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A Guide to Emergency Management at State Transportation Agencies (2020)

Chapter: Appendix B - Case Studies

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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Suggested Citation:"Appendix B - Case Studies." National Academies of Sciences, Engineering, and Medicine. 2020. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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315 A P P E N D I X B Case Studies Tennessee DOT Case Study: Emergency Preparedness, Exercise Planning, and Federal Reimbursement Program Practices This case study describes the Tennessee DOT (TDOT) emergency management roles and responsibilities, emergency management plan, and the Comprehensive Exercise Program (CEP). In addition, it provides a background of TDOT’s training and exercise program, an overview of TDOT’s practices related to its bridge monitoring tool, and process milestone tracking. State Background Tennessee’s land area totals 41,235 square miles, which accommodates a population of over 6.6 million and a population density of 153.9 persons per square mile according to the U.S. Census. Tennessee is bordered by eight states. TDOT is responsible for 14,510 miles of Tennessee’s 87,259 total roadway miles. The interstate system comprises about one percent of the 14,510 miles but serves a quarter of the state’s traffic. TDOT is also involved in various ways in multimodal transportation systems offered by the state, including three public ferries, four public ports, six commercial airports, 76 general aviation airports, 24 transit systems, 2,100 Class I rail line miles, 850 short-line rail miles, 1,180 yard line and industrial sidings miles, and 8,500 bicycle highway lane miles. The state of Tennessee frequently experiences a number of weather-related hazards: flooding, tornadoes, and winter storms. Earthquakes in the New Madrid Seismic Zone (NMSZ) are a natural hazard for the western portion of the state. State Transportation Agency Emergency Management Responsibilities TDOT is considered an equal partner by the Tennessee emergency management community and has extensive experience responding to a wide range of emergencies and disasters. In fact, TDOT was the first state DOT to develop a Continuity of Operations Plan (COOP). In incidents, TDOT has typically assumed the following roles: Incident Command, Operations, Planning, and Intel/Investigations. The TDOT Basic Emergency Operations Plan (BEOP) is the foundation of TDOT’s all-hazards emergency management actions and is implemented by TDOT’s Commissioner of Transportation in case of state or national emergency. While TDOT is primarily responsible for the state-owned highway system, TDOT’s BEOP states that “TDOT has an overarching responsibility to keep the entire integrated transportation system functional during a disaster.” Hence, continuous planning and coordination with the multimodal owners and operators is required.

316 A Guide to Emergency Management at State Transportation Agencies ESF-15 Recovery, and ESF-16 Animal Care and Disease Management. TDOT is the lead for ESF-1: Transportation and for ESF-3 sub-functions ESF-3: Infrastructure – Route Clearance & Bridge Inspection and ESF-3: Infrastructure – Debris Removal. The following are some of the TDOT key roles and responsibilities during emergencies and disasters: • TDOT Emergency Services Coordinator (ESC). The ESC acts on behalf of TDOT to implement state emergency services requirements (TCA 58-2-108), ensures that TDOT carries out its emergency functions, and represents TDOT in the SEOC. The ESC coordinates response and requests for resources and facilities. The ESC also coordinates disaster preparedness training. • TDOT Regional Emergency Services Liaison (ESL). ESLs coordinate emergency response by working with ESCs, TEMA regional personnel, and local response agencies in their regions. During an activation of one of TEMA’s three Regional Coordination Centers, the regional ESL represents TDOT. Upon being notified of an incident by a TDOT ESC, the Regional ESL then contacts Regional Operations forces, HELP units, the Federal Highway Works Administration, or the Regional Director. The ESL is expected to keep the ESC apprised of the situation. • TDOT Office of Emergency Operations. Develops and maintains all TDOT emergency plans with the exception of the Highway Incident Management Plan. • TDOT Regional Offices. Provide Emergency Service Liaison (ESLs) to TEMA. Perform emergency repair and engineering functions. Provide damage assessment teams. Provide incident scene clearance and make signage. Provide debris removal services. Provide vehicles, radios, and other equipment. • TDOT Central Services Division. Issue over-dimensional/overweight permits. Assist with emergency purchases and procurement. Assist in tracking and mobilization. • TDOT Construction. Provide administrative oversight for emergency construction and contracting, including use of Emergency Contracting Authority. • TDOT Finance. Create and maintain documentation of emergency expenditures. Provide payroll functions. Pay bills. • TDOT Maintenance. Provide Emergency Service Coordinators (ESCs) to State EOC. Provide emergency contracts. • TDOT Structures. Provide support to state bridge repair crews and inspectors. Provide emergency design of culverts, retaining walls, and small drainage structures. Provide structural engineering assistance to local governments. • TDOT Traffic Operations. Provide coordination with Regional Traffic Management Centers (TMCs) and Regional Incident Management Coordinators. Establish policy and standards for traffic management. Develops and maintains the Highway Incident Management Plan. Provide and maintain wireless/radio communications network. • For additional Division responsibilities, see Table 1. TDOT Essential Functions by Division (Prioritized) (2015 TDOT COOP, pages 57–58). Within the state, the State Emergency Operations Center (SEOC) coordinates emergency operations. TDOT’s Emergency Services Coordinator (ESC) represents the DOT within the SEOC and ensures that it fulfills its Emergency Support Function (ESF) roles and functions. When an emergency or incident occurs, TEMA receives reconnaissance reports and then contacts TDOT ESC.TDOT ESC contacts the TDOT Regional Emergency Service Liaison (ESL) who will take appropriate action. The action is input into the SWIFT system, and the Regional ESL reports back to the TDOT ESC regarding the response. The TMC responds to both TEMA and ESC. TDOT has a lead or supporting role in 12 ESFs: ESF-1 Transportation, ESF-2 Communications, ESF-3 Infrastructure, ESF-5 Information and Planning, ESF-7 Resource Support, ESF-9 Search and Rescue, ESF- 10 Environmental Response, ESF-12 Energy, ESF-13 Law Enforcement, ESF-14 Donations/Volunteers,

