Final Research Report: A Transportation Guide for All-Hazards Emergency Evacuation (2013)

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7 CHAPTER 3 FINDINGS Introduction Evacuations are the movement of people, and animals, to a safe area from an area believed to be at risk, when emergency situations necessitate such action. Every day, evacuations varying in magnitude take place. A major event requiring multijurisdictional, multimodal coordination involving several layers of government (local, regional, state(s) and perhaps Federal) as well as private and nonprofit entities can occur in any jurisdiction. Examples, such as the 1,000 year floods in Tennessee and major floods in Vermont, South Dakota, Iowa, and many other states, wildfires in Florida, Arizona, California, Texas, and New Mexico, and chemical plant fires and train derailments in North Carolina, Michigan, Maryland, and other parts of the country, demonstrate that few if any communities are immune from frequent, unprecedented and large-scale emergencies. Many emergencies require evacuation of large numbers of people (and sometimes animals, including livestock), including persons needing extra assistance in emergencies (such as nursing home residents, persons without access to personal vehicles or to regular transit, and others). The challenge is to coordinate in advance the full potential range of all modes of transportation resources, working with other agencies, other jurisdictions and levels of government, and with community resources that know what and where the needs for transportation are. The Department of Homeland Security (DHS) and the Federal Emergency Management Agency (FEMA) (which is part of DHS) lead initiatives to improve planning for incidents of all types. DHS has developed policies, plans, and guidelines and a systematic and organized set of emergency preparedness and emergency response doctrines and procedures, including preparation and response for evacuations. In addition, the National Cooperative Highway Research Program (NCHRP), the Transit Cooperative Research Program (TCRP), and the Federal Highway Administration (FHWA) – in particular the Office of Emergency Transportation Operations – have developed guidance documents examining emergency response planning, the DHS incident command structure, transportation’s role in evacuation, and other facets of emergency transportation planning. The objective of the separate, stand-alone Guide is not to replicate and reiterate the research that has been done before, but to distill the essential elements pertaining to large-scale, multimodal evacuation, referring to other guidance as appropriate, and adding the lessons learned from the current research, interviews, and case studies. DHS and FEMA planning structures and vocabulary are used throughout the document, as transportation managers and operators will generally be working within the framework of local, state, and Federal emergency managers when planning for or responding to events calling for large-scale evacuation. However, by and large DHS and FEMA guidance pertaining to evacuation does not go into the level of detail necessary for planning and coordinating multimodal transportation resources. This report includes a section on “Evacuation Nuts and Bolts.” It includes “why plan,” evacuation planning mandates and key roles, statutory authorities, and an overview of the Planning Process, consistent with the steps identified in CPG 101 Version 2. This section was not included in the Guide because it seemed too detailed for a guide with too much focus on DHS and FEMA; it did not seem essential to the planning steps for transportation. Statutory authorities and other elements are incorporated in the full outline and checklist in Step 5 of the Guide.

8 The Guide goes through the six planning steps in detail, focused on the relationships between transportation and emergency management in building a robust emergency evacuation plan. It is designed to help transportation managers and agencies to prepare to fulfill their role in large-scale evacuation and to help emergency managers better understand the broad array of transportation resources and roles that are likely present in or near their jurisdiction. It highlights emerging promising practices of interjurisdictional coordination of transportation resources for emergencies, and presents example frameworks for organization. It includes extensive tools, templates, checklists, and other aids to planning. Evacuation “Nuts and Bolts” Why Plan? Planning is generally the best way to prepare for the future. It allows for the identification of problems before an event and allows time to work through to solutions. Planning allows emergency managers and others the ability to set priorities to tasks. Planning also allows people to brainstorm on new ideas and contingency plans. Planning allows the identification of unmet needs that may exist. The Technical Assistance Catalog published from FEMA should be consulted. The Technical Assistance (TA) program seeks to build and sustain capabilities through specific services and analytical capacities across two primary functional areas: (1) preparedness TA activities in support of the four homeland security mission areas (prevention, protection, response, recovery) and (2) homeland security program management. This two-pronged approach ensures that initiatives measurably contribute to the enhancement of state and local homeland security programs and the specific homeland security capabilities they build and manage. The TA program is designed to be an agile program that addresses areas of greatest state and local need; is committed to transferring and institutionalizing knowledge at the state and local level; and provides a dynamic menu of services that is responsive to national priorities. Preparedness TA services seek to build and sustain capabilities in support of the four homeland security mission areas (prevention, protection, response, recovery). In addition to the four mission areas, these services also address the suite of priorities and capabilities outlined in the National Preparedness Goal. As capability gaps are identified within state and local jurisdictions, Preparedness TA services are designed, developed, and delivered to address those needs and build capabilities in the most critical areas. The following text provides an overview of the services that comprise the NPD’s Preparedness TA program: Prevention Technical Assistance: In coordination with lead federal law enforcement and intelligence agencies, including the DHS Office of Intelligence and Analysis (I&A), the Federal Bureau of Investigation (FBI), and the Office of the Director of National Intelligence (ODNI), NPD seeks to ensure that state and local jurisdictions possess required capabilities and are proficient in tasks essential to preventing terrorist attacks against the homeland. As referenced above, TAD has made the establishment of the fusion capacity the top prevention priority for state and local governments. Protection Technical Assistance: The protection mission area focuses primarily on the following two national priorities: Implement the National Infrastructure Protection Plan (NIPP) and Strengthen Chemical, Biological, Radiological, Nuclear, and Explosive Detection, Response and Decontamination Capabilities. NPD has partnered with the DHS Office of Infrastructure Protection (IP) to enhance protection-related support to State and local jurisdictions.

9 Planning Support: The planning support mission areas focus primarily on the following four national priorities: Implement the National Incident Management System (NIMS) and National Response Framework (NRF); Expanded Regional Collaboration; Strengthen Interoperable Communications Capabilities; Strengthen Chemical, Biological, Radiological, Nuclear, and Explosive Detection, Response and Decontamination Capabilities. NPD has partnered with the NIMS Integration Center (NIC), the Department of Energy (DDOE), and others to enhance response and recovery related support to state and local jurisdictions.1 Evacuation Planning Mandates and Key Roles Post-Katrina In August 2005, Hurricane Katrina devastated the City of New Orleans and wiped out whole towns along the Mississippi coast. The 2005 Atlantic hurricane season prompted DHS to drastically change federal policy and the organization of responsible federal entities, notably within the DHS. Many of the changes “Post-Katrina Emergency Management Reform Act of 2006” (hereafter referred to as the Post-Katrina Act)2, established new leadership positions and position requirements within FEMA, brought new missions into FEMA and restored some that had previously been removed, and enhanced the agency’s authority by directing the FEMA Administrator to undertake a broad range of activities before and after disasters occur. The Post-Katrina Act contains provisions that set out new law, amend the Homeland Security Act (HSA), and modify the Robert T. Stafford Disaster Relief and Emergency Assistance Act (the Stafford Act). 3 UASI (Urban Areas Strategic Initiative) Per FEMA the UASI Program provides funding to address the unique planning, organization, equipment, training, and exercise needs of high-threat, high-density urban areas, and assists them in building an enhanced and sustainable capacity to prevent, protect against, respond to, and recover from acts of terrorism. Additionally per the 9/11 Act, states are required to ensure that at least 25 percent (25%) of UASI appropriated funds are dedicated towards law enforcement terrorism prevention activities. LEPC (Local Emergency Planning Committees) Local Emergency Planning Committees (LEPC) were established under the Emergency Planning and Community Right to Know Act of 1986 (EPCRA). LEPCs are federally mandated committees with membership from business and industry; emergency response groups such as fire, medical and law enforcement; community groups; media; hospitals; environmental interest; universities; and members from the general public. Their primary work is to receive information from local facilities about chemicals in the community and then use that information to develop a comprehensive emergency plan for the community regarding the release, containment, and cleanup of any hazardous materials. LEPCs also work within the community to prevent and prepare for accidental (and terrorist-related) releases of hazardous chemicals. In 2008, the U.S. Environmental Protection Agency (EPA) Office of Emergency Management (OEM) conducted a nationwide survey of LEPCs.4 Among the survey results it was found that dedicated membership is the single greatest factor that contributes to an LEPC’s success (33.3%). It was further found that only 15.9% surveyed said that regularly scheduled meetings contribute most to their success as an organization. The results also showed that 64.9% of responding LEPCs said the establishment of the LEPC had a positive impact on chemical safety within the community they serve.

10 FHWA (Federal Highway Administration) September 11, 2001 served to remind everyone that there is a very real need to ensure the operation and integrity of America's surface transportation system. A healthy transportation system is vital during emergency events to allow the continuous movement of people and goods to where they are most needed. FHWA established the Emergency Transportation Operations (ETO) to provide tools, guidance, capacity building and good practices that could aid local and State DOTs and their partners in their efforts to improve transportation network efficiency and public/responder safety when a non-recurring event either interrupts or overwhelms transportation operations. A non-recurring event can be as simple as traffic incidents or as complex as a natural disaster such as a flood or hurricane. The ETO focuses on using highway operational tools to enhance mobility and motorist and responder safety. The ETO spans a full range of activities: from transportation-centric (fender benders) to those where transportation is a critical response component (e.g., hurricane evacuations). Transportation is critical to emergency response, no matter the size or the frequency of the event. FHWA is committed to improving our nation's ability to manage emergencies that take place within the transportation network infrastructure or affects it in some way.5 Statutory Authorities and Roles Suppose an earthquake, measuring 8.0 on the Richter scale, was to rock the coast during a typical morning while residents are going about their usual activities. Then approximately an hour later an aftershock of 7.5 hits the same area. Hundreds of thousands of people would be injured or dead and thousands more could not be located. Roads and bridges would have been destroyed and are impassable. Thousands of buildings and homes would be destroyed. The magnitude of this event would be felt across the nation and response would be immediate. Neighbors would rush to help neighbors while offices and business employees would assist with evacuations of their facilities. The local emergency operation center would be activated and the mayor and other city officials would meet to discuss the plan of action and response. The mayor would contact the governor to declare a state of emergency while the governor would have already been in contact with the President. Homeland Security immediately would begin coordinating the federal response. The governor would request a major disaster be declared under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act), and the President would do so. Local, State, Federal Although the above situation is hypothetical the response chain is real. Local authority is the primary first responder and designates the Incident Commander following the chain of command as laid out in the National Incident Management System (NIMS). On February 28, 2003, the President directed the Secretary of Homeland Security to develop and administer NIMS. The system provides a consistent nationwide template to enable Federal, state, tribal, and local governments, nongovernmental organizations (NGOs), and the private sector to work together to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity. This consistency provides the foundation for utilization of NIMS for all incidents, ranging from daily occurrences to incidents requiring a coordinated federal response.6 In general, state laws and local ordinances provide the authority to state and local officials to order or recommend the evacuation of people from their homes or businesses before disasters occur. This would be the case in the event of pending natural disasters such as flood events or hurricanes. The Governor of a state is

