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

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

25 This section explains the emergency planning process and the all-hazards approach to emergency management; it also emphasizes that the process is a continuous one, not some- thing done once and then shelved. In the overall emergency management, risk management, all-hazards approach, the state transportation agency has two distinct roles: (1) developing and maintaining its own EOP and (2) supporting the state EOP. EOPs are closely connected to planning efforts in the programmatic areas of emergency management. There are many ways to develop an emergency management plan. FEMA’s CPG 101, Version 2.0 (CPG 101 2010), Developing and Maintaining Emergency Operations Plans, provides FEMA guidance on the fundamentals of planning and developing EOPs. The planning steps to develop an EOP are appropriate to developing other required plans to cover the five programmatic areas presented in Section 2 (Prevent, Protect, Mitigate, Respond, and Recover). It provides transportation sector-specific guidance for building and sustaining capabilities focused on the predesignated set of risk-based emergency management categories—“prevent, protect against, mitigate, respond to, and recover from” threats and hazards through development and ongoing maintenance of the EOP. The planning process laid out in Chapter 4 of CPG 101, Version 2.0 (see Figure 6) is used as a suggested framework to develop the EOP (the Plan). The planning process “merges infor- mation from the first three chapters (of CPG 101) and describes an approach for operational planning that is consistent with processes already familiar to most planners. When the planning process is used consistently during the preparedness phase, its use during operations becomes second nature. The goal is to make the planning process routine across all phases of emergency management and for all homeland security mission areas.” CPG 101, Version 2.0 (2010) emphasizes the following 14 principles of effective emergency planning: 1. Planning must be community-based, representing the whole population and its needs. 2. Planning must include participation from all stakeholders in the community. 3. Planning uses a logical and analytical problem-solving process to address the complexity and uncertainty inherent in potential hazards and threats. 4. Planning considers all hazards and threats. 5. Planning should be flexible enough to address both traditional and catastrophic incidents. 6. Plans must clearly identify the mission and supporting goals (with desired results). 7. Planning depicts the anticipated environment for action. 8. Planning does not need to start from scratch. 9. Planning identifies tasks, allocates resources to accomplish those tasks, and establishes accountability. S E C T I O N 4 Develop an Emergency Preparedness Program

26 A Guide to Emergency Management at State Transportation Agencies 10. Planning includes senior officials throughout the process to ensure both understanding and approval. 11. Time, uncertainty, risk, and experience influence planning. 12. Effective plans inform those with operational responsibilities what to do and why to do it, and they instruct those outside the jurisdiction in how to provide support and what to expect. 13. Planning is fundamentally a process to manage risk. 14. Planning is one of the key components of the preparedness cycle. Planning Process The planning steps in this section focus on the plan element of the preparedness cycle and reference or incorporate other elements of the preparedness cycle. The preparedness cycle includes five key phases—Plan, Organize/Equip, Train, Exercise, Evaluate/Improve—and is part of the National Preparedness System, as illustrated in Figure 7 from FEMA. The planning structures and templates are intended to assist in the process of developing and updating state DOT emergency plans, so they are useful for the DOT in working with the state and with other stakeholders in preparing for and responding to emergencies. The process described in the six steps of the CPG 101, Version 2.0, Planning Process chapter is geared toward helping an agency develop an EOP that will carry through the preparedness and operational phases of an emergency. The same six steps of the process to develop an EOP (form a collaborative planning team, understand the situation, determine goals and objectives, plan development, plan preparation, review and approval, and plan implementation and main- tenance) are intended to be replicated in developing other plans. As described in CPG 101, Version 2.0, “emergency operations involve several kinds of plans, just as they involve several kinds of actions.” While the EOP is often the centerpiece of emergency planning efforts, it is not the only plan that addresses emergency management or homeland secu- rity missions. There are other types of plans that support and supplement the EOP and its annexes. (Source: CPG 101, Version 2.0). Figure 6. Steps in the planning process.

Develop an Emergency Preparedness Program 27 CPG 101, Version 2, also describes other plans besides the EOP to fully address the Prevent, Protect, Mitigate, Respond and Recover programmatic areas: “Joint Operational Plans or Regional Coordination Plans typically involve multiple levels of government to address a specific incident or a special event. These plans should be developed in a manner consistent with CPG 101, Version 2.0, and included as an annex or supplemental plan to the EOP, depending on the subject of the plan. Standing plans should be an annex to the related EOPs, while special events plans should be stand-alone supplements based on the information contained within the related EOPs.” (Joint Operational Plans or Regional Coordi- nation Plans are not specifically addressed in this Guide, although the need for such coordina- tion is identified at various junctures. NCHRP Report 740: A Transportation Guide for All-Hazard Emergency Evacuation has extensive operational information related to joint operations, and a template tool for such coordination; NCHRP Report 777: Regional Transportation Planning for Disasters, Emergencies, and Significant Events provides principles and case studies for such coor- dination. This is described in more detail in Section 6 of this Guide.) “Administrative plans describe basic policies and procedures to support a governmental endeavor. Typically, they deal less with external work products than with internal processes. . . . Such plans are not the direct concern of an EOP. However, planners should reference the admin- istrative plan in the EOP if its provisions apply during an emergency. Planners should make similar references in the EOP for exceptions to normal administrative plans permitted during an emergency.” (Administrative plans are not specifically addressed in this Guide.) “Preparedness plans address the process for developing and maintaining capabilities for the whole community both pre- and post-incident. Preparedness plans should address capabilities needed for prevention, protection, response, recovery, and mitigation activities. These plans include the schedule for identifying and meeting training needs based on the expectations created by the EOP; the process and schedule for developing, conducting, and evaluating exercises and Figure 7. Preparedness Cycle from the National Preparedness System. “The National Preparedness System outlines an organized process for everyone in the whole community to move forward with their preparedness activities and achieve the National Preparedness Goal.”

28 A Guide to Emergency Management at State Transportation Agencies correcting identified deficiencies; and plans for procuring, retrofitting, or building facilities and equipment that could withstand the effects of the hazards facing the jurisdiction.” (Key elements of preparedness plans are addressed in the Preparedness section.) “Continuity plans outline essential functions that must be performed during an incident that disrupts normal operations and the methods by which these functions will be performed. They also describe the process for timely resumption of normal operations once the emergency has ended. Continuity of Operations Plans (COOPs) address the continued performance of core capabilities and critical operations during any potential incident. Continuity of Government (COG) plans address the preservation and/or reconstitution of government to ensure that constitutional, legislative, and/or administrative responsibilities are maintained.” (Continuity plans are not specifically addressed in this Guide.) “Recovery plans developed prior to a disaster enable jurisdictions to effectively direct recovery activities and expedite a unified recovery effort. Pre-incident planning performed in conjunction with community development planning helps to establish recovery priorities, incorporate mitigation strategies in the wake of an incident, and identify options and changes that should be considered or implemented after an incident. Post-incident community recovery planning serves to integrate the range of complex decisions in the context of the incident and works as the foundation for allocating resources.” (Recovery plans are briefly addressed in the Recovery section of Section 4.) “Mitigation plans outline a jurisdiction’s strategy for mitigating the hazards it faces. . . . Mitigation planning is often a long-term effort and may be part of or tied to the jurisdiction’s strategic development plan or similar documents. Mitigation planning committees may differ from operational planning teams in that they include zoning boards, floodplain managers, and individuals with long-term cultural or economic interests. Existing plans for mitigating hazards are relevant to an EOP since both originate from a hazard-based analysis and share similar component requirements.” “Prevention and protection plans typically tend to be more facility focused and procedural or tactical in their content” according to CPG 101, Version 2.0. (Specific aspects of prevention and protection plans are not otherwise addressed in this Guide. See Security 101, Second Edition: A Physical and Cyber Security Primer for Transportation Agencies.) Procedural Documents In addition to operational planning documents and procedures, DOT divisions, regions, and districts will require tactical plans and procedures on how to carry out the operational guidance (see Figure 8). “Procedural documents describe how to accomplish specific activities needed to finish a task or achieve a goal or objective. Put simply, plans describe the ‘what’ and procedures describe the ‘how.’ Planners should prepare procedural documents to keep the plan free of unnecessary detail. The basic criterion is What does the audience of this part of the plan need to know or have set out as a matter of public record? Information and how-to instructions used by an individual or small group should appear in procedural documents. The plan should reference procedural documents as appropriate.” (This Guide does not specifically address Procedural documents.) Steps in this section are designed to help the DOT emergency management coordinator and related DOT stakeholders through the process of updating the emergency response plan to a full emergency management plan or creating an emergency management plan from scratch. Self- assessments and collaboration are essential elements of both processes. This chapter replicates some of the details from the 2010 Guide, including the FEMA emphasis on whole community

Develop an Emergency Preparedness Program 29 planning and capabilities. Because the planning and preparedness phases are perhaps the best way to maximize the success and safety of the response and recovery efforts, these sections provide greater detail. Self-assessment checklists are included in Appendix A4. Cross- references to other sections, such as the section on stakeholders and the new section on training, are also provided. Finally, as agencies begin this process, it is important to reinforce that this is not a standard. This is a suggested process derived from the relevant national directives, policies, and guidelines introduced in Sections 1 and 2. Even the CPG 101 is just that—a guide. The follow- ing discussions do not attempt to replace or unnecessarily duplicate CPG 101, although some reference and duplication are necessary. The 2020 Guide attempts to fill in gaps unique to transportation that are not explicit in CPG 101 and provides a means for state transportation agencies to perform self-assessments of their emergency planning, preparedness, mitigation, response, and recovery processes. The prime directives for the DOT are (1) developing and maintaining its own EOP and (2) supporting the state EOP. Emergency Planning Phase The planning phase is arguably the most important step in devel- oping and administering an effective emergency preparedness pro- gram. Without proper planning, emergency response personnel can easily find themselves significantly hampered by the confusion and contradictory actions often encountered during complex emergency response activities. As state transportation agencies assume greater levels of responsibility for managing large-scale evacuations in response Figure 8. Relationship between strategic, operational, and tactical planning (CPG 101, Version 2.0, 2010). Tip: Before beginning the formal steps of the Guide, the DOT emergency planner may want to conduct a preliminary research review, using the “usefulness in practice” questions in Step 5 (Plan Preparation, Review, and Approval), Phase 19 (Review the Plan). Tip: DOT emergency planners are encouraged to read the CPG 101, Version 2.0, cautions on the selection and use of templates (CPG 101, Version 2.0, section 3). Veteran emergency managers note that events never “follow the plan,” and that the personal and institutional relationships that are developed and fostered while creating and exercising the plan are the golden keys to overcoming the unexpected, which essentially defines a disaster. Short cuts and “filling in the blanks” in templates will not forge those crucial bonds.

30 A Guide to Emergency Management at State Transportation Agencies to natural disasters (as well as no-notice evacuations, shelter-in-place, or quarantine in response to biological outbreaks, large-scale hazardous chemical releases, and WMD threats), the need for planning at the agency level also increases. Consistent with NIMS and NRF require- ments, an all-hazards approach to emergency planning must be taken to ensure the agency’s ability to respond appropriately to all emergency events. Further, Hurricanes Sandy, Irene, and similar extreme weather-related events have led federal and state transportation agencies to place more focus on “rebuilding better” and on incorpo- rating resilience into operations, maintenance, asset management, and design practices. The mitigation program area of emergency management is achieving greater prominence among the emergency management program areas, because mitigation is clearly tied to resilience. Planning for mitigation and resilience facilitates recovery, while implementing mitigation and resilience projects and practices prior to an event can lessen the impacts of a disaster. There also is a distinction between a state transportation agency managing its specific respon- sibilities, as directed, in large-scale evacuations as part of the larger emergency management activity versus actually managing large-scale evacuations, which is not typically the agency’s role. Put another way, in relatively small incidents, the state transportation agency will play a proactive role in managing the incident, perhaps in a supporting role to law enforcement; however, in a major incident, evacuation, shelter-in-place, or quarantine, while the agency’s role might be a major one, it is expressly a supporting role. With these fundamental principles in mind, the discussion of emergency planning begins by reviewing the steps necessary to create an effective emergency planning process, realizing that emergency planning does not need to start from scratch. This is especially true in today’s environment—post-9/11, Hurricane Katrina, Superstorm Sandy, and more—in which most states have emergency planning processes in place. This 2020 Guide also recognizes that there are numerous, acceptable planning processes that state transportation agencies can take that may not exactly match the processes dis- cussed here. That stated, in general, it is recognized that all the state DOT processes reviewed follow the planning steps of CPG 101, Version 2.0. Table 4 contains another process example with different emphases. Common elements are collaboration, research, review, and the need to validate and perpetuate the planning and learning cycle—in brief, embracing the 14 principles of emergency management planning described in CPG 101, Version 2.0 (2010). Regardless of the approach used, each planning process should address the 14 key CPG 101 principles and meet the requirements of NIMS and the NRF. Step Activities/Focus 1. Research Research organization planning process, hazards, resource base, organization characteristics. 2. Review Review local, state, federal laws, regulations, guidance; plans and agreements for/within jurisdiction, neighboring jurisdictions, sister agencies, tribal authorities, private-sector organizations, military installations, etc. 3. Development Rough draft of plan, functional annexes, hazard-specific appendices, agenda, and invitation lists for first cycle of planning meetings. 4. Brief the “CEO” Convene presentation and planning meetings, develop and revise plan, obtain concurrence and approval, distribute plan. 5. Validation EOP review cycle, exercises. 6. Maintenance Establish remedial action process, revision process, organizational implementing documents (e.g., SOPs). Table 4. Example DOT emergency planning process.

Develop an Emergency Preparedness Program 31 The following subsections provide updated guidance to state transportation agencies per- taining to the most recent federal emergency planning policies and resources, including the all-hazards approach to emergency management required by NIMS and the NRF. Appendix A4 includes self-assessment checklists related to each step. Being NIMS-compliant is important, as is developing workable emergency plans that meet all participants’ expectations. Step 1—Form a Collaborative Planning Team CPG 101, Version 2.0, states “Planners achieve unity of purpose through coordination and integration of plans across all levels of government, nongovernmental organizations, the private sector, and individuals and families.” Planning is a continuous and ongoing process that requires the active participation of, involvement of, and coordination with all levels of government. The reason for using a multi-organizational and multidisciplinary planning team is clear—a broad range of expertise is necessary to effectively implement the all-hazards approach of emergency management prescribed by NIMS and the NRF. Given the number and complexity of the different hazards a community may face, it is excep- tionally difficult for any one individual, or even an organization, to be fully versed in how to best prepare for, respond to, and recover from every hazard, particularly when the incident escalates. Forming a collaborative planning team enables all participants to gain a better under- standing of the capabilities, needs, and response tactics of each organization involved in the response activities. Forming the team also addresses Principle 1 (planning must be community- based, representing the whole population and its needs) and Principle 2 (planning must include participation from all stakeholders in the community) by enabling team participants to under- stand how the decisions made by emergency managers and responders at all government levels may affect the ability of others to fulfill their response requirements. The four key phases in Step 1 are described as follows. Much of this information, including the supporting references, is summarized in tabular form in Section 6. PLAN Phase 01: Identify and Designate a Lead Emergency Planning Coordinator and Staff to Oversee the State Transportation Agency Emergency Planning Process Purpose. Designate the best-qualified individuals and team to lead the state transportation agency’s emergency planning function. Actions. Designate a lead Emergency Planning Coordinator (EPC) and staff to oversee the agency’s emergency planning process. Vest the EPC with adequate authority and resources to fulfill the goals and objectives of the agency’s emergency management program. Focus. Develop a comprehensive EOP and coordinate state transportation agency emer- gency planning and management activities with the state’s NIMS coordinator. For the state EOP, the state EMA will likely have formed the team, with the transportation agency being a lead agency for ESF #1—Transportation and ESF #3—Public Works and Engineering and being a supporting agency for others. This team would typically include DHS and FEMA regional offices and personnel; state emergency management representatives; law enforcement personnel; public health officials; emergency fire, medical, and rescue services personnel; and even some local EMAs. For the state transportation agency’s EOP, the team will tend more toward regional and local levels, including agencies that would be part of traffic incident and emergency response in the absence of state Emergency Operation Center (SEOC) activation. There should be total consistency between the state’s and the transportation agency’s EOPs from the

32 A Guide to Emergency Management at State Transportation Agencies top-down perspective, but the agency’s EOP will have more details and probably a broader set of partners—more locally oriented—than the state EOP. Typical stakeholders are identi- fied in Section 5. PLAN Phase 02: Engage the Whole Community in Planning Purpose. Ensure the state transportation agency EPC and core planning team are engaging the whole community in planning. Actions. The Emergency Management Team develops an initial list of potential partners. (Tip: DOT Environmental Justice outreach and planning teams may provide useful contacts and starting points. TCRP Report 150: Communication with Vulnerable Populations: A Transportation and Emergency Management Toolkit provides steps and tools to carry out and sustain such plan- ning.) Figure 9 from CPG 101, Version 2.0, identifies key elements in developing a community map and initiating such working relationships. Figure 9. Forming a whole community collaborative partnership (CPG 101, Version 2.0).

