • Defined response issues, roles, and tasks by reviewing the Target Capabilities List, Universal Task List, Resource Typing List, and the National Planning Scenarios to ensure coordination with DHS and FEMA guidance. • Based on activities identified in the State EOP, the agency has developed/updated its incident management—including its TIM—organization to ensure all activities are conducted pursuant to NIMS and NRF requirements. Step 3—Determine Goals and Objectives of Emergency Planning and Response Activities CPG 101 defines goals as “. . . broad, general statements that indicated the intended solution to problems identified by planners during the previous step” [referring here to conducting research and analyzing data]. CPG 101 also defines objectives as being “. . . more specific and identifiable actions carried out during the response. They are the things that responders have to accomplish—the things that translate into activities, implementing procedures, or operating procedures by responsible organizations” (CPG 101, 2009). 34 A Guide to Emergency Response Planning at State Transportation Agencies

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.

36 A Guide to Emergency Response Planning at State Transportation Agencies PLAN Phase 14: Use Scenario-Based, Functional, and Capabilities-Based Planning to Depict how the State Transportation Agency’s Response to a Range of Emergency Situations May Unfold Purpose. Employ an all-hazards approach to emergency management. Actions. Use a formal process for building relationships among the occur- rence of hazards, decision points, and response actions, including the following: • Establish a timeline for the event and response actions, depending on the type of hazard or threat to be addressed. • Develop a full-response scenario, keeping in mind the goals and objectives discussed above that are to be fulfilled during response activities. • Identify critical decision points during the response efforts and how much time leaders will likely have to make these decisions during the response. • Identify specific response actions, including what the action is and who is taking it; when it will be performed, how long it will take to complete and the time actually available; what prompted the action and what will be its result (both desired and undesired); and what resources are needed to complete the action. • Assess progress made toward the end state; identify whether goals and objec- tives are being met and if any new needs or demands develop; identify tasks that, if not completed, would cause the response to fail; and check for omis- sions and gaps, inconsistencies in organizational relationships, and mis- matches between the plans of the state transportation agency and other response parties and jurisdictions. 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 control these hazards and risks. 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. • A Guide to Updating Highway Emergency Response Plans for Terrorist Inci- 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 Supporting Planning Concepts Scenario-Based Planning: As the name implies, this planning process starts with building a scenario. The impact of the scenario is analyzed to determine appropriate response strategies. Functional Planning: This planning process identifies the common tasks that the community must perform during emergencies. It is the basis for the all-hazards approach to planning described in State and Local Guide 101. It identifies lead and supporting agencies for response tasks. Capabilities-Based Planning: A capability is the ability to take a course of action. Capability-based planning answers the question, “Do I have the right mix of TOPPLEF (training, organizations, plans, peo- ple, leadership and management, equipment, and facilities) elements to perform required response tasks?” The Target Capabilities List provides a definition; an outcome; and preparedness and performance activities, tasks, and measures for a predetermined set of capabilities. It combines aspects of scenario- and functional-based planning and uses the planning process described in CPG 101. (CPG 101, 2009)

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

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. 38 A Guide to Emergency Response Planning at State Transportation Agencies

• 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 Develop an Emergency Preparedness Program 39

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.

• Developed supporting materials, including any specific plans, guidance, overview documents, operating procedures, etc., to ensure agency personnel can respond to emergencies and ensure that sufficient reference materials exist to support agency training and response activities. • Verified whether its state is a member of EMAC and included the processes for obtaining EMAC resources during emergency response and recovery efforts in its EOP. • Defined the purpose, scope of preparedness and incident management activities, and assump- tions necessary for the agency. • Described organizational structures, roles and responsibilities, policies, and protocols for pro- viding emergency support and how these roles and responsibilities are assigned. • Facilitated response and recovery activities and is flexible enough to use in all emergencies of any magnitude. • Described the concept of operations. • Described finance, administration, and logistics. • Included a section covering the development and ongoing maintenance of the EOP. • Included authorities and references. • Contained functional annexes, hazard-specific appendices, a glossary, and a list of acronyms (the latter including those terms common to both the EM/ER and transportation communities). • Pre-designated functional area representatives to the EOC and provided coordination links with the transportation management centers. • Included pre-incident and post-incident public awareness, education, and communication plans and protocols. • Provided for post-incident reviews to identify lessons learned and needed improvements. Step 6—Approve and Implement the Plan The fundamental principles of emergency planning dictate that the planning process includes senior officials throughout the process to ensure both understanding and buy-in. This is achieved most successfully when senior leadership has been involved from the onset of the state trans- portation agency’s planning activities. Review and approval of the EOP involves only one phase, as described below. PLAN Phase 18: Formally Approve and Implement Transportation-Related Provisions of the State and State Transportation Agency’s EOPs and Supporting Annexes and Agency-Specific Supporting Materials Purpose. Ensure adoption of the EOPs and supporting materials. Actions. Ensure review by those at the state emergency management level to verify that State EOP transportation-related provisions have been appropriately adopted by the state transportation agency and addressed by its EOP or supporting materials. Approve both plans through a formal promulgation documentation process that establishes the authority required for making changes and revisions to the plans. Ensure the plans are signed by the agency’s chief executive and his or her executive management team, particularly by regional/district leader- ship in decentralized agencies. Focus. Identify where to improve the plans for clarity and usefulness. Supporting Resources. Emergency Management Guide for Business & Industry, Section 1: Step 3—Develop the Plan, http://www.fema.gov/business/guide/section1c.shtm Step Observations Executive buy-in is essential to successful EM/ER planning. Develop an Emergency Preparedness Program 41

42 A Guide to Emergency Response Planning at State Transportation Agencies Step Checklist Evaluate the adequacy of the state transportation agency’s EOP by ensuring the agency has • Formally approved and implemented the transportation-related provisions of the State EOP to ensure adoption of the plan and supporting materials. • Established a connection between the State EOP and the agency EOP to ensure compatibility and consistency of common provisions. Step 7—Exercise the Plan and Evaluate Its Effectiveness Because plans guide the preparedness process, it is important that they are routinely tested through training, drills, and exercises. This is necessary not only to verify the accuracy of the EOP and its supporting procedures and to identify and address any potential gaps, but also to increase the state transportation agency’s overall state of readiness, as well as that of its personnel and partners. Exercising the plan involves one phase, described below. PLAN Phase 19: Develop Coordinated Plan of Training Drills and Exercises Purpose. Ensure that state transportation personnel are trained to respond to emergencies. Actions. Distribute the plan to all necessary parties, including all members of the state trans- portation agency’s emergency planning team and any outside agencies or jurisdictions that may be involved in emergency response efforts within the agency’s region or that could be expected to call upon the agency to support response efforts in their regions. The agency’s EPC should keep a record of all of the individuals and agencies to whom the plan was provided. It is recommended that the state transportation agency make a version of the Emergency Oper- ations Plan publicly accessible. Such transparency is good for accountability, for sharing with seldom-used response partners, and for securing necessary resources to carry out assigned respon- sibilities. Indeed, Sunshine laws may require that a copy of the EOP be posted on the agency’s web- site or placed in some other publicly accessible location. Obviously, sensitive information should be in annexes that, while referenced in the public version, are not available to the public.15 Focus. Exercise and evaluate the EOP to determine its adequacy, feasibility, acceptability, completeness, and compliance with applicable guidance or regulatory requirements. CPG 101 defines each of these measures as follows: • Adequacy: A plan can be considered adequate if the – Scope and concept of planned response operations identify and address critical tasks effectively; – Assigned mission can be accomplished while complying with guidance; and – Assumptions are valid, reasonable, and comply with guidance. • Feasibility: A plan can be considered feasible if the – Organization can accomplish the assigned mission and critical tasks by using available resources within the time contemplated by the plan; and – Available resources, including internal assets as well as those that can be gained through mutual-aid or existing state, regional, or federal assistance agreements, are allocated tasks and tracked by status (assigned, out of service, etc.). 15Certain information may be classified, such as lists of critical infrastructure and weak points in systems; these should be placed in a supporting document that is deemed exempt from the Sunshine law. The posted version would thus be a redacted version.

• Acceptability: A plan can be considered acceptable if it – Meets the needs and demands driven by the event, meets decisionmaker and public cost and time limitations, and is consistent with the law; and – Can be justified in terms of the cost of resources and if its scale is proportional to mission requirements. • Completeness: A plan can be considered complete if it – Incorporates all tasks to be accomplished; – Includes all required capabilities; – Provides a complete picture of the sequence and scope of the planned response operation (i.e., what should happen, when, and at whose direction); – Includes time estimates for achieving objectives; and – Identifies success criteria and a desired end-state. • Compliance with Guidance and Doctrine: A plan can be considered compliant with guid- ance and doctrine if it complies with all applicable guidance and regulatory requirements to the maximum extent possible. National Incident Management System Compliance Issues. To achieve NIMS compliance, • 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 mul- tiple jurisdictions. • Incorporate corrective actions into preparedness and response plans and procedures. • Promote the integration of Incident Command, Multiagency Coordination System, and Public Information into appropriate exercises and evaluate the integration against associated target capa- bilities (refer to HSEEP, Volume III and the Exercise Evaluation Guides) (FEMA-HSEEP, 2007). https://hseep.dhs.gov/support/VolumeIII.pdf) • Include nongovernmental organizations and the private sector in an all-hazards exercise pro- gram, when appropriate. Supporting Resources. • NCHRP Report 525: Surface Transportation Security, Volume 9: Guidelines for Transportation Emergency Training Exercises, search for title at www.TRB.org/SecurityPubs • NCHRP Report 525: Surface Transportation Security, Volume 7: System Security Awareness for Transportation Employees, search for title at www.TRB.org/SecurityPubs • NIMS training courses available online at http://www.fema.gov/emergency/nims/NIMS TrainingCourses.shtm Step Observations The state transportation agency can begin to develop and administer training programs based on the degree to which the EOP meets each of these measures. Training, which is part of the pre- paredness process discussed in the next section, includes tabletop exercises and full-scale mock emergency drills that can be used to exercise the EOP at all levels and across all identified haz- ards and threats. The information and experience gained through such activities is often irre- placeable and the most effective means of preparing for actual response activities. Step Checklist To evaluate their processes for exercising the state transportation agency EOP and determine if additional effort is needed in this area, agencies should consider whether they have • Developed a coordinated program of training, drills, and exercises to ensure that agency per- sonnel are trained to properly respond to different types of emergencies. • Ensured the agency and its partners revised their plan as a result of these exercises (if indicated by the results of the exercises). Develop an Emergency Preparedness Program 43

Step 8—Review, Revise, and Maintain the Plan The discussion of emergency planning concludes by further noting the importance of the plan review, revision, and overall maintenance process. Because emergency planning is a continuous process, and the participants involved in planning and preparing for, responding to, and recov- ering from emergencies often change from year to year, it is imperative that the state transporta- tion agencies establish mechanisms for ongoing review and revision of their EOPs—both the State EOP and the agency internal one(s). Reviewing, revising, and maintaining the EOPs require one phase, as described below. PLAN Phase 20: Establish Ongoing Review and Assessment Process for Transportation-Related Elements of State and State Transportation Agency EOPs and Supporting Materials Purpose. Ensure that the state and state transportation agency EOPs, procedures, and sup- porting materials are up to date. Actions. Establish minimum timeframes for review as well as the specific events (i.e., update of the State EOP, change of personnel, provision of new or additional resources, issuance of new regulatory requirements, change in regional demographics or hazard profile) that should prompt a review and possible revision of the EOP(s). Focus. Maintain accurate, relevant, and immediately useful plans and procedures. Supporting Resources. • Comprehensive Preparedness Guide 101 (CPG 101, 2009), http://www.fema.gov/pdf/about/ divisions/npd/cpg_101_layout.pdf • NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emergency Trans- portation Operations, search for title at www.TRB.org/SecurityPubs Step Observations CPG 101 recommends that agencies review plans at least once every 2 years. Periodic practice exercises should be designed to test, even stress, the established processes to identify improve- ments needed. Step Checklist To evaluate their review, revision, and plan maintenance processes, state transportation agen- cies should consider whether they have • Established an ongoing review and assessment process for transportation-related elements of State and agency EOPs and supporting materials to ensure that the agency’s plans, procedures, and supporting materials remain relevant and up to date. Prepare for the Emergency The discussion of emergency preparedness and its role in the state transportation agency emer- gency management process must begin by revisiting Homeland Security Presidential Directive 8, National Preparedness (HSPD-8). HSPD-8 established . . . policies to strengthen the preparedness of the United States to prevent and respond to threatened or actual domestic terrorist attacks, major disasters, and other emergencies by requiring a national domestic all-hazards preparedness goal, establishing mechanisms for improved delivery of Federal pre- 44 A Guide to Emergency Response Planning at State Transportation Agencies

Develop an Emergency Preparedness Program 45 paredness assistance to State and local governments, and outlining actions to strengthen preparedness capabilities of Federal, State, and local entities. The top NPG priorities are to implement the NIMS and the NRF, expand regional collaboration, and implement a National Infrastructure Protection Plan (NIPP). It is also the priority of the NPG to strengthen • Information sharing and collaboration capabilities; • Interoperable communications capabilities; • Chemical, biological, radiation, nuclear, and explosive weapons (CBRNE) detection, response, and decontamination capabilities; and • Medical surge and mass prophylaxis (i.e., disease prevention) capabilities. While strengthening medical surge and mass prophylaxis capabilities may appear to be beyond the scope of state transportation agencies, it is important to note that each of the other NPG priorities are directly applicable and imperative to improving transportation agency emergency preparedness capabilities. The previous discussion of emergency planning noted the importance of develop- ing an EOP that is both workable and that meets all partners’ expectations. This is best accom- plished through information sharing and collaboration among a broad range of stakeholders and emergency management experts (i.e., the state transportation agency’s emergency planning team). While the planning phase is designed to bring stakeholders together to create a collabo- rative planning team and an effective EOP, the preparedness phase of emergency management works to ensure the EOP can meet its objectives. As to medical surge and mass prophylaxis, it is not unusual for state transportation agencies to be involved in transportation and distribution plans for national stockpiles and personnel to administer them. During the preparedness phase, the EOP guides and directs the development of supporting hazard- and threat-specific plans and procedures and serves to remind the state transportation agency planning team of the ultimate goals and objectives of the agency’s emergency response activities. In this manner, the EOP continues to evolve, intrinsically linking planning and pre- paredness together through its implementation. HSPD-8 defines national preparedness as “the existence of plans, procedures, policies, train- ing, and equipment necessary at the Federal, State, [territorial,] and local level to maximize the ability to prevent, respond to, and recover from major events.” At the state transportation agency level, preparedness is more simply described as the tasks and activities necessary to build, sus- tain, and improve the agency’s operational capability to prevent, protect against, respond to, and recover from the hazards and threats that it may face. Based on this description, it is clear that emergency preparedness cannot end with the development and implementation of the state or transportation agency EOP, rather, it must instead include development, implementation, and testing of other support plans and procedures that define the specific tasks to be completed dur- ing emergency response activities. In doing so, the preparedness phase of emergency manage- ment seeks to answer three fundamental questions: 1. How prepared do we need to be? 2. How prepared are we? 3. How do we prioritize efforts to close the gap? Answering these questions requires the state transportation agency to take an all-hazards approach to identifying the hazards and threats it may face and to develop tangible actions that can be taken to respond to these hazards and threats—the NIMS and the NRF approach to emer- gency management. It is also important to note that answering these questions requires the agency to evaluate and manage risks. This inherently involves development and application of Vision of the National Preparedness Goal: To engage Federal, State, [terri- torial,] local, and tribal entities, their private and nongovernmental part- ners, and the general public to achieve and sustain risk-based tar- get levels of capability to prevent, protect against, respond to, and recover from major events in order to minimize the impact on lives, property, and the economy.

