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

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

127 128 Appendix A1: Annotated Bibliography 128 A. Institutional Context for Emergency Management 131 B. Nature and Degree of Hazards/Threats 150 C. Emergency Management Program 174 D. Stakeholders—Regional Collaboration 176 E. Emergency Management Training 206 Appendix A2: Fusion Centers and Information Sharing and Analysis Centers (ISACs) Information 206 Fusion Centers 207 Information Sharing and Analysis Centers (ISACs) 224 Appendix A3: Guidance for Plan, Prepare, Respond, and Recover Phases 224 Plan 230 Prepare 242 Respond 246 Recover 248 Appendix A4: Checklists for Various Processes of Emergency Management 248 Checklist of Potential Transportation Assets (High Level) 249 Checklist for Inter-Agency Communications and Information Sharing 253 Checklist for Emergency Events Affecting Multiple Jurisdictions, Transportation, and Interdependencies 256 Checklist for Multijurisdictional Multimodal Evacuation Planning 286 Checklist of Potential Stakeholders 294 Checklist of Transportation Resources 304 Checklist of Strategies to Exercise Regional Transportation Plan for Disasters, Emergencies, and Significant Events 306 Appendix A5: Templates 306 Agency Resources Contact Sheet Template 310 Summary of the Full After Action Report Template 313 Appendix A6: Collaboration and Coordination Guides A P P E N D I X A Bibliography and Resource Guide

128 A Guide to Emergency Management at State Transportation Agencies Appendix A1: Annotated Bibliography A. Institutional Context for Emergency Management Recent guidance at the national level has been reshaping the focus and long-term direction of transportation agencies. Since the publication of the Guide in 2010, four significant national level directives and executive orders have been issued, with an emerging focus on the comple- mentary goals of infrastructure protection and system resiliency as part of security and emer- gency management. • Presidential Policy Directive 8: National Preparedness (2011) strengthens security and resilience through five preparedness mission areas - Prevention, Protection, Mitigation, Response, and Recovery. • Presidential Policy Directive-21: Critical Infrastructure Security and Resilience (2013) focuses on the need for secure critical infrastructure that is able to withstand and rapidly recover (resilient) from all hazards. • 2013 National Infrastructure Protection Plan: Partnering for Critical Infrastructure Security and Resilience emphasizes the importance of resilience, the need to reduce all-hazards vulnerabilities and mitigate potential consequences of incidents or events that do occur. • Executive Order 13636: Improving Critical Infrastructure Cybersecurity (2013) provides a technology-neutral cybersecurity framework and means to promote and the adoption of cybersecurity practices. • Executive Order 13653: Preparing the United States for the Impacts of Climate Change (2013) requires federal agencies to integrate considerations of the challenges posed by climate change effects into their programs, policies, rules, and operations to ensure they continue to be effective, even as the climate changes. • The Moving Ahead for Progress in the 21st Century Act (MAP–21), the previous transpor- tation reauthorization legislation, focused on performance management and established a series of national performance goals. The goals related to safety, congestion reduction, freight movement, and economic vitality and environmental sustainability are of particular rele- vance to emergency management. MAP-21 also required incorporating performance goals, measures, and targets into transportation planning. • The Fixing America’s Surface Transportation (FAST) Act, enacted in 2015, expands the focus on the resiliency of the transportation system. “It is in the national interest to encourage and promote the safe and efficient management, operation, and development of resilient surface transportation systems that will serve the mobility needs of people and freight and foster economic growth and development within and between States and urbanized areas through metropolitan and statewide transportation planning processes.” It requires strate- gies to reduce the vulnerability of existing transportation infrastructure to natural disasters and expands the scope of consideration of the metropolitan planning process to include improving transportation system resiliency and reliability. National Disaster Recovery Framework, Second Edition – Information Sheet Citation. “National Disaster Recovery Framework, Second Edition – Information Sheet,” Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http:// www.fema.gov/media-library-data/1466017528262-73651ed433ccfe080bed88014ac397cf/ InformationSheet_Recovery_Framework.pdf Synopsis. The National Disaster Recovery Framework describes “how the whole commu- nity works together to restore, redevelop, and revitalize the health, social, economic, natural,

Bibliography and Resource Guide 129 and environmental fabric of the community.” The new Framework incorporates the edits to the National Preparedness Goal and new lessons learned. Additional changes made to the Frame- work include: “Increased focus on Recovery’s relationship with the other four mission areas. Updated Recovery Support Functions (RSFs) to reflect changes in Primary Agencies and Supporting Organizations. Additional language on science and technology capabilities and investments for the rebuilding and recovery efforts.” National Response Framework, Third Edition – Information Sheet Citation. “National Response Framework, Third Edition – Information Sheet,” Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http://www.fema.gov/ media-library-data/1466014891281-6e7f60ceaf0be5a937ab2ed0eae0672d/InformationSheet_ Response_Framework.pdf Synopsis. The NRF is aligned with NIMS and provides capabilities to save lives, protect property, and meet basic human needs. Response activities occur before, during, and after an incident and can overlap with the start of Recovery activities. The following changes were made to the Framework: • The addition of a new core capability, Fire Management and Suppression. • Three revised core capability titles – Logistics and Supply Chain Management; – On-scene Security, Protection, and Law Enforcement; and – Public Health, Healthcare, and Emergency Medical Services. • Three revised core capability definitions – Environmental Response/Health and Safety; – Fatality Management Services; and – Logistics and Supply Chain Management. National Mitigation Framework, Second Edition – Information Sheet Citation. “National Mitigation Framework, Second Edition – Information Sheet,” Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http://www.fema.gov/ media-library-data/1466014552462-1b78d1a577324a66c4eb84b936c68f16/InformationSheet_ Mitigation_Framework.pdf Synopsis. The National Mitigation Framework covers the capabilities necessary to reduce the loss of life and property by lessening the effects of disasters and focuses on risk (under- standing and reducing it), resilience (helping communities recover quickly and effectively after disasters), and a culture of preparedness. The new Framework incorporates the edits to the National Preparedness Goal and new lessons learned including a revised core capability title, Threats and Hazards Identification. In addition, the following changes have been made: “Additional language on science and technology efforts to reduce risk and analyze vulnerabilities within the mitigation mission area. Updates on the Mitigation Framework Leadership Group (MitFLG), which is now operational. Updates to the Community Resilience core capability definition to promote preparedness activities among individuals, households and families.” National Protection Framework, Second Edition – Information Sheet Citation. “National Protection Framework, Second Edition – Information Sheet,” Federal Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http:// www.fema.gov/media-library-data/1466013587164-86696df20638bbf24e25d70070eda114/ InformationSheet_Protection_Framework.pdf

130 A Guide to Emergency Management at State Transportation Agencies Synopsis. The National Protection Framework focuses on “actions to deter threats, reduce vulnerabilities, and minimize the consequences associated with an incident.” The new Framework incorporates the edits to the National Preparedness Goal and new lessons learned. In addition, the following changes have been made: “Updated Cybersecurity Core Capability Critical Tasks to align with the Mitigation, Response, and Recovery Mission Areas. Additional language on science and technology investments to protect against emerging vulnerabilities are included within the protection mission area. Additional language on inter- agency coordination within the protection mission area to support the decision-making processes out- lined within the framework.” National Prevention Framework, Second Edition – Information Sheet Citation. “National Prevention Framework, Second Edition – Information Sheet,” Federal Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http:// www.fema.gov/media-library-data/1466011024787-91b8e49bf7344dd6dadca441c26272ad/ InformationSheet_Prevention_Framework.pdf Synopsis. The National Prevention Framework focuses on terrorism and addresses the capabilities necessary to avoid, prevent, or stop imminent threats or attacks. Some core capa- bilities overlap with the Protection mission area. The updates include edits to the Nation Preparedness Goal and lessons learned. Other edits include: “Updates to Coordinating Structure language on Joint Operations Centers and the Nationwide Sus- picious Activity Reporting Initiative. Clarification on the relationship and differences between the Pre- vention and Protection mission areas. Updated language on the National Terrorism Advisory System (NTAS) as part of the Public Information and Warning core capability. Additional language on science and technology investments within the prevention mission area.” National Preparedness Goal, Second Edition – Information Sheet Citation. “National Preparedness Goal, Second Edition – Information Sheet,” Federal Emergency Management Agency (FEMA), Washington, DC, 2015, [Online]. Available: http:// www.fema.gov/media-library-data/1443624338930-32e9ed3ac6cf8e95d7d463ed9b9685df/ NationalPreparednessGoal_InformationSheet_2015.pdf Synopsis. The 2011 National Preparedness Goal was updated in 2015. The key changes are described in the National Preparedness Goal, Second Edition – What’s New Fact Sheet. The National Preparedness Goal itself has not changed: “A secure and resilient nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk.” The following changes were made to the National Preparedness Goal document: • Introduction: Language added to stress the importance of community preparedness and resilience. • Risk and the Core Capabilities: Enhanced items on cybersecurity and climate change. • Preliminary Targets: Updated preliminary targets. • New Core Capability: A new core capability, Fire Management and Suppression, was added. • Core Capability Titles: Revised the following core capability titles: • Threats and Hazard Iden- tification (Mitigation) – revised to Threats and Hazards Identification; • Public and Private Services and Resources (Response) – revised to Logistics and Supply Chain Management; • On-scene Security and Protection (Response) – revised to On-scene Security, Protection, and Law Enforcement; and • Public Health and Medical Services (Response) – revised to Public Health, Healthcare, and Emergency Medical Services. • Core Capability Definitions: Several of the core capability definitions were revised.

Bibliography and Resource Guide 131 NIPP 2013: Partnering for Critical Infrastructure Security and Resilience Citation. National Infrastructure Protection Plan (NIPP) 2013: Partnering for Critical Infra- structure Security and Resilience, U.S. Department of Homeland Security, Washington, DC, 2013, [Online]. Available: https://www.dhs.gov/national-infrastructure-protection-plan Synopsis. From DHS.gov: “Our Nation’s well-being relies upon secure and resilient critical infrastructure—the assets, systems, and networks that underpin American society. The National Infrastructure Protection Plan (NIPP)—NIPP 2013: Partnering for Critical Infrastructure Security and Resilience—outlines how government and private sector participants in the critical infrastructure community work together to manage risks and achieve security and resilience outcomes.” “NIPP 2013 represents an evolution from concepts introduced in the initial version of the NIPP released in 2006 and revised in 2009. The National Plan is streamlined and adaptable to the current risk, policy, and strategic environments. It provides the foundation for an integrated and collaborative approach to achieve the vision of: “[a] Nation in which physical and cyber critical infrastructure remain secure and resilient, with vulnerabilities reduced, consequences minimized, threats identified and disrupted, and response and recovery hastened.” NIPP 2013 meets the requirements of Presidential Policy Directive-21: Critical Infrastructure Security and Resilience, signed in February 2013. The Plan was developed through a collaborative process involving stakeholders from all 16 critical infrastructure sectors, all 50 states, and from all levels of government and industry. It provides a clear call to action to leverage partnerships, innovate for risk management, and focus on outcomes.” The NIPP 2013 has six chapters, two appendices, and four supplements. After an Executive Summary, the Introduction (Chapter 1) gives an overview of the NIPP 2013 and its evolu- tion from the 2009 NIPP. Chapter 2 defines the Vision, Mission, and Goals of the NIPP 2013, while Chapter 3 describes the Critical Infrastructure Environment in terms of key concepts, risk, policy, operations, and partnership. Core Tenets are established in Chapter 4. Ways to collaborate to manage risk are given in Chapter 5. The final chapter is a Call to Action (“Steps to Advance the National Effort”). The Sector-Specific Plans of the 16 critical infrastructure sectors are being updated to align with the NIPP 2013. The web page for NIPP 2013 also contains links to training courses, critical infrastructure partnership courses, security awareness courses, and the relevant authorities (i.e., laws, regulations, and guidance). NIPP Supplemental Tool: Incorporating Resilience into Critical Infrastructure Projects http://www.dhs.gov/sites/default/files/publications/NIPP%202013%20Supplement_ Incorporating%20Resilience%20into%20CI%20Projects_508.pdf NIPP Supplemental Tool: Executing a Critical Infrastructure Risk Management Approach http://www.dhs.gov/sites/default/files/publications/NIPP%202013%20Supplement_ Executing%20a%20CI%20Risk%20Mgmt%20Approach_508.pdf B. Nature and Degree of Hazards/Threats Hazards have continued to evolve since the 2010 Guide was published. In more recent times transportation agencies have been experiencing more and more devastating events either due to natural causes (e.g., Superstorm Sandy, extensive Midwest flooding, powerful hurricanes), caused by unintentional human intervention (e.g., truck crashes and fires on the Oakland Bay

132 A Guide to Emergency Management at State Transportation Agencies Bridge and in the Boston tunnels, oil train derailments), or intentional acts (e.g., cyberattacks and armed assault, including active-shooter incidents). Because today’s transportation systems are integrated cyber and physical systems, there are greater cyber risks than ever, including the risk of a cyber incident impacting not only data, but the control systems and physical infra- structure of transportation agencies. Risk-Based Transportation Asset Management: Building Resilience into Transportation Assets: Report 5: Managing External Threats Through Risk-Based Asset Management Citation. “Report 5: Managing External Threats Through Risk-Based Asset Management,” Risk-Based Transportation Asset Management: Building Resilience into Transportation Assets, Fed- eral Highway Administration (FHWA), U.S. Department of Transportation, Washington, DC, March 2013, [Online]. Available: http://www.fhwa.dot.gov/asset/pubs/hif13018.pdf Synopsis. From the Transport Research International Documentation (TRID) Database: “This is the fifth of five reports examining how risk management complements asset manage- ment. This last report examines how physical, climatic, seismic and other external threats can be addressed in risk-based asset management programs. The first four reports and the litera- ture review emphasized the definition of risk as the positive or negative effect of uncertainty or variability upon agency objectives. Those reports emphasized that risks could be positive in that some types of uncertainty can create opportunities. However, this report will focus more on negative risks, or threats. These risks generally are external, and while highly probable over a long period of time, are difficult to predict in the short term. Randomness and variability complicate planning for them. In August 2011, Hurricane Irene reached one of the nation’s most north- ern states, Vermont, and damaged 480 bridges out of a total network of 2,717 bridges. In one day, more bridge deterioration occurred than normally would occur over many years. Accurate prediction of such events is nearly impossible. Such a significant storm had not struck Vermont for 83 years. In managing risks to assets from external threats, this report emphasizes the Three Rs, which are Redundancy, Robustness, and Resiliency. These will be defined, described, and illustrated through several agency examples. Asset management plays a critical role in each, par- ticularly Robustness and Resiliency. Including the Three Rs in asset planning efforts can better prepare agencies to cope with an increasingly unpredictable world.” The report consists of five major sections. The first is an introductory section. The second section discusses Climate Change and Extreme Weather Risks. The FHWA’s Vulnerability Assessment Model is presented in the third section. The fourth section discusses Risked-Based Approaches to Protecting Assets. Summary and Conclusions make up the fifth section. A Guide for Assessing Community Emergency Response Needs and Capabilities for Hazardous Materials Releases Citation. Battelle Memorial Institute, HMCRP Report 5: A Guide for Assessing Commu- nity Emergency Response Needs and Capabilities for Hazardous Materials Releases, 2011, 119 p., [Online]. Available: http://www.trb.org/Publications/Blurbs/165201.aspx Synopsis. From the Transport Research International Documentation (TRID) Database: “This Guide presents comprehensive, step-by-step guidance on assessing hazardous materials emergency response needs at state, regional, and local levels; matching state, regional, and local capabilities with potential emergencies involving different types of hazardous materials; and assessing how quickly resources can be brought to bear in an emergency. The methodology described in the Guide is designed to be scalable, allowing the implementation results to be aggregated at the local level up through regional, state, and national levels. Also, the Guide is

Bibliography and Resource Guide 133 designed to connect as many components as possible to already established standards, guidelines, regulations, and laws, so that the Guide will remain current as these underlying components are updated. In addition, the Guide discusses appropriate means for maintaining currency of the infor- mation over time. The Guide and accompanying spreadsheet tool (on the attached CD-ROM), which leads planners through the assessment process, will be most useful for local jurisdictions that have limited resources and expertise in hazardous materials emergency response planning.” Protecting America’s Roads, Bridges, and Tunnels: The Role of State DOTs in Homeland Security Citation. “Protecting America’s Roads, Bridges, and Tunnels: The Role of State DOTs in Homeland Security,” The American Association of State Highway and Transportation Officials (AASHTO), Washington, DC, Jan 2005, [Online]. Available: http://scotsem.transportation.org/ Documents/Protecting_Americas_Roads.pdf Synopsis. According to AASHTO’s page on Bridge and Tunnel Security, this publication is an “AASHTO brochure providing an overview of the vital role that State DOTs – builders and operators of the nation’s busiest roads, tunnels, and bridges – often play when emergency situations occur.” It explains “why the security of our roads, bridges, and tunnels is important, what DOTs are doing to improve it, and the keys to better partnership.” The document has four sections. The introductory section (“State Dots—Guardians of the Nation’s Trans- portation Infrastructure”) argues that DOTs’ foremost expanded roles include all-hazards emergency management and critical asset protection. The two body sections explain DOTs’ expertise and needs in their respective domain. The first body section (“A Vital Support Role in Emergency Management”) notes that DOTs’ all- hazards emergency management expertise includes the key functions of traveler information; traffic management; transportation facilities, personnel, and equipment; and infrastructure reconstruction capabilities. At the same time, resources are needed to address the enhancement of Intelligent Transportation System (ITS) capabilities; improvement of emergency response; and better communications. The second body section (“Protecting Critical Transportation Assets”) notes that DOTs have several available countermeasures: deterrence and detection, defense, and design and re-design. But to address critical asset protection, DOTs need resources to address: bridge retrofits, bridge reconstruction, tunnel protection costs.” In its concluding section (“The Road Ahead – Setting an Agenda for Partnership in Security”), this publication advocates that DOTs be “considered as first responders in terms of support from the Department of Homeland Security.” For strengthening this partnership, four corner- stones are proposed: • recognition of vital role of DOT in emergency management and homeland security; • responsiveness to road, bridge, and tunnel asset protection needs; • additional resources for DOT to meet homeland security challenges; and • support for transportation-related security research. NCHRP Report 750: Strategic Issues Facing Transportation, Volume 2: Climate Change, Extreme Weather Events, and the Highway System: Practitioner’s Guide and Research Report, 2014 Citation. Parsons Brinckerhoff, Cambridge Systematics, and Stratus Consulting, NCHRP Report 750: Strategic Issues Facing Transportation, Volume 2: Climate Change, Extreme Weather Events, and the Highway System: A Practitioner’s Guide and Research Report, Transportation Research Board of the National Academies, Washington, DC, 2014, [Online]. Available: http:// www.trb.org/Main/Blurbs/169781.aspx

134 A Guide to Emergency Management at State Transportation Agencies Synopsis. From the Transport Research International Documentation (TRID) Database: “This report presents guidance on adaptation strategies to likely impacts of climate change through 2050 in the planning, design, construction, operation, and maintenance of infra- structure assets in the United States (and through 2100 for sea-level rise). In addition to the practitioner’s guide and research report, this project also developed the following items: 1. a software tool that runs in common web browsers and provides specific, region-based information on incorporating climate change adaptation into the planning and design of bridges, culverts, stormwater infrastructure, slopes, walls, and pavements; 2. tables that provide the same information as the previously mentioned software tool, but in a spread- sheet format that can be printed; and 3. two spreadsheets that illustrate examples of the benefit-cost analysis of adaptation strategies discussed in Appendix B of Part I of NCHRP Report 750, Volume 2.” This report discusses physical countermeasures against storm surge, floods, extreme temper- ature, and permafrost instability. Storm surge countermeasures include shoreline revetments, elevated approach roadways, extended wingwalls, enhanced scour protection, and strength- ened deck tie-downs. Additional flood countermeasures include floodplain culverts, hardening the slopes of approach roadways, adding/raising spans, and protecting coatings. Countermea- sures against extreme temperature include widening expansion joints, redesigning bearings, and strengthening beams and girders. Countermeasures against permafrost instability include mitigation techniques, such as the use of reflective surfaces, air convection embankment, geo- synthetic reinforcement, thermosyphons, berms, air ducts, insulation materials, and lightweight fill materials. Hazard Data Sources and Tools Information on potential hazards, including probability and possible effects, can be obtained from the Federal Emergency Management Association (FEMA), State Emergency Manage- ment and Civil Defense Agencies, National Weather Service (NWS), Environmental Protection Agency (EPA), U.S. Department of the Interior, U.S. Geological Survey, U.S. Army Corps of Engineers, and Department of Natural Resources (DNR). FEMA 433: Using HAZUS-MH for Risk Assessment, Federal Emergency Management Agency (FEMA). Available: http://www.fema.gov/fema-433-using-hazus-mh-risk-assessment FEMA Map Service Center Available: http://msc.fema.gov/webapp/wcs/stores/servlet/FemaWelcomeView?storeId=1000 1&catalogId=10001&langId=-1 This Federal Emergency Management Agency source provides map information for a variety of users affected by floods, including homeowners and renters, real estate and flood determi- nation agents, insurance agents, engineers and surveyors, and federal and exempt customers. There are flood maps, databases, map viewers, documents, and publications providing com- prehensive information. Further aspects of the site include FEMA-issued flood maps available for purchase, definitions of FEMA flood zone designations, and information about FIRMettes, a full-scale section of a FEMA Flood Insurance Rate Map (FIRM) that users can create and print at no charge. FEMA Flood Map Service Center (MSC) Available: http://msc.fema.gov/portal/ The FEMA Flood Map Service Center is the official public source for flood hazard informa- tion produced in support of the National Flood Insurance Program (NFIP). The MSC contains

Bibliography and Resource Guide 135 official flood maps, access to a range of other flood hazard products, and tools for better under- standing flood risk. Interior Geospatial Emergency Management System (IGEMS) Available: http://igems.doi.gov/ The Interior Geospatial Emergency Management System (IGEMS), which replaced the Natural Hazards Support System (NHSS), provides online maps containing the latest available information on earthquakes, earthquake shakemaps, streamflow data, floods, volcanoes, wild- fires, and weather hazards. National Weather Service GIS Data Portal (NOAA) Available: http://www.nws.noaa.gov/gis/shapepage.htm Current weather, forecasts, and past weather data are available in Shapefile and other formats from the Data Portal. Hazards include tornados, hurricanes, rain, snowfall, floods, and other weather related hazards. Advanced Hydrologic Prediction Service (NOAA) Available: http://www.nws.noaa.gov/oh/ahps/ The NOAA Advanced Hydrologic Prediction Service (AHPS) is a web-based suite of forecast products that displays the magnitude and uncertainty of occurrence of floods or droughts, from hours to days and months, in advance. The majority of the observed water level data displayed on the AHPS web pages originates from the United States Geological Survey’s (USGS’s) National Streamflow Information Program, which maintains a national network of stream gauges. In addition, real-time water level information is collected from other federal, state, and local stream gauge networks. Climate Change and Extreme Weather Vulnerability Assessment Framework (2012) Available: http://www.fhwa.dot.gov/environment/climate_change/adaptation/publications/ vulnerability_assessment_framework/page00.cfm#Toc345418472 The Federal Highway Administration’s (FHWA’s) Climate Change and Extreme Weather Vulnerability Assessment Framework is a guide for transportation agencies interested in assess- ing their vulnerability to climate change and extreme weather events. It gives an overview of key steps in conducting vulnerability assessments and uses in-practice examples to demonstrate a variety of ways to gather and process information. Space Weather Space-weather events are naturally occurring phenomena in the space environment that have the potential to disrupt technologies and systems in space and on Earth. These phenomena can affect satellite and airline operations, communications networks, navigation systems, the electric power grid, and other technologies and infrastructures critical to the daily functioning, economic vitality, and security of our Nation. Space weather can affect communication and navigation systems that are critical for safe and efficient transportation systems. Over the last several years, both industry and the federal government have played an active role in maintaining and advancing the nation’s ability to forecast and mitigate the various impacts of space weather. These actions include taking steps to replace aging satellite assets essential to monitoring and forecasting space weather, proposing space-weather standards for

136 A Guide to Emergency Management at State Transportation Agencies both the national and international air space, developing regulations to ensure the continued operation of the electric grid during an extreme space weather event, proposing a new option for replacing crucial Extra High Voltage (EHV) transformers damaged by space weather, and developing domestic production sources for EHV transformers. NOAA Space Weather Prediction Center Available: http://www.swpc.noaa.gov/ The official U.S. government space weather bureau SpaceWeather.com Available: spaceweather.com This website maintains all space weather information including current conditions. White House Workshop on Space Weather, 2015 The White House held a workshop titled “Space Weather: Understanding Potential Impacts and Building Resilience” in October of 2015 and released the following supporting commit- ments to enhance Space-Weather Preparedness: • Releasing New Space Environment Data. The U.S. Air Force (USAF), in partnership with the National Oceanic and Atmospheric Administration (NOAA), will provide Space Environment Data from the current GPS constellation and other U.S. government satel- lites. This data could be used to validate space-weather forecast models, potentially enhanc- ing space-weather prediction capabilities. As a first step, USAF and NOAA will make data from January 2014 – a month characterized by a high level of solar activity – freely available on data.gov, providing an opportunity for users to explore the scientific value of the data. Within three months of this release, the Office of Science and Technology Policy will chair an interagency group to evaluate the utility of the released data and to determine if the open data archive should be expanded to include additional historical and near real-time data. • Launching a Space Weather Data Initiative. In accordance with President Obama’s Execu- tive Order on making open and machine-readable the new default for government infor- mation, as well as on demonstrated successes of unleashing innovation and technology for disaster response and recovery, the Administration will launch a Space Weather Data Initiative. The goals of this Initiative are to (1) make easily accessible and freely available on data.gov an unprecedented amount of space weather-related data; (2) engage with the private sector and the open-data community to leverage the open data and promote the development of data-driven tools, applications, and technology to enhance space-weather preparedness; and (3) expand U.S. government capacity for using open data, innovation, and technology to support effective and efficient response to and recovery from space-weather events. • Increasing International Collaboration. To strengthen international coordination and cooperation on space-weather preparedness, the Department of State will organize work- shops and meetings in Washington, DC, with embassy staff from a multitude of nations. These workshops and meetings will provide an opportunity for other countries to learn more about the purpose and goals of the National Space Weather Strategy and accompany- ing Action Plan; ensure that policymakers in and leaders of partner nations recognize space weather as a global challenge; and facilitate the sustained, coordinated participation of partner nations in relevant international space-weather initiatives. • Including Space Weather in Transportation “Fundamentals” Reports. Space weather can affect communication and navigation systems that are critical for safe and efficient transpor- tation systems. By incorporating space-weather considerations into two reports that pro- vide comprehensive and up-to-date guidance on the major elements of a state’s all-hazards

Bibliography and Resource Guide 137 transportation security and emergency management program – Security 101: A Physi- cal Security Primer for Transportation, and A Guide to Emergency Response Planning at State Transportation Agencies – officials will have the information they need to incorporate space-weather considerations into transportation-security guidelines and emergency- response plans. The American Association of State Highway and Transportation Officials (AASHTO) – a nonprofit association representing highway and transportation departments in the 50 states, the District of Columbia, and Puerto Rico – will ensure that space weather is included in the next edition of these two AASHTO Special Committee on Transportation Security and Emergency Management “fundamentals” reports. • Incorporating Space Weather into Emergency-Management Training and Activities. Space-weather events can, directly or indirectly, cause or exacerbate major disasters or emergencies, and can interfere with or impair disaster response, relief, and recovery efforts. The National Emergency Management Association (NEMA) – a professional association of and for emergency management directors, dedicated to enhancing public safety by improving the nation’s ability to prepare for, respond to, and recover from all emergencies and disasters – will increase training and education related to space weather. Specifically, NEMA will: – Partner with the International Association of Emergency Managers to host a space-weather focused webinar for members of both groups, reaching up to 1,200 state and local emer- gency managers, and others working in the emergency-management field; – Incorporate space weather into training and education opportunities for newly appointed state emergency management directors; and – Incorporate space weather into the NEMA Homeland Security Committee’s policy focus on infrastructure resilience. • Raising Awareness of Space Weather in the Aviation Sector. As part of their commitment to promote safety, security and a healthy U.S. airline industry, Airlines for America – America’s largest airline trade association – will work with member carriers and their affiliates to educate the community on space weather and its effects on aviation, which include degradation or loss of satellite navigation signals and radio transmissions for communication. Fact Sheet: New Actions to Enhance National Space-Weather Preparedness https://www.whitehouse.gov/sites/default/files/microsites/ostp/space_weather_fact_sheet_ final.pdf National Space Weather Strategy and National Space Weather Action Plan National Space Weather Strategy Available: https://www.whitehouse.gov/sites/default/files/microsites/ostp/final_national- spaceweatherstrategy_20151028.pdf National Space Weather Action Plan Available: https://www.whitehouse.gov/sites/default/files/microsites/ostp/final_national- spaceweatheractionplan_20151028.pdf The newly released National Space Weather Strategy (Strategy) and Space Weather Action Plan (Action Plan) were developed by an interagency group of experts, with input from stake- holders outside the federal government, to clearly articulate how the federal government will work to fill these gaps by coordinating, integrating, and expanding existing policy efforts; engaging a broad range of sectors; and collaborating with international counterparts. The Strat- egy identifies goals and establishes the guiding principles that will guide these efforts in both the near and the long term, while the Action Plan identifies specific activities, outcomes, and timelines that the federal government will pursue accordingly. The Action Plan broadly aligns

138 A Guide to Emergency Management at State Transportation Agencies with investments proposed in the President’s Budget for Fiscal Year 2016 and will be reevaluated and updated within 3 years of the date of publication or as needed. Taken together, the Strategy and Action Plan will facilitate the integration of space-weather considerations into federal planning and decision making to achieve preparedness levels con- sistent with national policies, and enhance the resilience of critical technologies infrastructures to the potentially debilitating effects of space weather on the people, economy, and security of the United States. Cybersecurity Protection of Transportation Infrastructure from Cyber Attacks: A Primer Citation. Countermeasures Assessment and Security Experts, LLC; Western Management and Consulting, LLC, NCHRP Web-Only Document 221/TCRP Web-Only Document 67: Pro- tection of Transportation Infrastructure from Cyber Attacks: A Primer. Transportation Research Board of the National Academies, Washington, DC, 2016, 183p. Available: http://trid.trb.org/ view/1408236 Synopsis. This primer, a joint product of NCHRP and TCRP, provides transportation organizations basic reference material concerning cybersecurity concepts, guidelines, defini- tions, and standards. The primer delivers fundamental strategic, management, and planning information associated with cybersecurity and its applicability to transit and state DOT opera- tions. The primer presents fundamental definitions and rationales that describe the principles and practices that enable effective cybersecurity risk management. The goals of the primer are to increase awareness of cybersecurity as it applies to highway and public transportation; plant the seeds of organizational culture change; address those situations where the greatest risks lie; and provide industry-specific approaches to monitoring, responding to and mitigat- ing cyber threats. Individual chapters address myths of cybersecurity; risk management, risk assessment, and asset evaluation; plans and strategies; establishing priorities, organizing roles, and responsibilities; transportation operations cyber systems; countermeasures; training; and security programs and support frameworks. Critical Infrastructure Protection: Sector-Specific Agencies Need to Better Measure Cybersecurity Progress Citation. Wilshusen, Gregory C. Critical Infrastructure Protection: Sector-Specific Agencies Need to Better Measure Cybersecurity Progress. U.S. Government Accountability Office, 2015, 82p. Available: http://trid.trb.org/view/1375467 Synopsis. U.S. critical infrastructures, such as financial institutions, commercial buildings, and energy production and transmission facilities, are systems and assets, whether physical or virtual, vital to the nation’s security, economy, and public health and safety. To secure these systems and assets, federal policy and the National Infrastructure Protection Plan (NIPP) estab- lish responsibilities for federal agencies designated as sector-specific agencies (SSA), includ- ing leading, facilitating, or supporting the security and resilience programs and associated activities of their designated critical infrastructure sectors. The Government Accountability Office’s (GAO’s) objectives were to determine the extent to which SSAs have (1) identified the significance of cyber risks to their respective sectors’ networks and industrial control systems, (2) taken actions to mitigate cyber risks within their respective sectors, (3) collaborated across sectors to improve cybersecurity, and (4) established performance metrics to monitor improve- ments in their respective sectors. To conduct the review, GAO analyzed policy, plans, and other documentation and interviewed public and private sector officials for 8 of 9 SSAs with respon- sibility for 15 of 16 sectors. GAO recommends that certain SSAs collaborate with sector partners to develop performance metrics and determine how to overcome challenges to reporting the

Bibliography and Resource Guide 139 results of their cyber risk mitigation activities. Four of these agencies concurred with GAO’s recommendation, while two agencies did not comment on the recommendations. Maritime Critical Infrastructure Protection: DHS Needs to Enhance Efforts to Address Port Cybersecurity Citation. Wilshusen, Gregory C. Maritime Critical Infrastructure Protection: DHS Needs to Enhance Efforts to Address Port Cybersecurity. U.S. Government Accountability Office, 2015, 14p. Available: http://trid.trb.org/view/1371372 Synopsis. The nation’s maritime ports handle more than $1.3 trillion in cargo each year: a disruption at one of these ports could have a significant economic impact. Increasingly, port operations rely on computerized information and communications technologies, which can be vulnerable to cyber-based attacks. Federal entities, including the Department of Homeland Security’s (DHS’s) Coast Guard and the Federal Emergency Management Agency (FEMA), have responsibilities for protecting ports against cyber-related threats. The Government Accountability Office (GAO) has designated the protection of federal information systems as a government-wide high-risk area since 1997, and in 2003 expanded this to include sys- tems supporting the nation’s critical infrastructure. This statement by Gregory C. Wilshusen, Director, Information Security Issues, addresses (1) cyber-related threats facing the maritime port environment and (2) steps DHS has taken to address cybersecurity in that environment. In preparing this statement, GAO relied on work supporting its June 2014 report on cybersecurity at ports. (GAO-14-459). In its June 2014 report on port cybersecurity, GAO recommended that the Coast Guard include cyber-risks in its updated risk assessment for the maritime environment, address cyber-risks in its guidance for port security plans, and consider reestablishing the sector coordinating council. GAO also recommended that FEMA ensure funding decisions for its port security grant program are informed by subject matter expertise and a comprehensive risk assess- ment. DHS has partially addressed two of these recommendations since GAO’s report was issued. Guidebook on Best Practices for Airport Cybersecurity Citation. Murphy, Randall J; Sukkarieh, Michael; Haass, Jon; Hriljac, Paul. ACRP Report 140: Guidebook on Best Practices for Airport Cybersecurity, Transportation Research Board of the National Academies, Washington, DC, 2015, 162p. Available: http://trid.trb.org/view/1360787 Synopsis. Cybersecurity is a growing issue for all organizations, including airports. While the risks to traditional information technology (IT) infrastructure are often highlighted, many airports also rely on industrial control systems that introduce risks that are less apparent. The increasing practice of Bring Your Own Device (BYOD), whereby employees use their own personal devices for business purposes, such as email and remote access to airport systems, brings its own risks that must be managed. These risks cannot be eliminated, but they can be reduced through implementation of industry standards, best practices, and awareness programs for employees. This report provides resources for airport managers and IT staff to reduce or mitigate inherent risks of cyberattacks on technology-based systems. Traditional IT infrastruc- ture such as servers, desktops, and network devices are covered along with increasingly sophis- ticated and interconnected industrial control systems, such as baggage handling, temperature control, and airfield lighting systems. Accompanying this guidebook is a CD-ROM (CRP- CD-171) of multimedia material that can be used to educate all staff at airports about the need to be and how to be diligent against cybersecurity threats. A Summary of Cybersecurity Best Practices Citation. McCarthy, Charlie; Harnett, Kevin; Carter, Art. A Summary of Cybersecurity Best Practices. Volpe National Transportation Systems Center; National Highway Traffic Safety Administration, 2014, 40p. Available: http://trid.trb.org/view/1329314

140 A Guide to Emergency Management at State Transportation Agencies Synopsis. This report contains the results and analysis of a review of best practices and observations in the field of cybersecurity involving electronic control systems across a variety of industry segments where the safety-of-life is concerned. This research provides relevant bench- marks that are essential to making strategic decisions over the next steps for the National High- way Traffic Safety Administration’s (NHTSA’s) research program. This publication is part of a series of reports that describe the authors’ initial work under the goal of facilitating cybersecurity best practices in the automotive industry (Goals 1 and 2). The information presented herein increases the collective knowledge base in automotive cybersecurity; helps identify potential knowledge gaps; helps describe the risk and threat environments; and helps support follow-on tasks that could be used to establish security guidelines. Assessment of the Information Sharing and Analysis Center Model Citation. McCarthy, Charlie; Harnett, Kevin; Carter, Art; Hatipoglu, Cem. Assessment of the Information Sharing and Analysis Center Model. Volpe National Transportation Systems Center; National Highway Traffic Safety Administration, 2014, 46p. Available: http://trid.trb. org/view/1341933 Synopsis. An Information Sharing and Analysis Center (ISAC) is a trusted, sector-specific entity that can provide a 24-hour per day and 7-day per week secure operating capability that establishes the coordination, information sharing, and intelligence requirements for dealing with cybersecurity incidents, threats, and vulnerabilities. An ISAC can serve as an industry resource by which to gather key information about cybersecurity events and issues and identify, com- municate, and analyze potential impacts of such concerns to the sector. This report presents findings from an assessment of the ISAC model, and how ISACs are effectively implemented in other sectors. The report also explains how a new sector ISAC could be formed by leveraging existing ISAC models. This publication supports the goal of facilitating the establishment of a cybersecurity information sharing forum in the automotive sector (Goal 2). Maritime Critical Infrastructure Protection: DHS Needs to Better Address Port Cybersecurity Citation. Maritime Critical Infrastructure Protection: DHS Needs to Better Address Port Cybersecurity. U.S. Government Accountability Office, 2014, 54p. Available: http://trid.trb.org/ view/1312046 Synopsis. U.S. maritime ports handle more than $1.3 trillion in cargo annually. The opera- tions of these ports are supported by information and communication systems, which are susceptible to cyber-related threats. Failures in these systems could degrade or interrupt opera- tions at ports, including the flow of commerce. Federal agencies—in particular, the Depart- ment of Homeland Security (DHS)—and industry stakeholders have specific roles in protecting maritime facilities and ports from physical and cyber threats. The Government Accountability Office’s (GAO’s) objective was to identify the extent to which DHS and other stakeholders have taken steps to address cybersecurity in the maritime port environment. GAO examined relevant laws and regulations; analyzed federal cybersecurity-related policies and plans; observed opera- tions at three U.S. ports [selected based on being a high-risk port and a leader in calls by vessel type (e.g., container)]; and interviewed federal and nonfederal officials. GAO recommends that DHS direct the Coast Guard to (1) assess cyber-related risks, (2) use this assessment to inform maritime security guidance, and (3) determine whether the sector coordinating council should be reestablished. DHS should also direct the Federal Emergency Management Agency (FEMA) to (1) develop procedures to consult DHS cybersecurity experts for assistance in reviewing grant proposals and (2) use the results of the cyber-risk assessment to inform its grant guidance. DHS concurred with GAO’s recommendations.

Bibliography and Resource Guide 141 Critical Infrastructures: Background, Policy, and Implementation Citation. Moteff, John D. Critical Infrastructures: Background, Policy, and Implementation. Congressional Research Service, 2014, 39p. Available: http://trid.trb.org/view/1312743 Synopsis. The nation’s health, wealth, and security rely on the production and distribu- tion of certain goods and services. The array of physical assets, functions, and systems across which these goods and services move are called critical infrastructures (e.g., electricity, the power plants that generate it, and the electric grid upon which it is distributed). The national security community has been concerned for some time about the vulnerability of critical infrastructure to both physical and cyberattack. In May 1998, President Clinton released Presi- dential Decision Directive No. 63. The Directive set up groups within the federal government to develop and implement plans that would protect government-operated infrastructures and called for a dialogue between government and the private sector to develop a National Infrastructure Assurance Plan that would protect all of the nation’s critical infrastructures by the year 2003. While the Directive called for both physical and cyber protection from man- made and natural events, implementation focused on cyber protection against man-made cyber events (i.e., computer hackers). Following the destruction and disruptions caused by the September 11 terrorist attacks in 2001, the nation directed increased attention toward physi- cal protection of critical infrastructures. Over the intervening years, policy, programs, and legislation related to physical security of critical infrastructure have stabilized to a large extent. However, current legislative activity has refocused on cybersecurity of critical infrastructure. This report discusses in more detail the evolution of a national critical infrastructure policy and the institutional structures established to implement it. The report highlights two primary issues confronting Congress going forward, both in the context of cybersecurity: information sharing and regulation. Critical Infrastructure Protection: More Comprehensive Planning Would Enhance the Cybersecurity of Public Safety Entities’ Emerging Technology Citation. Critical Infrastructure Protection: More Comprehensive Planning Would Enhance the Cybersecurity of Public Safety Entities’ Emerging Technology. U.S. Government Account- ability Office, 2014, 41p. Available: http://trid.trb.org/view/1290381 Synopsis. Individuals can contact fire, medical, and police first responders in an emergency by dialing 911. To provide effective emergency services, public safety entities such as 911 call centers use technology including databases that identifies phone number and location data of callers. Because these critical systems are becoming more interconnected, they are also increasingly susceptible to cyber-based threats that accompany the use of Internet-based services. This, in turn, could impact the availability of 911 services. The U.S. Government Accountability Office (GAO) was asked to review federal coordination with state and local governments regarding cybersecurity at public safety entities. The objective was to determine the extent to which federal agencies coordinated with state and local governments regarding cybersecurity efforts at emergency operations centers, public safety answering points, and first responder organizations involved in handling 911 emergency calls. The five identified fed- eral agencies [Departments of Homeland Security, Commerce, Justice, and Transportation and the Federal Communications Commission (FCC)] have, to varying degrees, coordinated cybersecurity-related activities with state and local governments. These activities included (1) supporting critical infrastructure protection-related planning, (2) issuing grants, (3) sharing information, (4) providing technical assistance, and (5) regulating and overseeing essential functions. However, except for supporting critical infrastructure planning, federal coordination of these activities was generally not targeted toward or focused on the cybersecurity of state and local public safety entities involved in handling 911 emergency calls. Under the critical

142 A Guide to Emergency Management at State Transportation Agencies infrastructure protection planning activity, the Department of Homeland Security (DHS) coordinated with state and local governments and other federal stakeholders to complete the Emergency Services Sector-Specific Plan. The plan is to guide the sector, including the public safety entities, in setting protective program goals and objectives, identifying assets, assessing risks, prioritizing infrastructure components and programs to enhance risk mitigation, imple- menting protective programs, measuring program effectiveness, and incorporating research and development of technology initiatives into sector planning efforts. It also addressed aspects of cybersecurity of the current environment. However, the plan did not address the develop- ment and implementation of more interconnected, Internet-based planned information tech- nologies, such as the next generation of 911 services. According to DHS officials, the plan did not address these technologies, in part because the process for updating the sector-specific plan will begin after the release of the revised National Infrastructure Protection Plan—a unifying framework to enhance the safety of the nation’s critical infrastructure. A revised plan was released in December 2013, and, according to DHS, a new sector-specific plan is estimated to be completed in December 2014. Until DHS, in collaboration with stakeholders, addresses the cybersecurity implications of the emerging technologies in planning activities, information systems are at an increased risk of failure or being unavailable at critical moments. Under the other four activities, federal agencies performed some coordination related activities for public safety entities, including administering grants for information technology enhance- ments, sharing information about cyber-based attacks, and providing technical assistance through education and awareness efforts. For example, the Departments of Transportation and Commerce allocated $43.5 million in grants to states over a 3-year period, starting in September 2009, to help implement enhancements to 911 system functionality. While these grants were not targeted toward the cybersecurity of these systems, cybersecurity was not precluded from the allowed use of the funds. GAO recommends that the Secretary of Homeland Security collaborate with emergency services sector stakeholders to address the cybersecurity implica- tions of implementing technology initiatives in related plans. The Critical Infrastructure Gap: U.S. Port Facilities and Cyber Vulnerabilities Citation. Kramek, Joseph. The Critical Infrastructure Gap: U.S. Port Facilities and Cyber Vulnerabilities. Brookings Institution, 2013, 50p. Available: http://trid.trb.org/view/1325343 Synopsis. This paper looks at the current state of cybersecurity as it relates to U.S. ports. Topics include port security prior to and post-September 11th, the Maritime Transportation Security Act, the Port Security Grant Program, and cybersecurity awareness, preparedness and recovery. Case studies outlining current port security and practices are presented for the Port of Baltimore, Maryland, the Port of Houston, Texas, the Port of Los Angeles, California, the Port of Long Beach, California, the Port of Vicksburg, Mississippi, and the Port of Beaumont, Texas. Of the six ports studied, most had not conducted a cybersecurity vulnerability assessment nor developed a cyber incident response plan. Policy recommendations are provided to address port cybersecurity improvements. Critical Infrastructure Security: Assessment, Prevention, Detection, Response Citation. Critical Infrastructure Security: Assessment, Prevention, Detection, Response. WIT Press, 2012, 326p. Available: http://trid.trb.org/view/1247665 Synopsis. This book examines best practices and trends in infrastructure security at both the physical and digital level. Methods and tools for assessing, preventing, detecting, and responding to security threats are outlined. The book is divided into five parts: (1)

Bibliography and Resource Guide 143 Security risk and vulnerability assessment; (2) Modeling and simulation tools; (3) Cybersecurity; (4) Monitoring and surveillance; (5) Security systems integration and alarm management. Homeland Security: DHS’s Progress and Challenges in Key Areas of Maritime, Aviation, and Cybersecurity Citation. Homeland Security: DHS’s Progress and Challenges in Key Areas of Maritime, Aviation, and Cybersecurity. U.S. Government Accountability Office, 2009, 25p. Available: http://trid.trb.org/view/906303 Synopsis. Securing the nation’s transportation and information systems is a primary responsibility of the Department of Homeland Security (DHS). Within DHS, the Transporta- tion Security Administration (TSA) is responsible for securing all transportation modes; U.S. Customs and Border Protection (CBP) is responsible for cargo container security; the U.S. Coast Guard is responsible for protecting the maritime environment; and the National Protection and Programs Directorate is responsible for the cybersecurity of critical infrastructure. This statement focuses on the progress and challenges DHS faces in key areas of maritime, aviation, and cybersecurity. It is based on U.S. Government Accountability Office (GAO) products issued from June 2004 through November 2009 as well as ongoing work on air cargo security. DHS has made progress in enhancing security in the maritime sector, but key challenges remain. For example, as part of a statutory requirement to scan 100 percent of U.S.-bound container cargo by July 2012, CBP has implemented the Secure Freight Initiative at select foreign ports. How- ever, CBP does not have a plan for fully implementing the 100 percent scanning requirement by July 2012, because it questions the feasibility, although it has not performed a feasibility analysis of the requirement. Rather, CBP has planned two new initiatives to further strengthen the security of container cargo, but these initiatives will not achieve 100 percent scanning. Further, TSA, the Coast Guard, and the maritime industry took a number of steps to enroll over 93 percent of the estimated 1.2 million users in the Transportation Worker Identification Credential (TWIC) program (designed to help control access to maritime vessels and facilities) by the April 15, 2009, compliance deadline, but they experienced challenges resulting in delays and in ensuring the successful execution of the TWIC pilot. While DHS and the Coast Guard have developed a strategy and programs to reduce the risks posed by small vessels, they face ongoing resource and technology challenges in tracking small vessels and preventing attacks by such vessels. In the aviation sector, TSA has made progress in meeting the statutory mandate to screen 100 percent of air cargo transported on passenger aircraft by August 2010 and in taking steps to strengthen airport security, but TSA continues to face challenges. TSA’s efforts include developing a system to allow screening responsibilities to be shared across the domes- tic air cargo supply chain, among other steps. Despite these efforts, TSA and the industry face a number of challenges, including the voluntary nature of the program, and ensuring that approved technologies are effective with air cargo. TSA also does not expect to meet the man- dated 100 percent screening deadline as it applies to air cargo transported into the U.S., in part due to existing screening exemptions for this type of cargo and challenges in harmonizing secu- rity standards with other nations. GAO is reviewing these issues as part of its ongoing work and will issue a final report next year. In addition, TSA has taken a variety of actions to strengthen airport security by, among other things, implementing a worker screening program; however, TSA still faces challenges in this area. DHS has made progress in strengthening cybersecurity, such as addressing some lessons learned from a cyberattack exercise, but further actions are warranted. Since 2005, GAO has reported that DHS has not fully satisfied its key responsibili- ties for protecting the nation’s computer-reliant critical infrastructures and has made related recommendations to DHS, such as bolstering cyber analysis and warning capabilities and strengthening its capabilities to recover from Internet disruptions. DHS has since developed

144 A Guide to Emergency Management at State Transportation Agencies and implemented certain capabilities to satisfy aspects of its responsibilities, but it has not fully implemented GAO’s recommendations and, thus, more action is needed to address the risk to critical cybersecurity infrastructure. Freight Rail Security: Actions Have Been Taken to Enhance Security, but the Federal Strategy Can Be Strengthened and Security Efforts Better Monitored Citation. Freight Rail Security: Actions Have Been Taken to Enhance Security, but the Fed- eral Strategy Can Be Strengthened and Security Efforts Better Monitored. U.S. Government Accountability Office, 2009, 129p. Available: http://trid.trb.org/view/889626 Synopsis. An attack on the U.S. freight rail system could be catastrophic because rail cars carrying highly toxic materials often traverse densely populated urban areas. The Department of Homeland Security’s (DHS’s) Transportation Security Administration (TSA) is the federal entity primarily responsible for securing freight rail. The U.S. Government Accountability Office (GAO) was asked to assess the status of efforts to secure this system. This report discusses (1) stakeholder efforts to assess risks to the freight rail system and TSA’s development of a risk- based security strategy; (2) actions stakeholders have taken to secure the system since 2001, TSA’s efforts to monitor and assess their effectiveness, and any challenges to implementing future actions; and (3) the extent to which stakeholders have coordinated efforts. Federal and industry stakeholders have completed a range of actions to assess risks to freight rail since September 2001, and TSA has developed a security strategy; however, TSA’s efforts have primarily focused on one threat, and its strategy does not fully address federal guidance or key characteristics of a successful national strategy. Specifically, TSA’s efforts to assess vulnerabilities and potential con- sequences to freight rail have focused almost exclusively on rail shipments of certain highly toxic materials, in part, because of concerns about their security in transit and limited resources. How- ever, other federal and industry assessments have identified additional potential security threats, including risks to critical infrastructure and cybersecurity. Although many stakeholders agreed with TSA’s initial strategy, going forward TSA has agreed that including other identified threats in its freight rail security strategy is important, and reported that it is reconsidering its strategy to incorporate other threats. Additionally, in 2004, GAO reported that successful national strategies should identify performance measures with targets, among other elements. TSA’s security strat- egy could be strengthened by including targets for three of its four performance measures and revising its approach for the other measure to ensure greater consistency in how performance results are quantified. Federal and industry stakeholders have also taken a range of actions to secure freight rail, many of which have focused on securing certain toxic material rail ship- ments and have been implemented by industry voluntarily; however, TSA lacks a mechanism to monitor security actions and evaluate their effectiveness, and new requirements could pose challenges for future security efforts. GAO’s Standards for Internal Control in the Federal Government calls for controls to be designed to ensure ongoing monitoring. While the freight rail industry has taken actions to better secure shipments and key infrastructure, TSA has limited ability to assess the impacts of these actions because it lacks a mechanism to system- atically track them and evaluate their effectiveness. Having such information could strengthen TSA’s efforts to efficiently target its resources to where actions have not been effective. New, mandatory security planning and procedural requirements will also necessitate additional federal and industry efforts and resources and may pose some implementation challenges for both federal and industry stakeholders. Federal and industry stakeholders have also taken a number of steps to coordinate their freight rail security efforts; however, federal coordination can be enhanced by more fully leveraging the resources of all relevant federal agencies. GAO previously identified a number of leading practices for effective coordination that could help TSA strengthen coordination with federal and private sector stakeholders.