Case Studies 317 • Ensuring traffic control devices are in place and easily understood by emergency responders moving into an area, diverting unauthorized civilian traffic from the disaster areas, and assisting victims who are voluntarily leaving the disaster areas. This includes coordinating activities with ESF-13 Law Enforcement to provide staffed roadblocks and other control posts. • Ensuring route conditions allow for the movement of any vehicles authorized to use a particular route. • When safe to do so, waiving restrictions concerning weight, height, and width of vehicles as well as provisions concerning the hauling of hazardous materials, explosives, and other sensitive materials needed in the affected areas on a case-by-case basis. • Coordinating the use of vehicles carrying personnel and/or equipment to ensure maximum efficiency is utilized (i.e., vehicles are fully loaded, etc., to prevent duplication of effort, unnecessary trips, etc.). TDOT’s ESF-3 responsibilities are the Route Clearance and Bridge Inspection Sub-function and Debris Removal Sub-function. The former provides the capability of determining route conditions and removal of debris from roadways and airfields to open them up for use by responding personnel, and provides debris removal from major roadways after roadways have been opened and from other areas as determined by the state EOC. The latter provides coordination of removal of debris generated through the demolition of unsafe structures, recovery activities, or through the disaster itself. (TDOT 2015 Disaster Operational Guide) Summary of Tennessee DOT’s Emergency Preparedness Plan The TDOT emergency management planning process involves the following six key steps: 1. Research 2. Review 3. Development 4. CEO Briefing 5. Validation 6. Maintenance TDOT developed the Transportation Emergency Preparedness Plan (TEPP) to direct the DOT’s actions to address any type of emergency, disaster, or hazard. The TEPP complements the Tennessee Emergency Management Plan (TEMP) and delineates the roles and responsibilities of TDOT for emergency preparedness, response, and recovery with respect to the state, TDOT, and the Tennessee transportation infrastructure system. The plans included in the TEPP were developed around state and federal guidelines and the Emergency Management Accreditation Program standards. The stated purpose of the TEPP is “to enhance the emergency response capabilities and other emergency actions of the Tennessee Department of Transportation to ensure continuity of Department operations and functionality of the State’s integrated transportation system.” The key components of the TEPP are: • Hazard Analysis – The Hazard Analysis, based on the Tennessee State Hazard Analysis, provides a focus for TDOT’s emergency planning. The specific responsibilities of TDOT for disasters are noted in the 2015 Disaster Operations Guide: TDOT’s ESF-1 responsibilities: • Ensuring major routes and alternatives are open and available for use by incoming personnel, equipment, and supplies.

318 A Guide to Emergency Management at State Transportation Agencies • Basic Emergency Operations Plan (BEOP) – The BEOP, the TDOT’s emergency operations framework, includes a description of the emergency operations organization, assigned responsibilities, and the direction and control mechanisms. • Continuity of Operations Plan (COOP) – The COOP helps ensure continuity of essential services following a catastrophic disaster or during an infectious disease pandemic. The COOP contains an emergency workforce management plan and pandemic disease plan. • Disaster Operational Guidelines (DOG) – The DOG outlines how TDOT will meet assigned responsibilities for each Emergency Support Function in the TEMP. • Catastrophic Action Plan (CAT) - CAT provides TDOT with planning and management guidance for catastrophic disaster response and recovery missions. CAT annexes include guidance for specific missions (e.g., Dam Failure Response, Debris Management, Winter Storm Response, Agriculture Emergency Response). • Emergency Communications Plan (EmComm) – EmComm describes the communications systems, resources, and capabilities for daily and emergency operations for both internal and external communications. The TEPP has been informed by the following State Authorities and federal and state references: Authorities • TCA 58-2-101 through 58-2-124, as amended • TCA 68-212-201 through 68-212-207, Hazardous Waste Management • Tennessee Emergency Management Plan, 2011 • Governor’s Executive Order No. 7, State Emergency Response Council • Governor’s Executive Order No. 15, ESC program • Governor’s Executive Order No. 23, National Incident Management System • Act of 2002 (6 U.S.C. 101) References • National Planning Frameworks for Public Law 93-288, as amended April 1999 • FEMA Comprehensive Preparedness Guide CPG-101, Developing and Maintaining Emergency Preparedness Plans, Second Edition, 2013 • TEMA BEOP Guidance Document TN 500-1, as amended • Tennessee Multi-Jurisdictional Radiological Emergency Response Plans for Watts Bar and Sequoyah Nuclear Plants, as amended • Tennessee Multi-Jurisdictional Emergency Response Plan for the Department of Energy Oak Ridge Reservation, as amended • The Emergency Management Standard, as promulgated by the Emergency Management Accreditation Program, 2012 TDOT Emergency Management Practices and Technologies Deployed Training and Exercises The Tennessee Emergency Management Plan Paragraph VII.F.2.b.5 states that, “Each state agency that has an emergency-oriented mission…will conduct training essential to implementation of assigned functions.” Governor’s Executive Order No. 49, Interoperable Communications, Homeland Security

Case Studies 319 The TDOT two-year exercise program is built into the emergency management program. The program requires, for each identified hazard, an exercise be conducted at least once in the two-year cycle. The Emergency Management Standards are used as promulgated by the Emergency Management Accreditation Program; HSEEP is used as a reference but not as a standard. TDOT frequently trains, exercises, communicates, and coordinates with the state EMA and other state emergency response providers. In fact, TDOT has an arrangement with the Tennessee Emergency Management Agency (TEMA) to “exchange” training in which training delivered by TEMA is complimentary to TDOT personnel and vice versa. Interdisciplinary training with the Civil Air Patrol is organized at least once yearly. TDOT’s emergency management training plan includes the following training identified through a training needs assessment: • NIMS/ICS training; required courses vary based on worker function • ICS Train-the-Trainer Course • TIM training for all responders • Protect the Queue training for all field employees • Hazardous Materials Awareness training for all field employees • Hazardous Materials for Operational Level Response • Active Shooter Training for all employees • TVA Fixed Nuclear Facilities Emergency Worker Training • Oak Ridge Emergency Worker Training • Storm Spotter Training • Emergency Radio Communications Training • Emergency Management Support Team Training • Damage Assessment Workshop • Basic Public Information • TEMA 101 • Instructor Methodology • Principles of Emergency Management • Exercise Development • Communications Leader Course • Search and Navigation Courses o TEMA Search Operations o GPS Land Navigation Course o Basic Visual Tracking o Managing Search Operations • National Domestic Preparedness Consortium (NDPC) - DHS-funded courses • FEMA National Emergency Training Center NIMS/ICS training and TIM training have already been provided to all emergency response personnel in the TDOT. Cross-Training TDOT’s cross-training strategy seeks to address events that may result in a large absenteeism rate. TDOT procedure is to cross-train four to five additional persons to perform a particular function that has been designated as an “Essential Function” of the DOT. Essential Functions are defined in the TDOT COOP.