11 generally given the authority to order and enforce evacuations in the event of emergency situations. Under the Homeland Security Act of 2002 (HSA) the federal statutory authority greatly increased in relationship to emergency situations. Recognizing that the HSA was such a drastic increase in the federal role, Congress quickly added policies that encouraged more of a partnership between state and local governments and the Federal government. It is therefore now federal policy to defer to the states to enact laws pertinent to evacuation, and subsequently local officials then work with state officials to enforce those laws. Pertinent Definitions and Statutory Authority Part of the planning process establishes, for a jurisdiction, region or state, whether or not there is authority to order mandatory evacuations, and who can do so. In most jurisdictions, a “mandatory” evacuation means that no one is physically removed from their residence or business, but notifications are often provided that if the mandatory evacuation order is not heeded, no public agency assistance will be provided. This policy is in place to protect responders, who often work in extremely adverse conditions in disasters at considerable personal risk. The recent hurricane Irene, which caused billions of dollars’ worth of damage along the Atlantic Seaboard, was the direct cause of the death of one Emergency Medical Technician in Princeton, NJ. The EMT was swept away by floodwaters while attempting the rescue of the driver of a car engulfed by water on a Princeton street. It is always best for jurisdictions to have a legal agreement as to who can order mandatory evacuations. The practice differs by jurisdiction, but often it is a chief executive (mayor, governor) or a public safety official (fire or police chief, Director of Emergency Management, Chief of Public safety). During the adverse event, chief executives may delegate legal authority to public safety officials for the express purpose of ensuring that public safety issues are of primary concern and are being handled by those most competent to make the decisions. Again, this issue is best defined by ensuring that statutes are in place to facilitate any transfer of authority. Other legal considerations include some of the proposed highway and traffic changes and strategies as identified in Tools 3.1, 3.3, and 3.4 (contraflow lanes, traffic signal timing/cycling suspension); as well as environmental concerns (runoff, spills, contamination and cleanup issues, and requirements to secure hazardous materials or cease hazardous operations); suspension of normal services and activities (this is a wide range of activities, including suspension of roadway construction activities to restore roadway capacity, storage and access to fuel, water treatment and control, business services such as banking, postal services, etc.); and policing and law enforcement concerns, including and up to declarations of martial law, suspension of habeas corpus rights and other issues, as was seen in Louisiana during and after Hurricane Katrina. Voluntary versus Mandatory Evacuation Depending upon the event, the evacuation order may call for voluntary evacuations. If this is the case, people will decide for themselves if they consider the risk to be great enough for them to leave their homes or businesses and seek shelter someplace else. If they perceive the risk is great, or the possibility exists that they might be trapped if they decide to stay, then more than likely they will leave and seek someplace else to stay until the emergency is resolved. However, if the emergency is considered to be serious enough that local and state officials call for mandatory evacuations then the choice is no longer theirs to make. Mandatory evacuation orders require compliance from the people being ordered to leave an area. Nevertheless, individuals have free will and some may decide not to leave (in some cases endangering minor children and others). Most cities and states have laws that can be used to enforce compliance with mandatory evacuation orders. Fines and imprisonment can be used to force citizens to leave areas that have been ordered to evacuate. More than likely this will not be the case. However, if people choose to ignore mandatory evacuation orders, emergency help will

12 not be sent to assist them until the emergency is resolved. State and local officials have even used tactics such as advising people to write their social security number with an indelible marker on their limbs so the parts can be identified, or complete a form that can be used to notify the next of kin. Mandatory evacuations should not be ignored Private Sector Support FEMA has long noted that key infrastructure sectors are often owned and operated by the private sector. Because these enterprises are for-profit, planning for business continuity has frequently already been prepared. This existing planning often follows recognized industry standards and established regulatory requirements. This resource can be valuable to complement state and local planning. In addition, in recent years, it has been common for FEMA and other emergency management groups to partner with large retailers (big-box stores) to increase access to resources that are already local to the event. In evacuations, the use of private property with shelter and large paved areas to use as assembly and transfer points, as well as provide supplies for evacuation populations can be a very valuable The Planning Process Chapter 4 in the CPG 101 is dedicated to the planning process. The Figure 1 illustration from the CPG 101 (above) depicts the ideal steps in the planning process. As each plan needs to be adaptable, each jurisdiction may not need to complete each step but should attempt to complete as many as possible to avoid gaps in their plans. Large-scale evacuations requiring regional collaboration are not common in every region, but events that can lead to a major evacuation can happen almost anywhere at any time. However, smaller scale events (planned and unplanned) and evacuations happen on a fairly regular basis. Relationships established and lessons learned from smaller events can increase readiness for larger events, but collaborative advance planning is essential to identify needs, resources, and gaps that need to be filled prior to a large-scale event. This report follows the general outline of the Guide, but includes additional detail and discussion on the topics covered in the Guide, as well as the reports from each task as appropriate, without replicating the tools and templates from the Guide except in special cases. Step 1 – Form a Collaborative Planning Team Identify and Coordinate with Stakeholders The planning process should be a team effort. Teams help organizations define roles that will be played during an operation. Members of the team are also given the opportunity to see and interact with other team members and can gain insight into how each member role impacts the overall operation. Teams help build and expand relationships. Each member of the team brings their own creative ideas and insights into the planning process. Teams also help to establish pre-formed units that can respond and follow-up to incidents with the concepts established in the planning process. Teams should establish a meeting schedule that calls for regularly scheduled sessions. It is essential that at the first meeting team expectations should be defined and identified so each member can see how their contributions will benefit the overall process. Members should be instructed that while their attendance and participation is required and expected, allowances can be made for scheduling conflicts. It is also a good idea to

13 use a third-party facilitator to keep the meetings focused. Since the key to group planning is open and frank discussions, the third-party facilitator can also help mitigate any conflicts or disagreements that may come up in the meetings. The Guide provides extensive “how to” support for developing a collaborative planning team. The “Workshop in a Box” provides the essentials of planning an effective working group. Discussion guides are tailored to the early planning steps that require the most input and meetings. Lists of potential partners, sidebar tips and tools such as the CAME (Tool 1.2) all support this crucial first step, which becomes the foundation for the entire planning process to come. Typically, the emergency manager or homeland security manager leads the planning process and directs the enforcement of policies for prevention, protection, response, recovery, mitigation, and overall preparedness. They may also be tasked with leading the planning and coordinating the establishment of the emergency operations plan (EOP). Since other members of the team may also include individuals from law enforcement, they too will ensure the plans address prevention and protection as well. The Guide provides effective discussion points and tools for transportation and transit agencies to assume their roles as key members of the core planning team. Many emergency management agencies are now employing experts to provide assistance and guidance on non- emergency matters. These include persons with expertise in dealing with the disabled, assisting individuals with access and functional needs, and experts on dealing with the elderly. Some new employees may also have experience with household pets and service animals. These additions to the emergency management agency allow for diversity in planning as well as providing a wide range of perspective when thinking about incidents that may impact a community. Early in the planning additional members should be included to diversify the team and to help fill gaps. Other members of the team may include individuals from: • Law enforcement • Transportation • Fire services • Public Health • Hospitals and health care facilities • Education • Agriculture • Social Services • National Guard • Civic organizations • Faith-based organizations • Animal Control Jurisdictions that utilize the Emergency Support Function (ESF) system may select their core team members from each ESF. Regardless of where the individual members of the planning team come from they must be able to speak for their agency or department with authority and be accountable to the process. The planning process is for the whole community and should involve the whole community. Community leaders understand their citizens and can help ensure that the plans are carried out when they need to be. Communities can assist in getting critical messages from the emergency manager out to the public. They can

14 also assuage any fears the community might have in disaster events. Pre-established partnerships and relationships are important for leveraging expertise and resources before, during, and after disaster events. Step 2 – Understand the Situation Risk management is the identification and assessment of the threats and hazards that could impact a jurisdiction or region. The risk assessment is the process to collect and identify information about the threats and hazards and then assign values to each for the purpose of determining those that have the highest priorities so that plans for action can be developed for addressing them. The jurisdiction can then catalog everything from specific asset vulnerabilities to staffing levels for emergency personnel. That is paired with the collection of information about the population of the region, from general demographics to an in-depth understanding of the various communities and potential vulnerabilities and human resources in the region. Step 2. Part 1. Identify Risk Scenarios and the Type of Evacuations They Require An early step in the evacuation planning process is to analyze potential conditions and hazards that may warrant an evacuation. Planners should begin by conducting research and analysis on every threat or hazard that could affect a jurisdiction. The initial step in the research should be to gather information about potential risks, population demographics, household pet and animal service populations, and any geographic characteristics that could impact emergency operations. Threat assessments should include the identification of any potential targets. Hazard identification should include natural, man-made, and technological hazards. Any incidents that may have already occurred in the jurisdiction should be identified. "Those who cannot remember the past are condemned to fulfill it" –Georges Santayana, Reason and Common Sense, 1905 There is no better teacher than history in emergency management and planning, much like its sister disciplines of safety and security. It is the reason why critical incident debriefings, after action reports, and lessons learned are compiled – they are of critical value to planning for future events. Data about historical incidents provides invaluable information for planning for foreseeable and unforeseeable events. This information must, therefore, be readily available to planners. There are a number of national resources for historical data, including the Lessons Learned website (llis.gov) and the FEMA website. Local and state emergency management agencies and their partners, including transportation, should make it a high priority to maintain archives of events, including After Action reports, statistical information including areas and numbers of people affected, etc., concerning the area, and to perform critical data analysis on the information to assist in risk assessment and management, including emergency planning. The tools identified in Step 6 of the Guide provide direction for gathering critical information on After Action Reporting. Local organizations (e.g., the local chapter of the American Red Cross), utilities, other businesses, and members of the planning team may also provide records and accounts about their experiences in adverse events as well. Sources for expertise on hazard or threat potential include jurisdictional agencies; academic, industrial, and public interest group researchers; private consultants specializing in hazard or threat analysis; and professional associations concerned with the hazards or threats on a planner’s list. Step 2, Task 2.1 provides guidance and resources on risk assessment. Tool 2.1 provides a matrix to assess risks and consequences from various hazards, which are intended to be evaluated from local knowledge and history. The people that may be affected by a

15 given hazard or risk are addressed in Step 2, Task 2.2, and in the accompanying database templates and other tools. The planning team must also have extensive information about the jurisdiction itself. The local planning commission or department should have demographic and land use data. There should also be building inspection offices that would have data regarding the structural integrity of buildings as well as any building codes that would have been in effect at time of construction. Local public works (or civil engineering) departments and utilities are sources for information on potential damage to and restoration time for the critical infrastructures that may be threatened by hazards. Also the local chamber of commerce may be able to give their perspective as to what the damage to businesses would be to the general economic losses. Planners also need to recognize that one threat or hazard event may have a ripple-effect. For example a hurricane (natural event) may cause power failures (technological event) that could lead to civil disturbance (human caused event). Planners need to realize events may not be independent of each other and therefore they need to plan responses for all contingencies. During the analysis facts and assumptions will be produced. Facts are verified pieces of information. They can be laws and regulations. They may be population statistics or terrain maps. They are documented and real. Assumptions are not facts. Assumptions consist of information accepted as being true in the absence of facts in order to provide a framework or establish expected conditions of an operational environment so that planning can proceed. Assumptions should only be used as facts if they are considered valid, or deemed likely to be true, and are necessary for solving the problem. In the planning process, assumptions should be used sparingly and every effort should be made to obtain facts or historical precedent. The assessment and planning on how to address the various hazards and risks represent a major element of the process, with the people and institutions that may be at risk on one side of the equation, and the resources available to address the risk and assist the population on the other side of the equation. The people at risk are discussed in this Step (Step 2, Part 2, below) and the resources needed and/or available are discussed in Step 4 of the process. Consistent with CPG 101, various elements of risk scenarios are addressed throughout the Guide, with highlights as follows: Step 1: Form a Collaborative Planning Team Task 1.1 Identify likely interagency and inter-regional partners (jurisdictions and levels of government) required for transportation and emergency management coordination Task 1.2 Engage the Whole Community in Planning Tool 1.2 Potential Frameworks for Integrating Modes and Entities for Effective Evacuation (describes roles of various partners) Tool 1.3 Introduction to Emergency Support Functions and Transportation Roles and Interactions with Each ESF (roles, interactions related to evacuation) Step 2: Understand the Situation, Task 2.1 Identify Threats and Hazards