Bibliography and Resource Guide 145 Cybersecurity Resources Protection of Transportation Infrastructure from Cyber Attacks: A Primer (2016) Citation. NCHRP Web-Only Document 221/TCRP Web-Only Document 67: Protection of Transportation Infrastructure from Cyber Attacks: A Primer, Transportation Research Board of the National Academies, Washington, DC, 2016. Available: https://www.nap.edu/download/23516 Synopsis. This Primer provides transportation organizations with reference materials concerning cybersecurity concepts, guidelines, definitions, and standards. It delivers strategic, management, and planning information associated with cybersecurity and its applicability to transit and state DOT operations. It includes definitions and rationales that describe the principles and practices that enable effective cybersecurity risk management. The primer pro- vides transportation managers and employees with greater context and information regard- ing the principles of information technology and operations systems security planning and procedures. The report is supplemented with an Executive Briefing for use as a 20-minute presentation to senior executives on security practices for transit and DOT cyber and industrial control systems. Guide to Industrial Control Systems (ICS) Security, Second Edition Citation. Special Publication 80-82, Guide to Industrial Control Systems (ICS) Security, Second Edition, National Institute for Standards and Technology, 2015. Available: http:// csrc.nist.gov/publications/drafts/800-82r2/sp800_82_r2_second_draft.pdf Synopsis. The ICS security guide advises on how to reduce the vulnerability of computer- controlled industrial systems to malicious attacks, equipment failures, errors, inadequate malware protection, and other threats. The Second Edition of the Guide includes new guid- ance on how to tailor traditional IT security controls to accommodate unique ICS perfor- mance, reliability, and safety requirements as well as updates to sections on threats and vulnerabilities, risk management, recommended practices, security architectures, and secu- rity capabilities and tools. Recommended Practice: Securing Control and Communications Systems in Transit Environments Citation. APTA Standards Development Program Recommended Practice: Securing Control and Communications Systems in Transit Environments, APTA. Available: Part I: http://www.apta.com/resources/standards/documents/apta-ss-ccs-rp-001-10.pdf Part II: http://www.apta.com/resources/standards/documents/apta-ss-ccs-rp-002-13.pdf Part IIIa and IIIb in development Synopsis. This document covers recommended practices for securing control and communi- cations systems in transit environments. These Recommended Practices address the importance of control and communications security to a transit agency, provide a survey of the various systems that constitute typical transit control and communication systems, and identify the steps that an agency would follow to set up a successful security program. The documents address the security of the following passenger rail and/or bus systems: SCADA, traction power control, emergency ventilation control, alarms and indications, fire/intrusion detection systems, train control/signaling, fare collection, automatic vehicle location (AVL), physical security feeds (CCTV, access control), public information systems, public address systems, and radio/wireless/ related communication.

146 A Guide to Emergency Management at State Transportation Agencies NIST Cybersecurity Framework Available: http://www.nist.gov/cyberframework/ The National Institute of Standards and Technology (NIST), the Federal Information Processing Standards (FIPS), with transportation specific guidance available from APTA and FHWA, have developed recommended practices and standards. There are international stan- dards and recommendations from the International Organization for Standardization (ISO), the Information Systems Audit and the Control Association (ISACA), and Control Objectives for Information and related Technology (COBIT). U.S. Department of Transportation (U.S. DOT) Cybersecurity Action Team The U.S. Department of Transportation (U.S. DOT) developed a Cybersecurity Action Team, as part of Executive Order 13636, to implement the Department’s Cyber Incident Response Capability Program. The team monitors, alerts, and advises the ITS and surface transporta- tion communities of incidents and threats and leverages the extensive body of assessments and research done by Federal Highway Administration (FHWA) staff related to the security threats and vulnerabilities of the U.S.’s transportation systems. US-CERT and Industrial Control Systems (ICS-CERT) Cyber Information Sharing and Collaboration Program Incident Hotline: 1-888-282-0870 Website: https://www.us-cert.gov/ The United States Computer Emergency Readiness Team (US-CERT), part of DHS’ National Cybersecurity and Communications Integration Center (NCCIC), provides technical assis- tance, coordinates cyber information sharing, and proactively manages cyber risks through its 24x7 operations center. US-CERT distributes vulnerability and threat information through its National Cyber Awareness System (NCAS) and operates a Vulnerability Notes Database to pro- vide technical descriptions of system vulnerabilities. Industrial Control Systems Cyber Emergency Response Team (ICS-CERT) Available: https://ics-cert.us-cert.gov/ The Industrial Control Systems Cyber Emergency Response Team (ICS-CERT) operates cybersecurity operations centers focused on control systems security as part of the National Cybersecurity and Communications Integration Center (NCCIC). The team: • Responds to and analyzes industrial control systems (ICS) related incidents • Provides onsite support for incident response and forensics • Conducts malware analysis • Coordinates responsible disclosure of ICS vulnerabilities/mitigations • Shares vulnerability information and threat analysis through information products and alerts • Provides security awareness training courses (see http://ics-cert.us-cert.gov/Training- Available-Through-ICS-CERT). Transportation Security Administration (TSA) Transportation Systems Sector Cybersecurity Working Group (TSSCWG) Available: https://www.dhs.gov/publication/cipac-trans-cybersecurity-agendas The TSA has authority to regulate cybersecurity in the transportation sector and provides cybersecurity pamphlets, a weekly newsletter, cybersecurity exercise support, and incident- specific threat briefings. TSA has pursued collaborative and voluntary approaches with industry.

Bibliography and Resource Guide 147 TSA DHS facilitates the Cybersecurity Assessment and Risk Management Approach (CARMA) for companies requesting assessments. TSA has hosted cybersecurity-focused Intermodal Security Training and Exercise Program (I-STEP) exercises, most recently in August 2014. TSA and its industry partners established the Transportation Systems Sector Cybersecu- rity Working Group (TSSCWG) to advance cybersecurity across all transportation modes. The TSSCWG strategy, completed in mid-2012, stated “The sector will manage cybersecurity risk through maintaining and enhancing continuous awareness and promoting voluntary, collaborative, and sustainable community action.” The TSSCWG is developing implementa- tion guidance for adoption of the NIST Framework. National Institute of Standards and Technology (NIST) Cybersecurity Framework Available: http://www.nist.gov/cyberframework/ The National Institute of Standards and Technology (NIST) is an agency of the U.S. Department of Commerce. The Computer Security Division (CSD), a component of NIST’s Information Technology Laboratory (ITL), provides standards and technology to protect information systems against threats to information and services. Executive Order 13636, Improving Critical Infrastructure Cybersecurity (2013) directed NIST to work with stake- holders to develop a voluntary cybersecurity framework – based on existing standards, guide- lines, and practices – for reducing cyber risks to critical infrastructure. Cybersecurity Framework (CSF) Reference Tool Available: http://www.nist.gov/cyberframework/csf_reference_tool.cfm A runtime database solution has been created the allows the user to browse the Framework Core by functions, categories, subcategories, informative references; search for specific words; and export the current viewed data to various file types. NIST National Vulnerability Database Available: http://nvd.nist.gov National Vulnerability Database (NVD) is the U.S. government repository of standards-based vulnerability management data that includes databases of security checklists, security-related software flaws, misconfigurations, product names, and impact metrics. NIST Computer Security Division’s Computer Security Resource Center (CSRC) Available: http://csrc.nist.gov/index.html This Center facilitates broad sharing of information security tools and practices, provides a resource for information security standards and guidelines, and identifies key security web resources to support users in industry, government, and academia. The CSRC is the primary gateway for gaining access to NIST computer security publications, standards, and guidelines plus other useful security-related information. NIST Security Publications Available: http://csrc.nist.gov/publications/PubsSPs.html NIST has published over 300 Information Security guides that include Federal Information Processing Standards (FIPS), the Special Publication (SP) 800 series, Information Technology

148 A Guide to Emergency Management at State Transportation Agencies Laboratory (ITL) Bulletins, and NIST Interagency Reports (NIST IR). Most commonly refer- enced NIST publications include: • Special Publication 800-12, An Introduction to Computer Security: The NIST Hand- book (1995). Elements of security, roles and responsibilities, common threats, security policy, and program management. Initially created for the federal government, most practices are applicable to the private sector. • Special Publication 800-14, Generally Accepted Principles and Practices for Securing Information Technology Systems (1996) describes common security principles that are used. It provides a high-level description of what should be incorporated within a computer security policy. It describes what can be done to improve existing security as well as how to develop a new security practice. Eight principles and fourteen practices are described within this document. • Special Publication 800-16, Information Technology Security Training Requirements: A Role- and Performance-Based Model (2014). Learning-continuum model, security literacy and basics, role-based training. • Special Publication 800-30, Risk Management Guide for Information Technology Systems (2012). Risk management, assessment, mitigation. • Special Publication 800-37, Guide for Applying the Risk Management Framework to Federal Information Systems (2010). • Special Publication 800-39, Integrated Enterprise-Wide Risk Management: Organization, Mission, and Information System View (2011). • Special Publication 800-53, Recommended Security Controls for Federal Information Systems and Organizations (2013). Security control fundamentals, baselines by system- impact level, common controls, and tailoring guidelines that are applied to a system to make it “more secure.” • Special Publication 800-60, Revision 1, Guide for Mapping Types of Information and Information Systems to Security Categories, (2008). Security objectives and types of potential losses, assignment of impact levels, and system security category. • Special Publication 800-82, Guide to Industrial Control Systems (ICS) Security (2014). Overview of industrial control systems (ICS), threats and vulnerabilities, risk factors, incident scenarios, security program development. • Special Publication 800-97, Establishing Wireless Robust Security Networks: A Guide to IEEE 802.11i (2007). • Special Publication 800-100, Information Security Handbook: A Guide for Managers (2006). Governance, awareness and training, capital planning, interconnecting systems, performance measures, security planning, contingency planning. • Special Publication 800-122, Guide to Protecting the Confidentiality of Personally Identifiable Information (PII) (2010). Identifying, PII, impact levels, confidentiality safeguards, and incident response. • Special Publication 800-150, Guide to Cyber Threat Information Sharing, (2016). • Special Publication 800-160, Systems Security Engineering: An Integrated Approach to Building Trustworthy Resilient Systems, Second Public Draft (2016). Information Sharing and Analysis Centers (ISACs) Available: http://www.isaccouncil.org/home.html The purpose of ISAC is to serve as the conduit for cross-modal lessons learned and best prac- tices in ICS cybersecurity, and to provide a forum for partnership, outreach, and information sharing. • Surface Transportation Information and Sharing Analysis Center (ST-ISAC) Available: https://www.surfacetransportationisac.org/

Bibliography and Resource Guide 149 The ST-ISAC was formed at the request of the U.S. Department of Transportation. The ISAC provides a secure cyber and physical security capability for owners, operators, and users of critical infrastructure. Security and threat information is collected from worldwide resources, then analyzed and distributed to members to help protect their vital systems from attack. The ISAC also provides a vehicle for the anonymous or attributable sharing of inci- dent, threat, and vulnerability data among the members. Members have access to information and analytical reporting provided by other sources, such as U.S. and foreign governments, law enforcement agencies, technology providers, and international computer emergency response teams (CERTs). • Public Transportation Information Sharing and Analysis Center (PT-ISAC) Available: http://www.apta.com/resources/safetyandsecurity/Pages/ISAC.aspx The PT-ISAC is a trusted, sector-specific entity that provides to its constituency a 24/7 Security Operating Capability that established the sector’s specific information/intelligence requirements for incidences, threats, and vulnerabilities. Based on its sector-focused sub- ject matter analytical expertise, the ISAC then collects, analyzes, and disseminates alerts and incident reports that it provides to its membership and helps the government under- stand impacts for their sector. It provides an electronic, trusted ability for the membership to exchange and share information on all threats, physical and cyber, in order to defend public transportation systems and critical infrastructure. This includes analytical support to the government and other ISACs regarding technical sector details and mutual informa- tion sharing and assistance during actual or potential sector disruptions, whether caused by intentional or natural events. • Over the Road Bus Information Sharing and Analysis Center (OTRB-ISAC) The OTRB-ISAC provides cyber and physical security warning and incident reporting for the OTRB transportation segment. Information and news are compiled and extracted from multiple sources by OTRB-ISAC analysts for the purpose of supporting ISAC member homeland security awareness. News alerts and reports are distributed to members by the OTRB-ISAC. • Multistate-ISAC (MS-ISAC) Available: http://msisac.cisecurity.org/ The MS-ISAC is the focal point for cyber threat prevention, protection, response and recovery for the nation’s state, local, tribal, and territorial (SLTT) governments. The MS-ISAC 24/7 cybersecurity operations center provides real-time network monitoring; early cyber threat warnings and advisories; vulnerability identification; and mitigation and incident response. The MS-ISAC is a collaborative state and local government-focused cybersecurity entity that is significantly enhancing cyber threat prevention, protection, response, and recovery throughout the states of our nation. The mission of the MS-ISAC is to provide a common mechanism for raising the level of cybersecurity readiness and response in each state/territory and with local governments. The MS-ISAC provides a central resource for gathering information on cyber threats to critical infrastructure and providing two-way sharing of information between and among the states, territories, and with local government. • Supply Chain ISAC Available: https://secure.sc-investigate.net/SC-ISAC/ISACHome.aspx The Supply Chain ISAC offers the most comprehensive forum for collaboration on critical security threats, incidents, and vulnerabilities to the global supply chain. Its mission is to facilitate communication among supply chain dependent industry stakeholders, foster a partnership between the private and public sectors to share critical information, col- lect, analyze and disseminate actionable intelligence to help secure the global supply chain, provide an international perspective through private sector subject matter experts, and help protect the critical infrastructure of the United States.

150 A Guide to Emergency Management at State Transportation Agencies National Cyber Investigative Joint Task Force—Analytical Group Available: http://www.fbi.gov/about-us/investigate/cyber/ncijtf In 2008, the U.S. President mandated the National Cyber Investigative Joint Task Force (NCIJTF) to be the focal point for all government agencies to coordinate, integrate, and share information related to all domestic cyber threat investigations. The FBI is responsible for devel- oping and supporting the joint task force, which includes 19 intelligence agencies and law enforcement. Internet Crime Complaint Center (IC3) Available: http://www.ic3.gov/default.aspx The Internet Crime Complaint Center (IC3) is a partnership between the Federal Bureau of Investigation (FBI) and the National White Collar Crime Center (NW3C). Internet crime complaints are reported online on the IC3 site. IC3 analysts review and research the com- plaints, disseminating information to the appropriate federal, state, local, or international law enforcement or regulatory agencies for criminal, civil, or administrative action, as appropriate. InfraGard Available: https://www.infragard.org/ InfraGard is a partnership between the FBI, state and local law enforcement agencies, and the private sector—businesses, academic institutions, and other participants—dedicated to sharing information and intelligence to prevent hostile acts against the United States. With over 80 chapters, InfraGard chapters conduct local meetings pertinent to their area. National Cybersecurity Center of Excellence (NCCoE) Available: http://nccoe.nist.gov/ Established in 2012 through a partnership among NIST, the State of Maryland and Montgomery County, the NCCoE is dedicated to furthering innovation through the rapid identification, integration, and adoption of practical, standards-based cybersecurity solutions. C. Emergency Management Program Transportation plays a critical and unique role in emergency response. As the National Response Framework (NRF) states, “The ability to sustain transportation services, mitigate adverse economic impacts, meet societal needs, and move emergency relief personnel and commodities will hinge on effective transportation decisions at all levels.” Transportation’s unique role stems from the broad range of capabilities and responsibilities a transportation agency has, such as large and distributed workforces, easy access to heavy equipment, and a robust communications infrastructure. To be ready for the agency’s role, a comprehensive emergency management program must be in place within the agency. As a part of their function, state DOTs are responsible for creating all-hazards plans and ensuring that employees have the ability to implement them. These all-hazards plans must conform with and complement the planning activities of the rest of the state’s operations and agencies as well as those of regional authorities. DOTs may coordinate planning efforts with other state agencies, including the state’s Emergency Management Agency; county high- way departments; various agencies of the U.S. DOT; and DOTs from other states to ensure activities can be easily integrated when necessary. DOTs also need to plan to receive and use

Bibliography and Resource Guide 151 resources provided by other states and the federal government during operations. In conducting these activities, DOTs should consider applicable standards and best practices for incorporating risk and resilience into functions and systems. Comprehensive Preparedness Guide 201, Second Edition (2013) Citation. Comprehensive Preparedness Guide 201, Second Edition, FEMA, 2013. Avail- able: http://www.fema.gov/media-library-data/8ca0a9e54dc8b037a55b402b2a269e94/ CPG201_htirag_2nd_edition.pdf Synopsis. The Comprehensive Preparedness Guide (CPG) provides for the development of local, state, tribal, territorial, and insular area emergency operations plans. FEMA released CPG 201 in 2012, with a Second Edition following in 2013. The First Edition of CPG 201 presented the basic steps of a Threat and Hazard Identification and Risk Assessment (THIRA) that included a process for identifying community-specific threats and hazards. It addressed setting capability targets for each core capability identified in the National Preparedness Goal. The Second Edition of CPG 201 included an estimation of resources needed to meet those capability targets. The Second Edition also included changes to the THIRA process, stream- lining the number of steps to conduct a THIRA and providing additional examples. THIRA Information Sheet Available: http://www.fema.gov/media-library-data/1388146249060-7b2abfe6be10c- 67c4070ed42deaaadf1/THIRA%20Information%20Sheet_20131104.pdf CPG 201 Supplement 1: THIRA Guide Toolkit Available: http://www.fema.gov/media-library-data/20130726-1831-25045-0138/cpg_201_ supp_1_thira_guide_toolkit_final_040312.pdf Information Sheet ESF #1 Transportation Available: http://www.fema.gov/media-library-data/20130726-1913-25045-2201/ final_esf_1_transportation_20130501.pdf Managing Catastrophic Transportation Emergencies: A Guide for Transportation Executives Citation. Managing Catastrophic Transportation Emergencies: A Guide for Transportation Executives. AASHTO, 2015. Available: http://www.trb.org/Main/Blurbs/171299.aspx Synopsis. This Guide provides guidance to new chief executive officers (CEOs) about the roles and actions that CEOs take during emergency events. A Pre-Event Recovery Planning Guide for Transportation Citation. NCHRP Report 753: A Pre-Event Recovery Planning Guide for Transportation, Transportation Research Board of the National Academies, Washington, DC, 2013. Available: http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_753.pdf Synopsis. This Guide discussed the impact that response can have on recovery, noting that the response efforts can mitigate the damages and consequences of an event, and potentially reduce the time to recovery, such as quickly assessing damage and removing debris. Some response decisions, such as where to put debris, can have an impact on both short-term and long-term recovery, as learned during the aftermath of Hurricane Katrina in New Orleans. Highlighting the differences between response and recovery, NCHRP Report 753 also noted

152 A Guide to Emergency Management at State Transportation Agencies the importance of response and recovery team members understanding each other’s roles and responsibilities, because often the two functions overlap. Considering Security and Emergency Management in the Planning of Transportation Projects: A Guide for Planners of New Transportation Projects, FHWA (2012) Citation. Considering Security and Emergency Management in the Planning of Transpor- tation Projects: A Guide for Planners of New Transportation Projects, FHWA 2012. Available: http://www.planning.dot.gov/documents/consideringsecurityandem.pdf Synopsis. The U.S. Federal Highway Administration has released this report designed to help ensure that security and emergency management are considered during the planning phase of highway-related infrastructure projects. Surface Transportation Security, Volume 6: Guide for Emergency Transportation Operations Citation. NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emer- gency Transportation Operations, Transportation Research Board of the National Academies, Washington, DC, 2005. Available: http://www.trb.org/Main/Public/Blurbs/156212.aspx Synopsis. This Guide supports development of a formal program for the improved man- agement of traffic incidents, natural disasters, security events, and other emergencies on the highway system. It outlines a coordinated, performance-oriented, all-hazard approach called “Emergency Transportation Operations” (ETO). The guide focuses on an enhanced role for state DOTs as participants with the public safety community in an interagency process. Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effective Evacuation Planning Primer Series Citation. Houston, Nancy. Using Highways During Evacuation Operations for Events with Advance Notice: Routes to Effective Evacuation Planning Primer Series. No. FHWA- HOP-06-109. 2006b. Available: http://www.ops.fhwa.dot.gov/publications/evac_primer/ 00_evac_primer.htm Synopsis. Evacuations may involve hundreds or hundreds of thousands of people. Regard- less of the numbers, in each and every instance, the transportation network plays a key role in evacuating people out of harm’s way. Recognizing the unique challenges posed by the disaster environment on mobility and the safe and secure movement of people and goods, the U.S. Department of Transportation’s (DOT’s) Federal Highway Administration (FHWA) seeks to improve evacuation planning and implementation by bringing to the emergency management community new ways of better using the transportation network before and during evacuations. This document constitutes the first of a primer series titled “Routes to Effective Evacuations.” This primer is intended as a tool to aid local and state planners to maximize the use of the highway network in the development and execution of evacuation plans for their communities, states, or regions. Final Report for the Application of Technology to Transportation Operations in Biohazard Situations Citation. Final Report for the Application of Technology to Transportation Operations in Biohazard Situations, FHWA, 2005. Available: http://www.its.dot.gov/eto/docs/transops_ biohazard/executive.htm

Bibliography and Resource Guide 153 Synopsis. The U.S. Federal Highway Administration has released a report that examines the role of transportation agencies during a biohazard situation. The report is designed to help state and local transportation agencies perform the roles expected of them during all phases of a biohazard incident. According to the report, those roles can differ significantly from the ones they typically perform during other types of emergencies. A Guide to Transportation’s Role in Public Health Disasters Citation. NCHRP Report 525: Surface Transportation Security, Volume 10: A Guide to Transportation’s Role in Public Health Disasters. Transportation Research Board of the National Academies, Washington, DC, 2006. Available: http://www.trb.org/Main/Public/ Blurbs/156474.aspx Synopsis. This Guide examines development of transportation response options to an extreme event involving chemical, biological, or radiological agents. The report contains tech- nical information on chemical, biological, and radiological threats, including vulnerabilities of the transportation system to these agents and consequence-minimization actions that may be taken within the transportation system in response to events that involve these agents. The report also includes a spreadsheet tool, called the Tracking Emergency Response Effects on Transportation (TERET), that is designed to assist transportation managers with recognition of mass-care transportation needs and identification and mitigation of potential transportation- related criticalities in essential services during extreme events. The report includes a user’s manual for TERET as well as a PowerPoint slide introduction to chemical, biological, and radio- logical threat agents designed as an executive-level communications tool based on summary information from the report. Simplified Guide to the Incident Command System for Transportation Professionals Citation. Simplified Guide to the Incident Command System for Transportation Profes- sionals, FHWA, 2006a. Available: http://www.ops.fhwa.dot.gov/publications/ics_guide/index.htm Synopsis. The purpose of this Simplified Guide is to introduce the ICS to stakeholders who may be called upon to provide specific expertise, assistance, or material during highway inci- dents but who may be largely unfamiliar with ICS organization and operations. These stake- holders include transportation agencies and companies involved in towing and recovery as well as elected officials and government agency managers at all levels. This document may also be beneficial to public safety professionals, who are familiar with ICS but may not fully understand how ICS concepts are applicable to transportation agencies. Public Transportation Emergency Mobilization and Emergency Operations Guide Citation. TCRP Report 86: Public Transportation Security, Volume 7: Public Transpor- tation Emergency Mobilization and Emergency Operations Guide, Transportation Research Board of the National Academies, Washington, DC, 2005. Available: http://www.trb.org/ Main/Blurbs/156130.aspx Synopsis. This report examines activities that may be taken by public transportation agencies working with their local communities to promote the early recognition of emer- gency events, expedite response to emergency events, establish multi-agency coordination, and ensure that public transportation resources are available to support the response to an emergency event.

154 A Guide to Emergency Management at State Transportation Agencies Incorporating Security into the Transportation Planning Process Citation. NCHRP Report 525: Surface Transportation Security, Volume 3: Incorporating Security into the Transportation Planning Process, Transportation Research Board of the National Academies, Washington, DC, 2005. Available: http://www.trb.org/Main/Blurbs/155903.aspx Synopsis. This report examines the status, constraints, opportunities, and strategies for incorporating security into transportation planning at the state and metropolitan levels. The report also examines security-related projects in state and metropolitan priority programming decisions. Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies Citation. NCHRP Report 525: Surface Transportation Security, Volume 8: Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies, Transportation Research Board of the National Academies, Washington, DC, 2005. Available: http://www.trb.org/Main/ Blurbs/156474.aspx Synopsis. The report is designed to assist transportation agencies in evaluating and modi- fying existing operations plans, policies, and procedures, as called for in the National Incident Management System. The planning guidelines in this report are supplemented online with downloadable worksheets, a template for a completed COOP plan, a series of brochures that can be used to explain the COOP planning process to staff, a draft PowerPoint presentation that may be customized and presented to transportation executive leadership, and more than 300 resource documents organized in an electronic COOP library. FHWA Emergency Transportation Operations Website Available: http://ops.fhwa.dot.gov/eto_tim_pse/index.htm The Office of Operations Emergency Transportation Operations (ETO) home page, fea- tures information on the ETO for Disasters, Traffic Planning for Special Events (PSE), and Traffic Incident Management (TIM) programs. The site provides tools, guidance, capacity building, and good practices that 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. Non-recurring events may range from traffic incidents to traffic PSE to disaster or emergency transportation operations (Dis aster ETO). Work in ETO program areas focuses on using highway operational tools to enhance mobility and motorist and responder safety. Traffic Incident Management (TIM) Traffic incident management (TIM) is a planned and coordinated program to detect and remove incidents and restore traffic capacity as safely and quickly as possible. Traffic Incident Management Gap Analysis Primer Available: http://ops.fhwa.dot.gov/eto_tim_pse/about/tim.htm#t3 Synopsis. This document provides guidance to federal, state, and local TIM programs and their involved partners on the components needed to develop and sustain a successful full- fledged TIM program. The objectives of this primer are to • Identify and summarize the current state of TIM practice and activities at the national, state, and local levels.

Bibliography and Resource Guide 155 • Identify and summarize gaps found in TIM activities/information for national, state, and local departments and agencies. • Identify and outline a framework for achieving a complete TIM program for the different levels of government utilizing national guidelines. • Outline the key elements that are contained in successful TIM programs. The information contained within this document is geared toward multidisciplinary TIM stakeholders from both the public and private sectors. This includes but is not limited to per- sonnel from transportation agencies, law enforcement, fire and rescue, emergency medical services (EMS), public safety communications, emergency management, towing and recovery, hazardous materials (HazMat), utilities, contractors, and traffic information media. Making the Connection: Advancing Traffic Incident Management in Transportation Planning Citation. Making the Connection: Advancing Traffic Incident Management in Trans- portation Planning, FHWA, 2013. Available: http://www.ops.fhwa.dot.gov/publications/ fhwahop13044/index.htm Synopsis. The intent of this primer is to inform and guide traffic incident management (TIM) professionals and transportation planners to initiate and develop collaborative relation- ships and advance TIM programs through the metropolitan planning process. The primer aims to inspire planners and TIM professionals to create transportation plans and programs that support regional TIM programs through TIM-focused objectives, performance measures, and TIM strategies and projects. The ultimate goal of this primer is to strengthen, support, and ele- vate regional TIM programs as a crucial, lower-cost strategy for reliability, safety, environmental improvements, and mobility. Senior Executive Transportation and Public Safety Summit Report Citation. Senior Executive Transportation and Public Safety Summit: National Traffic Inci- dent Management Leadership and Innovation Roadmap for Success, FHWA, 2012. Available: http://ops.fhwa.dot.gov/eto_tim_pse/publications/publicsafetysummit/index.htm Synopsis. The 2012 Senior Executive Transportation and Public Safety Summit Report summarizes the proceedings, findings, and recommendations from a two-day Senior Execu- tive Summit on Transportation and Public Safety, held June 26 and 27, 2012, at the U.S. DOT in Washington, DC. This forum of senior-level, multidisciplinary executives representing the transportation, law enforcement, fire and rescue, and emergency medical services communities addressed major challenges and innovative solutions in enhancing the state of the practice nationally in Traffic Incident Management (TIM). Secretary of Transportation Ray LaHood, Federal Highway Administration (FHWA) Deputy Administrator Greg Nadeau, and FHWA Executive Director Jeff Paniati provided opening remarks expressing the commitment of the entire department to support safe, quick traffic incident response on the nation’s road- ways. Participants at the summit discussed innovative practices in TIM policies, legislation, training, and outreach. Summit highlights included discussions and presentations on the following issues: improving responder and motorist safety and consistency among jurisdic- tions; supporting TIM outreach initiatives and messaging; enhancing state and local legis- lation and policies that advance TIM planning and operations, including Driver Removal and Authority Removal legislation; supporting urgent and clearly defined research strategies, such as model Move Over and Driver Removal laws, the effects of emergency lighting, and the impact of TIM performance measures; implementing the National TIM Responder Training course developed through the TRB’s Second Strategic Highway Research Program (SHRP 2);

156 A Guide to Emergency Management at State Transportation Agencies improving the efficiency of the highway system through possible cost-recovery strategies, better investment of cost-efficient resources, and improved communication among responders about roles and responsibilities; and developing an action-based executive group equipped to provide leadership, support, and guidance in advancing priority actions. Analysis, Modeling, and Simulation for Traffic Incident Management Applications Citation. Analysis, Modeling, and Simulation for Traffic Incident Management Appli- cations, FHWA, 2012. Available: http://ops.fhwa.dot.gov/publications/fhwahop12045/ index.htm Synopsis. Traffic incidents are a major source of congestion. Implementing traffic incident management (TIM) strategies has proven to be a highly cost effective way of reducing non- recurrent congestion. This publication provides the current state of practice of various ana- lytical methodologies and related TIM applications. It also identifies some research activities to improve analysis of incident impacts and TIM strategies. This document provides a synthesis of analysis, modeling, and simulation (AMS) methods for incident impacts. The focus is on incident effects on congestion and reliability as well as secondary incidents for the purpose of estimating TIM benefits and evaluating programs and proposed strategies. Traffic Incident Management Cost Management and Cost Recovery Primer Citation. Traffic Incident Management Cost Management and Cost Recovery Primer, FHWA, 2012. Available: http://ops.fhwa.dot.gov/publications/fhwahop12044/index.htm Synopsis. This publication provides mid-level managers at transportation and other stakeholder agencies with the resources they need to explain the benefits of traffic incident management (TIM) and TIM cost management and cost recovery to executive leadership. It also provides the same mid-level managers with information that will help them implement TIM cost management and cost recovery techniques. This document focuses on “recoverable costs” related to TIM, as there are costs associated with TIM that cannot accurately be measured or replaced; however, costs related to responder and motorist injury, disability, fatality, and the related medical and societal costs are not addressed here as those issues are addressed in a variety of ways in existing literature. Best Practices in Traffic Incident Management Citation. Best Practices in Traffic Incident Management, FHWA, 2010. Available: http://ops. fhwa.dot.gov/publications/fhwahop10050/index.htm Synopsis. This report describes task-specific and cross-cutting issues or challenges com- monly encountered by TIM responders in the performance of their duties, and novel and/or effective strategies for overcoming these issues and challenges (i.e., best practices). Field Operations Guide for Safety/Service Patrols Citation. Field Operations Guide for Safety/Service Patrols, FHWA, 2009. Available: http:// ops.fhwa.dot.gov/publications/fhwahop10014/index.htm Synopsis. This guide was produced by the Federal Highway Administration and was developed for use by Safety/Service Patrol operators and supervisors. It is expected that Safety/ Service Patrol personnel will carry the guide in their vehicle to use as a quick reference while performing patrol tasks. They should refer to this guide on a regular basis as a refresher on steps and tasks associated with managing incidents, particularly for those situations not encountered

Bibliography and Resource Guide 157 every day. This guide is not designed to stand alone but in conjunction with training and exer- cises that will indoctrinate the Safety/Service patrol operators into these good practices as well as agency formal standard operating guidelines or procedures. Traffic Incident Management Handbook Citation. Traffic Incident Management Handbook, FHWA, 2010. Available: http://ops.fhwa. dot.gov/eto_tim_pse/publications/timhandbook/index.htm Synopsis. The Traffic Incident Management Handbook (TIM) (the Handbook or TIM Handbook) includes the latest advances in TIM programs and practices across the country and offers practitioners insights into the latest innovations in TIM tools and technologies. Emergency Vehicle Visibility and Conspicuity Report Citation. Emergency Vehicle Visibility and Conspicuity Report, U.S. Department of Justice, 2009. Available: https://www.usfa.fema.gov/downloads/pdf/publications/fa_323.pdf Synopsis. The study report highlights the results of a U.S. Department of Justice- National Institute of Justice-supported project intended to enhance emergency vehicle and roadway operations safety for firefighters, law enforcement officers, and other emergency responders. This report discusses best practices in emergency vehicle visibility and conspicuity, including cutting edge international efforts. It covers retroreflective striping and chevrons, high-visibility paint, built-in passive light, and other reflectors for law enforcement patrol vehicles, fire appara- tus, ambulances and other EMS vehicles, and motorcycles. National Preparedness and National Planning Frameworks The federal government requires state DOTs to incorporate principles and concepts of national initiatives that provide common approaches to incident management and response in emergency response plans and operations. National initiatives include the National Response Framework (NRF) with its designated emergency support functions (ESFs) and the National Incident Management System (NIMS) with its protocols for multiagency inter- action and communication. State and local NIMS compliance is a prerequisite for federal preparedness funds. The National Disaster Recovery Framework includes designated recovery support functions (RSFs). Presidential Policy Directive 8: National Preparedness (2011) http://www.dhs.gov/xlibrary/assets/presidential-policy-directive-8-national-preparedness.pdf National Preparedness Goal, Second Edition—Information Sheet Citation. National Preparedness Goal, Second Edition—Information Sheet, Federal Emergency Management Agency (FEMA), Washington, DC, 2015, [Online]. Available: http:// www.fema.gov/media-library-data/1443624338930-32e9ed3ac6cf8e95d7d463ed9b9685df/ NationalPreparednessGoal_InformationSheet_2015.pdf Synopsis. The 2011 National Preparedness Goal was updated in 2015. The key changes are described in the National Preparedness Goal, Second Edition—What’s New Fact Sheet. The National Preparedness Goal itself has not changed: “A secure and resilient nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk.”

158 A Guide to Emergency Management at State Transportation Agencies The following changes were made to the National Preparedness Goal document: • Introduction: Language added to stress the importance of community preparedness and resilience. • Risk and the Core Capabilities: Enhanced items on cybersecurity and climate change. • Preliminary Targets: Updated preliminary targets. • New Core Capability: A new core capability, Fire Management and Suppression, was added. • Core Capability Titles: Revised the following core capability titles: • Threats and Hazard Iden- tification (Mitigation) – revised to Threats and Hazards Identification; • Public and Private Services and Resources (Response) – revised to Logistics and Supply Chain Management; • On-scene Security and Protection (Response) – revised to On-scene Security, Protection, and Law Enforcement; and • Public Health and Medical Services (Response) – revised to Public Health, Healthcare, and Emergency Medical Services. • Core Capability Definitions: Several of the core capability definitions were revised. Overview of the National Planning Frameworks (2013) http://www.fema.gov/media-library-data/20130726-1914-25045-2057/final_overview_of_ national_planning_frameworks_20130501.pdf National Planning Frameworks: • National Prevention Framework • National Protection Framework • National Mitigation Framework • National Response Framework • National Disaster Recovery Framework National Prevention Framework, Second Edition—Information Sheet Citation. National Prevention Framework, Second Edition—Information Sheet, Federal Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http:// www.fema.gov/media-library-data/1466011024787-91b8e49bf7344dd6dadca441c26272ad/ InformationSheet_Prevention_Framework.pdf Synopsis. The National Prevention Framework focuses on terrorism and addresses the capabilities necessary to avoid, prevent, or stop imminent threats or attacks. Some core capa- bilities overlap with the Protection mission area. The updates include edits to the Nation Preparedness Goal and lessons learned. Other edits include “Updates to Coordinating Structure language on Joint Operations Centers and the Nationwide Suspicious Activity Reporting Initiative. Clarification on the relationship and differences between the Prevention and Protection mission areas. Updated language on the National Terrorism Advisory System (NTAS) as part of the Public Information and Warning core capability. Additional language on science and technology investments within the prevention mission area.” National Protection Framework, Second Edition—Information Sheet Citation. National Protection Framework, Second Edition—Information Sheet, Federal Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http:// www.fema.gov/media-library-data/1466013587164-86696df20638bbf24e25d70070eda114/ InformationSheet_Protection_Framework.pdf

Bibliography and Resource Guide 159 Synopsis. The National Protection Framework focuses on “actions to deter threats, reduce vulnerabilities, and minimize the consequences associated with an incident.” The new Framework incorporates the edits to the National Preparedness Goal and new lessons learned. In addition, the following changes have been made: “Updated Cybersecurity Core Capability Critical Tasks to align with the Mitigation, Response, and Recovery Mission Areas. Additional language on science and technology investments to protect against emerging vulnerabilities are included within the protection mission area. Additional language on interagency coordination within the protection mission area to support the decision-making pro- cesses outlined within the framework.” National Mitigation Framework, Second Edition—Information Sheet Citation. National Mitigation Framework, Second Edition—Information Sheet, Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http://www.fema.gov/ media-library-data/1466014552462-1b78d1a577324a66c4eb84b936c68f16/InformationSheet_ Mitigation_Framework.pdf Synopsis. The National Mitigation Framework covers the capabilities necessary to reduce the loss of life and property by lessening the effects of disasters and focuses on risk (understand- ing and reducing it), resilience (helping communities recover quickly and effectively after dis- asters), and a culture of preparedness. The new Framework incorporates the edits to the National Preparedness Goal and new lessons learned including a revised core capability title, Threats and Hazards Identification. In addition, the following changes have been made: “Additional language on science and technology efforts to reduce risk and analyze vulnerabilities within the mitigation mission area. Updates on the Mitigation Framework Leadership Group (MitFLG), which is now operational. Updates to the Community Resilience core capability definition to promote preparedness activities among individuals, households and families.” National Response Framework, Third Edition—Information Sheet Citation. National Response Framework, Third Edition—Information Sheet, Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http://www.fema.gov/ media-library-data/1466014891281-6e7f60ceaf0be5a937ab2ed0eae0672d/InformationSheet_ Response_Framework.pdf Synopsis. The NRF is aligned with NIMS and provides capabilities to save lives, protect property, and meet basic human needs. Response activities occur before, during, and after an incident and can overlap with the start of Recovery activities. The following changes were made to the Framework: • The addition of a new core capability, Fire Management and Suppression. • Three revised core capability titles – Logistics and Supply Chain Management; – On-scene Security, Protection, and Law Enforcement; and – Public Health, Healthcare, and Emergency Medical Services. • Three revised core capability definitions – Environmental Response/Health and Safety, – Fatality Management Services, and – Logistics and Supply Chain Management.

160 A Guide to Emergency Management at State Transportation Agencies National Disaster Recovery Framework, Second Edition— Information Sheet Citation. National Disaster Recovery Framework, Second Edition—Information Sheet, Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http:// www.fema.gov/media-library-data/1466017528262-73651ed433ccfe080bed88014ac397cf/ InformationSheet_Recovery_Framework.pdf Synopsis. The National Disaster Recovery Framework describes “how the whole commu- nity works together to restore, redevelop, and revitalize the health, social, economic, natural, and environmental fabric of the community.” The new Framework incorporates the edits to the National Preparedness Goal and new lessons learned. Additional changes made to the Framework include “Increased focus on Recovery’s relationship with the other four mission areas. Updated Recovery Support Functions (RSFs) to reflect changes in Primary Agencies and Supporting Organizations. Additional language on science and technology capabilities and investments for the rebuild- ing and recovery efforts.” Resilience Resilience is “the ability to prepare and plan for, absorb, recover from and more success- fully adapt to adverse events” (Disaster Resilience: A National Imperative, National Research Council 2012). The National Infrastructure Advisory Council (NIAC), a presidential advisory coun- cil, conducted a study on resilience that was published under the title Critical Infrastruc- ture Resilience, Final Report and Recommendations (2009). NIAC defines infrastructure resilience as the “ability to reduce the magnitude and/or duration of disruptive events.” In the context of transportation systems, increasing the resilience of transportation net- works could include adaptations or elements that can be incorporated into the planning and design of specific asset types. For example, NCHRP Report 750: Strategic Issues Facing Trans- portation, Volume 2: Climate Change, Extreme Weather Events, and the Highway System: Prac- titioner’s Guide and Research Report provided specific guidance on potential adaptions for bridges, culverts, storm water infrastructure, slopes/walls, and pavement in light of extreme weather events. The most recent transportation reauthorization legislation titled “Fixing America’s Sur- face Transportation Act” or the “FAST Act,” became public law on December 4, 2015, and includes, in SEC. 1201. Metropolitan Transportation Planning, an addition to Title 23 US Code Section 23 requiring MPOs to consider investments that “improve the resiliency and reliability of the transportation system and reduce or mitigate stormwater impacts of surface transportation.” Disaster Resilience: A National Imperative Citation. Disaster Resilience: A National Imperative, National Research Council, The National Academies Press, Washington, DC, 2012. Available: http://www.nap.edu/catalog/13457/ disaster-resilience-a-national-imperative Synopsis. Resilience is defined in this report as “the ability to prepare and plan for, absorb, recover from and more successfully adapt to adverse events.” It provides a discussion of how to increase the nation’s resilience to disasters through a vision of the characteristics of a resilient nation in the year 2030.

Bibliography and Resource Guide 161 Systems Resilience and Climate Change Citation. Systems Resilience and Climate Change. Transportation Research Record: Journal of the Transportation Research Board, No. 2532, Transportation Research Board, Washington, DC, 2015. Available: http://trrjournalonline.trb.org/toc/trr/2532 Synopsis. This edition of TRB’s Transportation Research Record 2532 includes 18 papers that examine resilience and climate change issues related to transportation: • Roadmaps for Adaptation Measures of Transportation to Climate Change • Resilience Versus Risk: Assessing Cost of Climate Change Adaptation to California’s Trans- portation System and the City of Sacramento, California • Barriers to Implementation of Climate Adaptation Frameworks by State Departments of Transportation • Resilience of Coastal Transportation Networks Faced with Extreme Climatic Events • Analysis of Transportation Network Vulnerability Under Flooding Disasters • Vulnerability Evaluation of Logistics Transportation Networks Under Seismic Disasters • Integrating Stochastic Failure of Road Network and Road Recovery Strategy into Planning of Goods Distribution After a Large-Scale Earthquake • Multimodal Transit Connectivity for Flexibility in Extreme Events • Risk and Resilience Analysis for Emergency Projects • Unmanned Aircraft Systems Used for Disaster Management • Multimodal Evacuation Simulation and Scenario Analysis in Dense Urban Area: Philadelphia, Pennsylvania, Case Study • Spatiotemporal Population Distribution Method for Emergency Evacuation: Case Study of New Orleans, Louisiana • Joint Evacuation and Emergency Traffic Management Model with Consideration of Emergency Response Needs • Supporting Mobility-Impaired Populations in Emergency Evacuations • Agent-Based Evacuation Model Considering Field Effects and Government Advice • Selecting Four-Leg Intersections for Crossing Elimination in Evacuations • Using Dynamic Flashing Yellow for Traffic Signal Control Under Emergency Evacuation • Hurricane Evacuation Route Choice of Major Bridges in Miami Beach, Florida Resilience: Key Products and Projects Citation. TRB Resilience: Key Products and Projects. Transportation Research Board, Washington, DC, updated monthly. Available: http://www.trb.org/SecurityEmergencies/ Blurbs/166648.aspx. Synopsis. Updated monthly, this presentation is a slideshow summary of the Transporta- tion Research Board’s transportation security and resilience activities. These cross the main areas of TRB inquiry (freight, transit, highways, and airports). Fundamental Capabilities of Effective All-Hazards Infrastructure Protection, Resilience and Emergency Management for State DOTs Citation. Fundamental Capabilities of Effective All-Hazards Infrastructure Protection, Resilience and Emergency Management for State DOTs, AASHTO, 2015. Available: http:// scotsem.transportation.org/Documents/SCOTSEM/Fundamental%20Capabilities%20of%20 Effective.pdf Synopsis. A Guide prepared to assist state DOTs understand the fundamentals of preventing incidents within their control, protect transportation users, support other responders, recover

162 A Guide to Emergency Management at State Transportation Agencies from incidents, and evaluate responses. It also introduces concepts supporting resilience pro- grams. This is an update to the 2007 publication Fundamentals of Effective All-Hazards Security Management for State DOTs. Integrating Hazard Mitigation and Comprehensive Planning Workshop Citation. Integrating Hazard Mitigation and Comprehensive Planning Workshop, Philadelphia, PA, April 25, 2016. Available: http://www.dvrpc.org/Resiliency/HMP/pdf/2016-04- 25_Workshop_Summary.pdf Synopsis. The workshop emphasized the important relationship between land use planning and hazard mitigation, noting that how we design, build, and regulate our communities impacts their ability to withstand hazards. Increasing National Resilience to Hazards and Disasters Citation. Increasing National Resilience to Hazards and Disasters. Committee on Science, Engineering, and Public Policy, the National Academies of Sciences, Engineering, and Medicine. Available: http://sites.nationalacademies.org/PGA/COSEPUP/nationalresilience/index.htm Synopsis. The ad hoc committee conducted a study and issued a consensus report that integrates information from the natural, physical, technical, economic, and social sciences to identify ways in which to increase national resilience to hazards and disasters in the United States. The ad hoc committee report • Defines “national resilience” and frames the primary issues related to increasing national resilience to hazards and disasters in the United States. • Provides goals, baseline conditions, or performance metrics for resilience at the U.S. national level. • Describes the state of knowledge about resilience to hazards and disasters in the United States. • Outlines additional information or data and gaps and obstacles to action that need to be addressed in order to increase resilience to hazards and disasters in the United States. • Presents conclusions and recommendations about what approaches are needed to elevate national resilience to hazards and disasters in the United States. Crisis Response and Disaster Resilience 2030: Forging Strategic Action in an Age of Uncertainty, Progress Report Highlighting the 2010–2011 Insights of the Strategic Foresight Initiative Citation. Crisis Response and Disaster Resilience 2030: Forging Strategic Action in an Age of Uncertainty, Progress Report Highlighting the 2010–2011 Insights of the Strategic Foresight Initiative, FEMA, January 2012. Available: http://www.fema.gov/media-library- data/20130726-1816-25045-5167/sfi_report_13.jan.2012_final.docx.pdf Synopsis. The Federal Emergency Management Agency (FEMA) established the Strategic Foresight Initiative (SFI) that has brought together a wide cross-section of the emergency man- agement community to explore key future issues, trends and other factors, and to work through their implications. This report presents the findings from foresight efforts thus far, including uncertainties that define and drive the future environment; strategic needs and gaps our com- munity will have to address; a look into the emergency management community of 2030; and finally, suggested next steps for the community to prepare for the future. The strategic needs in particular—grouped into Essential Capabilities, Innovative Models and Tools, and Dynamic Partnerships—are intended as a catalyst for leaders throughout the emergency management com- munity to prepare themselves and the nation for the challenges and opportunities the future holds.