320 A Guide to Emergency Management at State Transportation Agencies The training need depends on the gap between the number of people that already have the capacity to perform the function and the number that is required. The actual amount of training required depends on function and system complexity. Tennessee Traffic Incident Management (TIM) Training Facility training facility dedicated to traffic incident management training. The facility offers realistic sections of an interstate-like roadway with a two-way interchange and varying numbers of lanes, a section of a two- lane highway, and a four-way intersection. The facility allows the simulation of various crashes to train emergency responders on major highway incident response. Fixed Nuclear Facility Program Tennessee has two nuclear power plants. TEMA is responsible for off-site emergency response in the event of a radiological incident at either of the plants. TEMA's Technical Hazards Branch provides multiple training and training exercises on an annual basis to federal, state, and local responders. Offsite response is described in the Tennessee Multi-Jurisdictional Radiological Emergency Response Plan (MJREP) while individual plans provide details of response for each of the two nuclear power stations. The individual plans are exercised on an annual basis; a federal exercise is also conducted by FEMA and the Nuclear Regulatory Commission yearly at one of the two plants. The Sequoyah MJREP and the Watts Bar MJREP address the technical aspects of radiological response, while the TEMP addresses overall command and control. The area around the nuclear power plant is grouped into two zones, the Emergency Planning Zone, which extends 10 miles from the plant, and the Ingestion Pathway Zone, which extends 50 miles from the plant. Comprehensive Exercise Program The Comprehensive Exercise Program (CEP) for the State of Tennessee Department of Transportation is a supporting document to the TEPP and is an agency-wide comprehensive emergency management exercise program plan and framework for TDOT. The document states that the “goal of the CEP is to develop, implement and institutionalize a quality comprehensive, objective based and threat focused exercise program” (p. 4, CEP). More specifically, the program purposes are “a) To exercise emergency responses to all possible and the more likely probable threats to Tennessee, such as tornados, flood, winter weather, drought, fire, earthquake, and hazardous materials accidents. b) To establish a corrective action program that will identify shortfalls in policies, personnel or equipment that may prevent effective or efficient response to emergency or disaster situations” (p. 23, CEP) . The document supports the State Multi-year Training and Exercise Plan/Program (TEP) and is intended to fulfill federal HSEEP requirements; at the same time, it should be noted that the State of Tennessee incorporates the HSEEP process into the planning methodology but not as regulation. In addition to the HSEEP, the Emergency Management Accreditation Program (EMAP) and Emergency Management Performance Grant (EMPG) documentation are also used as guidelines by TEMA and TDOT. Standard components to be included in exercise plans along with exercise scheduling and priority determination are described in the CEP. Tennessee’s Multiyear Exercise Plan includes a listing of exercise priorities for each. The current exercise priorities for 2015, 2016, and 2017 are shown as follows: In October 2014, TDOT and the Tennessee Department of Safety and Homeland Security opened a

Case Studies 321 1. Training Year 2015 (October 2014 – September 2015) Exercise Priority 1. Transportation Accident (HazMat) 2. Terrorism 3. Tornado Outbreak 4. Communications 5. Winter Weather 6. Energy Failure 7. Hazardous Materials 2. Training Year 2016 (October 2015 – September 2016) Exercise Priority 1. Severe Weather/Flood 2. Geological Hazard 3. Dam or Levee Failure 4. Transportation (non HazMat) 5. Terrorism 6. Communications 7. Hazardous Materials 3. Training Year 2017 (October 2016 – September 2017) Exercise Priority 1. Earthquake 2. Dam or Levee Failure 3. Communications 4. Continuity of Operations 5. Energy Failure 6. Severe Weather/Winter Storm/Tornado Outbreak 7. Hazardous Materials (TDOT Appendix 2, 2012 CEP) Under state law, TDOT must exercise each hazard once every two years. Because regions require HQ support to develop and implement exercises, TDOT HQ coordinates them on their behalf. Tabletop exercises for winter weather response are delivered every December. Participants include TDOT, FEMA, and Highway Patrol. Region 3 participates in joint exercises with Civil Air Patrol on a regular basis. Since Tennessee experiences weather-related hazards during the March- May period, TDOT does not conduct exercises during this period. After every exercise or real-world event, AARs are developed to capture lessons learned, identify areas of needed improvement, and assign the improvements to a functional area within the TDOT. Bridge Monitoring Tool TDOT’s bridge monitoring tool was implemented in 2004 to help TDOT prioritize and schedule disaster assessments for TDOT’s bridges. TDOT’s bridges and their conditions are included in the TDOT bridge monitoring tool. When an event occurs and certain thresholds are exceeded, the tool alerts TDOT emergency personnel and assists in providing situational awareness and geospatial information. To prioritize assessments, the tool uses information about drainage areas, foundations, and other information to analyze the impact of specific events on each bridge.

322 A Guide to Emergency Management at State Transportation Agencies There are currently 19,838 bridges in Tennessee, of which 17,154 are over water and 723 are scour critical. There are also 891 unknown foundation bridges—85% of these are locally owned. TDOT has about 17 bridge disaster assessment teams across its four regions; the teams are led by a bridge engineer. Within 24 hours of a flood, a regional bridge inspection unit is dispatched to inspect the bridge per TDOT’s emergency plan. For significant events, such as an earthquake event larger than a 5.5, all bridge inspection crews are dispatched to the affected region and perform evaluations according to priority established in the Department’s Earthquake Annex. Bridge inspection units upload the status of the bridges after flood events so notes can be entered into the system and the event alert terminated. Prior to reopening, bridges closed due to flood events must have TDOT region bridge inspection approval. The internet-based tool is customizable with TDOT TRIMS data and monitors bridges on a 24/7 basis using NOAA and USGS information for dangerous conditions within the state. The TRIMS database contains FHWA required bridge data along with additional data (foundation types, substructures, paint system), which can help determine pre-disaster conditions. The tool can use the information to predict the consequences of particular events. The current default thresholds are 25-year rainfall events for scour critical and unknown foundations. Some are also set to NEXRAD radar and USGS stream gages. Once the trigger level is reached (e.g., rainfall of x inches) the tool will send out alerts via email, fax, and/or cell phone text for specific bridges that are in danger of incurring damages. LPAs can enroll in this system. Information and photos from disaster assessments can be uploaded in PDF format to the tool. Laptops are provided to the disaster assessment teams so that they are able to upload the information from the field. The May 2010 flood caused significant damages to TDOT’s bridges. While 89% of the highway bridges had no significant damages, at least 1,167 structures were damaged and needed repairs. Forty-four of the 52 counties had bridges that suffered maintenance issues because of the flood. The tool alerted TDOT personnel regarding damaged bridges and helped in tracking and disseminating bridge condition information to relevant personnel. The usefulness of this tool and bridge database was fully demonstrated during this May 2010 flood event. Process Milestone Tracking Tracking milestones, as noted in NCHRP Synthesis 472, can assist state DOTs in ensuring that the key requirements of the FHWA ER program are being met. Tracking individual projects in the FHWA ER program is also important. TDOT uses FHWA ER process tracking tables with key milestones to monitor and track each FHWA ER milestone (see Table 1). These tables show the required actions for the FHWA ER program. A detailed FHWA ER project tracking spreadsheet helps manage individual projects (see Table 2).

Case Studies 323 Table 1. TDOT FHWA ER process tracking table. Note: Table 1 has 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 version.