Develop an Emergency Preparedness Program 33 PLAN Phase 03: Issue Mission Statement for the Planning Team Purpose. Clarify the purpose of the state transportation agency’s emergency planning function. Actions. The state transportation agency Chief Executive Officer (CEO) should issue a mis- sion and vision statement to demonstrate the agency’s commitment to emergency planning (References to the CEO are not intended to imply that he or she performs the work indicated— staff typically does that—but it is important that the CEO strongly endorse the work effort.) The statement should identify and define the following: • Scope of activities to be performed by the EPC and planning team, • The agency’s high-level goals for the emergency planning process, • Documents and programs to be developed by the agency’s emergency planning team. The statement should emphasize that the entire organization should be involved in creating these documents and programs, and • The authority and structure of the planning group. Focus. Develop a comprehensive EOP and coordinate state transportation agency emer- gency planning and management activities with the state’s NIMS coordinator. PLAN Phase 04: Establish Authority, Schedule, and Budget of the Planning Team Purpose. Ensure the state transportation agency’s EPC and planning team have the adequate authority, schedule, and budget to perform the emergency planning function. Actions. Demonstrate management’s commitment and promote an atmosphere of coop- eration by authorizing the agency EPC and planning team to take the necessary steps to develop and update the agency’s emergency plans and response program. Support this action by participating in the state EOP process. Establish a clear line of authority between team members and the state transportation agency EPC. Upper management should appoint participants to the planning team in writing. Partici- pant job descriptions could also reflect this assignment. Roles and relationships with partners from the whole community—private sector, CBOs, and others—should also be made explicit. The Emergency Management Team defines specific goals and objectives of the emergency management process and performance metrics. Establish a work schedule and planning dead- lines. Modify timelines as priorities become more clearly defined. Develop an initial budget for research, printing, seminars, consulting services, and other expenses that may be necessary during the development process. Focus. Develop a comprehensive EOP and coordinate state transportation agency emer- gency planning and management activities with the state’s NIMS coordinator. Ensure the state transportation agency EPC and Planning Team have adequate resources and schedules to per- form the emergency planning function. Step 2—Observations CPG 101, Version 2.0, provides significantly more detail pertaining to the emergency plan- ning process and the potential members who can be included on a collaborative planning team. Step 3—Understand the Situation Consistent with CPG 101, Version 2.0, Principle 3—Planning uses a logical and analytical problem-solving process to address the complexity and uncertainty inherent in potential hazards

34 A Guide to Emergency Management at State Transportation Agencies and threats. Some degree of research and analysis must be performed at the state transportation agency level to (1) identify the hazards and threats that may exist or occur in the agency’s region, and (2) determine the appropriate actions that can be taken to respond. Forming a collaborative planning team (per Step 1) is also essential to the research and analysis process. While emergency management planners may be able to draw from previous experiences and known facts, in many cases, assumptions will need to be made to analyze the risks, resources, needs, and capabilities required to respond to differing emergencies. Involving the planning team, including whole community participation, in the research and analysis process should help identify as many facts as possible and minimize assumptions. PLAN Phase 05: Identify Documents to Be Developed, Reviewed, Approved, and Updated for the State Transportation Agency’s Emergency Response Purpose. Clarify the scope of the state transportation agency’s emergency planning process and the expected deliverables and outcomes. Actions. Identify the documents to be developed, reviewed, approved, and updated for the agency’s emergency response plans and programs. This action would focus not only on the transportation-related elements of the state EOP but also on any specific plans, guidance, over- views documents, standard operating procedures (SOPs), operating manuals, field operations guides (FOGs), handbooks, or job aids needed to support the capabilities of agency personnel to respond to emergencies. Focus. The state transportation agency emergency planning process begins with the state EOP and the functional annexes and hazard-specific appendices. Specific plans, procedures, or other documents developed by the transportation agency or other agencies may support implementation of the state EOP, including the following: • Overview and Primers—a brief concept summary of a function, team, or capability • SOPs or operations manuals—complete reference documents detailing the procedures for performing a single function (SOP) or a number of interdependent functions (operations manual) • FOGs or Handbooks—durable pocket or desk guides, containing essential, basic information needed to perform specific assignments or functions • Job Aids—checklists or other aids useful in performing or training for a specific job to be performed in the EOP • Other plans may be available for state transportation review, including the following state’s or agency’s: – Continuity of Operations Plan (COOP) – Continuity of Government (COG) Plan – Critical Infrastructure/Key Resources (CI/KR) Protection Plans – Pandemic Flu Plan • Transportation-specific plans may include the following: – Transportation/TIM Plans – Emergency Response Plans and Hazard-Specific Response Plans (e.g., snow/ice, hurricane, and responses like contraflow operations) PLAN Phase 06: Work with State NIMS Coordinator to Identify State Transportation Agency Requirements for Addressing Statewide Implementation of NIMS Purpose. Ensure compliance and coordination with statewide initiatives to meet NIMS requirements.

Develop an Emergency Preparedness Program 35 Actions. Work with the state NIMS coordinator to identify state transportation agency requirements for addressing statewide NIMS implementation. If necessary, provide NIMS training for the agency EPC and team. Focus. Develop relationships and capacity to determine and develop compliance actions to ensure state transportation agency actions comply with NIMS. The agency planning team should meet with the state NIMS coordinator to establish a working relationship for addressing NIMS compliance issues and to determine if the agency should have a NIMS coordinator. If so, and if one is not already assigned, determine whether the agency EPC should assume this role. This role may include the following: • Receive and review a copy of the state’s NIMS Implementation Plan. • Obtain from the state NIMS coordinator a clear list of NIMS requirements being addressed by the state and any outstanding corrective action plans (CAPs) filed with FEMA that may relate to the transportation agency. PLAN Phase 07: Review State EOP and Supporting Annexes and Appendices and Other Documents for Transportation-Related Activities Purpose. Determine how the state EOP and supporting annexes, appendices, and other documents address transportation issues, requirements, and needs. Actions. Work with the state NIMS coordinator to obtain a copy of state EOP and supporting annexes, appendices, and other documents. Ensure that state transportation agency plans and procedures are consistent with the state EOP. Focus. Traditionally, state EOPs have not recognized the full capabilities of transportation agencies, particularly in the intelligent transportation systems (ITS) arena. Based on the infor- mation gathered from the state EOP, the transportation agency may find it necessary to update or modify its contributions to the state EOP (usually ESFs #1 and #3 from the NRF; however, some states and regions may use different nomenclature) and perhaps revise the emergency management and response procedures and protocols in the agency EOP to better mesh with those prescribed by the state EOP. PLAN Phase 08: Review Relevant Hazards Likely to Result in an Emergency Requiring Activation of State Emergency Operations Center Purpose. Identify and analyze the potential hazards and threats in the state transportation agency’s region to evaluate the full progression of how they will occur and be resolved by the region. Actions. Beginning with an identified hazard, evaluate its impacts in terms of probabil- ity and severity. This action can be accomplished using CAPTA/CAPTool available as part of NCHRP Report 525: Surface Transportation Security, Volume 15: Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA). Determine realistic response activities and the consequences of not being able to complete these activities. Focus. The culmination of this process is development of hazard scenarios that form the foundation for writing or updating the state transportation agency’s emergency preparedness plan and protocols. Analyzing the levels of probability and severity of each identified hazard helps agency emergency planners prioritize the actions necessary to prepare for such events and helps determine and communicate acceptable levels of risk. PLAN Phase 09: Gather Information on Vulnerable Populations Purpose. Identify the special dynamics of affected areas, including knowing the best evacuation routes, shelter-in-place, and quarantine locations; points of entry and exit; the

36 A Guide to Emergency Management at State Transportation Agencies demographics of seniors and vulnerable populations; and the special equipment and services necessary to evacuate, shelter-in-place, or quarantine these citizens safely. Actions. Work with whole community partners brought in as part of PLAN Phase 02 to gather additional information and partners. Work with the state NIMS coordinator, partner transportation agencies, broad-based as well as narrowly focused social service and CBOs, and other whole community stakeholders to identify transportation-disadvantaged and vulner- able populations. Working with the community, develop plans and procedures and assemble resources needed to safely evacuate, shelter-in-place, or quarantine these populations. When developing the mitigation portions of the plan, use the demographic information and contacts to ensure that mitigation and resilience planning and implementation are inclusive of the whole community. Focus. Improve emergency response capabilities and processes for evacuating transportation- disadvantaged and vulnerable populations. PLAN Phase 10: Determine Status of State Transportation Agency Emergency Planning Activities and Data to Identify Areas Needing Improvement Purpose. Assess what still needs to be done. Actions. Verify that the agency has completed procedures on how to work with the state to request federal assistance. Focus. Improve emergency response capabilities and processes. PLAN Phase 11: Define Response Issues, Roles, and Tasks by Reviewing Universal Task List, Target Capabilities List, Resource Typing List, and National Planning Scenarios Purpose. Ensure coordination with DHS and FEMA guidance. Actions. Work with the state NIMS coordinator and partner transportation agencies. Develop plans and procedures and assemble resources needed to respond safely to emergency events. Focus. Improve emergency response capabilities and processes. PLAN Phase 12: Based on Activities Identified in State EOP and Supporting Annexes and Appendices, Develop and Update State Transportation Agency’s Transportation Incident Management Organization to Ensure All Activities Conform to NIMS and NRF Requirements Purpose. Ensure that an incident management organization, compliant with NIMS, has been established to integrate state transportation personnel into the ICS to be used during emer- gencies requiring activation of the SEOC. Actions. Update organization charts and determine whether specific teams, groups, com- mittees, or temporary organizations will be used to manage state transportation agency responses to emergencies identified in the state EOP. Review agency TIM Plans and Protocols and specific emergency response plans to identify incident management structures currently used. Identify and train agency field personnel in charge of on-scene response in procedures to coordinate with the ICS established by the local or state emergency response agencies on scene. Focus. Improve emergency response capabilities and processes.

Develop an Emergency Preparedness Program 37 Step 4—Determine Goals and Objectives CPG 101, Version 2.0, defines goals as “. . . broad, general statements that indicate the intended solution to problems identified by planners during the previous step” (referring here to Understanding the Situation—Identifying Threats and Hazards and Assessing Risk). It also defines objectives as being “. . . more specific and identifiable actions carried out during the operation. . . . Translating these objectives into activities, implementing procedures, or operat- ing procedures by responsible organizations is part of planning. As goals and objectives are set, planners may identify more requirements that will feed into the development of courses of action as well as the capability estimate (see Step 4.)” (CPG 101, Version 2.0, 2010). Defining the goals and objectives of emergency planning and response activities involves two phases (Phases 13 and 14) as described as follows. 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 Purpose. Clarify what the state transportation agency must accomplish to achieve a desired end state for the operation. Actions. Build incident scenarios based on realistic hazards, threats, and risk data. Each scenario should include the following: • Prevention and protection. • Initial warning. Develop and analyze the likely course of action (e.g., evacuation, shelter-in-place, or both), depending on incident and location. • Impact and specific consequences. • Response requirements. Requirements can be generated by the hazard or threat, by the response, and by constraints and restraints. • Priorities. Once the requirements are identified and confirmed, response requirements should be restated as priorities. Focus. Identify the requirements that determine actions and resources. 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 Purpose. Clarify what constitutes success of the state transporta- tion agency’s response to the range of emergencies that could occur resulting from the hazards identified for the state. Actions. Develop state transportation agency goals and objectives that build on the emergency response needs and demands of the agency and its partners, as determined through hazard analysis and risk assess- ment activities described. Focus. Ensure that goals and objectives support accomplishing the plan mission and operational priorities, and that they indicate the desired result or end state. Example: Relationships among the Mission, Operational Priorities, Goals, and Objectives Plan Mission: Effectively coordinate and direct available resources to protect the public and property from hazards or threats. Operational Priority: Protect the public from hurricane weather and storm surge. Goal: Complete evacuation before arrival of tropical storm winds. Desired result: All self- and assisted evacuees are safely outside of the expected impact area prior to impact. Objective: Complete tourist evacuation 72 hours before arrival of tropical storm winds. Desired result: tourist segment of public protected prior to hazard onset, allow- ing resources to be redirected to accom- plishing other objectives in support of this goal or other goals. Example from CPG 101, Version 2.0.

38 A Guide to Emergency Management at State Transportation Agencies Step 5—Plan Development Once possible hazards and threats have been identified, the state transportation agency’s planning team should develop the plan. The team will need to analyze the courses of action necessary to respond to each hazard and threat. While the hazard and threat identification process may largely entail scenario-based planning, developing the courses of action to take in response to hazards and threats often requires functional and capabilities-based planning. The objective of these planning processes is to have the planning team imagine how response activities will unfold through the course of the response, beginning with the onset of the emergency and ending with a full return to normal operations. This includes identifying the actions that will be taken by the state transportation agency and all other response agencies, the resources necessary to ensure the safety and success of response efforts, and the information and intelligence needs required for success. This process includes Phases 15, 16, and 17. NCHRP Report 740 employs the CPG 101 steps for evacuation planning. Step 4 includes flow- charts to assist in developing timelines and tools to support resource typing, database develop- ment, checklists for interagency communications and coordination, and more. Though geared to evacuation planning, NCHRP Report 740 also includes tips for using special event planning to assist in emergency planning. 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 Purpose. Employ an all-hazards approach to emergency management. Actions. Use a formal process for building relationships among the occurrence of hazards, decision points, and response actions, including the following: • Establish a timeline for the event and response actions, depending on the type of hazard or threat to be addressed. • Depict the scenario developed in Step 3 and place the incident information on the timeline. Keep in mind the goals and objectives described previously that are to be fulfilled during response activities. • Identify and depict operational tasks. For each operational task, planners should be able to answer the following questions: – What is the action? – Who is responsible for the action? – When should the action take place? – How long should the action take, and how much time is actually available? – What has to happen before? – What happens after? – What resources does the person/entity need to perform the action? (Questions from CPG 101, Version 2.0, 2010). • Select courses of action. Assess progress made toward the end state; identify whether goals and objectives are being met and if any new needs or demands develop; identify tasks that, if not completed, would cause the response to fail; and check for omissions and gaps, inconsistencies in organizational relationships, and mismatches between the plans of the state transportation agency and other response parties and jurisdictions. Focus. Identify and analyze hazards and risks faced by the state transportation agency and develop response plans and procedures that can be used to safely mitigate and control these hazards and risks.

Develop an Emergency Preparedness Program 39 PLAN Phase 16: Identify Resources Needed to Support State Transportation Agency’s Emergency Response Activities Purpose. Ensure adequate resources are available for emergency response efforts. Actions. Use a formal process to identify resource shortfalls, including all facilities vital to emergency operations and how they may be affected by individual hazards or threats, and develop a list of alternative resources that may be obtained from neighboring states, jurisdic- tions, or private suppliers. Identify additional information needs to help drive decisionmaking and response actions. The EMAC, administered by NEMA, is a congressionally ratified organization that provides form and structure to interstate mutual aid (FEMA-EMAC 2007). The EMAC should be a significant part of the state EOP, including the preparation, response, and recovery processes. Likewise, the EMAC should play a significant role in the state transportation agency’s EOC structure and operations, especially if the state is authorized to use the EMAC locally. Through the EMAC, a disaster-impacted state can request and receive assistance from other member states quickly and efficiently, with liability and reimbursement terms and conditions already Supporting Planning Concepts Scenario-Based Planning. This approach starts with building a scenario for a hazard or threat. Then, planners analyze the impact of the scenario to determine appropriate courses of action. Planners typically use this planning concept to develop planning assumptions, primarily for hazard- or threat-specific annexes to a basic plan. Function-Based Planning (Functional Planning). This approach identifies the common functions that a jurisdiction must perform during emergencies. Function- based planning defines the function to be performed and some combination of government agencies and departments responsible for its performance as a course of action. Capabilities-Based Planning. This approach focuses on a jurisdiction’s capacity to take a course of action. Capabilities-based planning answers the question, “Do I have the right mix of training, organizations, plans, people, leadership and management, equipment, and facilities to perform a required emergency function?” Some planners view this approach as a combination of scenario- and function-based planning because of its “scenario-to-task-to-capability” focus. In reality, planners commonly use a combination of the three previous approaches to operational planning—the hybrid approach. Using the hybrid approach converts requirements generated by a scenario into goals and objectives that drive the planning process. It leads to a basic plan that describes overarching roles, relation- ships, and responsibilities with functional, hazard, and threat annexes that reflect sequencing of actions. A hybrid planning approach helps identify the courses of action that a jurisdiction must be able to take and the required functions it must perform based upon a comprehensive risk analysis; thus, it helps identify the capabilities a jurisdiction must have. FEMA strongly advocates the hybrid approach. CPG 101, Version 2.0 (2010).