Bibliography and Resource Guide 163 Building Resilient States: A Framework for Agencies Citation. Building Resilient States: A Framework for Agencies, Smart Growth America. Available: http://www.smartgrowthamerica.org/resilience/ Synopsis. Smart Growth America’s State Resilience Program offers resources, tools, and ideas for state leaders and agencies to build more resilient places and reduce the risk of natural hazards to human life and investments. Drawing on the work of pioneering state leaders, federal agencies, and national experts, this program represents the cutting edge of land use and engage- ment strategies for hazard resilience. Materials are based on the experience of peer agencies from across the country, the latest research on programs and activities that states control, and proven approaches for building municipal partnerships. Community and Regional Resilience: Perspectives from Hazards, Disasters, and Emergency Management Citation. Susan L. Cutter, Lindsey Barnes, Melissa Berry, Christopher Burton, Elijah Evans, Eric Tate, and Jennifer Webb, Hazards and Vulnerability Research Institute, University of South Carolina. Community and Regional Resilience: Perspectives from Hazards, Disasters, and Emer- gency Management, 2008. Available: http://www.resilientus.org/wp-content/uploads/2013/03/ FINAL_CUTTER_9-25-08_1223482309.pdf Synopsis. Hazards and disaster research provides a fertile field and rich tradition in both the conceptual understanding of hazards vulnerability and community resilience in the face of disasters and the empirical place-based evidence to support geographic and temporal vari- ability in community vulnerability and resilience. Drawing from the social sciences, natural sciences, and engineering, hazards and disasters scholars and practitioners have enabled a richer understanding of the impacts of hazards and disasters on places and the requisite monitoring required for the effective implementation of vulnerability reduction and resilience enhancing public policies. The NOAA also emphasized that geographic scale and unit of analysis are critical components in developing resilience metrics, especially given the underlying questions of resilience to what and for whom. The development and actual deployment of coastal resilience indicators is still in the nascent stage, but there is considerable local, state, regional, and national interest in such measures. The desire is to create the equivalent of “an index of leading resilience indicators” for the nation— indicators that combine the best science and practice that are available. While we are not there yet, the perspectives from the hazards, disasters, and emergency management communities show considerable promise and illuminate the path forward. Resource Guide on Resilience Citation. Resource Guide on Resilience, International Risk Governance Council (IRGC). Available: https://www.irgc.org/irgc-resource-guide-on-resilience/ Synopsis. IRGC developed a web-based resource guide on resilience for researchers and practitioners. The resource guide available on this page is a collection of authored pieces that review existing concepts, approaches, and illustrations or case studies for comparing, contrast- ing, and integrating risk and resilience, and for developing resilience. Most papers also focus on the idea of measuring resilience. Although this idea may not sound right to some, there are ongoing efforts for evaluating resilience, developing resilience indicators, and measur- ing the effectiveness of actions taken to build resilience. These efforts are worth considering, because indicators and metrics for resilience are needed to trigger interest and investment from decision-makers.

164 A Guide to Emergency Management at State Transportation Agencies This guide is designed to help scientists and practitioners working on risk governance and resilience evaluation. It stresses the importance of including resilience building in the process of governing risk, including in research, policy, strategies, and practices. It emphasizes the need to develop metrics and quantitative approaches for resilience assessment and instruments for resilience management. A Multidimensional Review of Resilience: Resources, Processes, and Outcomes Citation. Marcus L. Snell, Daniel A. Eisenberg, Thomas P. Seager, Susan Spierre Clark, Young Joon Oh, John E. Thomas, and Lauren R. McBurnett. A Multidimensional Review of Resilience: Resources, Processes, and Outcomes. 2016. Available at https://www.irgc.org/ irgc-resource-guide-on-resilience/ Synopsis. This paper reviews a sampling of resilience literature from a variety of disciplines and identifies at least three dimensions of resilience: resources, processes, and outcome priorities. Critical Infrastructure Resilience Citation. Eric D. Vugrin, Sandia National Laboratories. Critical Infrastructure Resilience. Available: https://www.irgc.org/wp-content/uploads/2016/04/Vugrin-Critical-Infrastructure- Resilience-1.pdf Synopsis. The Infrastructure Resilience Analysis Methodology (IRAM) provides a com- prehensive framework for analyzing and managing critical infrastructure resilience (Biringer, Vugrin, and Warren 2013). The IRAM is a hybrid methodology that includes performance- based metrics to quantify resilience and resilience attributes to inform analysis and improve- ment. The IRAM quantifies resilience with two primary sets of metrics: systemic impact (SI) and total recovery effort (TRE). Resilience: Approaches to Risk Analysis and Governance: An Introduction to the IRGC Resource Guide on Resilience Citation. Igor Linkov, Benjamin D. Trump, and Cate Fox-Lent. Resilience: Approaches to Risk Analysis and Governance: An Introduction to the IRGC Resource Guide on Resilience. Avail- able: https://www.irgc.org/wp-content/uploads/2016/04/Linkov-Trump-Fox-Lent-Resilience- Approaches-to-Risk-Analysis-and-Governance-1.pdf Synopsis. This paper includes (I) a comparison of risk and resilience management strate- gies, (II) a description of common features within resilience analysis and thinking, and (III) a discussion of the benefits that resilience management brings to the field of risk management. This paper serves as a general introduction to the concept and application of resilience, specifically as it relates to traditional risk management, and in particular about suggestions for metrics or indicators that can be developed to assess resilience in a system, and the perfor- mance of resilience strategies. Measuring the Resilience of Infrastructure Systems Citation. Henry H. Willis, RAND Corporation. Measuring the Resilience of Infrastructure Systems. Available: https://www.irgc.org/wp-content/uploads/2016/04/Willis-Measuring-the- Resilience-of-Infrastructure-Systems.pdf Synopsis. This paper defines resilience—meaning both what it is and what aspects of the system must be measured—and understanding why resilience is being measured.

Bibliography and Resource Guide 165 Planning for a More Resilient Future: A Guide to Regional Approaches Citation. Planning for a More Resilient Future: A Guide to Regional Approaches, NADO. Available: https://www.nado.org/wp-content/uploads/2015/10/Regional_Resilience_report_ FINAL.pdf Synopsis. This report summarizes the rapidly growing body of research on resilience, describing the main ideas that are driving policy and practice across the country, and examin- ing current thinking on regional and economic resilience. It is accompanied by an online guide to resources on the practice of resilience, available at www.nado.org. The guide includes examples of ways to approach planning for resilience, a primer on the expansive federal policy framework which determines the priorities for funding resilience initiatives and describes the current state of philanthropic engagement in resilience efforts. Enhancing Community Resilience: Practical Resources in Addressing the Collaboration Gaps Citation. Stephen Diarmuid Walsh MIPI AIED, Martina Madden, Stephen M. Purcell, Future Analytics Consulting (FAC) Limited. Enhancing Community Resilience: Practical Resources in Addressing the Collaboration Gaps. Available: https://www.irgc.org/wp-content/ uploads/2016/04/Walsh-Madden-Purcell-Enhancing-Community-Resilience.pdf Synopsis. This paper examines Community Resilience (CR), with particular reference to the “collaboration gap” and the manner in which it impedes the unification of communities and responding professionals in terms of reacting to the effects of an adverse event (disaster relief). The purpose of this paper is to highlight the impact of the “collaboration gap” and to then present resources which may enable communities and responding professionals to react together to mitigate and recover from the effects of an adverse event, thereby enhancing the resilience of communities. Resilience Planning in Transportation A Resiliency Framework for Planning in State Transportation Agencies Citation. Amoaning-Yankson, Stephanie. A Resiliency Framework for Planning in State Transportation Agencies. Available: https://smartech.gatech.edu/bitstream/handle/1853/49123/ AMOANING-YANKSON-THESIS-2013.pdf?sequence=1&isAllowed=y Synopsis. This thesis presents a framework for resiliency planning in state departments of transportation and other transportation agencies. The development of this framework is moti- vated by the need for more resilient transportation systems, due to the increasing frequency and the effect both natural and man-made catastrophic disasters have on transportation systems. The resiliency framework is based on the urban transportation planning framework and is thus applied in the broader context of general transportation planning. The resiliency framework is then applied in a preliminary review to three statewide transportation plans to show the resil- iency deficiencies of those plans and how the framework may be applied to increase resiliency. These plans were selected from three different states with diversity of locations and without any preconceived notions about their incorporation of resiliency in their planning process. This preliminary review reveals a reactive nature toward investments that increase an agency’s resilience. This may be attributed to the problem of limited funding for transportation invest- ments as well as limited knowledge by the transportation agencies about the return on such resiliency investments, mostly due to the uncertainty associated with the occurrence of cata- strophic disasters, especially the predictability of weather-related events. However, post-disaster transportation system overhauls provide enough evidence for the need for more systemic ways of addressing resiliency in planning processes.

166 A Guide to Emergency Management at State Transportation Agencies Improving the Resiliency of Transit Systems Threatened by Natural Disasters Citation. Deborah Matherly, Jon A. Carnegie, Jane Mobley. TCRP Web-Only Document 70: Improving the Resiliency of Transit Systems Threatened by Natural Disasters, Volume 1: A Guide. Transportation Research Board, Washington, DC, 2017. Available: http://www.trb.org/Main/ Blurbs/177007.aspx Synopsis. The objectives of this research are to develop (1) a handbook with an associ- ated suite of digital presentation materials to address planning principles, guidelines (including metrics), strategies, tools, and techniques to enable public transit systems to become more resilient to natural disasters and climatic events; and (2) a draft recommended practice for public transit resilience to natural disasters and climatic events suitable as input to the APTA Standards Program. The handbook and its associated suite of digital presentation materials should be appropriately designed for use by public transit agency executive staff to plan, bud- get, and institutionalize effective practices to improve resilience, addressing (a) capital project planning and asset management (including financial planning and risk assessment for natural dis asters and climatic events), (b) operations and maintenance, and (c) administration. They should provide sufficient details to allow users to adapt them to their individual entities. Federal and Transit Agencies Taking Steps to Build Transit Systems’ Resilience but Face Challenges Citation. Federal and Transit Agencies Taking Steps to Build Transit Systems’ Resilience but Face Challenges, GAO, December 2014. Available: http://www.gao.gov/assets/670/667391.pdf Synopsis. This report examines (1) how DHS and DOT help transit agencies make their systems resilient, (2) actions selected transit agencies take to make their systems resilient, and (3) challenges transit agencies face with making their systems resilient. GAO examined documenta- tion and interviewed officials from DHS, DOT, and officials from nine transit and five emergency management agencies. GAO selected a non-generalizable sample of agencies in five locations, chosen for transit ridership volume and variation in geography, types of risks, and transit modes. FloodCast: A Framework for Enhanced Flood Event Decision Making for Transportation Resilience Citation. FloodCast: A Framework for Enhanced Flood Event Decision Making for Trans- portation Resilience, NCHRP Project 20-59(53) Available: http://apps.trb.org/cmsfeed/ TRBNetProjectDisplay.asp?ProjectID=3725 Synopsis. The objectives of this research are to develop a strategic framework and a proto- type tool for enhanced flood event decision making. The framework and tool should help state DOTs plan, manage risks, mitigate hazards, and respond to flood and flash flood events. The framework and tool should address not only immediate flood impacts, but also cascading, esca- lating impacts. Given the large amount and diversity of applicable data and tools, the framework design should be flexible and scalable to accommodate the available data sets and allow users to easily share both data and products with other users, thereby fostering collaboration across government organizations and the private sector. Guidelines to Incorporate the Costs and Benefits of Adaptation Measures in Preparation for Extreme Weather Events and Climate Change Citation. Guidelines to Incorporate the Costs and Benefits of Adaptation Measures in Preparation for Extreme Weather Events and Climate Change, NCHRP Project 20-101, report in progress. Available: http://apps.trb.org/cmsfeed/TRBNetProjectDisplay.asp?ProjectID=3881

Bibliography and Resource Guide 167 Synopsis. The objectives of this research are to develop (a) a stand-alone document pro- viding guidance for practitioners on methods and tools, including illustrative case studies where applicable, to (i) efficiently mine, manage, and document existing data sources; (ii) acquire and use data from new and innovative sources; and (iii) apply, and communicate the results from, a flexible and scalable framework for analyzing the costs and benefits of adaptation measures in preparation for extreme weather events and climate change conducted by various transporta- tion organizations; (b) a final report that documents the entire research effort and includes the research team’s recommendation of research needs and priorities for additional related research; and (c) an updated PowerPoint presentation describing the research and results suitable (upon revision) for posting on the TRB website. The Innovative DOT: A Handbook of Policy and Practice Citation. “The Innovative DOT: A Handbook of Policy and Practice,” State Smart Transpor- tation Initiative and Smart Growth America, 2014. Available: http://www.ssti.us/wp/wp-content/ uploads/2014/01/The-Innovative-DOT-1.8.15.pdf Synopsis. This handbook, developed by the State Smart Transportation Initiative and Smart Growth America, contains a resiliency section that provides guidance for state DOTs on how to incorporate climate change adaptation into long-range transportation planning. It provides state DOTs with a comprehensive list of reforms that will address potential climate- related vulnerabilities and reduce the likelihood, magnitude, duration, and cost of disruption associated with extreme weather. The resiliency section, titled “Incorporate Climate Change Resilience into Long-Range Planning,” provides general guidance to state DOTs on ways to improve their transportation systems. The resiliency section summarizes the potential effects of climate change on a state’s trans- portation system, describes how climate change adaptation planning can help a state protect its transportation assets, and outlines steps state DOTs can take to assess vulnerability and identify and implement changes to improve the system’s resilience. The section reviews the effects of climate change and the impact extreme weather can have on a state’s transportation assets. For example, the increased intensity, variability, duration, and frequency of weather events could lead to shortened infrastructure lifespans, increased risk of catastrophic failures, and increased costs. It provides guidance for state DOTs on ways to imple- ment resilience in transportation systems through operational and infrastructure changes. There are three key adaptation planning steps that state DOTs can take to assess system vulnerability and risks and identify and implement changes to improve the system’s resilience. These steps include (1) documenting environmental changes and selecting the most appropriate climate models to predict future conditions; (2) identifying climate change-related stressors and their impacts on the transportation system, and inventorying transportation assets, focusing on char- acteristics that could help or hinder adaptation; and (3) developing and assessing alternative strategies for adapting infrastructure and operations. The handbook also highlights FHWA-sponsored pilot projects for incorporating resilience into transportation planning. These pilots were intended to encourage state and regional agencies in the development of climate adaptation plans using FHWA’s Climate Change and Extreme Weather Vulnerability Assessment Framework. Three of the states that conducted pilot projects (Washington, California, and Massachusetts) are featured in the handbook as case studies. Washington completed the vulnerability and risk assessment step by identifying at-risk transportation assets and planning to further develop a set of specific adaptation strategies for the assets. California has begun developing and selecting strategies for transportation infrastruc- ture and has developed guidance to assist MPOs and regional transportation planning agencies with assessing their vulnerability and incorporating climate adaptation into the development of

168 A Guide to Emergency Management at State Transportation Agencies their regional plans. Massachusetts committed funding to address climate impacts according to recommendations made in the state’s 2011 Climate Change Adaptation Report, which included recommendations for improving transportation facilities’ preparedness for extreme weather events. The handbook was commissioned by the U.S. DOT’s FHWA to assist state DOTs with priori- tizing reforms by offering strategies that can be undertaken to improve a state’s transportation system. NY Metropolitan Transportation Council, Resiliency Planning, Plan 2040 Citation. NY Metropolitan Transportation Council, Resiliency Planning, Plan 2040. Avail- able: https://www.nymtc.org/Regional-Planning-Activities/Resiliency-Planning Synopsis. Improving the resiliency of the transportation system was included in Plan 2040’s regional goals. The Plan includes various strategies for climate adaptation throughout the entire transportation system and stresses the importance of collaboration between all member agencies in planning for future severe weather events. Greater resiliency will mitigate the adverse impacts of disruptions on the movement of people and goods due to weather, climate, or other acts of nature. The following outcomes are associated with the regional resiliency goal: • Adaptation measures for critical components of the transportation system to accommodate variable and unexpected conditions without catastrophic failure; • Greater resiliency of the regional supply chain by identifying options for goods movement during and after events; • Cooperative partnerships with federal, state, local agencies, and other stakeholders to adapt the transportation system and improve recovery from disruptions. Transportation Sector Resilience, Final Report and Recommendations Citation. Transportation Sector Resilience, Final Report and Recommendations, National Infrastructure Advisory Council (NIAC), July 10, 2015. Available: https://www.dhs.gov/sites/ default/files/publications/niac-transportation-resilience-final-report-07-10-15-508.pdf Synopsis. The President directed the National Infrastructure Advisory Council (NIAC) to examine the resilience of the nation’s transportation sector to determine potential gaps and identify opportunities for the federal government to improve the sector’s resilience and security. Throughout this study, infrastructure resilience is defined as the ability to reduce the magnitude or duration of disruptive events that is accomplished by anticipating, absorbing, adapting to, or rapidly recovering from the disruption. The Council’s key findings are presented within three major topic areas: Finding 1: Understanding Systemic Risks – Transportation risks are not well understood across modes, regions, and critical interde- pendent sectors, creating uncertainty about national-level consequences that could arise from a major system disruption. – Owners and operators have limited visibility of risks across adjoining systems, jurisdic- tions, modes and critical dependent infrastructures. In particular, emerging risks related to cyber disruptions. Finding 2: Incorporating Resilience into Operational Practice – Although national resilience policies are generally well established, they have not yet been integrated into comprehensive national transportation plans and strategies that

Bibliography and Resource Guide 169 coordinate decision making and risk management across modes at local, state, regional, and national levels. – Gaps in leadership, coordination, and workforce capabilities have made it difficult for organizations to effectively incorporate resilience as an embedded function of good operating practice. – There is no structured senior-level engagement between public and private sectors partners, and among transport modes and interdependent sectors, to address national- level transportation risks. Finding 3: Investing in Resilient Infrastructure – Chronic underinvestment in transportation infrastructure and the inability to monetize resilience for investment decisions have prevented resilience from being integrated into the built infrastructure. – There is no national consensus on the need for investment in resilient transportation infra- structure due in part to a limited understanding among the public, political leaders, and industry leaders about the role and value of resilience. – Uncertainty over the likelihood, costs, and consequences of emerging risks makes it dif- ficult for owners and operators to invest in long-term resilience. There are three overarching recommendations: the need to (1) baseline current risks and establish a Federal vision for transportation resilience; (2) develop the analytic tools, models, and exercises to better understand and plan for emerging risks and interdependencies; and (3) use the results of these efforts to operationalize resilience by increasing funding and imple- menting effective federal practices, procedures, and procurement processes. Resiliency Metrics for Transportation Planning Citation. Resiliency Metrics for Transportation Planning, Caltrans Division of Research, Innovation and System Information, 2015, Available: http://www.dot.ca.gov/newtech/research reports/preliminary_investigations/docs/resiliency_metrics_preliminary_investigation.pdf Synopsis. One of Caltrans’ strategic objectives is to attain a more resilient and integrated transportation system, and this preliminary investigation sought information to support that goal. Caltrans is particularly interested in information to support development of a resiliency score or other metric that the department can use to prioritize projects based on expected resiliency and adaptability to change. Caltrans has a stated initial interest in three types of resiliency: climate, system, and financial. The agency is also interested in learning what types of vulnerabilities are addressed in resiliency efforts across the United States and internationally. Adapting Bridge Infrastructure to Climate Change: Institutionalizing Resilience in Intergovernmental Transportation Planning Processes in the Northeastern USA. Citation. Schulz, A., Zia, A., and Koliba, C. Adapting bridge infrastructure to climate change: institutionalizing resilience in intergovernmental transportation planning processes in the North- eastern USA. C. Mitig Adapt Strateg Glob Change (2015). doi:10.1007/s11027-015-9672-x. Avail- able: http://link.springer.com/article/10.1007/s11027-015-9672-x Synopsis. Multi-level governance networks provide both opportunities and challenges to mainstream climate change adaptation due to their routine decision-making and coordination processes. This paper explores institutionalizing resilience and adaptation to climate change in the intergovernmental transportation planning processes that address bridge infrastructure in the Northeastern United States (USA), specifically in Vermont and Maine. The research presented

170 A Guide to Emergency Management at State Transportation Agencies here relies on nine interviews with policymakers and planners, a survey of transportation proj- ect prioritization criteria, development of a longitudinal bridge funding database, and its inte- gration with publicly available geospatial data. It presents a novel spatial analysis methodology, a modified version of which could be adopted by transportation agencies for prioritizing scarce adaptation funds. Although transportation agencies are undertaking a variety of mitigation activ- ities to address business-as-usual needs, climate change adaptation and resilience efforts remain underprioritized. Adaptation is a global concern, but impacts vary dramatically between regions and require localized solutions. Bridges and culverts, which are especially vulnerable to climate- induced flooding impacts, have complex maintenance and design processes and are subject to convoluted adaptation planning procedures. Critical gaps in resources and knowledge are bar- riers to improved adaptation planning. Restructuring the transportation project prioritization procedures used by planning organizations to explicitly include adaptation may provide a novel strategy to institutionalize resilience in transportation. These procedures must be considered in the context of the intergovernmental networks that exist to support transportation infrastructure. Although these networks will likely vary across countries, the approaches introduced here to study and address transportation infrastructure adaptation may be applied to many settings. State Agency Chiefs Break Down Issues Facing DOTs in CEO Roundtable Panels Citation. State Agency Chiefs Break Down Issues Facing DOTs in CEO Roundtable Panels, AASHTO Journal, 15 January 2016. Available: https://www.tsp2.org/2016/01/18/state-agency- chiefs-break-down-issues-facing-dots-in-ceo-roundtable-panels/ Synopsis. California DOT Director Malcolm Dougherty moderated a panel discussion on resiliency and the ways in which state DOTs are planning for and responding to changes in climate and extreme weather events. His panelists were Pennsylvania DOT Director Leslie Richards, Delaware Transportation Secretary Jennifer Cohan, and Colorado DOT Executive Director Shailen Bhatt. All described recent severe weather events that had damaged their trans- portation networks. “I think it is fair to say that every state has had its share of adverse events,” said Dougherty, whose state recently suffered severe flooding, mudslides, and fires. “That is what we’re betting on right now . . . what I’m certain of is that we’re going to get more of this,” said Bhatt, who also talked about the severe mountain flooding that washed out many roads and rail tracks in Colorado during September 2013. Richards said that in Pennsylvania, one of the nation’s most flood-prone states, officials recently com- missioned the state’s first resiliency study. She said plans need to include educational campaigns and public outreach. While most states face severe weather events, Delaware also sees challenges from rising sea levels. Cohan said her state has the nation’s lowest mean elevation with dikes and levees already protecting lands. She said resilience planning needs to focus not only on what can be protected, but also on what should be protected and at what cost. “This is an extremely passionate issue in Delaware,” said Cohan. She noted that her department is vacating its first road this year due to rising sea levels. “We have to start somewhere, and this was the logical first step.” Port Resilience Planning in the Port of New York and New Jersey Citation. Dr. Tiffany Smythe, Principal Investigator, Center for Maritime Policy and Strategy U.S. Coast Guard Academy, New London, CT. Port Resilience Planning in the Port of New York and New Jersey. Available: http://www.cga.edu/WorkArea/DownloadAsset.aspx?id% 3D5050&usg=AFQjCNE6Ipl3dIoEf8szZxBwQzi1TWr4ng&sig2=_ysxkmx4Y1TOU8rFr8m1BQ &bvm=bv.134495766,d.eWE06320

Bibliography and Resource Guide 171 Synopsis. The purpose of this academic study is to examine resilience planning in the Port of New York and New Jersey with the goal of helping port, emergency management, and planning professionals enhance the value of their ongoing port resilience planning work. While the concept of “resilience” to coastal storms and other natural hazards is increasingly used in public discourse, little social science research has been done to examine the applica- tion of this concept within the context of ports and to learn from the practitioners who are doing this work. This study is focused on three questions: (1) What do practitioners envision as a resilient port and how do they prioritize among the range of near-term and long-term resiliency considerations, (2) Who is involved in coastal storm, port resilience, and climate change adaptation planning, and (3) In what ways do individuals collaborate across planning networks, jurisdictions, agencies, and sectors to accomplish this work? Increasing Trans Resilience in the Gulf Coast Citation. Increasing Trans Resilience in the Gulf Coast, U.S. Climate Resilience Toolkit, National Oceanic and Atmospheric Administration (NOAA), 2016. Available: https://toolkit. climate.gov/case-studies/increasing-transportation-resilience-gulf-coast Synopsis. The study identified innovative approaches for using climate data in transporta- tion vulnerability assessments, consistent strategies for evaluating vulnerability and adaptation options, and tools and resources that can assist other transportation agencies in conducting similar assessments. Resilience Plans—State Examples Vermont’s Roadmap to Resilience http://www.iscvt.org/wp-content/uploads/2014/06/vermonts-roadmap-to-resilience- web.pdf Vermont is now working to develop an integrated, long-term strategy for resilience—one that weaves together state, regional, and local initiatives, and better equips the state to prepare for, respond to, and bounce back from future climate impacts and the natural disasters that we know will come. The Resilient Vermont project is a stakeholder-driven process to identify practical steps to reduce our vulnerabilities and minimize the risks to our citizens, our communities, our economy, and our environment. New York State Community Resilience http://cdrpc.org/wp-content/uploads/2016/04/03312016-Community-Resilience.pdf This document includes an overview of requirements and activities in resilience in New York state. Iowa State Freight Plan http://www.iowadot.gov/iowainmotion/freight.html The Iowa DOT has embarked on numerous freight planning activities to help achieve this objective, many of which will be detailed in the Iowa Freight Plan. This plan is a way to con- nect all of these initiatives and allow them to move toward a common goal of optimal freight transportation in the state. In addition, the plan will guide Iowa DOT’s investment decisions to maintain and improve the freight transportation system, and ultimately strengthen the state’s economy and raise the quality of life for its citizens.

172 A Guide to Emergency Management at State Transportation Agencies Oregon Resilience Plan: Reducing Risk and Improving Recovery for the Next Cascadia Earthquake and Tsunami, 2013 http://www.oregon.gov/OMD/OEM/osspac/docs/Oregon_Resilience_Plan_Final.pdf Oregon Resilience Plan set out to help Oregonians know what to expect from the state’s infrastructure should that disaster strike this year, and to propose the level of infrastructure reliability that a resilient state should provide. The plan’s recommendations highlight ways to close the gap that separates expected and desired performance. The Transportation Task Group (Chapter Five) assessed the seismic integrity of Oregon’s multi-modal transportation system, including bridges and highways, rail, airports, water ports, and public transit systems, examined the special considerations pertaining to the Columbia and Willamette River navigation channels, and characterized the work deemed necessary to restore and maintain transportation lifelines after a Cascadia earthquake and tsunami. The group’s scope included interdependence of transportation networks with other lifeline systems. Texas State Freight Resiliency Plan http://ftp.dot.state.tx.us/pub/txdot-info/library/reports/gov/tpp/spr/resiliency/resiliency_ phase_1.pdf The Texas Department of Transportation (TxDOT) recognized that the highway system is a major component of a resilient freight network. As the managing organization responsible for maintaining the state’s highways, TxDOT developed this plan to provide a comprehensive framework for identifying key freight infrastructure corridors and strategies to ensure a resilient freight transportation network in the state of Texas. Resilience Plans—Transportation Specific Examples 2060 Florida Transportation Plan http://www.adaptationclearinghouse.org/resources/2060-florida-transportation-plan-a.html http://www.dot.state.fl.us/planning/ftp/ The “2060 Florida Transportation Plan” provides transportation planning guidance for the state and includes emergency preparedness and resilience planning in its long-range objec- tives. The Plan, developed by the Florida Department of Transportation (FDOT), sets high- level transportation objectives for the state and offers implementation strategies to meet those objectives. The Plan articulates two long-range objectives related to climate change resiliency: improv- ing Florida’s ability to use the transportation system to respond to emergency and security risks and increasing the resilience of state’s critical infrastructure to the impacts of climate trends and events. The Plan offers several strategies to improve the state’s ability to respond to emergency risks, calling on the FDOT to • Implement a comprehensive approach for enhancing transportation security and emergency management through developing and regularly updating statewide and regional emergency response plans to define roles and strategies related to preparedness, prevention, detection, protection, response, recovery, and mitigation; • Support emergency evacuation, response, and post-disaster recovery activities through trans- portation planning and management decisions; and • Increase the use of technology to improve transportation safety, security, and emergency management, including public sector actions to develop standards and adapt infrastructure to facilitate vehicle, communications, and related technology investments.

Bibliography and Resource Guide 173 In addition to emergency management, the Plan also recognizes the need for system owners to identify where the risk for service interruptions will be greatest from the impacts of climate change. To reduce vulnerability and increase resilience, the Plan calls for the development of more refined data and decision-making tools to help decision-makers integrate climate trends and their potential impacts into decisions about the design, construction, maintenance, and operation of transportation infrastructure. All objectives and implementation strategies in the Plan are nonbinding. In 2015–2016, FDOT updated the Florida Transportation Plan; the Vision Element and the Policy Element of the FTP were released in August and December 2015, respectively, and Strategic Intermodal System Policy Plan was completed in February 2016. The new plan establishes a vision to shift focus from maintaining infrastructure to adapting infrastructure, which includes making it resilient to impacts of extreme weather events, climate trends, and sea-level rise. The FTP Policy Element includes goals and objectives designed to guide the state toward this and other aspects of the overall vision for the state’s transportation system. To support the goal of adapting infrastructure and increasing resilience, the Policy Ele- ment recommends incorporating extreme weather risks into long-range planning, project development, design, and operations and maintenance; and continuing to support research to better understand impacts of extreme weather and climate trends on transportation infrastructure. Illinois’ State Long Range Transportation Plan http://apps.dot.illinois.gov/Checkbox/Survey.aspx?s=c6649fca145b4c9d986e49310dad579e Includes Resilience goal—“ensure infrastructure is prepared to withstand and sustain hazards and extreme events” Oregon Bridge Resilience Plan Slides: https://www.crpanel.org/wp-content/uploads/2016/07/Oregon-Bridge-Resilience- Plan-NISTwebinarJuly13_2016-2.pdf Presentation: https://arameetings.webex.com/mw3100/mywebex/nbrshared.do NYSDOT Climate Change Resiliency Efforts http://nysmpos.org/wordpress/wp-content/uploads/2015/07/26_E-Lennon-NYSDOT- Resilience-Activities-for-NYSAMPO-2015.pdf Mass MBTA Winter Resiliency Plan http://www.mass.gov/governor/press-office/press-releases/fy2015/governor-announces- mbta-winter-resiliency-plan.html California Transportation Sector Plan http://resources.ca.gov/docs/climate/safeguarding/Transportation%20Sector%20Plan.pdf Safeguarding California: Reducing Climate Risk (Safeguarding California), details several recommended actions to enhance the state’s transportation system’s resiliency to climate impacts and improve its ability to provide access to places, goods, and services. This implementation plan builds on the foundation provided by Safeguarding California by describing climate-related vulnerabilities of the transportation sector, outlining current activities, identifying next steps, and proposing monitoring and evaluation metrics.

174 A Guide to Emergency Management at State Transportation Agencies D. Stakeholders—Regional Collaboration National Incident Management System (NIMS) Available: http://www.fema.gov/national-incident-management-system The National Incident Management System (NIMS) is a systematic, proactive approach to guide departments and agencies at all levels of government, nongovernmental organizations, and the private sector to work together seamlessly and manage incidents involving all threats and hazards—regardless of cause, size, location, or complexity—in order to reduce loss of life, property, and harm to the environment. NIMS is the essential foundation to the National Preparedness System (NPS) and provides the template for the management of incidents and operations in support of all five National Planning Frameworks. NIMS updates since the 2010 Guide was published provided important new definitions, policy direction, and guidance explaining (1) the NIMS relationship to the National Prepared- ness Framework; (2) additions to cover Intelligence and cyber issues; (3) support, coordination, collaboration, and command and management of tactical and non-tactical operations; (4) use and interoperability of Emergency Communications; and (5) inclusion of “whole community” concepts in the NIMS. The NIMS 2016 refresh retains key concepts and principles from earlier NIMS versions while incorporating new Presidential directives, legislative changes, and lessons learned from exercises, actual incidents, and planned events. The NIMS 2016 refresh • Reiterates concepts and principles of the original 2004 version and the updated 2008 version; • Reflects and incorporates lessons learned from exercises, real world incidents, and policy updates, such as the National Preparedness System, and NIMS-related guidance, including the 2013 NIMS Intelligence/Investigation Function Guidance and Field Operations Guide; • Reflects progress in resource typing and mutual aid and builds a foundation for the devel- opment of a national qualification system; • Clarifies that NIMS is more than just the Incident Command System (ICS) and that it applies to all stakeholders with roles in incident management across all five mission areas (Preven- tion, Protection, Mitigation, Response, and Recovery); • Explains the relationship among ICS, the Center Management System (CMS) for operations centers and coordination centers, and Multiagency Coordination Groups (MAC Groups); and • Enhances information management processes to improve data collection plans, social media integration, and the use of geographic information systems (GIS). A Guide to Regional Transportation Planning for Disasters, Emergencies, and Extreme Events Citation. NCHRP Report 777: A Guide to Regional Transportation Planning for Disasters, Emergencies, and Extreme Events, Transportation Research Board of the National Academies, Washington, DC, 2014. Available: http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_777.pdf Synopsis. The Guide uses foundational planning principles, case studies, tips, and tools to explain implementation of transportation planning for possible multijurisdictional dis- asters, emergencies, and other major events. In addition to the guide, there is a contractor’s final research report and a PowerPoint presentation describing the entire project. Information-Sharing Guidebook for Transportation Management Centers, Emergency Operations Centers, and Fusion Centers (2010) Citation. Information-Sharing Guidebook for Transportation Management Centers, Emer- gency Operations Centers, and Fusion Centers, FHWA, 2010. Available: http://Ops.Fhwa.Dot. Gov/Publications/Fhwahop09003/Tmc_Eoc_Guidebook.Pdf

Bibliography and Resource Guide 175 Synopsis. This guidebook provides an overview of the mission and functions of trans- portation management centers, emergency operations centers, and fusion centers. The guide- book focuses on the types of information these centers produce and manage and how the sharing of such information among the centers can be beneficial to both the day-to-day and emergency operations of all the centers. Challenges exist to the ability to share information, and the guide- book addresses these challenges and options for handling them. The guidebook also provides some lessons learned and best practices identified from a literature search and interviews/site visits with center operators. Role of Transportation Management Centers in Emergency Operations Guidebook (2012) Citation. Role of Transportation Management Centers in Emergency Operations Guide- book, FHWA, 2012. Available: http://www.ops.fhwa.dot.gov/publications/fhwahop12050/ fhwahop12050.pdf Synopsis. This Guidebook explores ways to increase communication, collaboration, and cooperation between transportation management centers (TMCs) and emergency response agen- cies. The document addresses both technical and institutional barriers that prevent TMCs from fully supporting emergency operations and provides specific activities and practices, such as joint planning and training activities for TMCs to become more effective in emergency operations. Communication with Vulnerable Populations: A Transportation and Emergency Management Toolkit Citation. TCRP Report 150: Communication with Vulnerable Populations: A Transportation and Emergency Management Toolkit, Transportation Research Board of the National Academies, Washington, 2011. Available: http://www.trb.org/main/blurbs/166060.aspx Synopsis. The toolkit describes how to create a communication process to reach vulnerable populations regarding their transportation options in emergencies. The toolkit provides a guiding framework and tools for constructing a scalable, adaptable communication process built on a network of agencies from public, private, and nonprofit sectors. Together, these partners will form interconnected communication channels with the ability to carry out the function of emergency communication not necessarily possible by working alone. A Guidebook for Successful Communication, Cooperation, and Coordination Strategies Between Transportation Agencies and Tribal Communities Citation. NCHRP Report 690: A Guidebook for Successful Communication, Cooperation, and Coordination Strategies Between Transportation Agencies and Tribal Communities, Transportation Research Board of the National Academies, Washington, DC, 2011. Available: http://www.trb.org/ main/Blurbs/165472.aspx Synopsis. This Guidebook includes guidelines designed to help departments of transpor- tation and tribal communities work together to achieve successful transportation projects on tribal lands. The report explores a wide range of issues and topics to be considered and offers a flexible approach that can be adapted to most situations. The report also includes case studies to illustrate successful practices. The report on the project that led to the development of NCHRP Report 690 was published as NCHRP Web-Only Document 171: Identification of Results-Oriented Public Involvement Strategies Between Transportation Agencies and Native American Tribal Communities.

176 A Guide to Emergency Management at State Transportation Agencies Uses of Social Media in Public Transportation Citation. TCRP Synthesis 99: Uses of Social Media in Public Transportation, Transportation Research Board of the National Academies, Washington, DC, 2012. Available: http://www.trb.org/ main/blurbs/167067.aspx Synopsis. This report explores the use of social media among transit agencies and docu- ments successful practices in the United States and Canada. For the purposes of the report, social media are defined as a group of web-based applications that encourage users to interact with one another, such as blogs, Facebook, LinkedIn, Twitter, YouTube, Flickr, Foursquare, and MySpace. An eReader friendly PDF version of TCRP Synthesis 99 is also available. Expanding Role of Public Works in Emergency Management Citation. Bergner, Dave and Kimberly Vasconez, Expanding Role of Public Works in Emer- gency Management, Leadership and Management in Engineering, Vol. 12, No. 3, 2012, pp. 126–133. Synopsis. This paper examines the evolving mission of public works in emergency management. Maintenance and operations personnel of state DOTs and public works agencies are vital in the response and recovery phases of disasters and other emergencies, and assist with rescue, evacuation, and sheltering, and provide temporary traffic control, perimeter security, animal control, transportation of supplies and equipment, on-site vehicle service, debris management, and restoration of infrastructure. The convergence of all-hazards emergency management and traffic incident management in recent years means that public works has a different role in planning and preparing for and responding to disasters and events. The profusion of laws, mandates, and programs and the rapidly evolving body of training and knowledge can make staying abreast of these changes challenging. E. Emergency Management Training National Incident Management System (NIMS) Training Available: http://training.fema.gov/is/nims.aspx NIMS ICS All-Hazards Position Specific Training Program Official Website http://training.fema.gov/allhazards/ The National Incident Management System (NIMS) is a systematic, proactive approach to guide departments and agencies at all levels of government, nongovernmental organizations, and the private sector to work together seamlessly and manage incidents involving all threats and hazards—regardless of cause, size, location, or complexity—in order to reduce loss of life, property and harm to the environment. NIMS is the essential foundation to the National Preparedness System (NPS) and provides the template for the management of incidents and operations in support of all five National Planning Frameworks. NIMS updates since the 2010 Guide was published provided important new definitions, policy direction, and guidance explaining (1) the NIMS relationship to the National Prepared- ness Framework; (2) additions to cover Intelligence and cyber issues; (3) support, coordina- tion, collaboration, and command and management tactical and non-tactical operations; (4) use and interoperability of Emergency Communications; and (5) inclusion of “whole community” concepts in the NIMS.

Bibliography and Resource Guide 177 The following NIMS and ICS courses are highlighted on the NIMS training page: ICS and NIMS Courses • ICS-100: Introduction to the Incident Command System • ICS-200: ICS for Single Resources and Initial Action Incidents • ICS-300: Intermediate ICS for Expanding Incidents • ICS-400: Advanced ICS for Command and General Staff • IS-700: National Incident Management System, An Introduction • IS-701: NIMS Multiagency Coordination System (MACS) • IS-702: NIMS Publication Information Systems • IS-703: NIMS Resource Management • IS-704: NIMS Communication and Information Management (unavailable) • IS-706: NIMS Intrastate Mutual Aid—An Introduction • IS-800: National Response Framework, An Introduction • G-191: Incident Command System/Emergency Operations Center Interface • G-402 Incident Command System (ICS) Overview for Executives/Senior Officials • G-775: Emergency Operations Center (EOC) Management and Operations *G-191, G-402, and G-775 are coordinated by local Emergency Management Agencies. All-Hazards Position Specific Courses • E/L 950: All-Hazards Position Specific Incident Commander • E/L 952: All-Hazards Position Specific Public Information Officer • E/L 954: All-Hazards Position Specific Safety Officer • E/L 956: All-Hazards Position Specific Liaison Officer • E/L 958: All-Hazards Position Specific Operations Section Chief • E/L 960: All-Hazards Position Specific Division/Group Supervisor • E/L 962: All-Hazards Position Specific Planning Section Chief • E/L 964: All-Hazards Position Specific Situation Unit Leader • E/L 965: All-Hazards Position Specific Resources Unit Leader • E/L 967: All-Hazards Position Specific Logistics Section Chief • E/L 969: All-Hazards Position Specific Communications Unit Leader • E/L 970: All-Hazards Position Specific Supply Unit Leader • E/L 971: All-Hazards Position Specific Facilities Unit Leader • E/L 973: All-Hazards Position Specific Finance/Admin. Section Chief • E/L 975: All-Hazards Position Specific Finance/Admin. Unit Leader Course • E/L 984: Task Force/Strike Team Leader • E/L 986: Air Support Group Supervisor • E/L 987: Introduction to Air Operations Contact information for State or Territorial Emergency Management Agencies can be found at https://training.fema.gov/programs/aps/stolist.aspx. FEMA Emergency Management Institute (EMI) Available: http://training.fema.gov/emi.aspx As noted on the FEMA EMI website, FEMA EMI is located in Emmitsburg, Maryland, on the campus of the National Emergency Training Center (NETC) and trains more than 2 million annually through onsite and offsite training and partnerships with emergency manage- ment training systems, colleges, universities, and technology-based mediums. EMI, which supports implementation of the National Incident Management System (NIMS), the National Response Framework (NRF), the National Disaster Recovery Framework (NDRF),

178 A Guide to Emergency Management at State Transportation Agencies and the National Preparedness Goal (NPG), is “the emergency management community’s flagship training institution, and provides training to Federal, State, local, tribal, volunteer, public, and private sector officials to strengthen emergency management core competencies for professional, career-long training.” Courses offered by EMI include the following: • IS-100: Introduction to the Incident Command System • IS-200: ICS for Single Resources and Initial Action Incidents • ICS-300: Intermediate ICS for Expanding Incidents • ICS-400: Advanced ICS • IS-552: The Public Works Role in Emergency Management • IS-554: Emergency Planning for Public Works • IS-556: Damage Assessment for Public Works • IS-558: Public Works and Disaster Recovery • IS-559: Local Damage Assessment • IS-632: Introduction to Debris Operations • IS-700: Introduction to the National Incident Management System • IS-701.a: NIMS Multiagency Coordination System (MACS) • IS-703.a: NIMS Resource Management • IS-706: NIMS Intrastate Mutual Aid—An Introduction • IS-800: Introduction to the National Response Framework Note that IS stands for Independent Study. Independent Study courses are offered online and are free of charge. They include interactive quizzes and a final exam; a certificate will be issued to the student upon successful completion of the exam. Links can also be found on the FEMA EMI website to (1) FEMA Independent Study (IS) Program and an online searchable catalog, the National Training and Education Directorate (NTED), which offers courses focused on helping responders function in mass consequence events, and (2) the DHS Center for Domestic Preparedness (CDP), which focuses on delivering WMD training. Other FEMA resources that can be accessed via the website include FEMA NIMS Training Program webpage, FMA ICS Training Program and Resource Center, FEMA National Response Framework (NRF) Resources, and the FEMA National Fire Academy. Traffic Incident Management (TIM) Training Available: http://www.fhwa.dot.gov/goshrp2/solutions/all/l12_l32/national_traffic_incident_ management_responder_training_program National Exercise Program (NEP) Available: http://www.fema.gov/national-exercise-program The NEP is a component of the National Preparedness System and allows the examination and validation of federal and whole community’s core capabilities and indicates national progress toward the National Preparedness Goal. More specifically, the NEP’s purpose is “to design, coordinate, conduct, and evaluate exer- cises that rigorously test the Nation’s ability to perform missions and functions that prevent, protect against, respond to, recover from, and mitigate all hazards.” Each Program cycle is a two-year, progressive schedule of exercises of various types that are selected based on their support to the Goal and principal objectives. The website also provides a link to the NEP document dated March 2011.