324 A Guide to Emergency Management at State Transportation Agencies Table 2. FHWA ER project tracking. Regional Incident Management Plans Interstate Incident Management Plans were developed for each TDOT region and its Maintenance and Incident Management offices in particular. The Plans provide action plans and pre-established sections and detours. The stated goals of the Plan include • “Decrease response time for Department staff to respond to interstate closures • Detail work zone traffic control so that Maintenance staff know what measures to put in place to maintain staff and public safety • Have well-planned detour and/or alternate routes with appropriate signing where feasible • Keep motorists moving safely to their destinations and/or places of rest” The Plan builds on an earlier project that divided the interstate into color-coded Incident Management Zones and identified corresponding color-coded detour routes. The Plan includes maps of the Interstate sections and corresponding contacts of TDOT, local emergency responders, local law enforcement, and state highway patrol. District personnel from each of the districts in the regions are expected to be thoroughly familiar with the latest version of the Plan. To this end, Work Zone Traffic Control training is being implemented for maintenance workers by the regions. The training enhances understanding of the standards and specifications for deployment of traffic control along with measures to ensure employee safety.

Case Studies 325 The Interstate Incident Management Plans for each TDOT region will be updated as needed and can be accessed via the following link: https://www.tn.gov/tdot/article/interstate-incident-management- plan#sthash.tlzdM9uN.dpuf Conclusions and Lessons Learned Information regarding TDOT’s emergency preparedness plan, emergency training and comprehensive exercise plan, and their key components will be useful for state DOTs seeking to improve their emergency preparedness plans and exercise plans. The topics and templates contained in the components of the TEPP and the CEP may assist state DOTs develop their own emergency plans. Templates and the suite of plans offered through the DHS National Planners Course can be helpful in creating emergency management plans. In addition, the state EMA can provide a wealth of knowledge and expertise in plan development, training and exercise development, and implementation. Remember that plans can be written on three levels: • Agency level – which results in the Strategic Plan • Regional level – which results in the Operational Plan • District level – which results in the Tactical Plan Resilience has been mentioned in transportation legislation. It has been part of TDOT activities and operations for many years since TDOT is one of six pay-as-you-go agencies. While resilience efforts have saved TDOT millions of dollars, they are difficult to itemize because there are so many measures that have become a part of daily operations. The state develops a Mitigation plan to which TDOT provides input in the form of priority projects. Results of exercise, testing, and drills are considered measures of success. The results highlight strengths and weaknesses of the agency’s emergency management program. A lesson learned, however, is a misnomer because lessons cannot be learned unless the results are documented, and corrective actions are tracked to implementation. Information regarding the bridge monitoring tool and the process tracking milestones may help other state DOTs in the reimbursement processes by aligning their practices with the requirements of the federal FHWA Emergency Relief (ER) and FEMA Public Assistance (PA) programs.

326 A Guide to Emergency Management at State Transportation Agencies Iowa DOT Case Study: FHWA ER and FEMA PA Reimbursement Programs A summary of Iowa DOT’s emergency management roles and responsibilities and overview of practices related to the FHWA ER and FEMA PA reimbursement programs are provided in this Case Study. Three technologies used by Iowa DOT for emergency management and FHWA ER and FEMA PA programs are highlighted: • Iowa DOT’s real-time weather and operations information that has improved safety for Iowa DOT personnel and the public; • Resource Management System modules created for the FHWA ER and FEMA PA programs that have allowed Iowa DOT to identify and process billings in an efficient and timely manner, and have made it cost-effective for the DOT to recover costs from small disasters; • Electronic Detailed Damage Inspection Reports (DDIRs) that have significantly decreased the DDIR processing time, time needed for revisions and for distributing them. State Background Under its purview, Iowa DOT has 9,000 miles of highways that are in the Federal and State Highway System. There are 24,000 bridges, approximately 4,100 are part of the Primary Highway System. Iowa DOT has about 3,000 personnel and comprises six districts. Iowa DOT’s Transportation Systems Management and Operations Office oversees management of the emergency transportation operations response efforts on behalf of the DOT. State Transportation Agency’s Emergency Management Responsibilities Iowa’s Emergency Response Plan requires Iowa DOT, upon a Governor’s Proclamation of Disaster Emergency, to be prepared to deploy resources and provide requested personnel to staff the Emergency Operations Center, and provide requested equipment. Iowa DOT has a Stewardship Agreement with the FHWA to administer the FHWA ER Program. Also, all Iowa DOT’s roadways are federal-aid routes and have been eligible for FHWA ER funding. Post MAP-21, some debris removal is no longer eligible under the FHWA ER but eligible under the FEMA PA program, and federal share has now decreased to 75%. Iowa DOT is the lead for Transportation (ESF-1) and is responsible for: • Restoring and maintaining the primary road systems needed for the support of response activities during and immediately following an emergency or disaster. • Restoring and maintaining other public transportation systems needed for the support of response activities during and immediately following an emergency or disaster. • When necessary, assisting with the restoration and maintenance of non-public transportation systems, such as railroad and aviation, needed for the support of response activities during and immediately following an emergency or disaster. • Coordinating requests for transportation system repair and restoration assistance from local emergency response organizations, local governments, and state agencies. • Whenever practical, meeting the minimum transportation needs of the general public in emergency/disaster affected areas. • Gathering data for emergency response and for general public use about the effects of an emergency/disaster on transportation systems and associated infrastructure.

Case Studies 327 • Tracking transportation system restoration activities on a statewide basis. • Restricting the use of transportation systems and associated infrastructure by the general public to facilitate emergency response activities and/or address public safety concerns.” (Iowa Emergency Response Plan, 2010) Iowa DOT is the co-lead for Public Works and Engineering (ESF-3), which is organized into six sub- functions. Iowa DOT is the sub-function lead for Debris Removal, co-lead for evacuation, and co-lead for Engineering and Technical Services. Iowa DOT has designated reimbursement coordinators for both the FHWA ER and FEMA PA programs within its Central Office as well as in its district offices. Iowa DOT provides FHWA ER and FEMA PA program and disaster assessment training to its personnel and LPAs using scenarios from previous disasters. In addition, Iowa DOT provides FHWA ER training to state EMA staff to support their effort in helping LPAs with the FHWA ER reimbursement process. Iowa DOT employees are also trained for the state EMA disaster assessment teams and state EMA project officer or project coordinator roles. Iowa DOT Emergency Management Practices and Technologies Deployed To facilitate cost recovery, Iowa DOT uses the following accounting and financial management practices: internal audits, FHWA FMIS, unique project codes, uniform invoice system for counties, automatic screening of duplicate costs, and statewide integrated financial, HR, and payroll system. To facilitate documentation and information management, Iowa DOT uses electronic storage, central drive/location for storage, and electronic signatures. With respect to site assessments, Iowa DOT uses weather information system, geospatial information, historic data mapping to show repetitive losses, a bridge/highway/pavement management system, and it distributes information packets to assessment teams. With respect to asset management, Iowa DOT equips snowplows with GPS and uses a bridge monitoring system to assess and predict the impact of damages. Iowa DOT contracts out most emergency work and has emergency waivers for permits and the like. To address Appeals issues, Iowa DOT holds discussions with its FHWA Division Office. Iowa DOT staff training addresses reimbursement programs, disaster assessment, and emergency management roles and responsibilities, including FEMA PA roles. Iowa DOT also provides training to the state EMA and LPAs. Technology: Real-Time Weather and Operations Information Iowa DOT’s “Weatherview” website provides real-time road weather information to the public and current and potentially dangerous weather forecasts to help disaster assessment teams determine site safety. Weatherview, developed in 2009, has continually been updated. It now includes access to road cameras, traffic flow information, and email and mobile-text alerts triggered by weather events. The site can be accessed via http://weatherview.iowadot.gov. A screenshot of the system is shown in Figure 1.