40 A Guide to Emergency Management at State Transportation Agencies addressed and accepted at the state level. It is important that all involved in emergency man- agement use NIMS resource typing to ensure consistency with standard resource definitions to receive timely responses to fulfill the request from other states or FEMA. Focus. Identify and analyze all possible hazards and risks faced by the state transporta- tion agency and develop response plans and procedures that can be used to safely mitigate and control these hazards and risks. PLAN Phase 17: Identify Information and Intelligence Needs to Support State Transportation Agency’s Emergency Response Activities Purpose. Ensure that information and intelligence requirements and resources are identi- fied, along with their deadlines, for driving decisions and triggering critical actions. Actions. The two major and equally impor tant facets of identifying informa tion and intel- ligence needs are as follows: • Interagency, interdisciplinary, and interjuris dictional communication and information exchanges (internal communication), and • Accurate and timely communication with the public and with community partners in the communication network (if active) (public communications). Take the following actions in the planning stages of internal communication: • Clarify what information will be exchanged with counterparts within functional areas in other jurisdictions. • Determine which communications are necessary within each jurisdiction across other func- tional areas. • Work out the logistics of how to communicate. Practice sharing information between EOCs and Traffic Management Centers (TMCs) and, if appropriate, with Fusion Centers (FCs) (DHS-funded). In the planning stages of public communication, take the following actions: – Decide how to communicate with the public in a clear, consistent manner. – Work very closely with ESF #15—External Affairs. – Include the following in pre-scripted messaging and public education efforts: � The meaning of terms � Evacuation routes � What to take and what to leave behind � Information on transporting pets � Where to meet for pick-ups if transportation is needed � Advantages of a “buddy system” � How to obtain transportation assistance if needed – Keep messages as consistent as pos sible across the jurisdictions in the planning area. – Include community partners with strong ties to the whole community, in particular to groups and individuals with access and functional needs. (Refer to TCRP Report 150 on how to establish and engage a community network.) – Use multiple media, communications methods, and languages that are acces sible to the deaf and hard of hearing, to those who are blind or of low vision, to those who do not speak English, and to those who may have cognitive disorders. – Employ social media, such as Facebook and Twitter, to reach the broadest possible audience. – Keep messages simple, clear, and accurate. The Checklist for Inter-Agency Communications and Information Sharing (from NCHRP Report 740) can be found in Appendix A4. It provides worksheets to plan and track commu- nication within transportation, across jurisdictions and multiple stakeholders, and public

Develop an Emergency Preparedness Program 41 com munication through multiple stages of an event. It is intended for use in planning and could be one of the tools used in an Intelligence and Information Exchange Workshop. Focus. Identify, plan, and practice communications and information exchanges on multiple dimensions. Step 6—Plan Preparation, Review, and Approval Each of these activities sets the groundwork for writing or updating the state EOP and/or state transportation agency EOP; however, when discussing how best to write an EOP, agencies must consider two fundamentals of emergency planning. First, planning assigns tasks, allocates resources, and establishes accountability. This means that an effective EOP must clearly define the organizational roles and responsibilities of transportation agency personnel as well as those of other emergency response agencies. Second, effective EOPs not only tell those within the plan- ning community what to do (the tasks) and why to do them (the purposes), effective EOPs also inform those outside the jurisdiction how to cooperate and provide support and what to expect. The best way to incorporate this principle in the plan development, review, and revi- sion process is to use the state transportation agency’s emergency planning team, supported by members of the whole community. The plan must then be formally approved. The fundamental principles of emergency planning dictate that the planning process include senior officials through- out the process to ensure both understanding and buy-in. This is achieved most successfully when senior leadership has been involved from the onset of the state transportation agency’s planning activities. Completion of the following three key phases (Phases 18, 19, and 20) will fulfill this step. PLAN Phase 18: Write the Plan Develop and update transportation-related components of state EOP, functional annexes, and hazard-specific appendices. Develop or update supporting materials, include any specific plans, guidance, overviews, documents, SOPs, operating manuals, FOGs, handbooks, and job aids needed to support capabilities of state transportation agency personnel to respond to emergencies. Purpose. Complete state transportation planning inputs and deliverables for the state EOP and supporting documents and ensure that sufficient reference materials exist to support the training and response activities of state transportation personnel during emergencies. Actions. The following actions apply: • Establish expectations regarding transportation functions during the range of potential incidents addressed in the state EOP. • Develop and update transportation-related components of the state EOP, the functional annexes to the state EOP, and the hazard-specific appendices to the state EOP. • Ensure that state transportation agency liaisons are available to support the SEOC and, if applicable, the county/municipal EOCs, TMC(s) and FC(s), during a state-declared emergency. • Identify needed state transportation agency plans or documents to be developed, including any agency-specific emergency response plans, COOPs, or COG plans. Supporting actions may include developing the following: – SOPs detailing the procedures for performing individual functions identified in the trans- portation-related component of the state EOP and hazard-specific annexes – If applicable, an operations manual detailing the performance of a number of interdependent functions specified in the transportation-related elements of the state EOP – A FOG or Handbook, such as a durable pocket or desk guide, containing essential, basic information needed to perform specific assignments or functions as specified in the trans- portation-related elements of the state EOP

42 A Guide to Emergency Management at State Transportation Agencies – Job aids to provide detailed checklists or other aids for job performance or job training for the transportation-related elements specified in the state EOP and Hazard-Specific Annexes – Criteria for the reporting, and (particularly) verifying incidents reported by motorists or other citizens, including information received from specially trained individuals, such as road watch, volunteer spotter, and other probe programs (including transit vehicle operators) Focus. Identify and analyze all possible hazards and risks faced by the state transportation agency and develop response plans and procedures that can be used to safely mitigate and control these hazards and risks. PLAN Phase 19: Review the Plan Purpose. Check the written plan for its conformity to regulatory requirements and the standards of federal or state agencies, as appropriate, and for its usefulness in practice. Actions. The following actions apply: • Review the emergency response/emergency management plan from a performance perspective: – When was the plan last updated? – Does the plan define and accommodate transitions from minor incidents to major incidents? – What major incidents have occurred since the plan was last updated? – Was the plan used for those incidents? – How well did the plan work with regard to those major incidents? – Were there After Action Reports (AARs) with recommendations for improvement for any or all those incidents? – Were those improvements implemented? • Review the emergency response/emergency management plan from a legislative and multi- organization perspective. – Does it adequately correspond to the most recent state emergency management plan? – Does it reflect the latest federal and state regulations and guidance? – Does it reflect updated local, regional, sister agency, and neighboring jurisdiction emer- gency plans and agreements, including mitigation and resilience plans and projects? – Does it reflect updated agreements with military installations, tribal authorities, private- sector organizations, and other entities representing the whole community perspective? • From the review, identify what improvements are needed to bring the response plan up to date, based on your state experiences and perspectives. – Does the plan adequately address the “five Ps”: Plans, Policies, Practices, Procedures, and Personnel? – Does the plan adequately address changes in threats and hazards? – Does the plan adequately address changes in agency resources, including infrastructure, equipment, and personnel? – Does the plan adequately address changes in the broader geographic and institutional context? – What is needed to transform or help the response plan evolve into an overall emergency plan? – Look for major missing elements (included in this Guide) from the full emergency planning cycle, in particular, mitigation. – Look for other potential gaps in the plan. Templates adapted from Tennessee DOT (TDOT) frameworks (Appendix E1) and the self-assessment checklists (Appendix A4) may help.

Develop an Emergency Preparedness Program 43 Focus. Review and evaluate the EOP to determine its adequacy, feasibility, acceptability, completeness, and compliance with applicable guidance or regulatory requirements. The CPG 101, Version 2.0, definitions for these measures are included as follows: Adequacy: A plan can be considered adequate if the following applies: • Scope and concept of planned response operations identify and address critical tasks effectively. • Assigned mission can be accomplished while complying with guidance. • Assumptions are valid, reasonable, and comply with guidance. Feasibility: A plan can be considered feasible if the following applies: • Organization can accomplish the assigned mission and critical tasks by using available resources within the time contemplated by the plan. • Available resources, including internal assets as well as those that can be gained through mutual aid or existing state, regional, or federal assistance agreements, are allocated to tasks and tracked by status (assigned, out of service, etc.). Acceptability: A plan can be considered acceptable if it does the following: • Meets the needs and demands driven by the threat or event, meets decisionmaker and public cost and time limitations, and is consistent with the law. • Can be justified in terms of the cost of resources and if its scale is proportional to mission requirements. • Verifies that risk management procedures have identified, assessed, and applied control measures to mitigate operational risk. Completeness: A plan can be considered complete if it does the following: • Incorporates all tasks to be accomplished. • Includes all required capabilities. • Provides a complete picture of the sequence and scope of the planned response operation (i.e., what should happen, when, and at whose direction). • Includes time estimates for achieving objectives. • Identifies success criteria and a desired end state. • Integrates the needs of the general population, children of all ages, individuals with disabilities and others with access and functional needs, immigrants, individuals with limited English proficiency, and diverse racial and ethnic populations (see Appendix A4 for checklists). Compliance with Guidance and Doctrine: A plan can be considered compliant with guidance and doctrine if it complies with all applicable guidance and regulatory requirements to the maximum extent possible. • Include NGOs and the private sector in an all-hazards exercise program, when appropriate. 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 Purpose. Ensure adoption of the EOPs and supporting materials. Actions. Ensure review by those at the state emergency management level to verify that state EOP transportation-related provisions have been appropriately adopted by the state transportation agency and addressed by its EOP or supporting materials. Approve both plans through a formal promulgation documentation process that establishes the authority required

44 A Guide to Emergency Management at State Transportation Agencies for making changes and revisions to the plans. Ensure the plans are signed by the agency’s chief executive and his or her executive management team, particularly by regional or district leader- ship in decentralized agencies. Focus. Identify where to improve the plans for clarity and usefulness. Step 7—Plan Implementation and Maintenance The discussion of emergency planning concludes by further noting the importance of the plan implementation, review, revision, and overall maintenance process. Because plans guide the preparedness process, it is important that they are routinely tested through training, drills, and exercises. This is necessary not only to verify the accuracy of the EOP and its supporting procedures and to identify and address any potential gaps but also to increase the state trans- portation agency’s overall state of readiness as well as that of its personnel and partners. Because emergency planning is a continuous process, and the participants involved in planning and preparing for, responding to, and recovering from emergencies often change from year to year, it is imperative that the state transportation agencies establish mechanisms for ongoing review and revision of their EOPs—both the state EOP and the agency’s internal ones. Exercising, review- ing, revising, and maintaining the EOPs require two phases (Phases 21 and 22): PLAN Phase 21: Exercise the Plan and Evaluate Its Effectiveness Purpose. Ensure that state transportation response providers, supervisors, and command- level personnel are prepared for their emergency management roles through training, drills, and exercises. Training should provide personnel with the knowledge, skills, and abilities to perform required tasks in emergency plans and in organization-specific procedures. Drills and exercises along with actual incidents and field experience provide personnel with the opportunity to prac- tice what they have learned, demonstrate their capabilities, and develop discipline-specific skills. Results of exercises and real-world incidents also determine the effectiveness of plan components and areas of improvement that need to be addressed. • Distribute the plan to all necessary parties, including all members of the state transportation agency’s emergency planning team and any outside agencies or jurisdictions that may be involved in emergency response efforts within the agency’s region or that could be expected to call upon the agency to support response efforts in their regions. • The agency’s EPC should keep a record of all individuals and agencies to whom the plan was provided. It is recommended that the state transportation agency make a version of the EOP pub- licly accessible. Such transparency is good for accountability, for sharing with seldom-used response partners, and for securing necessary resources to carry out assigned responsibilities. Further, sunshine laws may require that a copy of the EOP be posted on the agency’s website or placed in some other publicly accessible location. Sensitive information should be in annexes that, while referenced in the public version, are not available to the public. Further information on training and exercises is contained in Section 6. Also, see Appen- dix A4 for a high-level checklist on strategies to exercise the regional transportation plan. PLAN Phase 22: Establish Ongoing Review and Assessment Process for Transportation-Related Elements of State and State Transportation Agency EOPs and Supporting Materials Purpose. Ensure that the state and state transportation agency EOPs, procedures, and supporting materials are up to date.

Develop an Emergency Preparedness Program 45 Actions. Establish minimum timeframes for review as well as the specific events (i.e., update of the state EOP, change of personnel, provision of new or additional resources, issuance of new regulatory requirements, change in regional demographics or hazard profile) that should prompt a review and possible revision of the EOPs. Focus. Maintain accurate, relevant, and immediately useful plans and procedures. Prepare for the Emergency The discussion of emergency preparedness and its role in the state transportation agency emergency management process must begin by revisiting HSPD-8, National Preparedness. HSPD-8 established “policies to strengthen the preparedness of the United States to prevent and respond to threatened or actual domestic terrorist attacks, major disasters, and other emergencies by requiring a national domestic all-hazards preparedness goal, establish- ing mechanisms for improved delivery of Federal preparedness assistance to State and local governments, and outlining actions to strengthen preparedness capabilities of Federal, State, and local entities.” Preparedness involves planning, resources, training, exercising, and organizing to enhance operational capabilities. Preparedness is the “process of identifying the personnel, training, and equipment needed for a wide range of potential incidents and developing jurisdiction-specific plans for delivering capabilities when needed for an incident” (CPG 101, Version 2.0, 2010). HSPD-8, National Preparedness, has been replaced by Presidential Policy Directive 8 (PPD-8) on National Preparedness. Released in March 2011, PPD-8 seeks to strengthen national secu- rity and resilience through “systematic preparation for the threats that pose the greatest risk to the security of the Nation, including acts of terrorism, cyberattacks, pandemics, and catastrophic natural disasters.” PPD-8 mandated the creation of policy and planning documents, including the NPG and the National Preparedness System (PPD-8 2011). Released in February 2013, PPD-21 on Critical Infrastructure Security and Resilience is aligned with PPD-8 and replaced HSPD-7. PPD-21 directed the Executive Branch to develop situational awareness capability to address physical and cyber functioning of infrastructure in near real time, understand the cascading consequences of infrastruc- ture failures, update the NIPP, focus on public−private partnership, and establish a research and development plan. Because PPD-21 also elevated the role of the U.S. DOT to co-sector-specific agency along with the DHS, the continued expansion of the role of state transportation agen- cies in managing emergencies is expected (NCHRP Synthesis 468: Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel). The original NPG, released in 2011, identified core capabilities for each of the five mission areas. The new 2015 NPG describes Preparedness as a “shared responsibility” by the whole community to achieve the goal of a “secure and resilient Nation.” It retains the five mission areas in the original 2011 NPG. Core capabilities, identified and updated through the Strategic National Risk Assessment, are used to execute each of five mission areas: Prevention, Protec- tion, Mitigation, Response, and Recovery. Because these core capabilities are interdependent and shared by many entities, and agencies have limited resources, effective interagency and interjurisdictional coordination is essential to improving preparedness. National Preparedness Goal Vision To engage federal, state, (territorial), local, and tribal entities, their private and nongovernmental partners, and the general public to achieve and sustain risk-based target levels of capability to prevent, protect against, respond to, and recover from major events to minimize the impact on lives, property, and the economy.

46 A Guide to Emergency Management at State Transportation Agencies The top NPG priorities are to implement the NIMS and the NRF, expand regional collabora- tion, and implement a NIPP. It is also the priority of the NPG to strengthen the following: • Information sharing and collaboration capabilities • Interoperable communications capabilities • CBRNE detection, response, and decontamination capabilities • Medical surge and mass prophylaxis (i.e., disease prevention) capabilities While strengthening medical surge and mass prophylaxis capabilities may appear to be beyond the scope of state transportation agencies, it is important to note that each of the other NPG priorities are directly applicable and imperative to improving transportation agency emergency preparedness capabilities. The previous discussion of emergency planning noted the importance of developing an EOP that is both workable and that meets all partners’ expecta- tions. This is best accomplished through information sharing and collaboration among a broad range of stakeholders and emergency management experts (i.e., the state transportation agency’s emergency planning team). While the planning phase is designed to bring stakeholders together to create a collaborative planning team and an effective EOP, the preparedness phase of emergency management works to ensure the EOP can meet its objectives. As to medical surge and mass prophylaxis, it is not unusual for state transportation agencies to be involved in trans- portation and distribution plans for national stockpiles and personnel to administer them. During the preparedness phase, the EOP guides and directs the development of supporting hazard- and threat-specific plans and procedures and serves to remind the state transportation agency planning team of the ultimate goals and objectives of the agency’s emergency response activities. In this manner, the EOP continues to evolve, intrinsically linking planning and preparedness together through its implementation. HSPD-8 defines national preparedness as “the existence of plans, procedures, policies, train- ing, and equipment necessary at the Federal, State, [territorial,] and local level to maximize the ability to prevent, respond to, and recover from major events.” At the state transporta- tion agency level, preparedness is more simply described as the tasks and activities neces- sary to build, sustain, and improve the agency’s operational capability to prevent, protect against, respond to, and recover from the hazards and threats that it may face. Based on this description, it is clear that emergency preparedness cannot end with the development and implementation of the state or transportation agency EOP, rather, it must instead include development, implementation, and testing of other support plans and procedures that define the specific tasks to be completed during emergency response activities. The three fundamental questions in the Preparedness phase of emergency management are still the same: 1. How prepared do we need to be? 2. How prepared are we? 3. How do we prioritize efforts to close the gap? Answering these questions requires the state transportation agency to take an all-hazards approach to identifying the hazards and threats it may face and to develop tangible actions that can be taken to respond to these hazards and threats—the NIMS and the NRF approach to emergency management. It is also important to note that answering these questions requires the agency to evaluate and manage risks. Because no entity has sufficient resources to protect against every threat and every hazard, state transportation agency investment in preparedness activities is necessarily risk-based. This inherently involves development and application of standards and measures to assess the current capabilities, performance, and overall preparedness of the agency. Since HSPD-8 was

Develop an Emergency Preparedness Program 47 first issued on December 17, 2003, states have worked to develop and implement required stan- dards and metrics and have developed strategies consistent with the NPG to plan and prepare for, respond to, and recover from emergency events. In doing so, many states have established specific preparedness measures that state transportation agencies must meet (typically identi- fied in the state EOP. The following has been developed to provide state transportation agen- cies with the tools necessary to evaluate the effectiveness of their own emergency preparedness processes against the standards and metrics required by NIMS and to provide additional details on how best to implement the agency EOP. Step 1—Develop Approaches to Implement State Transportation Agency Roles and Responsibilities during Emergencies For state transportation agencies to implement their roles and responsibilities during emer- gency events, they must first know their roles and responsibilities. The research and data analysis phase of emergency planning recommended that agencies start the research process by reviewing the state EOP and its supporting annexes and appendices. This is necessary to identify any transportation-related activities, issues, requirements, and needs that the agency may be designated to complete or fulfill. Similarly, the state transportation agency should also review the EOPs and emergency transportation plans of local and regional transporta- tion organizations and agencies to determine if the agency is being relied on to provide sup- port and resources at the local and regional level. Developing approaches to implement its roles and responsibilities during emergencies requires the agency to complete four phases. As in the PLAN phase, self-assessment checklists for state transportation agencies are included in Appendix A4. PREPARE Phase 01: Establish Protocols for Addressing National Terrorism Advisory System Bulletins and Alerts Purpose. Address DHS/Transportation Security Administration (TSA) and FHWA/FTA recommendations for responding to NTAS bulletins and alerts. Actions. DHS issues NTAS Bulletins and Alerts. Bulletins provide broad and general infor- mation about terrorism trends, events, and threats but do not reach the level of credibility or specificity needed to issue an Alert. Alerts can be either Elevated for credible but general threat information or Imminent for credible, specific, and impending threats in the very near term. Agencies should implement necessary precautions and protective measures as appropriate for each Bulletin and Alert. Where possible, coordinate the activities with the transportation- related activities in the state’s basic EOP and the Hazard-Specific Annexes. Focus. Increase the readiness of state transportation agencies and improve their ability to respond appropriately to changing threat levels and conditions. PREPARE Phase 02: Develop Memorandum of Understanding/Agreement with Other Local and State Agencies for Transportation-Related Elements Specified in State and Regional EOPs Purpose. Ensure that formal plans and procedures are in place for mutual aid, as specified by FEMA in the NRF and NIMS and in the state EOP. Actions. Promote intrastate and interagency mutual aid agreements (to include agreements with the private sector and NGOs). Develop memoranda of understanding/agreement (MOU/As) and notification/information-sharing protocols with local, regional, and state partners for the

