1. Emergency Preparedness: State DOT Role Stephan A. Parker, TRB AASHTO Standing Committee on Public Transportation Multi-State Technical Assistance Program (MTAP) Winter Meeting Savannah, Georgia December 6-9, 2010

2. TRB Mission Statement To provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. 1920: Advisory Board on Highway Research 1924: renamed Highway Research Board 1974: renamed Transportation Research Board TRB Today

3. 1863 Charter of the National Academy of Sciences “... the Academy shall, whenever called upon by any department of the Government, investigate, examine, experiment, and report upon any subject of science or art...” The work of The National Academies is reported through an Annual Report to Congress

4. Institute of Medicine Harvey Fineberg, President Division on Policy and Global Affairs (PGAD) M.R.C.Greenwood, Chair Richard Bissell, Exec. Dir. National Research Council Ralph J. Cicerone, Chair Charles M. Vest, Vice-Chair E. W. Colglazier, Executive Officer National Academy of Sciences Ralph J. Cicerone, President The National Academy of Engineering Charles M. Vest, President Transportation Research Board (TRB) Michael R. Morris, Chair Robert Skinner, Exec. Dir. Institute of Medicine (IOM) Programs Harvey Fineberg, Chair Judith Salerno, Exec. Officer Division on Behavioral & Social Sciences & Education (DBASSE) Richard Atkinson, Chair Michael Feuer, Exec. Dir. Division on Earth and Life Studies (DELS) Barbara A. Schaal, Chair Warren Muir, Exec. Dir. Division on Engineering & Physical Sciences (DEPS) Cherry Murray, Chair Peter Blair, Exec. Dir. The National Academies—Private, Nonprofit Congressionally Chartered 1863 Office of Communication Office of News and Public Information Report Review Committee Office of Congressional and Government Affairs 1916 National Research Council

5. 5 A Guide to Emergency Response Planning at State Transportation Agencies NCHRP Project 20-59(23) Published as NCHRP Report 525, Vol. 16

6. 6 Project Purpose Project 20-59(23) initiated to replace 2002 Guide to Updating Highway Emergency Response (ER) Plans for Terrorist Incidents Project 20-59(23) initiated to replace 2002 Guide to Updating Highway Emergency Response (ER) Plans for Terrorist Incidents Expand scope Expand scope Implement new national policy and guidance Implement new national policy and guidance

7. 7 Project Objective... to develop a recommended guide for use by state transportation agencies in planning and developing their organizational functions, roles, and responsibilities for emergency response within the all-hazards context of NIMS (the National Incident Management System)

8. 8 Why NIMS is Important National uniformity in emergency management National uniformity in emergency management Multi-agency cooperation: Multi-agency cooperation: Collaborative planningCollaborative planning Interoperable communicationsInteroperable communications Incident Command System Incident Command System Unified CommandUnified Command Structured response, even to minor incidentsStructured response, even to minor incidents Flexibility to grow/adapt to meet complexities of large-scale eventsFlexibility to grow/adapt to meet complexities of large-scale events Standardize resource definitions Standardize resource definitions Continued improvement through after-action reporting and inclusion in emergency operations plans Continued improvement through after-action reporting and inclusion in emergency operations plans

9. 9 Project Overview— 2002 Guide A Guide to Updating Highway Emergency Response (ER) Plans for Terrorist Incidents A Guide to Updating Highway Emergency Response (ER) Plans for Terrorist Incidents Quick, direct response to 9/11 Quick, direct response to 9/11 Addressed terrorist attacks, emphasis on weapons of mass destruction (WMD) Addressed terrorist attacks, emphasis on weapons of mass destruction (WMD) Highway oriented Highway oriented Preliminary guidelines Preliminary guidelines

10. 10 Update Project Stimuli New national initiatives: New national initiatives: National Incident Management System (NIMS) all-hazards approach, Incident Command System (ICS) National Incident Management System (NIMS) all-hazards approach, Incident Command System (ICS) National Response Framework (NRF) Guidance National Response Framework (NRF) Guidance National Preparedness Guidelines (NPG) Examples National Preparedness Guidelines (NPG) Examples Consistency through 15 standardized Emergency Support Functions (ESFs) Consistency through 15 standardized Emergency Support Functions (ESFs) National Unified Goal (NUG) for Traffic Incident Management (TIM)National Unified Goal (NUG) for Traffic Incident Management (TIM)