328 A Guide to Emergency Management at State Transportation Agencies FIGURE 1. Screenshot of the Iowa DOT Road Weather Information System. (Source: Iowa DOT Weatherview (http://weatherview.iowadot.gov/). The Weatherview system includes a map displaying weather information (air temperature, road and bridge temperatures, wind speed and direction, wind gusts, dew point, and visibility) from Road Weather Information System (RWIS) stations and Automated Weather Observation Systems (AWOS). Additional features of the system include the following: • Site-specific forecasts and historical weather information • Camera image gallery • Rural traffic speed information Weatherview shows current RWIS/AWOS information as well as forecasts. Weatherview has been “trimmed down” over the years with some functionality split off in new systems: Skyhawk and Trackaplow. Weatherview continues to function as a portal for real-time and forecast road weather information. WOPR/Skyhawk replaced Weatherview’s functionality regarding crew deployment. WOPR was our internal AVL system that showed current truck location/info/imagery and could run historical reports. WOPR was replaced by Skyhawk a few years ago, so perhaps for the purpose of this report, you can focus just on our current system: Skyhawk. Trackaplow is a public website showing current plow information and dash cam imagery.

Case Studies 329 Trackaplow and Skyhawk offer lots of detail regarding current truck locations, and what they are doing. Skyhawk also has the ability to summarize fleet usage or create historical reports regarding a truck’s whereabouts, which can be used in conjunction with RMS for disaster record keeping. This information allows Iowa DOT to determine the daily equipment and labor usage during storms. Technology: Resource Management System (RMS) During a disaster the Iowa DOT maintenance garages track labor, equipment, materials, and expenses using project numbers and functions. The maintenance garages also track location of work using the appropriate schedules and rates for each program. These modules enable Iowa DOT accounting staff to identify costs and associate them to specific FEMA Project Worksheets (PWs) or FHWA DDIRs within the system. The information can be exported from RMS into an excel worksheet in the format needed for the FEMA PA or the FHWA ER program. This system prevents billing duplications and has decreased audit issues, both at a state and federal level. The number of administration staff needed to identify costs and create reports has decreased by more than half. Also, small disasters with relatively small recoverable costs were previously not billed, because the amount of the administration hours needed to identify disaster costs outweighed the recovered costs. This system has allowed Iowa DOT the ability to identify and process billings for small disasters in just a few hours for the FEMA PA program. The system allows the Iowa DOT to recover more disaster costs in a more efficient and timely manner. Technology: Electronic DDIRs Increases in cost reimbursement opportunities led Iowa DOT to identify better methods of tracking costs and processing necessary paper work for both the FHWA ER and FEMA PA programs. In the extensive flooding event in 2008, hundreds of DDIRs had to be processed, and project tracking and storage was done manually. Each project required that a DDIR with a map and attachments be submitted. The users had to type, print, and scan the document or complete the DDIR by hand, and scan and email. Only about 15 DDIRs were being processed daily. Changes to the DDIRs were time-consuming, and email size restrictions forced a DDIR to be submitted in several separate emails. Based on these and other issues, an AAR recommended the creation of an electronic form. The new form took about 1.5 years to complete at a cost of about $85,000 to $100,000. The new system included a mapping system that automatically creates a map with Lat/Long or County/Route/Milepost, the automatic conversion of attachments into a PDF file, and the use of electronic signatures. The new form was expandable to incorporate additional lines, and revisions could easily be made. The system sends automatic notifications to all relevant offices (i.e., Accounting, Central Office). A central database linked with all other systems and databases is used to store and track all project-related information. The DDIR system was first used for the 2011 flooding event (the event is described in detail in the case study contained in NCHRP Synthesis 454). The system greatly decreased the number of hours needed to develop, process, and approve the DDIR, and enhanced the efficiency and effectiveness of the communication process. The DDIR forms are now being completed in the field using laptops; in the future, they will likely be available via tablets and smart phones. These efficiencies allowed projects to be started sooner and important reimbursement program deadlines to be met. Iowa DOT achieved a 90% time reduction in DDIR completion. RMS system. Modules for FHWA ER program and FEMA PA program created within the system use the

330 A Guide to Emergency Management at State Transportation Agencies Louisiana Department of Transportation and Development (DOTD) Case Study: Asset Documentation and Tracking, Procedures for Emergency Transportation This case study covers three key lessons to be learned from the Louisiana DOTD related to (1) pre- disaster, pre-event inspection and documentation of transportation asset conditions; (2) asset tracking of transportation resources from mobilization through demobilization, including leased, contracted and agreement-based coaches, vans, and school buses; and (3) explicit plans and procedures for emergency transportation for people with access and functional needs. DOTD transportation assets and tracking practices support the local evacuation practices throughout the state. State Background Under its purview, Louisiana Department of Transportation and Development (DOTD) has 16,000 miles of highways that are in the Federal and State Highway System, approximately 8,000 bridge structures, and 120 movable bridges. DOTD has about 4,000 personnel and comprises nine districts. DOTD’s Emergency Management Responsibilities, Practices, and Plans Under the 2009 State Emergency Operations Plan, DOTD is assigned as the lead agency for Emergency Support Function (ESF)-1 Transportation and Emergency Support Function and ESF-3 Public Works and Engineering. ESF-1 involves the coordination of all modes of emergency transportation. Transportation in emergencies consists of the movement of people, household pets, and critical supplies. ESF-3 involves the pre-staging of assets in preparation for contra-flow, damage assessment of state owned roads and facilities, and debris clearance and removal off of roadways and bridges. ESF-3 responsibilities also include the coordination of the maintenance and repair of state flood control works, emergency ice and snow removal, and the coordination of the evaluation and repair of coastal and watershed erosion. In addition, DOTD also provides support to other ESFs depending on the nature of the emergency and the type of support required. DOTD has a Stewardship agreement with FHWA to administer the FHWA ER program. It has three FTEs dedicated to reimbursements. During emergencies, DOTD works with other emergency response agencies and with neighboring states. The state emergency management agency (EMA) is the Louisiana Governor's Office of Homeland Security and Emergency Preparedness (GOHSEP) and is the FEMA grantee. GOHSEP receives and processes the damage assessment reports, and delivers the reimbursement funds to DOTD. DOTD Emergency Management Practices and Technologies Deployed Thorough Pre-Disaster Documentation The DOTD ESF-1 pre-event procedures involve ten pre-mobilization steps. The tenth is particularly instructive as exemplary pre-disaster documentation: “10. Records the actions during the pre-mobilization for cost accountability, resource utilization, and future corrective actions. More specifically, Incident Command Structure (ICS) series forms