48 A Guide to Emergency Management at State Transportation Agencies transportation-related elements specified in the state EOP. Supporting actions may include the following: • Use the state/territory response asset inventory for intra- and interstate mutual aid (such as EMAC) requests, exercises, and actual events. • Build relationships with local, regional, state, and federal EMAs, EOCs, Emergency Planning Committees, Emergency Response Commissions, TMCs, FCs, and Public Health and Agri- cultural organizations. In addition, consider including regional entities and other countries in MOU/As. Figure 10 illustrates the overlapping interests of the TMC (called Traffic Opera- tions Center in the figure), EOC, and the FC. Appendix A2 contains additional information regarding FCs. • Define key terms, roles, and responsibilities of individuals, and obtain contact information. Include procedures for requesting and providing assistance. • Include procedures, authorities, training requirements, and rules for payment, reimburse- ment, and allocation of costs. • Include notification procedures and protocols for interoperable communications. Explain relationships with other agreements among jurisdictions. • Address workers’ compensation and treatment of liability and immunity. • Provide for recognition of qualifications and certifications. • Share agreements, as required. Review, support, and adopt FEMA’s ongoing efforts to develop a national credentialing system. • Expand mutual aid agreements beyond support services and equipment to include informa- tion sharing and interagency decisionmaking. • Establish MOUs with the owners of telecommunications, electrical power transmission trunk lines, pipelines, viaducts, and so forth for monitoring these facilities, and include in the EOP appropriate responses to damage to them. Focus. DHS recommends that basic MOU/As include protocols for requesting assistance, chain of command and control, compatibility of resources, and what level of assistance is to be expected. MOU/As developed by state transportation agencies should therefore define the transportation-related elements, activities, roles, responsibilities, and resources that the agency will supply during emergency response activities as well as those the agency will receive from other response agencies and organizations. MOU/As should also incorporate the NIMS require- ments, especially when the transportation agency enters into an agreement with private-sector companies or volunteer organizations that are not mandated to meet the NIMS requirements. Other information an agency may include in an MOU/A includes the following: • Definitions of key terms used in the agreement • Definitions of participating agency jurisdictional boundaries • Procedures for requesting and providing assistance • Procedures, authorities, and rules for payment, reimbursement, and allocation of costs • Notification procedures • Protocols for interoperable communications • Relationships with other agreements among jurisdictions • Treatment of liability, immunity, and workers’ compensation • Recognition of qualifications and certifications • Future evaluation and modification of procedures and protocols • Training and joint exercise responsibilities • Sharing agreements See Appendix A4 for a checklist of transportation resources and a checklist of emergency events affecting multiple jurisdictions, transportation, and interdependencies. Figure 10. Overlapping interests (Source: FHWA).

Develop an Emergency Preparedness Program 49 PREPARE Phase 03: Develop Approach to Provide State Transportation Agency Critical Services during Emergencies Purpose. Develop COOP and COG plans to define activities that must be performed if an emergency event affects access to essential operating and maintenance facilities, vehicle fleets, systems, and senior management and technical personnel. Actions. Establish a common understanding with community, state, and federal jurisdic- tions of the capabilities and distinct types of emergency response equipment available. Develop a state transportation agency COOP. Supporting actions may require the agency to do the following: • Develop a state transportation agency COG plan. • Acquire or pre-identify key equipment and supplies specified in the COOP. • Identify response resources and develop an asset inventory conforming to NIMS resource typing standards, including DHS standards as identified by FEMA’s National Integration Center (NIC). When feasible, propose modification or new resource definitions to the NIC for inclusion in the resource typing effort. • Identify strategies to obtain and deploy major equipment, supplies, facilities, and systems in sufficient quantities to perform assigned missions and tasks. • Implement an effective logistics system to mobilize, track, use, sustain, and demobilize physical and human resources. The system must support both the residents in need and the teams responding to the incident. • Develop Personnel Resource Lists that identify appropriate personnel available to support various incident types. Include contractor and NGO personnel. • Develop Equipment and Materials Resource Lists that identify equipment and materials needed and available for various incident types. Include contractor and NGO resources. • To the extent permissible by state and local law, ensure that relevant national standards and guidance to achieve equipment, communications, and data interoperability are incor- porated into state and local acquisition programs. Share these lists with appropriate local, state, and regional EMAs. • Develop extended and emergency staffing plans, including suspension of vacation and leave; overtime and compensatory time provisions; and self-sustaining teams as warranted. Focus. In many cases, the state may have also developed a COOP or COG plan to define the activities that must be performed to respond to DHS NTAS Alerts and Bulletins and emergency events that affect access to essential operation and maintenance facilities, vehicle fleet systems, and senior management and technical personnel. The state transportation agency should also review these plans to determine what agency critical services will be required to support COOP and COG activities. Because state transportation agencies will likely be called upon to support mass evacuations of their regions (or in some cases, shelter-in-place or quarantine—the prevention of evacua- tion), it is important that they develop a formalized approach to evacuation management that includes plans, policies, and procedures for evacuations with and without notice. PREPARE Phase 04: Develop State Transportation Agency Approach to Evacuation, Shelter-in-Place, and Quarantine Management Purpose. Ensure the state transportation agency formalizes its approach to evacuation management, including plans, policies, and procedures for evacuations with and without notice, and its approach to shelter-in-place and quarantine management. NCHRP Report 740 provides guidance, tools and templates for all-hazards evacuation planning, including traffic

50 A Guide to Emergency Management at State Transportation Agencies and roadway management strategies, resource typing, modeling, and regional coordination. It follows the CPG 101, Version 2.0, (2010) steps for planning. Appendix A contains some of these tools and resources, and Section 5 contains information on collaboration and commu- nication techniques. Actions. Convene stakeholders to develop and revise evacuation, shelter-in-place, and quar- antine plans. Include practitioners with previous experience. Supporting actions may include the following: • Identify goals, objectives, and guidelines for evaluating and updating the plan. • Identify the ultimate decisionmaker, incident commanders, organizations, and those with authority and responsibility for evacuation by position; ensure their tasks have been predefined. • Identify roles and responsibilities of government agencies, including transportation and public safety, and how these agencies coordinate their efforts with each other. • Identify variations in direction and control for different types of events that require evacua- tion, shelter-in-place, and quarantine. • Conduct practice exercises (at least tabletop) to test the plan for evacuation, shelter-in-place, and quarantine of vulnerable populations. Be sure to include whole community partners, including representatives from diverse groups of persons with access and functional needs, to be part of the planning for such exercises as well as to participate in the exercises themselves. Such planning and exercises must follow welcoming accessibility principles, as described in TCRP Report 150. • Identify the number and location of people and vehicles to be evacuated, sheltered-in-place, or quarantined. • Identify primary and secondary evacuation, shelter-in-place, and quarantine routes based on probability and feasibility of use, survivability, ease of restoration, functional service, and strategic location. • Identify agencies and personnel who will report to the EOC and how they will be notified to report. • Address shelters and in-place provisions. • Document decision criteria to be monitored and evaluated prior to issuing an evacuation, shelter-in-place, or quarantine order. • Identify how and when the evacuation, shelter-in-place, or quarantine order is communicated to the emergency management community and to the public. • Define specific criteria for voluntary, recommended, or mandatory evacuation, shelter-in- place, and quarantine events. Include preapproved drafts of executive orders for evacua- tions or prevention of evacuation. Describe the time phasing of evacuation, shelter-in-place, and quarantine execution (i.e., sequential and concurrent activities) for different levels of response. • Plan for communicating with limited English-speaking individuals and people with special needs (e.g., hearing, physical, mental, vision impairments). (See TCRP Report 150 for guidance.) • Address the use of public transit vehicles, school buses, paratransit, trains, ferries, aircraft, and other publicly or privately owned vehicles that may be used during the evacuation. (Note: hereinafter, all of these vehicles are referred to generically as transit vehicles.) • Designate routes and locations for ingress traffic and pre-staged equipment, material, and personnel along the evacuation, shelter-in-place, and quarantine routes, including fuel and personal relief facilities for emergency staff and those affected populations. Include a strategy for restricting and securing access to evacuated, sheltered-in-place, or quarantined areas. • Determine policies for rescue and possible evacuation, shelter in-place, or quarantine care for pets and livestock.

Develop an Emergency Preparedness Program 51 • Determine policies for containing agricultural emergencies, such as traffic control if stop- movement, shelter-in-place, or quarantine operations are necessary, as a result of the deliberate or accidental introduction of foreign plant or animal diseases into the U.S. food supply system. Step 2—Establish Communication and Information Management Protocols and Mechanisms for Public Outreach The concept of communications interoperability requires states to ensure that all emergency response participants, including the general public, be notified of imminent hazards or threats and the actions to be taken to prepare for, protect against, respond to, and recover from such events. To accomplish this task, the state transportation agency should work through its emer- gency planning team to establish communication systems that are consistent across the state and region. Such systems should include 24/7 event notification calling trees, shared radio channels to foster information flow during response and recovery efforts, backup commu- nication systems to mitigate single-point failures of the primary systems, and shared data management systems and programs. It is important to note that some TMC software systems have notification subsystems that could be used for this purpose. There are also commercial applications available that provide such capabilities. As stated in the Simplified Guide to the Incident Command System for Transportation Professionals (FHWA 2006a), effective communication is based on two broad principles: 1. Common Operating Picture achieves a broad view of the overall situation for Incident Com- mand and ICS staff at all levels and jurisdictions to make effective, consistent, and timely decisions. 2. Common Communications and Data Standards ensures voice and data communications flow efficiently through a commonly accepted architecture using clear text and ICS terminology. The 2016 NIMS update (draft version) emphasizes the importance of planned communi- cations and information management to provide and maintain situational awareness during emergencies and ensure accessibility and interoperability for incident management personnel. Incident information is continuously gathered, reviewed, synthesized, updated, and dissemi- nated through use of plans, processes, standards, architecture, and equipment. Communication types can be strategic, tactical, support, or public address: • Strategic Communications are high-level directions, including resource priority decisions, roles and responsibilities determinations, and overall incident management courses of action. • Tactical Communications are communications between command and support elements and, as appropriate, cooperating agencies and organizations (Phase 05 and Phase 06). • Support Communications are conducted in coordination with strategic and tactical communications. • Public Address Communications are emergency alerts, warnings, and press conferences (Phase 05 and Phase 06). The key characteristics of an effective communications and information management system are as follows: • Interoperable: These are systems that enable personnel and organizations to communicate within and across jurisdictions and organizations via voice, data, and video systems in real time. • Reliable, Scalable, and Portable: These are systems that are suitable for use within a single jurisdiction or agency, a single jurisdiction with multiagency involvement, or multiple juris- dictions with multiagency involvement. Systems should always be ready for mobilization, and

52 A Guide to Emergency Management at State Transportation Agencies personnel should have proper training to know how to mobilize them. Scalability means that systems can be readily expanded to support any incident regardless of type or severity. Portable technologies and equipment ensure their effective integration, transport, and deployment when necessary. • Resilient and redundant: These are systems that can ensure the availability of communications after an emergency or disaster. Resilient systems are able to withstand damage and continue operating, and redundant systems duplicate services through use of diverse and alternative communications methods. The characteristics of Common Terminology, Plain Language, and Compatibility are also important in allowing personnel from different agencies and jurisdictions to understand each other. Compatible systems use data communications protocols, data collection protocols, and, when needed, encryption or tactical language. Technologies that can facilitate communications include the following: • State-of-the-art radio and telephone systems • Automated public warning and notification systems • Internet and related computing systems (e.g., GIS) • Incident management software • Social media With these principles in mind, this portion of the preparation process involves the following two key phases (Phases 05 and 06). PREPARE Phase 05: Establish Internal State Transportation Agency Communications Protocols Purpose. Ensure that calling trees and notification systems, including 24/7 event notifica- tion protocols, are established to notify state transportation employees about emergencies, to communicate with them during emergencies, and to distribute emergency materials in advance of events. Actions. Evaluate use of radio channels, frequencies, trunked radio systems, and use of cellular phones during events likely to result in emergencies requiring activation of the state and regional EOC(s). Establish predetermined frequency assignments, lists of agency channel access, and interagency communication protocols. Supporting actions may include the following: • Determine how agencies and specific traffic management team personnel will communicate with each other in the field and on which channels. • Coordinate and support emergency incident and event management through development and use of integrated multiagency coordination systems. • Develop and maintain connectivity capability between local Incident Command Posts, local 9-1-1 centers, local EOCs, the SEOC, and regional and federal EOCs, FCs, and NRF organi- zational elements. • Develop systems, tools, and processes to present consistent and accurate information to incident managers at all levels. • Specify agency and interagency contact information. • Establish calling trees and notification systems, including 24/7 event notification protocols. • Prepare an employee communication strategy, including emergency communication systems and materials for distribution in advance of events. Incident response communications (during exercises and actual incidents) should feature plain language commands so transportation employees will be able to function in a multijurisdictional environment. Revise field manuals and training to reflect the plain language standard.

Develop an Emergency Preparedness Program 53 • Identify single points of contact, with back-ups, in all jurisdictions and agencies for commu- nications, including the protocols for which to contact under what conditions. • Define when evacuation personnel are to be notified of a possible evacuation, shelter-in-place, or quarantine order prior to its execution. • Identify contingency plans for use if normal means of communication fail or are unavailable. Include provisions for keeping the public informed of the estimated travel times to safe havens under current and forecast conditions. • Identify who needs to be informed to begin opening shelters. • Identify specific contingency plans to be used if conditions change during the course of the evacuation. • Institutionalize, within the framework of the ICS, the Public Information System, compris- ing the Joint Information System (JIS) and a Joint Information Center (JIC). The Public Information System will ensure an organized, integrated, and coordinated mechanism to perform critical emergency information, crisis communications, and public affairs functions that are timely, accurate, and consistent. This includes training for designated participants from the governor’s office and key state agencies. The state transportation agency’s Public Information Office will generally represent the agency in the JIC and should not issue sepa- rate public announcements. • Standardize incident reporting and documentation procedures to enhance situational awareness and provide emergency management and response personnel with access to critical information. • Practice sharing information between EOCs, TMCs, and, if appropriate, FCs, and other relevant agencies. Focus. The planning team represents the key agencies and organizations with which the state transportation agency will need to communicate during emergency response and recovery activi- ties. Given the diverse nature of the planning team, it is likely that many of these agencies and organizations will be using different types of communications and information technology equip- ment, programs, and systems. While identifying these differences is a key step in the planning process, developing and implementing ways to effectively mitigate these differences to ensure interoperability of communications during emergency response and recovery activities is a key—and often very difficult—step in the preparedness process. PREPARE Phase 06: Develop Media Interface and Public Notification Systems Purpose. Ensure that the state transportation agency has the capability to provide traveler and evacuation information quickly and accurately to media outlets and the public, generally through the JIC during major incidents. Actions. Develop Media Interface Guidelines to ensure traveler information is provided quickly and accurately to media outlets and the public. Ensure these guidelines include appro- priate instructions to discourage unnecessary or unnecessarily lengthy evacuation, shelter-in- place, and quarantine situations. During major incidents, supporting actions are generally handled through the JIC created by the state or local EOP rather than by the state transporta- tion agency’s Public Information Office. Those resources for public outreach controlled by the state transportation agency, such as TMCs and Dynamic Message Signs (DMSs), would be activated by the agency, but they should be closely coordinated with the JIC as appropriate. They may include the following: • Designate (preferably) a single spokesperson to provide information to the media and the public. • Identify communication tools to be used to ensure the community receives information regarding the steps to be taken to prepare for evacuation, the evacuation zone, the routes of evacuation, and location of nearby shelters.