Bibliography and Resource Guide 179 FEMA.gov Exercise Webpage Available: www.fema.gov/exercise FEMA’s exercise webpage describes the National Exercise Program (NEP); the Homeland Security Exercise and Evaluation Program (HSEEP), which is used by NEP; and the National Exercise and Simulation Center (NESC), which links planning, training, exercise, and response personnel with modeling and simulation capabilities. The webpage also describes the Radio- logical Emergency Preparedness (REP) Program and the Chemical Stockpile Emergency Pre- paredness Program (CSEPP) Program Exercises. Emergency Management Professional Program (EMPP) Available: http://training.fema.gov/empp/ FEMA’s Emergency Management Institute (EMI) established an Emergency Management Professional Program (EMPP). The EMPP is a framework for acquiring the knowledge, skills, and abilities to enter and progress through the Emergency Management field. The EMPP includes three academies: • National Emergency Management Basic Academy—focus is on foundational knowledge and skills • National Emergency Management Advanced Academy (formerly the Leaders Academy)— focus is on Advanced Concepts and Issues in Emergency Management; Advanced Leadership and Management; Critical Thinking and Complex Problem Solving • National Emergency Management Executive Academy—focus is on Strategic Leadership and Critical Thinking FEMA contacts for the programs are provide on this webpage. Emergency Management Performance Grant (EMPG) FY 2016 Program Requirements DHS Notice of Funding Opportunity (NOFO) Fiscal Year 2016 Emergency Management Performance Grant Program (EMPG) Available: https://www.fema.gov/media-library-data/1455571902574-a84f5a1b2f450795a70cce 1f5ee7b967/FY_2016_EMPG_NOFO_FINAL.pdf EMPG funded activities include updating emergency plans, conducting training, and design- ing and conducting exercises to validate core capabilities, maintain current capabilities, and enhance capability for high-priority core capabilities with low capability levels. EMPG recipients and subrecipients are expected to address capability targets and gaps identified through the annual THIRA and SPR process. EMPG program recipients are also required to develop a Multi- year Training and Exercise Plan (TEP) addressing THIRA risks and exercising/validating THIRA capability requirements in a progressive manner. Recipients should develop and maintain a progressive exercise program and a multiyear Training and Exercise Plan consistent with HSEEP. EMPG Program funds related to training should support NIMS implementation and emphasize NIMS Training Program core competen- cies. NIMS Training—Independent Study (IS) 100, IS 200, IS 700, and IS 800 are required for EMPG funded personnel. In addition, they are required to complete either the courses in the Professional Development Series or the National Emergency Management Basic Academy. Exercises required include no less than four quarterly exercises (i.e., one EMPG-funded exer- cise and/or an exercise that includes EMPG-funded personnel per quarter) of any type and one full-scale exercise within a 12-month period. The exercises should increase in complexity

180 A Guide to Emergency Management at State Transportation Agencies and have common program priorities. In addition, EMPG-funded personnel are required to participate in no fewer than three exercises in a 12-month period. Allowable training- and exercise-related costs are described in the document and in Appendix B, and include the establishment, support, conduct, and training attendance. The Work Plan in Appendix C includes a Program and Budget Narrative, Personnel Data Table, Training Data Table, Exercise Data Table, and Grant Activities Outline. Emergency Management Accreditation Program (EMAP). September 2012, Lexington, Kentucky. Available: https://www.emap.org/index.php The Emergency Management Standard by EMAP is the set of 64 standards by which pro- grams that apply for EMAP accreditation are evaluated. The Emergency Management Standard is designed as a tool for continuous improvement as part of the voluntary accreditation process for local and state emergency management programs. The Emergency Management Standard covers • Program Management • Administration and Finance • Laws and Authorities • Hazard Identification, Risk Assessment, and Consequence Analysis • Hazard Mitigation • Prevention • Operational Planning • Incident Management • Resource Management and Logistics • Mutual Aid • Communications and Warning • Operations and Procedures • Facilities • Training • Exercises, Evaluations, and Corrective Action • Crisis Communications, Public Education, and Information Emergency Management Standard Citation. Emergency Management Accreditation Program (EMAP), Emergency Management Standard, 2013. Available: https://www.emap.org/index.php/root/for-programs/23-2013- emergency-management-standard/file Synopsis. The purpose of the EMAP standard is described in Chapter 1 as follows: The Emergency Management Standard establishes the minimum acceptable performance criteria for an Emergency Management Program and intends that the standard be fair and equi- table for all who choose to adopt it. Users of the standard are also mentioned in Chapter 1 as being Emergency Management Programs seeking EMAP Accreditation and those seeking a self-assessment standard for their Emergency Management Program. The document notes that there is a three-year review cycle for the standard. Program elements of an accredited Emergency Management Program are discussed and described in the standard. Training is described in section 4.13. According to the document,

Bibliography and Resource Guide 181 a training program should include “the assessment, development and implementation of appropriate training for Program officials, emergency management response personnel and the public.” The key elements of the standard include • Training needs assessment, curriculum, course evaluations, and records of training. • Training for emergency personnel consistent with their current and potential responsibili- ties, including specialized training related to the threats facing the jurisdiction. Regularly scheduled training “based on the training needs assessment, internal and external require- ments, and mandates (i.e., NIMS) and addresses deficiencies identified in the corrective action process.” • Maintenance of appropriate training records. • Exercises, Evaluations, and Corrective Actions are described in section 4.14. According to the document, an accredited Emergency Management Program should have an exercise, evalua- tion, and corrective action process. • A documented exercise program that “regularly tests the skills, abilities, and experience of emergency personnel as well as the plans, policies, procedures, equipment, and facilities of the Emergency Management Program” and is tailored to the jurisdiction’s hazards. • The Emergency Management Program “shall evaluate plans, procedures, and capabilities through periodic reviews, testing, post-incident reports, lessons learned, performance evalu- ations, exercises, and real-world events.” • A process for corrective actions to prioritize and track the resolution of deficiencies in real world and exercise events, and to revise relevant plans. FHWA SHRP 2 Solutions: Training for safer, faster, stronger, more integrated incident response. National Traffic Incident Management Responder Training Program Available: http://www.fhwa.dot.gov/goshrp2/Solutions/SafetyTopic/L12_L32A_L32B/ National_Traffic_Incident_Management_Responder_Training_Program The Second Strategic Highway Research Program (SHRP 2) has developed a multi- disciplinary and interjurisdictional training program for TIM. The SHRP 2 training pro- gram, National TIM Responder Training Program, meets the challenge of “faster clearance and improved safety” for both motorists and responders, and is endorsed by the International Association of Chiefs of Police, the International Association of Fire Chiefs, and the National Volunteer Fire Council. The program incorporates effective practices and standards and was developed through SHRP 2. The program is available at no cost from the National Highway Institute (NHI) in two forms: a four-hour in-person training which promotes interaction among police, firefighters, DOT, medical personnel, and other incident responders and a four-hour web-based version, FHWA-NHI-133126. Various resources (fact sheets, brochures, communications toolkit, train-the-trainer course overview) are available for download on this website. National TIM Responder Training Program Frequently Asked Questions (FAQs) Available: http://www.fhwa.dot.gov/goshrp2/Content/Documents/TIM_Training_FAQs.pdf Synopsis. The FAQs describe the training program as a “national curriculum developed by responders for responders.” It also notes that there is a train-the-trainer course for participants who would like to become a trainer.

182 A Guide to Emergency Management at State Transportation Agencies Traffic incident management is described as “the process of coordinating the resources of a number of different public and private sector partners to detect, respond to, and clear traffic incidents as quickly as possible to reduce the duration and impacts of incidents, while protecting the safety of on-scene responders and the traveling public.” AASHTO National Traffic Incident Management Coalition Available: http://ntimc.transportation.org/Pages/ObjectivesandStrategies.aspx This AASHTO website provides links to numerous TIM publications, brochures, videos, and training resources. National Highway Institute (NHI) Training Available: https://www.nhi.fhwa.dot.gov/default.aspx TIM-related courses include the following: The National Highway Institute offers courses relevant to TIM. These courses include National Traffic Incident Management Responder Training (133126) course, Design and Operation of Work Zone Traffic Control, Work Zone Traffic Control for Maintenance Operations, Flagger Training, Successful Traffic Signal Man- agement, Advanced Work Zone Management and Design, Principles of Evacuation Planning Tutorial, and Managing Travel for Planned Special Events. For additional information and to search for courses, visit the NHI website (“National Highway Institute: Search for Courses,” NHI n.d.: https://www.nhi.fhwa.dot.gov/default.aspx). Protection of Transportation Infrastructure from Cyber Attacks: A Primer Citation. NCHRP Web-Only Document 221/TCRP Web-Only Document 67: Protection of Transportation Infrastructure from Cyber Attacks: A Primer, Transportation Research Board of the National Academies, Washington, DC, 2016. Available: https://www.nap.edu/download/23516 Synopsis. This Primer describes the key cybersecurity training principles and highlights the importance of cybersecurity culture in the chapter on Training. The Primer makes the case for creating a robust cybersecurity culture by noting that people are essential to building a cyber- security culture and are also the most vulnerable element in protecting an agency’s cyber assets. The key concepts and information introduced in this chapter are based on NIST training resources along with the following references: APTA Recommended Practices Part 2, The Trans- portation Roadmap (August 2012), the Cybersecurity Framework (February 12, 2014), and the Homeland Security Workforce Assessment Act signed into law December 2014. The legislation requires DHS to create a strategy “to enhance the readiness, capacity, training, recruitment and retention of its cybersecurity workforce.” The Primer also refers to the Federal Information Security Modernization Act (2014) governing federal IT and cybersecurity and requires role-based training for federal personnel and other users of federal IT systems. While this Act’s focus is on federal personnel, the guid- ance which will be provided based on this Act should be of interest to transportation agencies. Therefore, according to the Primer, much focus needs to be placed by senior management on culture-building initiatives, including awareness and training. The Primer also presents NIST’s cybersecurity learning continuum model in which learning progresses from security awareness to cybersecurity essentials to role-based training to educa- tion and/or experience. The Training chapter also describes Functions and User categories, awareness content and resources, training content and resources, evaluation techniques, performance indicators, and

Bibliography and Resource Guide 183 the importance of continuous improvement. With respect to Delivery methods, the use of Interactive training techniques, technologies, shared resource models, and interagency and interjurisdictional activities are discussed. Transportation System Management & Operations (TSM&O) Workforce Development White Papers Three White Papers were developed as a result of the NOCoE Workforce Development Summit on June 22–23, 2016. • The first paper provides general background and context regarding TSM&O as a program activity and TSM&O staffing within transportation agencies and the private sector. • The second paper addresses the needed staff competencies and related education and training. • The third White Paper focuses on TSM&O workforce recruitment, retention, and profes- sional career development. White Paper No. 2: Competencies, Education, and Training Available: https://transops.s3.amazonaws.com/uploaded.../Summit%20White%20 Paper%202.pdf Synopsis. The second White Paper describes the TSM&O workforce characteristics, key positions, and the size and nature of the workforce development problem. The White Paper presents a competencies matrix by function (Exhibit 1) and a training resources table (Exhibit 2) showing available resources by function. The categories of functions include • Sr. Policy, Strategic Management • Sr. Program Management • Mid-level Program Management • Program Planners • System Engineering and Related Technical Specialties • Mid-level Project Management • Field Staff In addition, the White Paper estimates training demand for each of these functions and how they may be met. Exhibit 3 presents training available by source and level. White Paper No. 3: Recruitment, Retention, and Career Development, National Operations Center of Excellence Available: https://transops.s3.amazonaws.com/uploaded.../Summit%20White%20 Paper%203.pdf The third White Paper is based on a May 2016 survey of the AASHTO TSM&O Subcom- mittee members and Operations Academy graduates regarding TSM&O recruitment and retention. The top two issues of the 34 responding agencies were lack of existing training vs. emerging needs and the lack of a clear career path. Other key findings included • “Most agencies have retained a level staffing or increased slightly, perhaps reflecting continuing overall state DOT staffing restrictions. • Most states appear to be having some difficulty filling key technical positions—especially in systems engineering, IT, and ITS device maintenance—and approximately half were significantly dependent on consultants.

184 A Guide to Emergency Management at State Transportation Agencies • About one-half of responses indicated that new hires were generally knowledgeable in one or more specific TSM&O topic areas (e.g., traffic signals) with the other half with little knowledge. None indicated that their new hires were TSM&O savvy. • Difficulties in recruitment related to salary competition and/or lack of required skills/certifications.” Exploring the Role and Adoption of Technology-Based Training and Employment Services Citation. Gan, Katherine, et al. Exploring the Role and Adoption of Technology-Based Training and Employment Services. Final Report. Prepared for the U.S. Department of Labor. September 27, 2013. Available: https://wdr.doleta.gov/research/FullText_Documents/ ETAOP_2015-09_Attach.pdf Synopsis. As part of the U.S. Department of Labor’s national initiative to explore the role and adoption of technology-based learning (TBL) within the public workforce, descriptive information about TBL use at the state and local levels of the workforce system was collected through an online survey of state workforce agency administrators and executive directors of Local Workforce Investment Boards. Factors regarding the adoption of TBL included • Development of infrastructure through new investments and leveraging existing resources. • Integration of personal support through design components or tutoring or mentoring. • Use of a digital “on-ramp” which is attentive to participants’ levels of technological literacy. • Active promotion and marketing of TBL. • Commitment to technical assistance. Curriculum for New State DOT Transit Grant Managers in Administering Federal and State Transit Grants Citation. Knapp, Sue, et al. NCHRP Web-Only Document 203: Curriculum for New State DOT Transit Grant Managers in Administering Federal and State Transit Grants, Transportation Research Board of the National Academies, Washington, DC, 2014. Available: http://www.trb.org/ Publications/Blurbs/171298.aspx Synopsis. The curriculum is organized into modules and submodules appropriate for state transit staff. Module topics include • Introduction to FTA grants • Legal authority and annual certifications • Grant administration • Financial management • Project management and grantee oversight • Planning • Procurement • Asset management • Safety and security • Subrecipient personnel-related issues • Subrecipient service requirements and restrictions • Training and technical assistance

Bibliography and Resource Guide 185 Safety and Security In the description of the Safety and Security module, it is noted that Section 5329, MAP-21 (49 USC 5329) provides FTA with the authority to establish a national transit safety frame- work, requires DOT to establish a national transit safety plan which includes safety perfor- mance criteria and standards and a Safety Certification Training Program for federal and state workers, contractors who conduct oversight, and transit workers responsible for safety over- sight, and requires FTA funding recipients to create an agency safety plan and certify it meets FTA requirements. Up to 0.5% of Section 5307 or 5311 funds can be used to fund transit worker training in the Safety Certification Training Program. Training and Technical Assistance The key concepts in this module include FTA requirements for states. States are required to: • Inform subrecipients of federal requirements and provide technical assistance to meet the requirements. • Subrecipients are required to train their own staff in several topic areas including: – Safety – ADA – Drug and Alcohol • FTA requires states to certify that they have well-trained and well-informed staff when carrying out proposed projects. • States need to provide training to potential subrecipient applicants for applicants serving predominantly minority populations. • FTA’s Rural Transportation Assistance Program (RTAP) funds subrecipient training and technical assistance. States have RTAPs that conduct state-sponsored training and offer training scholarships and provide technical assistance. Additional FTA-funded training programs noted in this module include: • Transportation Safety Institute (TSI) • National Transit Institute (NTI) • National RTAP • National Center on Senior Transportation (NCST) • Easter Seals Project Action (ESPA) Additional recommended resources include: • Community Transportation Association of America (CTAA) • American Public Transportation Association (APTA) Attracting, Recruiting, and Retaining Skilled Staff for Transportation System Operations and Management Citation. Cronin, Brian, et al. NCHRP Report 693: Attracting, Recruiting, and Retaining Skilled Staff for Transportation System Operations and Management, Transportation Research Board of the National Academies, Washington, DC, 2012. Available: http://www.trb.org/ Publications/Blurbs/166342.aspx Synopsis. The report helps transportation agencies recruit and retain qualified profes- sional staff in Systems Operation and Management (SOM). Findings are based on an analysis of SOM career paths, skill requirements, and training needs to identify successful programs, state-of-the-art initiatives, and best industry practices.

186 A Guide to Emergency Management at State Transportation Agencies For the core job function of Real-Time Operations, competencies were grouped into Operations Strategies; Systems and Technology; Safety; Security; and Management of Real- Time Operations Systems. • “Operations Strategies—Maintenance of the capacity and safety of highways by controlling traffic, responding to incidents, clearing snow and other obstructions, and providing information to users on highway conditions and alternatives. • Systems and Technology—Knowledge and understanding of the department’s operating systems as well as the technology required to carry out real-time operations. • Safety—Focus on crash avoidance by enhancing driver performance, including advanced collision avoidance systems and the automated highway system. • Security—Precautions taken to guard against the danger, risk, or safety threats of major highways. • Management of Real-Time Operations Systems—The integration of key activities to ensure real- time monitoring of the traffic and travel conditions of major highways and sharing that informa- tion to improve transportation system security; address congestion; improve response to emergencies, weather events, and surface transportation incidents; and facilitate national and regional highway trav- eler information.” (page 21) Exhibit 28 provides an Overview of Strategic SOM Workforce Recommendations by Career Stage. For entry-level or new SOM workers, mentoring programs are recommended. Pages 106-108 describe the steps necessary to implement a mentoring program. TCRP F-Series Reports The F-series publications provide an excellent source of training literature focused primar- ily on the transit industry. In particular TCRP Report 162: Building a Sustainable Workforce in the Public Transportation Industry–A Systems Approach, 2013, provides information on 11 training and development strategies and implementation steps along with sample pro- grams implemented at specific agencies and Professional Capacity Building strategies that can complement an agency’s training initiatives. Washington State Transportation Training Coalition Available: http://www.wsttc.org/ The Washington State Transportation Training Coalition is a collaboration of transit, highway, university and insurance. According to the site, Washington State Transit Insur- ance Pool (WSTIP) in partnership with WSDOT, Washington State Transit Associa- tion, Community Transportation Association of the Northwest, and Eastern Washington University Tribal Technical Assistance Program comprises the coalition. The Training Coali- tion coordinates approximately 20 training events each year at various locations throughout the state. Southern California Regional Transit Training Consortium Available: http://www.scrttc.com The Southern California Regional Transit Training Consortium (SCRTTC), through its network of Community Colleges, Universities, Transit Agencies, Public and Private Organizations develop and deliver training to transit workforce. The SCRTTC also assists them in finding appropriate employment within the transit industry. NCHRP Web-Only Document 215: Incident Command System (ICS) Training for Field-Level Supervisors and Staff Citation. Edwards, F.L., Goodrich, D.C., Griffith, J., NCHRP Web-Only Document 215: Incident Command System (ICS) Training for Field-Level Supervisors and Staff, Mineta

Bibliography and Resource Guide 187 Transportation Institute, Transportation Research Board of the National Academies, Washington, DC, 2015, [Online]. Available: http://onlinepubs.trb.org/onlinepubs/nchrp/ nchrp_w215.pdf Synopsis. According to its page on TRB’s website, this publication “provides training materials and guidance for transportation field personnel to help their organizations operate safely in an emergency or traffic management event.” This course is intended to review the basic ICS structures and terminologies aimed to ensure safety, personnel accountability, and support for the agency’s financial reimbursement efforts. The product includes lesson plans, guidance on classroom set-up, complete slide shows with scripts or instructor prompts, instructions for creat- ing materials, and some information about training for adults. Specifically, the materials include: 1. A video presentation with voice-over 2. An Instructor Guide and Student Course Evaluation 3. An Instructor Guide and Student Evaluation 4. Discussion-Based Training Scenarios 5. ICS Quick Start Cards 6. A Supervisor’s Folder The TRB web page for this publication continues, “The course material provided in this project assumes that instructors have completed classes on delivering training to adults, have certificates in at least ICS 100, 200 and 300, and have some experience with ICS, at the field level or in an Emergency Operations Center (EOC). It is also assumed that instructors may have had experience working with a transportation agency in emergency planning or training, or as a field supervisor, and to have also completed ICS 400 and E/L449 ICS ‘Incident Command System Curricula TTT’ courses.” The report itself consists of 12 chapters. Chapter 1 discusses how to use the Instructor Guide. Chapter 2 discusses how the course and pilot programs were developed and reveals the results of interviews and surveys providing feedback from pilot program participants. The Lesson Plans are in Chapter 3. Chapters 4 and 5 include the materials for Module 1, Chapters 6 and 7 contain the materials for Briefing Training, and Chapters 8 and 9 contain the materi- als for the Discussion-Based Scenarios. Chapter 10 consists of the ICS Quick Start Cards and accompanying instructions. Chapter 11 describes the materials in the Supervisor’s Folder. The report concludes in Chapter 12 with references related to the Incident Command System (ICS) and the Traffic Incident Management System (TIMS). Homeland Security Exercise and Evaluation Program (HSEEP) Citation. Homeland Security Exercise and Evaluation Program (HSEEP), DHS, 2013. Avail- able: https://www.fema.gov/media-library-data/20130726-1914-25045-8890/hseep_apr13_.pdf Synopsis. The Homeland Security Exercise and Evaluation Program (HSEEP) provides a set of guiding principles for exercise programs as well as a common approach to exercise pro- gram management, design and development, conduct, evaluation, and improvement planning. HSEEP exercise and evaluation doctrine is flexible and adaptable. It is for use by stakeholders across the whole community and applicable for exercises across all mission areas—prevention, protection, mitigation, response, and recovery. The HSEEP document is organized in the following manner: • Chapter 1: HSEEP Fundamentals describes the basic principles and methodology of HSEEP. • Chapter 2: Exercise Program Management provides guidance for conducting a Training and Exercise Planning Workshop (TEPW) and developing a Multi-year Training and Exercise Plan (TEP).

188 A Guide to Emergency Management at State Transportation Agencies • Chapter 3: Exercise Design and Development describes the methodology for developing exercise objectives; conducting planning meetings; developing exercise documentation; and planning for exercise logistics, control, and evaluation. • Chapter 4: Exercise Conduct provides guidance on setup, exercise play, and wrap-up activities. • Chapter 5: Evaluation provides the approach to exercise evaluation planning and conduct through data collection, analysis, and development of an AAR. • Chapter 6: Improvement Planning addresses corrective actions identified in the exercise IP and the process of tracking corrective actions to resolution. Fundamental principles for exercise programs and individual exercises include the following: • They should be guided by Elected and Appointed Officials. • They are capability-based and objective driven. Exercises evaluate performance against capability-based objectives based on the National Preparedness Goal’s series of core capabilities. • A progressive planning approach with an increasing level of complexity over time should be used. • Whole community integration should take place throughout the exercise planning and execution process. • HSEEP’s common methodology for exercises should be used so that diverse organizations can readily collaborate and have a shared understanding. • Exercises should be informed by risk. Key elements of HSEEP’s approach to exercise program management include • Engaging Elected and Appointed Officials to Provide Intent and Direction. • Developing a Multi-year Training and Exercise Plan and Establishing Multi-year Exercise Program Priorities. These priorities inform the development of individual exercise objectives, ensuring being coordinated and integrated. • Using a Progressive Approach, which builds toward an increasing level of complexity over time. • Maintaining a Rolling Summary of Exercise Outcomes. A rolling summary report provides elected and appointed officials and other stakeholders with an analysis of issues, trends, and key outcomes from all exercises conducted as part of the exercise program. • Managing Exercise Program Resources. An effective exercise program utilizes the full range of available resources for exercise budgets, program staffing, and other resources. Phases of the Exercises Cycle The exercise cycle phases described in HSEEP include • Design and Development • Conduct • Evaluation • Improvement Planning Design and Development Exercise planning team members determine exercise objectives and design the scenario and ensure that they are aligned with the overall multiyear plan. They also engage with key officials, state EMA, and other stakeholders; create documentation and the exercise plan; and coordinate logistics. Safety of exercise participants is a key aspect of the exercise logistics. Exercise design and development steps include “• Setting the exercise foundation by review- ing elected and appointed officials’ guidance, the TEP, and other factors; • Selecting participants

Bibliography and Resource Guide 189 for an exercise planning team and developing an exercise planning timeline with milestones; • Developing exercise-specific objectives and identifying core capabilities based on the guidance of elected and appointed officials; • Identifying evaluation requirements; • Developing the exer- cise scenario; • Creating documentation; • Coordinating logistics; and • Planning for exercise control and evaluation.” Design: The core components include establishing the scope, objectives, scenario, documen- tation, and media and public relations guidance. Objectives: Generally, planners should select a reasonable number of specific, measurable, achievable, relevant, and time-bound (SMART) exercise objectives Regarding the planning teams and reporting structure, a sample planning team structure and recommendations regarding organizational structure are provided in HSEEP: • Planning team structure: The team can be structured according to an ICS-type structure with the Exercise Planning Team Leader in the Commander position. Operations devel- ops and evaluates the scenario. Planning develops/compiles all documentation and may be responsible for any simulated actions by absent positions/agencies necessary for the exercise. Logistics elements include service, such as transportation, signage, food, medical, and security and support, such as communications and supplies. Administration/Finance Section provides financial and administrative support. • The importance of understanding the exercise objectives and identifying core capabilities associated with each objective and designing the exercise and evaluation plan around the capabilities to be tested are emphasized in HSEEP. • Training and Exercise Planning Workshop (TEPW): TEPWs, based on guidance from offi- cials, establish exercise program strategy and structure, and set priorities and a multi-year schedule of training and exercise. TEPWs encourage efficiency, effectiveness, and coordina- tion of exercise initiatives. TEPW participants are diverse and include elected and appointed officials, persons with administrative responsibility and those in relevant disciplines, and rep- resentatives from relevant NGOs or social support organizations. They review and take into account jurisdiction-specific threats and hazards from THIRA and risk assessments, AAR results, regulations, and other external requirements. Conduct Conduct-related activities include preparing for exercise play, managing exercise play, and conducting immediate exercise wrap-up activities. Conduct techniques for Discussion-based exercises and Operations-based exercises are presented in this section. Participant roles and responsibilities are also described in HSEEP, Table 4.1. Evaluation Evaluation compares performance of exercise teams, individuals, equipment, protocols, systems, and plans against objectives. The evaluation section includes information on planning, exercise documentation and analysis, identification of strengths and improvement areas, and development of AARs. Evaluation planning begins at the start of exercise design and develop- ment. Exercise evaluation guides (EEGs) are designed to streamline data collection, and facilitate assessment of core capabilities, objectives, capability targets, and critical tasks in a consistent manner. Improvement Planning Improvement planning identifies improvements based on corrective actions revealed during the exercise. The improvement planning results are included in or appended to the AAR.

190 A Guide to Emergency Management at State Transportation Agencies Improvements may include changes to plans, procedures, organizational structures, pro- cesses, equipment or other resources, and training. Individual corrective actions should be monitored until they have been implemented. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel Citation. NCHRP Synthesis Report 468: Interactive Training for All-Hazards Emergency Plan- ning, Preparation, and Response for Maintenance and Operations Field Personnel, Transportation Research Board of the National Academies, Washington, DC, 2015. Available: http://www.trb. org/Main/Blurbs/172182.aspx Synopsis. The genesis of this synthesis was the increasing challenges facing state DOT’s and public works agencies. State DOTs and public works agencies are being challenged with expanding roles in all-hazards emergencies and increasing public expectation of safe and secure transportation infrastructure and quick restoration of public services. The synthesis also stresses the importance of Maintenance and Operations personnel of DOTs, tribal, and local public works agencies with respect to emergency preparedness and response. Their preparedness is critical to public safety, because they are frontline personnel during emergencies and disasters. They are usually the first on the scene and the last to leave. This synthesis identifies interactive emergency training tools and sources that may be applied by maintenance and operations field personnel of state departments of transporta- tion and public works agencies. The report also identifies potential obstacles to their imple- mentation and develops a toolkit of relevant training and exercise information. The target audience of the Synthesis was the managers of M&O field personnel. Chapter 1 introduces NIMS, the importance of training and exercises and their place in the Preparedness Cycle, the Emergency Operations Plan, and other plans and procedural docu- ments. Chapter 2 describes emergency training and exercise needs of M&O field personnel, including NIMS, TIM, federal directives, mutual aid and grants, winter maintenance and operations, evacuation, continuity of operations, supervisor training, and exercises. Chapter 3 covers the following emergency training and exercise delivery methods: • Field Crew Meetings • Just-in-Time Training • Interjurisdictional and Interagency Training and Exercises • Joint Training • Asynchronous Training • Train-the-Trainer • Planned Events, Incidents, and Exercises • Computer-Assisted Simulations • Classroom Training • Online Training with Live Instructors • Blended Training • Exercises Chapter 4 on emergency training and exercise practices discusses implementation challenges, training needs and solutions, findings on the use of exercises, and additional findings. Challenges: Key challenges were scheduling difficulties and limited budgets. Additional challenges included lack of qualified training staff, personnel turnover, distance issues, senior management issues, inadequate facilities and other resources, insufficient information about available training, and infrequent need for training.

Bibliography and Resource Guide 191 Interactive Solutions: For adult learners whose motivation is problem-centered, interactive training is ideal. The interactive solutions identified in the synthesis included both Synchro- nous methods and Asynchronous methods. Synchronous methods require a live instructor and take place at a fixed time. Participants are able to interact with the instructor and with each other through the web or in-person. Asynchronous methods, however, are more flexible and can take place according to the learner’s schedule and pace. It can also be less costly than synchronous training. Table 30 presents Implementation Issues and Possible Solutions. Additional findings included Peer-to-Peer Training, Field Training, In-House Training, Professional Organizations and Certifications, and Other Training. Findings on Use of Exercises included Discussion-based exercises, Operations-based exercises, exercise evaluation, exercise scenarios, TEPWs, training and exercises for contractors, and law enforcement and fire departments. Chapter 5 described the development of the toolkit, which presents key courses and catalogs, guidance documents, source organizations, and source-specific information. Chapter 6 presented the conclusion to the synthesis and a summary of the key findings and further research needs. The Appendices include: A: Toolkit; F: Washington DOT EOP Training and Exercises; G: Arizona DOT Emergency Planning, Management, and Maintenance Training Matrices; H: Missouri DOT Training Plan; and I: Missouri DOT NIMS Training Guide. Toolkit: The purpose of the toolkit was to provide all-hazards emergency training resources, including source organizations, key courses, and course catalogs guidance documents were presented in an Excel spreadsheet, were interactive to varying extents, and encompassed a variety of delivery methods. Those organizations that were a source of emergency operations and hazards awareness training and exercises include the following: 1. Federal (FEMA) 2. Federal (other DHS) 3. Federal (U.S. DOT) 4. Federal (other federal departments, administrations, agencies, etc.) 5. State 6. Local 7. University/college 8. Associations and coalitions 9. Private firm Incorporating Transportation Security Awareness into Routine State DOT Operations and Training Citation. NCHRP Report 793: Incorporating Transportation Security Awareness into Routine State DOT Operations and Training, Transportation Research Board of the National Academies, Washington, DC, 2014. Available: http://Onlinepubs.Trb.Org/Onlinepubs/Nchrp/Nchrp_ Rpt_793.Pdf Synopsis. This report outlines techniques to integrate all-hazards security awareness con- cepts and reminders into routine state department of transportation (DOT) operations, main- tenance, and training. The report is structured as follows: Section 1—introduces transportation security and role of state DOTs Section 2—presents organizational readiness and five key “Questions to Ask” before implemen- tation of a security awareness program

192 A Guide to Emergency Management at State Transportation Agencies Section 3—identifies components of a security awareness campaign, including general messages and delivery methods Section 4—provides relatively inexpensive methods to promote security awareness Appendices Appendix A—Overview of current training and resources Appendix B—Contact list of transportation security training organizations Appendix C—Directory of transportation security resources The Report notes that many DOTs may believe security is not DOT business. However, because transportation systems are vulnerable to various hazards and threats, DOTs play a sig- nificant role in infrastructure security and have the responsibility of controlling access to criti- cal components, coordinating with law enforcement to ensure quick response, conducting risk and vulnerability assessments, and taking action to address the effects of risks and vulnerabili- ties. Hence, security awareness is important for all employees and is the cornerstone of a security culture in which security is an integral part of daily routine. The Report states that all transportation employees contribute to security by being vigilant and detecting suspicious activity, and by deterring unlawful acts simply by their presence. The report also notes that all employees should understand the risks to transportation systems and assets, know how to recognize a security risk, what to do, what not to do, and how to report a security threat. Section 3, Figure 1 provides a security reporting procedures flowchart used by Texas DOT. Training sources described in Appendix A and B include DHS/TSA, TRB, NTI, CTSSR, FHWA, NHI, FTA, FMCSA, PHMSA, FEMA, LTAP/TTAP, other federal training, SEMA, RDPC, other sector resources, and Other security resources. Security awareness programs described in Appendix C include If You See Something, Say Something™, First Observer™, Highway Watch, and Transit Watch. Guidelines for Transportation Emergency Training Exercises Citation. NCHRP Report 525: Surface Transportation Security, Vol. 9/TCRP Report 86: Vol. 9, Guidelines for Transportation Emergency Training Exercises, Transportation Research Board of the National Academies, Washington, DC, 2006. Available: http://onlinepubs.trb.org/onlinepubs/ nchrp/nchrp_rpt_525v9.pdf Synopsis. The report is designed to assist transportation agencies in developing drills and exercises in alignment with the National Incident Management System. The report describes the process of emergency exercise development, implementation, and evaluation. In addition, the available literature and materials to support transportation agencies, such as state departments of transportation, traffic management centers, and public transportation systems are described. NCRRP Report 2: A Guide to Building and Retaining Workforce Capacity or the Railroad Industry Citation. NCRRP Report 2: A Guide to Building and Retaining Workforce Capacity or the Rail- road Industry, Transportation Research Board, Washington, DC, 2015. Available: http://www.trb. org/Main/Blurbs/173352.aspx Synopsis. The report addresses current workforce development issues for the railroad industry and identifies best practices for creating and maintaining a competent workforce. The authors note that the majority of the current workforce is or will be retiring, creating an urgency regarding knowledge transfer and the need to address the requirements of younger workers. The report’s authors identified the following key training successes, challenges, and recommendations.

Bibliography and Resource Guide 193 Successes • On-the-job training creates positive training experiences • State-of-the-art railroad education and training centers include the Railroad Education and Development Institute Challenges • Experienced workers may be averse to providing on-the-job training due to liability concerns • Lack of qualified trainers • Lack of consistent and standardized training programs • Adapting training to different education and experience levels Recommendations • A culture of preceptorship and mentoring should be created • Increased standardization and focus on training should be promoted • World-class training facilities and programs to deliver both classroom and hands-on training should be established TCRP Web-Only Document 60/NCHRP Web-Only Document 200: Command-Level Decision Making for Transit Emergency Managers Citation. Pigora, Mary Ann. TCRP Web-Only Document 60/NCHRP Web-Only Document 200: Command-Level Decision Making for Transit Emergency Managers. Transportation Research Board of the National Academies. Washington, DC, 2013 [Online]. Available: http://www.trb. org/TCRP/Blurbs/169839.aspx. Synopsis. TCRP Web-Only Document 60/NCHRP Web-Only Document 200: Command- Level Decision Making for Transit Emergency Managers describes the development and imple- mentation of Transit Emergency Response Application (TERA). The project goal was to develop a Transit Emergency Response Application (TERA) “to achieve the goals as outlined in the National Response Framework through simulation guided experiential learning.” As stated in the report, “TERA provides training and exercise for command-level roles in the transit agency emergency operations center in relation to mitigating transit-specific emergencies and supporting state and local emergency management authorities in natural or manmade disaster incidents.” The Transit Scenarios included flood, hurricane, earthquake, power outage, hazardous materials, and active shooter. TERA was later expanded with supplemental NCHRP funding to include state DOT roles. These expansion activities were executed in Phase 3 of the project. The research approach introduced in Chapter 1 and described more fully in Chapter 2, involved three Phases and the following sample activities per Phase: Phase 1 • Training Needs Analysis • Role-based learning objective profiles • Prioritized list of potential TERA scenarios Phase 2 • Developed storyboards and facilitator/user guides • Developed a prototype module • Performed field testing of the prototype module

194 A Guide to Emergency Management at State Transportation Agencies Phase 3 • Developed the scenario-based training system • Executed Test Plan Chapter 3 presents the project findings. Table 3, Scenarios with Task Function Differentiators, is included in this chapter. The table provides a listing of various natural disaster and terrorism scenarios and also identifies sources and task function differentiators for each scenario. Chapter 4 recommends an approach to obtaining organizational acceptance for TERA and lists sources of technical and financial support along with training and system support. Chapter 5 presents the conclusions of the project report. Appendix A provides scenario outlines for • Flood with Hazmat spill • Subway Bombing/Active Shooter • Hurricane • Earthquake • Cyber Attack on the Power Grid • Hazmat Appendix B describes command level transit agency role profiles. Appendix C describes training objectives for transit agency roles. Appendices D through K are only available through request to TRB. They include Scenario Scripts and Tasks by Role. Emergency management professionals in the transportation, transit, rail, and airport domains may register to use TERA for free at www.tera.train-emst.com. Advancing Workforce Health at the Department of Homeland Security: Protecting Those Who Protect Us Citation. Institute of Medicine. Advancing Workforce Health at the Department of Homeland Security: Protecting Those Who Protect Us, The National Academies Press, Washington, DC, 2014, [Online]. Available: http://www.nap.edu/catalog/18574/advancing- workforce-health-at-the-department-of-homeland-security-protecting Synopsis. From the Transport Research International Documentation (TRID) Database: “The more than 200,000 men and women that make up the Department of Homeland Secu- rity (DHS) workforce have been entrusted with the ultimate responsibility – ensuring that the homeland is safe, secure, and resilient against terrorism and other hazards. Every day, these dedicated individuals take on the critical and often dangerous challenges of the DHS mission: countering terrorism and enhancing national security, securing and managing the nation’s borders, enforcing and administering U.S. immigration laws, protecting cyber networks and critical infrastructure, and ensuring resilience in the face of disasters. In return, DHS is respon- sible for protecting the health, safety, and resilience of those on whom it relies to achieve this mission, as well as ensuring effective management of the medical needs of persons who, in the course of mission execution, come into DHS care or custody.” “Since its creation in 2002, DHS has been aggressively addressing the management chal- lenges of integrating seven core operating component agencies and 18 supporting offices and directorates. One of those challenges is creating and sustaining a coordinated health protection infrastructure. This report examines how to strengthen mission readiness while better meeting the health needs of the DHS workforce. This report reviews and assesses the agency’s current occupational health and operational medicine infrastructure and, based on models and best practices from within and outside DHS, provides recommendations for

Bibliography and Resource Guide 195 achieving an integrated, DHS-wide health protection infrastructure with the necessary cen- tralized oversight authority.” “Protecting the homeland is physically and mentally demanding and entails many inher- ent risks, necessitating a DHS workforce that is mission ready. Among other things, mission readiness depends on (1) a workforce that is medically ready (free of health-related condi- tions that impede the ability to participate fully in operations and achieve mission goals), and (2) the capability, through an operational medicine program, to provide medical support for the workforce and others who come under the protection or control of DHS during routine, planned, and contingency operations. The recommendations of this report will assist DHS in meeting these two requirements through implementation (of) an overarching workforce health protection strategy encompassing occupational health and operational medicine functions that serve to promote, protect, and restore the physical and mental well-being of the workforce.” This report has nine chapters and includes an extensive Summary. The first chapter is the Introduction. The second chapter presents the history and the challenges of the DHS Work- place and Health System. Chapter 3 presents a Comprehensive Framework for Ensuring the Health of an Operational Workforce. Chapter 4 discusses the Current State of Workforce Health Protection at DHS, and Chapter 5 discusses the need for Leadership Commitment to Workforce Health and the current strategic approach. While Chapter 6 discusses Organizational Align- ment and Coordination, Chapter 7 discusses Functional Alignment. The topic of Chapter 8 is Information Management and Integration. The report concludes with Considerations for Implementation (Chapter 9). FY Fiscal Year 2016 Transit Security Grant Program Fact Sheet Citation. “Fiscal Year 2016 Transit Security Grant Program Fact Sheet,” Federal Emergency Management Agency (FEMA), Washington, DC, [Online]. Available: http://www.fema.gov/ media-library-data/1467253705754-fbe7bb22b360adbe19e8ba1a4a8ef4e8/FY_2016_TSGP_ Fact_Sheet_Final.pdf Synopsis. The 2016 Transit Security Grant Program (TSGP) is appropriated by the Depart- ment of Homeland Security Appropriations Act, 2016 (Pub. L. No. 114-113) and authorized by Section 1406 of the Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. L. No 110-53) (6 U.S.C. 1135). Owners and operators of transit systems apply for TSGP funds, which are intended “to protect and increase the resilience of critical surface transporta- tion infrastructure and the traveling public from acts of terrorism.” (TSGP Fact Sheet) Reviewers of applications include representatives from FEMA, DHS Office of Infrastructure Protection (IP), Transportation Security Administration (TSA), and Federal Transit Administration (FTA). Available funds are $87,000,000. Link for the main Transit Security Grant Program site: https://www.fema.gov/fiscal-year- 2016-transit-security-grant-program FY 2016 Transit Security Grant Program (TSGP) Security Plan Requirements Citation. “FY 2016 Transit Security Grant Program (TSGP) Security Plan Requirements,” Federal Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http://www.fema.gov/media-library-data/1455411216354-30530ec96cc6eccdf07c0fb8e0e24637/ FY_2016_TSGP_Security_Plan.pdf Synopsis. To be eligible for TSGP funds, the transit agency’s security plan should include the following: “A prioritized list of all items included in the public transportation agency’s security assessment that have not yet been addressed • A detailed list of any additional capital and operational improvements identified by DHS or the public transportation agency and a certification of the public transportation

196 A Guide to Emergency Management at State Transportation Agencies agency’s technical capacity for operating and maintaining any security equipment that may be identi- fied in such list • Specific procedures to be implemented or used by the public transportation agency in response to a terrorist attack, including evacuation and passenger communication plans and appropriate evacuation and communication measures for the elderly and individuals with disabilities • A coordinated response plan that establishes procedures for appropriate interaction with State and local law enforcement agencies, emergency responders, and Federal officials in order to coordinate security measures and plans for response in the event of a terrorist attack or other major incident • A strategy and timeline for conducting training under Section 1408 of the 9/11 Act • Plans for pro- viding redundant and other appropriate backup systems necessary to ensure the continued operation of critical elements of the public transportation system in the event of a terrorist attack or other major incident • Plans for providing service capabilities throughout the system in the event of a terrorist attack or other major incident in the city or region which the public transportation system serves • Methods to mitigate damage within a public transportation system in case of an attack on the system, including a plan for communication and coordination with emergency responders • Other actions or procedures as the Secretary of Homeland Security determines are appropriate to address the security of the public transportation system” Link for the main Transit Security Grant Program site: https://www.fema.gov/fiscal-year- 2016-transit-security-grant-program Fiscal Year (FY) 2016 Transit Security Grant Program (TSGP) Notice of Funding Opportunity (NOFO)—Key Changes Citation. “Fiscal Year (FY) 2016 Transit Security Grant Program (TSGP) Notice of Funding Opportunity (NOFO) – Key Changes,” Federal Emergency Management Agency (FEMA), Washington, DC, 2016, [Online]. Available: http://www.fema.gov/media-library- data/1455627528293-1f7286cb288bde4e6f0860881273f9d0/FY_2016_TSGP_Key_Changes_ Final.pdf Synopsis. To ensure that agencies focus on their individual risks and threats, prior- ity scoring groups were eliminated and replaced with three equal Funding Priority Areas: “1. Operational Activities: Training, drills/exercises, public awareness, security planning 2. Operational Deterrence: Operational Packages, Directed/Surge Patrols on Overtime 3. Capital Projects: For capital projects only, priority consideration will be given in the following order: 1. Top Transit Asset List (TTAL) Infrastructure 2. Multi-User High-Density Key Infrastructure • Tunnel Hardening • High-Density Elevated Operations • Multi-User High-Density Stations • Hardening of supervisory control and data acquisition, other industrial control systems, or other anti-terrorism cyber security programs • Sustainment/maintenance 3. Single-User High- Density Key Infrastructure • Anti-terrorism security enhancement measures for high-density stations and bridges • Sustainment/maintenance 4. Key Operating Asset Protection • Physical hardening/security of control centers • Secure stored/parked trains, engines, and buses (bus/rail yards) • Maintenance facilities • Bus/train hardening • Sustainment/maintenance 5. Other Mitigation Activities • Interoperable communications • Anti-terrorism security enhancement measures for low-density stations • Sustainment/maintenance • Other uses of funds, as outlined in Public Law 110-53 Section 1406(b)(1)” Scoring criteria include • Cost effectiveness • Feasibility of increasing security • Sustainability • Timely completion • Baseline assessment for security enhancement review alignment Link for the main Transit Security Grant Program site: https://www.fema.gov/fiscal-year-2016- transit-security-grant-program

Bibliography and Resource Guide 197 Transit Safety and Security Program (TSSP) Certification, Transportation Safety Institute Available: http://www.rita.dot.gov/tsi/about/transit_safety Synopsis. The Transit Safety and Security Program (TSSP) Certification is adminis- tered by the FTA’s Transit Safety and Security Division. The certification program provides information on the development and implementation of system safety, security, and emer- gency management program plans, and is targeted toward rail and bus safety and security professionals. The bus-oriented certificate requires successful completion of the following courses: • Transit Rail System Safety (Learn basic rail system safety and safety management systems (SMS) principles, as well as the required elements of MAP-21 rule making and the State Safety Oversight Rule 49 CFR Part 659. Study hazard analysis and its implementation throughout the system life cycle, from planning and design, through construction, imple- mentation of revenue service, and disposition. Explore system safety in the acquisition and operations phases, safety certification program, certifiable items list, security, and emer- gency response.) • Transit Rail Incident Investigation (This course provides participants with the knowledge and skills to successfully investigate various types of transit incidents and comply with the requirements of State Safety Oversight Rule 40 CFR Part 659. This will be achieved utilizing the systems approach to incident investigation used by the National Transportation Safety Board. Examples are drawn from light rail, commuter rail, and heavy rail operations. The course will assist participants to better understand how the investigation process shall be used to prevent rail transit incidents and allow for successful implementation of corrective actions plans.) • Transit System Security [Develop an increased knowledge of Transit System Security and how it relates to Safety Management Systems (SMS). Gain new resources to reduce crime and improve customer and employee security. Learn how to use a uniform format for develop- ing and implementing security policies and procedures through a System Security Plan with crime prevention as the major component. Included are basic security terms, the eight steps in the threat and vulnerability identification, and resolution process.] • Effectively Managing Transit Emergencies (Nature of emergencies and disasters; emergency management concepts; Development of an emergency management plan; emergency man- agement training). The rail-oriented certificate requires successful completion of the following courses: • Transit Bus System Safety (contains information on Threat and vulnerability analyses, Hazard identification and resolution, and Emergency/All-hazards management) • Fundamentals of Bus Collision Investigation [Learn about effective tools and techniques relating to data collection, on-scene evidence documentation, damage and debris evi- dence analysis, witness interview techniques, computation of simple speed estimates, and report writing. Gain in-depth practical application knowledge of accident reconstruction techniques and the use of mathematical formulas to evaluate contributing factors associ- ated with bus collisions/investigations. This course also includes an introduction to Safety Management Systems (SMS) principles and basic collision investigation procedures. Knowledge of high school algebra will greatly assist participants to successfully complete this course]. • Transit System Security • Effectively Managing Transit Emergencies

198 A Guide to Emergency Management at State Transportation Agencies Approved Transit Courses for Homeland Security Grants Courses approved by the Department of Homeland Security/Office of Domestic Prepared- ness are eligible for a Homeland Security Grant. They include the following: • FT00432—Transit System Security • FT00531—Crime Prevention Through Environmental Design (Provides system security concepts and initiatives, the three CPTED principles, and facilities design and operations planning) • FT00538—Transit System Security: Design Review (Creates a proactive impact on employee and customer safety and security in the design review process for new facilities, new starts, rehabilitation of existing facilities, or extensions to current systems) • FT00463—Transit Response to Bus Hijacking Seminar • FT00456—Effectively Managing Transit Emergencies • FT00550—Identify IED Threats to Public Transit • FT00532—Transit Response to Rail Hijacking Seminar ACRP Report 95: Integrating Community Emergency Response Teams (A-CERTS) at Airports Citation. ACRP Report 95: Integrating Community Emergency Response Teams (A-CERTS) at Airports, Transportation Research Board of the National Academies, Washington, DC, 2013. Available: http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_095Part3.pdf. Synopsis. Airport emergency response resources are likely to become overwhelmed after a major incident. The following A-CERT team models have been successful as stopgap measures: 1. Use of airport employees who normally do not have an emergency response role 2. Use of existing outside CERT teams or recruiting outside volunteers 3. A combination of the above This report notes that A-CERT teams may be useful for a wide range of purposes, which may or may not be emergency-related. They include: General • Staff family support centers. • Staff informational centers during high traffic periods, such as holidays. • Provide assistance with parking, including special event parking. • Provide traffic control support. • Provide evacuation assistance by leading evacuees to marshaling points. • Assist in management of marshaling points. • Provide food and water to airport responders. • Assist first responders during special events. • Act as victims for drills and exercises. Air shows • Assist with parking and traffic control. • Assist with crowd control. • Provide first aid assistance. • Provide food and water to workers. • Assist with clean-up efforts.

