A Pre-Event Recovery Planning Guide for Transportation (2013)

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7 Federal authorities that guide recovery include national strategies, federal statutes, regulations, executive orders, and presidential directives. The National Strategy for Homeland Security and Emergency Management drives all of the subsequent national directives, initiatives, and common approaches for incident management, response, recovery, and resilience. Figure 4 illustrates the relationship of the strategies, directives, and initiatives. Presidential Directives There are three key presidential directives that establish policies and frameworks related to recovery planning. Homeland Security Presidential Directive (HSPD) 5: Management of Domestic Incidents HSPD-5, issued February 28, 2003, requires the Secretary of Homeland Security to develop a National Incident Management System (NIMS) that will provide a consistent nationwide approach to incident management for federal, state, and local governments. HSPD-5 also requires the development of a National Response Plan. As of March 22, 2008, the National Response Framework (NRF) (FEMA 2008) superseded the National Response Plan. Homeland Security Presidential Directive (HSPD) 7: Critical Infrastructure Identification, Prioritization, and Protection HSPD-7, issued December 17, 2003, mandates the creation of a National Plan for Critical Infrastructure and Key Resources Protection. Homeland Security Presidential Directive (HSPD) 8: National Preparedness HSPD-8, issued December 17, 2003, requires the development of a National Preparedness Goal (NPG) and also establishes mechanisms for improved delivery of federal preparedness assistance to state and local governments. National Frameworks A number of national frameworks and strategies have been established with relevance to recovery planning. C h a p t e r 2 Federal Strategies and Initiatives

8 a pre-event recovery planning Guide for transportation National Incident Management System The NIMS provides a systematic, proactive approach to guide departments and agencies at all levels of government, nongovernmental organizations, and the private sector to work seamlessly to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity, in order to reduce the loss of life and property and harm to the environment. Under NIMS, a series of Emergency Support Functions (ESFs) have been established. Three of these ESFs have particular relevance to pre-event recovery planning: ESF #1: Transportation, ESF #3: Public Works and Engineering, and ESF #14: Long-Term Recovery. Under ESF #1, U.S. DOT provides assistance that includes the coordination of the restoration and recovery of transportation infrastructure beyond the state and local level; the prioritization of restoration efforts based on needs; and funding sources and technical experts (e.g., inspectors, engineers, etc.) that can be utilized to support restoration and recovery efforts. Under ESF #3, federal public works and engineering support is provided when additional resources or capabilities to support the response and initial recovery are required. Activities include providing coordination and technical assistance for the rapid recovery and reconstitution of critical waterways, channels, and ports (e.g., vessel removal, significant marine debris removal, and hydrographic survey). In coordination with community recovery activities under ESF #14, ESF #3 implements funding under FEMA’s Public Assistance (PA) Program to permanently repair, replace, or relocate damaged or destroyed public facilities and infrastructure including transportation infrastructure. Figure 4. National disaster recovery management policies and guidelines. Source: Adapted from Wallace et al. 2010.

Federal Strategies and Initiatives 9 ESF #14 includes the coordination of national long-term recovery strategies and plans with other relevant federal departments and agencies that have independent authorities and responsibilities for addressing key issues regarding catastrophic incidents. These may include contaminated debris management, decontamination and environmental restoration, and restoration of public facilities and infrastructure. Also included is pre-incident planning and coordination including encouraging primary and support agencies to meet regularly at the national and regional levels to ensure that procedures and program/contact information are up-to-date, to discuss lessons identified from incidents and exercises, and to explore ways to leverage resources through creative use of federal assistance. National Response Framework The NRF provides guiding principles to prepare for and provide a unified response to disasters. The NRF establishes a comprehensive, national, all hazards approach to domestic incident response for the full range of incidents up to national catastrophes. It builds upon the NIMS. While the NIMS provides the template for the management of incidents, the NRF provides the structure and mechanisms for incident management policy at the national level. National Infrastructure Protection Plan The National Infrastructure Protection Plan (NIPP) provides a coordinated approach to establish national priorities, goals, and requirements for Critical Infrastructure and Key Resources (CIKR) protection. The NIPP specifies the key initiatives, milestones, and metrics required to achieve the nation’s CIKR protection mission. NIPP sets forth a comprehensive risk manage- ment framework and clearly defined roles and responsibilities for the Department of Homeland Security (DHS); federal Sector-Specific Agencies (SSAs); and other federal, state, local, tribal, territorial, and private-sector partners. National Disaster Recovery Framework The NDRF outlines how community recovery is supported on a national level. The NDRF defines key roles and responsibilities of local, state, tribal, and federal governments, the private sector, and voluntary, faith-based, and community organizations in recovery. It captures resources, capabilities, and effective practices for recovering from disaster, recognizing that significant challenges can confront all recovery efforts, from a relatively localized event to a large-scale disaster that demands substantial resources. Once finalized, the NDRF is intended to be the companion document to the NRF issued in January 2008. At the President’s request, the Secretaries of Homeland Security and Housing and Urban Development are co-chairing a Long-Term Disaster Recovery Working Group composed of the Secretaries and Administrators of more than 20 departments, agencies, and offices. This high-level, strategic initiative will provide operational guidance for recovery organizations as well as make suggestions for future improvement. National Preparedness Guidelines The DHS published the National Preparedness Guidelines in 2007 to help entities at all levels of government build and maintain the capabilities to prevent, protect against, respond to, and recover from major events in order “to minimize the impact on lives, property, and the economy.” To do this, the National Preparedness Guidelines provide readiness targets; priorities; standards for assessments and strategies; and a system for assessing the nation’s overall level of preparedness across four mission areas: prevention, protection, response, and recovery.