54 A Guide to Emergency Management at State Transportation Agencies • Develop agreements with traffic reporting services. • Provide protocols and guidance to these services for involving them in informing the public. • Establish Broadcast Radio Agreements to ensure that information is provided in a preestab- lished format within specific timeframes. • Develop pre-scripted public service announcements and messages and inform the media on their use. • Establish Cable Television Cooperative Agreements to provide information to targeted popu- lations (e.g., local government channels). • Establish a process for using Highway Advisory Radio (HAR) AM stations to provide traveler information in the immediate vicinity of the transmitter. • Establish a process for using mass faxing capability or email to send road closure information to trucking associations, truck stops, inspection and weigh stations, media outlets, and others. • Establish processes for using Advanced Traveler Information Systems (ATIS), including Internet, kiosk facilities, 5-1-1, and other publicized public information services to inform the public of travel conditions. • Establish a process for using DMSs to provide timely, accurate information in advance of and at the scene of an incident. • Identify foreign language speakers and outlets to communicate with citizens and visitors who may not understand English. • Establish times for public officials to provide updates and inform the public of when they can expect such updates. • Ensure the state/territorial Public Information System can gather, verify, coordinate, and dissem- inate information during an incident. Accomplish this through exercises and drills of the system. • Use existing Public Information System and other communication systems for effective prac- tices and technical aids. • Social media can help monitor and gather information, disseminate public information and warnings to a broad audience, help with map production and other visualizations, and match services to needs. Issues with social media use include accuracy of gathered information and what information to share and with whom. • Work closely with ESF #15—External Affairs. Focus. The general public must be included in the communication of emergency prepared- ness, response, and recovery efforts, particularly evacuation, shelter-in-place, and quarantine orders. The information provided must be clear as to the need for evacuation, shelter-in-place, and quarantine. This is most often performed through media interfaces and notification systems that provide emergency information quickly and accurately through television, radio, Internet, emergency call numbers, DMSs, other ATIS subsystems, and media outlets. It is important to note that the state transportation agency is likely to be carrying out these communication activities while providing support to the Public Information System within the framework of NIMS. As appropriate, the agency should define its public communication protocols in a sepa- rate plan or procedure that is maintained as an appendix or annex to its EOP. These plans should also address how emergency information will be communicated to freight haulers and other travelers and tourists in the region. Additional information regarding collaboration and coor- dination procedures may be found in Section 5 of this Guide and Appendix A6. Refer to TCRP Report 150 for how to establish and engage a community network. Step 3—Emergency Evacuation, Shelter-in-Place, and Quarantine Plans and Traffic Control and Management Protocols and Procedures FHWA’s primer, Using Highways During Evacuation Operations for Events with Advance Notice, states that “. . . the most important activity to ensure successful evacuations is

Develop an Emergency Preparedness Program 55 development of an evacuation plan that complements a jurisdiction’s emergency response plans” (FHWA 2006b). This portion of the preparation process involves four phases (Phases 08, 09, 10, and 11). Capacity enhancement, traffic diversion, and demand management techniques are particu- larly important in planning for evacuations because evacuations will place significant demand on the existing transportation network. Capacity enhancement strategies, such as ramp meter- ing and contraflow lanes, increase traffic capacity and throughput, while demand management strategies, such as staggering work schedules, limit traffic demand. Traffic diversion techniques, such as use of alternate routes, provide the public and emergency responders with safe and efficient evacuation routes. See Table 5 for a summary of key capacity enhancement, traffic diversion, and demand management strategies. These strategies are incorporated into plans, field guides and checklists, and operations manuals. These along with Traffic Management Plans (TMPs) or Temporary Traffic Control (TTC) plans may facilitate the development of an Incident Action Plan. TMPs and TTC plans should be developed for predefined severity levels and incident locations. TMPs and TTC plans should include specific information about temporary roadways, traffic control signs, pavement markings, channelization devices, traffic control signals, and barriers; work time and roadway occupancy restrictions; traffic control changes on detour/diversion routes; inspection require- ments; responsibility for installation and maintenance of the traffic control signs; and contin- gency plans for unexpected events. Factors such as safety, cost, vehicle delay, and emergency vehicle access should be considered when developing a TMP or TTC plan. The Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD) Part 6 should be consulted for specific traffic control requirements. In particular, see Section 6B.01 Fundamental Principles of Temporary Traffic Control and Section 6C.01 Temporary Traffic Control Plans. The MUTCD standard states that the needs and control of all road users [motorists, bicyclists, and pedestrians within the highway, or on private roads open to public travel (see definition in Section 1A.13), including persons with disabilities in accordance with the Americans with Disabilities Act of 1990 (ADA), Title II, Paragraph 35.130] through a TTC zone shall be an essential part of highway construction, utility work, maintenance operations, and the management of traffic incidents. See also Chapter 2L Changeable Message Signs (CMS) and Chapter 2N Emergency Management Signing. For signal timing strategies during incidents and planned events, see Chapter 11 of the NCHRP Report 812: Signal Timing Manual Second Edition. In addition, the 2016 Institute of Transportation Engineers (ITE) Traffic Engineering Handbook contains relevant information on planning, design, control, management, and opera- tions for transportation incidents, emergencies, evacuations, disaster recovery, and planned events. NCHRP Report 740 stresses the inclusion of all stakeholders, including transit agencies, and considering the needs of all populations, including special needs populations and pets when planning for evacuations. Additional information regarding collaboration and coordination procedures may be found in Section 5 and in Appendix A6. The TMC deploys and manages traffic control systems, technologies, and assets; performs emergency response, incident response, and clearance functions; conducts transportation network monitoring and surveillance; and provides acquisition and communication of traffic information. The capabilities, plans, data, information, and resources of the TMC can be lever- aged by planners to execute the phases in this step. PREPARE Phase 07: Establish Applicable State Transportation Agency Response Management Teams Purpose. Assign managers and teams to manage the major types of incidents or events that occur. Traffic management, HAZMAT, damage or bridge assessment teams, or other specialized

56 A Guide to Emergency Management at State Transportation Agencies teams may be required. Ensure that potential team members are trained, qualified, and certi- fied as necessary on equipment they will be using. Ensure that equipment has been inspected, is in working order, and certified as required. Actions. Establish traffic management teams to manage and direct traffic on highways, at critical intersections lacking active signalization, and contraflow operations, and monitor con- ditions as needed. Also establish HAZMAT response and disposal teams, debris removal teams, damage assessment teams with self-sustaining capabilities, and bridge assessment teams to provide emergency response services, including road clearance and repair. Be prepared to estab- lish additional teams if necessary. Provide teams with Personal Protective Equipment (PPE), training, and information packets, including necessary forms, information about reimburse- ment programs and procedures, and required documentation. Teams should ideally have pre- assigned personnel with proper training, qualifications, and certifications on equipment they will be using. Equipment should be inspected, in working order, and certified as required. Estab- lish coordination plans with neighboring states and jurisdictions and, where relevant, neighbor- ing countries as well. Focus. Deployment of traffic management teams during emergency evacuations, shelter- in-place, and quarantine situations to assist in managing and directing traffic on highways, at critical intersections lacking active signalization, and during contraflow operations can improve the efficiency of evacuation, shelter-in-place, and quarantine; access control; motorist assistance; and road clearance efforts and can enhance situational awareness as well. Deploy- ment of additional teams can assist with other emergency response needs. If the state transporta- tion agency chooses to develop such teams, then it should also develop plans and procedures detailing when and how the teams will be deployed, how to maintain communications with the traffic management teams, and when and how to withdraw traffic management teams from the affected area to ensure their safety. In addition, coordination plans with relevant juris- dictions and states should be established. PREPARE Phase 08: Prepare Traffic Management Performance Measures Purpose. Perform traffic flow analyses to support emergency evacuation, shelter-in-place, quarantine, and response planning. Perform traffic flow analyses to support emergency evacua- tion, shelter-in-place, quarantine, and emergency traffic management and control plans. Actions. Perform traffic flow analyses and evaluate key performance measures, such as speed and occupancy, throughput, and evacuation times. Analyze the emergency vehicle access routes and evacuation, shelter-in-place, and quarantine route adjustments. Analyze effectiveness of selected transportation roadway actions, transit system actions, and transportation demand management actions to determine the impact on performance measures. Use traffic simulation models and evacuation models as appropriate. For various scenarios, including a large-scale evacuation, consider scale and patterns of movement, damaged infrastructure, and secondary incidents. For evacuations, consider both notice and no-notice events. Perform traffic flow analyses, evaluating speed, vehicle occupancy, traveler behavior, and contraflow, and include evacuation, shelter-in-place, and quarantine route adjustments. Supporting actions may include the following steps: • Analyze traffic flow of evacuation, shelter-in-place, and quarantine routes focusing on all free- ways and major arterial roadways serving the route. Focus on egress and ingress operations separately. Avoid left-turn movements across traffic flow. Divert traffic flow from critical locations (e.g., Points of Dispensing sites in support of the strategic National Stockpile) and bottlenecks that could cause congestion.

Develop an Emergency Preparedness Program 57 • Review transportation segments to establish capacity; evacuated, sheltered-in-place, and quarantined population location distribution; potential sheltering and care destinations; distance between these locations; and parallel routes for each identified hazard. • Develop multiple local flow (feeder) routes connected to the main evacuation, shelter-in- place, and quarantine routes, as necessary to achieve optimum efficiency. • Test contraflow operations, including full set up and breakdown of traffic controls, safety equipment, and materials. • Identify the distances those evacuated, sheltered-in-place, and quarantined must travel to reach a point of safety for each of the hazards identified. • Identify user groups potentially affecting egress and ingress operations (e.g., regional through traffic, truckers, other interstate travelers). • Review signal timing strategies and develop strategies to address identified hazards. They include increasing intersection traffic handling capacity by minimizing the number of traffic signal phases; selecting an existing timing plan with longer cycle lengths; manual control of signal operations; a custom timing plan with alternate route movements; and a contingency plan with an extended phase or cycle to facilitate movement along the alter- nate route corridor. • Analyze potential bottlenecks, barriers, scheduled work zones, vehicle restrictions, vulnerabili- ties and other potential problems in advance to determine emergency response and evacua- tion, shelter-in-place, and quarantine routes. Analyze impact of traffic signal timing and adjust as necessary. Use FHWA’s Arterial Management Program for arterial management, traffic signal timing, and access management. – Plan for countermeasures (e.g., shutting down work zones, suspending vehicle restrictions, suspending toll collections, and adjusting or removing ramp metering) to address these issues. – Develop freeway interchange operations tactics to maximize ramp capacity and prevent evacuation route mainline congestion. • Control traffic and respond to traffic incidents through joint efforts among transportation, law enforcement, and emergency medical personnel. Use emergency transportation opera- tions (ETO) and TIM best practices. • Consider effectiveness of other transportation roadway actions, transit system actions, and transportation demand management actions described in Tool 3.4, NCHRP Report 740. Include promising actions in analysis. • Review, modify, or suspend timing of drawbridge openings and lock downs. Focus. Regional emergency response and evacuation, shelter-in-place, and quarantine events are supported by effective emergency traffic management and signal timing plans and evacuation plans that have considered the full range of transportation roadway actions, transit system actions, and transportation demand management actions, and performed traffic analy- ses and modeling. MPOs can provide outreach support to special needs populations along with modeling and analysis support and access to travel demand data. State transportation agencies should develop procedures for real-time monitoring of emergency vehicle access routes; evacu- ation, shelter-in-place, and quarantine routes; and coordination of traffic signals and timing to facilitate the effective flow of individuals to and from the region—done through the support of the TMC. Automated systems assist TMC personnel in adjusting traffic signal timing. Adaptive signal control technology continually collects information from roadway sensors and adjusts signal timing based on changing traffic patterns to mitigate congestion. Automated traffic signal performance measures also provide cost-effective continuous performance monitoring capability and produce information needed by TMC personnel to perform signal retiming.

58 A Guide to Emergency Management at State Transportation Agencies PREPARE Phase 09: Develop Traffic Management Plans and Protocols to Be Used during Evacuation, Shelter-in-Place, and Quarantine and to Respond to Emergency Events Purpose. Ensure the state transportation agency has plans and procedures for managing traffic during emergencies and responding to emergencies requiring activation of the state EOC (e.g., predesignated traffic control points (TCPs) for intersections along the transporta- tion corridor, alternative emergency response access routes, emergency turnarounds, protocols for communicating and coordinating with construction crews to support traffic control, equipment storage sites for pre-staging anticipated equipment, travel-on-shoulder guidelines, closure and alternate route guidelines, rapid vehicle and debris removal guidelines, and contra- flow plans). This phase currently addresses roadway aspects. Additional guidance that addresses all modes of transportation under state control or influence is included in NCHRP Report 740 and in other FHWA guidance. Actions. Develop TMPs and TTC plans with predetermined protocols and provisions for pre-positioned equipment for response to emergency events and evacuations, shelter-in-place, and quarantine of different severities and scope. Use information and data gathered in PREPARE Phase 08. Supporting actions may include the following: • Establish TMPs and TTC plans for predefined severity levels and incident locations. Plans should include emergency response access routes and alternate routes, provisions for use of traffic control devices and alternate signal timing plans, and predesignated TCPs for intersections. TTC plans should also include provisions for towing, recovery, and HAZMAT response. TTC plans should consider all transportation users, including transit users and pedestrians as well as transit and railroad services and dissemination of traveler information. • Coordinate the designation of TCPs with state and local law enforcement. • Consider all modes and networks in addition to highways, local roadways, and private vehicles, including surface transit, commuter and regional rail, subways, light rail, ferries, taxis, vans and buses operated by non-transit entities, airplanes, and pedestrians (see Tool 3.3, NCHRP Report 740). • Use of contraflow lanes will require addressing issues, such as transition sections, ramps and crossover points; emergency turnarounds for emergency response providers; traffic control; access; merging; emergency access to transit and rail; use of roadside facilities; safety; labor requirements; and cost. • Consult evacuation flowchart in Figure 4-2 of NCHRP Report 740 for evacuation plans. • Establish predetermined staging areas and storage sites for each segment of the transportation corridor. • Develop travel-on-shoulder guidelines to ensure that highway shoulders are available for emergency use for response vehicles and general traffic if necessary. • Establish closure and alternate route guidelines to guide implementation of closures and alternate routes using predetermined routes. • Establish rapid vehicle and debris removal guidelines, including HAZMAT response to ensure an efficient process for clearing roadways. • Establish landing zone guidelines and predetermined landing sites for medevac helicopters and traffic surveillance aircraft. • Develop traffic signal control plans to quickly implement alternative routes and close impacted lanes on the transportation corridor. Establish protocols for communicating and coordinating with construction crews to support traffic control. • Identify traffic control techniques to provide clear guidance for incident traffic control and allow safe and efficient deployment of closures, detours, and alternative routes.

Develop an Emergency Preparedness Program 59 • Identify corridors equipped with traffic signal preemption for use by emergency vehicles. • Identify emergency turnarounds, including median breaks and crossovers, to allow emergency response and highway operations personnel to turn around between interchanges. • Identify emergency access for transit operations, including locations for access to the transit rail lines for emergency response. • Develop protocols for communicating and coordinating with construction crews to support traffic control. Focus. Evacuation, shelter-in-place, and quarantine events begin at the local level on small roadways and neighborhood streets and progress to the state’s major arterials and inter- states. As a result, while it may not be possible to finalize the specific evacuation, shelter-in- place, and quarantine routes until the geographic scope and nature of the emergency event is known, emergency planners must remain cognizant of the fact that the design capacity of these thoroughfares may be exceeded during large-scale evacuation, shelter-in-place, and quarantine of the region. TMCs will be able to provide real-time roadway and bridge monitoring and surveillance support and can help develop TMPs and TTC plans and response scenarios for specific events. For TCPs, emergency response provider safety considerations are paramount and, therefore, applicable OSHA, MUTCD, work zone safety, and related guidelines should be followed. Planners should identify primary and alternate evacuation, shelter-in-place, and quarantine routes that are optimal based on the relative ease of placing the location into service, their functionality, and their strategic location. Identify these routes in the state’s emergency evacuation plan, recognizing that their use may change once the scope and nature of the emergency event is known or as the evacuation, shelter-in-place, or quarantine progresses. The traffic control and management portion of the emergency evacuation plan (and shelter-in-place and quarantine plans) should address how these changes and other real-time adjustments to the defined evacuation routes will be made to ensure the evacuation, shelter-in-place, or quarantine continues unimpeded. This includes how the state transportation agency will coordinate changing the evacuation, shelter-in-place, or quarantine route needs with local, regional, territorial, tribal agencies, and neighboring countries. PREPARE Phase 10: Coordinate with Neighboring Jurisdictions Purpose. Coordinate traffic management plans with neighboring jurisdictions and countries that may be affected by evacuation and response operations. Actions. Coordinate plans with neighboring jurisdictions, including neighboring countries, that may be affected by evacuation, shelter-in-place, or quarantine and response operations. Share plans with higher government levels because requests for additional resources may be necessary. Coordinate state plans with neighboring states because evacuees may travel to another state to seek shelter, or mutual aid may be requested from another state. States should look into integrating plans and creating interstate compacts that encompass all local jurisdictions through EMAC. Use the capabilities of regional organizations, such as the I-95 Corridor Coali- tion, TRANSCOM, and All-Hazards Consortium to assist in such coordination. Focus. Coordinated planning requires development of contacts and working relationships, regular meetings, and communication channels. Informal partnerships may be formalized through MOUs and other interagency agreements. See NCHRP Report 740 for MOU templates. The state transportation agency should also work with its neighboring jurisdictions to develop access management and corridor management programs to improve traffic flow and alleviate

60 A Guide to Emergency Management at State Transportation Agencies congestion issues that may occur during the evacuation, shelter-in-place, or quarantine. Emer- gency evacuation plans (or shelter-in-place or quarantine plans) or separate supporting traffic control and management plans and procedures should describe the supporting traffic control and management plans and procedures. Plans and procedures should include predesignated TCPs along the evacuation, shelter-in-place, or quarantine corridor; alternate access routes for emergency responder access; emergency turnarounds; protocols for communicating and coordinating with construction crews to support traffic control; equipment storage sites for pre-staging anticipated equipment; travel-on-shoulder guidelines; closure and alternate route guidelines; and rapid vehicle and debris removal guidelines. Planned events, training and exercises, and efforts to obtain mutual aid provide opportunities for collaboration. Step 4—Develop Mobilization Plans for State Transportation Agency Personnel and Resources Impending emergency events, such as hurricanes and wildfires, provide some advance notice to emergency responders. This advance notice provides additional time to stage personnel and equipment and fully mobilize response teams prior to the storm’s or fire’s impact. Unfortu- nately, many emergency events, such as a large-scale terrorist attack, earthquake, or HAZMAT release, occur without notice, and require emergency responders to react quickly and efficiently with minimal information to mobilize and deploy personnel and resources to the affected areas. In doing so, emergency responders must not only work to fulfill their response duties, but they must do so while keeping themselves and others safe. To ensure that emergency responders are capable of meeting these demands, it is critical that mobilization plans be developed and exer- cised for both notice and no-notice emergency events. Developing mobilization plans for state transportation agency personnel and resources requires the completion of Phases 11 and 12. PREPARE Phase 11: Prepare to Mobilize Response Teams, Equipment, and Resources Purpose. Ensure readiness to mobilize transportation agency response teams by creating a comprehensive mobilization plan. The plan should include procedures for the activation of all necessary personnel, testing all communications equipment, fueling all vehicles, pre-staging supporting equipment (cones, barriers, signs, etc.), and implementing established field capabili- ties to coordinate with local, regional, state, and federal agencies through the NIMS and ICS. Plans should also ensure that resource requirements are identified for each type of emergency, describe how the resources will be obtained, where they are located, and how they will be trans- ported to appropriate staging areas. In addition, plans should address how resource requests can be addressed with minimal notice. Actions. Establish mobilization plans. Test all primary and backup wire communications and radio frequencies, including remote communications expected to be used during the event, and evaluate contingencies. Ensure response vehicles are fueled and in proper working order. Supporting actions could include the following steps: • Perform joint planning for resource acquisition prior to an incident. Address questions, such as resource needs for specific events, available resources by agency/source, and how those resources may be acquired. • Mobilization plans should include activation and demobilization procedures for emergency personnel and equipment. Prior to activation, afford staff an opportunity to ensure the safety of their loved ones and personal property.