Bibliography and Resource Guide 199 Natural disaster response and recovery • Flooding – Provide sandbagging assistance. – Augment evacuation efforts. • Tornado – Secure loose items, aircraft, and equipment. – Augment evacuation efforts. • Earthquake response – Conduct damage assessment of airport facilities. – Provide glass and debris clean-up. Other uses include the following: • Serve as training instructors for other CERT volunteers. • Provide National Incident Management System (NIMS)/Incident Command System (ICS) training for airport personnel. • Conduct damage assessments. • Conduct perimeter/fence inspections. • Conduct airport debris inspections and removal. • Provide shelter management, especially shelter-in-place, following flight cancellations due to storms, volcanic ash, or other hazards. • Assist law enforcement in conducting bomb searches. • Serve as scribes for command posts using web-based systems. • Serve as observers, evaluators, or safety officers for drills and exercises. • Recruit additional CERT members. • Serve as tour guides for school or civic groups. • Serve as drivers. • Assist airport law enforcement and security personnel by serving as escorts for special events or construction projects. • Provide security when airport perimeter is breached by a disaster or accident. • Provide scene security assistance. • Provide coordination of emergency vehicles/staging officers. • Assist with triage in mass casualty events. • Provide record keeping. • Provide maintenance assistance (e.g., snow removal, debris removal, electrical, plumbing, heating and air conditioning). • Provide Americans with Disabilities Act (ADA)-compliance assessment and recommendations. • Assist with search and rescue. • Provide human resources for situational long term recovery efforts. • Staff phone banks. • Provide communications assistance (i.e., act as runners). • Provide secondary communications capabilities (e.g., amateur radio). • Provide assistance with mass casualty patient transport. • Coordinate untrained volunteers. • Provide assistance responding to or recovering from acts of terrorism, vandalism, or criminal activity. Additional details regarding an A-CERT training program is contained in the report. Also, an A-CERT training manual is available via the TRB website.

200 A Guide to Emergency Management at State Transportation Agencies 2014 National Strategy for Transportation Security (NSTS) Citation. 2014 National Strategy for Transportation Security (NSTS): Report to Congress, April 2015 DHS/TSA Synopsis. The NSTS “presents a forward-looking, risk-based plan to protect the freedom of movement of people and goods while preserving civil rights, civil liberties, and privacy; it identifies priority objectives to enhance the security of infrastructure, conveyances, workers, travelers, and operations.” The report addresses the transportation strategic planning require- ment in Section 1202(b) of the Intelligence Reform and Terrorism Prevention Act in title 49 of the U.S. Code. NSTS goals are Goal 1: Manage risks to transportation systems from terrorist attack and enhance system resilience. Goal 2: Enhance effective domain awareness of transportation systems and threats. Goal 3: Safeguard privacy, civil liberties, and civil rights, and the freedom of movement of people and commerce. The report components include a base plan and the appended modal security plans for Aviation, Maritime, Highway and Motor Carrier, Mass Transit and Passenger Rail, Freight Rail, and Pipelines, and intermodal security plan. The base plan is structured as follows: II. Sector Risk Profile, III. Guiding Principles, IV. Sector Mission, Vision, Goals, and Objectives, V. Cross Modal Priorities, VI. Performance, VII. Roles and Responsibilities, and VIII. Challenges and Path Forward. Appendices • Appendix A 2014 Aviation Security Plan • Appendix B 2014 Maritime Security Plan • Appendix C 2014 Surface Security Plans • Appendix D 2014 Intermodal Security Plan Training and exercises receive attention in the base plan and in the modal security plans as ways to enhance preparedness, response, and recovery. • A priority activity in response and recovery from a terrorist attack is to “promote participa- tion in local security exercises to ensure public and private familiarity with plans, procedures, and capabilities” (page 12). • To address Chemical and Biological Threats against transit, a priority is to assure availability of response training for frontline employees. • Domestic Nuclear Detection Office (DNDO) develops the Global Nuclear Detection Architecture, a framework to detect, analyze, and address nuclear and radiological threats against aviation, maritime, and land transportation modes. DNDO also has training and exercise programs to support their mission. Due to changing and emerging threats, a challenge is noted as the need for security officials to have advanced technological capabilities and continual training. Included below are highlights from the Highway and Motor Carrier, Mass Transit and Passenger Rail, and Freight Rail sections of Appendix C – 2014 Surface Security Plans. Highway and Motor Carrier Attack scenarios for highway and motor carrier include IEDs or Vehicle-Borne IEDs on criti- cal infrastructure, small arms or IED attacks on passenger or school buses, use of trucks or

Bibliography and Resource Guide 201 vehicles with explosives or toxic materials as a weapon, and contamination of food products during transport. These scenarios led to the risk-based priority of enhancing frontline employee security training and awareness. A related programming priority is the use of I-STEP and the Exercise Information System to promote security strategies. A challenge for highway and motor carrier security is noted as the changing threats and per- sonnel turnover which require continual updating of security training. A path forward includes transitioning the First Observer program to a web-based training program and sharing of train- ing materials and relevant information with stakeholders. Mass Transit and Passenger Rail Based on the following mass transit and passenger rail attack scenarios: • IED attacks on trains or infrastructure, • Active-shooter situations, • Sabotage of control systems, and • Chemical/biological attack. A risk-based priority is to promote best practices for security planning, assessments, train- ing, and exercises. Programming priorities include establishing an exercise program to test and improve resilience and promoting use of public awareness campaigns. The use of I-STEP is cited as a way to address the challenges of increasing operational deterrence at high-risk transit stations and enhance modal resilience. The Transit Security Grant Program is also noted as being a priority tool for hardening assets and funding public awareness campaigns, anti-terrorism law enforcement positions, and preparedness drills and exercises. Freight Rail Freight rail’s primary risk scenario includes an IED attack on hazardous materials and attacks on critical transportation system infrastructure. This scenario bolsters the following risk-based training and exercise priorities: • “Provide effective training for frontline employees in security sensitive positions. • Conduct effective exercises employing realistic threat scenarios that evaluate and identify opportunities to improve security and resilience” (page 42). NCHRP Synthesis 472: FEMA and FHWA Emergency Relief Funds Reimbursements to State Departments of Transportation Citation. Nakanishi, Yuko J. and Auza, Pierre M. NCHRP Synthesis 472: FEMA and FHWA Emergency Relief Funds Reimbursements to State Departments of Transportation. Transportation Research Board of the National Academies, Washington, DC, 2015, [Online]. Available: http:// onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_472.pdf Synopsis. The Summary states that this synthesis “focuses on state DOT experiences and practices related to the federal disaster reimbursement programs: FHWA Emergency Relief (ER) and the Federal Emergency Management Agency (FEMA) Public Assistance (PA).” The synthesis consists of five chapters, and its case studies include ten (10) state departments of transportation (DOTs) and two (2) state emergency management agencies or offices. After an introductory Chapter 1, the report presents an overview of the FHWA and FEMA programs in Chapter 2. Chapter 3 examines the challenges and experiences of case study state DOTs with the two federal programs. In contrast, Chapter 4 compares and contrasts these state DOTs by aspects of their current practices, such as roles and responsibilities, disaster assessment practices, financial management systems, and cost sharing, etc. In its Conclusion (Chapter 5),

202 A Guide to Emergency Management at State Transportation Agencies the synthesis summarizes its findings (challenges and effective practices of state DOTs) and shares useful resources for the two federal programs. Appendix D contains detailed write-ups of each case study participant DOT. Other appendices include • Presidential Declarations (Appendix B), • New York State DOT Detailed Damage Inspection Report (DDIR) form instructions (Appendix E), • California DOT (Caltrans) Damage Assessment Form (Appendices F and G), • Vermont Agency of Transportation (VTrans) checklists (Appendix H), • Louisiana Department of Transportation and Development (DOTD) emergency forms and equipment/supply checklist (Appendix I), and • Public Assistance Grant Program Summary (Appendix J) Findings regarding state DOT training practices related to reimbursement programs included training of personnel, including disaster inspection teams and financial personnel on FHWA ER and FEMA PA reimbursement programs and procedures. Agencies used scenarios from prior disasters to improve training. Also, the importance of training on documentation was emphasized in the synthesis. A good understanding of effective docu- mentation procedures including NIMS/ICS procedures and forms along with other activities that streamline emergency work will help agencies recover costs in an efficient manner and meet program deadlines. Sources of FHWA ER training included FHWA Division Offices and state DOT’s FHWA ER coordinators. FHWA ER coordinators provide relevant training to state DOT person- nel involved in the reimbursement process. State DOTs also provided a range of FHWA ER training to LPAs, including annual or semiannual training, training by request, and just in-time training. Examples of assistance and training provided by state DOTs are given on page 59 of the report. In some cases, the state DOT also provides training state EMA personnel. With respect to FEMA PA training, FEMA offers an independent study (IS), Course 634: Introduction to FEMA’s Public Assistance Program, and a 4-day course at FEMA’s Emergency Management Institute facility in Maryland. State EMAs may also provide training and assistance to state DOTs and LPAs. State DOTs noted that they would appreciate additional training on FEMA PA and FHWA ER programs and procedures, and the funds needed to deliver such training to their staff and to LPAs. NCHRP Report 667: Model Curriculum for Highway Safety Core Competencies Citation. NCHRP Report 667: Model Curriculum for Highway Safety Core Competencies, Transportation Research Board of the National Academies, Washington, DC, 2010, [Online]. Available: http://www.trb.org/Main/Blurbs/164418.aspx Synopsis. Safety workforce development is an important concern within the transporta- tion safety community. Retirements among experienced professionals could leave a gap in the knowledge base and slow progress on building a safe and efficient transportation system. Critical to the success of any workforce development effort is ensuring a sufficient number of profes- sionals are entering the field. In April 2002, FHWA hosted a workshop to discuss topics related to workforce development specifically for the road safety community and to identify strategies for building the supply of road safety professionals. To further the ideas and goals of the workshop, TRB created a Joint Subcommittee on Road Safety Workforce Development to accomplish the following objectives:

Bibliography and Resource Guide 203 • Raise awareness of the need for education and training opportunities for road safety professionals; • Develop a set of core competencies for road safety professionals; and • Encourage use of the core competencies in training and education programs, hiring decisions, performance evaluations, and professional development. This report presents a model curriculum based on the core competencies developed by the Joint Task Force. The curriculum is named Road Safety 101 (Model Curriculum for Highway Safety Core Competencies) to highlight the fact that the course meets university standards and represents a beginning understanding of road safety as a discipline. The NCHRP funded the program in 2007, followed by a pilot test in 2008–2009, which included a blended learning envi- ronment (e.g., five webinars, several on-line assignments, and a three-day classroom seminar). In 2009, NCHRP provided additional resources to continue pilot testing the curriculum using different learning environments (e.g., one all classroom and one on-line). All instructional components of this project were developed utilizing Instructional Systems Design (ISD) methodology and processes. The ISD model was designed in 1975 to solve Depart- ment of Defense training problems. It grew out of the systems analysis concepts that became popular after World War II. Today, it is the most extensively used instructional design model. A CD is attached with this report that contains the training materials, including the instructor and participant guides, PowerPoint presentations and speaker notes, and other ancillary materi- als, such as certificate examples, an evaluation form, and a participant sign in sheet. Appendix A of this report provides an outline of the materials contained on the CD. Clear Roads Winter Maintenance Training Reference Materials Citation. “Reference Materials: Training for Supervisors and Operators,” Clear Roads (www.clearroads.org), n.d., St. Paul, MN, [Online]. Available: http://clearroads.org/training- reviewed-modules/ Synopsis. Clear Roads pooled fund project collected winter maintenance training material (publications and course materials) from DOTs around the country. Get Ready: NIMS-Compliant Training for Public Works Citation. Bergner, David, Get Ready: NIMS-Compliant Training for Public Works, APWA Reporter, Jan. 2013, p.41. Synopsis. Bergner notes that Public Works is a fundamental component of emergency man- agement as local government is expected to handle the first 72 hours of an emergency without outside aid. However, when assistance is needed, they should be able to communicate and coor- dinate with other emergency responders. The adoption of NIMS is a prerequisite for obtaining Federal funds for response, recovery and mitigation. Unfortunately, according to Bergner, most Public Works personnel involved in emergency response (inspectors, technicians, dispatchers, mechanics, and clerks as well as field workers and supervisors) lack even basic training on NIMS and ICS. It’s Time for TIM: Public Works and Traffic Incident Management Citation. Bergner, David, It’s Time for TIM: Public Works and Traffic Incident Manage- ment, APWA Reporter, Jan. 2014, p.47. Synopsis. Bergner writes that Public Works and DOTs are often needed to assist with traf- fic incident management which is vital to keeping responders and the public safe and reducing unnecessary and costly congestion. Public Works/DOTs are also needed for removal and repair

204 A Guide to Emergency Management at State Transportation Agencies of damaged pavement, structures or roadside devices, and clearing debris. In some jurisdictions the PW/DOT agency may be involved in hazmat containment or cleanup. While law enforcement vehicles and fire trucks carry little, if any, temporary traffic control equipment, nearly all PW/DOT Maintenance and Operations personnel are certified in Temporary Work Zone Traffic Control, by the International Municipal Signal Associa- tion (IMSA), American Traffic Safety Services Association (ATSSA), the state LTAP or by the agency itself, and know how to establish a traffic incident management area (TIMA). Bergner states that the TIM Responder course is an excellent opportunity for all disci- plines, including Public Works, to better recognize, relate to and respect each other. Bergner notes that TIM courses are available from FHWA, Emergency Responder Safety Institute (ERSI) (http://learning.respondersafety.com) and the I-95 Corridor Coalition. Additionally, APWA’s Emergency Management committee is revising the Highway Incident Manual at the request of the National Incident Management System Consortium (NIMSC). Expanding Role of Public Works in Emergency Management Citation. Bergner, Dave and Kimberly Vasconez, Expanding Role of Public Works in Emergency Management, Leadership and Management in Engineering, Vol. 12, No. 3, 2012, pp. 126–133. Synopsis. This paper examines the evolving mission of public works in emergency management. Maintenance and operations personnel of state DOTs and public works agencies are vital in the response and recovery phases of disasters and other emergencies, and assist with rescue, evacuation, and sheltering and provide temporary traffic control, perimeter security, animal control, transportation of supplies and equipment, on-site vehicle service, debris management, and restoration of infrastructure. The convergence of all-hazards emergency management and traffic incident management in recent years means that public works has a different role in planning and preparing for and responding to disasters and events. The profusion of laws, mandates, and programs and the rapidly evolving body of training and knowledge can make staying abreast of these changes challenging. The Incident Command System and Winter Operations Citation. Bergner, Dave, The Incident Command System and Winter Operations, APWA Reporter, Jan. 2013, p.36. Synopsis. Public Works agencies need to incorporate ICS concepts and formats into their winter weather operations. Winter weather operations is a very significant function of local Public Works departments and state DOTs. Even a slight amount of snow and ice on our transportations systems has detrimental impact. Because every Public Works department is unique as to size, structure, scope of services and systems, winter operations plans should be adaptable as well. ICS can be adapted and modified to the individual agency and a particular situation. The Role of Public Works in Traffic Incident Management and Other Emergencies and Disasters Citation. Bergner, Dave, The Role of Public Works in Traffic Incident Management and Other Emergencies and Disasters, Submitted for publication in the Journal of Public Works and Infrastructure, Vol. 2, August 12, 2014, 17 pp.

Bibliography and Resource Guide 205 Synopsis. Emergency Management has now become a vital Public Works function in the United States since the terrorist attacks of September 11, 2001, and Hurricane Katrina in August 2005. Public Works departments then must be more proactive in recognition of their enhanced role including its federal designation as a “first responder.” Another aspect involv- ing emergencies is Traffic Incident Management. Public Works/transportation personnel are involved in responding to traffic incidents of all types. Many of the policies, procedures, and protocols for responding to traffic incidents are useful for other planned and unplanned events, including the larger disasters. National Fire Protection Association (NFPA) Available: http://www.nfpa.org/ The NFPA offers resources on codes, standards, guidance, and training on fire, electrical, and related hazards. Occupational Safety and Health Administration (OSHA) Available: www.osha.gov As described on its website, the Occupational Safety and Health Act of 1970 created the Occupational Safety and Health Administration (OSHA) “to assure safe and healthful working conditions for working men and women by setting and enforcing standards and by providing training, outreach, education and assistance.” OSHA standards address workplace hazards, including working with hazardous materials, personal protective equipment, fire protection, fall protection, and bloodborne pathogens and provides various training resources.

206 A Guide to Emergency Management at State Transportation Agencies Fusion centers operate as state and major urban area focal points for the receipt, analysis, gathering, and sharing of threat-related information between federal; state, local, tribal, territorial (SLTT); and private sector partners. State and major urban area fusion centers (fusion centers) are owned and operated by state and local entities and are designated by the governor of their state. There are two types of fusion centers: 1. Primary Fusion Centers: A primary fusion center typically provides information sharing and analysis for an entire state. These centers are the highest priority for the allocation of available federal resources, including the deployment of personnel and connectivity with federal data systems. 2. Recognized Fusion Centers: A recognized fusion center typically provides information sharing and analysis for a major urban area. As the federal government respects the authority of state governments to designate fusion centers, any designated fusion center not designated as a primary fusion center is referred to as a recognized fusion center. Appendix A2: Fusion Centers and Information Sharing and Analysis Centers (ISACs) Information Fusion Centers

Bibliography and Resource Guide 207 Surface Transportation Information and Sharing Analysis Center (ST-ISAC) Online: https://www.surfacetransportationisac.org/ The ST-ISAC was formed at the request of the Department of Transportation. The ISAC provides a secure cyber and physical security capability for owners, operators, and users of critical infrastructure. Security and threat information is collected from worldwide resources, then analyzed and distributed to members to help protect their vital systems from attack. The ISAC also provides a vehicle for the anonymous or attributable sharing of incident, threat, and vulnerability data among the members. Members have access to information and analytical reporting provided by other sources, such as the U.S. and foreign governments; law enforcement agencies, technology providers, and international computer emergency response teams (CERTs). Public Transportation Information Sharing and Analysis Center (P5-ISAC) Online: http://www.apta.com/resources/safetyandsecurity/Pages/ISAC.aspx The PT-ISAC is a trusted, sector-specific entity which provides to its constituency a 24/7 Security Operating Capability that established the sector's specific information/intelligence requirements for incidences, threats, and vulnerabilities. Based on its sector-focused subject matter analytical expertise, the ISAC then collects, analyzes, and disseminates alerts and incident reports It provides to its membership and helps the government understand impacts for their sector. It provides an electronic, trusted ability for the membership to exchange and share information on all threats, physical and cyber, in order to defend public transportation systems and critical infrastructure. This includes analytical support to the government and other ISACs regarding technical sector details and in mutual information sharing and assistance during actual or potential sector disruptions, whether caused by intentional or natural events. Over the Road Bus Information Sharing and Analysis Center (OTRB-ISAC) The OTRB-ISAC provides cyber and physical security warning and incident reporting for the OTR transportation segment. Information and news are compiled and extracted from multiple sources by OTRB-ISAC analysts for the purpose of supporting ISAC member homeland security awareness. News alerts and reports are distributed to members by the OTRB-ISAC. Multi-State-ISAC (MS-ISAC) Online: http://msisac.cisecurity.org/ The MS-ISAC is the focal point for cyber threat prevention, protection, response, and recovery for the nation’s state, local, tribal, and territorial (SLTT) governments. The MS-ISAC 24x7 cybersecurity operations center provides real-time network monitoring, early cyber threat warnings and advisories, vulnerability identification, and mitigation and incident response. The MS-ISAC is a collaborative state and local government-focused cybersecurity entity that is significantly The purpose of Information Sharing and Analysis Centers (ISACs) is to serve as the conduit for cross-modal lessons learned and best practices in ICS cybersecurity, and to provide a forum for partnership, outreach, and information sharing. More information can be found at http://www.isaccouncil.org. Information Sharing and Analysis Centers (ISACs)

208 A Guide to Emergency Management at State Transportation Agencies enhancing cyber threat prevention, protection, response, and recovery throughout the states of our nation. The mission of the MS-ISAC is to provide a common mechanism for raising the level of cybersecurity readiness and response in each state/territory and with local governments. The MS-ISAC provides a central resource for gathering information on cyber threats to critical infrastructure and providing two-way sharing of information between and among the states and territories and with local government. Supply Chain ISAC Online: https://secure.sc-investigate.net/SC-ISAC/ISACHome.aspx The Supply Chain ISAC offers the most comprehensive forum for collaboration on critical security threats, incidents, and vulnerabilities to the global supply chain. Its mission is to facilitate communication among supply chain dependent industry stakeholders, foster a partnership between the private and public sectors to share critical information, collect, analyze, and disseminate actionable intelligence to help secure the global supply chain, provide an international perspective through private sector subject matter experts and help protect the critical infrastructure of the United States.

Bibliography and Resource Guide 209 Fusion Center Contact List Alabama Fusion Center Montgomery, Alabama Phone: (334) 517-2660 Fax: (334) 517-2746 Toll-Free: (866) 229-6220 fusioncenter@alacop.gov fusion.alabama.gov Alaska Information and Analysis Center Anchorage, Alaska Phone: (907) 269-8900 Toll-Free: (855) 692-5425 AKIAC@alaska.gov Arizona Counter Terrorism Information Center Phoenix, Arizona Phone: (602) 644-5805 Toll-Free: (877) 272-8329 actic@azdps.gov www.azdps.gov Arkansas State Fusion Center Little Rock, Arkansas Phone: (501) 618-8001 Toll-Free: (866) 787-2332 arfusioncenter@asp.arkansas.gov Austin Regional Intelligence Center; Austin, TX Austin, Texas Phone: (512) 974-2742 aric@austintexas.gov www.arictexas.org

210 A Guide to Emergency Management at State Transportation Agencies Boston Regional Intelligence Center; Boston, MA Boston, Massachusetts Phone: (617) 343-4328 bric.bpd@cityofboston.gov www.mbhsr.org/ California State Threat Assessment Center Mather, California Phone: (916) 874-1100 STAC@CalOES.ca.gov www.calstac.org Central California Intelligence Center; Sacramento, CA McClellan, California Phone: (916) 808-8383 Toll-Free: (888) 884-8383 info@sacrtac.org www.sacrtac.org Central Florida Intelligence Exchange (CFIX) Orlando, Florida Phone: (407) 858-3950 cfix@ocfl.net www.ocso.com/cfix Chicago Crime Prevention and Information Center; Chicago, Illinois Chicago, Illinois Phone: (312) 745-5669 cpic@chicagopolice.org

Bibliography and Resource Guide 211 Colorado Information Analysis Center Lakewood, Colorado Phone: (877) 509-2422 cdps_ciac@state.co.us dhsem.state.co.us Connecticut Intelligence Center Hartford, Connecticut Phone: (860) 706-5500 Fax: (806) 706-5535 ctic@ct.gov www.ct.gov/demhs Dallas Fusion Center; Dallas, TX Dallas, Texas Phone: (214) 671-3482 dallas.fusion@dpd.ci.dallas.tx.us Delaware Information and Analysis Center Dover, Delaware Fax: (302) 739-1609 Alternate Phone: (302) 739-5996 Toll-Free: (800) 367-2312 diac@state.de.us www.dediac.org Delaware Valley Intelligence Center; Philadelphia, PA Philadelphia, Pennsylvania Phone: (215) 897-0800 Fax: (215) 683-2794 dvic@phila.gov dvicphila.org

212 A Guide to Emergency Management at State Transportation Agencies Detroit and Southeast Michigan Information and Intelligence Center; Detroit, MI Detroit, Michigan Phone: (313) 967-4600 DSEMIIC@michigan.gov El Paso Multi-Agency Tactical Response Information eXchange (MATRIX); El Paso, TX El Paso, Texas Phone: (915) 212-4200 Fax: (915) 212-0280 pdfusion@elpasotexas.gov Florida Fusion Center Tallahassee, Florida Phone: (850) 410-7645 Toll-Free: (800) 342-0820 FloridaFusionCenter@fdle.state.fl.us www.fdle.state.fl.us Georgia Information Sharing and Analysis Center Atlanta, Georgia Phone: (404) 486-6420 generalinfo@gisac.gbi.ga.gov Greater Cincinnati Fusion Center Cincinnati, Ohio Phone: (513) 263-8000 Fax: (513) 263-8225 GCFC@GCFC.org www.GCFC.org

Bibliography and Resource Guide 213 Hawaii Fusion Center Honolulu, Hawaii Phone: (916) 356-4467 hsfc@dod.hawaii.gov www.pacclear.org Houston Regional Intelligence Service Center; Houston, TX Houston, Texas Phone: (713) 884-4710 HRISC-Fusioncenter@houstonpolice.org Idaho Criminal Intelligence Center Meridian, Idaho Phone: (208) 846-7676 ICIC@fusion.idaho.gov www.isp.idaho.gov/icic Illinois Statewide Terrorism and Intelligence Center Springfield, Illinois Phone: (877) 455-7842 stic@isp.state.il.us Indiana Intelligence Fusion Center Indianapolis, Indiana Phone: (866) 400-4432 iifc@iifc.in.gov www.in.gov/iifc Iowa Intelligence Fusion Center Des Moines, Iowa Phone: (800) 308-5983 intel@dps.state.ia.us www.dps.state.is.us/intell/index.shtml

214 A Guide to Emergency Management at State Transportation Agencies Kansas City Terrorism Early Warning Fusion Center; Kansas City, MO Kansas City, Missouri Phone: (816) 413-3601 kctew@kcpd.org www.kctew.org Kansas Intelligence Fusion Center Topeka, Kansas Phone: (785) 274-1805 intelligence.fusion@ag.ks.gov Kentucky Intelligence Fusion Center Frankfort, Kentucky Phone: (502) 564-2081 fusioncenter@ky.gov www.homelandsecurity.ky.gov Los Angeles Joint Regional Intelligence Center; Los Angeles, CA Norwalk, California Phone: (562) 345-1100 Fax: (562) 345-1766 jric@jric.org www.jric.org Louisiana State Analytical & Fusion Exchange Baton Rouge, Louisiana Phone: (225) 925-4192 Toll-Free: (800) 434-8007 lafusion.center@dps.la.gov www.la-safe.org

Bibliography and Resource Guide 215 Maine Information and Analysis Center Augusta, Maine Phone: (207) 624-7280 Toll-Free: (877) 786-3636 intel.msp@maine.gov Mariana Regional Fusion Center (Guam) Agana Heights, Guam info@mlrin.org Maryland Coordination and Analysis Center Woodlawn, Maryland Phone: (800) 492-8477 mdwatch@mcac.maryland.gov www.mcac.maryland.gov Massachusetts Commonwealth Fusion Center Maynard, Massachusetts Phone: (978) 451-3711 Alternate Phone: (978) 451-3700 fusion@massmail.state.ma.us Michigan Intelligence Operations Center Lansing, Michigan Phone: (517) 241-8000 Toll-Free: (877) 616-4677 mioc@michigan.gov www.michigan.gov/mioc

216 A Guide to Emergency Management at State Transportation Agencies Minnesota Fusion Center St. Paul, Minnesota Phone: (651) 793-3730 Fax: (651) 793-3731 Toll-Free: (800) 422-0798 info@icefishx.org www.icefishx.org Mississippi Analysis and Information Center Pearl, Mississippi Phone: (601) 933-7200 MSAIC@dps.ms.gov www.homelandsecurity.ms.gov/msaic.html Missouri Information Analysis Center Jefferson City, Missouri Phone: (866) 362-6422 miac@mshp.dps.mo.gov www.miacx.org Montana Analysis & Technical Information Center Helena, Montana Phone: (406) 444-1330 dojintel@mt.gov doj.mt.gov Nebraska Information Analysis Center Lincoln, Nebraska Phone: (402) 479-4049 Fax: (402) 479-4950 nefusioncenter@nebraska.gov

Bibliography and Resource Guide 217 Nevada Threat Analysis Center; Carson City, NV Carson City, Nevada Phone: (775) 687-0450 ntac@dps.state.nv.us www.ntacnv.org New Hampshire Information and Analysis Center Concord, New Hampshire Phone: (603) 271-0300 nh.iac@dos.nh.gov www.nh.gov/safety/information-analysis-center New Jersey Regional Operations Intelligence Center West Trenton, New Jersey Phone: (609) 963-6900 roic@gw.njsp.org New Mexico All Source Intelligence Center Santa Fe, New Mexico Phone: (505) 476-9600 intelligence.fusion@state.nm.us www.nmdhsem.org New York State Intelligence Center East Greenbush, New York Phone: (866) 723-3697 ciu@nysic.ny.gov North Carolina Information Sharing and Analysis Center Raleigh, North Carolina Phone: (919) 716-1111 Toll-Free: (888) 624-7222 ncisaac@ncsbi.gov

218 A Guide to Emergency Management at State Transportation Agencies North Central Texas Fusion Center; McKinney, TX McKinney, Texas Phone: (972) 548-5537 NCTFC@co.collin.tx.us www.co.collin.tx.us North Dakota State and Local Information Center Bismarck, North Dakota Phone: (866) 885-8295 ndslic@nd.gov www.nd.gov/des/homeland/fusion-center Northeast Ohio Regional Fusion Center; Cleveland, OH Cleveland, Ohio Phone: (216) 515-8477 Toll-Free: (877) 515-8477 info@neorfc.us neorfc.us Northern California Regional Intelligence Center; San Francisco, CA San Francisco, California Phone: (866) 367-8847 dutyofficer@ncric.org www.ncric.org Northern Virginia Regional Intelligence Center; Fairfax, VA Fairfax, Virginia Phone: (703) 212-4590 fcpdnvric@fairfaxcounty.gov Ohio Strategic Analysis and Information Center Columbus, Ohio Phone: (614) 799-3555 saic@dps.state.oh.us www.homelandsecurity.ohio.gov/index.stm

Bibliography and Resource Guide 219 Oklahoma Information Fusion Center Oklahoma City, Oklahoma Phone: (405) 842-8547 Alternate Phone: (405) 848-6724 fusion@osbi.ok.gov www.okfusion.ok.gov Orange County Intelligence Assessment Center; Orange County, CA Santa Ana, California Phone: (714) 289-3949 Fax: (714) 289-1025 ociac@ociac.org www.ociac.org Oregon Terrorism Information Threat Assessment Network Salem, Oregon Phone: (503) 378-6347 oregonfusioncenter@doj.state.or.us www.doj.state.or.us Pennsylvania Criminal Intelligence Center Harrisburg, Pennsylvania Phone: 888-292-1919 sp-intelligence@pa.gov www.psp.pa.gov Puerto Rico National Security State Information Center Hato Rey, Puerto Rico Phone: (787) 793-1234 nssic@policia.pr.gov Rhode Island State Fusion Center Providence, Rhode Island Phone: (866) 490-8477 Fax: (401) 458-1173 fusion@risp.dps.ri.gov

220 A Guide to Emergency Management at State Transportation Agencies San Diego Law Enforcement Coordination Center; San Diego, CA San Diego, California Phone: (858) 495-5730 info@sd-lecc.org South Carolina Information and Intelligence Center Columbia, South Carolina Phone: (866) 472-8477 Toll-Free: (803) 896-7133 sciic@sled.sc.gov www.sled.sc.gov South Dakota Fusion Center Sioux Falls, South Dakota Phone: (605) 367-5940 sdfusioncenter@state.sd.us Southeast Florida Fusion Center; Miami, FL Miami, Florida Phone: (305) 470-3900 ioc@mdpd.com www.mdpd.com Southeastern Wisconsin Threat Analysis Center; Milwaukee, WI Milwaukee, Wisconsin Phone: (414) 935-7741 stac@milwaukee.gov WiWATCH.org Southern Nevada Counter-Terrorism Center (Las Vegas, NV) Las Vegas, Nevada Phone: (702) 828-2200 ansec@lvmpd.com www.snctc.org

Bibliography and Resource Guide 221 Southwest Texas Fusion Center; San Antonio, TX San Antonio, Texas Phone: (210) 207-7680 swtxfusion@sanantonio.gov Southwestern PA Region 13 Fusion Center; Pittsburgh, PA Pittsburgh, PA Pittsburgh, Pennsylvania Phone: (412) 473-2550 St. Louis Fusion Center; St. Louis, MO St. Louis, Missouri Phone: (314) 615-4839 info@sltew.org www.sltew.org Tennessee Fusion Center Nashville, Tennessee Phone: (877) 250-2333 tfc@tn.gov www.tennessee.gov/homelandsecurity Texas Joint Crime Information Center Austin, Texas Phone: (866) 786-5972 TXJCIC@dps.texas.gov U.S. Virgin Islands Fusion Center St. Thomas, Virgin Islands Phone: (340) 776-3013 fusioncenter@vitema.vi.gov

222 A Guide to Emergency Management at State Transportation Agencies Utah Statewide Information and Analysis Center Sandy, Utah Phone: (801) 256-2360 SIAC@utah.gov www.publicsafety.utah.gov/investigations/siac.html Vermont Intelligence Center Williston, Vermont Phone: (802) 872-6110 VIC@listserv.dps.state.vt.us www.dps.state.vt.us Virginia Fusion Center North Chesterfield, Virginia Phone: (804) 674-2196 vfc@vsp.virginia.gov www.vsp.state.va.us/FusionCenter Washington Regional Threat and Analysis Center (Washington, DC) Washington, DC Phone: (202) 481-3075 wrtac@dc.gov Washington State Fusion Center Seattle, Washington Phone: (877) 843-9522 intake@wsfc.wa.gov

Bibliography and Resource Guide 223 wvfusion@wv.gov www.fusioncenter.wv.gov Wisconsin Statewide Information Center Madison, Wisconsin Phone: (608) 242-5393 wsic@doj.state.wi.us www.doj.state.wi.us/dci/division-criminal-investigation-dci West Virginia Intelligence Fusion Center Charleston, West Virginia Phone: (304) 558-4831

224 A Guide to Emergency Management at State Transportation Agencies Appendix A3: Guidance for Plan, Prepare, Respond, and Recover Phases Plan STEPS PHASE: PLAN ACTION ITEM SUPPORTING ACTIONS STATUS 1. Form a collaborative planning team. PLAN- 01 Identify and designate lead Emergency Planning Coordinator and team for the state transportation agency. 1.1. Select an Emergency Planning Coordinator (EPC) for the agency and supporting team members. 1.2. The size of the planning team will depend on the scope of the agency’s operations, requirements, and resources. • The planning team should be of sufficient size to encourage participation and investment in the process. • Design the planning team to enhance the visibility and stature of the planning process and to provide a broad perspective on the issues. • The planning team should include active members and advisory members. • In most cases, a small group (5 to 7 people) will do the bulk of the work; however, identify other members to review planning documents, coordinate input, identify resources and needs, and assess outcomes. • Structure the planning group to receive input from all agency functional areas. PLAN- 02 Establish authority. 2.1. Demonstrate management’s commitment and promote an atmosphere of cooperation by authorizing the state transportation agency EPC and planning team to take the steps necessary to develop/update the agency’s emergency plans and response program. 2.2. Executive management should strongly support EPC’s participation in the State Emergency Operations Plan (EOP) process and define authority. 2.3. Establish a clear line of authority between team members and the agency Emergency Planning Coordinator. 2.4. Upper management should appoint participants, in writing, to the planning group. Participant job descriptions could also reflect this assignment. PLAN- 03 Issue a Mission Statement. 3.1. The agency Chief Executive Officer should issue a mission and vision statement to demonstrate a commitment to emergency planning. 3.2. The statement should • Define the scope of activities to be performed by the emergency management coordinator and planning team. • Identify the agency’s high-level goals for the emergency planning process. • Identify the documents and/or programs the agency emergency planning team is to develop. • Indicate that creation of these documents and programs will involve the entire organization. • Define the authority and structure of the planning group. PLAN- 04 Establish a schedule and budget. 4.1. Emergency Management Team should define specific goals and objectives of the emergency management process and performance metrics. 4.2. Establish a work schedule and planning deadlines. Modify timelines as priorities are more clearly defined. 4.3. Develop an initial budget for such things as research, printing, seminars, consulting services, and other expenses that may be necessary during the development process. 2. Conduct research and analyze data. PLAN- 05 Identify documents to be developed, reviewed, approved, and/or updated regarding the state transportation agency’s emergency response plans and programs. 5.1. The agency emergency planning process should begin with the State EOP and the functional annexes and hazard-specific appendices. 5.2. The State EOP may be supported by specific plans, procedures, or other documents developed by the state transportation agency and/or other agencies to support implementation of the State EOP, including the following: • Overview and Primers provide a brief concept summary of a function, team, or capability. • Standard Operating Procedures (SOPs) or Operations Manuals provide a complete reference document, detailing the procedures for performing a single function (SOP) or a number of interdependent functions (Operations Manual). • Field Operations Guides (FOGs) or Handbooks provide durable pocket or desk guides, containing essential basic information needed to perform specific assignments or functions. • Job Aids include checklists or other aids useful in performing or training for a specific job to be performed in the EOP. 5.3. Other plans may be available for agency review, including

Bibliography and Resource Guide 225 • State or agency Continuity of Operations Plan (COOP). • State or agency Continuity of Government Plan (COG). • State or agency Critical Infrastructure/Key Resources (CI/KR) Protection Plans. • State or agency Pandemic Flu Plan. • Agency Transportation/Traffic Incident Management Plans. • Agency Emergency Response Plans and Hazard–Specific Response Plans (i.e., snow/ice, hurricane, and responses like contraflow operations). PLAN- 06 Work with the State National Incident Management System (NIMS) Coordinator to identify state transportation agency requirements for addressing statewide NIMS implementation. 6.1. Meet with the state’s NIMS Coordinator to establish a working relationship for addressing NIMS compliance issues. 6.2. Determine if the agency should have a NIMS coordinator. If so, and if one has not already been assigned, determine whether the agency Emergency Planning Coordinator should assume this role. 6.3. Receive and review a copy of the State’s NIMS Implementation Plan. 6.4. Obtain from the state’s NIMS Coordinator a clear list of NIMS requirements being addressed by the state and any outstanding Corrective Action Plans (CAPs) filed with FEMA that may relate to the agency. 6.5. Ensure that state adoption of NIMS through executive order, proclamation, resolution, or legislation applies to the transportation agency and that no additional action is required by the agency to formally adopt NIMS. 6.6. Determine how the state has established its NIMS compliance baseline against the FY05 and FY06 NIMS implementation requirements and the specific actions required for the agency in FY 2007 through FY 2009. 6.7. Determine any specific NIMS training requirements applicable for the transportation agency and obtain the status of the department in meeting these requirements. 6.8. Determine whether the state is implementing NIMS resource typing protocols for the inventory and tracking of transportation related resources and what actions the agency should perform to ensure incorporation of these protocols into its planning activities. 6.9. If not already occurring, determine if monthly or quarterly meetings should be conducted with the state’s NIMS Coordinator to ensure full implementation of NIMS in all transportation agency planning, training, and drilling activities. PLAN- 07 Review State EOP and supporting annexes and appendices and other documents for transportation related activities. 7.1. Ensure documents accurately reflect transportation-related resources and authorities. 7.2. Ensure the State EOP clearly defines leadership roles and responsibilities for transportation-related issues and clearly articulates the decisions that need to be made, who will make them, when they will be made, and to whom they should be disseminated. 7.3. Ensure the State EOP facilitates response and short-term recovery activities required from a transportation perspective. 7.4. Ensure the State EOP includes strategies for both no-notice and forewarned evacuations, with particular considerations for assisting vulnerable (e.g., mobility disabled/disadvantaged) populations and for dealing with animal populations. 7.5. Verify that specific procedures and protocols have been developed to augment the State EOP to guide rapid implementation of transportation requirements—both to provide the emergency services needed by the population in general and for the transportation department(s) itself. 7.6. Verify that the situations and assumptions identified in the State EOP are appropriate from a transportation perspective. 7.7. Verify that the concept of operations in the State EOP adequately addresses transportation roles, responsibilities, capabilities, and concerns. 7.8. Verify that the organization and assignment of responsibilities in the State EOP and supporting annexes and appendices is adequate for transportation-related activities. 7.9. Verify that administration, communications, and logistics sections of the State EOP accurately reflect transportation general support requirements and availability of support services from other agencies, including general policies for managing resources and activating mutual-aid agreements, liability provisions, and policies for reassigning public employees and soliciting and using volunteers. Also, make sure that general policies on financial record keeping, tracking resources, and compensation of private property owners are appropriate for the agency. 7.10. Verify that the State EOP contains authorities and references appropriate for transportation response, including any laws, statutes,

226 A Guide to Emergency Management at State Transportation Agencies ordinances, executive orders, regulations, policies, and formal agreements relevant to providing transportation during emergencies. 7.11. Verify that coordination processes are in place to share information and any necessary command and control with the regional Transportation Management Center (TMC), if present. 7.12. Verify that coordination processes are in place to share information with the regional Intelligence Fusion Center (FC), if present. 7.13. Verify that the functional annexes and hazard-specific appendices identify activities to be performed by all agencies and organizations with responsibilities under transportation functions. Functional annexes also should clearly define actions before, during, and after an emergency event. Hazard-specific appendices should identify specific transportation activities to take in unique circumstances beyond the basic approach detailed in the State EOP. 7.14. Verify that transportation terms are included and correctly defined in the State EOP glossary. 7.15. Verify that the State EOP pre-designates transportation representatives to the State Emergency Operations Center (SEOC)/Multiagency Coordination System (MACS). 7.16. Verify that the State EOP includes pre-incident and post-incident public awareness, education, and communications plans and protocols related to transportation. 7.17. Verify that the State EOP includes local post-incident debriefings and after-action reporting (see federal coordination later). 7.18. Verify that the State EOP includes provisions for notifying regional and national authorities if the event would not ordinarily rise to the level of a major disaster in itself, but could have widespread indirect impacts (e.g., a traffic incident that creates congestion sufficient to delay airline crews from reaching a major airport, thus widely disrupting flight schedules). . PLAN- 08 Review relevant hazards likely to result in an emergency requiring activation of the State Emergency Operations Center. 8.1. Determine if the hazards identified in the State EOP are appropriate and complete from a transportation perspective. 8.2. Ensure that the State EOP addresses all hazards that the state may reasonably expect to occur and all the preparedness and incident management activities necessary to ensure an effective response to those hazards from a transportation perspective. 8.3. Determine if the State EOP clearly indicates which types of hazards would likely require mobility restriction measures (shelter-in- place/quarantine) as part of the response (e.g., earthquake, pandemic flu) and which ones would require enhanced mobility (evacuation) (e.g., hurricanes). 8.4. Determine if the hazard-specific annexes adequately address the transportation-related aspects of the identified hazards or additional elements should be considered to address the hazard. 8.5. Ensure that pipelines, viaducts, etc., are included in the EOP. 8.6. NOTE: Hazard maps are available in compilations of hazard information made by FEMA and state emergency management agencies, the U.S. Geological Survey (USGS) and state geological surveys, and the National Weather Service (NWS) and its local offices. Maps from the Federal Insurance Administration (FIA), map of 10- and 50-mile emergency zones (EPZs) around nuclear power plants, and any maps of hazardous materials (HAZMAT) sites prepared by Local Emergency Planning Committees (LEPCs) may also be useful. PLAN- 09 Gather information regarding vulnerable populations. Note: Vulnerable populations typically include individuals with disabilities, children, senior citizens, pregnant women, people with pets, low-income, transit-dependent, hospitalized and institutionalized (including incarcerated persons); those with limited English proficiency or who 9.1. Identify issues and requirements associated with vulnerable populations. 9.2. Identify potential assets to deploy for these populations in an emergency, as needed, and have contact information readily available. 9.3. Identify appropriate destinations for evacuation or restriction measures (shelter-in-place/quarantine) for vulnerable populations and have contact information readily available, or a path to locate such facilities.

Bibliography and Resource Guide 227 are non-English speaking; individuals lacking transportation; those with chronic medical disorders; and people with pharmacological dependency. PLAN- 10 Determine status of state transportation agency emergency planning activities to date and identify areas in need of improvement. 10.1. Has the agency completed procedures regarding how to work with the state to request federal assistance? 10.2. Does the agency have written procedures on how to secure assistance through mutual-aid agreements that may exist? 10.3. Does the agency have established orders of succession or a COOP plan? 10.4. Does the agency have established, documented procedures for tracking action items and mission assignments? 10.5. Does the agency have established, documented procedures for requesting and tracking requests for resources? 10.6. Does the agency have established, documented procedures for participating in the SEOC, to include levels of activation based on the event(s) in progress? 10.7. Are there written processes for administrative functions that agency representatives may perform within the EOC, such as computer protocols, e- mail conventions, telephone use, security, logging hours, and reporting procedures? 10.8. Does the agency have documented procedures for tracking expenditures? 10.9. Are there written procedures for involving and orienting private sector interests that may be participating in emergency activities managed by the agency? 10.10. Are there written procedures for involving and orienting volunteers and volunteer organizations participating in emergency activities if managed by the agency? 10.11. Do written agency procedures comply with legal statutes for risk- based, hazard-specific programs that require them to accept, or to the contrary reject, volunteers (e.g., volunteer fire fighters who are not on duty and/or properly attired and equipped)? and its local offices. 10.12. Are there written agency procedures for communicating timely and accurate information to the public? 10.13. Are there written agency procedures for issuing public warnings via sirens, Emergency Advisory System (EAS), and/or other warning mechanisms? 10.14. Do agency procedures identify coordination points with other operational agencies, teams, or sections? 10.15. Has the agency developed overview documents outlining qualifications of their personnel? 10.16. Has the agency developed overview documents that describe general tasks and responsibilities and hazard-specific tasks and responsibilities? 10.17. Has the agency developed procedures that translate tasking into specific actions that describe how the organization will accomplish assigned tasks? 10.18. Does the agency have or use one or more of the following: • Checklists? • Resource listings? • Related maps and charts? • Other pertinent data? 10.19. Does the agency address: • Notification mechanisms? • Staffing of positions three levels deep? 10.20. Does the agency identify components in field operating manuals or desk handbooks for support personnel unfamiliar with this jurisdiction’s emergency operations? 10.21. Has the agency developed checklists and/or job aids to assist personnel to complete their tasks? 10.22. Does the agency have documented procedures for rapid needs assessment and coordinating with the federal damage assessment teams after an event? 10.23. Does the agency have documented procedures for requesting

228 A Guide to Emergency Management at State Transportation Agencies post disaster assistance from the federal government, including public assistance and individual assistance from FEMA? 10.24. Does the agency have documented procedures in place to coordinate the distribution of mass prophylaxis, such as the National Strategic Stockpile, if applicable? 10.25. Does the agency have documented procedures in place to support evacuations (including contraflow operations if appropriate) or shelter-in- place/quarantine and mass care, if applicable? 10.26. Does the agency have documented procedures to support the management of casualties and mass fatalities, including animals? PLAN- 11 Define response issues, roles, and tasks by reviewing the Universal Task List (UTL), Target Capabilities List (TCL), Resource Typing List, and the National Planning Scenarios (NPS). 11.1. Ensure coordination with DHS and FEMA guidance. PLAN- 12 Based on activities identified in the State EOP and supporting annexes and appendices, develop/update the state transportation agency’s Transportation Management Organization to ensure all activities conducted conform to NIMS and National Response Framework (NRF) requirements. 12.1. Update organization charts and determine if specific teams, groups, committees, and/or temporary organizations will be used to manage agency responses to emergencies identified in the State EOP. 12.2. Be sure to review agency TIM Plans and Protocols and specific emergency response plans to identify incident management structures currently used. 12.3. Identify and train agency field personnel in charge of on-scene response to coordinate with the ICS established by the local or state emergency response agencies on-scene. Points of Incident interface with the ICS established by local/state agencies may include • Incident Command Posts (ICPs) and staging areas, for reporting and resource management. • ICS and Unified Command or even Area Command (if needed) to guide incident action planning. • State, local, and private-sector EOCs. • Coordination with TMC and/or FCs. • Participation in Joint Information Center (JIC) to manage public information. • Participation in a Joint Field Office (JFO) to coordinate federal response and resources. • Possible coordination with Regional Response Coordination Center (RRCC) and Homeland Security Operations Center (HSOC) in events of national significance. 12.4. Consider preparing an overview document/primer and a FOG on the agency’s Incident Management Organization, including how this organization may change depending on the type of emergency being managed. 3. Determine goals and objectives. PLAN- 13 Establish operational priorities, response goals, and intermediate objectives for the state transportation agency in response to the hazards identified and the existing State EOP and supporting documents, as well as new challenges identified during the analysis process. 13.1. Clarify what constitutes success regarding the agency’s response to the range of emergencies that could occur resulting from the hazards identified for the state. 4. Develop and analyze courses of action and identify resources. PLAN- 14 Use scenario based, functional, and capabilities based planning to depict how the state transportation 14.1. Use a formal process for building relationships among the occurrence of hazards, decision points, and response actions.