10 a pre-event recovery planning Guide for transportation There are four critical elements of the National Preparedness Guidelines (DHS 2007): 1. The National Preparedness Vision, which provides a concise statement of the core prepared- ness goal for the nation: “A nation prepared with coordinated capabilities to prevent, protect against, respond to, and recover from all hazards in a way that balances risk with resources and need.” 2. The National Planning Scenarios, which depict a diverse set of high-consequence threat sce- narios of both potential terrorist attacks and natural disasters. Collectively, the 15 scenarios are designed to focus contingency planning for homeland security preparedness work at all levels of government and with the private sector. The scenarios form the basis for coordinated federal planning, training, exercises, and grant investments needed to prepare for emergencies of all types. 3. The Universal Task List (UTL), which is a menu of some 1,600 unique tasks that can facilitate efforts to prevent, protect against, respond to, and recover from the major events that are presented in the National Planning Scenarios. The UTL presents a common vocabulary and identifies key tasks that support the development of essential capabilities among organizations at all levels. No entity is expected to perform every task. 4. The Target Capabilities List (TCL), which defines 37 specific capabilities that communities, the private sector, and all levels of government should collectively possess in order to respond effectively to disasters. Transportation-Specific National Initiatives Transportation Systems Critical Infrastructure and Key Resources Sector-Specific Plan (TS-SSP) The TS-SSP is one of 17 SSPs under the NIPP. The goals of the TS-SSP are to: • Prevent and deter acts of terrorism against the transportation system; • Enhance the resilience of the transportation system; and • Improve the cost-effective use of resources for transportation security. The TS-SSP includes goals, actions, and approaches for properly implementing the plan, along with descriptions of the challenges related to the plan’s application. The plan covers the six key transportation subsectors—Aviation, Maritime, Mass Transit, Highway, Freight Rail, and Pipeline. National Transportation Recovery Strategy The National Transportation Recovery Strategy (NTRS) addresses transportation recovery and resiliency in communities and provides an overview of incident management with an all hazards approach. The NTRS covers recommendations for preparing and managing the transportation recovery process and briefly explains the federal government’s role and funding mechanisms in transportation recovery. This information will be further outlined with tools and resources in an upcoming web guide. The purpose and goal of the NTRS is to help government officials and transportation industry stakeholders prepare for or manage the transportation recovery process following a major disaster, while promoting a recovery process. The NTRS provides recommendations on how to prepare for and manage the transportation recovery process for the private transportation industry stakeholders, local government, and state/tribal governments. Figure 5 provides an overview of the key recommendations provided in the NTRS.

Federal Strategies and Initiatives 11 Establish clear leadership, coordination, and decision-making structures at local, state and tribal levels. Develop pre-disaster partnerships to ensure engagement of all potential resources through the following methods: • Identifying and engaging stakeholders including, but not limited to, the general public, community leaders, faith-based organizations, nonprofit organizations, and private-sector entities. • Organizing connections to interface with local, state, tribal and federal governments. • Ensuring community participation of historically underserved populations including diverse racial and ethnic communities, individuals with disabilities, others with access and functional needs, children, seniors, and individuals with limited English proficiency. Test and evaluate pre-disaster plans through seminars, workshops, and exercises. Build partnerships between neighborhoods and local government agencies to form the basis for pre- and post-multihazard assessments and support for mitigation actions. Integrate pre-disaster recovery planning (e.g., response, land use, and hazard mitigation planning) with other appropriate community planning (e.g., comprehensive, accessibility design, and capital improvement planning). Identify limitations in community recovery capacity and the means to supplement this capacity. Incorporate sustainable development including environmental, historic preservation, and financial elements into recovery planning guidelines. Develop an accessible public information campaign that addresses the concerns of the public and an array of possible scenarios. Prepare pre-disaster memoranda of understanding (MOUs) as a way to establish early partnerships, planning initiatives, and expectations with stakeholders, community faith-based organizations, nonprofit groups, and private-sector entities. Develop and implement recovery training and education as a tool for building recovery capacity and make it available to all other stakeholders. Identify resource requirements and conduct acquisition planning. Source: U.S. DOT 2009. Figure 5. NTRS key recommendations.