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Suggested Citation:"Contents." National Academies of Sciences, Engineering, and Medicine. 2019. 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:"Contents." National Academies of Sciences, Engineering, and Medicine. 2019. 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:"Contents." National Academies of Sciences, Engineering, and Medicine. 2019. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Page 5
Suggested Citation:"Contents." National Academies of Sciences, Engineering, and Medicine. 2019. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Page 5
Page 6
Suggested Citation:"Contents." National Academies of Sciences, Engineering, and Medicine. 2019. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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Page 6
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Suggested Citation:"Contents." National Academies of Sciences, Engineering, and Medicine. 2019. A Guide to Emergency Management at State Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/25557.
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2  Contents  Preface ............................................................................................................................................ 8  Section 1: Introduction ................................................................................................................. 10  Challenges Facing State Transportation Agencies .................................................................... 10  Overview of Sections ................................................................................................................ 11  Section 2: Institutional Context for Emergency Management ..................................................... 13  What is Emergency Management ............................................................................................. 13  Emergency Management Principles ......................................................................................... 14  Types of Incidents and Events .................................................................................................. 14  Emergency Management Authorities ....................................................................................... 16  Federal and State Emergency Management Requirements ............................................................... 16  Public Laws Governing Emergency Management ............................................................................... 18  Presidential Directives ........................................................................................................................ 20  National Emergency Management Policies and Guidelines ............................................................... 21  Section 3: Nature and Degree of Hazards/Threats ....................................................................... 24  Range of Hazards ...................................................................................................................... 24  Natural Hazards................................................................................................................................... 25  Technological Hazards ........................................................................................................................ 25  Human Caused Hazards ...................................................................................................................... 26  Interdependencies and Cascading Effects .......................................................................................... 26  Hazard Data Sources ................................................................................................................. 27  Hazard Tools .............................................................................................................................. 30  Risk Assessment and Threat and Hazard Identification and Risk Assessment (THIRA) ............ 32  Section 4. Develop an Emergency Preparedness Program ................................................. 35  Planning Process ....................................................................................................................... 37  Emergency Planning Phase ....................................................................................................... 40  Step 1—Form a Collaborative Planning Team .................................................................................... 42  PLAN Phase 01: Identify and Designate a Lead Emergency Planning Coordinator (EPC) and Staff to  Oversee the State Transportation Agency Emergency Planning Process ....................................... 43  PLAN Phase 02: Engage the Whole Community in Planning .......................................................... 43  PLAN Phase 03: Issue Mission Statement for the Planning Team .................................................. 44  PLAN Phase 04: Establish Authority, Schedule and Budget of the Planning Team......................... 45 

3  Step 2—Understand the Situation ...................................................................................................... 45  PLAN Phase 05: Identify Documents to be Developed, Reviewed, Approved, and/or Updated  Regarding the State Transportation Agency’s Emergency Response ............................................. 46  PLAN Phase 06: Work with State NIMS Coordinator to Identify State Transportation Agency  Requirements for Addressing Statewide Implementation of the National Incident Management  System ............................................................................................................................................. 46  PLAN Phase 07: Review State EOP and Supporting Annexes and Appendices and Other  Documents for Transportation‐Related Activities .......................................................................... 47  PLAN Phase 08: Review Relevant Hazards Likely to Result in an Emergency Requiring Activation of  State Emergency Operations Center............................................................................................... 47  PLAN Phase 09: Gather Information Regarding Vulnerable Populations ....................................... 48  PLAN Phase 10: Determine Status of State Transportation Agency Emergency Planning Activities  and Data to Identify Areas Needing Improvement ......................................................................... 48  PLAN Phase 11: Define Response Issues, Roles, and Tasks by Reviewing Universal Task List, Target  Capabilities List, Resource Typing List, and National Planning Scenarios ....................................... 48  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 ............................................................ 48  Step 3—Determine Goals and Objectives ........................................................................................... 49  PLAN Phase 13: Establish State Transportation Agency Operational Priorities in Response to  Hazards Identified in Existing State EOP and Supporting Documents, as well as New Challenges  Identified during Analysis Process .................................................................................................. 49  PLAN Phase 14: Establish State Transportation Agency 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 ............................................................ 50  Step 4— Plan Development ................................................................................................................ 50  PLAN Phase 15: 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 ... 51  PLAN Phase 16: Identify Resources Needed to Support State Transportation Agency’s Emergency  Response Activities ......................................................................................................................... 52  PLAN Phase 17: Identify Information and Intelligence Needs to Support State Transportation  Agency’s Emergency Response Activities ....................................................................................... 52  Step 5—Plan Preparation, Review and Approval ................................................................................ 53  PLAN Phase 18: Write the Plan ....................................................................................................... 54 