16 Tool 2.1 Preliminary Risk Assessment Step 3: Determine Goals and Objectives, Task 3.1 Determine Operational Priorities, Task 3.1.1 Develop/ consider scenarios Table 3.1 Example Scenarios from “Guidelines for Transportation Emergency Training Exercises” Table 3.2 National Planning Scenarios – summary with elaboration as to notice, public protective measures, and need for regional coordination Step 4: Plan Development Task 4.1, Develop and Analyze Courses of Action Task 4.1.1, Establish the Timeline Task 4.1.2, Depict Decision Points in the Scenario Tool 4.1.1 Real Time Evacuation Planning Model Tool 4.1.2 Public Assisted Evacuation Plan Timeline for Notice Events Step 5: Plan Preparation, Review and Approval Tool 5.2 Multi-jurisdiction Multimodal Evacuation Planning Checklists Step 6: Plan Implementation and Maintenance Resource: Evacuation Workshop Planning 101 “Workshop in a Box” Step 2, Part 2 of Understanding the Situation: Identify and Assess Needs and Capabilities of Evacuees It is critical to identify in advance the populations affected by an evacuation order. Ensuring that adequate demographic information is maintained and updated frequently will be invaluable for effective evacuation planning. Even more important is the continual building and expansion of collaborative relationships with government agencies, private sector, non-profit, faith-based and community based organizations as well as unofficial community leaders, to garner information and to create a resilient network for communication, planning participation and action. Incidents can affect how a community accesses their jurisdiction. Incidents can also impact the functional needs of the residents. It is therefore vital that planners have the best estimate of the number and types of individuals with disabilities and others that may have access and functional needs. The planners should also obtain as much information regarding the types of services these individuals may require so that emergency staff can be adequately trained and necessary resources can be made available when needed. Operational classifications of self-evacuees and assisted evacuees, with associated goals and objectives, are primarily addressed in Step 3. Step 2 focuses on information gathering across the full range of demographics and access and functional needs. For example, basic population demographics can be obtained from the United States census website, with more detailed information from local or regional planning organizations. To assist planners in determining the number of people that may need to be evacuated during an emergency, Step 2 of the Guide includes several specific tools and templates that can be used to estimate the number of self-

17 evacuees and evacuees in support facilities and in the broader community that may require specialized transportation resources, support, equipment, and attendants as well as individuals with other access and functional needs, such as those requiring specialized communication, supervision, mobility, and transportation resources and personnel. Institutional Facilities Institutional care facilities, including hospitals, public schools and nursing homes, are required to have individual emergency plans. Prisons and universities are not required by law to plan for mass evacuations, although some have plans. Evacuation planners should contact all institutional facilities to determine what their plans are, and consider how these may affect a larger evacuation in the area of those institutions. As emergency managers and transportation coordinators are reviewing plans with nursing homes, hospitals, senior care centers, and other institutions, it is also important to be on the alert for overlapping “calls” on a single or limited resource. For example, multiple nursing homes and hospitals may have written agreements for support from a single ambulance service; in a large-scale event affecting multiple hospitals and nursing homes at the same time that resource may be overwhelmed, and it may require additional time to call in resources from out of the region or out of the state. Some states, particularly those with nuclear power plants, have stored “kits” that can quickly convert school buses to transport stretchers. Similarly, some jurisdictions expect that the local transit authority will be able to transport their residents in case of emergency, not realizing that in a major emergency the calls for transit services are likely to vastly exceed the availability. Tool 2.3, Institutional Facilities, provides templates for gathering and summarizing key information on many different types of institutions in any given community or region. (This set of templates is also intended to be used to coordinate with reciprocal receiving jurisdictions.) Note that many of these responsibilities are typically delegated to support functions such as Public Health and Medical Assistance, Law Enforcement, and others. In the planning and coordination, transportation managers can provide valuable insights into logistics, likely roadway congestion, and other factors that may impact their planning and the types of data they gather and share. Tourists In areas where tourism is a large industry, evacuations can present special problems. Tourists may not be able to leave the same way they came in, as air or rail transportation may be suspended. Some may not have good language skills. In some cases, tourist areas have some available transportation (shuttles, cruise vessels, sightseeing vehicles), which can be mustered for evacuation support. Good evacuation planning will involve working with the tourist industry to determine effective courses of action in the event of an evacuation being necessary. For events with advance notice, tourists are often encouraged to be among the first to evacuate a region, by air, personal auto, or other means, both for their own safety and to reduce the burden on local resources including first responders. Tool 2.2, Estimated Number of Evacuees, includes categories for estimating various population groups including tourists. Tool 4.1, the Real Time Evacuation Planning Model, includes the capability of adding in estimated seasonal populations to assist in planning for potential clearance times. Business, Government and Industry

18 In some areas, employers have large campuses, some even with 24-hour operations. Evacuating a large industrial, government or military complex will have complicating factors, including limited access, high numbers of personal vehicles outside of large urban areas, and the need for employees to go home to evacuate their families with them, creating, in effect, a smaller scale evacuation within the context of a larger evacuation. There is a need for the business community to participate in the planning process to ensure that all community stakeholders are involved. Planning for teleworking or liberal leave policies for foreseen events can address some of these concerns, as can ensuring that any location with a large number of people in it at a given time is responsible through statutory means for preparing an evacuation/shelter-in-place plan for everyone in the location. Functional Needs Support The National Response Framework uses the terminology “functional needs” to refer to support for persons who may have additional needs during emergency operations. FEMA provides guidance for functional needs planning for emergencies through its Office of Disability Integration and representatives of that office in each FEMA region, as well as in many of its publications, with examples shown below; • Guidance on Planning for Integration of Functional Needs Support Services in General Population Shelters • Comprehensive Preparedness Guide 101 Version 2 • Preparedness Resources for Individuals • Preparedness Resources for Communities • Tools for Communicating With All Audiences, Including People with Disabilities All FEMA publications are available in portable document format (PDF) on the FEMA website. TCRP Report 150, Communication with Vulnerable Populations - A Transportation and Emergency Management Toolkit, also provides practical guidance for building an outreach network. The evacuation planning process will begin with identification of persons needing additional assistance in the planning area. Starting with community and advocacy groups in the area can assist in defining the scope and numbers of people needing additional assistance. Moreover, some of these groups have some resources for transportation, and may be able to support and assist in evacuation. Bringing them to the table for planning is strategically effective. The types of functional needs include people who have or are: • Mobility impairments • Medically fragile • Need for supervision, including children as well as individuals with developmental and cognitive impairments • Communication and language barriers • Carless/poverty Some states and communities, including communities in New Jersey, Florida, Louisiana and Texas, have established registries for those who need additional support during emergencies. It bears noting, however, that

19 any such registry is voluntary, and not all those with needs will want to or know how to register. While they may provide an additional resource, planning organizations should not rely on a registry to represent the totality of individuals who may have additional functional needs. Ensuring that all groups are represented throughout the evacuation planning process will be crucial to planning for all who will need to relocate. This “whole-community” planning process will ensure that the most vulnerable citizens are provided for throughout the process. The Guide includes multiple templates to establish databases for various institutional facilities such as hospitals, schools, and correctional facilities (Step 2, Tool 2.3) as well as for groups and agencies that work with people with access and functional needs that are not in institutions (Step 2, Tool 2.4). These templates are intended for use in planning for potential source jurisdictions as well as receiving jurisdictions. The Guide also includes lists of potential community partners (Step 1, Tool 1.4). References and tips to guides for building collaborative partnerships (such as the TCRP Report 150, Communication with Vulnerable Populations - A Transportation and Emergency Management Toolkit) are also provided. Livestock and Other Animals Although not technically a demographic issue, the topic of animals is included here since any discussion of evacuation of people necessarily affect any domesticated or controlled animal in human care. First and foremost, many pet owners will not evacuate without their pets. Planning for mass transportation of evacuees both prior to and after an event should accommodate pet transport wherever feasible. In addition, animals provide a livelihood in many areas of the country. Mass livestock evacuations may not always be feasible, but have been attempted in a number of events, including hurricanes and wildfires. The primary planning dictate should be establishing areas where livestock can be sheltered rather than transport of the livestock. Auction houses, fairgrounds, and other large areas can be adapted to help shelter livestock in evacuations. Large herds of cattle and horses are most often moved over ground or in large specialized vehicles. In states where large herds of animals are common, such as Texas and Colorado, planners should coordinate in advance with ranching associations, which play a crucial role in networking throughout the region to find assistance, transportation and sheltering for livestock. Departments of Agriculture typically provide guidelines and assistance in emergency preparedness regarding livestock. Animal shelters and hospitals should be asked to provide evacuation planning for their facilities, and to share any such plans with local authorities to ensure the safety of both pets and people. The same should be required of zoos and research facilities, especially since animals in both types of facilities can be dangerous to humans if they are not controlled appropriately. The USDA provides guidance on preparedness for animal research facilities and zoos. Step 2, Tool 2.5 LA addresses Livestock and Other Animals, including an on-line tool for estimating the numbers of pets and companion animals in a given jurisdiction or region. Another source for this data can come from rabies vaccination records. Spatial Components and Parameters A crucial element of risk planning is the time element, such as the amount of advanced planning available. To maintain consistency with the CPG 101 framework, the temporal aspects of a hazard are discussed in this report in Step 4, Task 4.1, Establish the Timeline. Like the temporal characteristics, spatial aspects of hazards, such as their direction and speed of movement, geographic extent of threatening conditions, and geographic extent and intensity and type of damage to physical infrastructure, directly impact the areas that need to be evacuated, the urgency with which the evacuation must be carried out, the duration of the evacuation (hours/ days/ weeks/