Develop an Emergency Preparedness Program 61 • Mobilization plans should also ensure the security of staging areas, TMCs, Traffic Control Centers (TCCs), EOCs, and emergency personnel. • Use resource management best practices to ensure sufficient resources are available to protect responders and those evacuated, sheltered-in-place, or quarantined. • Pre-position equipment and resources at predetermined locations, including portable changeable message signs, food and water, gasoline tankers, mechanics crews, port-a- potties, and other items that may be stored along the predesignated routes. Periodically, verify that all equipment and vehicles are fully fueled and operable, and other resources are in working order. • Track and report resources through the ICS structure. • Be prepared to equip emergency personnel with needed equipment, supplies, and PPE, and provide them with information packets, including ICS forms, reimbursement forms, and permit waiver forms. • Prior to activation, afford staff an opportunity to ensure the safety of their loved ones and personal property. • Incorporate public and volunteer organizations into reception and site plans. Be prepared to provide just-in-time training for all training needs that have not yet been met, including train- ing for NGO representatives and volunteers as well as state transportation agency personnel. • Establish field capabilities through the ICS. • Prepare for implementing the required elements of the reimbursement process. • Be prepared to use NIMS interjurisdictional and interagency information flow and coordina- tion mechanisms. • Ensure all responsible agencies understand joint priorities and restrictions. Ensure that mobi- lization plans and incident-specific deployment plans have been exercised, evaluated, and updated. • Be prepared to manage timely communication of instructions to prepare people in advance of the order to evacuate, shelter-in-place, or quarantine. Establish and test internal and external communications processes and systems. PREPARE Phase 12: Administer Training Programs Purpose. Establish employee and contractor training and exercise programs, partici- pate in joint multiagency training and exercises, evaluate training and exercises, and identify additional activities to improve preparedness. Actions. Develop interagency training programs to provide a common understanding of the transportation ICS and program guidelines. Establish professional qualifications, certifica- tions, and performance standards for individuals and teams, whether paid or volunteer. Ensure that content and methods of training comply with applicable standards and produce required skills and measurable proficiency. Leverage training and exercises provided by other agencies and organizations, including the state EMA, DHS/FEMA, state and local responders, FHWA, NHI, Local Technical Assistance Program (LTAP), Tribal Technical Assistance Program (TTAP), and universities and colleges. Evaluate training and exercises, develop AARs, and identify areas for improvement and corrective actions. Implement identified changes to training and exercise programs. Supporting actions may include the following: • Establish employee and contractor training and exercise programs. Follow state EMA guide- lines and schedules as appropriate. • Incorporate NIMS and ICS into all state, territorial, and regional training and exercises. • In general, training progresses from individuals to intra-agency teams to interagency and interjurisdictional exercises. Also, activities in the training and exercise program progressively become more complex.

62 A Guide to Emergency Management at State Transportation Agencies • Strive to make training relevant, interactive, and specific to real-world problems. Much learning can occur through instructor−student and student−student interactions. Acknowledge experience and knowledge by providing opportunities for participants to share information and practices. • Provide a chance for learners to reflect on their training. Then, provide opportunities to apply their new learning shortly thereafter. • Conduct a training needs assessment to determine the types of training along with certifica- tions and credentialing required by job function or position. – Identify internal and external requirements and mandates [Homeland Security Exercise and Evaluation Program (HSEEP), Emergency Management Accreditation Program (EMAP), Emergency Management Performance Grant (EMPG) Program], including training and exercise frequency, evaluation, and documentation. – Recipients of EMPG Program funding should develop and maintain a progressive exercise program and a multiyear Training and Exercise Plan (TEP) consistent with HSEEP. – Consider employees’ current and potential responsibilities. – Consider all employees at all levels with emergency preparedness and emergency manage- ment responsibilities, including training and exercise personnel. – Determine who (what positions) need NIMS Core Curriculum training; seek assistance from the NIC and state NIMS coordinator for additional guidance. – Consider including other emergency response providers, such as police and fire depart- ments, local public works agencies, and contractors. – Identify what additional training resources may be needed in the community to support response and evacuation, shelter-in-place, and quarantine activities. • Develop a state DOT multiyear TEP; hold a TEP Workshop to identify exercise priorities and determine the schedule of planned exercises, which target groups and categories of personnel will be included, which exercise type will be used, and develop a structured testing schedule for plans. • Participate in joint multiagency training and exercises; this should include an all-hazards exercise program based on NIMS that involves responders from multiple disciplines and multiple jurisdictions. Seek to participate in exercise planning to ensure the state transpor- tation agency role is realistic. • Plan and implement individual exercises. Seek to include all stakeholders, particularly for emergency evacuation exercises. • Keep key officials, state EMA, and other stakeholders updated on exercise planning and progress. Seek their input as appropriate. • Always have a safety plan for exercises. • Perform exercise design and development activities, including developing an Exercise Plan (see Appendix E for an Exercise Plan Template), identifying the planning team and exercise objec- tives, and determining scenario design, documentation creation, and logistics coordination. • Use scenarios to identify traffic and other transportation impacts of route closures, detours, and contraflow operations. • Use drills and exercises to estimate time needed to complete an evacuation, shelter-in-place, or quarantine for each of the catastrophic hazards identified, and provide this information to highway, public safety, and transit agencies for coordination purposes. Simulations can supplement these estimates. • Use drills and exercises to estimate the time it takes to have field personnel and equipment in place to support the evacuation, shelter-in-place, or quarantine. • Conduct the exercise by preparing for exercise play, managing the exercise, and conducting immediate post-exercise activities, including debriefings and a “Hot Wash.” • Start evaluation planning and fill key evaluation roles at the start of the exercise planning process. Create an Exercise Evaluation Guide (EEG) to (a) document performance of person- nel, plans, procedures, equipment, and facilities against exercise objectives and (b) highlight

Develop an Emergency Preparedness Program 63 strengths and weaknesses. Assess exercises on the task, organization, and mission levels. Evaluators should evaluate only their own agency, profession, and jurisdiction. • Ensure that all personnel with a direct role in emergency preparedness and incident manage- ment or response complete the designated FEMA training. • Hold an AAR meeting, and develop and share AARs with stakeholders. AARs highlight strengths and weaknesses observed during the exercise. Remember to document the AAR development process. • The Improvement Plan (IP) or Corrective Action Plan contains actions, responsible parties, target dates, budgets, and reporting procedures for actions taken. • Track corrective actions to completion. • Incorporate findings, including corrective actions, into the agency’s training and exercise program, plans, and procedures. • Analyze performance trends and results across exercises and take necessary action to support continuous improvement of training, exercises, and other preparedness initiatives. • Review exercise and training TEP schedule to identify and address potential issues. • Establish or leverage partnerships with and training facilities of other agencies and organiza- tions to coordinate and deliver NIMS training requirements in conformance with NIMS. Focus. Improve response capabilities and coordination between emergency responders. Step 5—Observations Resource management involves managing emergency personnel, equipment, tools, tech- nologies, teams, emergency vehicles, and facilities. It is a key component of any mobilization plan. Successful resource management optimizes resource use and supplies incident managers and emergency responders with the resources they need, when and where they are needed, without delay. Successful resource management requires multiagency coordination and collaboration and involves the following activities: resource typing and identification, credentialing, planning, inventorying, mobilizing, tracking, and demobilizing resources. • Resource typing defines minimum capabilities for personnel, equipment, teams, and facilities and helps agencies request and offer resources. Use your state’s definitions; if your state has none, then use FEMA definitions; note that FEMA leads the development of resource typing definitions. • Credentialing means the validation of personnel qualifications and experience. It standardizes the authorization to perform specific functions and allows authorized responders access to an incident site. • Inventorying requires the systematic tracking of resources and detailed information about each resource. Inventory software, technologies, and automated systems can facilitate inventorying. • The mobilization process includes incident-specific deployment planning; equipping; just-in- time training; designating assembly points for logistical support; and delivering resources to the incident on schedule and in budget. The state transportation agency’s mobilization plan should recognize that each emergency is different and therefore will likely require different resources to control. For example, supporting the evacuation or shelter-in-place of a region as a result of an approaching hurricane will require different resources than responding to a large-scale hazardous chemical release. In this example, the former may require mass evacuation of the region, while the latter may require citizens to shelter-in-place or quarantine. As stated in the draft NIMS update document, “coordinated planning, training to common standards, exercises, and joint operations provide a foundation for the interoperability and

64 A Guide to Emergency Management at State Transportation Agencies compatibility of resources.” By identifying resource requirements and joint planning for resource acquisition prior to an incident, agencies will be prepared to address resource needs when an incident occurs. Estimating resource needs requires the state transportation agency to ask: What types of events should the agency prepare for? What resources are already available to the agency? What resources should be obtained through mutual aid? Because of the differences between emergencies, the state transportation agency—using the all-hazards approach—should identify, to the extent possible, the resources that are needed to respond to each type of emergency identified during the planning process. The agency’s mobi- lization plan should clearly state the location of these resources, and how they can be obtained and transported to appropriate staging areas. These processes help incident managers and personnel protect the safety of staff and the security of supplies and equipment, while enabling them to better direct the movement of personnel, equipment, and supplies to the areas of most need. Next, the state transportation agency’s mobilization plan should identify primary and alternate staging areas and rallying points for agency response teams, personnel, and resources. It is important to note that during no-notice events, the agency may need to issue real-time instructions to its personnel. The mobi- lization plan should clearly define how instructions and any changes to these locations will be communicated to transportation agency personnel and other emergency responders during emergency response efforts. Mobilization plans should also identify how transportation agency personnel and resources will be transported (if necessary) from the staging areas and rallying points to the emergency scene. As emergency response efforts progress, the agency will need to communicate the estimated arrival times of its personnel and resources to the incident commander. Mobilization also requires that the state transportation agency ensure all personnel and resources be fully prepared and capable of meeting the response needs. This means verifying that all equipment and vehicles are fully fueled and operable, establishing processes, and testing communication systems to ensure information can be shared with and received from the TMC, Incident Command, and other emergency responders. It also means verifying personnel have the appropriate training and qualifications to support response efforts; coordinating traffic signal systems across jurisdictions to support evacuation, shelter-in-place, and quarantine efforts as needed; clearing all work zones along evacuation, shelter-in-place, and quarantine routes; verifying that traveler information systems are operational and prepared for use; ensuring evacuation, shelter-in-place, and quarantine routes have appropriate signage; and verifying that adequate support supplies are available for response personnel if it appears the response effort will last for an extended period of time. Finally, the state transportation agency mobilization plan should address how the agency will maintain the security of its staging areas. This includes emergency and security provisions and procedures to ensure protection of TMCs, TCCs, EOCs, the personnel staffing these facili- ties, and their functionality. As with all other plans and procedures described in this Guide, it is also imperative that the agency train its personnel and exercise the plans. With respect to sources of training, exercises, and technical assistance regarding training and exercise development, the NIC, DHS/FEMA, and state EMAs have significant knowl- edge and resources. Also, the FHWA Peer-to-Peer (P2P) program offers technical assis- tance, including training and education on TIM, planned special event planning, procurement, deployment, and operations. Memberships in professional organizations can be leveraged to take advantage of their training and certification programs. Organizations include American Public Works Association, American Road and Transportation Builders Associa- tion, the American Traffic Safety Services Association, AASHTO’s Transportation Curriculum

Develop an Emergency Preparedness Program 65 Coordination Council, and International Municipal Signal Association. Note that training and practice can also take place through actual events. Use small events to practice coordination and deployment of resources. Use large planned events to practice transportation coordination, interdisciplinary and interjurisdictional communications, traffic control, transit deployment, and other measures. Further information on training and exercises is contained in Section 6. Step 6—Ensure Cost Tracking and Accountability Cost tracking and accountability are not only an important part of the ICS structure, but in most cases, federal reimbursement programs (e.g., FHWA Emergency Relief and FEMA Public Assistance), mutual aid agreements, and resource-sharing provisions and programs, such as EMAC, also require that such costs be fully accounted for in order for the state transportation agency to be reimbursed. Ensuring cost tracking and accountability involves the final phase of the preparation process described as follows. PREPARE Phase 13: Prepare for Cost Accounting and Tracking of Expenditures Purpose. Ensure processes have been developed to track resources, verifying applicable reimbursement and accountability for compliance with federal reimbursement programs and mutual aid provisions. Actions. Costs should include all response, scene-management, debris removal, and other incident-related costs. These costs should also include compensation claims for all forms of workers’ compensation, tort claims against responders, and daily wage reimbursement claims; procurement costs associated with vendor contracts and equipment purchases or rental; and equipment and infrastructure damage costs claims. It is important to stress conformance to FEMA/FHWA record-keeping requirements, because this is the only substantial source for reimbursement. Federal audits can and have resulted in reclaiming funds when exact adher- ence to their guidance is not achieved. Establishing solid business and management practices and good relationships with FHWA, FEMA, state EMA, local public agencies, and other key stakeholders; training all relevant personnel, including accounting and financial personnel in each program and procedure; leveraging technologies that can be used for multiple purposes, including in daily operations, are helpful. Also, be sure to keep up with new legislation, which can affect FHWA and FEMA guidance for the reimbursement programs. Additional good practices include the following: • Predesignated reimbursement coordinators • Predesignated damage assessment teams • Pre-prioritization of routes and locations for assessments • Unique project codes for disasters • Administrative packets with necessary forms for emergencies • Electronic storage of documentation in central location/drive • Checklist to determine eligibility for reimbursement programs • ICS forms • Electronic reimbursement forms and electronic signatures • Emergency waivers • Preapproved contractors • Training using scenarios from past disasters • Training state EMA staff and local public agencies on reimbursement procedures, asset management, and modeling tools, such as a bridge management system and HAZUS to predict impact of disasters

66 A Guide to Emergency Management at State Transportation Agencies • Situational awareness technologies, tools, and weather sensors • Road Weather Information System (RWIS) and other technologies to obtain better informa- tion about the situation and share relevant information • Premobilization inspection of vehicles and equipment • Mapping of historic damages to show repetitive losses • GPS and automated vehicle location (AVL) equipped fleet for fleet management • AARs to improve reimbursement processes • Automated van to record damages and pre-disaster conditions (See Case Studies in Appendix B for TDOT and Louisiana DOTD for examples of best practices in tracking costs and ensuring appropriate reimbursement. Additional practices are available in NCHRP Synthesis 472: FEMA and FHWA Emergency Relief Funds for Reimbursement to State Departments of Transportation.) Focus. Recoup monies expended during the response effort. Respond to the Emergency Achieving NIMS compliance requires state transportation agencies to become familiar with and understand the NIMS, ICS, and NRF structure and their roles and responsibilities in that structure. During the PLAN step, state transportation agencies seek to identify the possi- ble hazards and risks to which their regions may be exposed; they work to form collaborative relationships with other emergency response agencies and personnel; they begin developing plans and procedures that will guide emergency response activities and minimize risks; and they begin to identify the resources needed to adequately respond to different types of emergencies. During the PREPARE phase, state transportation agencies also develop and begin to imple- ment supporting plans and procedures; they begin testing response capabilities through emer- gency drills and simulations; and they establish processes for managing resources and tracking costs. Regardless of the amount of planning and preparation that takes place, however, actual emergency response activities are the truest test of the state transportation agency’s readiness and ability to respond to an emergency because it places each of the preceding plans, procedures, and supporting activities into action. To pass this test and be successful in the emergency response effort, state transportation agencies must not only fulfill their roles and responsibilities within the NIMS and ICS structure, but they must also do so safely. Successful emergency response emphasizes safety at all levels. Thus, the goal of emergency response is not only to protect the affected region and its citizens from harm but also to do so without injury or loss of life to emergency response personnel. All too often, the services that emergency responders provide are taken for granted because response activities focus on saving the lives of those affected by the emergency event. And all too often, the risks that emergency responders face, placing themselves in harm’s way to perform their duties and maintain public safety, are neglected. It is the responsibility of every emergency response participant—from responders to managers and executives—to remain cognizant of these risks and to perform their duties in a manner that maximizes the safety of response personnel throughout all response activities. The NIMS and ICS structure is designed to provide a systematic, shared tool with which to command, control, and coordinate emergency response activities that are consistent across all response agencies. It is therefore the most useful and effective means of minimizing response risks and of maintaining safety during all emergency response activities at all levels of the emer- gency response effort.