4  PLAN Phase 19: Review the Plan ..................................................................................................... 54  PLAN Phase 20: Formally Approve and Implement Transportation‐Related Provisions of the State  and State Transportation Agency’s EOPs and Supporting Annexes and Agency‐Specific Supporting  Materials ......................................................................................................................................... 57  Step 6—Plan Implementation and Maintenance ............................................................................... 57  PLAN Phase 21: Exercise the Plan and Evaluate its Effectiveness .................................................. 57  PLAN Phase 22: Establish Ongoing Review and Assessment Process for Transportation‐Related  Elements of State and State Transportation Agency EOPs and Supporting Materials ................... 58  Prepare for the Emergency ...................................................................................................... 58  Step 1—Develop Approaches to Implement State Transportation Agency Roles and Responsibilities  During Emergencies ............................................................................................................................ 60  PREPARE Phase 01: Establish Protocols for Addressing National Terrorism Advisory System  (NTAS) Bulletins and Alerts ............................................................................................................. 61  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 ................................................................................................................................. 61  PREPARE Phase 03: Develop Approach to Provide State Transportation Agency Critical Services  during Emergencies......................................................................................................................... 62  PREPARE Phase 04: Develop State Transportation Agency Approach to Evacuation/Shelter‐in‐ Place/Quarantine Management ..................................................................................................... 63  Step 2—Establish Communication and Information Management Protocols and Mechanisms for  Public Outreach ................................................................................................................................... 65  PREPARE Phase 05: Establish Internal State Transportation Agency Communications Protocols . 66  PREPARE Phase 06: Develop Media Interface and Public Notification Systems ............................. 67  Step 3—Emergency Evacuation/Shelter‐in‐Place/Quarantine Plans and Traffic Control and  Management Protocols and Procedures ............................................................................................ 69  PREPARE Phase 07: Establish Applicable State Transportation Agency Response Management  Teams .............................................................................................................................................. 70  PREPARE Phase 08: Prepare Traffic Management Performance Measures ................................... 71  PREPARE Phase 09: Develop Traffic Management Plans and Protocols to be Used During  Evacuation/Shelter‐in‐Place/Quarantine and to Respond to Emergency Events ........................... 72  PREPARE Phase 10: Coordinate with Neighboring Jurisdictions ..................................................... 74  Step 4—Develop Mobilization Plans for State Transportation Agency Personnel and Resources ..... 75  PREPARE Phase 11: Prepare to Mobilize Response Teams, Equipment, and Resources ............... 75 

5  PREPARE Phase 12: Administer Training Programs ........................................................................ 76  Step 4 Observations ........................................................................................................................ 78  Step 5—Ensure Cost Tracking and Accountability .............................................................................. 80  PREPARE Phase 13: Prepare for Cost Accounting and Tracking of Expenditures ........................... 80  Respond to the Emergency ...................................................................................................... 81  Step 1—Initiate Emergency Response ................................................................................................ 82  RESPOND Phase 01: Detect and Verify Emergencies ...................................................................... 82  RESPOND Phase 02: Assess Status of Transportation Infrastructure ............................................. 82  RESPOND Phase 03: Gain and Maintain Situation Awareness ........................................................ 83  Step 2—Address Emergency Needs and Requests for Support .......................................................... 84  RESPOND Phase 04: Coordinate Response to the Emergency ....................................................... 84  RESPOND Phase 05: Evaluate Need for Additional Assistance from Neighboring States,  Jurisdictions, and/or Federal Government ..................................................................................... 85  Step 3—Manage Evacuations, Shelter‐in‐Place, or Quarantine ......................................................... 85  RESPOND Phase 06: Make and/or Support Decision to Evacuate, Shelter‐In‐Place, or Quarantine  ........................................................................................................................................................ 86  RESPOND Phase 07: Issue and/or Support Evacuation/Shelter‐in‐ Place/Quarantine Order ........ 86  Step 4—Implement Emergency Response Actions ............................................................................. 86  RESPOND Phase 08: Take Response Actions .................................................................................. 87  RESPOND Phase 09: Deploy Response Teams ................................................................................ 88  RESPOND Phase 10: Communicate Evacuation/Shelter‐in‐Place/Quarantine Order and Incident  Management Measures .................................................................................................................. 88  Step 5—Continue Response Requirements ........................................................................................ 89  RESPOND Phase 11: Monitor Response Efforts .............................................................................. 89  RESPOND Phase 12: Prepare for Next Operational Period ............................................................. 90  Step 6—Conclude Response Actions .................................................................................................. 90  RESPOND Phase 13: Prepare for Demobilization ............................................................................ 90  Recover from the Emergency .................................................................................................. 90  Step 1—Restore Traffic to Affected Areas .......................................................................................... 91  RECOVER Phase 01: Restore Essential Services .............................................................................. 92  RECOVER Phase 02: Reestablish Traffic Management in Affected Area ........................................ 93  RECOVER Phase 03: Reentry into Evacuated, Shelter‐in‐Place, or Quarantined Area ................... 94 