20 months) and the complexities of recovery and reentry. While not always directly related, the size of a hazard often influences the required travel distance to safe shelter. Evacuations can range from the size of a building or city block to regions encompassing thousands of square miles. From a transportation perspective spatial components such as the distribution and density of the threatened population, the arrangement of all modes of the transportation network, including intermodal connections, and the location of potential bottlenecks need to be taken into account. Population Density While it is much more time-consuming to evacuate a densely populated area due to the number of people affected, the time factor is mitigated by the fact that most densely populated areas have readily available mass transit systems. In addition, pedestrian evacuation may be feasible, and potentially the only viable means for evacuating a dense region in a limited time. These options will both be extremely important when the densely populated area has infrastructure limitations, such as limited bridges and tunnels in and out of the urbanized area. Areas of lower density have fewer people to evacuate, but fewer options for mass transit, and larger areas to cover per each individual needing to evacuate. The planning process should take all of these density factors into consideration. Step 2, Part 3: Bringing Meaning and Organization to the Risks and Hazards to the Region’s Population Groups Once the data is assembled on the hazards and risks, and the people potentially affected by the hazards and risks, planners can organize the data into a matrix that will be usable to the planning team. The threats and hazards can be organized by frequency of occurrence or magnitude of the event. They may be grouped by intensity or severity of the event. Planners could decide to organize by the size of an area the event may impact or the duration the event may last. Or planners may decide to organize the data by the number of fatalities the event is likely to cause. Planners must decide how best to organize the data for their own jurisdiction and how each would impact the community they are developing the EOP for. Risk assessment is the basis for the EOP development. Planning teams must decide what threat or hazard should be planned for and what resources may be needed if the event were to occur. During the analysis inventories are created and evaluated. Loss estimates are also provided on assets deemed critical during the response and recovery phases of an incident. FEMA’s Hazards U.S. Multi-Hazard model (HAZUS-MH) is a nationally used and standardized methodology and software program that estimates potential losses from earthquakes, floods, and hurricane winds. Communities that already have a FEMA approved multi-hazard mitigation may use them as reference documents in the hazard analysis. During the risk assessment emergency planners need to begin to evaluate the quantity and types of resources that may be needed during an event (these are more fully developed in Step 4). For example unaccompanied minors will need special resources from social services or faith–based organizations to ensure their safety. A community with large numbers of disabled individuals will need special assistance in evacuations. They may also need special facilities for sheltering during some events. These issues need to be addressed by the planning team in the EOP development process. CPG 101 and the Guide recommend at least one comprehensive workshop to work through many of these issues.

21 Step 3 – Determine Goals and Objectives The outcome of the analysis process will assist planners in determining goals and objectives. For each threat or hazard, the planning team will now work through how the incident will develop, through the warnings issued, to the impact on the jurisdiction, to the consequences of the event. The planning team should focus on the incidents that will have the worst-case impact on the jurisdiction, to those that are most likely to occur, or to incidents that involve a variety of risks associated with it. The planning team will be looking for the requirements the threat or hazard will generate and the response to it, plus the restraints/constraints that may be involved with it. Requirements may be caused by the event. This could be warning the population or activating additional law enforcement. Response requirements are caused by taking actions for the event, such as the positioning law enforcement at critical intersections during an evacuation to keep traffic moving. Restraints are things that must not be done. There may be laws prohibiting something, or resource limitations. For example, a jurisdiction may only be able to shelter so many people due to limited space. Constraints are things that must be done. For example, you must evacuate low lying home in the direct path of an approaching hurricane. Once the planning team identifies the requirements, they will restate them as priorities and they will reaffirm them with the senior official on the team. Goals Goals are broad, general statements that indicate the intended solutions to the problems identified as threats or hazards that the planning team established in Step 2. They are what personnel and resources are supposed to achieve. They will be used to gauge when the response is achieved and the operation is deemed successful. For example a jurisdictions goal in fire events may be to minimize the loss of life by evacuating the maximum amount of people possible from the immediate hazard area as quickly as possible. The desired result would be to move the maximum amount of people out of the fire area to safety. Objectives Objectives are more specific and identifiable. They lead to achieving response goals and determine the actions that participants in the event must accomplish. Objectives then refer to activities that must take place, procedures to do so, or procedures by specific organizations. Using the fire evacuation from the above goal, some objectives may be: • Prevent people from entering the evacuation area and becoming an additional burden to the road system. • Properly plan evacuation routes to provide for the best balance of flow, and eliminate or minimize gridlock. • Maximize use of roadways early in event, to reduce traffic load later in event (when smoke and panic will hamper evacuation efforts). • Provide proper guidance to motorists, through the use of uniformed officers, public works and/or mutual aid employees along with appropriate signage. • Insure timely response by pre-staging necessary resources, such as changeable message boards, signs, uniformed officers, tow trucks and public works/mutual aid personnel. As each objective is accomplished resources supporting that objective can then be shifted to other goals or objectives.

22 Evacuee Types: Self Evacuees and Assisted Evacuees Generally speaking, there are two broad types of evacuees: self-evacuees and assisted evacuees. The demographics developed in Step 2 will help to develop more specific goals and objectives for self-evacuees and assisted evacuees, as well as begin to think through the nuances of transportation coordination for the range of assisted evacuees. Self-evacuees generally encompass all evacuees with the ability to evacuate themselves using personal transportation or by sharing a vehicle with a friend, relative, or other acquaintance. Non-self-evacuators, as shown graphically in Table 1, generally belong to one of two broad categories. The first are non-self-evacuators who can walk or otherwise move themselves to some form of assisted evacuation vehicle; bus, aircraft, ferry, etc. The second are functionally and or medically disabled non-self-evacuators who may require special care provisions either before, during, and/or after the evacuation travel process. Often, these groups include hospital patients, frail elderly, and other mentally and physically disabled populations. Table 1. Basic Framework for Defining Transportation Needs for Evacuation Evacuee Group Access to Personal Transportation Utilization of Public Transit Buses and other Public Modes Utilization of Private or other forms of provided transportation Self-evacuators Yes No No Assisted evacuees: Primary need- public transportation No Yes No Assisted evacuees requiring specialized assistance as well as transportation No No Yes Source: Adapted from Table 3, Evacuee Mode Choice, NCHRP Synthesis 392, Transportation’s Role in Emergency Evacuation and Reentry, p. 33 Tool 3.2 in the Guide, Transportation Coordination Spectrum of Considerations for Access and Functional Needs Populations, provides a more nuanced version of this table, summarizing the levels of independence, the types of access and functional needs and the corresponding sheltering and transportation mode options, as well as when case management through the Public Health and Medical Support Function is likely to come into play. Self-evacuees will make their own decisions about when to evacuate and will do so utilizing their own transportation. These people, both permanent residents and visitors, are able to evacuate on their own and make their decision to do so on the level of risk they perceive from the event. While this group may be able to self- evacuate, they could also be transporting individuals with access and functional needs. These could include: elderly, sight/hearing impaired, have limited ability to speak English, or may require the use of a wheelchair. For these evacuees the planning process should be focused on coordinating and assisting the evacuees to get them to places of safety. Evacuation routes should be clearly marked to assist these evacuees. Additional resources that could assist these self-evacuees (such as signage, fuel stops, and rest areas) should be in place or easily assembled before the population begins making their movement away from danger. Self-evacuation should be encouraged and therefore the plans developed should reflect this.

23 Planning for evacuation by personal vehicle is important, including traffic flow, timing and highway capacity considerations, as the majority of evacuees are typically self-evacuees. Tool 3.4 in the Guide includes various strategies that can be employed to facilitate the movements of self-evacuees, including contraflow lanes, selective closure of access roads and ramps to increase capacity, coordinated signal timing, incident teams and tow trucks strategically staged to quickly clear incidents, clear public information to reduce the volume of shadow evacuations, and other approaches. The Real Time Evacuation Planning Model (RTEPM) (Tool 4.1.1 in the Guide) and many other locally-developed models help planners to estimate clearance times for self-evacuees under varying situations and traffic conditions. The examples of resources in Tool 4.2.1 in the Guide include many types of equipment, intelligence, personnel and other resources that can be deployed to help traffic move more smoothly. Likewise, the FEMA public works resource typing templates identified in Tool 4.2.2 and the resource templates for Transportation Resources identified in Tool 4.2.3 are largely, but not exclusively, directed to helping self-evacuees reach their intended destinations. These include major evacuation routes, selected food/ vendors along major evacuation routes, variable message signs, and various public works vehicles and equipment. It should be noted that in many cases assisted evacuees may be relying on the same roadway resources for evacuation, so making effective use of highway infrastructure and other available modes, and limiting congestion as much as possible is important for everyone’s safety. Assisted Evacuees Areas that have high numbers of carless households, including large urban areas (e.g., the 2011 evacuation of lower Manhattan in preparation for Hurricane Irene) and socio-economically disadvantaged areas will require more planning to accommodate those without personal transportation. There are also people with additional access and functional needs in an emergency that must be considered in evacuations. All of these special areas of transportation require additional and more complex planning. Those with medical needs also have requirements for specialized care during transport as well as specialized vehicles. As noted above, Tool 3.2 in the Guide can assist in categorizing and therefore coordinating the transition between public mass transportation and medical needs transportation. In addition, the proposed database inventories for evacuees and assisted evacuees (in Step 2 of the Guide) include placeholders for identifying the range of transportation needs of residents and clients. Tool 3.3 provided as part of the Guide lists potential available transportation options for those without cars, or in the case of evacuation after an event where the use of vehicles is limited or impossible, options for the use of other transportation modes, including bus, train, paratransit (special-needs) vehicles, ambulettes, air and water transportation. Medical Transportation and Case Management Medical triage and mass care must be established at collection points for medically fragile evacuees. Tracking and keeping people together with their medical records, their durable medical equipment, medicines, service animals, and caregivers is extremely important. Some nursing homes have begun issuing vests to their patients with essential items; some store critical medical records on flash drives that are secured with the patient’s belongings. Some issue bar code “bracelets” for tracking purposes, while others (more low-tech) write essential information on a bracelet. This is primarily the responsibility of ESF 8, Public Health and Medical Services, as discussed in the Guide in Tool 1.3. It is also addressed in the Guide in the Plan Outline and Checklists in Step 5, Tools 5.1 and 5.2.