Bibliography and Resource Guide 229 agency’s response to a range of emergency situations may unfold. PLAN- 15 Identify the resources needed to support the state transportation agency’s response activities. 15.1. Ensure that adequate resources are available. 5. Write the plan. PLAN- 16 Develop and/or update transportation related components of the State EOP, functional annexes, and hazard-specific appendices. 16.1. Complete state transportation planning inputs and deliverables for the State EOP and supporting documents. 16.2. Establish expectations regarding transportation functions during the range of potential incidents addressed in the State EOP. 16.3. Develop/update transportation-related components of the State SOP, the functional annexes to the State EOP, and the hazard specific appendices to the State EOP. 16.4. Ensure that agency liaisons are available to support the SEOC and, if applicable, the county/municipal EOCs, TMC(s), and/or FC(s) during a state- declared emergency. PLAN- 17 Develop supporting materials, including any specific plans, guidance, overviews documents, SOPs, operating manuals, FOGs, handbooks, and job aids needed to support state transportation agency personnel capabilities to respond to emergencies. 17.1. Ensure that sufficient materials exist to support the training and response activities of agency personnel during emergencies. 17.2. Identify needed agency plans or documents to be developed, including any agency-specific emergency response plans, COOP/COG plans, etc. 17.3. Develop SOPs detailing the procedures for performing individual functions identified in the transportation-related component of the State EOP and Hazard-Specific Annexes. 17.4. If applicable, develop an Operations Manual detailing the performance of a number of interdependent functions specified in the transportation- related elements of the State EOP. 17.5. Develop a FOG or Handbook, such as a durable pocket or desk guide, containing essential basic information needed to perform specific assignments or functions as specified in the transportation-related elements of the State EOP. 17.6. Develop Job Aids to provide detailed checklists or other aids for job performance or job training regarding the transportation-related elements specified in the State EOP and Hazard- Specific Annexes. 17.7. Develop criteria for the reporting, and (particularly) verification of a potential incident by motorists or citizens, even from specially trained individuals, such those involved in road watch, first observer, transit watch, volunteer spotter, and other probe programs (including transit vehicle operators). 6. Approve and implement plan. PLAN- 18 Formally approve and implement the transportation-- related provisions of the State and transportation agency EOPs and supporting annexes and agency-specific supporting materials. 18.1. Ensure adoption of the plan and supporting materials. . 7. Exercise the plan and evaluate its effectiveness. PLAN- 19 Develop a Coordinated program of training, drills, and exercises. 19.1. Ensure state transportation agency personnel are trained in how to respond to emergencies. 8. Review, revise, and PLAN- 20 Establish an ongoing review and 20.1. Ensure that the agency plans, procedures, and supporting materials include the latest information. maintain the plan. assessment process for the transportation- related elements of the state and state transportation agency EOPs and supporting materials. 20.2. Design periodic exercises to test, even stress, established processes to identify needed improvements.

230 A Guide to Emergency Management at State Transportation Agencies STEPS PHASE: PREPARE ACTION ITEM SUPPORTING ACTIONS STATUS 1. Develop approaches for implementing state transportation agency roles and responsibilities during emergencies, as specified in the State EOP and supporting annexes and references. PREPARE- 01 Establish Protocols for Addressing National Terrorism Advisory System (NTAS) Bulletins and Alerts. 1.1 Clarify the threat warning and notification system(s) to be used by the state transportation agency. 1.2 Identify, to the extent possible, the specific actions, precautions, and protective measures that the agency will take for each NTAS advisory type – Bulletins, Elevated Alerts, and Imminent Alerts. 1.3 Where possible, coordinate the activities identified with the transportation-related activities identified in state’s Emergency Operations Plan (EOP) and the Hazard- Specific Annexes. PREPARE- 02 Develop Intrastate and Interagency Memorandum of Understanding/Agreement (MOU/A), including agreements with private organizations, schools, and NGOs regarding transportation-related elements specified in the State and Regional EOPs. 2.1 Assess existing MOU/As, and compacts. Identify gaps. 2.2 Promote intrastate and interagency mutual-aid agreements (including agreements with and among transit agencies and other transportation providers, local agencies, MPOs, Councils of Governments, planning organizations, regional incident response networks, Urban Area Security Initiatives, operators of critical infrastructure, state and local health agencies, Community-Based Organizations, Faith-Based Organizations, NPOs, and private sector partners and contractors.). 2.3 Establish MOU/As and notification/information-sharing protocols regarding transportation-related elements specified in the State and Regional EOPs. Remember to include special populations, such as access and functional needs populations and children as well as household pets and service animals. 2.4 Use the state/territory response asset inventory for Intrastate and Interstate Mutual Aid (e.g., EMAC) requests, exercises, and actual events. 2.5 Implement NIMS resource typing, credentialing, and other resource management activities. 2.6 Build relationships with local, regional, state, and federal EMAs, EOCs, emergency planning committees, emergency response commissions, TMCs, Fusion Centers (FCs), regional incident response networks, and public health and agricultural organizations. 2.7 Establish MOU/As with and among agencies and entities with substantial transportation resources such as emergency equipment and assets, situational awareness and intelligence, emergency personnel and vehicles, routes, and management resources. Agencies and organizations include transit agencies, the Department of Education/schools, vans and buses operated by Community-Based Organizations, Faith-Based Organizations, NPOs, and private sector agencies; owners/operators of aerial support, ferries and private water craft; community service providers, etc. for use of their vehicles and operations of Vehicle Staging Areas. Establish MOU/As with and among owners of tow trucks and entities and contractors such as waste haulers and spill contractors owning/operating other specialized emergency equipment. Establish MOU/As with and among the owners of utilities (e.g., electrical power transmission trunk lines), pipelines, viaducts, and operators of critical infrastructure, etc. for monitoring of these facilities and include in the EOP. 2.8 Establish MOU/As with and among local jurisdictions, state and local public safety and law enforcement, and regional incident response networks and private companies and contractors to address TCPs and other emergency traffic management issues including route and bridge closures, traffic evacuation measures and pre-planning of contraflow routes. 2.9 Consider accessing national mutual aid systems. 2.10 Share agreements, as required. 2.11 MOU/As should include the following provisions: • Notification procedures • Resource identification/typing, request and ordering, mobilization, and tracking procedures • Procedures for providing assistance • NIMS requirements • Training and exercise requirements • Participating agencies’ jurisdictional boundaries • Authorities and definition of key terms, roles, and responsibilities of individuals, and contact information Prepare

Bibliography and Resource Guide 231 • Requirements and issues regarding drivers or operators of the transportation vehicles and equipment • Rules for payment, reimbursement, and cost allocation • Workers’ compensation and treatment of liability and immunity • Recognition of qualifications and certifications • Review, support, and adopt NIMS national credentialing system • Protocols for interoperable communications • Protocols for public information and warning • Protocols for evacuation, reception, and shelter • Protocols for preparedness, response, recovery, and protective actions • Expand MOU/As to include information-sharing and interagency decision making, command and management/chain of command and control • Relationships with other agreements among jurisdictions • Process for modification and evaluation of procedures and protocols • Sharing agreements Two examples of MOU/As are provided in Step Five, Tool 5.3 of NCHRP Report 740. Examples of MOU/As are also provided in the Appendix of this Guide. Information about transportation related resources are contained in Step 4 of NCHRP Report 740. PREPARE- 03 Develop an approach to provide state transportation agency Mission Essential Functions during emergencies. 3.1 Develop a state transportation agency COOP which plans for the deployment of pre-designated, trained personnel who will take appropriate actions to implement the plan and execute the transfer of Mission Essential Functions and Essential Supporting Activities. 3.2 COOP elements should reflect and be aligned with relevant national standards and guidance including DHS and FEMA guidance (e.g., 2016 PPD-40 on National Continuity Policy and the 2013 FEMA Continuity Guidance Circular), and state plans and guidance. The COOP should include actions that need to be taken with key resources of leadership and staff, interoperable, robust, and reliable communications systems and technologies, and facilities to ensure the continuity of the agency’s Mission Essential Functions and Essential Supporting Activities. The COOP should also reflect relevant national standards and guidance on equipment, communications, and data interoperability; the standards and guidance should be incorporated into state and local acquisition programs. The COOP should address continuity issues of geographic dispersion, risk management, security, readiness and preparedness as well. Refer to 2013 FEMA Continuity Guidance Circular for additional information on different categories of essential functions and these issues. 3.3 The COOP should include extended/emergency staffing plans due to staffing losses from natural disasters, disease or pandemic, and other emergencies. The plans should include suspension of vacation and leave and overtime/compensatory time provisions and self-sustaining teams as warranted. 3.4 The COOP should identify strategies to execute a successful order of succession with accompanying authorities. 3.5 The COOP should reduce the loss of life and minimize property damage and loss; and, protect personnel, facilities, equipment, records, and other assets critical to the performance of essential functions. The COOP should also reduce or mitigate disruptions to operations. 3.6 The COOP should ensure there are facilities from which organizations can perform essential functions. 3.7 The COOP should achieve the organization’s timely and orderly recovery and reconstitution from an emergency. 3.8 The COOP should also ensure and validate continuity readiness through a continuity Testing, Training, and Exercise program and operational capability. Guidance on a Testing, Training, and Exercise program are contained in the 2013 FEMA Continuity Guidance Circular. 3.9 Include the following four operational phases in the agency’s continuity implementation process: readiness and preparedness, activation, continuity operations, and reconstitution.

232 A Guide to Emergency Management at State Transportation Agencies 3.10 The COOP should also address the following: • Operational Concept • COOP Activation/Termination • Roles and Responsibilities • Risk Management • Maintenance of COOP/Updating the Plan • Budgeting/acquisition of resources • Essential Functions • Orders of Succession • Delegations of Authority • Continuity Facilities • Continuity Communications, Security, and Logistics • Essential Records Management • Human Resources • Test, Training, and Exercise Program • Devolution of Control and Direction • Reconstitution Operations 3.11 Identify agency response resources and develop an inventory conforming to NIMS resource typing standards as identified by the NIC. Share additional resource typing information with the NIC. Resource information and databases should be shared with appropriate local, state, and regional EMAs. 3.12 Establish a common understanding with community, state, and federal jurisdictions of the capabilities and distinct types of emergency response personnel and other resources available. Develop resource lists for personnel, equipment and materials and other resources, including contractor personnel and resources to support various incident types. 3.13 Identify resource needs and develop strategies to acquire resources in sufficient quantities as specified in the COOP to perform assigned mission and tasks. 3.14 Implement an effective logistics system to mobilize, track, use, sustain, and demobilize physical and human resources. The system must support both the residents in need and the teams that are responding to the incident. PREPARE- 04 Develop a state transportation agency approach to evacuation/shelter-in-place/ quarantine management. Note: NCHRP Report 740 serves as an excellent reference and provides useful tools for this Phase. 4.1. Form a collaborative planning team by identifying and convening key stakeholders to develop and revise evacuation/shelter-in-place/quarantine plans. Include practitioners with past experience. Consider convening an initial meeting for transportation, transit, and emergency managers. 4.2 Engage the whole community in the planning process. Involve all jurisdictions (federal, state, local, tribal, county), transit agencies and other transportation providers, and regional organizations such as MPOs, Councils of Governments, planning organizations, regional incident response networks, Urban Area Security Initiatives; operators of critical infrastructure, state and local health agencies, schools, Community-Based Organizations, Faith- Based Organizations, NPOs, and private sector partners and contractors. Work with community leaders and representatives of existing groups and programs to leverage their contacts and networks, and build trusted relationships. Identify one or more Convener Agencies for Multimodal Evacuation. The Convener agency (which may be the state transportation agency) helps coordinate all members of the evacuation planning community, collaboratively defines roles and responsibilities, and elicits information regarding hazards, characteristics of the population, and capabilities. With respect to roles and responsibilities, identify ultimate decision-makers, Incident Commanders, organizations, and those with authority and responsibility for evacuation/shelter-in-place/quarantine, by position, and ensure their tasks have been pre-defined. 4.3 Perform risk assessment involving the identification of likely threats and hazards, and identifying goals and objectives, and guidelines for plan evaluation and updating. Assumptions should be used sparingly. 4.4 Select and develop scenarios and identify operational priorities. Scenarios should include prevention/protection elements, initial warning/development and determination of the course of action, specific impacts, response requirements, and response requirements as priorities. Also, identify the number and location of people, household

Bibliography and Resource Guide 233 pets and service animals, and vehicles to be evacuated, sheltered-in-place, or quarantined. 4.5 Coordinate and manage roadways, monitor roadway status, incident response, fuel and services for self- evacuees, vehicles transporting evacuees, and in-bound response vehicles. Identify primary and secondary evacuation/shelter-in- place/quarantine routes based on probability and feasibility of use, survivability, ease of restoration, functional service, and strategic location. Identify potential traffic, transit, intermodal, and interjurisdictional challenges and opportunities. Determine traffic management tactics for traffic management challenges and critical performance criteria of transportation network components. Designate routes and locations for ingress traffic and prestaged equipment materiel and personnel along the evacuation/shelter-in-place/quarantine routes, including fuel and personal relief facilities. 4.6 Hold workshops as appropriate including at least one collaborative workshop on operational priorities and to establish goals and objectives. 4.7 Develop and analyze courses of action by establishing the timeline, identifying decision points in each scenario, and identifying and depicting operational tasks. 4.8 Determine the resource gap by identifying available resources and necessary resources. Use NIMS/NIC resource typing definitions and NIMS resource management processes. Consider resources of all agencies and organizations with vehicles capable of use in evacuations; these resources include transit vehicles, school buses, ferries and private water craft, public and private vans and school buses, and aviation resources. 4.9 Determine information and intelligence needs including interagency and interjurisdictional communications and public communications. Include provisions for communicating with limited English-speaking individuals and special needs populations. See TCRP Report 150 for information on developing a collaborative communication network to reach vulnerable populations. See Prepare Phases 5 and 6 for additional information regarding communications and media interface. 4.10 Document decision criteria to be monitored and evaluated prior to issuing an evacuation/shelter-in- place/quarantine order. Also, define specific criteria for voluntary, recommended, or mandatory evacuation/shelter- in-place/quarantine. Include pre-approved drafts of executive orders for evacuation/shelter-in-place/quarantine. 4.11 Include a strategy for restricting and securing access to evacuated, sheltered-in-place, or quarantined areas. 4.12 Prepare, review, and approve the plan. Ensure that the plan is adequate, feasible, acceptable, complete, and in compliance with applicable laws and official and regulatory requirements, and state and federal standards. Incorporate a process and schedule to update the plan. 4.13 Perform exercises (at least tabletop) to test and validate the plan. Follow the HSEEP process to evaluate the exercises, debrief participants, and produce an After Action Report. Ensure that Corrective Actions identified in the After Action Report are tracked and implemented. 2. Establish protocols to communicate with employees and the general public. PREPARE- 05 Establish internal state transportation agency communications protocols. 5.1 Evaluate use of radio channels, frequencies, trunked radio systems, and use of cellular and satellite phones during events likely to result in emergencies requiring activation of the State and/or Regional EOC(s). 5.2 Establish predetermined frequency assignments, lists of agency channel access, and interagency communication protocols. Establish and pre-position communications supply pods. 5.3 Prepare an employee communication strategy, including emergency communication systems and materials for distribution in advance of events. 5.4 Determine interagency communications procedures and state transportation agency traffic management team and other field team personnel to personnel communications procedures and field team personnel to EOC communications procedures. 5.5 Institutionalize, within the framework of the ICS, the Public Information System, comprising the Joint Information System (JIS) and a Joint Information Center (JIC). The Public Information System will ensure an organized,

234 A Guide to Emergency Management at State Transportation Agencies integrated, and coordinated mechanism to perform critical emergency information, crisis communications, and public affairs functions that are timely, accurate, and consistent. This includes training for designated participants from the Governor’s office and key state agencies. 5.6 Identify contingency plans if primary means of communications fail or are unavailable. Include provisions for keeping the public informed of the estimated travel times to safe havens under current and forecast conditions. 5.7 Develop formal relationships with Fusion Centers, non-transportation public safety, emergency, and security communities and procedures for secure communications of sensitive information including security threats. 5.8 Test, exercise/drill, and evaluate primary and contingency communications systems and plans on a regular basis. 5.9 Coordinate and support emergency incident and event management through use of integrated multiagency coordination systems (e.g., webEOC). 5.10 Develop interoperable voice, data, and video communications systems, tools, and processes to present consistent and accurate information to incident managers at all levels. Develop and maintain connectivity capability between local Incident Command Posts, local 9-1-1 centers, local EOCs, the SEOC, and regional and federal EOCs, FCs, and NRF organizational elements. 5.11 Make use of available communications equipment and assets of your state transportation agency, TMC, and MPO including reverse 9-1-1 emergency alert notification, hardwired and secure telephone lines with direct links to municipalities, 511 service, social media, website, etc. Sources of information include agency contacts, 511 service, webEOC, data from evacuation models, data from hurricane models, data from traffic cameras, weather data, GIS maps, traffic flow information including contraflow maps, social media, transit agencies and other transportation providers. Interact with regional incident management network (if one is available) to manage situational awareness efforts, leverage their communications resources, and collect, analyze, and disseminate incident information. 5.12 Establish calling trees and notification systems, including 24/7 event notification protocols. 5.13 State transportation agencies should promote incident response communications (during exercises and actual incidents and in field manuals and training) featuring plain language commands and consistent terminology so transportation employees will be able to function in a multi- jurisdiction environment. 5.14 Identify single points of contacts, with back-ups, in all jurisdictions and agencies for communications, including the protocols for which to contact under what conditions. 5.15 Define when evacuation personnel are to be notified of a possible evacuation/shelter-in-place/quarantine order prior to its execution. 5.16 Identify who needs to be informed to begin opening shelters. 5.17 Identify specific contingency plans to be used if conditions change during the course of the evacuation. 5.18 Standardize incident reporting and documentation procedures to enhance situational awareness and provide emergency management/response personnel with access to critical information. Ensure that personnel understand standard incident reporting and documentation procedures (e.g., Flash and Status reports, SITREPs). PREPARE- 06 Develop media interface and public notification systems. Note: These supporting actions are generally not the state transportation agency’s PIO during major incidents, but rather are through the JIC created by the state/local EOP. 6.1 Develop Media Interface Guidelines to ensure traveler and evacuation information and other emergency alerts are provided quickly and accurately to media outlets and the public. Ensure messages are consistent and comprehensive, and accessible to all populations, including individuals with disabilities and functional needs. 6.2 Designate a single spokesperson, typically the PIO, to provide information to the media and the public, and address inquires. The PIO also gathers and coordinates messaging and information, and is responsible for media

Bibliography and Resource Guide 235 relations, rumor monitoring, and emergency public information and warnings. 6.3 Identify multiple communication tools to be used to ensure the community receives information regarding the steps to be taken to prepare for evacuation, the evacuation zone, the routes of evacuation, and location of nearby shelters. Multiple means of media delivery should be considered, including methods that can function without traditional power sources or the internet. An example includes the use of solar-powered CMS/DMS/VMS. 6.4 Develop agreements including Broadcast Radio Agreements with, and protocols and guidance for traffic reporting services in informing the public during incidents. Ensure that information is provided in a pre-established format within specific timeframes. 6.5 Develop public information campaign with pre-scripted public service announcements and messages and inform the media on their use. 6.6 Establish Cable Television Cooperative Agreements to provide information to targeted populations (e.g., local government channels). 6.7 Establish a process for using Highway Advisory Radio (HAR) AM stations to provide traveler information in the immediate vicinity of the transmitter. 6.8 Establish a process for using mass faxing/texting capability or email to send road closure information to trucking associations, truck stops, inspection and weigh stations, media outlets, and others. 6.9 Establish a process for leveraging available federal and SLTT systems such as the Integrated Public Alert and Warning System (IPAWS), the Emergency Alert System (EAS), and the National Terrorism Advisory System. 6.10 Establish processes for using Advanced Traveler Information Systems (ATIS), including Internet, kiosk facilities, 5-1-1, and other publicized public information services to inform the public of travel conditions. 6.11 Establish a process for using DMSs to provide timely, accurate information in advance of, and at the scene of an incident. 6.12 Identify foreign language speakers and outlets to communicate with citizens and visitors who may not understand English. 6.13 Establish times for public officials to provide updates and inform the public of when they can expect such updates. 6.14 Ensure the state/territorial Public Information System can gather, verify, coordinate, and disseminate information during an incident. Accomplish this through exercises and drills of the system. 6.15 Use existing Public Information System and/or other communication systems for effective practices and technical aids. 6.16 Incorporate and evaluate these public information protocols and processes in interagency training and exercises. Address identified deficiencies. 3. Develop plans and procedures to manage traffic under emergency conditions. PREPARE- 07 Establish applicable transportation agency response and management teams. 7.1 Establish traffic management teams to manage and direct traffic on highways, at critical intersections lacking active signalization, and contraflow operations, as needed. 7.2 Establish Hazmat response/disposal teams, debris removal teams, damage assessment teams with self- sustaining capabilities, and bridge assessment teams. 7.3 Pre-assign team members along with alternates. Ensure that team members are trained, qualified, and certified as necessary on equipment they will be using. 7.4 Ensure that equipment has been inspected, is in working order, and certified as required. 7.5 Provide teams with Personal Protective Equipment (PPE), training, and information packets, including necessary forms, information about reimbursement programs and procedures and required documentation. 7.6 Establish additional teams, if necessary, to assist with other emergency response needs. 7.7 For each team, develop plans and procedures detailing when and how the teams will be deployed, how to maintain communications with the teams, and when and how to withdraw teams from the affected area to ensure their safety.

236 A Guide to Emergency Management at State Transportation Agencies PREPARE- 08 Prepare traffic management performance measures. 8.1 Analyze traffic flow of evacuation/shelter-in- place/quarantine routes focusing on all freeways and major arterial roadways serving the route. Evaluate key performance measures, such as speed, occupancy, and evacuation time. For evacuations, consider scale and patterns of movement, damaged infrastructure, and secondary incidents. Focus on egress and ingress operations separately. Avoid left-turn movements across traffic flow. Divert traffic flow from critical locations (e.g., Points of Dispensing sites in support of the strategic National Stockpile) and bottlenecks. TMCs can support this effort through the provision of necessary data, algorithms, and software. MPOs can provide modeling and analysis support and access to travel demand data. 8.2 Review transportation segments to establish capacity, evacuation/sheltered-in-place/quarantined population location distribution, potential sheltering and care destinations, distance between these locations, and parallel routes for each identified hazard. 8.3 Develop multiple local flow (feeder) routes connected to the main evacuation/shelter-in-place/quarantine routes as necessary to achieve optimum efficiency. 8.4 Test contraflow operations, including full set up and breakdown of traffic controls, safety equipment, and materials. Determine mobilization and demobilization times. 8.5 Identify user groups potentially affecting egress and ingress operations (e.g., regional through traffic, buses, truckers, other interstate travelers). 8.6 Review signal timing strategies and develop strategies to address identified hazards. They include increasing intersection traffic handling capacity by minimizing the number of traffic signal phases; selecting an existing timing plan with longer cycle lengths; manual control of signal operations; a custom timing plan with alternate route movements; and a contingency plan with an extended phase or cycle to facilitate movement along the alternate route corridor. Consider use of automated systems (e.g., adaptive signal control technology, automated traffic signal performance measures) for traffic signal timing. TMCs can support these activities through the provision of necessary personnel, data, algorithms, and software. 8.7 Analyze potential bottlenecks, barriers, scheduled work zones, vehicle restrictions, vulnerabilities and other potential problems in advance to determine an emergency response and evacuation/shelter-in-place/quarantine route. Analyze impact of traffic signal timing and adjust as necessary. TMCs can support this effort through the provision of necessary personnel, data, algorithms, and software. MPOs can provide modeling and analysis support and access to travel demand data. Use FHWA’s Arterial Management Program for arterial management, traffic signal timing, and access management. 8.8 Develop countermeasures (e.g., shutting down work zones, suspending vehicle restrictions, suspending toll collections, adjusting/removing ramp metering) to address these issues. Also, develop procedures for real-time monitoring of emergency vehicle access routes and evacuation/shelter-in-place/quarantine routes. 8.9 Develop freeway interchange operations tactics to maximize ramp capacity and prevent evacuation route mainline congestion. 8.10 Control traffic and respond to traffic incidents through joint efforts among transportation, law enforcement, and emergency medical personnel. Use ETO/TIM best practices. 8.11 Assess/consider effectiveness of other transportation roadway actions, transit system actions, and transportation demand management actions described in Tool 3.4, NCHRP Report 740. Include promising actions in analysis/modeling/testing. 8.12 Perform outreach to special needs populations. Seek assistance from MPOs. 8.13 Review/modify/suspend timing of drawbridge openings and lock downs. PREPARE- 09 Develop traffic management plans and protocols to use 9.1 Establish TMP/TTC plans for predefined severity levels and incident locations, and provisions for prepositioned equipment for response to emergency events and

Bibliography and Resource Guide 237 during evacuation/shelter-in- place/quarantine and to respond to emergency events. evacuations/shelter-in-place/quarantine. Plans should include emergency response access routes and alternate routes, and provisions for use of traffic control devices and alternate signal timing plans, and predesignated TCPs for intersections. Coordinate the designation of TCPs with state and local law enforcement. TTC plans should also include provisions for towing, recovery, and Hazmat response. Use information and data gathered in PREPARE Phase 08 to help develop the plans. Consult evacuation flowchart in Figure 4-2, NCHRP Report 740 for evacuation plans. 9.2 TTC plans should consider all transportation users, including transit users and pedestrians as well as transit and railroad services, and dissemination of traveler information. 9.3 Consider all modes and networks in addition to highways, local roadways, and private vehicles, including surface transit, commuter and regional rail, subways, light rail, ferries, taxis, vans and buses operated by non-transit entities, airplanes, and pedestrians. See Tool 3.3, NCHRP Report 740. 9.4 Address issues concerning the use of contraflow lanes. Issues include transition sections, ramps and crossover points, emergency turnarounds for emergency response providers, traffic control, access, merging, emergency access to transit and rail, use of roadside facilities, safety, labor requirements, and cost. 9.5 Establish predetermined staging areas and storage sites for each segment of the transportation corridor. 9.6 Develop travel-on-shoulder guidelines to ensure that highway shoulders are available for emergency use for response vehicles and general traffic, if necessary. 9.7 Establish closure and alternate route guidelines to guide implementation of closures and alternate routes using predetermined routes. 9.8 Establish rapid vehicle and debris removal guidelines, including Hazmat response, to ensure an efficient process for clearing roadways. 9.9 Establish landing zone guidelines and predetermined landing sites for MedEvac helicopters and traffic surveillance aircraft. 9.10 Develop traffic signal control plans to quickly implement alternative routes and close impacted lanes on the transportation corridor. 9.11 Establish protocols for communicating and coordinating with construction crews to support traffic control. 9.12 Identify traffic control techniques to provide clear guidance for incident traffic control and allow safe and efficient deployment of closures, detours, and alternative routes. 9.13 Identify corridors equipped with traffic signal preemption for use by emergency vehicles. PREPARE- 10 Coordinate with neighboring jurisdictions, agencies, school districts, community leaders, and media. 10.1 Coordinate plans with neighboring jurisdictions (cities, counties, parishes) and agencies (transit, toll authorities, MPOs, seaports, airports, public safety) that may be affected by evacuation/shelter-in-place/quarantine and response operations. Also coordinate with local school districts, community leaders (business leaders, church/mosque/synagogue leaders, critical neighborhood leader), and media. The coordination effort should include identification of resources such as buses useful for mutual aid. Coordination activities include development of contacts and working relationships, regular meetings, and communication channels; and MOUs and other interagency agreements. See NCHRP Report 740 for useful MOU templates. In addition, planned events, training and exercises, and efforts to obtain mutual aid provide opportunities for collaboration. 10.2 Share plans with higher government levels, as requests for additional resources may be necessary. 10.3 Coordinate state plans with neighboring states, as evacuees may travel to another state to seek shelter or mutual aid may be requested from another state. 10.4 States should look into creating interstate compacts that encompass all local jurisdictions. 10.5 Develop joint access management and corridor management programs to improve traffic flow and alleviate

238 A Guide to Emergency Management at State Transportation Agencies congestion issues that may occur during the evacuation/shelter-in-place/quarantine. 10.6 Use the capabilities of regional organizations to assist in such coordination. 4. Develop mobilization plans to ensure readiness to deploy state transportation agency personnel and resources. PREPARE- 11 Prepare to mobilize response teams, equipment, and resources. 11.1 Activate mobilization plans and incident-specific deployment plans for emergency personnel, and plan and prepare for demobilization as well. (Note that the plans should have been exercised, evaluated, and updated.) Prior to activation, afford staff an opportunity to ensure the safety of their loved ones and personal property. 11.2 Bring all EOCs to fully functional status. 11.3 Use resource management best practices to determine necessary resources and ensure they are available to protect responders and those evacuated/sheltered-in- place/quarantined. Track and report resources through the ICS structure. Review Step Four and tools related to resources in Tools 4.2.1 –4.2.6 in NCHRP Report 740. 11.4 Verify that personnel have the appropriate training and qualifications to support response efforts. 11.5 Test all primary and backup wire communications and radio frequencies, including remote communications expected to be used during the event, and evaluate contingencies. 11.6 Equip emergency personnel with needed equipment, supplies, and PPE. Provide them with information packets, including ICS forms, reimbursement forms, permit waiver forms, etc. 11.7 Ensure vehicles and emergency equipment are fueled and in working order. Perform and document inspections. 11.8 Verify that traveler information systems are operational and prepared for use. 11.9 Place/assemble equipment and resources at predetermined locations. 11.10 Activate reception plans, sites, and support capabilities with public and/or volunteer organizations. Provide Just-in- Time training for all training needs that have not yet been met, including training for NGO representatives and volunteers as well as state transportation agency personnel. 11.11 Establish field capabilities through the ICS/Unified Command System. 11.12 Coordinate traffic signal systems across jurisdictions, clear all work zones, and ensure appropriate signage to support evacuation/shelter-in-place/quarantine efforts. 11.13 Prepare for required elements of the reimbursement process. 11.14 Use NIMS inter-jurisdictional and interagency information flow and coordination mechanisms. 11.15 Notify all response personnel of evacuation/shelter-in- place/quarantine orders according to established calling trees and communication protocols. Response personnel should report to staging areas and await order to begin response and evacuation efforts. 11.16 Ensure all responsible agencies understand joint priorities and restrictions. 11.17 Manage timely communication of instructions to prepare people in advance of the order to evacuate, shelter-in-place, or quarantine. 11.18 Verify that adequate support supplies are available for response personnel if it appears the response effort will last for an extended period of time. PREPARE- 12 Administer training programs. 12.1 Establish employee and contractor training and exercise programs. Follow state EMA guidelines and schedules as appropriate. Establish professional qualifications, certifications, and/or performance standards for individuals and teams, whether paid or volunteer. Ensure that content and methods of training comply with applicable standards and produce required skills and measurable proficiency. 12.2 Incorporate NIMS/ICS into all state/territorial and regional training and exercises. 12.3 In general, training should progress from individuals to intra-agency teams to interagency and interjurisdictional exercises. Also, activities in training and exercise programs should progressively become more complex. Provide a

Bibliography and Resource Guide 239 chance for learners to reflect on their training. Then, provide opportunities to apply their new learning shortly thereafter. 12.4 Make training relevant, interactive, and specific to real-world problems. Much learning can occur through instructor-student and student-student interactions. Acknowledge experience and knowledge by providing opportunities for participants to share information and practices. 12.5 Conduct a training needs assessment to determine the types of training along with certifications and credentialing required by job function or position. Include recovery and mitigation training needs as well as emergency response and preparedness. Include pertinent emergency management technologies such as situational awareness tools (e.g., webEOC), incident prediction and detection/warning systems, consequence prediction tools (e.g., CAPTA, FEMA’s HAZUS tool), PPE equipment and technologies, mapping systems, and advanced site investigation tools. 12.6 Identify internal and external requirements and mandates (HSEEP, EMAP, EMPG), including training and exercise frequency, evaluation, and documentation; also, comprehensive training records should be maintained. 12.7 Recipients of EMPG funding should develop and maintain a progressive exercise program and a multiyear Training and Exercise Plan consistent with HSEEP. 12.8 Consider all employees at all levels with emergency preparedness and emergency management responsibilities, including training and exercise personnel, and their current and potential responsibilities. Employee categories include Maintenance and Operations personnel and supervision, personnel in the EOC, personnel in TMCs, transit agency personnel (drivers, dispatchers, law enforcement, support), traffic management teams, damage assessment teams, debris management teams, Hazmat response teams, etc. Also, senior management and elected and appointed officials require training. 12.9 Determine who (what positions) need NIMS Core Curriculum training; seek assistance from the NIC and state NIMS coordinator for additional guidance. 12.10 Consider including other emergency response providers, such as police and fire departments, local public works agencies, and contractors. Establish procedures to provide Just-in-Time training for all training needs that have not yet been met, including training for NGO representatives and volunteers as well as state transportation agency personnel. 12.11 Identify what additional training resources may be needed in the community to support response and evacuation/shelter-in-place/quarantine activities. 12.12 Develop state DOT Multiyear Training and Exercise Plan (TEP) in close coordination with the state EMA; hold TEP Workshop to identify exercise priorities and determine schedule of planned exercises, which target groups and categories of personnel will be included, which exercise type will be used, and develop a structured testing schedule for plans. 12.13 Participate in joint multi-agency training and exercises; this should include an all-hazards exercise program based on NIMS that involves responders from multiple disciplines and multiple jurisdictions. Seek to participate in exercise planning to ensure the state transportation agency role is realistic. 12.14 Plan and implement individual exercises. Seek to include all stakeholders, particularly for emergency evacuation exercises. Review NCHRP Report 777, Tool 1 – Checklist of potential stakeholders. Also consult with your MPO for stakeholder lists and contacts. Review NCHRP Report 740, Tool 3.3 for Primary entities and transportation modes involved in evacuation. 12.15 Keep key officials, state EMA, and other stakeholders updated on exercise planning and progress. Seek their input as appropriate. 12.16 Always have a safety plan for exercises. Make provisions for stopping the exercise should a real-world incident occur. 12.17 Perform exercise design and development activities including development of an Exercise Plan (see Appendix

240 A Guide to Emergency Management at State Transportation Agencies for an Exercise Plan Template), identification of planning team, identification of exercise objectives, scenario design, documentation creation, and logistics coordination. 12.18 Use drills/exercises to evaluate emergency traffic management plans and identify traffic and other transportation impacts of route closures, detours, contraflow operations. 12.19 Use drills/exercises to estimate time needed to mobilize field personnel and equipment to support an evacuation/shelter-in-place/quarantine. Also estimate the time needed for demobilization, and provide this information to highway, public safety, and transit agencies for coordination purposes. Simulations can supplement these estimates. 12.20 Use drills/exercises to evaluate preparedness plans; internal/external/public communications procedures and systems and practice their mobilization; secure interagency communications and procedures and handling/communication of sensitive information; regional interagency coordination, mutual aid, communications and information sharing protocols; resource tracking procedures; recovery procedures including reimbursement, damage assessment, and documentation procedures; and continuity of operations procedures. 12.21 Conduct the exercise by preparing for exercise play and managing the exercise. 12.22 Conduct post-exercise debriefings to determine lessons learned during the exercise. 12.23 Start evaluation planning and fill key evaluation roles at the start of the exercise planning process. Create an Exercise Evaluation Guide to document performance of personnel, plans, procedures, equipment and facilities against exercise objectives, and to highlight strengths and weaknesses. Assess exercises on the task level, organization level, and mission level. Evaluators should evaluate only their own agency, profession, and jurisdiction. 12.24 Ensure that all personnel with a direct role in emergency preparedness and incident management or response complete the designated FEMA training. 12.25 Hold an After Action Report meeting, and develop and share After Action Reports (AARs) with stakeholders. AARs highlight strengths and weaknesses observed during the exercise. Remember to document the AAR development process. Review Tools 6.2-6.6 of NCHRP Report 740 for helpful forms, templates, and information. 12.26 The Improvement Plan or Corrective Action Plan contains actions, responsible parties, target dates, budgets, and reporting procedures for actions taken. 12.27 Track Corrective Actions to completion. 12.28 Incorporate results of training exercises, including corrective actions, into preparedness response plans and procedures. Also, incorporate relevant findings into the agency’s training and exercise program. 12.29 Analyze performance trends and results across exercises and take necessary action to support continuous improvement of training and exercises and other preparedness initiatives. 12.30 Review exercise and training TEP schedule to identify and address potential issues. 12.31 Combine emergency management and TIM training and exercises as appropriate. Ensure that personnel understand and know how to implement emergency and incident management joint protocols and procedures. Refer to TIM Self-Assessment checklist for Strategy 2, Develop and Implement Coordinated Protocols, Procedures, and Training. 12.32 Leverage training facilities to coordinate and deliver NIMS training requirements in conformance with the NIMS National Standard Curriculum. Establish partnerships and leverage training and exercises provided by other agencies and organizations, including the state EMA, DHS/FEMA, state and local responders, FHWA/NHI, LTAP/TTAP, universities and colleges, etc. 5. Ensure cost tracking and accountability. PREPARE- 13 Prepare for cost accounting and tracking of expenditures. 13.1 Ensure processes have been developed to track resources, ensuring applicable reimbursement and accountability for compliance with mutual-aid provisions.

Bibliography and Resource Guide 241 13.2 Regularly coordinate and communicate with FHWA, FEMA, and the state EMA along with local public agencies and key stakeholders. 13.3 Institute good business, accounting, and management practices, and align processes with federal and state requirements as much as possible. For example, use unique project codes for disasters and use electronic storage for documentation in central location/drive. 13.4 Leverage technologies such as electronic signatures, asset management and modeling tools, situational awareness technologies, weather sensors/Road Weather Information Systems, automated van to capture post- disaster roadway damages along with pre-disaster conditions, GPS/AVL and fleet management systems, and, where possible, incorporate into daily operations. 13.5 Be aware of new legislation and changes in FHWA and FEMA guidance. Always use the most up-to-date guidance and manuals. 13.6 Predesignate reimbursement coordinators and damage assessment teams. 13.7 Conduct premobilization inspection of vehicles and equipment. 13.8 Pre-prioritize routes and locations for assessment. 13.9 Map historic damages to show repetitive losses. 13.10 Provide training and exercises to all personnel involved in reimbursement. Use scenarios from past disasters. Train state EMA staff and local public agencies on reimbursement procedures. 13.11 Develop and use checklists to determine eligibility for reimbursement programs. 13.12 Develop administrative packets with forms including ICS forms, damage assessment forms, and emergency waivers for distribution to appropriate personnel during an emergency. 13.13 Incorporate lessons learned in After Action Reports from exercises and actual disasters to improve reimbursement processes. 13.14 Establish good emergency contracting practices including pre-screening of contractors and emergency waivers.

242 A Guide to Emergency Management at State Transportation Agencies STEPS PHASE: RESPOND ACTION ITEM SUPPORTING ACTIONS STATUS 1. Initiate emergency response. RESPOND- 01 Detect and verify emergencies. 1.1. Use surveillance systems to detect indicators of a potential emergency, an emergency that is occurring, or an emergency that has occurred. 1.2. Coordinate with and alert other agencies to recognize an emergency event in progress that may affect the regional transportation system. 1.3. Activate manual or automated information sharing with local Emergency Communications Centers (ECCs)/9-1-1 Centers/Public Safety Answering Points (PSAPs). 1.4. Coordinate with field personnel and equipment to verify that an emergency event is occurring or has occurred and communicate relevant information to all responding agencies. 1.5. Where they exist, use regional networks, such as the I-95 Corridor Coalition’s Incident Exchange Network, for such notifications. RESPOND- 02 Assess the status of transportation infrastructure. 2.1. Receive cell phone calls from motorists to report incidents and conditions directly to the transportation agency. 2.2. Receive reports from road watch, volunteer spotter, first observer, transit watch, and other probe programs to enable specially trained individuals (including transit vehicle operators) to provide information by radio or cell phone. 2.3. If available/applicable, use automated vehicle location (AVL) identifiers in vehicles that travel a transportation corridor regularly to track vehicle movement and compare it against anticipated travel times to identify delays and potential incidents. 2.4. Where available, use cell phone tracking data to obtain near real-time travel time information. 2.5. Coordinate with/manage 24-hour law enforcement patrols to enhance detection, response, and site management with dedicated officers available at all times in the transportation corridor. 2.6. Coordinate with/manage specialty patrols (motorcycle, aircraft) to provide surveillance of roadway conditions for incident detection, verification, response, clearance, and recovery. 2.7. Operate dedicated service/incident response patrols to provide early detection, verification, response, and clearance. Patrol vehicles are equipped to help stranded motorists and some are equipped to quickly remove a disabled vehicle or debris from the roadway. 2.8. Use automated detection systems, including loops, microwave, radar, and video, to detect congestion on the transportation corridor. 2.9. Use video surveillance equipment, mounted along the transportation corridor, to provide incident detection and verification. Video equipment can be combined with automated detection and reporting systems. Video can also be used to verify the occurrence of an incident and to identify the appropriate response equipment needed. RESPOND- 03 Gain and maintain situational awareness. 3.1. Continuously monitor relevant sources of information regarding actual incidents and developing hazards. The scope and type of monitoring varies based on the type of incident being evaluated and needed reporting thresholds. 3.2. Ensure critical information n is passed through preestablished reporting channels according to established security protocols. 3.3. Ensure situation reports contain verified information and explicit details (who, what, where, and how) related to the incident. Status reports, which may be contained in situation reports, relay specific information about resources. 2. Address emergency needs and requests for support. RESPOND- 04 Identify characteristics and potential consequences of hazards and risks. 4.1. Activate appropriate plans, procedures, and protocols based on the type of emergency. 4.2. Activate Incident Management Teams in accordance with NIMS. 4.3. Activate Specialized Response Teams, including search and rescue teams, crime scene investigators, public works teams, hazardous materials response teams, public health specialists, or other personnel as appropriate. 4.4. Mobilize pre-positioned assets and supporting equipment. 4.5. Manage all emergency incidents and preplanned (recurring/special) events in accordance with Incident Command System organizational structures, doctrine, and procedures as defined by NIMS. 4.6. ICS implementation must include the consistent application of Incident Action Planning (IAP) and Common Communications Plans (CCP), as appropriate. 4.7. As the incident unfolds, on-scene ICS should update incident action plans and revise courses of action based on changing circumstances, typically on a 15-minute review basis. 4.8. Coordinate requests for additional support. As appropriate and/or as requested, provide field support for emergency responders at the scene that is integrated through the ICS and communicated and coordinated with the TMC. 4.9. Activate logistics systems and venues to receive, stage, track, and integrate resources into ongoing operations. ICS should continually assess operations and scale and adapt existing plans to meet evolving circumstances. Respond

Bibliography and Resource Guide 243 4.10. Address emergency responder transportation needs and scene access support and staging requirements. 4.11. Identify available transportation equipment, facilities, Personnel, devices, and information to support emergency response. 4.12. Assign transportation agency resources to move materials, personnel, and supplies as requested by responders. 4.13 Track resource status. If appropriate, support hazardous materials containment response and damage assessment using available capabilities, and coordinate with on-scene field response through the ICS. 4.14. Ensure that nonhazardous materials, particularly small vehicle fluid spills, are removed from the transportation facility—initially travel lanes/tracks—as quickly as possible. 4.15. Attend regular briefings at the incident site on the situation, incident action plan, response objectives, and strategy, with full opportunity for transportation contributions and identification of resources and capabilities to support the response effort and action plan. 4.16. Perform damage assessment responsibilities for affected transportation system elements. 4.17. Make/recommend decisions regarding closures, contraflow operations, restrictions, and priority repairs. 4.18. Coordinate assessments and decisions made regarding the operational capabilities of the transportation system with affected parties (emergency responders; local, state, and federal government, etc.) Initiate priority clean-up, repair, and restoration activities, including the use of contractors and emergency procurement authorities. 4.19. Review and, as necessary, terminate existing work zone activities and/or closures to the extent possible. 4.20. Obtain incident status briefings and anticipate changing conditions (wind direction, weather, plume direction, etc.). 4.21. Based on all available information, develop detours and diversions (as necessary) to direct traffic safely away from the affected area and/or damaged infrastructure. 4.22. Prioritize and clearly communicate incident requirements so that resources can be efficiently matched, typed, and mobilized to support emergency operations. 4.23. Initiate traffic management operations and control strategies. 4.24. Provide public information/traveler alerts on the status of the transportation system. 4.25. Assign personnel to local/regional and State EOCs to coordinate with and assist public safety agencies and other agencies involved in disaster response and recovery efforts. 4.26. Support communications between transportation personnel and their families/friends. RESPOND- 05 Evaluate the need for additional assistance from neighboring states, jurisdictions, and/or the federal government. 5.1. Evaluate the need for additional resources and determine if assistance should be requested from other states using interstate mutual- aid and assistance agreements, such as the EMAC. 5.2. If the incident overwhelms state and mutual-aid resources, the governor should request federal assistance and/or deploy the State Department of Military/National Guard. 3. Manage evacuation/ shelter-in- place/ quarantine. RESPOND- 06 Make/support the decision to evacuate/shelter-in- place/quarantine people within an area, the latter for a pandemic. 6.1. Determine the probability of impact (depending on the nature of event). 6.2. Estimate the effects on the geographic area and classes of people and materials to be evacuated/sheltered-in-place/or quarantined. 6.3. Consider the timing of the event and lead time to initiate evacuation, shelter-in-place, or quarantine. 6.4. Consider weather conditions and their potential impacts on evacuation/shelter-in-place/quarantine. 6.5. Evaluate the economic impacts of evacuation/shelter-in-place/or quarantine to the public and private sectors. 6.6. Determine the condition and availability of evacuation routes or shelter-in- place or quarantine control points. 6.7. Determine whether neighboring jurisdictions have made evacuation/shelter-in-place/quarantine decisions. 6.8. Determine the population potentially affected by the evacuation, shelter-in-place, or evacuation, including jurisdictions that will host those evacuated or quarantined. 6.9. Determine the availability and safety of personnel to support the evacuation/shelter-in-place/quarantine. 6.10. Determine whether to deploy separate teams to notify residents and ensure their evacuation/shelter-in-place, or use other means to notify people in quarantined areas. 6.11. Consider the personal needs of those evacuated/sheltered-in-place/ quarantined and the need for vehicle servicing, particularly fuel. 6.12. Consider whether to terminate power and other utilities for safety. 4. Implement Mitigation plan. RESPOND- 07 . 7.1. Issue evacuation/shelter-in-place/or quarantine order through established communication systems and protocols. 7.2. Notify service organizations, local, regional, state, and federal stakeholders, including sheltering organizations, as applicable.

244 A Guide to Emergency Management at State Transportation Agencies RESPOND- 08 Take response actions. 8.1. Implement ICS and chain of command and/or UC to create an integrated team of multidisciplinary and multi-jurisdictional stakeholders. 8.2. Implement primary and (as needed) secondary command posts. 8.3. Deploy transit resources to support evacuation, including accommodating vulnerable populations evacuated/sheltered-in-place/ quarantined. 8.4. Deploy resources to accommodate pets on transit vehicles and/or in shelters. 8.5. Enforce evacuation/shelter-in-place/quarantine order. The Emergency Operations Team should engage public safety officials in going door-to-door to ensure residents know of an evacuation/shelter-in-place/quarantine order and are complying. 8.6. Place en route services along evacuation/shelter-in-place/ quarantine route. 8.7. Arrange for emergency services within the shelter-in-place/ quarantine area as needed. 8.8. Open evacuation routes to maximize throughput (i.e., close toll operations, work zones). 8.9. Activate mutual-aid agreements. 8.10. Determine the need for and deploy emergency medical and other support staff staged along the evacuation routes or attached to those working with vulnerable populations, or within or near the shelter-in-place/quarantine area. 8.11. Determine the need for and deploy debris-removal crews to clear blocked highways and/or other transportation facilities. 8.12. Determine the need for and as needed deploy sanitation crews with mobile comfort stations (e.g., portable toilets, wash are as). 8.13. Coordinate local evacuation/shelter-in-place/quarantine incident action plans with the designated incident commander in the field and the EOC/TMC. 8.14. Field and EOC commanders should coordinate evacuation/shelter-in-place/quarantine incident action plans with neighboring jurisdictions and the state or neighboring state(s). 8.15. EOC should obtain updated information frequently and communicate this information to those evacuated/sheltered-in-place/ quarantined throughout the event. 8.16. Set up contraflow operations and continue to monitor contraflow operations to ensure evacuation traffic is flowing safely and efficiently. RESPOND- 09 Deploy response teams. 9.1. Deploy personnel and field equipment. 9.2. Ensure field personnel make frequent contact with the EOC through the ICS. 9.3. Address activation of the TMC if it is not already operational (e.g., during normally inactive periods). RESPOND- 10 Communicate evacuation/shelter-in- place/quarantine order and incident management measures. 10.1. Brief national, state, and local authorities and personnel (such as transit and health agencies and FCs) at regular intervals to ensure all parties are provided with accurate, timely, and comprehensive information. 10.2. Hold regular media briefings to inform the media about evacuation routes, traffic and road conditions, shelter/shelter-in-place/quarantine locations, and other pertinent information to communicate to the public in a timely manner. 10.3. Disseminate accurate information pertaining to evacuation/shelter-in- place/quarantine orders in a clear fashion and timely manner to avoid shadow or unnecessary evacuations or unnecessarily lengthy evacuation trips. 10.4. Implement a briefing schedule with ranking representatives from each stakeholder agency participating in the event. 10.5. Inform evacuees of available transport modes, how to access them and if there are any restrictions on what evacuees may carry with them. 10.6. Inform evacuees of when transportation assistance will begin, end, and the frequency of departure at designated pick-up locations. 10.7. Inform evacuees of their destination before they board public transport. 10.8. Inform the public and/or family members of the evacuees’ destinations. 10.9. Identify established websites, hotlines, text messaging groups, etc., where people can get answers to their questions and concerns. 10.10. In the event of a shelter-in-place or quarantine, inform people of the nature of the danger and actions they should take. 10.11. Address communicating security measures to the public. 10.12. Identify support services for vulnerable populations. 10.13. Communicate critical operational changes to the EOC and the public. 10.14. Communicate information to evacuees on the availability of nonpublic shelters, such as hotels. 10.15. Keep shelter operations informed of the location and status of other shelters.