11. 11 Update Project Stimuli (cont’d) Build on completed research: Build on completed research: Guide to Emergency Transportation Operations (ETO)Guide to Emergency Transportation Operations (ETO) Complements risk management guidance, including Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA)Complements risk management guidance, including Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) A different approach from 2002: A different approach from 2002: Now have how-to Comprehensive Preparedness Guide (CPG) 101Now have how-to Comprehensive Preparedness Guide (CPG) 101 Emphasis on NIMS/NPF/NUG complianceEmphasis on NIMS/NPF/NUG compliance Much of 2002 Guide still usefulMuch of 2002 Guide still useful

12. 12 2010 Guide Differences Emergencies―larger scale Emergencies―larger scale All hazards―more than traffic issues All hazards―more than traffic issues Multimodal―more than highways Multimodal―more than highways Operationally oriented and practical Operationally oriented and practical NIMS/NRF/NPG―more application and emphasis NIMS/NRF/NPG―more application and emphasis State transportation agency in support role (ESF #1, etc.) State transportation agency in support role (ESF #1, etc.) Covers preparedness functions to support state and local emergencies to include: Covers preparedness functions to support state and local emergencies to include: Plan, organize, staff, train, exercise, manage, implement, and fund preparationsPlan, organize, staff, train, exercise, manage, implement, and fund preparations Not a how-to-plan Guide―refer to Comprehensive Preparedness Guide 101 Not a how-to-plan Guide―refer to Comprehensive Preparedness Guide 101

13. 13 Some Key Tenets of Emergency Management Planning Principles Agency-wide emergency operations plan Agency-wide emergency operations plan State transportation agency plans and procedures complement state’s overall emergency structure and plans State transportation agency plans and procedures complement state’s overall emergency structure and plans Agency plans to adhere to all-hazards approach Agency plans to adhere to all-hazards approach Use conventional emergency management planning cycle (plan, prepare, respond, recover) Use conventional emergency management planning cycle (plan, prepare, respond, recover)

14. 14 Key Tenets (cont’d) Acknowledge that different state transportation agencies (particularly DOTs) view their response roles differently Acknowledge that different state transportation agencies (particularly DOTs) view their response roles differently Encourage agencies to be full players within state emergency management community Encourage agencies to be full players within state emergency management community Recognize need for agencies to understand basic NIMS concepts of incident command system (ICS), including unified command Recognize need for agencies to understand basic NIMS concepts of incident command system (ICS), including unified command Encourage agencies to reallocate resources used originally to prepare for terrorist incident responses to pre-event preparedness efforts that enable agency response to full range of emergencies Encourage agencies to reallocate resources used originally to prepare for terrorist incident responses to pre-event preparedness efforts that enable agency response to full range of emergencies

15. 15 National Context for Emergency Response

16. 16 Implementation of HSPD-5, Management of Domestic Incidents

17. 17 Implementation of HSPD-7, Infrastructure Identification, Prioritization, and Protection

18. 18 Implementation of HSPD-8, National Preparedness

19. 19 Emergency Management Planning Process Plan Prepare Respond Recover

20. 20 PLAN Steps Form collaborative planning team Form collaborative planning team Research state’s hazards and their consequences Research state’s hazards and their consequences Analyze information Analyze information Determine goals and objectives Determine goals and objectives Develop and analyze courses of action and identify resources Develop and analyze courses of action and identify resources

21. 21 PLAN Steps (cont’d) Write plan Write plan Approve and implement plan Approve and implement plan Train staff on plan Train staff on plan Exercise the plan Exercise the plan Evaluate its effectivenessEvaluate its effectiveness Create list of improvements demonstrated in exerciseCreate list of improvements demonstrated in exercise Review, revise, and maintain plan Review, revise, and maintain plan

22. 22 PREPARE Steps Develop approaches to implement state transportation agency roles and responsibilities during emergencies, as specified in state’s EOP and supporting annexes and referenced materials Develop approaches to implement state transportation agency roles and responsibilities during emergencies, as specified in state’s EOP and supporting annexes and referenced materials Establish protocols to communicate with employees and general public Establish protocols to communicate with employees and general public Develop plans and procedures to manage traffic under emergency conditions Develop plans and procedures to manage traffic under emergency conditions Develop mobilization plans to ensure readiness to deploy agency personnel and resources Develop mobilization plans to ensure readiness to deploy agency personnel and resources Ensure cost tracking and accountability Ensure cost tracking and accountability