24 Sheltering-in-Place as a Protective Action for Some Populations Sheltering-in-place rather than evacuating may be a preferred option for some populations, such as the medically fragile, or for persons in detention, but only if the facility is suitably hardened against hurricane or other threats such as flooding. There is some risk in evacuation, and it is important to understand that some loss of life may occur due to the stress and trauma of evacuation, especially for the medically fragile. If a building is not safe, it may be advisable to transfer to another facility that is close by and safer, rather than attempt a much longer and more stressful journey. Of course, sheltering-in-place is the only option for some individuals in certain types of events (such as some types of chemical spills), and sheltering-in-place (or “staying put”) is the recommended alternative for those not in harm’s way, in order to avoid shadow evacuations and unnecessary roadway congestion. Potential Roles for Jurisdictions in a Region or Megaregion in an Evacuation Evacuating Jurisdiction For most individuals, the decision to evacuate is based on the perceived risk. For emergency management officials the decision to recommend an evacuation order be issued is based on established plans and past occurrences. CPG 101 provides guidance for developing emergency operations plans. It promotes a common understanding of the fundamentals of risk-informed planning and decision making to help planners examine a hazard or threat and produce integrated, coordinated, and synchronized plans.7 In most situations the emergency manager(s) in the evacuating region or jurisdiction(s) will determine the area at risk and the population contained in that area, in consultation with elected officials and emergency operations partners such as law enforcement and transportation. These partners can provide informed opinions as to likely impacts (such as traffic congestion) and potential mitigation strategies (such as phased evacuation and operational and information interventions. Coordinated planning will greatly increase the success in evacuating the at-risk area. The Steps, Tools, and Resources in the Transportation Guide are designed to help transportation, emergency management and other partners identified and established through the planning process identify, locate and communicate with the diverse populations in any given community. Highlights follow: Step 1: Form a Collaborative Planning Team -all the text and tools Step 2: Understand the Situation Task 2.2 Gather contacts and data on people and animals that may need evacuation Task 2.3 Plan and convene a regional workshop, building on the information and contacts developed in Tasks 1 and 2 Step 2 Tools Tool 2.2 EE – Estimated Number of Evacuees Tool 2.3 IF – Institutional Facilities Tool 2.4 AE – Assisted Evacuees (Non-Institutional) Tool 2.5 LA- Livestock and Other Animals Tool 2.6 Evacuation Needs Discussion Guide Resource: Evacuation Workshop Planning 101 “Workshop in a Box” Step 3: Determine Goals and Objectives

25 Tool 3.1 Evacuation Operational Priorities and Goals and Objectives Discussion Guide Tool 3.2 Transportation Coordination Spectrum of Considerations for Access and Functional Needs Populations Tool 3.4 Transportation Operations Coordination Checklists Step 4: Plan Development Figure 4.1. FEMA Capability Activity Process Flow for Citizen Evacuation and Shelter in Place Figure 4.2. Evacuation Flowchart Related to Resource Databases Figure 4.3. Detailed Evacuation Flowchart with Processes Tip, Step 4: Oak Ridge Evacuation Modeling System (OREMS) Tool 4.1.1 Real Time Evacuation Planning Model Tool 4.1.2 Public Assisted Evacuation Plan Timeline Step 5: Plan Preparation, Review and Approval Tool 5.2 Multi-jurisdiction Multimodal Evacuation Planning Checklists FEMA has developed extensive resources to support planning, response, recovery and mitigation, including evacuation planning. The Target Capabilities List (TCL) provides detailed checklists and guidance for many different emergency response requirements, including citizen evacuation and shelter-in-place capability. The flowchart for the TCL for citizen evacuation and shelter-in-place is included in the Guide as Figure 4.1 under Step 4, Plan Development. The entire TCL section on evacuation and shelter-in-place is included in the Guide as Appendix A. The capabilities relate to the four homeland security mission areas: Prevent, Protect, Respond, and Recover. The TCL defines and provides the basis for assessing preparedness. It also establishes national guidance for preparing the nation for major all-hazards events, such as those defined by the National Planning Scenarios.8 FEMA is currently evolving the TCL into Core Capabilities. The crosswalk between the TCL and Core Capabilities can be found on the FEMA website at http://www.fema.gov/pdf/prepared/crosswalk.pdf. Evacuation planning is fairly straightforward and systematic, but requires planning and coordination among many agencies and community partners. The TCL diagram summarizes the operational response phase to an evacuation; however, the development of the contacts and resources must occur well in advance of the emergency. Receiving Jurisdiction Depending on the type of evacuation, a jurisdiction may not be able to accommodate evacuees and people may have to go outside the area to avoid exposure to the danger. The destination could be as close as to a neighboring community or state, or several states away. The evacuees could show up on their own using their own transportation (self-evacuees) or could be brought to the host destinations (transportation assisted evacuees). The receiving jurisdictions may have to prepare to receive persons with access and functional needs, medical needs, people who may not be proficient in English, and other challenges. Depending on the magnitude of the evacuation event, receiving jurisdictions could be faced with varying timeframes that the evacuees may need shelter. Long-term events are characterized by evacuees requiring sheltering for more than six months. Intermediate events require up to six months and short term events may be a few days to a few weeks.

26 Receiving jurisdictions would be well served to follow the FEMA Evacuee Support Planning Guide. The publication includes strategies, planning tools, templates, best practices, and other assistance receiving jurisdictions can utilize to assist in preparing to host evacuees.9 The Transportation Guide for All-Hazards Evacuation includes tools designed to assist transportation, emergency management, medical assistance, law enforcement, mass care and agriculture and livestock in coordinating in advance with a receiving jurisdiction. In particular, the templates for Institutional Facilities (Tool 2.3), Non-Institutional Assisted Evacuees (Tool 2.4), and Livestock and Other Animals (Tool 2.5) should be completed and coordinated between potential source and potential receiving jurisdictions to identify best matches. Tool 4.2.5, Public Shelters Transportation Reference is specifically focused on potential receiving jurisdictions. Shelters are addressed among the Resources identified in Step 4. Pass-Through Jurisdiction As evacuees make their way to their choice of destinations, pass-through jurisdictions can serve as oases for evacuees as they make their way. Evacuees may stop seeking food or fuel but may also obtain information regarding their choice of destinations. The pass through jurisdictions may set up variable message boards advising evacuees about shelters, road delays, and other information for motorists as they make their way along the routes. Traffic management should also be in place as evacuees may not be familiar with the pass through location and may require additional assistance. The pass through jurisdiction is tasked with coordination to help move the evacuees along. In Louisiana, recognition of the critical nature of intermediate pass-through locations between evacuation origin and destination points during major regional evacuations has resulted in the use of strategic measures to reduce the levels of local traffic through these areas. For example, during evacuations of the New Orleans region of southeast Louisiana, the State of Louisiana implements wide closures of major public-sector traffic generators in Baton Rouge, the state capital. The includes many state offices, Louisiana State University, as well as other public-sector employers that do not have any critical or direct need during the emergency. Along with being a major pass-through jurisdiction, Baton Rouge is also often the single largest host area for evacuees during evacuations of New Orleans. Supporting Jurisdiction The supporting jurisdictions do not necessarily interact directly with evacuees. Their role and function is to support the evacuating, receiving, and pass through jurisdictions. This may be in the form of resource supplying in staffing, equipment or both. For example, if a local city is in the path of a flood and must evacuate, a neighboring city, not directly in the path of the flood, may send resources (cots, food, etc.) to the shelters in the receiving cities to assist the evacuees when they arrive. While a jurisdiction may serve a single specific role in an evacuation, it may also serve multiple roles; for example a pass through jurisdiction may also supply staff to shelters in a receiving location. Step 4 – Plan Development This step takes the goals and objectives from Step 3 and develops, compares, and selects possible solutions that will be used to achieve them. The three major tasks in Step 4 are 1) Develop and analyze courses of action and decision points (including the time line); 2) identify resources; and 3) identify information and intelligence needs. Exhibit 4.1 (revised somewhat from Figure 4.2 in the Guide) shows how the databases of the population

27 groups from Step 2 in the Guide match up with the Resource templates from Step 4 of the Guide across the timeframe steps for evacuation. Planning Strategies FEMA describes three approaches to emergency planning, which can be used singly or in combination. These approaches are well-suited to the evacuation planning process, and are highly recommended for use in development of evacuation plans. It is unrealistic to think that any one approach will result in an optimal evacuation plan. It is strongly recommended that all three methods be used during the planning process, and for some tasks, combining methods will be most useful, especial in combining function and capabilities. Scenario-based planning: This approach starts with building a scenario for a hazard or threat. Planners then analyze the impact of the scenario to determine appropriate courses of action. The most effective use for scenario-based planning is to develop planning assumptions for hazard- or threat-specific annexes to a basic plan. At least two possible solutions should be developed for each. The development of only one may result in inadequate response and lead to high costs to life and property. Function-based planning (functional planning): This approach identifies the common functions that jurisdictions 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 considers the array and interaction of training, organization, plans, people, leadership and management, equipment, and facilities to perform a required emergency evacuation. Planning Considerations Planners should take each incident and then begin to develop how it will unfold. First, planners should develop the timeline placing decision points where necessary. The decision points will serve as indicators when responses occur and where varying responders enter the event. Next the planners will place the scenario on the timeline. Any subsequent scenarios should be placed along the line also. As the incident unfolds, additional decision points should be added to the timeline. Next planners will need to identify and place operational tasks on the timeline. Planners can use the following list to help identify operational tasks.

28 Figure 4.1 Evacuation Flowchart and Corresponding Information Databases

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 29 • 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? Once the above has been completed, planners can decide the course of action. This is accomplished by comparing costs and benefits against the goals and objectives. While it is not necessary to identify every course of action, the best possible should be identified and presented to senior officials for approval. The NCHRP Report 525 Volume 15 Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) Tool may be useful for this analysis. When developing the course of action, planners need to periodically stop and “test” to see if the action is making progress towards the end of the event. They will want to see if new goals and objectives have been created. They need to watch for tasks that may not have been completed. The failure of one task could cause the operation to fail. They will want to check for gaps and omissions. The team needs to check for inconsistencies in organizational relationships such as if they are supporting another jurisdiction, would their event conflict. Task 4.1 Develop and Analyze Courses of Action Threat – Evacuation in the Context of Space and Time One way of viewing the threat-evacuation relationship is within the context of space and time. The duration and size of various temporal and spatial parameters associated with the hazard, in particular speed of onset, the duration of the event itself and the anticipated recovery time for time and the geographic location and spread of the event for space, influences most, if not all, of the key considerations for the evacuation plan including: • the size of the evacuation zone, • the definition of areas or zones where sheltering-in-place should be encouraged, • the number of evacuees that will be required to move, • the demographic and behavioral characteristics of the evacuees, • the distance they must travel to safe destinations, • the urgency with which they must flee,

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 30 • the resources available to aid in evacuation (including multiple transportation modes, law enforcement, destination shelters and support services along the way) • the amount of time that it takes to clear the protective action zone, and • the logistics and complexities of reentry While some of the key considerations for evacuation planning are based on the characteristics of the hazard, including its level of danger, speed of movement, and the extent of it deleterious effects, many are also based on the robustness of the transportation network and resources and perhaps most critically, the response behavior of the evacuees themselves. Framing the components of the evacuation process in both time and geography or space (temporospatially) is helpful from two perspectives. First, it is helpful to segment the often enormously complicated evacuation process into many smaller easier to model, track, and adjust components. Second, from a modeling and decision-making point-of-view, it permits each of the key components of the process to be represented quantitatively, as equations or as a distribution of continuous data. Temporal Components and Parameters Consistent with the CPG 101 framework for planning, as noted above, the timeline elements of the evacuation plan in the Guide are primarily addressed in Step 4, Plan Development, Task 4.1 Develop and Analyze Courses of Action, Task 4.1.1, Establish the Timeline. Of the temporal evacuation variables, among the most critical is the amount of advanced notice available prior to the onset of hazardous conditions. Advanced warning time dictates the amount of notice that evacuees receive which, in turn, impacts the amount of pre-evacuation mobilization activities they can undertake. It also dictates the amount of notice that response agencies have to implement control and management measures like contraflow, road closures, and emergency signal timing plans as well as the time to activate assisted evacuation plans like evacuation bus services, assisted evacuation services such as paratransit for people with access and functional needs, and medical and secure evacuations for institutional populations such as hospitals, nursing homes and correctional facilities. It also greatly impacts the amount of pre- evacuation mobilization time during which populations under threat can determine the activities they can undertake. These often include activities like picking up children from school, closing homes and businesses, gathering materials and supplies, and so on. Finally, advanced warning time affects the ability to issue evacuation orders because they must be communicated through various official and unofficial networks including media and direct social links (friends, family, co-workers, neighborhoods, etc.). Effective communications through multiple modes and media are especially critical for persons whose access and functional needs relate to communications, such as deaf or hard of hearing, blind, or those with little or no ability to speak, read or understand English, as well as for non-resident transient populations who may be within the evacuation zone for work, shopping, visiting friends or family, or as tourists.