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 46 A Guide to Emergency Response Planning at State Transportation Agencies

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. Explain relationships with other agreements among jurisdictions. • Address workers’ compensation and treatment of liability and immunity. • Provide for recognition of qualifications and certifications. • 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; Source: FHWA, 2008 Figure 8. Overlapping interests.

• 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 48 A Guide to Emergency Response Planning at State Transportation Agencies

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. Develop an Emergency Preparedness Program 49

• 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. 50 A Guide to Emergency Response Planning at State Transportation Agencies

Develop an Emergency Preparedness Program 51 Step Checklist To evaluate the state transportation agency’s processes for implementing its roles and respon- sibilities during emergencies, an agency should consider whether it has • Developed EMACs and/or MOU/As with other state, regional, and local agencies regarding the transportation-related elements specified in the State and transportation agency EOPs to 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’s and agency’s EOPs. • Developed an approach to providing transportation agency critical services during emergen- cies to support COOP and COG plans that define activities that must be performed if an emer- gency event affects access to essential operations and maintenance facilities, vehicle fleets, systems (e.g., communications, CCTV, DMS, signals), specialized technical personnel, and senior management. • Established protocols for heightened HSAS threat levels to address DHS/TSA and FHWA/FTA recommendations for responding to elevated HSAS threat levels. • Developed and formalized an approach to evacuation management that includes plans, alterna- tive routes, policies, and procedures for evacuations—including contraflow plans if applicable— for both with and without notice emergencies. • Developed a coordinated program of training, drills, and exercises to ensure that transporta- tion agency personnel are trained in how to properly respond to different types of emergen- cies and to ensure all other emergency response and recovery participants recognize the agency’s roles and responsibilities in these efforts. • Developed and distributed checklists, job aids, and the like to assist responders in performing their response and recovery duties. • Conducted regular tabletop exercises and ensured they include discussion of transportation issues. • Participated in tabletop and field drills and exercises conducted by other emergency response agencies and organizations and ensured the state transportation agency asserts its roles and responsibilities and offers its full range of assets during these exercises. • Ensured appropriate agency personnel have received NIMS-ICS-UC training. Step 2—Establish Communication Protocols and Mechanisms for Public Outreach The concept of communications interoperability requires states to ensure that all emergency response participants, including the general public, can be notified of imminent hazards or threats, and the actions to be taken to prepare for, protect against, respond to, and recover from such events. To accomplish this task, the state transportation agency should work through its emergency planning team to establish communication systems that are consistent across the state and region. Such systems should include 24/7 event notification calling trees, shared radio chan- nels to foster information flow during response and recovery efforts, back-up communication systems to mitigate single-point failures of the primary systems, and shared data management systems and/or programs. It is important to note that some TMC software systems have notifi- cation subsystems that could be used for this purpose. There are also commercial applications available that provide such capabilities. As stated in the Simplified Guide to the Incident Command System for Transportation Profes- sionals (FHWA, 2006a), effective communication is based on two broad principles: 1. Common Operating Picture to achieve a broad view of the overall situation in order for Inci- dent Command and ICS staff at all levels and jurisdictions to make effective, consistent, and timely decisions.

52 A Guide to Emergency Response Planning at State Transportation Agencies 2. Common Communications and Data Standards to ensure voice and data communica- tions flow efficiently through a commonly accepted architecture using clear text and ICS terminology. With these principles in mind, this portion of the preparation process involves the following two key phases. PREPARE Phase 05: Establish Internal State Transportation Agency Communications Protocols Purpose. Ensure that calling trees and notification systems, including 24/7 event notification protocols, are established to notify state transportation employees regarding emergencies, to com- municate with them during emergencies, and to distribute emergency materials in advance of events. Actions. Evaluate use of radio channels, frequencies, trunked radio systems, and use of cellular phones during events likely to result in emergencies requiring activation of the State and/or Regional EOC(s). Establish predetermined frequency assignments, lists of agency channel access, and interagency communication protocols. Supporting actions may include the following: • Determine how agencies and specific traffic management team personnel will communicate with each other in the field and on which channels. • Coordinate and support emergency incident and event management through development and use of integrated multiagency coordination systems. • Develop and maintain connectivity capability between local Incident Command Posts, local 9-1-1 centers, local EOCs, the SEOC, and regional and federal EOCs, FCs, and NRF organi- zational elements. • Develop systems, tools, and processes to present consistent and accurate information to inci- dent managers at all levels. • Specify agency and interagency contact information. • Establish calling trees and notification systems, including 24/7 event notification protocols. • Prepare an employee communication strategy, including emergency communication systems and materials for distribution in advance of events. Incident response communications (dur- ing exercises and actual incidents) should feature plain language commands so transportation employees will be able to function in a multi-jurisdiction environment. Revise field manuals and training to reflect the plain language standard. • Identify single points of contacts, with back-ups, in all jurisdictions and agencies for commu- nications, including the protocols for which to contact under what conditions. • Define when evacuation personnel are to be notified of a possible evacuation/shelter-in- place/quarantine order prior to its execution. • Identify contingency plans for use if normal means of communication fail or are unavailable. Include provisions for keeping the public informed of the estimated travel times to safe havens under current and forecast conditions. • Identify who needs to be informed to begin opening shelters. • Identify specific contingency plans to be used if conditions change during the course of the evacuation. • Institutionalize, within the framework of the ICS, the Public Information System, comprising the Joint Information System (JIS) and a Joint Information Center (JIC). The Public Infor- mation System will ensure an organized, integrated, and coordinated mechanism to perform critical emergency information, crisis communications, and public affairs functions that are timely, accurate, and consistent. This includes training for designated participants from the

governor’s office and key state agencies. The state transportation agency’s Public Information Office (PIO) will generally represent the agency in the JIC and should not issue separate pub- lic announcements. • Standardize incident reporting and documentation procedures to enhance situational awareness and provide emergency management/response personnel with access to critical information. Focus. The planning team represents the key agencies and organizations with which the state transportation agency will need to communicate during emergency response and recovery activities. Given the diverse nature of the planning team, it is likely that many of these agencies and organizations will be using different types of communications and information technology equipment, programs, and systems. While identifying these differences is a key step in the plan- ning process, developing and implementing ways to effectively mitigate these differences to ensure interoperability of communications during emergency response and recovery activities is a key—and often very difficult—step in the preparedness process. National Incident Management System Compliance Issues. To achieve NIMS compliance, • Apply common and consistent terminology as used in NIMS, including the establishment of plain language (clear text) communications standards. • Use systems, tools, and processes to present consistent and accurate information (e.g., com- mon operating picture) during an incident/planned event. • Institutionalize public information (e.g., JIS and a JIC) within the framework of the ICS dur- ing an incident/planned event. • Ensure that public information procedures and processes can gather, verify, coordinate, and disseminate information during an incident/planned event. • Develop procedures and protocols for communications (to include voice, data, access to geospatial information, Internet/Web use, and data encryption), where applicable, to use or share information during an incident/planned event • Institute procedures and protocols for operational and information security during an incident/ planned event. Supporting Resources. • Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.htm • NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emergency Trans- portation Operations, search for title at www.TRB.org/SecurityPubs • NCHRP Report 525: Surface Transportation Security, Volume 9: Guidelines for Transportation Emergency Training Exercises, search for title at www.TRB.org/SecurityPubs PREPARE Phase 06: Develop Media Interface and Public Notification Systems Purpose. Ensure that the state transportation agency has the capability to provide traveler and evacuation information quickly and accurately to media outlets and the public, generally through the JIC during major incidents. Actions. Develop Media Interface Guidelines to ensure traveler information is provided quickly and accurately to media outlets and the public. Ensure these guidelines include appro- priate instructions to discourage unnecessary or unnecessarily lengthy evacuation/shelter- in-place/quarantine situations. Supporting actions—and these are generally not the state Develop an Emergency Preparedness Program 53

54 A Guide to Emergency Response Planning at State Transportation Agencies transportation agency’s PIO during major incidents, but rather are though the JIC created by the state/local EOP—may include the following:16 • Designate (preferably) a single spokesperson to provide information to the media and the public. • Identify communication tools to be used to ensure the community receives information regarding the steps to be taken to prepare for evacuation, the evacuation zone, the routes of evacuation, and location of nearby shelters. • Develop agreements with traffic reporting services. • Provide protocols and guidance to these services for involving them in informing the public. • Establish Broadcast Radio Agreements to ensure that information is provided in a preestab- lished format within specific timeframes. • Develop pre-scripted public service announcements and messages and inform the media on their use. • Establish Cable Television Cooperative Agreements to provide information to targeted pop- ulations (e.g., local government channels). • Establish a process for using Highway Advisory Radio (HAR) AM stations to provide traveler information in the immediate vicinity of the transmitter. • Establish a process for using mass faxing capability or email to send road clo- sure information to trucking associations, truck stops, inspection and weigh stations, media outlets, and others. • Establish processes for using Advanced Traveler Information Systems (ATIS), including Internet, kiosk facilities, 5-1-1, and other publicized public infor- mation services to inform the public of travel conditions. • Establish a process for using Dynamic Message Signs (DMSs) to provide timely, accurate information in advance of, and at the scene of an incident. • Identify foreign language speakers and outlets to communicate with citi- zens and visitors who may not understand English. • Establish times for public officials to provide updates and inform the pub- lic of when they can expect such updates. • Ensure the state/territorial Public Information System can gather, verify, coordinate, and dissem- inate information during an incident. Accomplish this through exercises and drills of the system. • Use existing Public Information System and/or other communication systems for effective practices and technical aids. Focus. As has been stated, the general public must be included in the communication of emergency preparedness, response, and recovery efforts, particularly evacuation/shelter-in- place/quarantine orders. In this latter case, the information provided must be clear as to the need for evacuation/shelter-in-place/quarantine, if appropriate. This is most often performed through media interfaces and notification systems that provide emergency information quickly and accu- rately through television, radio, Internet, emergency call numbers, DMSs, other ATIS subsys- tems, and media outlets. It is important to note that the state transportation agency is likely to be carrying out these communication activities while providing support to the Public Informa- tion System within the framework of NIMS. As appropriate, the agency should define its public communication protocols in a separate plan or procedure that is maintained as an appendix or annex to its EOP. These plans should also address how emergency information will be commu- nicated to freight haulers and other travelers and tourists in the region. 16Those resources for public outreach controlled by the state transportation agency, such as TMCs, DMSs, etc., would be activated by the agency, but they should be closely coordinated with the JIC, as appropriate. During the disastrous Hurricane Rita exodus ‘part of the problem was that for every five people who evacuated, four of them probably didn’t need to,’ TranStar spokes- woman Dinah Martinez said at a . . . town hall meeting . . . Burke, 2008

Develop an Emergency Preparedness Program 55 National Incident Management System Compliance Issues. To achieve NIMS compliance, • Apply common and consistent terminology as used in NIMS, including establishment of plain language (clear text) communications standards. • Use systems, tools, and processes to present consistent and accurate information (e.g., com- mon operating picture) during an incident/planned event. • Institutionalize public information (e.g., JIS and a JIC) within the ICS framework during an incident/planned event. • Ensure that public information procedures and processes can gather, verify, coordinate, and disseminate information during an incident/planned event. • Develop procedures and protocols for communications (to include voice, data, access to geospatial information, Internet/Web use, and data encryption), where applicable, to use or share information during an incident/planned event • Institute procedures and protocols for operational and information security during an incident/ planned event. Supporting Resources. • Communicating With the Public Using ATIS During Disasters: A Guide for Practitioners, http://www.ops.fhwa.dot.gov/publications/atis/index.htm Step Observations To support state transportation agencies in completing this task, in April 2007, FHWA released Communicating with the Public Using ATIS during Disasters, A Guide for Practitioners (FHWA, 2007). This document is an excellent resource for transportation agencies for determin- ing how to best use ATIS during emergency events and disasters to communicate with the pub- lic. It offers guidance to transportation, emergency operations, and public information managers who may be called to support emergency preparation, response, and recovery efforts. To assist state and other governments and the overall emergency management community in addressing this matter, DHS created Safe Communication (SAFECOM)—a communications program that provides research, development, testing and evaluation; guidance, tools; and tem- plates on interoperable communications-related issues.17 As a primary initiative, SAFECOM has developed the Statewide Communications Interoperability Planning (SCIP) Methodology. As the title implies, this document provides a methodology for state, regional, and local governments to create a SCIP that establishes the “vision for communications interoperability and aligns emergency response agencies with that vision, and the goals, objectives, and initiatives for achiev- ing that vision across the state” (DHS, 2007b). SAFECOM has also developed the Interoperability Continuum, presented in Figure 9, to help the emergency response community “plan and implement interoperability solutions.” The Con- tinuum addresses five interdependent factors involved in developing a successful interoperabil- ity solution—governance, SOPs, technology, training and exercises, and use of interoperable communications. Progress across each of these factors should be made jointly. This resource is mentioned here because many states are at different stages of development in improving their statewide emergency response communications interoperability. DHS reports that a 2006 survey18 of response agencies across the nation revealed that about two-thirds have interoperable communications, which is a great improvement over that of pre-9/11; however, transportation agencies were not included in the survey, and, more significantly, are not believed to be routinely included in these networks. It is therefore important for state transportation 17Visit http://www.safecomprogram.gov/SAFECOM/. 18Visit http://www.dhs.gov/xnews/releases/pr_1165603330445.shtm.