Develop an Emergency Preparedness Program 67 It is recognized that the size and location of the emergency event will greatly affect the number and types of agencies involved in the response effort. A crash involving an overturned tractor-trailer that blocks traffic on one of the state’s main interstates, for example, will obvi- ously require different response actions than the response to a large-scale terrorist attack or the threat of an impending hurricane. It is recognized that the state transportation agency’s role in the response effort will also vary greatly depending on the size and type of emergency event. Given these uncertainties, a generalized approach is taken within this section of the 2020 Guide to discuss a state transportation agency’s emergency response roles and responsibilities. It has also been assumed that the agency will always fulfill a supporting role in the emergency response effort (i.e., not serve as the lead emergency response agency, but instead receive direction from the state or some higher government authority). These assumptions are made for two reasons: (1) state transportation agencies already have a high degree of familiarity with small-scale emergency response activities, such as those required by the tractor-trailer example cited previously, and (2) these assumptions present the scenario most likely to be faced by a transportation agency. The following has been developed to provide state transportation agencies with the tools necessary to evaluate the effectiveness of their own emergency response processes against the standards and metrics required by the NIMS and to provide additional details on how to best implement and work within the ICS structure. Self-assessment checklists for state transportation agencies are included in Appendix A4. Step 1—Initiate Emergency Response Initiating emergency response from the state transportation agency perspective involves three phases (Phases 01, 02, and 03). RESPOND Phase 01: Detect and Verify Emergencies Purpose. Monitor the performance of the transportation network using surveillance systems, field personnel, manual, or automated information sharing with local Emergency Communications Centers (ECCs)/9-1-1 Centers [also called Public Safety Answering Points (PSAPs)], and regional transportation organizations. Actions. Use surveillance systems to detect indicators of a potential emergency, an emer- gency that is occurring, or an emergency that has occurred. Coordinate with and alert other agencies to recognize an emergency event in progress that may affect the regional transporta- tion system. Activate manual or automated information sharing with local ECCs/9-1-1 Centers. Coordinate with field personnel and equipment to verify that an emergency event is occurring or has occurred and communicate relevant information to all responding agencies. Where they exist, use regional networks, such as the I-95 Corridor Coalition’s Incident Exchange Network, for such notifications. Focus. Once the state transportation agency has been notified of the emergency event, it must take the necessary response actions to support the ICS structure. This means activat- ing its mobilization plan by notifying transportation agency personnel and response teams of the event and directing these staff to report to the appropriate staging areas or control centers. The agency should also mobilize all other resources, such as vehicles and equipment, necessary to support emergency response activities. Once state transportation agency response personnel arrive at the designated staging area or command center, they should be briefed fully on the situation and begin to take the response actions that have been developed and exercised during the emergency planning and preparedness phases. This includes activating the applicable

68 A Guide to Emergency Management at State Transportation Agencies operating procedures, traffic control, and management protocols, and other plans and proce- dures that guide the agency’s response activities. RESPOND Phase 02: Assess Status of Transportation Infrastructure Purpose. Receive reports from automated systems, field personnel, law enforcement, or an FC regarding the status of the transportation infrastructure. Actions. Receive cell phone calls from motorist(s) to report incidents and conditions directly to the state transportation agency. Receive reports from road watch, first observer, volunteer spotter, and other probe programs to enable specially trained individuals (including transit vehicle operators) to provide information by radio or cell phone. If available or appli- cable, use AVL identifiers in vehicles that travel a transportation corridor regularly to track vehicle movement and compare it against anticipated travel times to identify delays and potential incidents. Where available, use cell phone tracking data to obtain near real-time travel time information. Supporting actions may include the following: • Coordinate with/manage 24-hour law enforcement patrols to enhance detection, response, and site management with dedicated officers available at all times in the transportation corridor. • Coordinate with/manage specialty patrols (motorcycle, aircraft) to provide surveillance of roadway conditions for incident detection, verification, response, clearance, and recovery. • Operate dedicated incident response patrols to provide early detection, verification, response, clearance, and recovery. • Ensure patrol vehicles are equipped to help stranded motorists, and some are equipped to quickly remove a disabled vehicle or debris from the roadway. • Use automated detection systems, including loops, microwave, radar, and video, to detect congestion on the highway. • Use video surveillance equipment, mounted within the transportation corridor, to provide incident detection. Video equipment can be combined with automated detection and report- ing systems. Video can also be used to verify the occurrence of an incident and to identify the appropriate response equipment needed. Focus. Ensure the safety of transportation infrastructure elements that may be used to support evacuation of the affected area or response efforts. In its support role, the state trans- portation agency should provide the incident commander with updates as to the continued viability of emergency access and emergency evacuation routes to and from the affected area. The agency’s EPC should attend, or assign an agency representative to attend, all incident briefings held by the incident commander to gather and share any additional information that may be necessary to support the response effort. RESPOND Phase 03: Gain and Maintain Situation Awareness Purpose. Receive notification of all declared emergencies and ensure that situation reports contain verified information and explicit details (who, what, where, when, and how) related to the incident or emergency. Actions. The state transportation agency should receive notification of all declared emer- gencies, and then continuously monitor relevant sources of information regarding actual incidents and developing hazards. The scope and type of monitoring varies based on the type of incident being evaluated and reporting on thresholds. Supporting actions may include ensuring critical information is passed through preestablished reporting channels according to security protocols and ensuring situation reports contain verified information and explicit details (who, what, where, when, and how) related to the incident. Status reports, which may be

Develop an Emergency Preparedness Program 69 contained in situation reports, relay specific information about resources. Based on an analysis of the threat(s), issue warnings to the public and provide emergency public information. Step 2—Address Emergency Needs and Requests for Support As emergency response efforts progress, the state transportation agency may be called upon to provide additional information and resources as necessary to support ongoing response opera- tions. Fulfilling unexpected and ongoing requests for support requires the agency to maintain a high degree of readiness and sufficient resources or the ability to obtain such resources with limited notice. This requires the completion of two phases (Phases 04 and 05). RESPOND Phase 04: Coordinate Response to the Emergency Purpose. Activate appropriate plans, procedures, and protocols, and mobilize available personnel, equipment, facilities, devices, and information to support emergency response. As appropriate or as requested, provide field support for emergency responders at the scene, inte- grated through the ICS and communicated and coordinated with the TMC. Actions. Activate appropriate plans, procedures, and protocols based on the type of emer- gency. Activate Incident Management Teams in accordance with NIMS. Activate Specialized Response Teams, including search and rescue teams, crime scene investigators, public works teams, HAZMAT response teams, public health specialists, or other personnel as appropriate. Supporting actions may require the agency to do the following: • Mobilize pre-positioned assets and supporting equipment. • Manage all emergency incidents and preplanned special events in accordance with ICS orga- nizational structures, doctrine, and procedures as defined by NIMS. • Coordinate requests for additional support. • As appropriate or as requested, provide field support for emergency responders at the scene, integrated through the ICS, and communicated and coordinated with the TMC. • Activate logistics systems and venues to receive, stage, track, and integrate resources into ongoing operations. ICS should continually assess operations, and scale and adapt existing plans to meet evolving circumstances. • Address emergency responder transportation needs and scene access support and staging requirements. • Identify available transportation equipment, facilities, personnel, devices, and information to support emergency response. • Assign transportation agency resources to move materials, personnel, and supplies as requested by responders. • Track resource status. • If appropriate, support HAZMAT containment response and damage assessment by using available capabilities coordinated with on-scene field response through the ICS. • Ensure that non-HAZMAT, particularly small vehicle fluid spills, are removed from the transportation facility—initially travel lanes and tracks—as quickly as possible. • Attend regular briefings at the incident site regarding the situation, incident action plan, response objectives, and strategy, with full opportunity for transportation contributions and identification of resources and capabilities to support the response effort and action plan. • Perform damage assessment responsibilities for affected transportation system elements. • Make or recommend decisions regarding closures, contraflow operations, restrictions, and priority repairs. • Coordinate assessments and decisions made regarding the operational capabilities of the transportation system with affected parties (emergency responders; local, state, and federal government; etc.).

70 A Guide to Emergency Management at State Transportation Agencies • Initiate priority cleanup, repair, and restoration activities, including the use of contractors and emergency procurement authorities. • Review or terminate (as necessary) existing work zone activities and closures to the extent possible. • Obtain incident status briefings and anticipate changing conditions (wind direction, weather, plume direction, etc.). • Based on all available information, develop detours and diversions (as necessary) to direct traffic safely away from the affected area and damaged infrastructure. • Prioritize and clearly communicate incident requirements so resources can be efficiently matched, typed, and mobilized to support emergency operations. Initiate traffic management operations and control strategies. • Provide public information and traveler alerts on the status of the transportation system. • Assign personnel to regional and state EOCs to coordinate with and assist public safety agen- cies and other agencies involved in disaster response and recovery efforts. • Support communications between transportation personnel and their families and friends. Focus. Improve emergency response capabilities. RESPOND Phase 05: Evaluate Need for Additional Assistance from Neighboring States, Jurisdictions, and Federal Government Purpose. Coordinate requests for additional support with appropriate jurisdictions following previously established mutual aid plans. Actions. Evaluate the need for additional resources and whether to request assistance from other states using interstate mutual aid and assistance agreements, such as the EMAC. If the incident overwhelms state and mutual aid resources, then the governor should request federal assistance, deploy the State Department of Military, National Guard, or both. Focus. Determine whether to enact MOU/As to gain additional assistance as necessary to respond to the emergency event. Step 3—Manage Evacuation, Shelter-in-Place, and Quarantine Once ordered, all parties must support the decision to evacuate, shelter-in-place, or quarantine an affected area. Perhaps the most significant role a state transportation agency will play during the emergency response effort is that of helping to manage the evacuation, shelter-in-place, or quarantine of the affected region(s). Once the decision is made, and the state has activated its emergency evacuation plan, the agency must begin implementing its traffic control and manage- ment roles and responsibilities as stated in the Plan. This may include working and coordinating with local, state, and regional TMCs and TCCs to manage traffic signal timing, message signs, and other public information systems; deploying response teams, equipment, and other resources as necessary to direct and facilitate traffic flow and remove debris; activating and coordinating contraflow activities along evacuation, shelter-in-place, and quarantine routes; and monitoring progress and providing the Incident Command Team with updates regarding the continued viability of primary routes and the need to begin using alternate routes. Managing an evacuation, shelter-in-place, or quarantine requires the completion of two phases (Phases 06 and 07). RESPOND Phase 06: Make and Support Decision to Evacuate, Shelter-In-Place, or Quarantine Purpose. Coordinate with appropriate local, regional, and state officials regarding evacua- tion, shelter-in-place, and quarantine orders and routes.

Develop an Emergency Preparedness Program 71 Actions. Determine the probability of impact (depending on the nature of the event). Estimate the effects on the geographic area and types of people and materials to be evacuated, sheltered-in-place, or quarantined. In terms of the decision made, consider the timing of the event, the lead time to initiate the action, and the weather conditions and their potential effects on evacuation, shelter-in-place, or quarantine. Evaluate the economic impacts of such a decision on the public and private sectors. Supporting actions may include the following: • Determine the condition and availability of evacuation, shelter-in-place, and quarantine routes or control points. • Determine whether neighboring jurisdictions have made an evacuation, shelter-in-place, or quarantine decision. • Determine the population potentially affected by the action, including jurisdictions that will be hosting those evacuated, sheltered-in-place, or quarantined. • Determine the availability and safety of personnel to support the action. • Determine whether to deploy separate teams to notify residents and ensure their evacuation, or other means to notify people of the shelter-in-place or quarantine decision. • Consider the personal needs of those evacuated, sheltered-in-place, or quarantined; the needs for vehicle servicing, particularly fuel; and whether power and other utilities should be terminated for safety. Focus. Implement the unified command structure. RESPOND Phase 07: Issue and Support Evacuation, Shelter-in-Place, and Quarantine Orders Purpose. Mobilize the state transportation agency activation team to coordinate evacuation, shelter-in-place, and quarantine operations. Actions. Issue evacuation, shelter-in-place, and quarantine orders through established communication systems and protocols. Notify service organization, and local, regional, state, and federal stakeholders, including sheltering organizations as applicable. Focus. Implement the ICS structure. Step 4—Implement Emergency Response Actions To support implementation of emergency response efforts, the state transportation agency may be called upon to identify access routes to the emergency scene and to monitor these routes as response efforts progress to ensure routes remain viable options for responder entry and exit. The agency must be prepared to communicate all changes to entry and exit routes to the Incident Command Team through the ICS structure. The agency may also be required to deploy its own response teams and personnel to manage traffic flow and debris removal along emergency responder entry and exit routes. Implementing emergency response actions requires completion of three phases (Phases 08, 09, and 10). RESPOND Phase 08: Take Response Actions Purpose. Implement ETO activities as required (e.g., open/close routes, manage traffic flow, deploy debris removal teams, activate contraflow operations, coordinate to ensure that unmet transportation resource needs are identified and requests for additional support are made, provide and receive briefings, and support those with special needs). Actions. Implement the ICS and chain of command or unified command to create an inte- grated team of multidisciplinary and multijurisdictional stakeholders. Implement primary and

72 A Guide to Emergency Management at State Transportation Agencies secondary command posts. Supporting actions may require the transportation agency to do the following: • Deploy transit resources to support evacuation, including accommodating vulnerable popu- lations as well as resources to accommodate pets on transit vehicles and in shelters. • Enforce evacuation, shelter-in-place, and quarantine orders. The Emergency Operations Team should engage public safety officials in going door-to-door to ensure residents know of and comply with the order. • Place services at intervals along evacuation route(s). Arrange for emergency services within a shelter-in-place or quarantine area as needed. • Open evacuation, shelter-in-place, and quarantine routes to maximize throughput (e.g., close toll operations, work zones). • Activate mutual aid agreements. • Determine the need for and deploy emergency medical and other support staff staged along the emergency routes or attached to those working with vulnerable populations or within or near a shelter-in-place or quarantine area. • Determine the need for and deploy debris removal crews to clear blocked highways and other transportation facilities. • Determine the need for and deploy sanitation crews with mobile comfort stations (e.g., portable toilets, wash areas) as needed. • Coordinate local evacuation, shelter-in-place, and quarantine incident action plans with the designated incident commander in the field and the EOC/TMC. Field and EOC commanders should coordinate incident action plans with neighboring jurisdictions and the state or neighboring states. The EOC should obtain updated information frequently and communicate this information to those evacuated, sheltered-in-place, or quarantined throughout the event. • Set up and monitor contraflow operations to ensure traffic is flowing safely and efficiently. Use shoulders, HOV lanes, reversible lanes, and frontage roads for evacuation traffic. • Activate and strategically station additional TIM clearance crews if possible to quickly assist motorists and remove stalled or damaged vehicles from lanes of traffic to preserve maximum traffic flow. • Coordinate and communicate contraflow and other special operations with neighboring jurisdictions. • Coordinate with the next higher level of government to ensure unmet transportation resource needs are identified and requests for additional support are made. • Control access to evacuation routes and manage traffic flow. • Control access to shelter-in-place and quarantine areas to prevent unauthorized entry. Include strategies for emergency responders, transit vehicles, and other essential equipment to move inbound against the predominant outbound flow of traffic. • Provide trained personnel to support the evacuation route or shelter-in-place or quarantine area (e.g., food, first aid, fuel, information). Focus. Respond within the unified command structure. RESPOND Phase 09: Deploy Response Teams Purpose. Deploy personnel and field equipment to implement ETO. Actions. Ensure that field personnel make frequent contact with the EOC through the ICS. Address activation of the TMC if it is not already operational (e.g., during normally inactive periods).

Develop an Emergency Preparedness Program 73 RESPOND Phase 10: Communicate Evacuation, Shelter-in-Place, or Quarantine Order and Incident Management Measures Purpose. Disseminate appropriate information to employees and travelers and provide updates in a timely manner. Actions. Brief national, state, and local authorities and personnel (such as transit and health agencies and FCs) at regular intervals to ensure all parties are provided with accurate, timely, and comprehensive information. Hold regular media briefings to inform the media about evacuation routes, shelter-in-place, and quarantine locations, traffic and road conditions, and other pertinent information to communicate to the public in a timely manner. Supporting transportation agencies may do the following: • Disseminate accurate information pertaining to evacuation orders in a clear fashion and timely manner to avoid shadow or unnecessary evacuations or unnecessarily lengthy evacu- ation trips. • Implement a briefing schedule with ranking representatives from each stakeholder agency participating in the event. • Inform evacuees of available transport modes, how to access them, and if there are any restrictions on what evacuees may carry with them. • Inform evacuees of when transportation assistance will begin and end and the frequency of departure at designated pick-up locations. • Inform evacuees of their destination before they board public transport. • Inform the public and family members of the evacuees’ destinations. • Identify established websites, hotlines, and text messaging groups, where people can get answers to their questions and concerns. In the event of a shelter-in-place or quarantine situation, inform people of the nature of the danger and actions they should take. • Communicate security measures to the public. • Identify support services for those with special needs. • Communicate critical operational changes to the EOC and the public. • Communicate information to evacuees on the availability of nonpublic shelters, such as hotels. Keep shelter operations informed of the location and status of other shelters. • Communicate information to those to be sheltered-in-place or quarantined. • Regularly reinforce, internally and externally, that persons involved in any way with the evacuation, shelter-in-place, or quarantine event must direct all but the most basic inquiries to the JIC. Personnel working on the event must maintain effective communications at all times to coordinate movements, share real-time information, and track deployments. • Ensure that response services from other states and jurisdictions, including first responders and private-sector utility, debris management, and similar responders, have information on available and appropriate routes into the impacted area (including weight, height, and width restrictions), and have expedited access through neighboring states. • If your state is a “pass-through” state en route to a disaster, implement established protocols for fleet toll procedures and weigh station deferrals. • Establish processes to ensure redundant communications systems are available during the evacuation, shelter-in-place, or quarantine because the event may damage or disable primary communication systems. • Program DMSs (permanent and portable) as necessary to provide accurate, up-to-date information. • Program HAR subsystems to provide accurate, up-to-date information. • Program 5-1-1 systems to provide accurate, up-to-date information. • Relay traffic condition information to the EOC.

74 A Guide to Emergency Management at State Transportation Agencies • Ensure 9-1-1 operators are fully informed of conditions, so they can respond to callers with accurate, up-to-date information. Use ITS resources during an evacuation to collect data and as a tool to communicate and coordinate with evacuees, evacuation operations personnel, partners, and other stakeholders. In shelter-in-place and quarantine areas, use ITS to detect unnecessary movements that might result in innocent people being further jeopardized. Step 5—Continue Response Requirements As the emergency response effort progresses, the state transportation agency’s roles and responsibilities will likely change and evolve. The agency must be able to monitor the response effort, including ongoing traffic conditions, and adjust to changes as they occur. This is best done through the ICS structure and close coordination with other emergency response agencies and stakeholders. Continuing response requirements involves two phases (Phases 11 and 12). RESPOND Phase 11: Monitor Response Efforts Purpose. Monitor traffic conditions and make operational adjustments. Actions. Monitor traffic conditions on evacuation and reentry routes and adjust opera- tions to maximize throughput. Monitor the progress of the event that triggered the evacuation, shelter-in-place, or quarantine, and determine whether there are any changes to earlier predic- tions of its effects. Monitor the conditions of the roadway (e.g., for debris or flooding) during the evacuation, shelter-in-place, or quarantine, so those affected can be prepared and rerouted if necessary. Monitor evacuation and reentry operations of motorized transport, rail, air, waterway, and other transportation modes to determine the adequacy of available resources. State trans- portation agencies may also perform the following tasks: • Track the destination of vulnerable populations evacuated, sheltered-in-place, or quarantined to notify friends and family of their location and to develop a plan to return them to their original locations once the area has been deemed safe for reentry. • Monitor the number of evacuees moved by means other than personal vehicles to ensure that additional equipment and operators (such as buses and drivers or helicopters and pilots) are requested and supplied quickly if needed. This information should also aid in developing the reentry plan, because the same transportation resources will likely be required for that operation. • Monitor traffic counters and cameras, pipelines, viaducts, and so forth for potential damage. RESPOND Phase 12: Prepare for Next Operational Period Purpose. Mobilize personnel and resources for next operational period. Actions. Mobilize personnel and resources for next operational period. Step 6—Conclude Response Actions As the emergency response effort concludes, state transportation agencies must prepare to demobilize emergency responders and equipment and restore normal operations. This requires not only transporting emergency responders back from the emergency scene but also pre- paring for the recovery process. The final phase of the RESPOND step is described as follows. RESPOND Phase 13: Prepare for Demobilization Purpose. Plan for restoration to normal operations.