Bibliography and Resource Guide 245 10.16. Regularly reinforce, internally and externally, that persons involved in any way with the evacuation/shelter-in-place/quarantine must direct all but the most basic inquiries to the JIC. 10.17. Personnel working on the evacuation/shelter-in-place/quarantine must maintain effective communications at all times to coordinate movements, share real-time information, and track deployments. 10.18. Establish processes to ensure redundant communications systems are available during the evacuation/shelter-in-place/quarantine because the event may damage or disable primary communication systems. 10.19. Program DMSs, permanent and portable, as necessary to provide accurate, up-to-date information. 10.20. Program HAR subsystems to provide accurate, up-to-date information. 10.21. Program 5-1-1 systems to provide accurate, up-to-date information. 10.22. Relay traffic condition information to the EOC. 10.23. Ensure 9-1-1 operators are fully informed of conditions so they can respond to callers with accurate, up-to-date information. 10.24. Use ITS resources during an evacuation/shelter-in-place/quarantine to collect data and as a tool to communicate and coordinate with those evacuated/sheltered-in-place/quarantined, evacuation operations personnel, partners, and other stakeholders. 10.25. In a shelter-in-place or quarantine area, use ITS to detect unnecessary movements that might result in innocent people being further jeopardized. 5. Continue response. RESPOND- 11 Monitor response efforts. 11.1. Monitor traffic conditions on evacuation/shelter-in-place/quarantine reentry routes and make operational adjustments to maximize throughput. 11.2. Monitor how the event that triggered the evacuation/shelter-in- place/quarantine is progressing and if there are any changes to earlier predictions of its effects. 11.3. Monitor the conditions of the roadway (e.g., for debris or flooding) so that those evacuated/sheltered-in-place/quarantined can be prepared and rerouted if necessary. 11.4. Monitor evacuation/reentry operations of motorized transport, rail, air, waterway, and other modes of transportation to determine the adequacy of available resources. 11.5. Track the destination of vulnerable populations evacuated/sheltered-in- place/quarantined to notify friends and family of their location and to develop a plan to return them to their original locations once the area has been deemed safe for reentry. 11.6. Monitor the number of those evacuated/sheltered-in-place/ quarantined and those moved by means other than personal vehicles to ensure that additional equipment and operators (such as buses and drivers or helicopters and pilots) are requested and supplied quickly if needed. This information should also aid in developing the reentry plan, as the same transportation resources will likely be required for that operation. 11.7. Monitor traffic counters and cameras. 11.8. Monitor pipelines, viaducts, etc., for potential damage. RESPOND- 12 Prepare for next operational period. 12.1. Mobilize personnel and resources for the next operational period. 6. Conclude response. RESPOND- 13 Prepare for demobilization. 13.1. Prepare for restoration of normal activities. 13.2. Ensure provisions to address and validate the safe return of resources to their original locations exist. 13.3. Develop processes for tracking resources and ensuring applicable reimbursement. 13.4. Develop plans to ensure responder safety during demobilization efforts. 13.5. Ensure accountability for compliance with mutual-aid provisions.

246 A Guide to Emergency Management at State Transportation Agencies STEPS PHASE: RECOVER ACTION ITEM SUPPORTING ACTIONS STATUS 1. Restore traffic to affected area. RECOVER- 01 Restore essential services. 1.1. Conduct damage assessments, debris removal, hazardous materials disposal, road repair, and other repairs to transportation facilities to restore essential services to the affected area. 1.2. Identify who has overall responsibility for managing debris removal. Identify potential staging and debris storage areas. 1.3. Determine how to accommodate oversize and overweight vehicles to minimize subsequent damage to roadways and transportation infrastructure. 1.4. Conduct emergency repair of roads and other transportation facilities. 1.5. Facilitate fleet movements of recovery support vehicle s (e.g., power and communications restoration crews, debris removal crews, and emergency food, water, and supply vehicles) through non-affected areas into affected areas. Designate routes and supply information on road status, height and weight limits, and similar information. RECOVER- 02 Reestablish traffic management in affected area. 2.1. Establish routes to move traffic into, out of, and/or around the affected area. Coordinate traffic management with restoration plans for affected communities and resumption of government operations and services through individual, private-sector, non-governmental, and public assistance programs. 2.2. Establish a traffic prioritization scheme that determines which type of traffic has priority over another for a certain location or time period. 2.3. Identity transportation mitigation strategies to be implemented. RECOVER- 03 Allow reentry into affected area and/or remove shelter-in- place or quarantine restrictions. 3.1. Define specifically who makes the decision to return or remove shelter-in-place or quarantine restrictions. 3.2. Identify what factors will influence the decision. 3.3. Begin developing, coordinating, and executing service and site restoration plans for affected communities and resumption of government operations and services through individual, private sector, non-governmental, and public assistance programs. 3.4. In short-term recovery, provide essential public health and safety services; restore interrupted utility and other essential services (as soon as safely possible); reestablish transportation routes, and provide food, shelter, and other essential services to those displaced by the event. 3.5. Long-term recovery may include the complete redevelopment of damaged areas. 3.6. Prioritize activities to conduct damage assessments, debris removal, hazardous materials disposal, repair of roads and other transportation facilities, restoration of transportation support facilities to enable them to receive evacuees when it is safe to do so, and secure critical assets. 3.7. Estimate the damage to the areas to which the evacuees will return or where shelter-in-place/quarantine restrictions were placed. 3.8. Determine if there is, as a result or consequence of an evacuation/shelter-in- place/quarantine, an outbreak of disease or any other health or medical issue that should be mitigated. 3.9. Determine if hazardous materials spills need to be cleaned up. 3.10. Determine if utilities are functioning (i.e., running water, electricity). 3.11. Ensure evacuation routes are clear of debris and safe for travel. 3.12. Determine if public transit systems are operational. 3.13. Identify any populations that should not be allowed to return because of medical, health, or public safety concerns. 3.14. Verify that injured or diseased people and animals have been attended to and recovered from the area. 3.15. Develop a strategy to communicate reentry instructions to the public. 3.16. Determine if mutual-aid reentry should be done in phases. 3.17. Transport those who did not self-evacuate/shelter-in-place/quarantine back to their place of residence or longer-term shelters if homes are uninhabitable. 3.18. Identify personnel, equipment, and resources necessary to support reentry. 3.19. Inspect the impacted area and aid any victims who did not evacuate, shelter-in- place, or quarantine. 3.20. Ensure reentry plans address those people who were unable to evacuate themselves. Ensure a clear strategy exists for how, when, and to where these evacuees will be transported and how they may reach their final destination. 3.21. Ensure communication with those evacuated/sheltered-in-place/quarantined, who may be scattered among shelters, families’ homes, and other areas outside of the immediate jurisdiction, can be accomplished effectively. 3.22. Communicate start and end times of reentry operations, including the days of the week, geographic areas covered, photo ID required to reenter, security checkpoints that are in place, available routes and maps, vehicle restrictions, and available services. 3.23. Determine whether ITS equipment, DMS, HAR, and 5-1-1 subsystems should be updated to provide information to evacuees reentering the area. 3.24. Traveler services, such as fuel, food, safe water, relief, and medical care, should be available along the highway routes as they were during the evacuation. 3.25. Attempt to return those evacuated/sheltered-in-place/ quarantined to their points of origin using the same operator and same vehicle. 3.26. Establish alternative plans for return in case the evacuation/shelter-in- place/quarantine lasts for days, weeks, or possibly longer. 3.27. Ensure operators and passengers have picture identifications to return to their points of origin. Recover

Bibliography and Resource Guide 247 3.28. Coordinate reentry plans with transportation and public safety officials to staff reentry routes adequately. 3.29. Coordinate operations to identify missing persons who might not have evacuated/sheltered-in-place/quarantined and been lost in the event or failed to return after the event, particularly children separated from their families. RECOVER- 04 Conduct emergency repairs. 4.1. Develop an approach to infrastructure repair/replacement and decontamination, determining what can be done quickly and what will require more time. 4.2. Identify rebuild vs. relocate criteria. Consider infrastructure condition, (e.g., planning to replace infrastructure identified as marginal or inadequate). 4.3. Determine repair/rebuild priorities. Assess impact on network, (e.g., repairable structures that restore most of the lost regional networks be given high priority). 4.4. Identify equipment required and contractor resources. Maintain current list of potential specialized equipment suppliers. 4.5. Make design decisions as soon as possible to minimize recovery time. Some decisions can be made before an event, such as what design strategies to take when rebuilding or replacing existing infrastructure. 4.6. Major repair or replacement construction typically requires contracting for engineering and contractor services. Have a prequalified list of engineers and contractors to contact to expedite this process. 4.7. Establish emergency contracting protocols in advance. 4.8 Identify locations for positioning of supplies and heavy equipment. 4.9. Identify right of way (air space/land) for staging areas. 2. Identify and implement lessons learned. RECOVER- 05 Perform After- Action Review and create After-Action Reports. 5.1. Identify who is responsible for conducting After-Action Reviews and for ensuring necessary changes are made to plans and SOPs and communicated to staff. 5.2. Conduct a review of how the evacuation/shelter-in-place/quarantine was executed and determine how it could have been improved. Each agency should review its actions. When multiple agencies are involved in an evacuation/shelter-in- place/quarantine, conduct a joint After-Action Review to address how well agencies worked together and what improvements can be made in future joint operations. 5.3. Each After-Action Review should be shared with decision makers and agency personnel and should include recommendations for improvements that should be considered and implemented quickly. 5.4. Conduct an After-Action Review, a formal meeting of operation participants to assess actions, determine follow-up items, and develop recommendations for improving future operations. 5.5. Results of the After-Action Review and individually submitted After-Action Reviews should be combined for a jurisdiction’s or agency’s final report. 5.6. Use After-Action Reviews and After-Action Reports to determine if changes should be made to plans and procedures. RECOVER- 06 Return to readiness. 6.1. Establish a policy for the evacuation/shelter-in-place/quarantine team members’ home organizations regarding recovery time and time to participate in After-Action Reviews and other return-to-readiness activities. 6.2. Determine what equipment and supplies need to be restocked. 6.3. Determine what infrastructure needs to be repaired or replaced. 6.4. Determine what new information needs to be communicated to the public to maintain their awareness to be prepared. 6.5. Begin transitioning the system from an operations cycle back to a state of planning and preparedness. 6.6. Continue data collection and begin analyses of response activities. 6.7. Identify evacuation costs and reimbursable expenditures. Account for services, such as equipment rehabilitation, restocking of expendable supplies, transportation to original storage or usage locations, overtime costs for public safety and transportation officials, materials used in support of evacuation, and contract labor and equipment. 6.8. Begin request for reimbursement processes from state and federal governments as applicable. 6.9. Implement a system to track personnel, supplies, and equipment costs to meet the requirements of the reimbursing agencies. 6.10. Work with FEMA and FHWA to ensure proper documentation is being used before submitting reimbursement requests.

248 A Guide to Emergency Management at State Transportation Agencies Appendix A4: Checklists for Various Processes of Emergency Management Checklist of Potential Transportation Assets (High Level) Wherever possible, inventory assets, especially those that will be critical to assess during a disaster or emergency. In most cases, transportation asset management systems will have good records of locations and conditions of transportation assets. Potential Assets Asset Identifier Emergency/ Disaster Planned Event Does Not Apply Comments/ Contact Information Aviation Aircraft Air traffic control systems Airports -Commercial -Military -Other Highway Infrastructure and Motor Carrier Bridges Tunnels Roadways Bike paths Sidewalks Vehicles -Automobiles -Trucks carrying hazardous materials -Other commercial freight vehicles -Motorcycles -Motor coaches -School buses -Bicycles Maritime Ports Ferries Waterways Coastline Intermodal landside facilities connection

Bibliography and Resource Guide 249 Step 1: Assess the initial incident using available information. Incident Description Situation Location Nature of Incident/ Type of Danger (describe briefly) Situation Category (check all that apply) Shelter-in-Place Selective Evacuation Phased Release Evacuation Full Evacuation __Shelter-in- place __Quarantine __Selective evacuation __Multiple locations __Official expedited commute __Major transit disruption __Other major trans. facility closure __Phased release __Widespread power failure __Military, police, gov’t action __Full evacuation Time of Day/ Day of Week Wind speed/ direction Warning Time Expected Duration STEP 2: Based on that information, determine what agencies and jurisdictions should be involved in communication activities. Initial Discovery Stage Communications Comments Interjurisdictional Information exchange: Is there a need for communications across jurisdictions within transportation? If yes, confirm details, below, and fill in the types of transportation information in Step 3. Need for one-on-one calls/communications? With whom? Need for conference call(s) across transportation agencies? If yes: Determine lead agency Who initiates call? Who participates in call? When will initial call take place? Cross-functional Information exchange: Is there a need for communications within jurisdictions across functions— transportation, EMA, law enforcement, other? If yes, fill in the types of transportation information in Step 3. Checklist for Inter-Agency Communications and Information Sharing

250 A Guide to Emergency Management at State Transportation Agencies Step 3: Identify and collect the types of transportation information to be shared. Description Comments About the incident – see Step 1. About the transportation system Roadway Status · Limited closures (list if possible) · Extensive closures (describe briefly) · Other Rail System Status · Limited closures (list if possible) · Extensive closures · Other Bus Transit System Status · Limited closures (list if possible) · Extensive closures · Other Other Transportation Status · Limited closures (list if possible) · Extensive closures · Other Potential actions to be taken Potential recommendations to decisionmakers Initial Transportation input through Information and Planning function for Media & Communications Outreach (External Relations) general public message, and to Community Partners Communications Network (if active) Confirm time for next call Other issues Step 4: Identify what information is to be provided, and what information is needed from the expected participants. Description Comments 1. Information needed from decisionmakers 2. Information needed from federal agency representatives 3. Information to provide to decisionmakers 4. Information to provide to federal agency representatives 5. Information needed about populations with access and functional needs through the communications network (e.g., transportation needed) 6. Critical information to share with NGOs, CBOs, and other community partners to pass on to general public and their constituents (e.g., areas that are not in

Bibliography and Resource Guide 251 Step 4: Identify what information is to be provided, and what information is needed from the expected participants. danger, preferred evacuation routes, transit collection points) 7. Other issues Step 5: Determine whether emergency management has updated its orders or directions since the initial assessment. EMA Direction as appropriate Perimeter of Affected Area Surrounding Affected Area Rest of Region Shelter-in-Place Selective Evacuation Staged or Phased Evacuation Full Evacuation No danger anticipated/“Watch and Wait” No action Anticipated/Actual Federal Actions Update to public and community partners needed? Comments Step 6: Prepare for the next cycle of information sharing and exchanges. Description Comments Transportation information exchange 1. Update on incident 2. Status of transportation system 3. Update on agency preparedness 4. Coordination needed 5. Additional strategies to consider 6. Recommendations to decisionmakers 7. Define updated Transportation input through Information and Planning for External Affairs and Community Partners general public message 8. Confirm time for next call 9. Other issues Step 7: Based on emerging and updated information, identify what is to be provided to and what is needed from the expected participants. Description Comments 1. Information needed from decisionmakers 2. Information needed from state and/or federal agency representatives 3. Information to provide to decisionmakers 4. Information to provide to state and/or federal agency representatives

252 A Guide to Emergency Management at State Transportation Agencies 5. Information needed from community partners 6. Information to provide to public and community partners 7. Other issues Step 8: Preparing for Re-entry. Description Comments Transportation information exchange 1. Status of transportation system 2. Coordination needed 3. Strategies to consider - staging, controls 4. Recommendations to decisionmakers 5. Define updated Transportation input through Information and Planning for External Affairs and Community Partners general public message Step 9: Coordinating Information Across all Jurisdictions and Disciplines for Re-Entry. Description Comments 1. Information needed from decisionmakers 2. Information needed from state and/or federal agency representatives 3. Information to provide to decisionmakers 4. Information to provide to state and/or federal agency representatives 5. Information needed from community partners 6. Information to provide to public and community partners 7. Other issues Step 10: Follow-up communication. Description Comments Set schedule for communicating updates After action evaluation · Assess interjurisdictional communication · Assess cross-functional communication · Assess adequacy of information provided Complete After-Action Report (separate tool)

Bibliography and Resource Guide 253 1. Review and discuss events that could impact the region. Indicate likelihood and consequences, and note if it absolutely does not apply to the region. Review and discuss the transportation consequences of such an event and potential ripple effects. 2. Review and update throughout the planning process with planning partners. Use to trigger thinking about consequences to infrastructure and people, what responses might be required, and additional partners who may be needed. 3. Review and discuss whether a planned special event would be a good test of the types of coordination, communication, and operational strategies that would be needed in an emergency event (i.e., could a planned special event help exercise this type of event?). 4. Review and discuss whether such an event would be more likely in tandem with a planned special event (e.g., human-caused institutional acts) or have a greater consequence if it were to occur concurrent with a planned special event. 5. Review and discuss when planning regional exercises – tabletop to full-scale – to identify scenarios. Example Resources: 1. Local emergency plans 2. FEMA HAZUS-method for estimating losses from disasters 3. FEMA-Flood zone maps 4. UASI/other risk assessments 5. storm surge heights 6. Local nuclear power plant emergency plans Sea Lake and Overland Surges from Hurricanes (SLOSH), National Hurricane Center, estimate/model Checklist for Emergency Events Affecting Multiple Jurisdictions, Transportation, and Interdependencies

Potential Hazards Likelihood (High/ Medium/ Low) Consequence (High/Medium/ Low) Potential Regional Transportation Impact (High/Medium/Low) Does Not Apply Can be exercised with a planned special event? (Y/N) Greater likelihood or consequence with a planned special event? (Y/N) Comments Natural Hazards Earthquakes Floods Storm surge Hurricane/typhoon Ice storms Snow storms and blizzards Landslides/mudslides Naturally occurring epidemics/pandemics Tornado Tsunami Volcanic eruption Wildfire Human-Caused Intentional Bomb threats and other threats of violence Fire/arson Riot/civil disorder Sabotage: External and internal actors Security breaches Cyberattack Terrorist assault using explosives, firearms, or conventional weapons War Workplace violence

Potential Hazards Likelihood (High/ Medium/ Low) Consequence (High/Medium/ Low) Potential Regional Transportation Impact (High/Medium/Low) Does Not Apply Can be exercised with a planned special event? (Y/N) Greater likelihood or consequence with a planned special event? (Y/N) Comments Human-Caused Unintentional Accidental contamination or hazardous materials spill Accidental damage to or destruction of physical plant and asset Accidents that affect the transportation system Gas outages HVAC system failures or malfunctions Inappropriate training on emergency procedures Power outages Software/hardware failures or malfunctions Unavailability of key personnel Uninterruptible Power Supply (UPS) failure or malfunction Voice and data telecommunications failures or malfunctions Water outages

1.2 Plan Scope 1.2.1 Geographic Scope 1.2.1-A Determine if any of the information required for this section is available from existing jurisdiction plans or documents, e.g., CEMP. 1.2.1-B Identify the jurisdictions for which this evacuation plan is being written and to which it can be applied. Include maps as an appendix where appropriate. 1.2.1-C Identify geographic areas of your region that may require particular attention (e.g., floodplains) during an evacuation. Include maps as an appendix where appropriate. 1.2.1-D Identify jurisdiction(s) in the region beyond the legal scope of your region’s evacuation plan on which you might need to rely if an evacuation of your region occurs. Include maps as an appendix where appropriate. Examples include: · Neighboring jurisdiction that may shelter your evacuees. · Neighboring jurisdiction whose resources you may use. 1.2.1-E Identify relevant geographic zones within your region. Areas may include but are not limited to: · Residential areas · Industrial areas · Commercial areas (high daytime population) · Arts or entertainment districts 1.2.2 Potential Evacuation Populations 1.2.2-A Determine if any of the information required for this section is available from existing jurisdiction plans or documents, e.g., CEMP. 1.2.2-B Determine the likely daytime populations for your region (by geographic zone). Daytime populations are likely to be higher in commercial areas where a major workforce is present. 1.2.2-C Determine the likely nighttime populations for your region (by geographic zone). Nighttime populations are likely to be higher in residential areas. 1.2.2-D Determine any seasonal populations for your region (by geographic zone) e.g., college/university students; migrant workers; tourists. 1.2.2-E Determine the likely distribution of your region’s population (by geographic zone). Pay particular attention to areas with high concentrations of people, e.g., large employment centers or shopping malls. 1.2.2-F Determine the likely number of vehicles owned for each geographic zone within your region. · Potential sources of information include planning department and U.S. census data. · Use demographic data for vehicle ownership, commuting patterns, etc. 1.2.2-G Determine the percentage of the population in your region that relies on public transportation on a daily basis to travel to/from the area (by geographic zone). 1.2.2-H Determine the likely number of evacuees from your region that will require transportation assistance to evacuate (by geographic zone). · Potential sources of information include planning department and U.S. census data. · Use demographic data for vehicle ownership, commuting patterns, etc. Checklist for Multijurisdictional Multimodal Evacuation Planning

1.2.2-I Determine the likely modes of transportation that will be available to evacuees (by geographic zone). · Consider the type of geographic zone and the accessibility of personal vehicles. Will evacuees attempt to drive, take public transportation, walk, etc.? 1.2.2-J Determine the likely directions evacuees will try to travel (by geographic zone). · Understand possible evacuee destinations, (e.g., work locations, home, and location of children). 1.2.2-K Identify the populations with access and functional needs (anyone requiring additional assistance to evacuate) for each geographic zone within your region. Populations with access and functional needs include but are not limited to: · People with restricted mobility (wheelchair/walking aid) · Patients/residents of hospitals, nursing homes, and assisted care facilities · People who are hearing-, language- or vision-impaired · Non-English speaking persons · Incarcerated persons · Commuter populations · People who are homeless · Students (e.g., colleges, schools, and childcare centers) · Animals (farm animals; kennels; veterinary hospitals; zoos; theme parks; pet stores; university laboratories) 1.2.2-L Determine the likely distribution of the population with access and functional needs for each geographic zone within your region. Considerations include but are not limited to: · Where are hospitals located within your region? · Does your region have any prisons or courthouses where prisoners might be located during trial/sentencing? · Where are schools located within your region? · Does your region have any homeless shelters? 1.2.2-M Determine the type of assistance required for individuals with access and functional needs, e.g., transportation, medical assistance, and specialized equipment. · Pay particular attention to areas with high concentrations of populations with access and functional needs. 1.2.2-N Identify communities in your region that are located in known areas of high risk, e.g., within the emergency planning zone of a nuclear power plant, within a floodplain. · Refer to communities identified in item 4.2 of this tool, Likely Hazards of Note for Jurisdiction. 1.2.3 Parties Involved in Planning and Conducting an Evacuation 1.2.3-A Determine which agencies within your region will be involved in evacuation planning and evacuation response. Examples include: · Executives (mayor/county executive/governor, etc.) · Emergency management/law enforcement/fire/EMS · Transportation/transit providers · Support Services · Resource Providers

1.2.3-B Determine which neighboring jurisdiction(s) will be involved in evacuation planning and evacuation response. · Consider those jurisdictions identified under item 1.2.1, Geographic Scope. 1.2.3-C Determine outside organizations, private-sector companies, and points of contact that may support the evacuation response. · Consider those organizations and private-sector companies identified under item 7.0, Logistics. · Ensure points of contact are identified. 1.2.3-D Determine the communication methods to be used to establish contact with the points of contact for each internal agency, neighboring jurisdiction, outside organization, and private-sector company that may have a role in either evacuation planning or evacuation response. · Identify secondary means of communication if the primary means fail to function. · Refer to item 5.4, Inter-Agency Communications Systems and Procedures. 1.2.4 Coordination with Other Plans and Guidance 1.2.4-A Ensure the evacuation plan is compatible with your participating jurisdictions’ (or regions’, if applicable) CEMPs. 1.2.4-B Ensure the evacuation plan is compatible with supporting plans from your participating jurisdictions. Examples include: · Continuity of Operations (COOP) plan · Continuity of Government (COG) plan 1.2.4-C Determine whether the evacuation plan will be a stand-alone plan, or whether it will be integrated into an existing emergency management plan, such as an annex to a CEMP. 1.2.4-D Determine any neighboring jurisdiction(s)’ plans with which your evacuation plan must be compatible (who are not among your participating jurisdictions). · Consider those jurisdictions identified under item 1.2.1, Geographic Scope. · Consider those plans identified under item 8.0, Plan Review and Maintenance. 1.2.4-E Determine any county or state plans with which your evacuation plan must be compatible. · Consider those jurisdictions identified under item 1.2.1, Geographic Scope. · Consider those plans identified under item 8.0, Plan Review and Maintenance. 1.2.4-F Determine any national guidelines with which your evacuation plan must be compatible. Examples include: · National Incident Management System (NIMS) · National Response Framework (NRF) 1.2.5 Limitations of Plan 1.2.5-A Provide plan users an explanation of the plans limitations. 2.0 Authorities 2.0-A Determine whether the elements of this section already exist in a previously written plan (e.g., a CEMP), and can simply be included in the evacuation plan by reference. 2.1 Introduction Explaining Inter-Relationships Among Levels of Government

2.1-A Document the requirements and practices for the coordination of agencies/officials from the local, county, state, and federal levels of governments. · Refer to item 1.2.3, Parties Involved in Planning and Conducting an Evacuation and 1.2.4, Coordination with Other Plans and Guidance, for identified agencies. 2.1-B Reference the protocols for when agencies from each additional level of government get involved in an evacuation effort. 2.2 Federal Statutes/Regulations 2.2-A Include references to the federal statutes/regulations with which the evacuation plan must comply. Examples include: · Code of Federal Regulations · DHS/FEMA Pets Evacuation and Transportation Standards Act of 2006 2.3 State Statutes/Regulations 2.3-A Include references to the state statutes/regulations to which the evacuation plan must adhere. Examples include: · Codes · Statutes Public Laws 2.4 Local Statutes/Regulations 2.4-A Include references to the local statutes/regulations with which the evacuation plan must comply, particularly the enabling legislation with regard to declaring and conducting an evacuation. Examples include: · Proclamations of Authority · County Codes · County Plans · City/Town Codes 2.5 Plans and Agreements 2.5-A Include coordinated plans and agreements within your region and outside agencies. Examples include: · Local Mutual Aid · Inter Local Agreements · Inter-Governmental Agreement (IGA) 3.0 Critical Assumptions 3.1 Regulatory Issues 3.1-A Identify critical assumptions regarding regulatory issues that are relevant to conducting an evacuation, and may affect how evacuation operations occur. · Refer to item 2.2, Federal Statutes/Regulations. · Refer to item 2.3, State Statutes/Regulations. · Refer to item 2.4, Local Statutes/Regulations. 3.2 Local Parameters

3.2-A Identify critical assumptions regarding local parameters and conditions relevant to conducting an evacuation. Examples include: · Emergency management practices unique to the region. · Expectations regarding involvement of specific neighboring jurisdictions. 3.3 Local Limitations 3.3-A Identify critical assumptions regarding local limitations relevant to conducting an evacuation. Examples include: · Region may have limited resources “in-house” to support evacuation and sheltering operations. · Some citizens will not be willing to evacuate, regardless of the hazard. 4.0 Hazards 4.1 All-Hazards 4.1-A Ensure the evacuation plan is applicable across all types and scopes of hazards as listed in individual jurisdictions’ Hazard Identification and Vulnerability Assessment (HIVA). 4.1-B Ensure the evacuation plan addresses shelter-in-place tactics to be used when an evacuation is unsafe or not feasible. 4.1-C Ensure the evacuation plan addresses special hazards and unique scenarios specific to your region. Refer to the information gathered under item 4.2, Likely Hazards of Note for Region. 4.2 Likely Hazards of Note for Region 4.2-A Determine whether the elements of this section already exist in a previously written plan, e.g., a CEMP, and can simply be included in the evacuation plan by reference. 4.2-B Identify specific hazards that are likely to cause (or have previously caused) an evacuation in your region, e.g., hurricane, earthquake, nuclear power plant, etc. · Consider unique geography and weather-related issues. · Consider any facilities of special relevance. 4.2-C Determine and list regional scenario-specific plans that address evacuation measures for each identified hazard. For example: · Dams · Hazmat facilities · Utility operators 4.2-D Identify the decision points/triggers (e.g., time-based, geography-based) for declaring an evacuation in response to each identified hazard. · Identify the authority (by position) that has the legal power to declare an evacuation. · Identify the agencies/personnel involved in monitoring evacuation triggers. 4.2-E Identify and prioritize communities in your region that will evacuate by virtue of their location in relation to the hazard source (for each identified hazard). · Which communities will be negatively impacted first if the hazard occurs?

4.2-F Determine the likely number of people and vehicles that will have to be evacuated from communities pre-identified as ones that are vulnerable to specific hazards (for each identified hazard). · Consider information gathered under item 1.2.2, Potential Evacuation Populations. 4.2-G Determine the predicted direction and distance evacuees must travel from the known hazard source to ensure their safety. · Identify the range of likely harmful effects based on the nature of the hazard. · Determine weather aspects (e.g., wind speed and direction) that may influence the direction of the evacuation. 4.2-H Estimate the time needed to complete the evacuation based on the projected evacuation characteristics for (each identified hazard). 4.2-I Estimate the amount of time during which publicly sheltered evacuees will need support before being able to return home (for each identified hazard). · Inform shelter organizers of this timeframe. 4.2-J Determine the likelihood of evacuating the entire affected population out of harm’s way before the hazard negatively impacts the area being evacuated (for each known hazard). If unlikely, shelter-in-place can be utilized if feasible. 4.2-K Identify the types of hazards that will likely require the use of shelter-in-place tactics. Examples include, but are not limited to, hazards that result in the following: · Presence of toxic or radiological contaminants · Compromised transportation infrastructure · Designated evacuation routes being unusable · Secondary fires and explosions 5.0 Concept of Operations 5.0-A Determine whether the elements of this section already exist in a previously written plan, e.g., a CEMP, and can simply be included in the evacuation plan by reference. 5.1 Acknowledgement of the State and Local Response Levels to Disasters and Incidents 5.1-A Establish procedures to identify an incident as rapidly as possible. 5.1-B Identify the administrative requirements to process proclamations and declarations of authority. 5.1-C Determine how your region intends to govern during the different stages of an evacuation (e.g., evacuation order given, while portions of the region are evacuating, during re-entry) if government facilities are damaged or otherwise non-functional. · Refer to provisions established by your participating jurisdictions’ COOP and COG plans. 5.1-D Identify contacts at the county and state EOCs that will facilitate support for an evacuation when needed. 5.1-E Determine the potential roles your region and your participating jurisdictions may hold during an evacuation. · Evacuating jurisdiction · Receiving jurisdiction · “Pass-through” jurisdiction · Supporting jurisdiction 5.1-F Determine the responsibilities of your region and your participating jurisdictions for each role they might hold during an evacuation. · What parts of the plan will need to be activated if your region or participating jurisdiction is the evacuating jurisdiction? Receiving jurisdiction?

5.1-G Determine how your region will move the resources and staff required to respond to an evacuation involving several jurisdictions. 5.2 5.3 Identification of Relevant Agencies 5.2-A Establish procedures for when a participating jurisdiction or when and whether the regional CAME assumes the lead role in an evacuation. · Determine if ICS structure will be used to coordinate the evacuation. · Determine whether the Incident Commander will also coordinate the evacuation in addition to responding to the incident at the Incident Command Post (ICP). 5.2-B Establish procedures for when your region supports the evacuation of another jurisdiction. · Determine under what circumstances your evacuation plan will be implemented. · Identify ways in which your region may support the lead jurisdiction. · Identify who has the authority to commit resources to support an evacuation of another jurisdiction. 5.2-C Determine the critical functions within your region that must remain operational during an evacuation? Examples include but are not limited to: · Fire · Police · Hospitals 5.2-D Establish procedures to ensure that staff needed to execute the evacuation plan is not forced to evacuate under mandatory evacuation orders. 5.2-E Determine who is available for emergency services during the evacuation itself if police, fire, and rescue become heavily involved in incident activities. · Determine how these individuals will be notified that their support is required. Incident Command Structure/National Incident Management System (NIMS) 5.3-A Identify the types of initial command structure and next highest level of command structure that are viable options to use during an evacuation. · Local, discrete site incident with an evacuation to be managed from the ICP (Single Command Incident Commander). (Not applicable to the CAME/regional agreement). · Local evacuation to stay within a single jurisdiction’s boundaries, but multiple agencies involved (Unified Command). (Likely not applicable to the CAME/regional agreement). · Local to small regional evacuation requiring resources from neighboring jurisdictions (Unified Area Command). (The CAME/regional agreement would most likely be activated). · County and state Incident Management Teams (IMTs). These are specific types of Area Commands that have been identified as resources that may be available for larger evacuation efforts. (The CAME/regional agreement would definitely be activated). · State and federal IMTs and Emergency Response Teams (ERTs). (The CAME/regional agreement would definitely be activated). 5.3-B Establish procedures to be used to make an initial assessment and decision on the command structure required to successfully manage an evacuation. Considerations include but are not limited to: · Clear hierarchy and schematic representation of organization structure · Unified Command versus Area Commands · County and state IMTs · Smooth transfer of authority/expanding the response for the incident · Whether police or fire officials will make the initial call for the evacuation · Involvement of community officials

5.3-C Identify possible locations for Incident Command Posts (ICP), Unified and Area Commands, supporting facilities (e.g., operational control centers), and emergency operations centers (EOC). · Ensure that the facilities are able to address any special requirements. · Ensure the locations are linked with other facilities that may be used during an evacuation. 5.3-D Determine from which location(s) the region intends to monitor and run an evacuation. · Ensure that the facility is able to address any special requirements. · Ensure this location is linked with other facilities to be used during an evacuation. 5.3-E Ensure that all identified facilities (e.g., buildings, offices, operations centers) have the capacity to support the needs of an Incident Commander on short notice. 5.3-F Establish procedures to electronically link all facilities that may be utilized during an evacuation. · Consider facilities of neighboring jurisdictions. · Consider facilities at the county and state level. · Consider transportation management centers and operational control centers. 5.3-G Determine what efforts are required to set up/activate the ICP and Unified/Area Commands (UC/AC), when applicable. · Identify the responsible party for set up/activation. · Establish procedures to convey information to the responsible party that set up/activation is required. · Identify the resources required for set up/activation. 5.3-H Determine the methods that will be used to establish communication methods with state and local EOCs in support of evacuation operations (e.g., ICP, shelter locations, media outlets, etc.). · Refer to item 5.4, Inter-Agency Communications Systems and Procedures. 5.3-I Establish procedures to ensure the Public Information Officer (PIO) is supported in the distribution of command structure information. 5.4 Inter-Agency Communications Systems and Procedures 5.4-A Determine the agencies and jurisdictions that will be notified when an incident occurs and an evacuation is likely or imminent. · Refer to item 1.2.3, Parties Involved in Planning and Conducting an Evacuation for agencies/jurisdictions pre-identified. · Assemble contact information and call sheets for relevant jurisdictions/agencies. · Establish a review process for regularly verifying/updating contact information and call sheets.

5.4-B Determine how notifications will occur. Refer to jurisdiction and regional protocols that outline communication methods with outside jurisdictions/agencies. If necessary: · Document the communication methods used by each agency/jurisdiction. · Evaluate these communication methods to ensure compatibility among multiple agencies/jurisdictions and regions. · Identify the gaps or conflicts that need to be addressed as part of the overall emergency management planning effort. 5.4-C Ensure that your region has sufficient wireless communications to meet every day internal requirements before becoming interoperable. 5.4-D Ensure there is a means to communicate (voice/data) between relevant agencies/jurisdictions. · Identify a communications system for the efficient flow of information during an emergency or disaster. · Identify the location and availability of sources of communications (public or private). · Develop clear communications protocols. 5.4-E Identify communication and data standards. 5.4-F Determine whether necessary MOUs and Sharing Agreements for operating the public safety interoperability channels exist. 5.4-G Ensure redundant communication methods are in place for communicating with other agencies/jurisdictions, as normal communication capacities may become overwhelmed/unusable during large-scale disasters. · Identify secondary communication systems. 5.5 Public Communications 5.5-A Determine the best way to structure a public education campaign to inform citizens of the steps they can take to prepare for possible emergency situations and how to better prepare themselves if an evacuation occurs. Examples include: · Brochures · Public awareness classes · Community outreach · 211 Communications · Reverse 911 · 10-watt radio stations 5.5-B Determine what information will be provided to the public to promote general evacuation preparedness, as part of a public education effort (e.g., strategies for personal preparation, recommended supplies, sources of additional information, etc.). 5.5-C Establish procedures for notifying citizens that live/work in evacuation zones of identified hazards of relevant information to those hazards. Consider the hazards identified in item 4.2, Likely Hazards of Note for Region. Examples include: · Any signs/precursors of the hazards · Evacuation procedures and likely routes · Location of nearby shelters

5.5-D Determine what communication methods may be used to notify the public about an incident. Examples include: · Television - with closed caption scrolling and American Sign Language interpreter on camera for major announcements · Radio · Emergency Broadcast System · Automated systems (e.g., reverse 911, variable message signs (VMS), dynamic message signs). Work with the deaf and hard of hearing community to ensure that automated systems such as reverse 911 will trigger their personal alert systems. · Highway Advisory Radio (HAR) · Web site · Door-to-door notification · Local media · Social media – Facebook, Twitter, others · Internet alerts – Google, others · Text alerts · Sirens, bullhorns on police or emergency service vehicles 5.5-E Determine the initial information that will be communicated to the public once an incident has occurred and an evacuation is imminent or necessary. Examples include: · Whether citizens evacuate or shelter-in-place · Areas that require evacuation · Transportation options · How pets will be accommodated · How/when informational updates will be made 5.5-F Include provisions in the evacuation plan for communicating with populations with access and functional needs when traditional modes of communication are insufficient. · Consider item 1.2.2, Potential Evacuation Populations for categories of populations with access and functional needs who may require alternate modes of communication. · Determine the most effective methods for each population group; e.g., engage or develop a local community group emergency communications network (per TCRP Report 150: Communications with Vulnerable Populations—A Transportation and Emergency Management Toolkit), especially to reach foreign language groups, deaf and hard of hearing, blind or limited vision, deaf/blind, people with cognitive disorders, others with access and functional needs that limit communications. 5.5-G Determine the contingency plans to be used if the primary means of public communication are unavailable. · Ensure that all relevant agencies are informed of these measures. 5.5-H Prepare sample/pre-scripted messages that may be used when communicating to the public via automated systems, such as variable message signs and reverse 911.

5.5-I Establish procedures for providing real-time updates to citizens during an evacuation. Information to consider includes: · Incident status · Updated evacuation routes · Road closures · Traffic conditions · Shelter locations and capacities · Weather conditions 6.1 Incident Analysis 6.1.1 Command and Control 6.1.1-A Refer to your participating jurisdictions’ emergency response procedures for protocols on initial identification and response to an incident. 6.1.1-B Determine how key officials will be alerted of the possible need to evacuate. · Refer to item 5.4, Inter-Agency Communications Systems and Procedures. · Identify the agencies and staff positions responsible for providing information to key officials. 6.1.1-C Determine who within your jurisdiction and region has the legal authority to declare an evacuation. · Ensure the person with authority is aware of the steps that must be taken. 6.1.1-D Establish criteria to use in determining whether to issue a voluntary, recommended, or mandatory evacuation order. · Determine if the legal authority exists to mandate an evacuation. 6.1.1-E Identify agencies and lead staff that will be involved in declaring an evacuation. · Ensure all of these agencies are identified in the evacuation plan under item 1.2.3, Parties Involved in Planning and Conducting an Evacuation. · Clearly define and delineate the roles for each position and agency within the evacuation plan. 6.1.1-F Create pre-approved drafts of executive orders for evacuations. · Determine what language/provisions these will contain. 6.1.1-G Identify which agency will manage the evacuation’s overall operations. · Determine if this will vary, depending on the location or scope of the evacuation. · Refer to item 5.2, Identification of Relevant Agencies. 6.1.1-H Identify which agencies will have staff members report to the EOC in the event of an evacuation. · Create notification procedures for this to occur. · Establish procedures to collect and update on a regular basis the necessary contact information to be used during a notification. 6.1.1-I Establish notification procedures to be used when a command structure is chosen and activated. · Refer to item 5.3, Incident Command Structure/National Incident Management System, for information on specific considerations for selecting an appropriate command structure. 6.1.1-J Establish timetables to reevaluate the need for additional resources.

6.1.1-K Establish timetables to reevaluate the need for an increase/decrease in the scope of the command structure. 6.1.1-L Create procedures to establish an emergency response command structure in a timely fashion. These must be clearly stated in the evacuation plan. 6.1.1-M Address the inclusion of neighboring jurisdictions (who are not already participating jurisdictions) into the command structure, with regard to these jurisdictions providing sheltering and support services. 6.1.1-N Identify the roles and responsibilities of different levels of government. · Identify how emergency responders, emergency management, and local government will communicate and share authority during an evacuation. · Determine how these government agencies will coordinate their efforts with each other. See item 5.1, Acknowledgement of the State and Local Response Levels to Disasters and Incidents. 6.1.2 Planning 6.1.2-A Identify the types of information to be collected, including but not limited to: · Location · Nature of the hazard(s) · Projected area that will be affected · Projected size of population to be involved in the evacuation 6.1.2-B Determine the factors involved in identifying the size of the area to be evacuated and how many people will be affected. · Refer to item 4.2, Likely Hazards of Note for Region. · Refer to item 1.2, Plan Scope, for information on evacuation populations and geographic data. 6.1.2-C Identify the decision points/triggers (e.g., time-based, geography-based) for declaring an evacuation. · Identify the agencies/personnel involved in monitoring evacuation triggers. · Document the decision criteria to be monitored and evaluated before determining whether to issue an evacuation order or to request that citizens shelter-in-place. · Outline how these criteria may vary for different scenarios. · Refer to item 4.2, Likely Hazards of Note for Region, for decision points/triggers for identified hazards. 6.1.2-D Determine how information about the incident will be transmitted from responders in the field to decisionmakers. 6.1.3 Operations 6.1.3-A Determine what field activities may be used to collect information about the incident and any associated characteristics that may be relevant to an evacuation decision (e.g., nature of threat, condition of transportation infrastructure, etc.). 6.1.3-B Determine what activities can be taken to use data systems to collect information about the incident. 6.1.4 Logistics 6.1.4-A Determine staffing levels that currently exist for your region. · Consider traditional work hours and off hours (e.g., weekend/nighttime). · Establish procedures for regularly updating staffing level amounts. · Assess whether traditional staffing levels will be sufficient to respond to an evacuation.

6.1.4-B Identify the types of resources needed to conduct an evacuation. · Refer to item 7.1, Resource Management, for specific information on resource acquisition and identification. · Identify organizations and individuals (by position) responsible for directing the staff and resources needed to execute an evacuation order. · Consider staff, assets, and supplies. 6.1.5 Finance 6.1.5-A Determine whether your participating jurisdictions already have expense-tracking mechanisms in place. · If so, follow expense-tracking mechanisms currently in place by your participating jurisdictions. · If not, establish procedures to create expense-tracking mechanisms to be used by your region during an evacuation. · Consider how expenditures need to be documented in order to receive reimbursement. 6.2 Warning 6.2.1 Command and Control 6.2.1-A Determine how evacuation orders can be amended or revised as a situation develops. · Identify who will have the authority to do so. · Reference ESF 2 6.2.1-B Establish procedures that allow for regularly scheduled evaluations of response tactics and levels once an incident occurs. · Follow procedures established under item 5.4, Inter-Agency Communications Systems and Procedures, to notify relevant agencies/jurisdictions of any changes. · Establish procedures so that decisionmakers receive regular briefings about incident status and characteristics. 6.2.2 Planning 6.2.2-A Determine the factors involved with identifying the size of an area to be evacuated and how many people will be affected. · Refer to item 4.2, Likely Hazards of Note for Region. · Refer to item 1.2.2, Potential Evacuation Populations. 6.2.2-B Determine the agencies/jurisdictions/organizations that need to be informed if an evacuation order is issued. Considerations include: · Agencies/jurisdictions/organizations from which you will require assistance · Agencies/jurisdictions/organizations with which you have mutual aid agreements/contracts · Agencies/jurisdictions/organizations that operate shelters · Agencies/jurisdictions/organizations that can assist with evacuating populations with access and functional needs 6.2.2-C Determine the types of warning messages that may be used to inform the public of an incident and possible evacuation. · Identify the information that will be included as part of the warning message.

6.2.2-D Determine how far in advance of an evacuation order warning messages must be released. · Create pre-scripted messages for use during a no-notice incident. · Establish verification procedures for warning messages. 6.2.2-E Determine the modes of communication that can be used to inform the public of an evacuation order. · Refer to item 5.5, Public Communications. 6.2.3 Operations 6.2.3-A Determine which officer/agency will broadcast the evacuation notifications to the public using the selected methods. · Address provisions for population groups with special communications-related needs (e.g., sight- or hearing-impaired, non-English speaking, groups without access to common media). · Refer to item 5.5, Public Communications. 6.2.4 Logistics 6.2.4-A Determine communications systems (reverse 911, HAR, etc.) that can be used to broadcast the evacuation notice. 6.2.4-B Determine media companies (television, radio) that can be used to broadcast the evacuation notice. 6.3 Preparation to Move 6.3.1 Command and Control 6.3.1-A Determine how evacuation orders can be amended or revised as a situation develops. · Identify who will have the authority to do so. · Follow procedures established under item 5.4, Inter-Agency Communications Systems and Procedures, to notify relevant agencies/jurisdictions of any changes. 6.3.1-B Establish procedures that allow for regularly scheduled evaluations of response tactics and levels once an incident occurs. · Follow procedures established under item 5.4, Inter-Agency Communications Systems and Procedures, to notify relevant agencies/jurisdictions of any changes. · Establish procedures so that decisionmakers receive regular briefings about incident status and characteristics. 6.3.2 Planning 6.3.2-A Establish procedures to review incident-specific information that will allow for a determination of the geographic areas and populations to be evacuated. · Consider information gathered under item 6.2.2, Planning. 6.3.2-B Identify the provisions needed to close schools and businesses in the at-risk area. · Determine how these decisions will be announced.