56 A Guide to Emergency Response Planning at State Transportation Agencies agencies to determine if their states have established a SCIP, and if so, to comply with the require- ments of the plan. If the agency determines that the state has not yet developed a SCIP, it is rec- ommended that this resource be used during its development process. State transportation agencies should also ensure that their communication protocols include receiving intelligence and threat information from federal agencies and other state, regional, and local agencies. The state and regional Fusion Centers (see Appendix F) would be a key point of contact for this. Step Checklist To evaluate the state transportation agency’s processes for establishing communication pro- tocols and mechanisms for public outreach, the agency should consider whether it • Has established communication protocols to ensure that calling trees and notification systems, including 24/7 event notification protocols, exist to notify transportation agency employees regarding emergencies, to communicate with them during emergencies, and to distribute emergency materials in advance of events. • Has developed media interface and notification systems to ensure the state transportation agency has the capability to provide traveler and evacuation information quickly and accu- rately to media outlets and the public. • Knows and routinely works with emergency response and first responder decisionmakers, trans- portation professionals in adjacent jurisdictions, and transportation professionals in other modes. • Has participated in discussions pertaining to interoperable communications issues, and the agency is included in the distribution of intelligence and threat information. Source: DHS, 2007b Figure 9. SAFECOM interoperability continuum.

• Has ensured that computer-aided dispatch (CAD) systems generally used by emergency response agencies and either CAD or TMC operations software systems used by transporta- tion agencies are capable of working together and sharing/overlaying data. • Has developed mechanisms to be able to communicate with other responders at the scene, including the use of designated radio channels, intercom, phone systems, or other means. • Has developed communications protocols for distributing information to the public (includ- ing freight haulers and tourists) preceding and following an emergency event. • Has designed ITS subsystems for redundancy and to reduce single points of failure. Step 3—Emergency Evacuation/Shelter-in-Place/Quarantine Plans and Traffic Control and Management Protocols and Procedures FHWA’s primer, Using Highways During Evacuation Operations for Events with Advance Notice, states that “. . . the most important activity to ensure successful evacuations is develop- ment of an evacuation plan that complements a jurisdiction’s emergency response plans” (FHWA, 2006c). With this in mind, this portion of the preparation process involves the follow- ing four phases. PREPARE Phase 07: Establish Applicable State Transportation Agency Response Management Teams Purpose. Establish traffic management teams to manage and direct traffic on highways, at critical intersections lacking active signalization, and contraflow operations, as needed. Actions. Establish traffic management teams to manage and direct traffic on highways, at critical intersections lacking active signalization, and contraflow operations, as needed. Focus. Deployment of traffic management teams during emergency evacuations/shelter-in- place/quarantine situations to assist in managing and directing traffic on highways, at critical intersections lacking active signalization, and during contraflow operations can improve the effi- ciency of evacuation/shelter-in-place/quarantine efforts. If the state transportation agency chooses to develop such teams, then it should also develop plans and procedures detailing when and how the teams will be deployed, how to maintain communications with the traffic manage- ment teams, and when and how to withdraw traffic management teams from the affected area to ensure their safety. Supporting Resources. • NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emergency Trans- portation Operations, search for title at www.TRB.org/SecurityPubs • Final Report for the Application of Technology to Transportation Operations in Biohazard Situ- ations, http://www.its.dot.gov/eto/docs/transops_biohazard/executive.htm • 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 PREPARE Phase 08: Prepare Traffic Management Performance Measures Purpose. Perform traffic flow analyses to support emergency evacuation/shelter-in-place/ quarantine and response planning. Actions. Perform traffic flow analyses, evaluating speed, vehicle occupancy, traveler behavior, contraflow, etc., and include in evacuation/shelter-in-place/quarantine route adjustments. Sup- porting actions may include the following steps: • Analyze traffic flow of evacuation/shelter-in-place/quarantine routes focusing on all freeways and major arterial roadways serving the route. Focus on egress and ingress operations sepa- Develop an Emergency Preparedness Program 57

58 A Guide to Emergency Response Planning at State Transportation Agencies rately. Avoid left-turn movements across traffic flow. Divert traffic flow from critical locations (e.g., Points of Dispensing sites in support of the strategic National Stockpile) and bottlenecks that could cause congestion. • Develop multiple local flow (feeder) routes connected to the main evacuation/shelter-in- place/quarantine routes, as necessary to achieve optimum efficiency. • Test contraflow operations, including full set up and breakdown of traffic controls, safety equipment, and materials. • Identify the distances those evacuated/sheltered-in-place/quarantined must travel to reach a point of safety for each of the hazards identified. • Identify user groups potentially affecting egress and ingress operations (e.g., regional through traffic, truckers, other interstate travelers). • Review applicable passive (e.g., traveler information dissemination only) and aggressive (e.g., physical traffic control) operations strategies. • Develop freeway interchange operations tactics to maximize ramp capacity and prevent evac- uation route mainline congestion. • Increase intersection traffic handling capacity by simplifying traffic movements and minimiz- ing the number of traffic signal phases. • Analyze potential bottlenecks, barriers, scheduled work zones, and other potential problems in advance to determine an evacuation/shelter-in-place/quarantine route. • Plan for shutting down highway work zones, nonessential commercial vehicle traffic restric- tions (including oversized loads), hazardous materials, etc. • Implement processes to suspend toll collections on public and private toll roads. • Adjust or remove ramp metering as necessary. • Adjust traffic signal timing as necessary. Use FHWA’s Arterial Management Program19 for arterial management, traffic signal timing, and access management. Use highway contractors to secure highway construction work zones. • Control traffic and respond to traffic incidents through joint efforts among transportation, law enforcement, and emergency medical personnel. • Review/modify/suspend timing of drawbridge openings and lock downs. Focus. Regional evacuation/shelter-in-place/quarantine events are supported by effective traf- fic signal timing plans and through real-time monitoring of evacuation routes. State transportation agencies should develop procedures for monitoring evacuation/shelter-in-place/quarantine routes and coordinating traffic signals and timing to facilitate the effective flow of individuals to and from the region—done through the support of the Traffic Management Center. Supporting Resources. • 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 PREPARE Phase 09: Develop Traffic Management Plans and Protocols to be Used During Evacuation/Shelter-in-Place/Quarantine and to Respond to Emergency Events Purpose. Ensure the state transportation agency has plans and procedures in place for managing traffic during emergencies requiring activation of the State EOC (e.g., predesignated traffic control points (TCPs) for intersections along the transportation corridor, alternative 19Visit http://ops.fhwa.dot.gov/arterial_mgmt/.

emergency response access routes, emergency turnarounds, protocols for communicating and coordinating with construction crews to support traffic control, equipment storage sites for pre- staging anticipated equipment, travel-on-shoulder guidelines, closure and alternate route guide- lines, rapid vehicle and debris removal guidelines, contraflow plans). This phase currently addresses roadway aspects. Additional guidance that addresses all modes of transportation under state control or influence is under development through NCHRP Proj- ect 20-59(32), “A Transportation Guide for All-Hazards Emergency Evacuation.” Related work is under development through TCRP Project A-33, “Communication with Vulnerable Popula- tions: A Transportation and Emergency Management Toolkit.” Actions. Develop predesignated TCPs for intersections along the transportation corridor. Supporting actions may include the following: • Coordinate the designation of these TCPs with state and local law enforcement. Develop alter- native emergency response access routes. • Identify emergency turnarounds, including median breaks/crossovers, to allow emergency response and highway operations personnel to turn around between interchanges. • Identify emergency access for transit operations, including locations for access to the transit rail lines for emergency response. • Develop protocols for communicating and coordinating with construction crews to support traffic control. • Identify equipment storage sites for pre-staging anticipated equipment. • Establish predetermined staging areas for each segment of the transportation corridor. • Develop travel-on-shoulder guidelines to ensure that highway shoulders are available for emergency use for response vehicles and general traffic, if necessary. • Establish closure and alternate route guidelines to guide implementation of closures and alter- nate routes using predetermined routes. • Establish rapid vehicle and debris removal guidelines to ensure a process for clearing roadways. • Establish landing zone guidelines and predetermined landing sites for MedEvac helicopters and traffic surveillance aircraft. • Develop traffic signal control plans to quickly implement alternative routes and close impacted lanes on the transportation corridor. • Identify traffic control techniques to provide clear guidance for incident traffic control and allow safe and efficient deployment of closures, detours, and alternative routes. • Identify corridors equipped with traffic signal preemption for use by emergency vehicles. Focus. Evacuation/shelter-in-place/quarantine events begin at the local level on small road- ways and neighborhood streets and progress to the state’s major arterials and interstates. As a result, while it may not be possible to finalize the specific evacuation/shelter-in-place/quarantine routes until the geographic scope and nature of the emergency event is known, emergency plan- ners must remain cognizant of the fact that the design capacity of these thoroughfares may be exceeded during large-scale evacuation/shelter-in-place/quarantine of the region. Planners should identify primary and alternate evacuation/shelter-in-place/quarantine routes that have a high probability of use considering their ease of restoration, functional service, and strategic location. Identify these routes in the state’s Emergency Evacuation Plan, recognizing that their use may change once the scope and nature of the emergency event is known or as the evacuation/shelter-in-place/quarantine progresses. The traffic control and management portion of the Emergency Evacuation Plan (and shelter-in-place/quarantine plans) should address how these changes and other real-time adjustments to defined evacuation routes will be made to ensure the evacuation/shelter-in-place/quarantine continues unimpeded. This includes how the state transportation agency will coordinate changing evacuation/shelter-in-place/quarantine route needs with local, regional, territorial, and tribal agencies. Develop an Emergency Preparedness Program 59

60 A Guide to Emergency Response Planning at State Transportation Agencies Supporting Resources. • Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.htm • I-95 Corridor Coalition, Projects & Reports: Coalition Publications, http://www.i95coalition. org/i95/Library/tabid/84/Default.aspx • Work Zone Safety and Mobility Rule, http://www.ops.fhwa.dot.gov/wz/resources/final_rule.htm • Research and Innovative Technology Administration (RITA) Emergency Management Systems, http://www.its.dot.gov/evaluation/docs_ems.htm • NCHRP Report 525: Surface Transportation Security, Volume 9: Guidelines for Transportation Emergency Training Exercises, search for title at www.TRB.org/SecurityPubs • Simplified Guide to the Incident Command System for Transportation Professionals, http:// www.ops.fhwa.dot.gov/publications/ics_guide/index.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 10: Coordinate with Neighboring Jurisdictions Purpose. Coordinate traffic management plans with neighboring jurisdictions that may be affected by evacuation and response operations. Actions. Coordinate plans with neighboring jurisdictions that may be affected by evacuation/ shelter-in-place/quarantine and response operations. Share plans with higher government levels, as requests for additional resources may be necessary. Coordinate state plans with neighboring states, as evacuees may travel to another state to seek shelter or mutual aid may be requested from another state. States should look into creating interstate compacts that encompass all local juris- dictions.20 Use the capabilities of regional organizations, such as the I-95 Corridor Coalition, to assist in such coordination. Focus. The state transportation agency should also work with its neighboring jurisdictions to develop access management and corridor management programs to improve traffic flow and alleviate congestion issues that may occur during the evacuation/shelter-in-place/quarantine. Emergency Evacuation Plans (shelter-in-place/quarantine plans), or separate supporting traffic control and management plans and procedures, should describe or be developed as separate sup- porting traffic control and management plans and procedures, including predesignated TCPs along the evacuation/shelter-in-place/quarantine corridor, alternate access routes for emergency responder access, emergency turnarounds, protocols for communicating and coordinating with construction crews to support traffic control, equipment storage sites for pre-staging anticipated equipment, travel-on-shoulder guidelines, closure and alternate route guidelines, and rapid vehicle and debris removal guidelines. National Incident Management System Compliance Issues. Coordinate and support emer- gency management and incident response objectives through development and use of the inte- grated Multiagency Coordination System (MACS) (i.e., develop/maintain connectivity capability between local Incident Command Posts [ICPs], local 9-1-1 Centers, and EOCs, as well as NRF organizational elements) (FEMA-MACS, 2009). Supporting Resources. • Using Highways During Evacuation Operations for Events with Advance Notice Routes: Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.htm 20This is possible through EMAC.