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 31 Amount of Advanced Notice There are two distinct evacuation plans: notice and no-notice. While both can be significantly catastrophic, and while both can be planned for in advance, to some degree, notice events allow jurisdictions some lead time, permitting emergency management agencies and their transportation, law enforcement and fire and safety service partners to determine alternate shelter-in-place and evacuation strategies based upon the expected impacts of the disaster. Examples of notice disasters include hurricanes, floods and sometimes, wild fires. (See Tool 2.1, Preliminary Risk Assessment and Table 3.2, National Planning Scenarios in the Guide for more examples of notice and no-notice events.) A no-notice, potentially catastrophic, incident requiring community-wide evacuations has unique dimensions or characteristics that require response strategies to be flexible enough to effectively address emerging needs and requirements. These include regional impacts on the health and welfare of bordering community populations, transit systems, law enforcement coordination, and other areas. No notice incidents may include multiple events that occur simultaneously or sequentially in contiguous and/or noncontiguous communities. Such an incident will diminish the availability of mutual aid resources. Some incidents, such as a biological attack, may be dispersed over a large geographic area resulting in the lack of a defined incident site. If the incident is the result of terrorism, the Homeland Security Advisory System (HSAS) level likely may be raised regionally, and perhaps nationally. Elevation of the HSAS level carries additional local, State, and Federal security enhancements that may affect the availability of certain response resources such as law enforcement, access to roadways or facilities, and communications. A CBRNE (chemical, biological, radiological, or nuclear) incident will require prompt and effective emergency response and short-term recovery measures. Transportation infrastructure may be impacted and local transportation services may be disrupted. Additionally an interruption of commercial communications service would serve to further impair emergency response agencies ability to communicate. Homes, public buildings and other critical facilities and equipment may be severely damaged or destroyed. Debris may make streets and highways impassable, seriously impeding the movement of emergency supplies and resources. Public utilities may be damaged and either partially or fully inoperable. Many county and municipal emergency personnel may be victims of the emergency, preventing them from performing their assigned emergency duties. Thousands of residents may be forced from their homes and large numbers of tourists may have to be evacuated which will complicate the response. A large number of injured and dead people could be expected, and many people could be in life-threatening situations requiring immediate rescue and medical care. Hospitals, nursing homes, pharmacies and other health/medical facilities could be severely damaged or destroyed, and those that do remain in operation may be overwhelmed by the number of victims requiring medical attention.

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 32 The Catastrophic Incident Annex to the National Response Framework (NRF-CIA) establishes the context and overarching strategy for implementing and coordinating an accelerated, proactive national response to a catastrophic incident. The NRF-CIA is primarily designed to address no- notice or short-notice incidents of catastrophic magnitude, where the need for federal assistance is obvious and immediate, where anticipatory planning and resource pre-positioning were precluded, and where the exact nature of needed resources and assets is not known.x A catastrophic incident will have unique dimensions/characteristics that will require response plans/strategies to be flexible. The event may come with little or no warning and could be underway before authorities even know it is occurring. The event may impact multiple jurisdictions simultaneously. The catastrophic incident very likely will severely challenge the ability and capacity of local and state governments and individual communities to achieve a timely recovery. Additionally the event will likely cause large-scale evacuation orders be issued and carried out. The involvement of both state and Federal Departments of Transportation (as well as Law Enforcement, Fire and Rescue and other partners) will be required to ensure all impacted persons are removed from harm’s way. The Secretary of Homeland Security will immediately implement the NRF-CIA in the event of a catastrophic incident. The DOT will be charged with transportation direction and control. Whether an event has notice or no notice, the advance planning and coordination of transportation and related resources described in the associated Guide will help communities and regions prepare for the worst and prepare “for real,” as FEMA Administrator Fugate emphasizes; this will also help prepare for smaller scale regional events and evacuations. Task 4.2 Identify and Assess Resources While the planners are deciding the best course of action they need to almost concurrently be identifying the resources that will be needed to complete the tasks. The primary focus is on completing the task, it does not matter at this point if the resources themselves may or may not be available. Once the team has identified all the requirements, they may then begin to match up resources. This will help to identify resource shortfalls. The planning team can then begin the process of developing lists of private suppliers or other jurisdictions that will be called upon to supplement the gaps. Planners should match resources with other geographical/regional needs so that multiple demands for the same or similar resources can be identified and conflicts resolved. A capability estimate would be recommended at this point. A capability estimate is an assessment of a jurisdiction’s ability to take a course of action. Capability estimates help decide if pursuing a particular course of action is realistic and supportable. It represents the capabilities and resource types needed to complete a course of action. The capability estimates may be written documents, tables or matrices, or oral presentations. The information should be able to answer most questions about whether a jurisdiction has the ability to support a course of action. Planners can use capability estimates for both present and future operational planning.

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 33 Among the obvious resources needed for evacuation are origin or collection points, destination points such as shelters, and means of transportation between the two. FEMA has done very well in typing some resources, such as shelters, public works heavy equipment, and medical transport equipment, but for other resources, such as collection points and modes of transportation, the resource typing is less robust. Collection Points It is a common practice to set up collection points for those who are transported by common carrier or who are medically fragile, whether from pre-existing conditions or from event-related causes. A collection point is an interim destination point designated for the assembly of personnel, evacuees, resources, etc., for further movement to destination points. Planning for carless evacuations will also require setting up staging and reception areas for evacuees. This is also discussed in Step 5 in terms of setting up Mutual Aid Agreements between jurisdictions and in working with the private sector. Identification of adequate facilities and infrastructure for staging and reception areas is critical to ensuring the efficient flow of people out of dangerous areas and into safer shelter. Tool 4.2.4.1, Intermodal Facilities or Other Designated Reception/Collection Locations, identifies desirable characteristics for such locations. Door–to-door collection is the least desirable and least efficient method of collection for evacuees, but in some cases it is required. Prior to events, the medically fragile, those with mobility challenges and other vulnerable populations may require door-to-door collection. As discussed in the Communications section and throughout the Guide, a robust communications network of agencies and community organizations who work with clients and neighbors on a regular basis may also identify resources such as agency vans and other vehicles that can provide support in an emergency. Community organizations that have acquired vehicles through federal funding support are required to be part of a local coordinated network. The national “umbrella” for these networks is “United We Ride.” Although most of these networks may not see emergency planning coordination as part of their core mission, outreach to the group well in advance of an emergency may help to convince them of why it is in their interest. In cases of mandatory evacuations, partnering with local law enforcement, public safety or the National Guard may be desirable since door-to-door operations are often part of the mandatory evacuation process. For non-medical evacuees, collection points serve the purpose of providing services for evacuees and streamlining evacuation services. Note that evacuees who can function independently with their durable medical equipment (such as a scooter, service animal, or personal assistant) are not medical evacuees, and should be transported along with their assistive device, companion or service animal. For larger scale evacuations, having local buses or other vehicles transport people to intercity bus collection points, train stations, ports or airports for evacuation facilitates

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 34 the movement of larger numbers of people in a shorter time. For smaller evacuations, where local shelters are established and are easily accessible by vehicle, having the common carriers pick up at designated points along designated routes or at smaller collection points in neighborhoods where carless populations reside and then deliver the evacuees directly to shelters is a very effective method. The establishment of collection points, as well as shelters, requires a great deal of coordination with Departments of Transportation, Emergency Management, Emergency Services, Public health agencies and NGO partners that support emergency operations. Planning for the safe, secure, efficient and effective movement of evacuees is the most complex element of the evacuation planning process. Shelters as Destinations Public shelters are a refuge for those seeking temporary safety from a disaster or emergency. Shelter planning is a distinct subset of evacuation planning, strongly involving NGO partners, such as the American Red Cross, as well as governmental agencies, including FEMA. FEMA Guidance on Planning for Integration of Functional Needs Support Services in General Population Shelters provides an excellent resource for evaluating and preparing shelters. Shelters are designed to provide temporary safe accommodations with minimal necessities. Basic necessities include shelter from the elements and danger, relief facilities, and food and water for a short period of time. Shelters can be designed for additional accommodations. Some will have areas for pets. Coordination with animal services and departments of agriculture will be critical to ensuring that pet-friendly shelters are properly administered. Some shelters may provide generators for additional power, heat or air conditioning/ventilation and medical care. Again, planning is critical to ensure that the proper types of shelters with appropriate levels of resources and care are ready to receive evacuees as needed. This is especially crucial when an entire jurisdiction is evacuated, and evacuees are using resources in areas outside where they live and pay taxes. Mutual Aid Agreements are a vital part of planning for such large-scale evacuations. Tool 4.2.5 provides a template to address the transportation aspects of shelters. Only a few of these aspects are typically included in a comprehensive shelter database. Shelters are the responsibility of ESF 6, Mass Care, Emergency Assistance, Housing and Human Services. Shelter databases typically focus intensively on the shelter itself, and resources such as space, cooking facilities, showers, restrooms and other amenities. Less attention is paid to access (and feasible alternate access) to the facility, parking capacity and similar features.