Develop an Emergency Preparedness Program 75 Actions. Prepare to restore normal activities. Ensure that provisions exist to address and validate the safe return of resources to their original locations. Develop processes for tracking resources and ensuring applicable reimbursement. Develop plans to ensure responder safety during demobilization efforts. Ensure accountability for compliance with mutual aid provisions. Recover from the Emergency In many respects, once the emergency has ended, the most difficult part of the emergency management process—recovering from the event—begins. The distinction between recovery and response is important. The skills, resources, objectives, time horizons, and stakeholders all differ dramatically between response and recovery. Recovery is typically considered to be a series of discrete efforts that take place after an event or disaster and is often considered in phases: an emergency/response recovery period, short-term recovery, and long-term recovery/reconstruction. During the emergency/response recovery period (typically 1 to 7 days after the event), assess- ments must be made of damage caused by the emergency event; utilities, such as power and water, may often need to be restored; debris and other potential hazards must be removed from the affected area; and security provisions must be implemented to prevent criminal activities, such as looting and theft. Emergency (often short-term), repair of transportation systems occurs, and interim transportation services are provided if necessary. Additionally, medical treatment must be provided to those injured during the event; those who perished during the emergency must be identified and removed from the scene, and arrange- ments must be made to notify their next of kin; and transportation infrastructure elements must be examined to ensure their continued integrity and viability of use. Each of these activities can be costly, requiring the use of specialized personnel and equipment to prevent further losses. Each activity must also be completed before those evacuated, sheltered-in-place, and quaran- tined are permitted to return to their homes and businesses. During the short-term recovery period, emergency demolitions occur, and temporary struc- tures and infrastructure may be put in place to replace damaged infrastructure. Long-term recovery (typically several years) consists of the permanent reconstruction and restoration of the transportation system infrastructure. Planning for recovery (pre-event planning) is an integral part of preparedness. The speed and success of recovery can be greatly enhanced by establishing processes and relationships before an event occurs. Preparing for recovery prior to a disaster reduces the problems of trying to locate required capabilities and create policies when managing immediate recovery. Recovery efforts are executed more efficiently when resources are pre-positioned, contractors have been preapproved, and alternate facilities are already identified. NCHRP Report 753: A Pre-Event Recovery Planning Guide for Transportation (2013) provides approaches and resources for post- event assessment and rapid recovery. Having a recovery plan is different from just modifying or adding on to the existing emer- gency response plans. Pre-event recovery planning helps establish priorities, structure, and organization; define roles and responsibilities; determine resources to be pre-positioned: and identify approaches to support the recovery process. A number of considerations should be taken into account when embarking on a pre-event planning process. An effective pre-event recovery process ensures that the recovery process is conducted quickly, efficiently, and cost- effectively while limiting disruptions and improving the transportation infrastructure after the recovery.

76 A Guide to Emergency Management at State Transportation Agencies To quickly and efficiently implement disaster recovery, a recovery organization with clear authority and responsibilities needs to be identified prior to the event. It is recommended that the recovery team be involved in the planning process and, given the demands of recovery operations, it should be separate from the emergency response organization. It is important that recovery team members understand their responsibilities and their interactions with the emergency response team and others involved in recovery. As with each of the other emergency management phases, it is important to take every precaution to ensure the safety of personnel involved in the recovery operations. Again, this is best achieved through the NIMS and ICS structure and the continued coordination with other emergency response agencies and stakeholders. In many cases, additional resources may also be available from neighboring jurisdictions and regions, or even far away states and neighboring countries (in case of a major disaster) as well as from the state and federal government in the form of the National Guard. The ICS structure provides a means through which these resources can be obtained and managed. The following has been developed to provide state transportation agencies with (1) the tools necessary to evaluate the effectiveness of their own recovery processes against the standards and metrics required by the NIMS and (2) additional details on how to best implement and work within the ICS structure during recovery operations. Step 1—Restore Traffic to Affected Areas Short-term recovery efforts often overlap with response. They focus on providing essential services and reestablishing critical transportation routes. During recovery operations, the state transportation agency—along with partner agencies, such as transit systems—will likely be called upon to assess, restore, and manage the essential transportation services and infrastruc- ture elements of the affected area to complete the recovery effort. This may require deploy- ing specialized teams to (1) conduct damage assessments of transportation infrastructure, (2) remove debris and HAZMAT from primary and alternate reentry routes, and (3) repair any roadways or other transportation facilities needed to support the recovery effort and the phased return of those evacuated, sheltered-in-place, or quarantined to their homes. Becoming familiar with the damage assessment process and determining who is responsible, before an event occurs, provides a head start on the recovery process once an event does occur. Multiple organizations—from state and local DOTs to federal regulatory agencies—are likely to be involved in damage assessment, and each may have their own methodology and timeframe requirements. Timely debris removal is critical. The collection, hauling, and disposal of debris after an event can be massive and costly. States or local jurisdictions that have had a major debris generat- ing event highly recommend having contracts in advance for debris removal. Another option is to use an emergency contract to get the debris operations started and then issue a stan- dard contract for the longer-term debris management, using the time while the emergency contract is in place to negotiate better pricing for the longer contract. NCHRP Report 781: A Debris Management Handbook for State and Local DOTs and Departments of Public Works (2014) covers the development of a debris management plan, contracting, monitoring, site selection, removal, final debris removal, and operational closure. Taking a phased approach to recovery, such as using temporary solutions and considering multimodal approaches, can quickly restore movement to an effected area and expedite recovery. As part of COOP, the annex on “Reconstitution” is an opportunity to include information on which infrastructure assets might need to be replaced or relocated in the process of resuming normal agency operations. Restoring traffic to affected areas requires completion of four phases (Phases 01, 02, 03, and 04).

Develop an Emergency Preparedness Program 77 RECOVER Phase 01: Restore Essential Services Purpose. Conduct damage and recovery assessments, remove debris, and restore essential transportation services in the affected areas. Actions. The following actions may be necessary: • Conduct damage assessments. It may be dangerous for an assessment team to be in the area after the event, or there may not be enough survey teams to cover the entire affected area. Remote sensing technologies can overcome these limitations. • Identify who has overall responsibility for managing debris removal. • Identify potential staging and debris storage areas. Be aware of unintended consequences of decisions made during response and recovery. For example, placement of debris for pick-up and locations selected for debris storage can impede access needed for recovery actions. • Develop a long-term plan for debris removal. Understand what types of debris to expect and how best to remove and clean up those types of debris. Different types of events create different types of debris. • Provide information to the community about what they should do to help—and not hinder— the debris removal process when they clean up their own homes and properties. An illustra- tion is provided on the cover of NCHRP Report 781. This illustration, from the state of Louisiana, was published in the local newspaper to clearly provide that information. • Determine how to accommodate oversize and overweight vehicles to minimize subsequent damage to roadways and transportation infrastructure. • Conduct emergency repair of roads and other transportation facilities to restore essential services to the affected area. To quickly restore movement to an effected area, temporary solutions can be put in place, such as installing temporary bridges or roadways or offering alternate modes of transportation, such as ferries or buses. • Facilitate fleet movements of recovery support vehicles (e.g., power and communications restoration crews, debris removal crews, and emergency food, water, and supply vehicles) through non-affected areas into affected areas. Designate routes and supply information on road status (e.g., height and weight limits, and similar information). (This applies if you are an unaffected, “pass-through” state without a disaster declaration as well as the state affected by the disaster.) • Get conditional waivers in advance for short-term use of certain assets that may carry weight, size, or material restrictions if required. Focus. Restoration of economic supply chains depend on timely debris removal and effi- cient detours. Getting things moving again means getting obstacles out of the way (e.g., much of the debris falls on or is pushed onto the roads). Rivers may become impassable. Identifying alternate routes and getting them cleared as quickly as possible are essential. RECOVER Phase 02: Reestablish Traffic Management in Affected Area Purpose. Establish routes to move traffic into, out of, and around affected areas. Actions. Designate routes to move traffic into, out of, and around the affected area. Coor- dinate traffic management with restoration plans for affected communities and resumption of government operations and services through individual, private-sector, nongovernmental, and public assistance programs. Establish a traffic prioritization scheme that determines which type of traffic has priority over another for a certain location or time period. Transportation mitigation strategies can be grouped into categories based on the objectives and methods of the strategy, such as increasing capacity on existing lanes, using technology, diverting or redirecting traffic, and demand management. An overview of transportation

78 A Guide to Emergency Management at State Transportation Agencies mitigation strategies, from how to increase capacity on existing lanes to demand management, organized by the phase of the recovery effort in which they usually occur, is provided in Table 5. RECOVER Phase 03: Reentry into Evacuated, Shelter-in-Place, or Quarantined Area Purpose. Implement a phased approach to bring evacuated, sheltered-in-place, or quaran- tined residents and others into the affected area. Actions. Define specifically who makes the decision to return or remove shelter-in-place or quarantine restrictions. Identify what factors will influence the decision. Begin developing, Table 5. Transportation mitigation strategies. Transportation Mitigation Strategies Strategies Recovery Phases Short- Term Mid- Term Long- Term Increase Capacity on Existing Lanes Operate Contraflow Lanes √ √ √ Utilize Reversible Lanes √ √ √ Restrict Lanes for HOV or Business Access and Transit (BAT) √ √ √ Provide HOV Bypass at Bottlenecks √ √ √ Utilize the Shoulder of a Roadway as an Additional Traffic Lane √ √ √ Eliminate or Restrict On-Street Parking √ √ √ Reduce Lane Widths to Accommodate Additional Lanes √ √ √ Ramp Metering √ √ √ Increase Transit Service √ √ √ Increase Ferry Service √ √ √ Improve Transportation Incident Management √ √ √ Implement Traffic Management Technology √ √ √ Change Signal Timing to Accommodate Changed Travel Patterns √ √ √ Reprioritize Current Transportation Projects √ √ √ Divert or Redirect Traffic Revise Transit Routes √ √ √ Construct Bypass Roadway √ √ √ Close Selected Freeway On and Off Ramps √ √ √ Relocate Ferry Service √ √ Manage Truck Usage √ √ √ Designate Emergency Responder Routes √ √ √ Conversion of Non-Motorized Trails to Restricted Use √ Telecommuting √ √ √ Staggered Work Shifts √ Compressed Work Week √ √ √ Passenger-Only Ferry Service √ √ √ Congestion Pricing √ Vanpool and Carpool Incentives √ Additional Park and Ride Lots √ √ √ Increase Bicycle Usage √ √ √ HOV Designation √ √ √ Demand Management

Develop an Emergency Preparedness Program 79 coordinating, and executing service and site restoration plans for affected communities and resumption of government operations and services through individual, private-sector, nongovernmental, and public assistance programs. Supporting actions may include the following: • In short-term recovery, assist other agencies to provide essential public health and safety services; restore interrupted utility and other essential services (as soon as safely possible); reestablish transportation routes; and provide food, shelter, and other essential services to those displaced by the event. • Long-term recovery may include complete redevelopment of damaged areas. Prioritize activi- ties to conduct damage assessments, debris removal, HAZMAT disposal, and repair of roads and other transportation facilities. Restore transportation support facilities to enable them to receive evacuees when it is safe to do so, and secure critical assets. • Estimate the transportation-related damage to the areas to which those evacuated, sheltered- in-place, or quarantined will return. • Determine if there is, as a result or consequence of an evacuation, an outbreak of disease or any other health or medical issue that should be mitigated and the consequent impact on transportation. • Determine if HAZMAT spills need to be cleaned up. • Determine if utilities co-located on transportation facilities are functioning (e.g., running water, electricity). • Ensure evacuation, shelter-in-place, and quarantine routes are clear of debris and safe for travel. • Determine if public transit systems are operational. Identify any populations who should not be allowed to return because of medical, health, or public safety concerns. • Verify that injured or diseased people and animals have been attended to and recovered from the area; or if not, determine how to transport them. • Develop a strategy for how to communicate transportation-related reentry instructions to the public. • Determine if mutual aid reentry should be accomplished in phases. • Transport those who did not self-evacuate, shelter-in-place, or quarantine back to their place of residence or longer-term shelters if homes are uninhabitable. • Inspect the affected area and provide transportation aid to survivors who did not evacuate, shelter-in-place, or quarantine. • Ensure reentry plans address those people who were unable to evacuate, shelter-in-place, or quarantine themselves. • Ensure a clear strategy exists for how, when, and where to transport those evacuated, sheltered- in-place, or quarantined and how they may reach their final destinations. • Ensure that communication with evacuees, who may be dispersed among shelters, families’ homes, and other areas outside of the immediate jurisdiction, can be accomplished effectively. • Coordinate with other authorities as to the start and end times of reentry operations, including the days of the week, geographic areas covered, picture identification (ID) required to reenter, security checkpoint sites, available routes and maps, vehicle restrictions, and available services. • Determine whether to update ITS subsystems (e.g., DMS, HAR, and 5-1-1) to provide infor- mation to individuals reentering the area. • Assist in providing traveler services, such as fuel, food, safe water, relief, and medical care, which should be available along the highway routes as they were during the evacuation. • Establish alternative plans for return in case the evacuation lasts for days, weeks, or possibly longer. • Ensure that operators and passengers have picture IDs to get back to their points of origin. • Coordinate reentry plans with other transportation and public safety officials to adequately staff reentry routes.

80 A Guide to Emergency Management at State Transportation Agencies • Coordinate operations to identify missing persons who might not have evacuated, sheltered- in-place, or quarantined and been lost in the event or failed to return after the event, particu- larly children separated from their families. RECOVER Phase 04: Conduct Emergency Repairs Purpose. Develop an approach to infrastructure repair, replacement, and decontamination. Actions. Develop the approach to infrastructure repair, replacement, and decontamination, determining what can be done quickly and what will require more time. • Identify rebuild versus relocate criteria. Consider infrastructure condition (e.g., planning to replace infrastructure identified as marginal or inadequate). • Determine repair and rebuild priorities. Assess impact on network (e.g., ensure repairable structures that restore most of the regional networks are given high priority). • An incident involving chemical, biological, or radiological (CBR) agents will result in signifi- cant disruption of services. Compared with more common natural disasters, CBR incidents involve unique challenges and require significant operational adjustments. Having a restora- tion plan vetted in advance and facility personnel trained beforehand substantially reduces the overall time for restoration and recovery. • Identify equipment required and contractor resources. Maintain a current list of potential specialized equipment suppliers. • Make design decisions as soon as possible to minimize recovery time. Some decisions can be made before an event, such as what design strategies to take when rebuilding or replacing existing infrastructure. • Major repair or replacement construction typically requires contracting for engineering and contractor services. Have a prequalified list of engineers and contractors to contact to expedite this process. • Establish emergency contracting protocols in advance. • Identify locations for positioning of supplies and heavy equipment. • Identify right of way (air space and land) for staging areas. Step 2—Identify and Implement Lessons Learned Many of the most useful practices and recommendations presented in this and other guides have been developed by evaluating the emergency management processes of previous events to identify what could have been done better or more efficiently. These lessons learned are an essential tool for continually improving the emergency management capabilities of state trans- portation agencies and other response agencies. Moreover, as presented in this 2020 Guide’s discussion of the emergency planning process, emergency planning never ends; rather, it evolves as emergency planners and response teams continue to learn from new experiences. As such, after any emergency event, the agency should actively participate in developing lessons learned from the event. Identifying and implementing lessons learned requires the completion of two phases (Phases 05 and 06). RECOVER Phase 05: Perform After Action Reviews Purpose. Assess response activities to determine what went well and where improvements are needed. Actions. Identify who is responsible for conducting After Action Reviews and for ensuring necessary changes are made to EOPs, SOPs, standard operating guidelines, and that these are communicated to staff. Conduct a review of how the evacuation, shelter-in-place, or quarantine

Develop an Emergency Preparedness Program 81 was executed, and determine how it could have been improved. Each agency should review its actions. When multiple agencies are involved in an operation, conduct a joint After Action Review to address how well agencies worked together and what improvements can be made in future joint operations. Share each After Action Review with decisionmakers and agency personnel and include recommendations for which improvements should be considered and implemented quickly. Conduct a formal meeting of operation participants to assess actions, determine follow-up items, and develop recommendations for improving future operations. Include results of the After Action Review in an AAR and use results to determine if changes should be made to plans and procedures. RECOVER Phase 06: Return to Readiness Purpose. Incorporate recommendations from the After Action Review into existing emer- gency response plans and procedures. Actions. Establish a policy for the evacuation, shelter-in-place, and quarantine team members’ home organizations for recovery time and time to participate in After Action Reviews and other return-to-readiness activities. Agencies may do the following: • Determine what equipment and supplies need to be restocked, what infrastructure needs to be repaired or replaced, and what new information needs to be communicated to the public to maintain their awareness to be prepared. • Begin transitioning the system from an operations cycle back to a state of planning and preparedness. • Continue data collection and begin analyses of response activities. • Identify evacuation costs and reimbursable expenditures. Account for services such as equip- ment rehabilitation, restocking of expendable supplies, transportation to original storage or usage locations, overtime costs for public safety and transportation officials, materials used in support of evacuation, and contract labor and equipment. • Begin request for reimbursement processes from state and federal governments as applicable. • Continue to track personnel, supplies, and equipment costs to meet the requirements of the reimbursing agencies. • Work with FEMA and FHWA to ensure proper documentation is used for submitting reimbursement requests.