• 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 Step Observations The state transportation agency’s EOP should support and be coordinated with the state’s Emergency Evacuation Plan (or shelter-in-place/quarantine plans). Because the state’s highway infrastructure will likely be the primary means of evacuation/shelter-in-place/quarantine, the state’s Emergency Evacuation Plan (and shelter-in-place/quarantine plans) should define the specific details and activities the state will take through its transportation agency to manage and control traffic flow during emergency evacuation/shelter-in-place/quarantine, response, and recovery efforts. The agency should verify that the traffic control and management portion of the state’s Emergency Evacuation Plan (and shelter-in-place/quarantine plans) identifies the placement locations of DMSs, CCTV cameras, barricades, warning lights, portable signs, and HAR, including planned messages. Traffic control and management protocols should also consider potential bottlenecks or prob- lems that could occur along the primary and alternate evacuation/shelter-in-place/quarantine routes, and the Emergency Evacuation Plan (and shelter-in-place/quarantine plans) should reflect how these problems will be resolved if they occur. The plan should also define when and how contraflow operations will be implemented and any alternate signal timing plans that can be used to control traffic flow. If possible, develop separate traffic management plans for prede- fined incident severity levels and locations. The FHWA’s Simplified Guide to the Incident Command System for Transportation Profession- als discusses the usefulness of developing an Operations Manual or unified response manual that focuses on ICS implementation and specifies the concept of operations, agency capabilities, and procedures necessary for initiating and maintaining a coordinated response (FHWA, 2006a). The development of such a manual can greatly benefit emergency preparedness and response capa- bilities, especially if state transportation personnel are unfamiliar with the ICS structure. For state transportation agencies, the operations manual should discuss specific ICS implementation issues, such as the Unified Command structure and command methods, participating agencies, and resources. The manual would also include specific traffic management plans and procedures for predefined incident severity levels and locations, including each of the traffic control and management considerations previously discussed in this section. As with the state transporta- tion agency’s EOP, the agency’s Operations Manual should be developed through the Emergency Planning Team. Periodically update all plans and procedures according to a set schedule, implemented, and tested in the form of a drill or exercise at least once a year. There should also be an after-action review associated with all drills, exercises, and particularly after actual events to incorporate les- sons learned to all plans and procedures from the event. As long as the National Incident Man- agement System is a somewhat new concept, a standing exercise goal or After-Action Report (AAR) item of consideration should be NIMS compatibility and successful implementation of its principles and terminology. Operational procedures should contain a variety of job aids and orientation materials to ensure that support personnel have the tools they need to complete their assigned tasks. This is also useful when support personnel arrive from other departments and agencies to augment state staffing. Step Checklist To evaluate the state transportation agency’s traffic control and management plans and pro- cedures, the agency should consider whether it has Develop an Emergency Preparedness Program 61

• Established applicable response and management teams to manage and direct traffic on highways at critical intersections lacking active signalization, and contraflow operations, as needed. • Prepared traffic management performance measures to perform traffic flow analysis in support of emergency evacuation and response planning. • Developed traffic management plans and protocols to be used during evacuation/shelter- in-place/quarantine events requiring activation of the SEOC, including at least: – Traffic control points for intersections along the transportation corridor, – Alternative emergency response routes, – Emergency crossovers and turnarounds, – Protocols for communicating and coordinating with construction and maintenance crews to support traffic control, – Equipment storage sites for pre-staging, – Anticipated equipment, – Travel-on-shoulder guidelines, – Closure and alternate route guidelines, – Special access provisions, – Rapid vehicle and debris removal guidelines, – Contraflow plans, – Traffic management centers, – Surveillance and control subsystems, – Traveler information subsystems, and – Information service providers. • Coordinated traffic management plans with neighboring jurisdictions that may be affected by evacuation and response operations. • Established provisions for using transit and school system assets to support evacuations/ shelter-in-place/quarantine and emergency response and recovery efforts. • Coordinated the agency EOP and emergency transportation plan with state, regional, and local transportation agencies and organizations. • Coordinated the agency EOP and emergency transportation plan with emergency responders, and ensured it is part of the overall region emergency response plan. • Ensured the state Emergency Evacuation Plan (and shelter-in-place/quarantine plans) includes redundancy of routes and systems. • Prepare signal-timing plans for evacuation/shelter-in-place/quarantine and response scenarios. • Established procedures and policies to share camera control, signal control, use of officers/ troopers at intersections, websites, and DMS control. Step 4—Develop Mobilization Plans for State Transportation Agency Personnel and Resources Impending emergency events such as hurricanes and wildfires provide some advance notice to emergency responders. This advance notice provides additional time to stage personnel and equipment and fully mobilize response teams prior to the storm’s or fire’s impact. Unfortu- nately, many emergency events, such as a large-scale terrorist attack, earthquake, or hazardous materials release, occur without notice, and require emergency responders to react quickly and efficiently with minimal information to mobilize and deploy personnel and resources to the affected areas. In doing so, emergency responders must not only work to fulfill their response duties, but they must also strive to do so while keeping themselves and others safe. To ensure that emergency responders are capable of meeting these demands, it is critical that Mobilization Plans be developed and exercised for both notice and no-notice emergency events. Develop- ing Mobilization Plans for state transportation agency personnel and resources requires the completion of two phases. 62 A Guide to Emergency Response Planning at State Transportation Agencies

Develop an Emergency Preparedness Program 63 PREPARE Phase 11: Prepare to Mobilize Response Teams, Equipment, and Resources Purpose. Ensure readiness to mobilize transportation agency response teams, including acti- vation of all necessary personnel, testing of all communications equipment, fueling of all vehicles, pre-staging of supporting equipment (cones, barriers, signs, etc.), and implementing established field capabilities to coordinate with local, regional, state, and federal agencies through the NIMS/ Incident Command System. Actions. Test all primary and backup wire communications and radio frequencies expected to be used during the event, including remote communications, and evaluate contingencies. Ensure response vehicles are fueled and in proper working order. Supporting actions could include the following steps: • Place equipment and resources at predetermined locations, including portable changeable message signs, food and water, gasoline tankers, mechanics crews, port-a-potties, and other items that may be staged along the predesignated routes. • Bring all EOCs to fully functional status. • Activate mobilization plans for emergency personnel. • Activate reception plans, sites, and support capabilities with public and/or volunteer organizations. • Establish field capabilities through the ICS. • Use inter-jurisdictional and interagency information flow and coordination. • Notify all response personnel of evacuation/shelter-in-place/quarantine orders according to established calling trees and communication protocols. Response personnel should report to staging areas and await order to begin response and evacuation efforts. • Ensure all responsible agencies understand joint priorities and restrictions. • Prior to activation, afford staff an opportunity to ensure the safety of their loved ones and per- sonal property. • Manage timely communication of instructions to prepare people in advance of the order to evacuate, shelter-in-place, or quarantine. • Ensure sufficient resources are available to protect responders and those evacuated/sheltered- in-place/quarantined. Assemble, transport, and install cones, barriers, barricades, etc. Supporting Resources. • Using Highways During Evacuation Operations for Events with Advance Notice Routes: Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.htm • I-95 Corridor Coalition, Projects & Reports: Coalition Publications, http://www.i95coalition. org/i95/Library/tabid/84/Default.aspx • Work Zone Safety and Mobility Rule, http://www.ops.fhwa.dot.gov/wz/resources/final_ rule.htm • Research and Innovative Technology Administration (RITA) Emergency Management Sys- tems, http://www.its.dot.gov/evaluation/docs_ems.htm • NCHRP Report 525: Surface Transportation Security, Volume 9: Guidelines for Transportation Emergency Training Exercises, search for title at www.TRB.org/SecurityPubs • Simplified Guide to the Incident Command System for Transportation Professionals, http:// www.ops.fhwa.dot.gov/publications/ics_guide/index.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 12: Administer Training Programs Purpose. Establish employee and contractor training and exercise programs, participate in joint multi-agency training and exercises, and identify and provide additional training or sup- port response and evacuation activities.

64 A Guide to Emergency Response Planning at State Transportation Agencies Actions. Develop interagency training programs to provide a common understanding of the transportation ICS and program guidelines. Establish professional qualifications, certifications, and/or performance standards for individuals and teams, whether paid or volunteer. Ensure that content and methods of training comply with applicable standards and produce required skills and measurable proficiency. Supporting actions may include the following: • Incorporate NIMS/ICS into all state/territorial and regional training and exercises. • Establish employee and contractor training and exercise programs. • Participate in joint multi-agency training and exercises; this should include an all-hazards exercise program based on NIMS that involves responders from multiple disciplines and mul- tiple jurisdictions. • Identify what additional training resources may be needed in the community to support response and evacuation/shelter-in-place/quarantine activities. • Identify through exercises and simulations the estimated time needed to complete an evacu- ation/shelter-in-place/quarantine for each of the catastrophic hazards identified and provide this information to highway, public safety, and transit agencies for coordination purposes. • Identify through training exercises the time it takes to have field personnel and equipment in place to support the evacuation/shelter-in-place/quarantine. • Conduct post-exercise debriefings to determine lessons learned during the exercise. • Incorporate results of training exercises, including corrective actions, into preparedness response plans and procedures. • Leverage training facilities to coordinate and deliver NIMS training requirements in confor- mance with the NIMS National Standard Curriculum. • Ensure that all personnel with a direct role in emergency preparedness and incident manage- ment or response complete the designated FEMA training. Focus. Improve response capabilities and coordination between emergency responders. National Incident Management System Compliance Issues. To achieve NIMS compliance, • Use existing resources such as programs and training facilities to coordinate and deliver NIMS training requirements to personnel (as appropriate to equivalent training courses). • Complete ICS-400 Advanced ICS training or equivalent.21 • Complete IS-700 NIMS: An Introduction or equivalent. • Complete IS-800 NRF: An Introduction or equivalent. • Complete ICS-100 Introduction to ICS training or equivalent. • Complete ICS-200 ICS for Single Resources and Initial Action Incidents training or equivalent. • Complete ICS-300 Intermediate ICS training or equivalent. • Complete Emergency Management Framework Course—Awareness Training.22 • Incorporate NIMS concepts and principles into all appropriate state, territorial, and tribal training and exercises. • Initiate development of a state-/territory-wide system to credential emergency management/ response personnel to ensure proper authorization and access to an incident, including those involving mutual-aid agreements and/or assistance agreements. Supporting Resources. • Emergency Management Institute (EMI) Courses & Schedules, http://training.fema.gov/ EMICourses/ • NCHRP Report 525: Surface Transportation Security, Volume 9: Guidelines for Transportation Emergency Training Exercises, search for title at www.TRB.org/SecurityPubs 21All referenced ICS/IS training refers to the Five-Year NIMS Training Plan, February 2008, available at http://www.fema.gov/emergency/nims/nims_training.shtm#1. 22Ibid.

• NCHRP Report 525: Surface Transportation Security, Volume 7: System Security Awareness for Transportation Employees, search for title at www.TRB.org/SecurityPubs • National Transit Institute (NTI) Courses, Workplace Safety and Security, http://www.ntionline. com/topic.asp?TopicArea=5 Step Observations Resource management is a key component of any Mobilization Plan. Successful resource management coordinates and manages the deployment of emergency response tools, equipment, personnel, supplies, and facilities in a manner that optimizes their use. This means supplying incident managers and emergency responders with the resources they need, when and where they are needed, without delay. The first step in this process is to define the specific resources needed to respond appropriately to the event. The state transportation agency’s Mobilization Plan should recognize that each emergency is different and therefore will likely require different resources to control. For example, supporting the evacuation or shelter-in-place of a region as a result of an approaching hurricane will require different resources than responding to a large- scale hazardous chemical release. In this example, the former may require mass evacuations of the region, while the latter may require citizens to shelter-in-place or quarantine. As described in FHWA’s Simplified Guide to the Incident Command System for Transportation Professionals, optimal resource management requires “systems for describing, inventorying, requesting, and tracking resources over the life cycle of an incident” (FHWA, 2006a). Because of the recognized differences between emergencies, the state transportation agency—using the all- hazards approach—should therefore identify, to the extent possible, the resources that are needed to respond to each type of emergency identified during the planning process. The agency’s Mobilization Plan should clearly state the location of these resources and how they can be obtained and/or transported to appropriate staging areas. The state transportation agency should also develop a resource inventory management system to be used for deploying and tracking resources during emergency response efforts. These processes help incident managers and personnel protect the safety of staff and the security of supplies and equipment, while enabling them to better direct the movement of personnel, equipment, and sup- plies to the areas of most need. Next, the state transportation agency’s Mobilization Plan should identify the staging areas and rallying points for agency response teams, personnel, and resources. Identify both primary and alternate locations, and the Mobilization Plan should clearly define how changes to these loca- tions will be communicated to transportation agency personnel and other emergency respon- ders during emergency response efforts. It is important to note that during no-notice events, the agency may need to issue real-time instructions to its personnel stating the location of rallying points and when personnel should arrive. Once all personnel arrive at the staging area, brief them on their assignments and the expected duration for which they will be needed. Mobilization Plans should also identify how transporta- tion agency personnel and resources will be transported (if necessary) from the staging areas and rallying points to the emergency scene. As emergency response efforts progress, the agency will need to communicate the estimated arrival times of its personnel and resources to the Incident Commander. Mobilization also requires that the state transportation agency ensures all personnel and resources are fully prepared and capable of meeting the response needs. This means verifying that all equipment and vehicles are fully fueled and operable, confirming emergency equipment is fully operational, and establishing processes and testing communication systems to ensure information can be shared with and received from the TMC, Incident Command, and other emergency responders. It also means verifying personnel have the appropriate training and qual- Develop an Emergency Preparedness Program 65

66 A Guide to Emergency Response Planning at State Transportation Agencies ifications to support response efforts; coordinating traffic signal systems across jurisdictions to support evacuation/shelter-in-place/quarantine efforts as needed; clearing all work zones along evacuation/shelter-in-place/quarantine routes; verifying that traveler information systems are oper- ational and prepared for use; ensuring evacuation/shelter-in-place/quarantine routes have appro- priate signage; and verifying that adequate food, water, and other support supplies are available for response personnel if it appears the response effort will last for an extended period of time. The state transportation agency’s Mobilization Plan should address each of these issues. Finally, the state transportation agency Mobilization Plan should address how the agency will maintain the security of its staging areas. This includes emergency and security provisions and procedures to ensure protection of TMCs, Traffic Control Centers (TCCs), EOCs, the person- nel staffing these facilities, and their functionality. As with all other plans and procedures dis- cussed in this 2010 Guide, it is also imperative that the agency train its personnel and exercise the plans through emergency drills and simulations. Step Checklist To evaluate the state transportation agency’s Mobilization Plans and procedures, the agency should consider whether it has • Prepared for mobilization of response teams, equipment, and resources to ensure readiness, including activation of all necessary personnel, testing of all emergency and communications equipment, fueling of all vehicles, pre-staging of supporting equipment (cones, barriers, signs, etc.), and implementing established field capabilities to coordinate with local, regional, terri- torial, tribal, state, and federal agencies through NIMS/ICS. • Administered training programs consistent with NIMS for employees and contractors, par- ticipated in joint multi-agency training and exercises, and identified and provided additional training to support response and evacuation activities. • Established processes to ensure information (i.e., data, voice, images) from TMCs is integrated and shared with emergency management centers and/or first responders. • Established necessary contracts and/or contracting provisions to provide for construction and major maintenance work under emergency conditions. • Ensured construction contracts on key alternate or evacuation routes, including provisions for rapid clearance of work zones in an emergency. • Confirmed that asset maintenance contracts include necessary preparation, response, and recovery operations by the contractor. • Coordinated traffic signal systems across jurisdictions on key evacuation and response/recov- ery routes. • Verified that traveler information systems are available and prepared for use to communicate emergency transportation information. • Verified that predetermined routes are appropriately signed and support traffic signal timing plans and information signing. • Made certain TMCs and TCCs include emergency and security provisions and procedures to ensure protection of the center, center personnel, and center functionality. • Exercised the transportation agency’s Mobilization Plan through emergency drills and simulations. • Developed state transportation agency after-action reports for these drills and simulations and modified the Mobilization Plan and other documents as necessary to ensure their accuracy and effectiveness. Step 5—Ensure Cost Tracking and Accountability Cost tracking and accountability are not only an important part of the Incident Command System structure, but in most cases, mutual-aid agreements and resource-sharing provisions and

