Emergency Preparedness: State DOT Role

Stephan A. Parker, TRB

AASHTO Standing Committee on Public TransportationMulti-State Technical Assistance Program (MTAP) Winter Meeting

Savannah, GeorgiaDecember 6-9, 2010

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A Guide to Emergency Response A Guide to Emergency Response Planning at State Transportation Planning at State Transportation

AgenciesAgencies

NCHRP ProjectNCHRP Project 20-59(23)20-59(23)

Published as NCHRP Report 525, Vol. 16Published as NCHRP Report 525, Vol. 16

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Project PurposeProject Purpose

Project 20-59(23) initiated to Project 20-59(23) initiated to replacereplace 2002 2002 Guide to Updating Guide to Updating Highway Emergency Response Highway Emergency Response (ER) Plans for Terrorist Incidents(ER) Plans for Terrorist Incidents

Expand scopeExpand scope Implement new national policy Implement new national policy

and guidanceand guidance

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Project ObjectiveProject Objective

. . . to develop a recommended . . . to develop a recommended guide for use by state transportation guide for use by state transportation agencies in planning and developing agencies in planning and developing their organizational functions, roles, their organizational functions, roles, and responsibilities for emergency and responsibilities for emergency

response within the response within the all-hazards all-hazards context of NIMS (the National context of NIMS (the National Incident Management System)Incident Management System)

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Why NIMS is ImportantWhy NIMS is Important National uniformity in emergency managementNational uniformity in emergency management Multi-agency cooperation:Multi-agency cooperation:

• Collaborative planningCollaborative planning• Interoperable communicationsInteroperable communications

Incident Command SystemIncident Command System• Unified CommandUnified Command• Structured response, even to minor incidentsStructured response, even to minor incidents• Flexibility to grow/adapt to meet complexities Flexibility to grow/adapt to meet complexities

of large-scale eventsof large-scale events Standardize resource definitionsStandardize resource definitions Continued improvement through after-action Continued improvement through after-action

reporting and inclusion in emergency reporting and inclusion in emergency operations plansoperations plans

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Project Overview—Project Overview—2002 Guide2002 Guide

A Guide to Updating Highway Emergency A Guide to Updating Highway Emergency Response (ER) Plans for Terrorist IncidentsResponse (ER) Plans for Terrorist Incidents

Quick, direct response to 9/11Quick, direct response to 9/11 Addressed terrorist attacks, emphasis on Addressed terrorist attacks, emphasis on

weapons of mass destruction (WMD)weapons of mass destruction (WMD) Highway orientedHighway oriented Preliminary guidelinesPreliminary guidelines

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Update Project StimuliUpdate Project Stimuli New national initiatives:New national initiatives:

National Incident Management System (NIMS) National Incident Management System (NIMS) all-hazards approach, all-hazards approach, Incident Command System (ICS)Incident Command System (ICS)

National Response Framework (NRF) National Response Framework (NRF) GuidanceGuidance

National Preparedness Guidelines (NPG) National Preparedness Guidelines (NPG) ExamplesExamples

Consistency through 15 standardized Consistency through 15 standardized Emergency Support Functions (ESFs)Emergency Support Functions (ESFs)

• National Unified Goal (NUG) National Unified Goal (NUG) for Traffic Incident Management (TIM)for Traffic Incident Management (TIM)

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Update Project Stimuli Update Project Stimuli (cont’d)(cont’d)

Build on completed research:Build on completed research:• Guide to Emergency Transportation Guide to Emergency Transportation

Operations (ETO)Operations (ETO)• Complements risk management guidance, Complements risk management guidance,

including Costing Asset Protection: An All including Costing Asset Protection: An All Hazards Guide for Transportation Agencies Hazards Guide for Transportation Agencies (CAPTA)(CAPTA)

A different approach from 2002:A different approach from 2002:• Now have Now have how-tohow-to Comprehensive Comprehensive

