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2020 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 931 A Guide to Emergency Management at State Transportation Agencies Ernest R. Frazier, Sr. Yuko J. Nakanishi Pierre Auza Countermeasures assessment & seCurity experts (Case), LLC New Castle, DE Jeffrey L. Western Patricia G. Bye Western management & ConsuLting, LLC Madison, WI Deborah Matherly the Louis Berger group, inC. Washington, DC Subscriber Categories Education and Training â¢ Public Transportation â¢ Security and Emergencies Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transporta- tion results in increasingly complex problems of wide interest to high- way authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniquesâthe National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agree- ment No. 693JJ31950003. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRBâs recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRBâs relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs iden- tified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&Iâs recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published research reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.nationalacademies.org and then searching for TRB Printed in the United States of America NCHRP RESEARCH REPORT 931 Project 20-59(51)B ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-48160-1 Library of Congress Control Number 2020938344 Â© 2020 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report.
The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Boardâs varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.
C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP RESEARCH REPORT 931 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Stephan A. Parker, Senior Program Officer Stephanie L. Campbell, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Kami Cabral, Editor NCHRP PROJECT 20-59(51)B PANEL Field of Special ProjectsâArea of Security and Emergencies Herby Gerard Lissade, California DOT, Sacramento, CA (Chair) John M. Contestabile, Johns Hopkins University, Laurel, MD Mel A. Coulter, Idaho Transportation Department, Boise, ID Andrea DâAmato, Massachusetts DOT, Boston, MA John S. Himmel, Washington State DOT, Olympia, WA Gregory G. Hogan, Massachusetts Institute of Technology, Lexington, MA Michael E. Kalinski, University of Kentucky, Lexington, KY Lorenzo G. Parra, Massachusetts DOT, Boston, MA Eileen M. Phifer, Michigan DOT, Lansing, MI Dennis C. âChuckâ Runyon, Charleston, WV David W. Cooper, TSA Liaison Jeffrey King, FHWA Liaison William B. Anderson, TRB Liaison
NCHRP Research Report 931: A Guide to Emergency Management at State Transportation Agencies (2020 Guide) is designed for use by 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. It updates and replaces NCHRP Report 525: Surface Transportation Security, Volume 16: A Guide to Emergency Response Planning at State Transportation Agencies (2010 Guide). The 2010 Guide reflected accepted practices in emergency response planning and incor- porated advances made over the previous decade in traffic incident management (TIM), emergency transportation operations (ETO), and supporting programs. The 2020 Guide incorporates updates and advances made in recent years in emergency management, layer- ing in current National Incident Management System (NIMS), TIM, and other applicable national concepts, policies, guidance, and procedures (such as the National Preparedness Framework and National Transportation Recovery Strategy). The 2020 Guide significantly expands coverage of emergency management training and exercises and adds a chapter on stakeholders and regional collaboration. In 2012, the AASHTO Special Committee on Transportation Security and Emergency Management (SCOTSEM) adopted by formal ballot (as a committee report) TRBâs NCHRP Report 525: Surface Transportation Security, Volume 16: A Guide to Emergency Response Planning at State Transportation Agencies (available online at www.trb.org). Since publication of the 2010 Guide, there have been both significant changes and a substantial increase in knowledge about the role of transportation in emergency manage- ment. The decade-long effort to improve the state of security and emergency management practice in the transportation industry has produced new strategies, programs, and ways of doing business that have increased the security of our transportation systems as well as ensured their resiliency. NCHRP Research Report 931: A Guide to Emergency Management at State Transportation Agencies (2020 Guide) was prepared as a light update under NCHRP Project 20-59(51)B by Countermeasures Assessment & Security Experts, LLC, of New Castle, Delaware. It is accompanied by an overview PowerPoint deck and supported by NCHRP Web-Only Document 267: Developing a Guide to Emergency Management at State Transportation Agencies. F O R E W O R D By Stephan A. Parker Staff Officer Transportation Research Board
1 Preface 3 Section 1 Introduction 4 Challenges Facing State Transportation Agencies 4 Overview of the Guide 6 Section 2 Institutional Context for Emergency Management 6 What Is Emergency Management? 7 Emergency Management Principles 7 Types of Incidents and Events 7 Emergency Management Authorities 16 Section 3 Nature and Degree of Hazards and Threats 16 Range of Hazards 19 Hazard Data Sources 22 Hazard Tools 23 Risk Assessment and Threat and Hazard Identification and Risk Assessment (THIRA) 25 Section 4 Develop an Emergency Preparedness Program 26 Planning Process 29 Emergency Planning Phase 45 Prepare for the Emergency 66 Respond to the Emergency 75 Recover from the Emergency 82 Section 5 Emergency Management Stakeholders and Regional Collaboration 82 Organizational, Staffing, and Position Guidance 85 Emergency Management Stakeholder Responsibilities 85 Regional Coordination 93 Section 6 Emergency Management Training and Exercises 94 Emergency Training and Exercise Needs 98 Mutual Aid and Emergency Management Assistance Compact 98 Emergency Management Performance Grant Program 99 FEMA Training 99 Federal Reimbursement Programs 100 Emergency Evacuations 100 Traffic Control and Management 103 Physical Security and Cybersecurity 103 Exercises 115 AAR, IP, and Corrective Actions C O N T E N T S
116 Training Implementation Solutions 120 State DOT Emergency Management Training and Exercise Implementation Practices 125 Training Evaluation 127 Appendix A Bibliography and Resource Guide 315 Appendix B Case Studies 340 Appendix C Acronyms, Abbreviations, and Initialisms 345 Appendix D Glossary 352 Appendix E Tennessee DOT Resource Documents 388 Appendix F Agency Wallet Card Examples Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.