programs such as EMAC also require that such costs be fully accounted for in order for the state transportation agency to be reimbursed. Ensuring cost tracking and accountability involves the final phase of the preparation process, as described below. PREPARE Phase 13: Prepare for Cost Accounting and Tracking of Expenditures Purpose. Ensure processes have been developed to track resources, making certain of appli- cable reimbursement and accountability for compliance with mutual-aid provisions. Actions. Costs should include all response, scene-management, debris-removal, and other incident-related costs. These costs should also include compensation claims for all forms of workers’ compensation, tort claims against responders, and daily wage reimbursement claims; procurement costs associated with vendor contracts and equipment purchases or rental; and equipment and infrastructure damage costs claims. It is important to stress conformance to FEMA/FHWA record-keeping requirements because this is the only substantial source for reim- bursement. Federal audits can and have resulted in reclaiming funds when exact adherence to their guidance is not achieved. Focus. Recoup monies expended during the response effort. Supporting Resources. • FEMA Resource Management (Mutual Aid), http://www.fema.gov/emergency/nims/FAQ.shtm# item2 Step Observations In the ICS structure, the Incident Commander or Unified Command post/center will likely establish accounting processes for monitoring costs, personnel hours, and reimbursement. This is done not only for reimbursement purposes, but also to evaluate the cost-effectiveness of emer- gency response activities. Through financial analysis of the cost data, emergency planners may find that greater funding is needed to improve certain response capabilities or equipment. Alter- natively, they may find ways to reduce emergency response costs. In either case, the state trans- portation agency should maintain its own cost-accounting policies and records to ensure it receives reimbursement in a timely manner. Step Checklist To evaluate the state transportation agency’s cost-tracking and accounting processes and pro- cedures, the agency should • Prepare for cost accounting and tracking of expenditures to ensure applicable reimbursement and accountability for compliance with EMAC and other mutual-aid provisions. • Ensure the agency’s cost accounting and tracking methods are consistent with the ICS struc- ture, capturing all cost data necessary for reimbursement. • Develop processes for performing cost analysis of emergency response efforts to determine if additional funding is necessary to improve response capabilities and/or to improve the cost- effectiveness of emergency response efforts. Respond to the Emergency Achieving NIMS compliance requires state transportation agencies to become familiar with and understand the NIMS/ICS and NRF structure and their roles and responsibilities in that structure. During the PLAN step, state transportation agencies seek to identify the possible haz- ards and risks to which their regions may be exposed; they work to form collaborative relation- ships with other emergency response agencies and personnel; they begin developing plans and Develop an Emergency Preparedness Program 67

procedures that will guide emergency response activities and minimize risks; and they begin to identify the resources needed to adequately respond to different types of emergencies. During the PREPARE step, state transportation agencies also develop and begin to implement supporting plans and procedures; they begin testing response capabilities through emergency drills and simulations; and they establish processes for managing resources and tracking costs. Regard- less of the amount of planning and preparation that takes place, however, actual emergency response activities are the truest test of the state transportation agency’s readiness and ability to respond to an emergency, as it places each of the preceding plans, procedures, and supporting activ- ities into action. To pass this test and to be successful in the emergency response effort, state transportation agencies must not only fulfill their roles and responsibilities within the National Incident Management System/Incident Command System structure, but they must also do so safely. Indeed, successful emergency response emphasizes safety at all levels. Thus, the goal of emer- gency response is not only to protect the affected region and its citizens from harm, but also to do so without injury or loss of life to emergency response personnel. All too often, the serv- ices that emergency responders provide are taken for granted as response activities focus on saving the lives of those affected by the emergency event. And, all too often the risks that emergency responders face, placing themselves in harm’s way, to perform their duties and maintain public safety, are neglected. It is the responsibility of every emergency response participant—from responders to managers and executives—to remain cognizant of these risks and to perform their duties in a manner that maximizes the safety of response person- nel throughout all response activities. The NIMS/ICS structure is designed to provide a systematic, shared tool with which to com- mand, control, and coordinate emergency response activities that are consistent across all response agencies. It is therefore the most useful and effective means of minimizing response risks and of maintaining safety during all emergency response activities, at all levels of the emer- gency response effort. It is recognized that the size and location of the emergency event will greatly affect the number and types of agencies involved in the response effort. A crash involving an overturned tractor- trailer that blocks traffic on one of the state’s main interstates, for example, will obviously require different response actions than in response to a large-scale terrorist attack or the threat of an impending hurricane. It is also recognized that the state transportation agency’s role in the response effort will also vary greatly depending on the size and type of emergency event. Given these uncertainties, a generalized approach is taken within this section of the 2010 Guide to dis- cuss a state transportation agency’s emergency response roles and responsibilities. It has also been assumed that the agency will always fulfill a support role in the emergency response effort— not serving as the lead emergency response agency, but instead receiving direction from the state or some higher government authority. These assumptions are made for two reasons: (1) state transportation agencies already have a high degree of familiarity with small-scale emergency response activities such as those required by the tractor-trailer example cited above, and (2) these assumptions present the scenario most likely to be faced by a transportation agency. The following has been developed to provide state transportation agencies with the tools nec- essary to evaluate the effectiveness of their own emergency response processes against the stan- dards and metrics required by the National Incident Management System and to provide additional detail on how to best implement and work within the Incident Command System structure. Again, the following discussions are presented in a format that encourages the state transportation agencies to conduct self-assessments. 68 A Guide to Emergency Response Planning at State Transportation Agencies

Develop an Emergency Preparedness Program 69 Step 1—Initiate Emergency Response Initiating emergency response from the state transportation agency perspective involves three phases. RESPOND Phase 01: Detect and Verify Emergencies Purpose. Monitor the performance of the transportation network using surveillance systems, field personnel, manual or automated information sharing with local Emergency Communica- tions Centers (ECCs)/9-1-1 Centers (also called Public Safety Answering Points [PSAPs]), and regional transportation organizations. Actions. Use surveillance systems to detect indicators of a potential emergency, an emer- gency that is occurring, or an emergency that has occurred. Coordinate with and alert other agencies to recognize an emergency event in progress that may affect the regional transporta- tion system. Activate manual or automated information sharing with local ECCs/9-1-1 Centers. Coordinate with field personnel and equipment to verify that an emergency event is occurring or has occurred and communicate relevant information to all responding agencies. Where they exist, use regional networks, such as the I-95 Corridor Coalition’s Incident Exchange Network, for such notifications. Focus. Once the state transportation agency has been notified of the emergency event, it must take the necessary response actions to support the Incident Command System structure. This means activating its Mobilization Plan by notifying transportation agency personnel and response teams of the event and directing these staff to report to the appropriate staging areas or control centers. The agency should also mobilize all other resources, such as vehicles and equip- ment necessary to support emergency-response activities. Once state transportation agency response personnel arrive at the designated staging area or command center, they should be briefed fully on the situation and begin to take the response actions that have been developed and exercised during the emergency planning and preparedness phases. This includes activating the applicable operating procedures, traffic control, and management protocols, and other plans and procedures that guide the agency’s response activities. Supporting Resources. • FHWA Emergency Transportation Operations, http://ops.fhwa.dot.gov/eto_tim_pse/index.htm • National Traffic Incident Management Coalition, http://timcoalition.org/?siteid=41& pageid=590 • Traffic Incident Management Committee, http://www.trafficincident.org/ RESPOND Phase 02: Assess Status of Transportation Infrastructure Purpose. Receive reports from automated systems, field personnel, law enforcement, and/or a Fusion Center regarding the status of the transportation infrastructure. Actions. Receive cell phone calls from motorist(s) to report incidents and conditions directly to the state transportation agency. Receive reports from road watch, first observer, volun- teer spotter, and other probe programs to enable specially trained individuals (including transit vehicle operators) to provide information by radio or cell phone. If available/applicable, use automated vehicle location (AVL) identifiers in vehicles that travel a transportation corridor reg- ularly to track vehicle movement and compare it against anticipated travel times to identify delays and potential incidents. Where available, use cell phone tracking data to obtain near real- time travel time information. Supporting actions may include the following: • Coordinate with/manage 24-hour law enforcement patrols to enhance detection, response, and site management with dedicated officers available at all times in the transportation corridor.

• Coordinate with/manage specialty patrols (motorcycle, aircraft) to provide surveillance of roadway conditions for incident detection, verification, response, clearance, and recovery. • Operate dedicated incident response patrols to provide early detection, verification, response, clearance, and recovery. • Ensure patrol vehicles are equipped to help stranded motorists and some are equipped to quickly remove a disabled vehicle or debris from the roadway. • Use automated detection systems, including loops, microwave, radar, and video, to detect congestion on the highway. • Use video surveillance equipment, mounted within the transportation corridor, to provide incident detection. Video equipment can be combined with automated detection and report- ing systems. Video can also be used to verify the occurrence of an incident and to identify the appropriate response equipment needed. Focus. Ensure the safety of transportation infrastructure elements that may be used to sup- port evacuation of the affected area or response efforts. In its support role, the state transporta- tion agency should provide the Incident Commander with updates as to the continued viability of emergency access and emergency evacuation routes to and from the affected area. The agency’s Emergency Planning Coordinator should attend, or assign an agency representative to attend, all incident briefings held by the Incident Commander to gather and share any additional information that may be necessary to support the response effort. Supporting Resources. • FHWA Traffic Incident Management Program, Major Initiatives and Current News, http:// ops.fhwa.dot.gov/eto_tim_pse/index.htm • National Traffic Incident Management Coalition, http://timcoalition.org/?siteid=41&pageid=590 • Traffic Incident Management Committee, http://www.trafficincident.org/ RESPOND Phase 03: Gain and Maintain Situation Awareness Purpose. Receive notification of all declared emergencies and ensure that situation reports contain verified information and explicit details (who, what, where, when and how) related to the incident/emergency. Actions. The state transportation agency should receive notification of all declared emer- gencies and then continuously monitor relevant sources of information regarding actual inci- dents and developing hazards. The scope and type of monitoring varies based on the type of incident being evaluated and needed reporting thresholds. Supporting actions may include ensuring critical information is passed through preestablished reporting channels according to established security protocols and ensuring situation reports contain verified information and explicit details (who, what, where, when and how) related to the incident. Status reports, which may be contained in situation reports, relay specific information about resources. Based on an analysis of the threat(s), issue warnings to the public and provide emergency public information. National Incident Management System Compliance Issues. To achieve NIMS compliance, • Coordinate and support emergency management and incident response objectives through development and use of integrated MACS (i.e., develop/maintain connectivity capability between local ICPs, local 9-1-1 Centers, EOCs, as well as NRF organizational elements). • Institute multidisciplinary and/or multi-jurisdictional procedures and protocols for stan- dardizing data collection and analysis to use or share information during an incident/ planned event. 70 A Guide to Emergency Response Planning at State Transportation Agencies

Supporting Resources. • State NIMS Integration: Integrating the National Incident Management System into State Emer- gency Operations Plans and Standard Operating Procedures, Vol. 1.0, http://www.fema.gov/ pdf/nims/eop-sop_state_online.pdf Step Observations Emergency response begins first with incident detection, at which point the nature and scope of the emergency must be evaluated to determine the degree of response capabilities needed to appropriately respond to the event. For the purpose of this discussion, it is assumed that the State EMA will be the lead agency in making this evaluation for major emergencies (i.e., those beyond routine traffic incidents). Once made, the state will then begin to implement the ICS structure by establishing a Unified Command Center and notifying the response agencies with the appro- priate functional capabilities and responsibilities necessary to respond to, manage, control, and recover from the event. Typically, the larger the emergency event, the larger the ICS structure and the more agencies involved in the response effort. The location of the emergency event will also determine what jurisdiction(s) have authority over the affected area(s). During most large-scale emergency events, the state transportation agency will serve as the lead transportation representative in the ICS structure. The agency should therefore monitor the performance of the transportation network using available surveillance and ITS systems and equipment, field personnel, manual or automated information sharing and communication sys- tems, and regional transportation organizations and partner agencies. The state transportation agency should exert its broader role of the transportation desk to communicate to the Incident Command Team. For example, NCHRP Project 20-59(19) pro- duced NCHRP Report 525: Surface Transportation Security, Volume 10: Transportation’s Role in Public Health Disasters; it also produced software to support transportation planning for essen- tial services in order to avoid cascading effects across sectors—and mass care. For more infor- mation, see Appendix G for a description of the Transportation Emergency Response Effects Tracking (TERET) software. Step Checklist To evaluate the state transportation agency’s processes for initiating and responding to emer- gencies, the agency should consider whether it • Established processes for detecting and verifying emergencies and for monitoring the per- formance of the transportation network using surveillance systems, field personnel, manual or automated information sharing with local emergency management agencies, 9-1-1 Cen- ters, and regional transportation organizations. • Understands the NIMS/ICS and NRF structure, and its roles and responsibilities in that structure. • Assessed status of transportation infrastructure and received reports from automated systems, field personnel, and law enforcement. • Is able to gain and maintain situation awareness during emergencies, including the ability to receive notification of all declared emergencies and to ensure that situation reports contain verified information and explicit details related to the emergency. • Can provide accurate information related to the status of the region’s transportation infra- structure to the Incident Commander. Step 2—Address Emergency Needs and Requests for Support As emergency response efforts progress, the state transportation agency may be called upon to provide additional information and resources as necessary to support ongoing response oper- Develop an Emergency Preparedness Program 71