23. 23 RESPOND Steps Initiate emergency response Initiate emergency response Address emergency needs and requests for support Address emergency needs and requests for support Coordinate emergency response with state transportation agency providing support Coordinate emergency response with state transportation agency providing support Support evacuation/shelter-in-place/ quarantine in conjunction with law enforcement Support evacuation/shelter-in-place/ quarantine in conjunction with law enforcement Conclude response Conclude response

24. 24 RECOVER Steps Restore services and traffic to affected area Restore services and traffic to affected area Identify and implement lessons learned Identify and implement lessons learned Learn–learn–learn Learn–learn–learn Replan Replan

25. 25 Agency Involvement by Incident Level

26. 26 State Transportation Agency Planning Contexts Within role as transportation lead in State Emergency Operations Plan (EOP) Within role as transportation lead in State Emergency Operations Plan (EOP) Primary: ESF #1―TransportationPrimary: ESF #1―Transportation Secondary: ESF #3―Public Works ESF #6―Mass Care ESF #13―Public Safety/Security ESF #14―Long-Term Recovery – others as neededSecondary: ESF #3―Public Works ESF #6―Mass Care ESF #13―Public Safety/Security ESF #14―Long-Term Recovery – others as needed Within agency’s own EOP Within agency’s own EOP

27. 27 2010 Guide Products Guide Guide SummarySummary Overview for state transportation agencies (authorities, etc.)Overview for state transportation agencies (authorities, etc.) High-level requirements based on national policies and guidelinesHigh-level requirements based on national policies and guidelines High-level self-assessment w/pointers toward Section 6High-level self-assessment w/pointers toward Section 6 Section 6: Resource Guide Section 6: Resource Guide Organizational/staffing/position guidanceOrganizational/staffing/position guidance Decision-making sequencesDecision-making sequences Detailed self-assessment and resource listsDetailed self-assessment and resource lists

28. 28 2010 Guide Products (cont’d) Appendices (A–M) Appendices (A–M) Applicable parts of 2002 Report (A)Applicable parts of 2002 Report (A) Details of material summarized in Sections 1–5 (B–G)Details of material summarized in Sections 1–5 (B–G) Links to model emergency operations plans (H)Links to model emergency operations plans (H) Policy/procedural memoranda/MOUs (I)Policy/procedural memoranda/MOUs (I) Training/exercise plans (J)Training/exercise plans (J) Annotated bibliography (K)*Annotated bibliography (K)* White Paper on Emergency Levels (L)*White Paper on Emergency Levels (L)* PowerPoint presentation (M)*PowerPoint presentation (M)* *A vailable by download

29. 29 TRB Web site: http://www.trb.org/SecurityPubs Search for A Guide to Emergency Response Planning at State Transportation Agencies Graphic courtesy of Michigan State University, Critical Incident Protocols, a Public-Private Partnership

30. 1.Research Support for Transit Industrial Control Systems and Cyber Security 2.Role of Transportation in the Incident Command System (ICS) Structure & the National Incident Management System (NIMS) Structure 3.Securing Transportation Structures, Systems & Facilities — Long Term R&D Plan 4.Catastrophic Transportation Emergency Management Guidebook 5.Debris Management Handbook for State and Local DOTs 6.Voice and Data Interoperability for Transportation 7.Synthesis of Airport Closings and Emergency Evacuation Problems 8.Regional Transportation Disaster Response Template 9.Integration of Security Training into Routine Operations Training 10.Public Transportation Response Plan for a Pandemic 11.Using Pictograms to Make Transit Easier to Navigate for Customers with Communication Barriers 12.A Guide To Public Transportation Policing and Security for the Small and Medium Transit System 13.Integrating Geographic Information Systems into Communications among Airports and Community EMS Partners 14.Using Integrated Emergency Data Communication Systems at Airports 15.Integrating Community Emergency Response Teams at Airports 16.Multi Modal Transportation Workshop to Support the Rebuilding of Haiti Security-, Emergency Management-, and Infrastructure Protection-related Projects In Development (December 2010) 30

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32. TR News magazine Weekly e-Newsletter Open calls for papers Open solicitations for - Research problems - Project proposals - IDEA proposals - Panel nominations Interactive Annual Meeting program Transportation Research Board Communications and Outreach November- December 2000 May-June 2005 March –April 2004 www.TRB.org www.TRB.org/SecurityPubs = 100+ items www.TRB.org/NASecurityProducts www.TCRPonline.org May-June 2007