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 35 PLANNING FOR RESOURCES FEMA identifies two phases of resource management: 1. Preparedness 2. Incident Incident resource management occurs during response to the event. However, in order to most effectively deploy resources, they must be identified and analyzed during the planning phase to ensure optimal response. FEMA’s guidance indicates that activity in the planning phase consists of these standardized resource management tasks: 1. Typing 2. Inventorying 3. Organizing 4. Tracking Resources are defined as personnel, teams, facilities, equipment, and supplies that may be used to meet incident response needs. Resource Typing According to FEMA: Resource typing is categorizing, by capability, the resources requested, deployed, and used in incidents. Measurable standards identifying resource capabilities and performance levels serve as the basis for categories. Resource users at all levels use these standards to identify and inventory resources. Resource kinds may be divided into subcategories to define more precisely the capabilities needed to meet specific requirements. Tier 1 Resource Typing Definitions: • Animal Health Emergency • Emergency Medical Services (EMS) • Fire and Hazardous Materials • Incident Management (IM) • Law Enforcement • Mass Care • Medical and Public Health

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 36 • Pathfinder Task Forces • Public Works (PW) • Search and Rescue (SAR) (www.fema.gov, 9-7-11) These items are further defined on FEMA’s website through a series of pdf guides that may be downloaded for use in the planning process. NIMS requires resource typing. Appendix B of FEMA’s NIMS documentation contains definitions, but is not detailed enough for practical use. A much more useful guide called NG 0001, published by the NIMS Integration Center (NIC) gives much more detailed information on resource typing. It is also available for download through the FEMA website. The National Integration Center (NIC) has developed and published over 120 resource typing definitions. As noted in the Guide and in Tool 4.2.2, FEMA resource typing for Public Works includes one entry for public buses, including capacity (for adult seating), fuel (gasoline, natural gas, diesel or electric), and equipment (four types), but does not include supporting detail on operators, supervisors, maintenance supplies, and other requirements. Greater detail is included on public works items such as message boards and different types of public works trucks. In the category of Medical Emergency Resource Typing (responsibility of ESF#8, Public Health and Medical Services), a variety of “people movement” equipment types are included, along with the personnel required to operate and support them. These include fixed wing and rotary wing aircraft (helicopters), ambulances, and “Multi-Patient Medical Transport Vehicle” that basically describes types of paratransit vehicles. There is no existing resource typing for other modes to move people such as rail vehicles (commuter rail, Amtrak, subways, light rail), water vehicles such as ferries, non-medical air transport such as commercial airlines, or the connectivity support required between modes, such as intermodal facilities (formal or ad hoc transfer stations, with attendant staffing requirements.) The templates developed for this project attempt to partially fill this gap. The templates include the following: Tool 4.2.3 TR- Transportation Related Resource Database Templates 4.2.3.1 Major Evacuation Routes 4.2.3.2 Selected Food/ Fuel Vendors Along Major Evacuation Routes 4.2.3.3 Variable Message Sign (VMS) and Dynamic Message Sign (DMS) Inventory (it is anticipated that this will be replaced by the FEMA typing in the Final Guide.) 4.2.3.4 Public Works Equipment and Resources Inventory (it is anticipated that those that are included in the FEMA resource typing will be identified as such in the Final Guide). Tool 4.2.4 TA – Transportation Assistance

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 37 4.2.4.1 Intermodal Facilities Database 4.2.4.2 Mass Transportation Modes Database 4.2.4.3 Vehicle Fleet Information 4.2.4.4 Manager/ Supervisor/ Dispatcher/ Operator Database In addition, the American Public Transportation Association (APTA) has established working groups that have been working on resource typing on a volunteer basis. Their draft list of resource types are provided below, in Table 2.

APTA EMERGENCY RESPONSE PREPAREDNESS PROGRAM (List only the resources you can spare and still maintain your own daily needs) RESOURCES INVENTORY FOR: (Organization Name) 38 VEHICLES DESCRIPTION # Buses (please describe) - size, e.g. 40’, 30’, etc. - accessible (low-floor, lifts, ramps) - diesel fuel (posi-lock / non posi- lock) - hybrid powered (posi-lock / non posi-lock) - CNG powered - other fuel / power source (describe) # Paratransit vehicles by fuel type & capacity # Supervisory vehicles (by fuel type) # Tow trucks (by fuel type & tow/lift capacity # Fuel trucks (by fuel type and capacity) # Policy/Security vehicles (by fuel type)

APTA EMERGENCY RESPONSE PREPAREDNESS PROGRAM (List only the resources you can spare and still maintain your own daily needs) RESOURCES INVENTORY FOR: (Organization Name) 39 VEHICLES (continued) DESCRIPTION # Mobile Command Centers (by fuel type) # General service maintenance response vehicles (by fuel type) # Rail locomotives; commuter rail cars

APTA EMERGENCY RESPONSE PREPAREDNESS PROGRAM (List only the resources you can spare and still maintain your own daily needs) RESOURCES INVENTORY FOR: (Organization Name) 40 SUPPORT EQUIPMENT DESCRIPTION # Generators (wheel-borne / non wheel- borne; output capacity) # Welding units (wheel-borne / non wheel-borne) # Front-end loaders # Rail-borne maintenance equipment (grinders, geometry cars, cranes, ballast cars, tie) # Other (describe)

APTA EMERGENCY RESPONSE PREPAREDNESS PROGRAM (List only the resources you can spare and still maintain your own daily needs) RESOURCES INVENTORY FOR: (Organization Name) 41 PERSONNEL DESCRIPTION # Operators # Mechanics (vehicle or facility) # Supervisors (operational / mechanical) # Managers (operational / mechanical) # Police (rank) # Security personnel # Rail (train operators / supervisors / track & signals maintenance / supervisors) # Other (describe)

APTA EMERGENCY RESPONSE PREPAREDNESS PROGRAM (List only the resources you can spare and still maintain your own daily needs) RESOURCES INVENTORY FOR: (Organization Name) 42 COMMUNICATIONS EQUIPMENT DESCRIPTION # Satellite / cellular phones # Hand-held radios # Mobile auxiliary operations centers # Other (describe)

APTA EMERGENCY RESPONSE PREPAREDNESS PROGRAM (List only the resources you can spare and still maintain your own daily needs) RESOURCES INVENTORY FOR: (Organization Name) 43 OTHER DESCRIPTION Spare parts (type) Tires (size/type) Supplies (type) COMMENTS / REMARKS

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 44 Resource Inventorying Once resources are typed, they should be inventoried based upon mission requirements, capability of resources, and response time, according to FEMA. FEMA provides a database for use by local and state entities called IRIS (Incident Resource Inventory System) as part of its National Incident Management (NIMS) support function. Guidance in the use of this system is also available at the FEMA website. It is not, however, a national resource ordering database, but a system that can be used by states to maintain inventories of resources for their own and for mutual aid use. Organizing and Tracking Resources Once the resources have been inventoried, they must be organized for ease of access by those needing the resources. The planning phase should include a well-considered system for organization and tracking of resources. Organization might occur by locations, by jurisdiction, by ease of access, by special category (such as vehicles requiring Commercial Driver License certification) or by function (debris removal, information services). The participants in the planning process must define what system will provide the best access and accuracy prior to and during an adverse event. Organizations with experience in resource tracking have developed various ways to monitor actual expenditures for reimbursement. For example, the Chicago Transit Authority will assign a specific tracking number under which all expenses related to a specific event are captured for purposes of providing the necessary documentation needed in case of any disaster declaration. The next section includes lists of the types of resources that are typically included in the planning process. Administrative Resources Emergency Operations Facilities This area might include emergency operations centers, such as Joint Operations Command Centers or Security Operations Centers (JOCCs or SOCs), so-called war rooms for emergency operations. During a security threat or event, SOCs might include Fusion Centers, created through the Department of Homeland Security to bring together law enforcement, intelligence and public safety for the specific purpose of addressing terrorism concerns. The emergency operations facility will be the key recipient of information from the field, which is relayed form the Incident Command Post per the NIMS requirement. Support for the Incident Commander, such as resource availability, can be more effectively managed through an emergency operations center. Traffic Management Centers Traffic Management Centers (TMCs) are used to coordinate the many aspects of highway and roadway management. Real time information is gathered from many sources such as electronic

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 45 sensors in pavement, traffic video cameras, 911 calls, officers on patrol, highway crews, ramp meter sensors, motorist cellular calls, and commercial traffic reports to ensure that traffic conditions can be monitored and response to incidents efficient. For evacuations, these TMCs will be critical monitoring resources to collect and disseminate real-time information about the progress of evacuation activities. Personnel The evacuation planning process should establish a core team for evacuation response. This evacuation response team may very well be made up of those staff identified for any emergency response, but in addition, transportation partners who may not participate in all regional emergency activities should be part of the team. In addition, planning should include the largest foreseen evacuation (usually a regional event) and ensure that adequate staff is identified for all aspects of management of the evacuation. Working with NGO partners and the private sector in addition to the public sector workforce is key to ensuring that sufficient personnel are available to guide the evacuation process. In addition, ensuring that adequate supplies are on hand for personnel at administrative facilities is an important planning function. These supplies will include cots and blankets, food, water and personal supplies since many personnel facilitating the evacuation will be required to be on duty for long periods of time, and even shelter in place at their posts. Employees required to be on duty should also be instructed in preparing a go-kit, which will ensure that needed medicine and other critical personal effects are ready to transport with them. For some events, especially hurricanes, some public sector agencies that require personnel to report have also made accommodations for the employees’ families to accompany them to the work site and shelter there with the employee. Agencies should consider whether or not this makes sense for their operations. Administrative Equipment Equipment will be needed to manage an evacuation, most particular Information Technology (IT) equipment and support. This will include: • Computers, needed to manage access to software applications for resources, traffic, incident management and other critical functions, including: o Email and messaging o Global Positioning Satellite information o Geographic Information Systems o Internet access (media reports, weather) • Communications equipment to ensure that information is exchanged with field operations. Most modern communications systems are managed through software,

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 46 including landlines, radio systems, cellular networks, and paging systems. Planning for loss or damage to these systems is critical. Satellite phones are one option, as are COWs (Cell on Wheels) and CIABs (Cell in a Box), which are portable systems that bypass the common cellular relay system. Our increasing reliance on technology makes it critical that all computer systems, and any other supporting equipment (printers, televisions, plotters, etc.) that may be needed during an event to ensure effective operations must have continuous power throughout the event, making generators a critical part of all IT systems. Resource typing and inventorying must include these critical items as part of planning. Transportation Resources Transportation resources will vary by region and by the nature of the emergency. There are two concerns in an evacuation event for transportation: • Moving people out of the affected area to safety • Moving resources and emergency personnel into the area to be deployed effectively In order to ensure that both of these activities occur in a reasonable and effective manner, it will be important to ensure that transportation resources are identified, typed according to their utility, and pre-staged and deployed effectively through addressing these issues in planning. For example, ensuring that roadways are used to maximum effectiveness for the outflow of people from the area may require public works vehicles be moved into the area to be deployed for traffic control, motorist assistance, fueling, etc. In general, transportation resources can be categorized by the location of their modal operation: Land Transportation • Roadways (All wheeled vehicles, including cars, buses, vans, trucks, ambulance, motorcycles, bicycles, scooters, etc.) • Rail systems (Commuter and intercity, light rail, freight rail) • Pedestrian modes (walking) Waterway Transportation • Ferries • Cruise and other larger passenger ships • Naval vessels, including hospital ships • Commercial shipping

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 47 Air Transportation • Commercial and general aviation aircraft • Private and business aircraft • Helicopters • Military aircraft These modes of transportation have been evaluated in a table (Tool 3.3, Primary Entities and Transportation Modes Involved in Evacuation, as well as in the multiple inventory templates under Task 4.2. Potential strategies to increase the utility and integration of modes are included in Tool 3.4, Transportation Operations Coordination Checklists and Tool 4.3, Checklist for Interagency Communications. These tools in combination will be advantageous in the planning process to determine the availability and usefulness of each transportation resource. In addition, ensuring that NGOs and private sector partners are included will ensure that the maximum availability and usefulness of resources can be achieved. Step 3, Task 4.3 Identify Information and Intelligence Needs As noted in the Guide, the two major and equally important facets of information and intelligence needs are communications across agencies, disciplines, and jurisdictions; and communications with the public- broadly defined. Communication across agencies and jurisdictions, including use of information integration such as Emergency Operations Centers, Transportation Management Centers, and Fusion Centers, where available, are addressed in Step 4.3 and Tool 4.3 of the Guide. Communications with the public are also addressed there and throughout the Guide, with additional detail provided here. Once the decision has been made to evacuate, the next phase that must be considered is three- fold: 1. How will we communicate the message? (See Step 4.3 of the Guide and associated tool.) 2. How will the evacuees evacuate? (See Steps 4.1 and 4.2 of the Guide and associated tools.) 3. Where will they go? (See Step 4.2 and Tool 4.2.5, plus the text and flowcharts in Step 4.) Ensuring effective communication of the message to evacuate will be vital to save lives. Strategies to ensure that the message goes out and that everyone understands it include preparing messages during the planning process that can be pre-scripted. Such messages will include: 1. What does evacuation mean? 2. Where do I go? 3. How do I go? 4. What do I take? 5. How will I tell my family where I am?