ations. Fulfilling unexpected and ongoing requests for support requires the agency to maintain a high degree of readiness and sufficient resources, or the ability to obtain such resources with limited notice. This requires the completion of two phases. RESPOND Phase 04: Coordinate Response to the Emergency Purpose. Activate appropriate plans, procedures, and protocols and mobilize available personnel, equipment, facilities, devices, and information to support emergency response. As appropriate and/or as requested, provide field support for emergency responders at the scene, integrated through the ICS and communicated and coordinated with the TMC. Actions. Activate appropriate plans, procedures, and protocols based on the type of emer- gency. Activate Incident Management Teams in accordance with NIMS. Activate Specialized Response Teams, including search and rescue teams, crime scene investigators, public works teams, hazardous materials response teams, public health specialists, or other personnel, as appropriate. Supporting actions may require the agency to do the following: • Mobilize pre-positioned assets and supporting equipment. • Manage all emergency incidents and preplanned special events in accordance with ICS orga- nizational structures, doctrine and procedures as defined by NIMS. • Coordinate requests for additional support. • As appropriate and/or as requested, provide field support for emergency responders at the scene, integrated through the ICS, and communicated and coordinated with the TMC. • Activate logistics systems and venues to receive, stage, track, and integrate resources into ongo- ing operations. ICS should continually assess operations and scale and adapt existing plans to meet evolving circumstances. • Address emergency responder transportation needs and scene access support and staging requirements. • Identify available transportation equipment, facilities, personnel, devices, and information to support emergency response. • Assign transportation agency resources to move materials, personnel, and supplies as requested by responders. • Track resource status. • If appropriate, support hazardous materials containment response and damage assessment by using available capabilities coordinated with on-scene field response through the ICS. • Ensure that nonhazardous materials, particularly small vehicle fluid spills, are removed from the transportation facility—initially travel lanes/tracks—as quickly as possible. • Attend regular briefings at the incident site regarding the situation, incident action plan, response objectives, and strategy, with full opportunity for transportation contributions and identification of resources and capabilities to support the response effort and action plan. • Perform damage assessment responsibilities for affected transportation system elements. • Make/recommend decisions regarding closures, contraflow operations, restrictions, and pri- ority repairs. • Coordinate assessments and decisions made regarding the operational capabilities of the transportation system with affected parties (emergency responders; local, state, and federal government; etc.). • Initiate priority clean-up, repair, and restoration activities, including the use of contractors and emergency procurement authorities. • Review and, as necessary, terminate existing work zone activities and/or closures to the extent possible. • Obtain incident status briefings and anticipate changing conditions (wind direction, weather, plume direction, etc.). 72 A Guide to Emergency Response Planning at State Transportation Agencies

• Based on all available information, develop detours and diversions (as necessary) to direct traf- fic safely away from the affected area and/or damaged infrastructure. • Prioritize and clearly communicate incident requirements so resources can be efficiently matched, typed, and mobilized to support emergency operations. Initiate traffic management operations and control strategies. • Provide public information/traveler alerts on the status of the transportation system. • Assign personnel to Regional and State EOCs to coordinate with and assist public safety agen- cies and other agencies involved in disaster response and recovery efforts. • Support communications between transportation personnel and their families/friends. Focus. Improve emergency response capabilities. National Incident Management System Compliance Issues. To achieve NIMS compliance, • Manage all incidents, including planned special events, in accordance with ICS organizational structures, doctrine, and procedures. ICS implementation must include consistent applica- tion of Incident Action Planning (IAP), common communications plans; implementation of area command to oversee (1) multiple incidents that are handled by separate ICS organiza- tions or (2) the management of a very large or evolving incident that has multiple incident management teams engaged; and implementation of Unified Command (UC) in multi- jurisdictional or multi-agency incident management, as appropriate. • Coordinate and support emergency management and incident response objectives through the development and use of integrated MACS. Supporting Resources. • Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.htm • I-95 Corridor Coalition, Projects & Reports: Coalition Publications, http://www.i95coali tion.org/i95/Library/tabid/84/Default.aspx • Work Zone Safety and Mobility Rule, http://www.ops.fhwa.dot.gov/wz/resources/final_ rule.htm • Research and Innovative Technology Administration (RITA) Emergency Management Sys- tems, http://www.its.dot.gov/evaluation/docs_ems.htm • NCHRP Report 525: Surface Transportation Security, Volume 9: Guidelines for Transportation Emergency Training Exercises, search for title at www.TRB.org/SecurityPubs • Simplified Guide to the Incident Command System for Transportation Professionals, http:// www.ops.fhwa.dot.gov/publications/ics_guide/index.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 RESPOND Phase 05: Evaluate Need for Additional Assistance from Neighboring States, Jurisdictions, and/or Federal Government Purpose. Coordinate requests for additional support with appropriate jurisdictions following previously established mutual-aid plans. Actions. Evaluate the need for additional resources and whether to request assistance from other states using interstate mutual-aid and assistance agreements, such as the EMAC. If the inci- dent overwhelms state and mutual-aid resources, then the governor should request federal assis- tance and/or deploy the State Department of Military/National Guard. Develop an Emergency Preparedness Program 73

Focus. Determine whether to enact MOU/As to gain additional assistance as necessary to respond to the emergency event. National Incident Management System Compliance Issues. Institute mechanisms to deploy, track, recover, demobilize, and provide reimbursement for resources used during response and recovery. Supporting Resources. • TR News, May–June 2007 “All-Hazards Preparedness, Response, and Recovery,” search for title at www.TRB.org/SecurityPubs • NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emergency Trans- portation Operations, search for title at www.TRB.org/SecurityPubs • NCHRP Web-Only Document 73: Emergency Transportation Operations: Resources Guide for NCHRP Report 525, Volume 6, search for title at www.TRB.org/SecurityPubs Step Observations The preceding discussions of emergency planning and preparedness noted that state trans- portation agencies should identify and develop on-call contracts with potential vendors and/or contractors that may be called upon to support emergency response and recovery efforts beyond the scope or capabilities of the agency. During such occurrences, the agency should also be pre- pared to exercise mutual-aid agreements and the EMAC provisions discussed previously. A benefit of the ICS is that information pertaining to emergency response activities and progress is shared consistently across the response team. This means that state transportation agencies, through active participation in the ICS structure, are better able to predict the changing transportation-related needs of the continuing response effort. With this information, agencies are able to activate the mutual-aid agreements and on-call support services contracts as necessary to ensure response activities continue to operate efficiently and with minimal delay. The agency should therefore be fully capable not only of effectively monitoring and contributing to the response effort, but also of coordinating and adjusting its own response activities as needs change. ICS implementation must include the consistent application of an Incident Action Plan (IAP) and a Common Communications Plan (CCP), as appropriate. As the incident unfolds, on-scene ICS should update incident action plans and revise courses of action based on changing circumstances, typically on a 15-minute review cycle. Step Checklist To evaluate the state transportation agency’s processes and capabilities for addressing emer- gency needs and ongoing requests for support, an agency should consider whether it has • Coordinated its response to the emergency, including activation of appropriate plans, proce- dures, and protocols to mobilize available personnel, equipment, facilities, devices, and infor- mation to support emergency response. This includes providing field support (as appropriate and/or as requested) to emergency responders at the scene, integrated through the ICS, and communicated and coordinated with the TMC. • Evaluated the need for additional assistance from neighboring states, jurisdictions, and/or the federal government through established EMAC and/or mutual-aid plans. Step 3—Manage Evacuations, Shelter-in-Place, or Quarantine Once ordered, all parties must support the decision to evacuate, shelter-in-place, or quar- antine an affected area. Perhaps the most significant role a state transportation agency will play during the emergency response effort is that of helping to manage the evacuation/ shelter-in-place/quarantine of the affected region(s). Once the decision is made and the state 74 A Guide to Emergency Response Planning at State Transportation Agencies

has activated its Emergency Evacuation Plan, the agency must begin implementing its traffic control and management roles and responsibilities as stated in the Plan. This may include working and coordinating with local, state, and regional TMCs and TCCs to manage traffic signal timing, message signs, and other public information systems; deploying response teams, equipment, and other resources as necessary to direct and facilitate traffic flow and remove debris; activating and coordinating contraflow activities along evacuation/shelter-in- place/quarantine routes; and monitoring progress and providing the Incident Command Team with updates regarding the continued viability of primary routes and the need to begin using alternate routes. Managing an evacuation/shelter-in-place/quarantine requires the completion of two phases. RESPOND Phase 06: Make and/or Support Decision to Evacuate, Shelter-In-Place, or Quarantine Purpose. Coordinate with appropriate local, regional, and state officials regarding evacua- tion/shelter-in-place/quarantine orders and routes. Actions. Determine the probability of impact (depending on the nature of the event). Esti- mate the effects on the geographic area and types of people and materials to be evacuated, sheltered-in-place, or quarantined. In terms of the decision made, consider the timing of the event and the lead time to initiate the action; weather conditions and their potential effects on evacuation/shelter-in-place/quarantine. Evaluate the economic impacts of such a decision on the public and private sectors. Supporting actions may include the following: • Determine the condition and availability of evacuation/shelter-in-place/quarantine routes or controls points. • Determine whether neighboring jurisdictions have made an evacuation/shelter-in-place/ quarantine decision. • Determine the population potentially affected by the action, including jurisdictions that will be hosting those evacuated, sheltered-in-place, or quarantined. • Determine the availability and safety of personnel to support the action. • Determine whether to deploy separate teams to notify residents and ensure their evacuation, or other means to notify people of the shelter-in-place or quarantine decision. • Also, consider the personal needs of those evacuated, sheltered-in-place, or quarantined and the needs for vehicle servicing, particularly fuel, and whether power and other utilities should be terminated for safety. Focus. Implement the unified command structure. Supporting Resources. • Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.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 • TR News, “Evacuation Planning, Human Factors, and Traffic Engineering: Developing Sys- tems for Training and Effective Response,” search for title at www.TRB.org/SecurityPubs • Transportation Emergency Response Effects Tracking (TERET) software. See Appendix G of this report for a description. TERET is a tool developed under NCHRP Project 20-59(19), which was published as NCHRP Report 525: Surface Transportation Security, Volume 10: A Guide to Transportation’s Role in Public Health Disasters. TERET is available by download and can be accessed at http://www.TRB.org/SecurityPubs; search for A Guide to Emergency Response Plan- ning at State Transportation Agencies. • 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 Develop an Emergency Preparedness Program 75

• ACRP Report 5: Quarantine Facilities for Arriving Air Travelers: Identification of Planning Needs and Costs, search for title at www.TRB.org/SecurityPubs RESPOND Phase 07: Issue and/or Support Evacuation/Shelter-in- Place/Quarantine Order Purpose. Mobilize the state transportation agency activation team to coordinate evacuation, shelter-in-place, or quarantine operations. Actions. Issue evacuation/shelter-in-place/quarantine orders through established commu- nication systems and protocols. Notify service organization, local, regional, state, and federal stakeholders, including sheltering organizations, as applicable. Focus. Implement the Incident Command System structure. National Incident Management System Compliance Issues. Use access control measures during an incident, as appropriate. Supporting Resources. • Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.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 Step Observations Fulfilling these duties requires close coordination with other response agencies and stakehold- ers through the ICS structure. This is especially true during large-scale events in which the state transportation agency may be called upon to support the evacuation, shelter-in-place, or quar- antine of a neighboring state or region. The agency’s involvement in the evacuation/shelter-in- place/quarantine event will also likely evolve as the incident itself evolves. The agency must therefore be capable of not only working within the ICS structure, but also be capable of adapt- ing quickly and efficiently to the changing conditions and demands of the incident. In the case of shelter-in-place or quarantine, the state transportation agency could be called upon to provide supporting assets and to transport responders. Again, consider the safety of emergency response personnel during the evacuation/shelter- in-place/quarantine effort. As a result, the state transportation agency must also realize that at some point it will have to either order the evacuation of its own personnel and response teams from the region, or order that they shelter-in-place or remain in the quarantine area (if shelters and resources are available to do so). While a number of factors must be consid- ered to make this difficult decision, including how the emergency event is evolving (e.g., is it diminishing or growing stronger), maintaining the safety of emergency response personnel must remain a primary objective of the response effort. A key part of the emergency evacuation effort—and an important lesson learned through Hurricane Katrina—is providing transportation to those individuals of the affected area who are unable to evacuate, shelter-in-place, or quarantine themselves. In many cases, this will require that the state transportation agency coordinate and work closely with local, state, and regional public transit and school agencies, hospitals, and private transportation companies to provide the vehicles and equipment necessary to evacuate these individuals from the affected area or to assist in shelter-in-place or quarantine areas. In doing so, be sure to consider the special medical needs that may be presented by these individuals and the medical resources and equipment that may be required at their final destinations. 76 A Guide to Emergency Response Planning at State Transportation Agencies

Step Checklist To evaluate the state transportation agency’s processes and capabilities for managing and sup- porting evacuation/shelter-in-place/quarantine events, the agency should consider whether it is able to • Make/support a decision to evacuate, shelter-in-place, or quarantine and coordinate with local, regional, and state officials regarding orders and routes. • Issue/support an evacuation/shelter-in-place/quarantine order and mobilize the agency acti- vation team to coordinate decision activities. • Communicate evacuation/shelter-in-place/quarantine orders and incident management measures to disseminate appropriate information to employees and travelers and provide updates in a timely manner. • Issue orders to evacuate, shelter-in-place, or quarantine its own emergency response teams and personnel as necessary to maintain their safety. • Ensure there are sufficient resources to guarantee the safety of agency emergency response teams and personnel if the agency chooses to have them shelter-in-place. • Support evacuated/sheltered-in-place/quarantined/vulnerable populations, including those individuals with special medical needs. Step 4—Implement Emergency Response Actions To support implementation of emergency response efforts, the state transportation agency may be called upon to identify access routes to the emergency scene and to monitor these routes as response efforts progress to ensure routes remain viable options for responder entry and exit. The agency must be prepared to communicate all changes to entry and exit routes to the Incident Com- mand Team through the ICS structure. The agency may also be required to deploy its own response teams and personnel to manage traffic flow and debris removal along emergency responder entry and exit routes. Implementing emergency response actions requires completion of three phases. RESPOND Phase 08: Take Response Actions Purpose. Implement emergency transportation operations activities as required (e.g., open/ close routes, manage traffic flow, deploy debris-removal teams, activate contraflow operations, coordinate to ensure that unmet transportation resource needs are identified and requests for additional support are made, provide and receive briefings, and support those with special needs). Actions. Implement the Incident Command System and chain of command and/or Unified Command to create an integrated team of multidisciplinary and multi-jurisdictional stakehold- ers. Implement primary and (as needed) secondary command posts. Supporting actions may require the transportation agency to • Deploy transit resources to support evacuation, including accommodating vulnerable popu- lations, as well as resources to accommodate pets on transit vehicles and/or in shelters. • Enforce evacuation/shelter-in-place/quarantine orders. The Emergency Operations Team should engage public safety officials in going door-to-door to ensure residents know of and comply with the order. • Place services at intervals along evacuation route(s). Arrange for emergency services within a shelter-in-place or quarantine area, as needed. • Open evacuation/shelter-in-place/quarantine routes to maximize throughput (e.g., close toll operations, work zones). • Activate mutual-aid agreements. • Determine the need for and deploy emergency medical and other support staff staged along the emergency routes or attached to those working with vulnerable populations, or within or near a shelter-in-place or quarantine area. Develop an Emergency Preparedness Program 77