Case Studies 331 and an operational log at the EOC are utilized. State and agency forms and records are completed to capture the details of what actions were taken and what resources were used.” Even during this pre-event stage, DOTD prepares itself to manage resources and monitor them. A pre- event inspection of damages and/or deficiencies to vehicles and equipment is conducted particularly for reimbursement purposes. Comprehensive Transportation Asset Tracking Mobilization occurs when the Unified Command orders a statewide activation and instructs DOTD to activate contracts and MOUs. They include a Coach Bus contract, an Interagency Support Agreement (ISA) with the Department of Education, and vehicle staging area MOUs. During the mobilization phase, transportation personnel, resources, and equipment are moved to selected locations. Districts are responsible for staffing the locations and providing logistical and administrative support and support staff to coordinate resource procurement. Resource tracking is important during the mobilization process to ensure that adequate transportation resources are provided at each location. The districts establish ESF-1 Operations and are responsible for documenting the movement of services, personnel, equipment, and other resources, including the resources departing from and arriving to staging areas. DOTD has recently refined its asset tracking procedures to its ESF-1 and ESF-3 Operations Plan for emergencies by incorporating lessons learned from ISAC. Assets that require tracking include vehicles that are organic to DOTD and vehicles owned by other agencies and organizations used by DOTD for evacuation purposes. Commercial coach buses and commercial vans provided through an existing contract, and school buses from the Department of Education are the most often used transportation assets (emphasis added). Asset Tracking is important in maintaining situational awareness during disasters and for documentation of resources utilized for reimbursement purposes. DOTD’s Asset Tracking activities include: • Maintaining real-time information on the operational status of any asset being used during an event. • Identifying transportation assets used or controlled by DOTD. • Directing the use of transportation assets used or controlled by DOTD. • Recording the use of transportation assets used or controlled by DOTD. • Reporting the use of transportation assets used or controlled by DOTD. Asset Tracking assists DOTD in being financially responsible by controlling asset costs and facilitating the reimbursement process. It also helps provide the basis for key decisions and priority of asset use. Recording Procedures and Forms DOTD District personnel record information regarding resources on the appropriate forms (per the ESF implementing procedures), and report it as soon as possible to the ESF-1 or ESF-3 branch within the EOC. The information is then entered into the WebEOC, which makes it accessible from any location in the field. The information includes assignment rosters, asset tracking information, and task orders along with activation time. Copies of activated service contracts are forwarded to the Reimbursement and Recovery team.

332 A Guide to Emergency Management at State Transportation Agencies For the ESF-1 requirements, DOTD uses a GPS tracking system (web-based) provided by the vendor to locate assets in real time as well as recording and reporting on the use of the assets. DOTD also provides navigational devices to provide the operators of transportation assets the most direct route to and from locations. ESF-3 uses navigational devices as well for the damage assessment teams. The GPS systems are used by other DOTD staff elements at various locations to report on the use of DOTD controlled assets. Evacuation to Accommodate Persons with Access and Functional Needs Commercial coach buses and commercial vans provided through an existing contract and school buses from the Department of Education are the transportation assets most often used by DOTD. In large part, this is because Louisiana has taken to heart the lessons of Hurricane Katrina. It plans and implements emergency transportation services for the whole community, including people with access and functional needs. This includes people with disabilities as well as children, elderly people, and poor people who may require transportation services in an emergency. Local jurisdictions typically have primary responsibility for response, with the state supporting them when they are overwhelmed or request assistance. Subsequent to Hurricane Katrina, the City of New Orleans, in cooperation with the New Orleans Regional Transit Authority (NORTA), GOHSEP, and DOTD, developed a City Assisted Evacuation Plan (CAEP) to facilitate the timely evacuation of people with access and functional needs. The CAEP is a program designed to help people who have no means of evacuating on their own in the event of a mandatory evacuation. During an evacuation, NORTA puts all available vehicles, drivers, and other resources into use to help the City with its evacuation plan. “We use our buses to transport people from designated pick-up points around the City to the Union Passenger Terminal/Amtrak Station (UPT). From the UPT, residents are then taken out of town on other transportation arranged by the City of New Orleans” (NORTA 2016). That transportation out of town is coordinated with DOTD. The CAEP was activated for Hurricane Gustav, and proved to be largely effective. With very minor modifications, the example timetable for the plan was included in NCHRP Report 740: A Transportation Guide for All-Hazards Emergency Evacuation, as Tool 4.1.2: Public Assisted Evacuation Plan (PAEP) Example Timeline for Notice Events, one of many tools to assist transportation agencies and regions in evacuation planning. Technologies Enabling Asset Tracking

Case Studies 333 TOOL 4.1.2: PUBLIC ASSISTED EVACUATION PLAN (PAEP) EXAMPLE TIMELINE FOR NOTICE EVENTS PURPOSE: This tool provides a timeline for a PAEP, which should be helpful for planning and responding to an evacuation for a notice event, especially hurricanes and possibly wildfires and tsunamis. It sets forth key phases and milestones for evacuation response that should be planned for ahead of time (see Figure 2). Phases include the Leaning Forward Phase, the Make Ready Phase, the Execute PAEP Phase, the Wind Down PAEP Phase, and the Transition to Response Phase. Figure 2. Key phases and milestones for evacuation response for a PAEP. DIRECTIONS: This timeline should be used as a starting point for local, regional, and state planning efforts for determining the timeline for a notice evacuation event, particularly hurricanes and possibly wildfires and tsunamis. However, for wildfires and tsunamis, the notice might be much shorter, thus there would be less time to respond before the event. Plans across governments and agencies should consider various actions during each of these phases and work together to ensure adequate collaboration, and refine the timeline estimates for their particular region and event. Moreover, plans from various agencies and across multiple jurisdictions should come to agreement on and adhere to the timeline and to the operational strategies that accompany it. Public Assisted Evacuation Plan (PAEP) Example Timeline for Notice Events 012 Emergency responders mobilize for recovery phase ~12 hrs prior to disaster 6 Begin pickups for ground- based PAEP, including bus, rail, van, shuttle and ambulance Airports shut down (if necessary) TRANSITION TO RESPONSE 60 36 Launch PAEP; Dispatch buses and security MAKE READY EXECUTE PAEP Transit/coach buses with last passengers leave area 304084 hours Begin evacuating people to airports for those that need to leave the region via plane 85 45 24 Begin contraflow of highways Lean Forward Phase: Local, state and federal agencies activate plans, notify staff, begin mobilizing resources and equipment 5072 hours Last vans, trains and ambulances leave the area WIND DOWN PAEPLEAN FORWARD Source: NORTA, 2016, http://www.norta.com/Rider-Tools/Safety-and-Security/Evacuation-Plans.aspx