6  RECOVER Phase 04: Conduct Emergency Repairs........................................................................... 96  Step 2—Identify and Implement Lessons Learned ............................................................................. 96  RECOVER Phase 05: Perform After‐Action Reviews ........................................................................ 97  RECOVER Phase 06: Return to Readiness ....................................................................................... 97  Section 5: Emergency Management Stakeholders and Regional Collaboration .......................... 98  Organizational, Staffing, and Position Guidance ...................................................................... 98  Executive Support ............................................................................................................................... 98  ESF#1 Transportation Functions ......................................................................................................... 98  ESF#3 Public Works and Engineering Functions ................................................................................. 99  Traffic Incident Management ........................................................................................................... 100  Traffic Management Centers (TMCs) and Technologies ................................................................... 101  Emergency Management Stakeholder Responsibilities ......................................................... 101  Federal Agencies ............................................................................................................................... 102  Regional Organizations ..................................................................................................................... 102  State, Territorial, and Tribal Agencies ............................................................................................... 103  Local Agencies ................................................................................................................................... 104  Private Partners ................................................................................................................................ 105  Associations ...................................................................................................................................... 106  Other Organizations and People ....................................................................................................... 107  Regional Coordination ............................................................................................................ 107  Role of MPO’s ................................................................................................................................... 108  Mutual Aid/Emergency Mutual Aid Compact (EMAC) ...................................................................... 109  Section 6: Emergency Management Training and Exercises ...................................................... 110  Emergency Training and Exercise Needs ................................................................................ 111  Continuity of Operations .................................................................................................................. 113  NIMS / ICS ......................................................................................................................................... 114  Mutual Aid/Emergency Mutual Aid Compact (EMAC) ........................................................... 115  Emergency Management Performance Grant (EMPG) .......................................................... 115  Federal Emergency Management Agency (FEMA) Training ................................................... 116  Federal Reimbursement Programs (e.g., FHWA ER, FEMA PA) .............................................. 117  Emergency Evacuations .......................................................................................................... 117 

7  Traffic Control and Management ........................................................................................... 117  Manual on Uniform Traffic Control Devices (MUTCD) ..................................................................... 117  Traffic Incident Management (TIM) Training .................................................................................... 118  Traffic Management Centers (TMCs) and Technologies ................................................................... 119  Work Zone Safety and Mobility Rule ................................................................................................ 119  Occupational Safety and Health Administration (OSHA) .................................................................. 119  Hazmat .............................................................................................................................................. 120  Physical Security and Cybersecurity ....................................................................................... 120  Planned Events .................................................................................................................................. 120  Technologies ..................................................................................................................................... 120  Hazard‐Specific Training.................................................................................................................... 120  Exercises .................................................................................................................................. 121  Exercise Cycle .................................................................................................................................... 123  Exercise Types ................................................................................................................................... 123  Design and Development .................................................................................................................. 127  Exercise Objectives ........................................................................................................................... 129  Scenarios ........................................................................................................................................... 130  Exercise Documentation ................................................................................................................... 131  Exercise Conduct ............................................................................................................................... 132  Exercise Evaluation ........................................................................................................................... 133  After Action Report (AAR)/Improvement Plan (IP)/Corrective Actions ................................. 134  Training Implementation Solutions ........................................................................................ 136  Helpful Tips on Training .......................................................................................................... 139  State DOT Emergency Management Training and Exercise Implementation Practices ......... 140  Training Evaluation ................................................................................................................. 146 

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A Guide to Emergency Management at State Transportation Agencies Get This Book
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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.

This pre-publication draft, 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.

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