78 A Guide to Emergency Response Planning at State Transportation Agencies • Determine the need for and deploy debris-removal crews to clear blocked highways and/or other transportation facilities. • Determine the need for and, as needed, deploy sanitation crews with mobile comfort stations (e.g., portable toilets, wash areas). • Coordinate local evacuation/shelter-in-place/quarantine incident action plans with the desig- nated incident commander in the field and the EOC/TMC. Field and EOC commanders should coordinate incident action plans with neighboring jurisdictions and the state or neighboring state(s). The EOC should obtain updated information frequently and communicate this infor- mation to those evacuated/sheltered-in-place/quarantined throughout the event. • Set up and monitor contraflow operations to ensure traffic is flowing safely and efficiently. Use shoulders, HOV lanes, reversible lanes, and frontage roads for evacuation traffic. • Coordinate and communicate contraflow and other special operations with neighboring jurisdictions. • Coordinate with the next higher level of government to ensure unmet transportation resource needs are identified and requests for additional support are made. • Control access to evacuation routes and manage traffic flow. • Control access to shelter-in-place/quarantine areas to prevent unauthorized entry. Include strategies for emergency responders, transit vehicles, and other essential equipment to move inbound against the predominant outbound flow of traffic. • Provide trained personnel to support the evacuation route or shelter-in-place/quarantine area (e.g., food, first aid, fuel, information). Focus. Respond within the unified command structure. National Incident Management System Compliance Issues. Use access control measures during an incident, as appropriate. Supporting Resources. • Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.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 • Managing Pedestrians During Evacuation of Metropolitan Areas, http://www.ops.fhwa. dot.gov/publications/pedevac/index.htm • FHWA Emergency Transportation Operations, Response, http://ops.fhwa.dot.gov/eto_tim_ pse/index.htm • NCHRP Synthesis 392: Transportation’s Role in Emergency Evacuation and Reentry, search for title at www.TRB.org/SecurityPubs RESPOND Phase 09: Deploy Response Teams Purpose. Deploy personnel and field equipment to implement emergency transportation operations. Actions. Ensure that field personnel make frequent contact with the EOC through the ICS. Address activation of the TMC if it is not already operational (e.g., during normally inactive periods). Supporting Resources. • NCHRP Web-Only Document 73: Emergency Transportation Operations: Resources Guide for NCHRP Report 525: Volume 6, search for title at www.TRB.org/SecurityPubs • 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

Develop an Emergency Preparedness Program 79 • NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emergency Trans- portation Operations, search for title at www.TRB.org/SecurityPubs • Final Report for the Application of Technology to Transportation Operations in Biohazard Situ- ations, http://www.its.dot.gov/eto/docs/transops_biohazard/executive.htm Software: • 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 to access the TERET software • 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 RESPOND Phase 10: Communicate Evacuation/Shelter-in-Place/Quarantine Order and Incident Management Measures Purpose. Disseminate appropriate information to employees and travelers, and provide updates in a timely manner. Actions. Brief national, state, and local authorities and personnel (such as transit and health agencies and Fusion Centers) at regular intervals to ensure all parties are provided with accurate, timely, and comprehensive information. Hold regular media briefings to inform the media about evacuation routes and shelter-in-place and quarantine locations, traffic and road conditions, and other pertinent information to communicate to the public in a timely manner. Supporting trans- portation agencies may • Disseminate accurate information pertaining to evacuation orders in a clear fashion and timely manner to avoid shadow or unnecessary evacuations or unnecessarily lengthy evacua- tion trips. • Implement a briefing schedule with ranking representatives from each stakeholder agency participating in the event. • Inform evacuees of available transport modes, how to access them, and if there are any restric- tions on what evacuees may carry with them. • Inform evacuees of when transportation assistance will begin and end and the frequency of departure at designated pick-up locations. • Inform evacuees of their destination before they board public transport. • Inform the public and/or family members of the evacuees’ destinations. • Identify established websites, hotlines, text messaging groups, etc., where people can get answers to their questions and concerns. In the event of a shelter-in-place or quarantine situ- ation, inform people of the nature of the danger and actions they should take. • Communicate security measures to the public. • Identify support services for those with special needs. • Communicate critical operational changes to the EOC and the public. • Communicate information to evacuees on the availability of nonpublic shelters, such as hotels. Keep shelter operations informed of the location and status of other shelters. • Communicate information to those to be sheltered-in-place or quarantined. • Regularly reinforce, internally and externally, that persons involved in any way with the evacuation/shelter-in-place/quarantine event must direct all but the most basic inquiries to the JIC. Personnel working on the event must maintain effective communications at all times to coordinate movements, share real-time information, and track deployments. • Establish processes to ensure redundant communications systems are available during the evacuation/shelter-in-place/quarantine because the event may damage or disable primary communication systems.

• Program DMSs (permanent and portable) as necessary to provide accurate, up-to-date information. • Program HAR subsystems to provide accurate, up-to-date information. • Program 5-1-1 systems to provide accurate, up-to-date information. • Relay traffic condition information to the EOC. • Ensure 9-1-1 operators are fully informed of conditions so they can respond to callers with accu- rate, up-to-date information. • Use ITS resources during an evacuation to collect data and as a tool to communicate and coor- dinate with evacuees, evacuation operations personnel, partners, and other stakeholders. In shelter-in-place/quarantine areas, use ITS to detect unnecessary movements that might result in innocent people being further jeopardized. National Incident Management System Compliance Issues. To achieve NIMS compliance, • Institutionalize (within the framework of ICS) the Public Information System (e.g., JIS and a JIC), during an incident/planned event. • Ensure that public information procedures and processes can gather, verify, coordinate, and disseminate information during an incident/planned event. Supporting Resources. • Communicating With the Public Using ATIS During Disasters: A Guide for Practitioners, http://www.ops.fhwa.dot.gov/publications/atis/index.htm Step Observations Emergency responders may also require additional vehicles and equipment for transportation to the emergency scene. In such cases, the state transportation agency will likely be called upon to coor- dinate with local, state, and regional public transit agencies and private transportation companies to obtain the necessary transportation resources to respond to the event. Depending on the nature of the event, the Incident Command Team may also establish an on- site emergency operations or command center to facilitate hands-on response efforts. The state transportation agency, at the direction of the Incident Commander, may deploy its own person- nel to this location to support the response. Step Checklist To evaluate the state transportation agency’s processes and capabilities for implementing and supporting emergency response actions, the agency should consider its ability to • Take response actions to implement emergency transportation operational activities as required to – Open/close routes, – Manage traffic flow, – Deploy debris-removal teams, – Activate contraflow operations, – Coordinate to ensure that unmet transportation resource needs are identified and requests for additional support are made, and – Provide and receive briefings. • Deploy response teams and field equipment to implement emergency transportation operations. Step 5—Continue Response Requirements As the emergency response effort progresses, the state transportation agency’s roles and responsibilities will likely change and evolve. As discussed throughout this section, the agency must be capable of monitoring the response effort, including ongoing traffic conditions and 80 A Guide to Emergency Response Planning at State Transportation Agencies

adjusting to changes as they occur. This is best done through the ICS structure and close coordina- tion with other emergency response agencies and stakeholders. Continuing response requirements involves two phases. RESPOND Phase 11: Monitor Response Efforts Purpose. Monitor traffic conditions and make operational adjustments. Actions. Monitor traffic conditions on evacuation/reentry routes and adjust operations to max- imize throughput. Monitor how the event that triggered the evacuation/shelter-in-place/quarantine is progressing and if there are any changes to earlier predictions of its effects. Monitor the conditions of the roadway (e.g., for debris or flooding) during the evacuation/shelter-in-place/quarantine so those affected can be prepared and rerouted if necessary. Monitor evacuation/reentry oper- ations of motorized transport, rail, air, waterway, and other transportation modes to determine the adequacy of available resources. State transportation agencies may • Track the destination of vulnerable populations evacuated/sheltered-in-place/quarantined to notify friends and family of their location and to develop a plan to return them their original locations once the area has been deemed safe for reentry. • Monitor the number of evacuees moved by means other than personal vehicles to ensure that additional equipment and operators (such as buses and drivers or helicopters and pilots) are requested and supplied quickly, if needed. This information should also aid in developing the reentry plan, as the same transportation resources will likely be required for that operation. • Monitor traffic counters and cameras, pipelines, viaducts, etc., for potential damage. Supporting Resources. • FHWA Emergency Transportation Operations, http://ops.fhwa.dot.gov/eto_tim_pse/index.htm • National Traffic Incident Management Coalition, http://timcoalition.org/?siteid=41&pageid=590 • Traffic Incident Management Committee, http://www.trafficincident.org/ RESPOND Phase 12: Prepare for Next Operational Period Purpose. Mobilize personnel and resources for next operational period. Actions. Mobilize personnel and resources for next operational period. Supporting Resources. • NCHRP Web-Only Document 73: Emergency Transportation Operations: Resources Guide for NCHRP Report 525: Volume 6, search for title at www.TRB.org/SecurityPubs • NCHRP Report 525: Surface Transportation Security, Volume 9: Guidelines for Transportation Emergency Training Exercises, search for title at www.TRB.org/SecurityPubs • NCHRP Report 525: Surface Transportation Security, Volume 7: System Security Awareness for Transportation Employees, search for title at www.TRB.org/SecurityPubs • TCRP Report 86: Public Transportation Security, Volume 7: Public Transportation Emergency Mobilization and Emergency Operations Guide, search for title at www.TRB.org/SecurityPubs Step Observations The severity of the emergency and length of time over which it occurs will dictate many of the ongoing and continuing response actions and requirements needed to safely bring the event under control. The greater the event severity and the longer the event and emergency response effort lasts, the greater are the numbers and range of resources needed. This requires the state transportation agency to have sufficient resources on hand to replace and support exhausted or injured personnel, as well as damaged tools and equipment. The agency must again be capable of monitoring the response effort to determine if or when it should deploy additional resources. Develop an Emergency Preparedness Program 81

82 A Guide to Emergency Response Planning at State Transportation Agencies This may include activating support contracts and services in advance of a predicted shortage of resources. Interstate support agreements can help considerably in this regard. For example, a hurricane might destroy hundreds of traffic signal assemblies, but if multiple states in com- monly threatened areas stockpile replacement assemblies, they can be deployed more quickly than buying new ones from the vendors. Step Checklist To evaluate the state transportation agency’s processes and capabilities for providing contin- uing response support, the agency must consider its ability to • Monitor response efforts and traffic conditions and make operation adjustments as necessary. • Assess the capability to prepare for the next operational period to mobilize personnel and resources during continuing response efforts. • Maintain sufficient resource stocks, or have the ability to obtain additional resources as nec- essary, to continue supporting the response effort. Step 6—Conclude Response Actions As the emergency response effort concludes, state transportation agencies must prepare to demobilize emergency responders and equipment and restore normal operations. This requires not only transporting emergency responders back from the emergency scene, but also preparing for the recovery process (discussed in the next section). The final phase of the RESPOND step is described below. RESPOND Phase 13: Prepare for Demobilization Purpose. Plan for restoration to normal operations. Actions. Prepare to restore normal activities. Ensure that provisions exist to address and vali- date the safe return of resources to their original locations. Develop processes for tracking resources and ensuring applicable reimbursement. Develop plans to ensure responder safety during demo- bilization efforts. Ensure accountability for compliance with mutual-aid provisions. Supporting Resources. • NCHRP Web-Only Document 73: Emergency Transportation Operations: Resources Guide for NCHRP Report 525, Volume 6: search for title at www.TRB.org/SecurityPubs • NCHRP Report 525: Surface Transportation Security, Volume 9: Guidelines for Transportation Emergency Training Exercises, search for title at www.TRB.org/SecurityPubs • NCHRP Report 525: Surface Transportation Security, Volume 7: System Security Awareness for Transportation Employees, search for title at www.TRB.org/SecurityPubs • ACRP Report 22: Helping Airport and Air Carrier Employees Cope with Traumatic Events, search for title at www.TRB.org/SecurityPubs Step Observations To support demobilization of emergency response teams and equipment, the state transporta- tion agency must again be capable of identifying exit routes from the scene and ensuring suffi- cient transportation resources are provided to complete the demobilization effort. Step Checklist To evaluate the state transportation agency’s processes and capabilities for supporting the con- clusion of response activities, the agency should consider whether it could • Prepare for demobilization efforts and restore normal operations.