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 48 6. Who will help me if I can’t evacuate by myself? Ensuring that all the information is presented and presented frequently though as many media as possible will be needed. The message should also be consistent, and pre-planning for messages will ensure that the same information goes out to everyone. For populations with additional functional needs, outreach will be needed through means other than mainstream media in many cases. This is addressed throughout the Guide, with references to TCRP Report 150, Communication with Vulnerable Populations: A Transportation and Emergency Management Toolkit and to Whole Community Planning, with reminders in discussion guides, tools and resources like the “Workshop in a Box.” TCRP Report 150 describes the step by step process to build a robust communications network with the many diverse communities of persons with access and functional needs. The Toolkit describes a process (with many supporting tools to implement it) to build relationships with existing agencies and community and faith-based organizations, who are already embedded with and trusted by the populations they serve. Building or reinforcing such a communications outreach network and tapping into the resources of those agencies and organizations will enable a much stronger and more comprehensive response. As Lt. Col. Honorè of Hurricane Katrina response fame stated, “Trust builds speed.” We draw on the lessons from TCRP Report 150, but strongly recommend that users refer to the original Toolkit for the entire plan and the downloadable tools and templates. How Evacuation Orders Are Issued Depending on the scope of the emergency, state and local officials may resort to a variety of measures to advise the residents and businesses the need to evacuate. For notice events, officials might have time to broadcast the message out to people via radio and television. Often times the mayor or governor will appear and warn people the evacuation orders have been issued and when the citizens need to begin to make their moves out of harm’s way. Many times officials will be accompanied by a qualified sign language interpreter when emergency announcements are televised. Note: \This should be a standard practice for all major announcements, and camera persons and editors should be advised to make sure the sign language interpreter is always on camera. Not all persons who are deaf or hard of hearing can read standard English; American Sign Language or another sign language is their first and sometimes only language. \Captioning on local television stations will display crawls advising people of emergency messages. This is often the case utilized for impending weather alerts. Sometimes an event may shift in intensity and cause officials to escalate their warnings to citizens. Law enforcement or fire personnel may then be required to drive through neighborhoods knocking on doors, or utilizing sirens or loud speakers to get the word out to residents that they need to take actions to evacuate. This type of notification occurs for example when wildfires have shifted and different neighborhoods are now in the encroaching path of

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 49 destruction. Law enforcement has been known to utilize the loud speakers and sirens on barrier islands when hurricanes are approaching and residents have not evacuated. Note that such notifications may not alert people who are deaf or hard of hearing, and may not be understood by individuals with limited English proficiency (LEP). Emergency managers should discuss and test alternate alert means with their community partners, residents, and people who work with visitors well before an emergency to identify potential communication gaps. Many jurisdictions rely on mass telephone notification and text alerts to get emergency messages out to citizens. Some of these require pre-registration and can be especially helpful when notifying elderly citizens or families that may include members with access and functional needs. Social media outlets are increasingly being utilized to get the word out to residents as more and more people are getting their messages through these means. Emails may also be used to notify people in emergency events. Whatever method a jurisdiction uses, some residents may not choose to evacuate. Their reasons for refusal may vary but the gravity of their actions may not. Therefore residents need to understand that if they refuse to evacuate they will be on their own. Community Risk Perceptions Strategic planning must take community risk perceptions into account. Many of these perceptions will come from experience, while others may come from neighbors, family members, or other trusted messengers- who may or may not be well-informed about risks and appropriate protective measures. Providing information to address concerns (including safe shelter for families, those with pets, etc.), providing the information through multiple channels, through pre-established communication networks of trusted messengers, and ensuring that communications with the public are accurate in providing information regarding risk are crucial in ensuring people make the best decisions to protect their lives and property. If this is an event with notice, such as a hurricane, most tourists and business travelers will likely get the message from lodging employees and will likely be among the first who are recommended to leave an area at risk. Law enforcement and / or Fire and Rescue are often tasked with going door to door in areas that are at greatest risk to ensure that people have been warned, are taking action, and, if they need assistance to evacuate, helping them to obtain the assistance. The Guide addresses public communications at various steps. Highlights follow: Step 1: Form a Collaborative Planning Team Page 4: Tip about TCRP Report 150, “Communication with Vulnerable Populations- A Transportation and Emergency Management Toolkit” Step 4: Plan Development Task 4.3: Identify Information and Intelligence Needs

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 50 Tool 4.3: Checklist for Interagency Communications and Information Sharing Between Transportation Agencies, Emergency Management and Others (also includes Public Information). Step 5: Plan Preparation, Review and Approval Tool 5.2, Multi-jurisdiction Multimodal Evacuation Planning Checklist Step 5 – Plan Preparation, Review, and Approval Writing the Plan The next stage of planning is the challenging work of turning all the preparation into a viable evacuation plan. The planning team develops a rough draft of the base plan, including all necessary functional areas in which planning has occurred. The plan may also include a number of annexes, including roadway route plans, shelter locations, transit route pickup points, resource listings and many other items as appropriate. The recorded results of the planning process in all functional areas can be used in drafting an outline for the first draft. It may be most strategically effective to have different authors for different sections, with an overall editing process to improve flow between different authors. FEMA provides the following guidance for drafting plans: 1. Keep the language simple and clear by writing in plain English. 2. Summarize important information with checklists and visual aids such as maps and flowcharts. 3. Avoid using jargon. 4. Use short sentences and the active voice. 5. Qualifiers and vague words create confusion 6. Provide enough detail to convey an easily understood concept of operations. Review the Plan Preparedness Gaps It is critical to identify in advance, using the approaches listed in the Guide, what shortcomings exist and what barriers are in place to an effective evacuation. Planning and collaboration will enable the jurisdictions in a region to work to close these gaps prior to an evacuation becoming necessary. Ensuring the plan is flexible enough to accommodate variations or changeable conditions will be critical to ensuring it will work in a variety of situations, and be able to address unforeseen issues. Using risk assessment tools, the planning strategies in the Guide, and the Step 5 Outline and Checklists, any gaps should be identified during the preparation and review of the emergency evacuation plan.

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 51 Re-entry Planning must also be made for re-entry into the affected area once it is safe to do so. If re-entry has not been addressed in previous planning, it should be included and vetted no later than this stage. Activities that must be planned for in advance are damage assessment and safety inspections, debris removal, emergency repair, power restoration, security and access control, and support services for those who did not evacuate and have limited resources until normal daily activities can be resumed. Staggered re-entries are often planned to ensure that traffic is controlled and that planning for debris removal, inspections, repairs and restoration of services by areas/neighborhoods can be put into place. Mutual Aid Agreements Without mutual aid agreements, formal cooperation during emergencies will have no procedural authority. For the purposes of evacuations, it is recommended that in addition to mutual aid agreements in place for other emergency services, that evacuation agreements be put into place to address use of buildings, restaurants, and homes as shelters/lodging, the use of relocation centers and transportation support as well as between jurisdictions for the acceptance of evacuees. Step 5 Tools in the Guide include two sample Memoranda of Understanding (MOUs). As the planning team works through successive drafts, they add necessary tables, charts, and other graphics. A final draft is prepared, and this will need to be circulated among all stakeholders for concurrence. The revised plan should be thoroughly vetted for conformity to applicable regulatory requirements and standards. Once all comments have been collected and reviewed by the planning team for appropriate inclusion, the plan is finalized. Approve and Maintain the Plan Once the appropriate level of approval is determined (local, regional, state), the chief executive(s) of the relevant jurisdictions in the region should review and sign the plan into effect (promulgation). The promulgation process should be based in specific statute, law, or ordinance, including the authority to call for a mandatory evacuation. Obtaining the senior officials’ approval through a formal promulgation documentation process is vital to ensuring that the plan will be effectively implemented at all levels. It is also important in this step to establish the authority and the formal process required for changes and modifications to the plan. This should include a regular review and update of the plan as needed, to be done ideally on an annual basis. In the case of a regional agreement (such as coordination through a Metropolitan Planning Organization, establishing agreement among many municipalities and counties, often crossing

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 52 state boundaries) this may take the form of a Memorandum of Understanding or Agreement, signed by the city, county and/or state executives. Disseminate the Plan Once approved, the emergency manager(s) should arrange to distribute the plan to those responsible for implementing it. Much of the evacuation plan should be a public document, as elements will need to be shared with non-governmental and faith-based organizations, as well as other agencies, to help them understand their roles and to encourage them to participate in planning. Some elements, however, should be considered sensitive, and should have appropriate standardized documented control processes in place, including accountability for all copies. Secured electronic access is preferable, but portable hard copies may also be necessary in some cases. Determining which elements are public and which are sensitive should be discussed during the development of the plan. Step 6 – Plan Implementation and Maintenance In order for any plan to be effectively implemented, all persons responsible for any part of it must be trained in it. While this makes sense for emergency management and response personnel, including transportation, it also includes the public. Most jurisdictions have emergency management or public safety websites that have information about emergency preparedness and activities to educate the public. In addition, community outreach and awareness programs including education for persons with additional functional needs will be necessary to ensure a highly aware and well-prepared community. The next level of training is to exercise the plan. Exercises provide a means to validate the pan and supporting procedures and evaluate the skills of personnel. The lessons learned from exercises are used in the review and maintenance process, and are an essential part of ensuring that an evacuation plan will function as intended when it is needed. Inclusive planning will make all exercises more real, and provide better preparation. Enlisting volunteers from the broader community, including the deaf and hard of hearing, the blind and those with limited vision, people with various mobility impairments, and people with limited English skills, for example, will assist those conducting the exercise (tabletop or otherwise) to identify and correct critical missing pieces in communications, transportation and response operations, in advance of a real event. There is a drawback to evacuation exercises, of course, which is that it is not feasible to do a field exercise. Having the public actually evacuate to practice is not possible; exercises must be tabletop exercises for practical reasons. However, many communities have found that practicing evacuation coordination strategies and techniques during large, planned special events can provide excellent “lessons learned”. Therefore, critical incident debriefings after any large planned special event or actual evacuation that is mobilized will be especially important, since it

NCHRP 20-59 (32) A Transportation Guide to All-Hazards Evacuation Final Report 53 is the only “boots on the ground” practice the plan gets. It is also essential to debrief members of the broader public, including the network of people with access and functional needs and their advocates, to determine what worked well, what didn’t, and what can be improved. The text and tools provided with Step 6 in the Guide discuss after action reporting for training and for an actual event, updating the plan, and the different types of exercises that can be implemented, with references to additional resources for more information.