334 A Guide to Emergency Management at State Transportation Agencies Caltrans Case Study: Training and Emergency Management Technology A summary of Caltrans emergency management related training and exercises along with an overview of the technologies utilized for emergency response and recovery are provided in this case study. State Background Caltrans, California’s state DOT, with 12 district offices and 22,000 employees, is one of the largest in the United States. Caltrans has an in-house Maintenance Training Academy in Sacramento with 9 or 10 full- time trainers and support personnel to train its 6,000 maintenance personnel and new hires. The Academy, established in 1979, also brings in trainers and other staff from district offices for various classes. At times, the Academy staff will travel to the district offices to provide training. Caltrans also uses the California Specialized Training Institute (CSTI) for some of its training needs. CSTI is a part of CalOES and supports emergency management, public safety, homeland security, hazardous materials, disaster recovery, and crisis communication training, exercises, and education. In addition, Caltrans participates in multiple yearly training exercises sponsored by CalEMA and other agencies. California Governor’s Office of Emergency Services (CalOES) certifies all Caltrans’ emergency management related plans. Caltrans receives technical assistance from contractors and FEMA and CalOES on Emergency Management and plan development. Caltrans refers to all relevant NCHRP and TRB documents during the plan development process. Caltrans’ natural hazards priorities have been and continue to be fires, floods, and earthquakes. Winter operations are now becoming a priority for Caltrans as well. With regards to manmade threats, Active Shooter has become a priority in recent years, particularly after the Active Shooter incident in San Bernardino and shooting incidents at Caltrans. In one recent event, a Caltrans employee killed his supervisor and then himself after being reprimanded. Caltrans Training and Exercise Program Caltrans’ MultiYear TEP includes multiple training workshops and courses, drills, and exercises delivered by Caltrans as well as training and interagency exercises and training delivered by CalOES, CSTI, and the Earthquake Country Alliance. Caltrans’ MultiYear Training and Exercise Plan (2013‒2017) • Four All-Hazards Training Caltrans Workshops (one per quarter) • Three CCOP/COG Caltrans Workshops • Monthly NIMS/SEMS/ICS and First Observer Caltrans Training • Monthly Caltrans Headquarters and Alternate EOC Readiness Exercise • Monthly Caltrans Sat Com Auxiliary Radio Systems Statewide Drill • Monthly Caltrans Microwave Telephone and Fixed Satellite Telephone Drill • Monthly Caltrans HazMat First Responder Operational and Awareness Training • Monthly Caltrans New Employee Maintenance and Operations (NEMO) and Introduction to NIMS/SEMS/ICS Training • One Caltrans Beginning Blasters Training • One Caltrans Blasters Refresher – Rock and Stump Training • One Caltrans Blasters Refresher – Avalanche Control Training • One Caltrans Avalanche Training

Case Studies 335 • Eight California Specialized Training Institute (CSTI) HazMat Technician/Specialist Training • Four CalEMA Safety Assessment Program Evaluator Training for Caltrans Personnel • One CalEMA Disaster Mortuary Operational Response Team (D-MORT) Training • Participation in the statewide Great California Shakeout Interagency Exercise organized by the Earthquake Country Alliance • Participation in… o Annual CalEMA Golden Guardian Initial Planning Conference (7 months prior) o Annual CalEMA Golden Guardian Midlevel Conference (3 months prior) o Annual CalEMA Golden Guardian Executive Table Top Exercise (TTX) (1 month prior) o Annual CalEMA Golden Guardian Exercise o Annual CalEMA Golden Guardian Hot Wash/After Action Report (2 months later) Note that the initial planning conference is held seven months prior to the actual Exercise. CSTI is a part of CalOES and supports emergency management, public safety, homeland security, hazardous materials, disaster recovery, and crisis communication training, exercises, and education. Training Caltrans provides classroom training, including monthly NIMS/SEMS/ICS and First Observer training at its Maintenance Training Academy to new and existing maintenance personnel. More specifically, Caltrans requires ICS (IS-100) for all new field personnel, along with training on the Standardized Emergency Management System (SEMS) for California. NIMS, SEMS, and ICS are included in the 2-week training provided to new maintenance employees. SEMS is similar to NIMS/ICS and includes key components of NIMS and ICS. CalOES provides California-specific NIMS guidance and manuals. Note that California complies with NIMS through a self-certification process. Cognizant of the fact that interactive field training would improve preparedness of field personnel, In addition to Introduction to ICS (IS-100), new field personnel are required to take the following training: • Maintenance Employee Safety Orientation • Standard First Aid • CPR Refresher • Protection of Workers • Defensive Drivers Training • Heat Stress • Sexual Harassment Prevention (Rank & File) • Hazardous Substance First Responder Awareness Level • HazMat Communications Program • Hearing Protection Program • Temporary Traffic Control • Storm Water Management • New Maintenance Employee • NIMS Compliance for Field Friday • Vendor Workplace Safety and Personal Responsibility • Diversity Awareness Training (Rank & File) Caltrans sponsored development of ICS field training through NCHRP Project 20-59(30) and pilot tested it.

336 A Guide to Emergency Management at State Transportation Agencies Caltrans uses workshops to deliver all-hazards training and COOP/COG training: each year, Caltrans holds four All-Hazards Training Workshops (one per quarter) and three COOP/COG Workshops. With respect to safety training, Caltrans safety officers provide safety and hazards training, including HazMat communications, confined spaces, standard emergency management, hazardous waste generation, emergency responder awareness, emergency responder operations (for supervisors), and management for HazMat specialists. Bridge crews receive specialized week-long bridge crew training at the Academy. Drills and the train-the-trainer method are used to train field personnel on equipment. As personnel undergo training, they will be evaluated. If the trainer determines that the trainee cannot use the equipment, they will not continue with the training – the trainee will need to take additional training before receiving the hands-on training. Exercises Exercises are important to Caltrans so that weaknesses can be identified. Some of the weaknesses are caused by a high level of employee turnover. The focus of exercise scenarios has been on local hazards, such as fire, flood, and earthquakes. Currently, Caltrans is participating in the Cascadia Rising exercise focused on a Cascadia Subduction Zone event in Redding, California. Caltrans selects exercise types appropriate for the exercise objectives. For instance, TTXs are used for management purposes and development of plans and procedures. Caltrans participates in the annual CalOES Golden Guardian Executive Table Top Exercise (TTX) which is held one month prior to the actual CalOES Golden Guardian FSE. In addition, Caltrans incorporates its communications technologies and systems into its FSEs. Caltrans holds drills to evaluate personnel, technologies, and equipment; and to develop plans and procedures. Caltrans’ personnel undergo monthly drills to ensure that they can mobilize the technologies and equipment; during the drills, any issues with the systems will be flagged as well. Monthly drills are held on Caltrans Microwave Telephone and Fixed Satellite Telephone and Sat Com Auxiliary Radio Systems—a satellite communications system owned, managed, and operated by Caltrans for the purpose of emergency communications within Caltrans and with other agencies. Caltrans Emergency Management Technologies Caltrans uses many technologies for emergency response and recovery. In addition to technologies used in daily incident management, Caltrans has emergency communications essential for large-scale disasters and complex events in which normal channels of communications are disrupted. Caltrans also uses an emergency mapping system to assist its personnel in gaining situational awareness during emergencies. Caltrans’ FireCast, FloodCast, and ShakeCast systems correspond to Caltrans’ priority hazards – fires, floods, and earthquakes. These systems assist Caltrans in damage assessment immediately after an event. In addition, Caltrans has a tsunami warning system. With respect to EOCs, because TMCs have substantial ITS technologies to assist with day-to-day traffic incidents, most Caltrans EOCs are co-located with TMCs. However, in case a TMC becomes inaccessible, Caltrans has developed contingency locations for EOCs and Incident Command Centers. Caltrans also has trailers and tents that allow Caltrans to establish their communications systems in emergency events. Satellite Communications Caltrans has two Mobile Emergency Operations Centers (MEOCs) with CT SAT COM technology, one in Northern California and one in Southern California. MEOC trailers provide important communications