Preparedness Guide (CPG) 101Preparedness 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

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2010 Guide Differences2010 Guide Differences Emergencies―larger scaleEmergencies―larger scale All hazards―more than traffic issuesAll hazards―more than traffic issues Multimodal―more than highwaysMultimodal―more than highways Operationally oriented and practicalOperationally oriented and practical NIMS/NRF/NPG―more application and NIMS/NRF/NPG―more application and

emphasisemphasis State transportation agency in support role State transportation agency in support role

(ESF #1, etc.)(ESF #1, etc.) Covers preparedness functions to support state Covers preparedness functions to support state

and local emergencies to include:and local emergencies to include:• Plan, organize, staff, train, exercise, Plan, organize, staff, train, exercise,

manage, implement, and fund preparationsmanage, implement, and fund preparations Not a Not a how-to-plan how-to-plan Guide―refer to Guide―refer to

Comprehensive Preparedness Guide 101Comprehensive Preparedness Guide 101

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Some Key Tenets of Emergency Some Key Tenets of Emergency Management Planning PrinciplesManagement Planning Principles

Agency-wide emergency operations Agency-wide emergency operations plan plan

State transportation agency plans and State transportation agency plans and procedures complement state’s overall procedures complement state’s overall emergency structure and plansemergency structure and plans

Agency plans to adhere to all-hazards Agency plans to adhere to all-hazards approachapproach

Use conventional emergency Use conventional emergency management planning cycle management planning cycle (plan, prepare, respond, recover)(plan, prepare, respond, recover)

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Key Tenets (cont’d)Key Tenets (cont’d)

Acknowledge that different state transportation Acknowledge that different state transportation agencies (particularly DOTs) view their agencies (particularly DOTs) view their response roles differentlyresponse roles differently

Encourage agencies to be full players within Encourage agencies to be full players within state emergency management communitystate emergency management community

Recognize need for agencies to understand Recognize need for agencies to understand basic NIMS concepts of incident command basic NIMS concepts of incident command system (ICS), including unified commandsystem (ICS), including unified command

Encourage agencies to reallocate resources Encourage agencies to reallocate resources used originally to prepare for terrorist incident used originally to prepare for terrorist incident responses to pre-event preparedness efforts responses to pre-event preparedness efforts that enable agency response to full range of that enable agency response to full range of emergenciesemergencies

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National Context National Context for Emergency Responsefor Emergency Response

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Implementation of HSPD-5,Implementation of HSPD-5,Management of Domestic IncidentsManagement of Domestic Incidents

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Implementation of HSPD-7, Implementation of HSPD-7, Infrastructure Identification, Infrastructure Identification,

Prioritization, and Protection Prioritization, and Protection

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Implementation of HSPD-8, Implementation of HSPD-8, National PreparednessNational Preparedness

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Emergency Management Emergency Management Planning ProcessPlanning Process

Plan

Prepare

Respond

Recover

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PLAN StepsPLAN Steps

Form collaborative planning teamForm collaborative planning team Research state’s hazards and their Research state’s hazards and their

consequencesconsequences Analyze informationAnalyze information Determine goals and objectivesDetermine goals and objectives Develop and analyze courses Develop and analyze courses

of action and identify resourcesof action and identify resources

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PLAN Steps (cont’d)PLAN Steps (cont’d)

Write planWrite plan Approve and implement planApprove and implement plan Train staff on planTrain staff on plan Exercise the planExercise the plan

• Evaluate its effectivenessEvaluate its effectiveness• Create list of improvements Create list of improvements

demonstrated in exercisedemonstrated in exercise Review, revise, and maintain planReview, revise, and maintain plan

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PREPARE StepsPREPARE Steps Develop approaches to implement state Develop approaches to implement state

transportation agency roles and responsibilities transportation agency roles and responsibilities during emergencies, as specified in state’s EOP during emergencies, as specified in state’s EOP and supporting annexes and referenced and supporting annexes and referenced materialsmaterials