Recover from the Emergency In many respects, once the emergency has ended, the most difficult part of the emergency management process—recovering from the event—begins. Assessments must be made of dam- age caused by the emergency event; utilities such as power and water must often be restored; debris and other potential hazards must be removed from the affected area; and security provisions must be implemented to prevent criminal activities such as looting and theft. Additionally, med- ical treatment must be provided to those injured during the event; those who perished during the emergency must be identified and removed from the scene, and arrangements must be made to notify their next of kin; and transportation infrastructure elements must be examined to ensure their continued integrity and viability of use. Each of these activities can be costly, requir- ing the use of specialized personnel and equipment to prevent further losses. Each activity must also be completed before those evacuated/sheltered-in-place/quarantined are permitted to return to their homes and businesses. As with each of the other emergency management phases, it is important to take every precau- tion to ensure the safety of personnel involved in the recovery operations. This is, again, best achieved through the NIMS/ICS structure and the continued coordination with other emergency response agencies and stakeholders. In many cases, additional resources may also be available from neighboring jurisdictions and regions, as well as the state and federal government in the form of the National Guard. The ICS structure provides a simplified means through which these resources can be obtained and managed. The following has been developed to provide state transportation agencies with (1) the tools necessary to evaluate the effectiveness of their own recovery processes against the standards and metrics required by the National Incident Management System and (2) additional detail on how to best implement and work within the Incident Command System structure during recovery operations. Again, the following presentation format encourages state transportation agencies to conduct self-assessments. Step 1—Restore Traffic to Affected Areas During recovery operations, the state transportation agency—along with partner agencies, such as transit systems—will likely be called upon to assess, restore, and manage the essential trans- portation services and infrastructure elements of the affected area, as necessary, to complete the recovery effort. This may require deploying specialized teams to (1) conduct damage assessments of transportation infrastructure, (2) remove debris and hazardous materials from primary and alternate reentry routes, and (3) repair any roadways or other transportation facilities needed to support the recovery effort and the phased return of those evacuated/sheltered-in-place/quaran- tined to their homes. Restoring traffic to affected areas requires completion of four phases. RECOVER Phase 01: Restore Essential Services Purpose. Conduct damage and recovery assessments. Actions. Conduct damage assessments, debris removal, hazardous materials disposal, and repair of roads and other transportation facilities, and restore essential services to the affected area. Supporting Resources. • Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.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 Develop an Emergency Preparedness Program 83

RECOVER Phase 02: Reestablish Traffic Management in Affected Area Purpose. Establish routes to move traffic into, out of, and/or around affected areas. Actions. Designate routes to move traffic into, out of, and/or around the affected area. Coor- dinate traffic management with restoration plans for affected communities and resumption of government operations and services through individual, private-sector, nongovernmental, and public assistance programs. Supporting Resources. • Best Practices in Emergency Transportation Operations Preparedness and Response, http://www. ops.fhwa.dot.gov/publications/etopr/best_practices/etop_workshop.htm • Transportation Emergency Operations, http://ops.fhwa.dot.gov/eto_tim_pse/index.htm • National Traffic Incident Management Coalition, http://timcoalition.org/?siteid=41&pageid=590 • Traffic Incident Management Committee, http://www.trafficincident.org/ RECOVER Phase 03: Reentry into Evacuated, Shelter-in-Place, or Quarantined Area Purpose. Implement a phased approach to bring evacuated, sheltered-in-place, or quaran- tined residents and others into the affected area. Actions. Define specifically who makes the decision to return or remove shelter-in-place/ quarantine restrictions. Identify what factors will influence the decision. Begin developing, coor- dinating, and executing service and site restoration plans for affected communities and resump- tion of government operations and services through individual, private-sector, nongovernmental, and public assistance programs. Supporting actions may include the following: • In short-term recovery, assist other agencies to provide essential public health and safety services; restore interrupted utility and other essential services (as soon as safely possible); reestablish transportation routes; and provide food, shelter, and other essential services to those displaced by the event. • Long-term recovery may include complete redevelopment of damaged areas. Prioritize activ- ities to conduct damage assessments, debris removal, hazardous materials disposal, and repair of roads and other transportation facilities. Restore transportation support facilities to enable them to receive evacuees when it is safe to do so, and secure critical assets. • Estimate the transportation-related damage to the areas to which those evacuated/sheltered- in-place/quarantined will return. • Determine if there is, as a result or consequence of an evacuation, an outbreak of disease or any other health or medical issue that should be mitigated, and the consequent impact on transportation. • Determine if hazardous materials spills need to be cleaned up. • Determine if utilities co-located on transportation facilities are functioning (i.e., running water, electricity). • Ensure evacuation/shelter-in-place/quarantine routes are clear of debris and safe for travel. • Determine if public transit systems are operational. Identify any populations who should not be allowed to return because of medical, health, or public safety concerns. • Verify that injured or diseased people and animals have been attended to and recovered from the area; or if not, determine how to transport them. • Develop a strategy for how to communicate transportation-related reentry instructions to the public. • Determine if mutual-aid reentry should be accomplished in phases. • Transport those who did not self-evacuate/shelter-in-place/quarantine back to their place of residence or longer-term shelters if homes are uninhabitable. 84 A Guide to Emergency Response Planning at State Transportation Agencies

• Identify personnel, equipment, and resources necessary to support reentry. • Inspect the affected area and provide transportation aid to survivors who did not evacuate, shelter-in-place, or quarantine. • Ensure reentry plans address those people who were unable to evacuate, shelter-in-place, or quarantine themselves. • Ensure a clear strategy exists for how, when, and where to transport those evacuated/sheltered- in-place/quarantined and how they may reach their final destinations. • Ensure that communication with evacuees who may be scattered among shelters, families’ homes, and other areas outside of the immediate jurisdiction can be accomplished effectively. • Coordinate with other authorities as to the start and end times of reentry operations, includ- ing the days of the week, geographic areas covered, picture identification (ID) required to reenter, security checkpoints are in place, available routes and maps, vehicle restrictions, and available services. • Determine whether to update ITS subsystems (e.g., DMS, HAR, and 5-1-1) to provide infor- mation to individuals reentering the area. • Assist in providing traveler services, such as fuel, food, safe water, relief, and medical care, which should be available along the highway routes as they were during the evacuation. • Establish alternative plans for return in case the evacuation lasts for days, weeks, or possibly longer. • Ensure that operators and passengers have picture IDs to get back to their points of origin. • Coordinate reentry plans with other transportation and public safety officials to adequately staff reentry routes. • Coordinate operations to identify missing persons who might not have evacuated, sheltered-in- place, or quarantined and been lost in the event or failed to return after the event, particularly children separated from their families. Supporting Resources. • Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effective Evacuation Planning Primer Series, http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.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 • NCHRP Synthesis 392: Transportation’s Role in Emergency Evacuation and Reentry RECOVER Phase 04: Conduct Emergency Repairs Purpose. Develop an approach to infrastructure repair/replacement and decontamination. Actions. Develop the approach to infrastructure repair/replacement and decontamination, determining what can be done quickly and what will require more time. Supporting Resources. • Accelerated Bridge Construction Technologies, 2007 Conference, http://www.fhwa.dot.gov/ bridge/accelerated/index.cfm • TMC Pooled Fund Study: Current Projects, http://tmcpfs.ops.fhwa.dot.gov/cfprojects/new_ detail.cfm?id=79&%20new=3 • The National Homeland Security Research Center, http://www.epa.gov/nhsrc/ Step Observations Once the state transportation agency has made its assessment of the affected area, it should communicate the status of key transportation infrastructure elements to the Incident Command Team, including the time and resources necessary to repair and restore these elements to a degree that can safely support the return of individuals to the area. The agency, in concert with other Develop an Emergency Preparedness Program 85

transportation partners, should next begin the repair process, tracking all associated costs as nec- essary for future reimbursement. Similar to the evacuation/shelter-in-place/quarantine processes, the state transportation agency will also be called upon for traffic control and management of those returning to the affected area. This will again require the agency to work and coordinate with local, state, and regional TMCs and TCCs to manage traffic signal timing, message signs, and other public information systems; to deploy personnel, equipment, and other resources as necessary to direct and facilitate traffic flow, including contraflow activities (although less likely for recovery); and to monitor traffic conges- tion during the return of those evacuated/sheltered-in-place/quarantined, providing the Incident Command Team with updates regarding the need for additional resources or for limiting/phasing the number of those who can enter the affected area at any one time. Because many of the area’s hospitals, nursing homes, or other special needs facilities, may have been damaged during the emergency event, those evacuated/sheltered-in-place/quarantined should not be transported back to those facilities until all necessary repairs have been made and all neces- sary systems and equipment are up and running. Once acceptable conditions have been verified, the state transportation agency, or appropriate local authority, can begin coordinating the transport of those evacuated/sheltered-in-place/quarantined back to these facilities. Again, this may require working with local, state, and regional public transit agencies, hospitals, and private transporta- tion providers to ensure the special medical or other needs of these individuals are met during transport. Step Checklist To evaluate the state transportation agency’s processes and capabilities for restoring traffic to affected areas, the agency should consider its capability to • Develop plans, procedures, and protocols for restoring essential services. This should include conducting damage assessments, debris removal, and hazardous materials disposal, and repair of roads and other transportation facilities. • Develop plans, procedures, and protocols to reestablish traffic management to the affected area. This includes establishing routes to move traffic into, out of, and/or around the affected area. This also includes coordinating traffic management with restoration plans for affected com- munities and resumption of government operations and services through individual, private- sector, nongovernmental, and public assistance programs. • Prepare to implement a phased approach to bring evacuated/sheltered-in-place/quarantined residents and others back into the affected area. • Prepare to conduct emergency repair, replacement, and decontamination processes by identi- fying what can be done quickly and what will require more time. Step 2—Identify and Implement Lessons Learned Many of the most useful practices and recommendations presented in this and other guides have been developed by evaluating the emergency management processes of previous events to identify what could have been done better or more efficiently. These lessons learned are an essential tool for continually improving the emergency management capabilities of state transportation agencies and other response agencies. Moreover, as presented in this 2010 Guide’s discussion of the emergency planning process, emergency planning never ends; rather, it evolves as emergency planners and response teams continue to learn from new expe- riences. As such, following any emergency event, the agency should actively participate in developing lessons learned from the event. Identifying and implementing lessons learned requires the completion of two phases. 86 A Guide to Emergency Response Planning at State Transportation Agencies

RECOVER Phase 05: Perform After-Action Reviews Purpose. Assess response activities to determine what went well and where improvements are needed. Actions. Identify who is responsible for conducting After-Action Reviews and for ensuring necessary changes are made to EOPs, SOPs, SOGs, etc., and communicated to staff. Conduct a review of how the evacuation/shelter-in-place/quarantine was executed and determine how it could have been improved. Each agency should review its actions. When multiple agencies are involved in an operation, conduct a joint After-Action Review to address how well agencies worked together and what improvements can be made in future joint operations. Share each After-Action Review with decisionmakers and agency personnel and include recommendations for which improvements should be considered and implemented quickly. Conduct an After-Action Review, a formal meeting of operation participants to assess actions, determine follow-up items, and develop recommendations for improving future operations. Include results of the After-Action Review in an After Action Report (AAR) and use results to determine if changes should be made to plans and procedures. Supporting Resources. • NCHRP Report 525: Surface Transportation Security, Volume 9: Guidelines for Transportation Emergency Training Exercises, search for title at www.TRB.org/SecurityPubs • NCHRP Report 525: Surface Transportation Security, Volume 7: System Security Awareness for Transportation Employees, search for title at www.TRB.org/SecurityPubs RECOVER Phase 06: Return to Readiness Purpose. Incorporate recommendations from the After-Action Review into existing emer- gency response plans and procedures. Actions. Establish a policy for the evacuation/shelter-in-place/quarantine team members’ home organizations regarding recovery time and time to participate in After-Action Reviews and other return-to-readiness activities. Agencies may • Determine what equipment and supplies need to be restocked, what infrastructure needs to be repaired or replaced, and what new information needs to be communicated to the public to maintain their awareness to be prepared. • Begin transitioning the system from an operations cycle back to a state of planning and preparedness. • Continue data collection and begin analyses of response activities. • Identify evacuation costs and reimbursable expenditures. Account for services such as equip- ment rehabilitation, restocking of expendable supplies, transportation to original storage or usage locations, overtime costs for public safety and transportation officials, materials used in support of evacuation, and contract labor and equipment. • Begin request for reimbursement processes from state and federal governments, as applicable. • Continue to track personnel, supplies, and equipment costs to meet the requirements of the reimbursing agencies. • Work with FEMA and FHWA to ensure proper documentation is used for submitting reim- bursement requests. Supporting Resources. • NCHRP Report 525: Surface Transportation Security, Volume 9: Guidelines for Transportation Emergency Training Exercises, search for title at www.TRB.org/SecurityPubs • NCHRP Report 525: Surface Transportation Security, Volume 7: System Security Awareness for Transportation Employees, search for title at www.TRB.org/SecurityPubs Develop an Emergency Preparedness Program 87

• ACRP Report 22: Helping Airport and Air Carrier Employees Cope with Traumatic Events, search for title at www.TRB.org/SecurityPubs Step Observations Develop an AAR immediately following the out-brief to identify the lessons learned and the actions to be taken by each agency and stakeholder involved in the emergency response effort to incorporate these lessons learned into their plans, procedures, protocols, and future training activities. Develop debrief teams, including representatives of the key emergency response parties, to walk through the emergency event, from its inception through final recovery, to identify the following: • Specific issues and challenges presented by the event. • Resource shortcomings that may have occurred and how they hindered response capabilities. • Actions taken during the response and what could have been done differently to improve the response. • Any occurrences in which communication breakdowns between response agencies impaired or prevented response capabilities. • Causes of any injuries or fatalities to emergency responders or citizens and what can be done in the future to prevent recurrences. • What plans, procedures, and protocols worked and did not work and what revisions should be made to correct any missteps. • The effectiveness of contracted support teams and personnel to meet their contractual requirements and quickly provide the equipment and resources needed to effectively respond to the emergency when called upon. • Any other changes that should be made to improve future emergency response efforts. It is important to conduct these reviews in a blameless environment; the objective is to make improvements, not to point fingers at anyone or any agency. Step Checklist To evaluate the state transportation agency’s processes and capabilities for identifying and implementing lessons learned from the emergency, the agency should consider whether it can perform an After-Action Review to assess response activities to determine what went well and where improvements are needed. 88 A Guide to Emergency Response Planning at State Transportation Agencies

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TRB’s National Cooperative Highway Research Program (NCHRP) Report 525: Surface Transportation Security, Volume 16: A Guide to Emergency Response Planning at State Transportation Agencies is designed to help executive management and emergency response planners at state transportation agencies as they and their local and regional counterparts assess their respective emergency response plans and identify areas needing improvement.

NCHRP replaces a 2002 document, A Guide to Updating Highway Emergency Response Plans for Terrorist Incidents.

NCHRP Report 525, Vol. 16 is supported by the following online appendixes:

Appendix K--Annotated Bibliography

Appendix L--White Paper on Emergency Response Functions and Spreadsheet Tool for Emergency Response Functions

Appendix M--2010 Guide Presentation

NCHRP Report 525: Surface Transportation Security is a series in which relevant information is assembled into single, concise volumes—each pertaining to a specific security problem and closely related issues. The volumes focus on the concerns that transportation agencies are addressing when developing programs in response to the terrorist attacks of September 11, 2001, and the anthrax attacks that followed. Future volumes of the report will be issued as they are completed.

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