Case Studies 337 services and support to an Incident Command or Unified Command Post. CT SAT COM is a satellite communications system owned, managed, and operated by Caltrans for the purpose of emergency communications within Caltrans and with other agencies. Various new technologies are periodically added to the MEOCs. As implementation occurs, appropriate training is delivered to emergency personnel. When Caltrans organizes or participates in full-scale exercises, the CT SAT COM system and/or the MEOCs are incorporated into the exercises and evaluated through AARs. Emergency Management Common Operational Picture (EMCOP) EMCOP is a web-based emergency management mapping application allowing Caltrans personnel to view data from multiple sources during an emergency. EMCOP assists emergency personnel achieve situational awareness by allowing them to access the following: Caltrans Data • Assets, such as maintenance facilities and telecommunications towers • State and local bridge locations • Quickmap of lane closures, chain controls, highway cameras, and California highway patrol incidents • California highway map External Data • Flood warnings • NOAA storm reports • Flood stream gauges • National Weather Stations • Flood hazard areas • Fire information • Shakemap • Natural hazards • Real-time weather information EMCOP is GIS-based and its functionality includes ability to query the system, bookmark map locations, easily create maps and export as image files, point and click layer information, overlay various data layers, street view, identification of assets with buffer zones, and printing capability.

338 A Guide to Emergency Management at State Transportation Agencies Caltrans Case Study: MPO Emergency Management Coordination Background Regional coordination and planning are essential for effective regional emergency management. MPOs, Regional Councils of Government, and Rural Planning Organizations (RPO), and other regional entities serve an important role as conveners of meetings around highway, transit, safety, and (sometimes) security projects. Federal law [Title 23 United States Code section 134] defines an MPO as a forum for cooperative transportation decision-making. An MPO serves an urbanized area over 50,000 in population, but a single MPO may serve more than one urbanized area. They are responsible for the regional transportation planning processes, including long-range planning (Long Range Transportation Plan), short range planning (Transportation Improvement Program or TIP), and an annual program of work (Unified Planning Work Program or UPWP). Many MPOs address regional coordination for programs, such as emergency planning, housing, health, and other regional services. Among the key regional transportation planning entities in California are eighteen MPOs. Every county in California with at least one urbanized area is served by an MPO. MPOs are generally known in California as councils of government or associations of government. MPOs are not identified as a support agency under Emergency Support Function-1 (Transportation), but can assist with or provide a forum for emergency preparedness and response. As noted in the California Metropolitan Planning Organization Regional Transportation Plan (RTP) Guidelines: “Although the immediate organizational response to security incidents and disasters will be the responsibility of law enforcement/safety agencies, there is an important role that MPOs can play in promoting coordinated planning among first responders and transit agencies in anticipation of unexpected events or natural disasters. In addition, MPOs could also provide a centralized location of information on transportation system conditions and the responses that might be useful in an emergency.” The Guidelines also stipulate that transportation security (including emergency preparedness) is an element that should be incorporated into the RTP. Not all MPOs recognize their role as a leader or coordinator of emergency planning. Fewer still have taken on a more active role in coordinating regional emergency response. Because every MPO is different, there are many approaches to emergency management. Some MPOs may focus on limited aspects of emergency preparedness. For example, the Alpine County Local Transportation Commission (ACLTC), a Regional Transportation Planning Agency (RTPA) in California, focuses on evacuation planning in its 2015 RTP. Others, especially larger MPOs, such as the Metropolitan Transportation Commission (MTC), may take on more extensive emergency planning and coordination roles as described in the following section.

Case Studies 339 The MTC is the MPO responsible for the nine county San Francisco Bay Area region, a region with 7 million people and 101 cities. The Bay Area transportation network consists of 20+ transit agencies and Caltrans, and it is responsible for 7,000 miles of transit routes, 20,000 miles of arterial roads, and 1,400 miles of highway. MTC works with the transportation agencies and other regional agencies to: • Assist in the development of regional transportation emergency plans; • Facilitate annual emergency preparedness exercises to test disaster plans; • Coordinate emergency response by working with transportation agencies and other regional agencies. A number of regional emergency plans have been developed, including a Transportation Response Plan, a Regional Transportation Emergency Management Plan, a Regional Emergency Coordination Plan Transportation Annex, a Bay Area Catastrophic Earthquake Plan, and a Bay Area Large Special Events Plan. Region-wide exercise plans have been conducted to exercise existing plans, identify weaknesses in current processes, and build relationships between regional agencies and emergency responders. One critical role MTC plays in emergency management is in facilitating the information flow to and from regional transportation agencies to both the state/federal emergency management agencies (California Office of Emergency Services and FEMA) and to the public. Metropolitan Transportation Commission’s Regional Transportation Emergency Management Program Serving as a transportation information clearinghouse, MTC disseminates consolidated information to the CalOES and federal agencies in a regional summary report and distributes public information through established networks. The information is gathered via a daily information collection and sharing call led by the MTC during emergency events. Types of information collected include critical status updates, impacts on region, resource requests, and other essential data, such as GIS.

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State transportation agencies will always fulfill a role in the emergency-management effort - for all incidents, from the routine traffic incident through major emergencies to catastrophic events. State agency plans and procedures are expected (indeed required if the agency seeks federal compensation) to be related to state and regional emergency structures and plans. This involves multi-agency, multi‐jurisdictional cooperation in emergency planning and operations.

The TRB National Cooperative Highway Research Program's NCHRP Research Report 931: A Guide to Emergency Management at State Transportation Agencies is an update to a 2010 guide that provided an approach to all‐hazards emergency management and documented existing practices in emergency-response planning.

Significant advances in emergency management, changing operational roles at State DOTs and other transportation organizations, along with federal guidance issued since 2010, have resulted in a need to reexamine requirements for state transportation agency emergency-management functions, roles, and responsibilities.

The report is accompanied by NCHRP Web-Only Document 267:Developing a Guide to Emergency Management at State Transportation Agencies and a PowerPoint presentation that offers an overview and key findings, among other information.

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