Establish protocols to communicate Establish protocols to communicate with employees and general publicwith employees and general public

Develop plans and procedures to manage Develop plans and procedures to manage traffic under emergency conditionstraffic under emergency conditions

Develop mobilization plans to ensure readiness Develop mobilization plans to ensure readiness to deploy agency personnel and resourcesto deploy agency personnel and resources

Ensure cost tracking and accountabilityEnsure cost tracking and accountability

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RESPOND StepsRESPOND Steps

Initiate emergency responseInitiate emergency response Address emergency needs Address emergency needs

and requests for supportand requests for support Coordinate emergency response Coordinate emergency response

with state transportation agency with state transportation agency providing supportproviding support

Support evacuation/shelter-in-place/Support evacuation/shelter-in-place/quarantine in conjunction with law quarantine in conjunction with law enforcementenforcement

Conclude responseConclude response

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RECOVER StepsRECOVER Steps

Restore services and traffic Restore services and traffic to affected areato affected area

Identify and implement lessons Identify and implement lessons learnedlearned

Learn–learn–learnLearn–learn–learn ReplanReplan

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Agency Involvement Agency Involvement by Incident Levelby Incident Level

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State Transportation Agency State Transportation Agency Planning ContextsPlanning Contexts

Within role as transportation lead Within role as transportation lead in State Emergency Operations Plan in State Emergency Operations Plan (EOP)(EOP)• Primary: ESF #1―TransportationPrimary: ESF #1―Transportation• Secondary: ESF #3―Public Works Secondary: ESF #3―Public Works

ESF #6―Mass Care ESF #6―Mass Care ESF #13―Public Safety/Security ESF #13―Public Safety/Security ESF #14―Long-Term Recovery ESF #14―Long-Term Recovery – others as needed– others as needed

Within agency’s own EOPWithin agency’s own EOP

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2010 Guide Products2010 Guide Products GuideGuide

• SummarySummary• Overview for state transportation agencies Overview for state transportation agencies

(authorities, etc.)(authorities, etc.)• High-level requirements based on national High-level requirements based on national

policies and guidelinespolicies and guidelines• High-level self-assessment w/pointers toward High-level self-assessment w/pointers toward

Section 6Section 6 Section 6: Resource GuideSection 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

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2010 Guide Products (cont’d)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 Details of material summarized

in Sections 1–5 (B–G)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*Available by downloadvailable by download

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TRB Web site:TRB Web site:http://www.trb.org/SecurityPubshttp://www.trb.org/SecurityPubs

Search forSearch for A Guide to Emergency Response A Guide to Emergency Response Planning at State Transportation Planning at State Transportation

AgenciesAgenciesGraphic courtesy of Michigan State University, Graphic courtesy of Michigan State University,

Critical Incident Protocols, a Public-Private PartnershipCritical Incident Protocols, a Public-Private Partnership

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) Structure3. Securing Transportation Structures, Systems & Facilities — Long Term R&D Plan4. Catastrophic Transportation Emergency Management Guidebook5. Debris Management Handbook for State and Local DOTs6. Voice and Data Interoperability for Transportation7. Synthesis of Airport Closings and Emergency Evacuation Problems8. Regional Transportation Disaster Response Template9. Integration of Security Training into Routine Operations Training10. Public Transportation Response Plan for a Pandemic11. Using Pictograms to Make Transit Easier to Navigate for Customers with

Communication Barriers12. A Guide To Public Transportation Policing and Security for the Small and Medium

Transit System13. Integrating Geographic Information Systems into Communications among Airports

and Community EMS Partners14. Using Integrated Emergency Data Communication Systems at Airports15. Integrating Community Emergency Response Teams at Airports16. Multi Modal Transportation Workshop to Support the Rebuilding of Haiti

Security-, Emergency Management-, and Infrastructure Protection-related Projects In Development (December 2010)

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