6.3.2-C Establish procedures for conducting assessments of transportation infrastructure in the immediate aftermath of an incident. Determine which safety considerations are relevant to potential evacuation routes. · Is the infrastructure safe for immediate use? · If infrastructure is deemed unsafe, are there any short-term solutions that can be put in place in order to still utilize infrastructure? · In instances where transportation infrastructure is unusable, how will this information be communicated to the public? 6.3.2-D Establish procedures for testing communication methods in the immediate aftermath of an incident. · Determine which means of communication are still available to your region. · Determine the agency responsible for bringing downed communication infrastructure back on-line. · Establish procedures to ensure that all involved jurisdictions/agencies are given real-time updates as to which communication methods may be used. Refer to item 5.4, Inter-Agency Communications Systems and Procedures. 6.3.2-E Identify primary and secondary rally points to be used by your region in the event of an evacuation. Points to consider include: · Capacity to hold large amounts of people · Ability for modes of transportation (e.g., buses) to maneuver · Ability for multiple modes to intersect and transfer (if applicable for your region, e.g., bus to rail) · Provision of temporary shelter from the elements 6.3.2-F Determine whether your participating jurisdictions must enter into a contract with the owners/operators of rally points in order to use them during an evacuation. 6.3.2-G Identify locations within your region that are suitable shelters. Considerations include but are not limited to: · Capacity of shelter · Type of shelter (e.g., temporary emergency: hours; short-term: days; long-term: weeks) · Animal-friendly (e.g., service animals/pets) · Ability to shelter populations with access and functional needs, including those requiring medical attention · Proximity to evacuation routes · Location of shelter (e.g., outside floodplain/known area of risk from identified hazards) (Refer to item 4.2, Likely Hazards of Note for Region) 6.3.2-H Determine the facilities provided by shelters capable of housing populations with access and functional needs. These will be general population shelters, but may need to have generators for those who need to recharge durable medical equipment, may need raised cots, and may need additional space per person to accommodate service animals and durable medical equipment. May need quiet areas for people with cognitive disabilities as well as safe areas for children to play. · Determine the total capacity of these shelters in comparison to the anticipated population sizes. 6.3.2-I Determine the total capacity of shelters willing to accept service animals and pets in comparison to the anticipated animal population. 6.3.2-J Determine whether your participating jurisdictions (or the regional entity) must enter into a contract with the owners/operators of shelter locations in order to use them during an evacuation. 6.3.2-K Identify outside organizations (e.g., American Red Cross) that may be able to assist with and/or operate shelters.

6.3.2-L Identify locations outside your region that are suitable shelters. · Reach out to neighboring jurisdictions. · Establish, where appropriate, mutual aid agreements/contracts for the use of those sites. 6.3.2-M Identify locations that may be suitable non-public shelters (e.g., hotels). · Establish procedures for conducting outreach to non-public shelters. · Determine how the availability of these sites will be communicated to the public. Refer to item 5.5, Public Communications, for how best to communicate this information to the public. 6.3.2-N Identify private facilities (e.g., hotels, universities, convention centers, etc.) able to provide sufficient space to house the worst-case estimate for the number of evacuees requiring shelter. · Establish, where appropriate, mutual aid agreements/contracts for the use of those sites. 6.3.2-O Identify locations both within and outside your region that are suitable drop-off points. · Establish, where appropriate, mutual aid agreements/contracts for the use of those sites. 6.3.2-P Determine whether your participating jurisdictions or the regional entity must enter into a contract with the owners/operators of drop-off point locations in order to use them during an evacuation effort. 6.3.3 Operations 6.3.3-A Determine the types of transportation modes that can be used in your region during an evacuation. Examples include: · Pedestrian-only (where do evacuees walk, e.g., outside designated hot zone; rally points to region transportation; designated pedestrian routes) · Vehicular (use of personal vehicles and/or transit vehicles) · Public transit vehicles – bus, light rail, heavy rail (subway), commuter trains, people movers, other · School buses · Paratransit vehicles · Ambulances · School buses converted to transport people in wheelchairs or on stretchers · Taxis · Non-government agency vehicles (e.g., church buses and volunteer group vehicles) · Over-the-road coaches, charter buses · Trains (e.g., Amtrak or regional train services) · Ferries and other boats · Planes (commercial and private), helicopters · Multi-modal · Evacuees needing transportation assistance walk to, take public transit, or are transported to a rally point (intermodal center or other designated location) · Evacuees are registered prior to transport · Evacuees are transported (with family members, care givers, service animals, support equipment, such as scooters, pets, and belongings, as applicable to the individual and according to published guidelines) to destination shelters via one or more modes

6.3.3-B Include provisions for selecting evacuation routes. · Determine the criteria that will be used to select the routes. · Identify the potential vulnerabilities and choke points on the evacuation routes. · Establish procedures for including evacuation routes as part of the evacuation plan. 6.3.3-C Determine the best way to designate and mark evacuation routes. · Refer to item 5.5, Public Communications, for how best to communicate this information to the public. 6.3.3-D Identify potential traffic management tactics to be used to increase capacity and travel speed on designated evacuation routes. Examples include, but are not limited to: · Closing parking garages (to prevent the use of personal vehicles) · Adjustments to traffic signal timing · Adjustments to lane usage (e.g., where inbound and outbound lane markings vary by time of day with arrows and Xs) · Making selected arterial or collector streets one-way (can be practiced with planned special events) · Emergency restrictions on parking along evacuation routes with towing of vehicles to clear routes · Clearing road construction/maintenance sites where feasible (depending on construction/maintenance status) · Diverting some traffic to an alternate parallel route prior to a lane drop · Law enforcement personnel performing traffic control at key intersections · Closing specific on-ramps and/or off-ramps 6.3.3-E Consider contraflow as a traffic management tactic in situations where time allows. · Determine if it is a viable option for one or more routes given the configuration and resource requirements. · Consider whether reserving one or more contraflow lanes for buses, other high-occupancy vehicles, including paratransit vehicles and ambulances (all with trained operators), could improve operations. · Establish procedures that require agencies to test and practice implementing contraflow techniques. · Determine how the public will be informed of contraflow plans (e.g., start and end times). Refer to item 5.5, Public Communications, for how best to communicate this information to the public. · Establish procedures to communicate and coordinate contraflow operations with neighboring jurisdictions. 6.3.3-F Identify critical intersections and other points along evacuation routes likely to be potential bottleneck sources. Examples include: · Railroad crossings · Bridges · Major intersections · On/off ramps · Lane drops (e.g., where a roadway drops from 4 lanes to 3 lanes, etc.) 6.3.3-G Establish procedures to monitor/staff bottleneck areas, where appropriate. 6.3.3-H Identify the tools that will be used (e.g., traffic control devices, including ITS) to support traffic management efforts. 6.3.3-I Identify the resources needed to support evacuation routes. These resources will be listed in the evacuation plan. · Determine what associated information (e.g., controlling agency, geographic location, etc.) will be included.

· Refer to item 7.1, Resource Management. 6.3.3-J Determine how transportation resources will be obtained, managed, and coordinated. · Identify the agencies best positioned to accomplish this. 6.3.3-K Determine if standby contracts exist (e.g., motor coach companies, paratransit providers, ambulance companies, railroads, air carriers, etc.) to obtain operators and equipment to address identified transportation shortfalls. 6.3.3-L Identify the decision points/triggers for activating rally points. · Determine who needs to be informed that rally points will be activated. · Determine the staffing levels required to operate rally points. · Include provisions for notifying and coordinating with host communities and non-governmental organizations about rally point activation and operations. 6.3.3-M Identify the decision points/triggers for activating shelters. · Determine who needs to be informed that shelters will be activated. · Determine who will activate and staff the shelters. · Include provisions for notifying and coordinating with host communities and non-governmental organizations about shelter activation and operations. 6.3.3-N Determine whether travel routes to shelters will be marked. Questions to consider include: · How will evacuees travelling on their own accord (non-public modes of transportation) know how to get to the shelters? · Will regional personnel staff shelter routes? 6.3.3-O Identify the decision points/triggers for activating drop-off points. · Determine who needs to be informed that drop-off points will be used. · Determine the staffing levels required to operate drop-off points. · Include provisions for notifying and coordinating with host communities and non-governmental organizations about drop-off points operations. 6.3.3-P Establish procedures for activating the communications systems for first responders and field personnel. · Refer to item 5.4, Inter-Agency Communications Systems and Procedures. 6.3.3-Q Establish procedures for assisting populations with access and functional needs to evacuate. · Determine which community outreach agencies are most appropriate to coordinate with about transporting these populations. · Refer to item 1.2.2, Potential Evacuation Populations, for information gathered on your region’s population that has access and functional needs. 6.3.3-R Include provisions for movement of required assist devices such as wheelchairs, scooters, life support systems, service animals, and communication equipment. · Determine what policies are needed with respect to bringing the aforementioned items on board transit vehicles, planes, helicopters, etc.

6.3.3-S Determine the method(s) of communication that can be used to broadcast route and destination information to the general public. · Refer to item 5.5, Public Communications. 6.3.3-T Determine what type of information will be broadcast to the public about evacuation routes and destinations. Examples include: · Viable evacuation routes · Location of shelters, rally points, and drop-off points · Shelter capacities · Available services (e.g., food, fuel, rest stations) along destination routes · Traffic reports 6.3.3-U Determine whether protective action choices may be available and appropriate to manage travel demand, ease traffic congestion, and improve public safety. · Phased evacuation (e.g., staggered release of employees; or staged clearance of neighborhoods and areas, beginning with those most in danger; or early evacuation of facilities, such as nursing homes) · Limited evacuation · Shelter-in-place 6.3.4 Logistics 6.3.4-A Establish procedures for tracking resources during the entire duration of an evacuation operation. · Track resources from when they are mobilized until they are demobilized and returned to the controlling agency. · Use ICS protocols set forth in ICS 300: Intermediate ICS for Expanding Incidents, Unit 6, to track resources during actual evacuation operations. 6.3.4-B Establish procedures for determining when traffic management staff and assets will be deployed. · Determine how these decisions may be broadcasted to relevant jurisdictions and agencies. 6.3.4-C Establish procedures for determining when shelter staff and assets will be deployed. · Determine how these decisions may be broadcast to relevant jurisdictions and agencies. 6.3.5 Finance 6.3.5-A Confirm whether your participating jurisdictions already have expense-tracking mechanisms in place. If so, follow expense-tracking mechanisms currently in place by your participating jurisdictions. If not, follow the procedures for expense-tracking mechanisms established in item 6.1.5-A. Consider how expenditures need to be documented in order to receive reimbursement. 6.4 Movement and En-Route Support 6.4.1 Command and Control 6.4.1-A Determine how evacuation orders can be amended or revised as a situation develops. · Identify who will have the authority to do so. · Follow procedures established under Item 5.4, Inter-Agency Communications Systems and Procedures, to notify relevant agencies/jurisdictions of any changes.

6.4.1-B Establish procedures that allow for regularly scheduled evaluations of response tactics and levels once an incident occurs. · Follow procedures established under Item 5.4, Inter-Agency Communications Systems and Procedures to notify relevant agencies/jurisdictions of any changes. · Establish procedures so that decisionmakers receive regular briefings about incident status and characteristics. 6.4.2 Planning 6.4.2-A Determine how obstacles (e.g., traffic accidents, infrastructure damage, and debris) on the designated evacuation routes will be identified and resolved during the evacuation movement. · Identify the agencies responsible for monitoring the routes. · Identify existing and planned monitoring systems that can be used. · Identify the agencies and equipment that will be used to clear any obstacles. 6.4.3 Operations 6.4.3-A Identify who has the legal authority to authorize measures that will facilitate traffic movement (e.g., the suspension of toll collections, locking down drawbridges). · Create procedures for how these individuals will be notified if such measures need to be instituted. · Establish procedures for communicating these measures to field personnel. 6.4.3-B Determine how operational adjustments may be used to maximize throughput on the evacuation routes. · See item 6.3.3, Operations, for information about traffic management tactics. 6.4.3-C Determine how evacuation operations of motorized transport, rail, air, water, and other modes of transportation may be monitored to determine the adequacy of available resources. · Identify the agency responsible for monitoring resource requirements and availability. 6.4.3-D Determine what technology systems and protocols are available to monitor traffic conditions on the selected evacuation routes. · Determine the best way to share this information with relevant agencies. 6.4.3-E Identify inbound/outbound routes that may be dedicated for emergency response vehicles. · Determine how the dedicated routes will be marked/staffed so citizens will be aware that these routes are not available for use during an evacuation. · Consider the resources required to mark/staff emergency response routes. Refer to item 7.1, Resource Management, for information on requesting resources.

6.4.3-F Identify routes that may be dedicated for pedestrians only. · Determine how pedestrian-only routes will be marked/staffed so citizens will be aware that these routes are for use during an evacuation. · Determine how pedestrian-only routes will be marked/staffed so citizens relying on vehicular modes of transportation will be aware that these routes are not for use during an evacuation. · Consider the resources required to mark/staff pedestrian-only routes. Refer to item 7.1, Resource Management, for information on requesting resources. 6.4.3-G Determine which agency is responsible for sweeping the affected area(s) being evacuated. · Establish procedures that dictate the type of information that will be shared with evacuees during an area sweep. · Establish procedures for personnel sweeping the area to follow if it is determined an evacuee needs special assistance to evacuate. 6.4.3-H Review procedures established under item 5.5, Public Communications, for the best ways to broadcast ongoing information/updates to evacuees and the public. Information will include: · Incident status · Updated evacuation routes · Road closures · Traffic conditions · Shelter locations and capacities · Weather conditions 6.4.3-I Determine the possible areas within your region that may require a law enforcement presence to help establish and maintain order during evacuation operations. Examples include: · Along evacuation routes · Major intersections · Within evacuated area · Rally points · On public transportation being used to transport evacuees · Shelters 6.4.3-J Establish procedures to determine appropriate staffing levels required for the full activation of rally points. · Refer to item 6.3.2, Planning, for information on rally point identification. · Reach out to appropriate jurisdictions/agencies if staffing levels may exceed internal capabilities. Refer to item 7.2, Supportive Agreements. · Establish procedures to provide personnel located at rally points up-to-date evacuation information in order to ensure their effective communication with the evacuees at the rally points. 6.4.3-K Incorporate current Hazmat procedures into the evacuation plan for response to incidents involving hazardous materials. · Verify the appropriate levels of personal protective equipment (PPE) required. 6.4.3-L Determine the legal authority your participating jurisdictions have, if any, to forcibly quarantine citizens. 6.4.3-M Establish procedures for activating/setting up a quarantined location for populations exposed to the hazard, within the legal scope of your participating jurisdictions.

6.4.3-N Incorporate current decontamination procedures into the evacuation plan for response to incidents involving hazardous materials. · Identify the location(s) of decontamination equipment. · Identify the number of law enforcement personnel required to provide control of hot zones. 6.4.3-O Determine how information will be communicated to citizens about the nature of the Hazmat incident, specifically to those individuals requiring decontamination. · Consider the increased levels of fear and uncertainty on behalf of the public due to the often negative and terrifying connotation of certain contaminants. 6.4.4 Logistics 6.4.4-A Establish procedures for how transportation agencies will identify the numbers and locations of available vehicles if transportation must be provided to the public. · Factor this information into deployment decisions for those vehicles. 6.4.4-B Document any mutual aid agreements or contracts with the private sector for the use of transportation vehicles. Examples include: · Public transit vehicles – bus, light rail, heavy rail (subway), commuter trains, people movers, other · School buses · Paratransit vehicles · Taxis · Non-government agency vehicles (e.g., church buses and volunteer group vehicles) · Over-the-road coaches, charter buses · Trains (e.g., Amtrak or regional train services) · Ferries and other boats · Planes (commercial and private), helicopters 6.4.4-C Address provisions for transporting evacuees, including populations with access and functional needs, to/from rally/destination points. 6.4.4-D Determine if evacuees will be informed of their destination before boarding public transport. 6.4.4-E Determine if the public will be informed of security measures in place so they are not concerned about leaving possessions behind. 6.4.4-F Identify accommodations for the transport of luggage, etc. · Identify any size or quantity limitations. · Determine how evacuees will be informed of these restrictions. 6.4.4-G Establish procedures for the activation of assistance locations (e.g., fuel, water, medical support) at designated points along the evacuation route. · Identify the agencies and private companies that may be able to provide necessary resources. 6.4.4-H Establish procedures to allow for monitoring the availability of food, water, restrooms, fueling stations, and rest stations for evacuees along the evacuation routes throughout the course of an evacuation. 6.4.5 Finance

6.4.5-A Determine whether your participating jurisdictions already have expense-tracking mechanisms in place. · If so, follow expense-tracking mechanisms currently in place by your participating jurisdictions. · If not, follow the expense-tracking mechanism procedures established in item 6.1.5-A to track regional expenses during an evacuation. · Consider how expenditures need to be documented in order to receive reimbursement. 6.5 Reception and Support 6.5.1 Command and Control 6.5.1-A Determine how evacuation orders can be amended or revised as a situation develops. · Identify who will have the authority to do so. · Follow procedures established under item 5.4, Inter-Agency Communications Systems and Procedures, to notify relevant agencies/jurisdictions of any changes. 6.5.1-B Establish procedures that allow for regularly scheduled evaluations of response tactics and levels once an incident occurs. · Follow procedures established under item 5.4, Inter-Agency Communications Systems and Procedures, to notify relevant agencies/jurisdictions of any changes. · Establish procedures so that decisionmakers receive regular briefings about incident status and characteristics. 6.5.2 Planning 6.5.2-A Identify method for predicting number of evacuees traveling to each of the identified shelter locations. 6.5.2-B Identify method for calculating quantities of needed resources, based on predicted population sizes. 6.5.3 Operations 6.5.3-A Establish procedures to determine appropriate staffing levels required for the full activation of shelters, including those able to take in special needs and vulnerable populations. · Refer to item 6.3.2, Planning, for information on shelter identification. · Reach out to appropriate jurisdictions/agencies if staffing levels may exceed internal capabilities. Refer to item 7.2, Supportive Agreements. 6.5.3-B Determine how the public will be made aware of the location of specialty shelters (e.g., animal-friendly, special needs capable). 6.5.3-C Establish procedures to keep shelter information current during an evacuation (e.g., occupancy/capacity rates). · Identify a point of contact to which shelter operators will report information. 6.5.3-D Establish provisions to keep shelter operators informed of the location and status of alternate shelters. 6.5.3-E Establish procedures to provide personnel located at shelters up-to-date evacuation information in order to ensure their effective communication with the evacuees at the shelters.

6.5.3-F Work with shelter operators to establish procedures for registering shelter populations. · Understand the policies and procedures of outside shelter operators. Will they share their list of registered shelter evacuees? Is there information they do not request from shelter evacuees that your participating jurisdictions require? Does your region need to have its own personnel on site to conduct its own registration? · Establish a system for how loved ones may track down family/friends within the shelters. 6.5.3-G Determine whether background checks may be performed legally on shelter evacuees. 6.5.3-H Determine if some shelter populations need to be segregated from other shelter populations, e.g., how will your participating jurisdictions or region keep registered sex offenders away from children? 6.5.3-I Determine how much security may be required at shelter locations. · Identify the agency responsible for providing security. 6.5.4 Logistics 6.5.4-A Identify the specific resources required by shelters, especially those housing vulnerable and populations with access and functional needs. Examples include: · Cots · Food/water · Medicines and medical supplies (e.g., IVs) · Pet food and supplies · Medical personnel (e.g., doctors, nurses, veterinarians) · Translators/interpreters · Mental health professionals 6.5.4-B Ensure your region either has the required shelter resources or has mutual aid agreements/contracts in place for those resources. · Refer to items 7.1, Resource Management and 7.2, Support Agreements. 6.5.4-C Establish procedures for medical staff and supplies to be distributed to the appropriate shelters. · Those shelters housing medically fragile populations will require more medical staff and supplies. · Refer to item 6.3.2, Planning for information on shelter identification and which shelters will house populations with access and functional needs, including medically fragile populations. 6.5.5 Finance 6.5.5-A Determine whether your participating jurisdictions already have expense-tracking mechanisms in place. - If so, follow expense-tracking mechanisms currently in place by your participating jurisdictions. - If not, follow the expense-tracking mechanism procedures established in item 6.1.5-A to track regional expenses during an evacuation. - Consider how expenditures need to be documented in order to receive reimbursement. 6.6 Return 6.6.1 Command and Control

6.6.1-A Determine who within your region has the legal authority to declare evacuation operations complete and allow the public to return to the affected area. · Ensure the person with authority is aware of the steps that must be taken. · Follow procedures established under item 5.4, Inter-Agency Communications Systems and Procedures, to notify relevant agencies/jurisdictions of any changes. 6.6.1-B Establish procedures to determine when the command structure can be deactivated. · Determine who may be involved in this decision. · Ensure deactivation does not occur before shelters are closed. 6.6.2 Planning 6.6.2-A Determine what criteria will be used to determine when it is appropriate to end the evacuation activities and to begin permitting citizens to return to the evacuated area. · Cessation of threat · Safety of evacuated area (structural issues, law enforcement, etc.) · Quality of life (public utilities, etc.) 6.6.2-B Identify what criteria will be used to determine the timing for vacating shelters. · Safety of the evacuated area · Availability of transportation from shelters to the evacuated area 6.6.2-C Determine what transportation options may be available to help relocate evacuees from shelters back to the evacuated area. 6.6.3 Operations 6.6.3-A Establish procedures to notify all evacuation personnel (e.g., emergency management, transportation, support agencies) when the re-entry phase of the evacuation will be implemented. · Refer to item 5.4, Inter-Agency Communications Systems and Procedures, for potential communication methods. 6.6.3-B Determine the factors that will influence a re-entry decision. Considerations include: · Extent of damage to the area(s) where evacuees will return has been assessed. · Businesses are operating. · Public able to obtain basic goods and food. · Outbreaks of disease/any other health/medical issue have been addressed. · Hazardous material spills have been cleaned up. · Utilities are functioning (e.g., water running to the homes/businesses, available electricity). · Evacuation routes are clear of debris and safe for travel. · Public transit systems are operational. · Environmental factors have been assessed. · Injured or deceased persons and animals have been attended to and removed from the area(s). 6.6.3-C Determine whether the evacuation plan will include provisions to transport those evacuees who did not self-evacuate back to their place of residence.

6.6.3-D Determine what transportation options may be available for evacuees returning to the area. · Are there set drop-off points? (Potentially the same as the rally/assembly points, such as intermodal centers with transportation available). Will there be transportation available at the drop off points? Would it be an option to take people directly to their homes? · Will evacuees be provided transportation to leave from the shelters? From other destination points? · How will this information be communicated to the public? 6.6.3-E Determine whether the evacuation plan will include provisions to assist those evacuees who did not self-evacuate in reuniting with family members. 6.6.3-F Establish procedures to determine whether there are any populations that will not be allowed to return due to health/medical or public safety concerns. 6.6.3-G Identify the methods of communication to be used to communicate re-entry procedures with the public. · Refer to item 5.5, Public Communications. 6.6.3-H Determine the types of information that will be communicated to the public about re-entry procedures (e.g., phased re-entry, available routes, timetable, etc.). 6.6.3-I Determine the estimated number of law enforcement personnel required to monitor re-entry. Areas to consider include but are not limited to: · Re-entry routes · Major chokepoints (refer to item 6.3.3, Operations, for a partial list of identified chokepoints) · Shelters · Drop-off points 6.6.3-J Establish procedures for deactivating sheltering facilities. · Determine whether all shelters will close at once or if this will be done in phases. · Ensure that there is always an available shelter for populations with access and functional needs, including medically dependent individuals and animals. 6.6.4 Logistics 6.6.4-A Identify personnel resources and equipment required to support re-entry. · Refer to item 7.1, Resource Management. 6.6.4-B Identify the resources required to transport evacuees back to the affected area. · Refer to item 7.1, Resource Management. 6.6.5 Finance 6.6.5-A Determine whether your participating jurisdictions already have expense-tracking mechanisms in place. · If so, follow expense-tracking mechanisms currently in place by your participating jurisdictions. · If not, follow the expense-tracking mechanism procedures established in item 6.1.5-A to track regional expenses during an evacuation. · Consider how expenditures need to be documented in order to receive reimbursement. 7.0 Administration 7.0-A Determine whether the elements of this section already exist in a previously written plan (e.g., a CEMP), and can simply be included in the evacuation plan by reference.

7.1 Resource Management 7.1-A Determine the resources necessary to perform evacuation operations. · Identify categories of resources based on type and kind. · Identify operational activities that will require specific resources and the quantity for each (e.g., support of evacuation routes). 7.1-B Establish procedures for contacting agencies identified in item 1.2.3, Parties Involved in Planning and Conducting an Evacuation, to determine the resources they may require to perform their role during an evacuation. · Ensure each agency determines its needs and identifies the corresponding resources. 7.1-C Determine which of the preidentified resources your region has in house. · Identify in-house agencies with resources, including a point of contact for each agency. · Collect resource inventories from those agencies. 7.1-D Determine the location and status (availability, state of repair etc.) of in-house resources. 7.1-E Prepare a regionwide inventory of resources required to respond to evacuation operations. Inventory will include, at a minimum, the quantity, location, availability of identified resources, and the controlling agency of each resource. · Establish procedures for updating the inventory on a regular basis. · Determine the agency responsible for updating the inventory. · Determine a point of contact for the resource inventory. 7.1-F Establish protocols to avoid the double counting of resources by multiple agencies. · Refer to the regionwide resource inventory. 7.1-G Address resource gaps. · Identify the gaps between required resources and those resources available within each agency. · Determine the resources that must be obtained from other jurisdictions, organizations, and private-sector companies. · Identify jurisdictions, organizations, and private-sector companies likely to have the required resources necessary to address the resource gaps. · Refer to item 7.2, Supportive Agreements, for information on how to arrange outside resources and support. 7.1-H Determine transportation methods for moving resources. · Identify anticipated origins/destinations. · Identify anticipated vehicle locations and capacities. · Establish procedures for moving resources, including the identification of personnel necessary to physically transport the resources. 7.1-I Establish procedures for tracking resources during the entire duration of an evacuation operation. · Track resources from when they are mobilized until they are demobilized and returned to the controlling agency. · Use ICS protocols set forth in ICS 300: Intermediate ICS for Expanding Incidents, Unit 6, to track resources during actual evacuation operations.

7.2 Supportive Agreements 7.2-A Establish appropriate mutual aid agreements with neighboring jurisdictions to address resource gaps. · Refer to information gathered under item 7.1, Resource Management, for a list of resources not available in house as well as the jurisdictions likely to have the required resources. · Contact jurisdictions with wish lists of required resources. · Establish mutual aid provisions and circumstances. · Prepare and sign mutual aid agreements. 7.2-B Establish appropriate MOUs or contracts with outside organizations and private-sector companies to address resource gaps. · Refer to information gathered under item 7.1, Resource Management, for a list of resources not available in house as well as the organizations and private-sector companies likely to have the required resources. · Contact organizations and private-sector companies with wish lists of required resources. · Establish contract provisions and circumstances. · Prepare and sign MOUs/contracts. 7.2-C Determine if standby contracts exist (e.g., motor coach companies, paratransit providers, ambulance companies, railroads, air carriers, etc.) to obtain operators and equipment to fill identified shortfalls. · Establish procedures for reviewing mutual aid agreements and contracts on a regular basis. 7.3 Emergency Funding Mechanisms 7.3-A Determine what enabling legislation exists for your participating jurisdictions with regard to emergency funding. 7.3-B Ensure the necessary provisions exist within the enabling legislation or appropriate emergency management plan. 7.3-C Determine if any steps need to be taken before your participating jurisdictions or regional entity is able to activate emergency funding mechanisms in response to an incident, e.g., must an authority (mayor, governor, etc.) first declare a state of emergency. 7.4 Post-Evacuation Reimbursement Claims 7.4-A Review whether your participating jurisdictions already have expense-tracking mechanisms in place. · If so, follow expense-tracking mechanisms currently in place by your participating jurisdictions. · If not, follow the expense-tracking mechanism procedures established in item 6.1.5-A to track regional expenses during an evacuation. · Consider how expenditures need to be documented in order to receive reimbursement. 7.4-B Coordinate with county and state officials to determine the information that will be required when submitting compensation cl aims. · Establish procedures for agencies/personnel to follow during an evacuation in order to collect the information required for compensation claim submission. 7.5 Post-Evacuation After-Action Reports

7.5-A Establish procedures to assemble critical data regarding evacuation performance in the aftermath of an evacuation. · Include information gathered from debriefing relevant agencies and staff. · Include information on the integrity of infrastructure needed/used to execute the evacuation (e.g., forensic investigations). 7.5-B Establish procedures to debrief agencies and staff that had any role in the evacuation operation. · Request information on critical successes and failures that occurred during the evacuation. 7.5-C Identify and document any critical successes during the evacuation. 7.5-D Identify and document any failures or breakdown in procedures during the evacuation. 7.5-E Establish procedures to incorporate information gathered from debriefings into an after-action report (AAR). · Ensure the AAR documents lessons learned. · Ensure the AAR documents agreed-upon methods to address performance gaps. 7.5-F Refer to item 8.0, Plan Review and Maintenance, for procedures on how to incorporate information captured by AARs into updated evacuation plan revisions. 8.0 Plan Review and Maintenance 8.0-A Designate an agency (hereinafter called the host agency) within your region to update and maintain the evacuation plan on a regular basis. The host agency: · Must have the resources available to regularly update and maintain the evacuation plan. · Will be responsible for communicating on a regular basis with all agencies and neighboring jurisdictions that will be involved in evacuation operations about all aspects of the evacuation plan. 8.0-B Provide a copy of the evacuation plan to those agencies and neighboring jurisdictions that will have a role during an evacuation. · Refer to the agencies and neighboring jurisdictions previously identified under item 1.2.3, Parties Involved in Planning and Conducting an Evacuation. 8.0-C Establish a timeframe for reviewing the evacuation plan on a regular basis, e.g., quarterly, bi-annually, or annually. 8.0-D Establish procedures to be used during the evacuation plan review process on how each relevant agency/jurisdiction will submit suggested updates/changes of the regional evacuation plan. · Determine the format in which suggestions need to be submitted. · Identify to whom suggestions must be submitted. · Determine how much time agencies/jurisdictions will have to submit suggestions. 8.0-E Require each reviewing agency/jurisdiction to assess whether it met the applicable evacuation plan objectives previously set forth. · Refer to item 1.1, Purpose for Established Objectives and Metrics. · Each agency/jurisdiction will reevaluate the pre-determined performance metrics currently in place. · Suggested changes to performance metrics will be submitted under the guidelines described by the review process. 8.0-F Incorporate relevant information captured by AARs from exercises and live incidents into updated evacuation plan revisions.

8.0-G Determine what process updates/changes will need to go through in order to officially be incorporated into the evacuation plan. · Is there a review committee that decides what suggestions to incorporate? If so, how is the committee selected? How many members on the committee? Majority rules or unanimous decision? Are all votes weighted equally or does it depend on the positions of committee members? · Is it the responsibility of one individual to decide what suggestions to incorporate? If so, identify this individual. 8.0-H Identify the authority (by position) that has the legal power to approve updated revisions of the evacuation plan. 8.0-I Brief the authority on the proposed changes. 8.0-J Distribute revised editions of the plan to all relevant agencies, organizations, and jurisdictions once legally approved. 8.0-K Determine other plans within your region into which elements of the evacuation plan must be integrated. · Refer to plans identified under item 1.2.4, Coordination with Other Plans and Guidance. · Contact those agencies to receive copies of their plans. 8.0-L Determine the plans from outside agencies/jurisdictions in which the evacuation plan must be integrated. · Refer to plans identified under item 1.2.4, Coordination with Other Plans and Guidance. · Contact those outside agencies/jurisdictions to receive copies of their plans. 8.0-M Create a list of points of contact for all plans (both in house and from outside agencies) that must be integrated with the evacuation plan. 8.0-N Review plan integration during the regularly scheduled evacuation plan review process. 9.0 Training and Exercises 9.0-A Identify all agencies and personnel with a role in an evacuation that require training on the evacuation procedures outlined by the evacuation plan. 9.0-B Determine required levels of training for identified personnel. 9.0-C Determine what type(s) of trainings and exercises (e.g., seminar, workshop, tabletop, game, drill, functional or full-scale) your region will hold in order to test evacuation procedures. · Refer to the training/exercise budget of your participating jurisdictions or regional entity. 9.0-D Establish a timeline for conducting the training and exercises once the types and number of exercises has been determined. 9.0-E Conduct an annual review of the exercise and training timeline to ensure it is being followed and to assess whether any schedule changes need to be made. 9.0-F Conduct an after-action conference to receive feedback on the strengths and weaknesses of the exercise once it is held. · Reach out to all exercise participants. · Schedule an after-action conference. · Gather comments and suggestions made at the conference. 9.0-G Distribute the after-action report from an exercise to all exercise participants. 9.0-H Distribute the after-action report from an exercise to all agencies/jurisdictions that will be involved in an evacuation. 9.0-I Incorporate suggestions/changes from the exercise AAR into future exercises.

286 A Guide to Emergency Management at State Transportation Agencies Identify stakeholders pertinent to the region that may collaborate in planning for, responding to, or recovering from a disaster or provide support for a major planned event. Identify local contacts for applicable stakeholder groups. Stakeholders Emergency/ Disaster Planned Event Does Not Apply Comments/ Contact Information Federal Stakeholders: U.S. Department of Transportation (U.S. DOT) FHWA FTA Federal Aviation Administration (FAA) Federal Railroad Administration (FRA) Maritime Administration (MARAD) Pipeline and Hazardous Materials Safety Administration (PHMSA) Federal Motor Carrier Safety Administration (FMCSA) and other U.S. DOT modal admin- istrations as appropriate National Transportation Safety Board (NTSB) Amtrak Department of Homeland Security (DHS) FEMA Transportation Security Administration (TSA) U.S. Coast Guard U.S. Customs and Border Protection Science and technology federal research agencies and national laboratories U.S. Secret Service Health and Human Services (HHS) Centers for Disease Control and Prevention (CDC) Administration on Aging (AoA) Checklist of Potential Stakeholders

Bibliography and Resource Guide 287 Stakeholders Emergency/ Disaster Planned Event Does Not Apply Comments/ Contact Information Agency for Toxic Substances and Disease Registry (ATSDR) Indian Health Service (INS) U.S. Environmental Protection Agency (U.S. EPA) Regional offices Department of Commerce (DOC) National Oceanic and Atmospheric Administration – Catch Sharing Plan DOC-Interstate Commerce-permitting for utility workers and equipment to traverse non-impacted states Department of Defense (DOD)—all branches Department of Justice Federal Bureau of Investigation Americans with Disabilities Act enforcement National Organizations American Association of State Highway Transportation Officials (AASHTO) AASHTO Special Committee on Transportation Security and Emergency Management (SCOTSEM) American Public Transportation Association (APTA) Association of Metropolitan Planning Associations (AMPO) American Planning Association (APA)— transportation sub-group Business Civic Leadership Center

288 A Guide to Emergency Management at State Transportation Agencies Stakeholders Emergency/ Disaster Planned Event Does Not Apply Comments/ Contact Information (BCLC)—affiliate of U.S. Chamber of Commerce focused on business/government partnerships for emergencies Business Executives for National Security (BENS) National Association of Regional Councils (NARC) National Association of Development Organizations (NADO) (rural focus) National Traffic Incident Management Coalition (NTIMC) National Motor Freight Association (NMFA) National Freight Transportation Association (NFTA) Freight forwarders associations [e.g., Air Freight Forwarders Association (AFFA)] National Association of Port Authorities (AAPA) Association of American Railroads (AAR) American Shortline and Regional Railroad Association (ASLRRA) American Bus Association (ABA) American Trucking Association (ATA) American Waterways Operators (AWO) Inland Rivers, Ports & Terminals Association (IRPTA) Gulf Intercostal Canal Association (GICA) Retail Industry Leaders Association (RILA) National Emergency Management Organizations International Association

Bibliography and Resource Guide 289 Stakeholders Emergency/ Disaster Planned Event Does Not Apply Comments/ Contact Information of Emergency Managers (IAEM) Disaster Training schools and consortia, e.g., Emergency Management Institute (EMI), National Disaster Preparedness Training Center (NDPTC), Texas Engineering Extension Service (TEEX) National Emergency Management Association (NEMA) National Fire Protection Association (NFPA) National Emergency Medical Services Association (NEMSA) National Alliance for State Animal and Agricultural Emergency Programs (NASAAEP) National Non- Governmental Organizations (NGOs) (with local chapters) American Red Cross United Way (211 services) Assisted Living Federation of America (ALFA) Independent Living Centers American Association of Retired Persons (AARP) Faith-Based Organizations (e.g., Salvation Army, Catholic Charities) Non-Profit Organizations with a niche focus on emergency management, e.g., Easter Seals (disabled community); Save the Children (caring for children in emergency situations) National Animal Rescue and Sheltering Coalition

290 A Guide to Emergency Management at State Transportation Agencies Stakeholders Emergency/ Disaster Planned Event Does Not Apply Comments/ Contact Information (NARSC) American Veterinary Medical Association (AVMA) Agencies that provide services to people who are blind or have low vision; who are deaf or hard of hearing; who have mobility, sensory, or cognitive limitations; who have no or limited English proficiency; who have low income; and who are very young or very old. State Stakeholders: State DOTs Transportation agencies: highway, airport, transit, freight, maritime, rail Territorial equivalents of transportation agencies Traffic operations offices/Intelligent Transportation Systems (ITS) sections Maintenance Offices Planning: metropolitan, rural, statewide Safety Offices Other State Agencies State planning offices Departments of Environmental Protection (DEP) Other state, territorial, and tribal agencies (including statewide authorities) Department of Health Law Enforcement/ Emergency Services State emergency management offices/Emergency Management Assistance Compact (EMAC) partners Emergency Operations

Bibliography and Resource Guide 291 Stakeholders Emergency/ Disaster Planned Event Does Not Apply Comments/ Contact Information Centers (EOCs)/Joint Telecommunications Centers (JTCs) State Patrols National Guard State Associations: State Rail Associations (AAR) State Trucking Associations (STA, part of ATA) Regional Government/Agencies: Metropolitan Planning Organizations (MPOs) and Regional Planning Commissions(RPCs) Rural Planning Organizations (RPOs) Tribal Planning Organizations. Tribal transportation planning organizations (often part of state DOTs) Traffic Management Centers (TMCs) Fusion Centers Emergency Operations Centers (EOCs): State, regional, and/or local Bi-state authorities, such as Expressway Authorities Local Government Agencies: City and County Public Works departments Traffic engineering departments Planning, land use, and transport (through MPOs) Transit agencies, both public and private, including school buses Law Enforcement/ Emergency Services Law enforcement (police and sheriffs) Fire and rescue

292 A Guide to Emergency Management at State Transportation Agencies Stakeholders Emergency/ Disaster Planned Event Does Not Apply Comments/ Contact Information Emergency Medical Services (EMS) Medical examiners/ coroners Hazmat services Dispatch services Public health Utilities: Water departments Wastewater departments Gas and electric power companies Communications companies Private Companies: Towing and recovery operators Towing and barge owners and operators Heavy equipment owners and operators Hazardous Materials (HAZMAT) Contractors Motor carrier companies Insurance Companies Traffic media Livery (rail and freight) Paratransit service providers Air freight/air charter Other Local Community Organizations: Community Emergency Response Teams (CERT) Volunteer Organizations Active in Disasters (VOAD) United We Ride (UWR), mandated collaboration for transportation services between social service providers Chambers of Commerce Citizens’ and neighborhood groups Local livestock associations (e.g., Cattlemen’s

Bibliography and Resource Guide 293 Stakeholders Emergency/ Disaster Planned Event Does Not Apply Comments/ Contact Information Association) Local animal rescue/ shelter organizations Community-Based Organizations (CBOs) (e.g., food banks, multi- cultural chambers of commerce, and community centers) Transportation Sector: Trucking associations Freight rail operators Technical Societies (ITS State Chapter, State Section Institute of Transportation Engineers (ITE)) Automobile associations Event/Sports Venues: Venues Arenas Stadiums NASCAR and other racing Field sport (e.g., soccer/baseball) complexes Golf courses Designated Venues Major League Baseball playoffs, World Series, All-Star games National Football League Super Bowl Professional Golf Association and Ladies Professional Golf Association (major tournaments, e.g., U.S. Open) NASCAR races Operation Sail Major League Soccer Championship National level conventions

294 A Guide to Emergency Management at State Transportation Agencies In advance, tally the numbers of each resource that could be available for a disaster, emergency, or significant event. Use comments column to note any concerns about accessing the resource, confirmed availability, additional needs, etc. Resources Number of Assets Status Emergency Disaster Planned Event Does Not Apply Comments/ Contact Information Department of Transportation Equipment and assets Barricades Emergency Management Agency (EMA) units for interoperable communication Fixed traffic cameras that feed into the Emergency Operations Center (EOC) Installations at selected sites that can be activated as needed Laptops to control fixed camera tilt, zoom, and timing Mobile units to cover dead zones Portable units for network operations Real-time traffic counters Reflector cones Traffic control equipment Variable Message Signs (VMS) – permanent and portable Situational awareness Flow maps for traffic capacity and time GIS maps Laser Imaging Defining Radar (LIDR), a mapping system that collects elevation information and is tied with the flood stage Transportation Checklist of Transportation Resources

Bibliography and Resource Guide 295 Resources Number of Assets Status Emergency Disaster Planned Event Does Not Apply Comments/ Contact Information Management Centers (TMCs) Security cameras for critical infrastructure Intrusion detection systems for critical infrastructure (e.g., bridges, hatches, control centers) Management Communication: intra- agency, interagency, and external with the public: • WebEOC or similar software program • Website and other electronic communication • Satellite phones Evacuation maps (updated annually) Strategies, e.g., toll waive policy, reverse lanes, traffic management (e.g., turn prohibitions) Personnel ICS training NIMS compliance First responder standard ID Maintenance personnel Mid-level staff or administrative staff to sit in the EOC National Guard to assist with traffic control, security, crowd control Operations personnel in the EOC People at barricades Person in the field to assess actual conditions and remain in contact with the EOC Traffic officers at key intersections Routes

296 A Guide to Emergency Management at State Transportation Agencies Resources Number of Assets Status Emergency Disaster Planned Event Does Not Apply Comments/ Contact Information Arterial roads Freeways Highways: interstate, federal, state, and county Bridges Tunnels Rail lines Waterways Vehicles DOT and police SUVs with cameras Heavy equipment, e.g., earth movers, backhoes, bulldozers (may be through contractors), debris removal, reconstruction Mobile command centers Police helicopters with cameras Snow plows, other snow removal equipment Trucks equipped with radios Vehicles equipped with reflector cones and VMS in the field Vehicles equipped for hazmat response Emergency Management Equipment and Assets NTAS/Reverse 9-1-1® emergency alert notification Event radio channels to communicate with people in field Hardwired, secure telephone lines with direct links to regional municipalities Voice Interoperable Program for Emergency Response

Bibliography and Resource Guide 297 Resources Number of Assets Status Emergency Disaster Planned Event Does Not Apply Comments/ Contact Information (VIPER) on mobile phones on same frequency Situational Awareness Satellite phones Critical infrastructure adjacent to facilities Maps of hurricane and surge zones, flood zones, wildfires, etc. Registry for access and functional needs populations, medical special needs, pets, livestock – updated bi- annually State Medical Asset Resource and Tracking Tool, a web-based tool to track hospital bed count daily Trigger points and evacuation timeline Management Web EOC, E-team Annual county inventory of medical special needs/fragile populations and available ambulances Annual inventory of resources in counties not at risk Clearly defined roles and responsibilities for all agencies participating in the evacuation Gap analysis between number of vehicles available and number needed for evacuation List of vehicles in county available for evacuation Private Assets Logistics Management (PALM) system that manages private sector assets that can be accessed

298 A Guide to Emergency Management at State Transportation Agencies Resources Number of Assets Status Emergency Disaster Planned Event Does Not Apply Comments/ Contact Information during an evacuation Standard Operating Guidelines (SOG), updated every two years Statewide mutual aid agreements for ambulances WebEOC Personnel ICS training NIMS compliance First responder standard ID Contacts in other agencies for real-time information EM personnel in EOC with decision making authority State Incident Management Team available to help counties with evacuation Logistics staff to coordinate resources and resource requests Personnel to update registry information Vehicles Ambulances (basic life support, advanced life support, bariatric) – private and public Para transit vehicles EM vehicles Fire department vehicles School buses for areas without mass transit Metropolitan Planning Organization/ Council of Governments (MPO/COG) Situational Awareness/ Data

Bibliography and Resource Guide 299 Resources Number of Assets Status Emergency Disaster Planned Event Does Not Apply Comments/ Contact Information 511 service operated by state to provide updates on state and interstate highways 211/311 non-emergency numbers Digital warehouse- demographic, land use, traffic data GIS maps Mapping tool to provide: information to evaluate placement of law enforcement and equipment Weather information Hurricane tracking Traffic flow information, including contra flow map Modeling capabilities Evacuation models by zip code, traffic analysis zone/neighborhood, city, county, or state Hurricane models Monitoring of blue tooth numbers/other probe data to monitor traffic flow Reliable data from traffic cameras Management Centralized Traffic Operations Center (TOC) Convening leaders of different agencies to discuss evacuation plans Funding coordination Study to help public information officers access functional needs populations Personnel

300 A Guide to Emergency Management at State Transportation Agencies Resources Number of Assets Status Emergency Disaster Planned Event Does Not Apply Comments/ Contact Information Staff support to committees for planning and after-action reviews GIS Staff Transit Agency and Other Transportation Providers Equipment and Assets Evacuation route signage Generators at transit facilities GPS on buses Meters in stations to count number of people allowed into stations Parking lots where stalled vehicles can be towed Queue ropes Radios on buses Subway Stations (both non-accessible and ADA accessible) Situational Awareness Assessment to identify number of people who need assistance to evacuate from special facilities, their physical characteristics (e.g., ambulatory, able to transfer from wheelchair to bus seat, needs wheelchair, needs stretcher) and the type of vehicle they need Estimates of time required to load and unload buses, drive to destination, and return Hyper alert application for mobile phones to alert staff and operators Drivers/operators as real-time view of roadway status, people’s

Bibliography and Resource Guide 301 Resources Number of Assets Status Emergency Disaster Planned Event Does Not Apply Comments/ Contact Information status and needs Joint Rail Control Center Maps for drivers (e.g., to off-site bus storage areas, pickup, transfer, and drop off points) Management 3-1-1 System to coordinate requests for evacuation transportation Communication – Internal, interagency, and external • Employee preparedness letters • Social media • Subscription service • Website Credentials/identification for all personnel Designated pickup and transfer points Documents to track assets and operators’ hours Off-site vehicle storage Registry (2-1-1, access and functional needs, medical special needs) Shelter for transit facility personnel Signal systems Software that integrates resource requests with reimbursement Transportation resources database to track vehicle status WebEOC Personnel ICS training NIMS compliance First responder standard ID Dispatcher

302 A Guide to Emergency Management at State Transportation Agencies Resources Number of Assets Status Emergency Disaster Planned Event Does Not Apply Comments/ Contact Information Drivers Law Enforcement Transit personnel assigned to EOC Transit personnel to track vehicles and number of evacuees (if an evacuation event) Vehicles Arterial roads Freeways Highways: interstate, federal, state, and county Bridges Tunnels Rail lines Waterways Vehicles Buses: Numbers, sizes, capacities (regular seats), capacity (wheel chairs), lift equipped, axle height (for flooding), turning radius (for suitability for neighborhoods), fuel type (e.g., natural gases buses will have limited range outside normal fueling radius) Paratransit vehicles: number, capacity for wheelchairs, regular seats Rail vehicles: subway capacity, constraints (e.g., cannot operate if power is out) Street cars: same information as subways Commuter rail: same information as subways, dual power? Private Sector Partners – Business, Utilities,

Bibliography and Resource Guide 303 Resources Number of Assets Status Emergency Disaster Planned Event Does Not Apply Comments/ Contact Information Communications, Owner, and Operators of Critical Infrastructure Equipment and Assets Situational Awareness/ Intelligence Management Personnel Routes Community- based/Faith-based Organizations (CBOs/FBOs) Equipment and Assets Situational Awareness/ Intelligence Management Personnel Routes

304 A Guide to Emergency Management at State Transportation Agencies In conjunction with other training guidance, use this document as a high-level checklist to carry out the exercise program. Resources: 1. TCRP Report 86/NCHRP Report 525, Volume 9: Guidelines for Transportation Emergency Training Exercises 2. FEMA Training: Homeland Security Exercise Evaluation Program (HSEEP) STRATEGIES STATUS Initiate exercise program management by developing and executing an exercise program. 1. Multi-year training and exercise program planning (planned exercises on specific dates). 2. Planning and executing individual exercises. 3. Tracking improvements. Develop exercise documentation - Exercise documents are the most tangible elements of design and development. Different exercise types require different documentation. They may range from simple sign-in sheets to media releases and exercise evaluation guides. 1. Situation manual - A situation manual (SITMAN) is the participant handbook for discussion-based exercises. It provides background information on the scope, schedule, and objectives for the exercise. It also presents the scenario narrative for participant discussions during the exercise. 2. Exercise plan - The exercise plan (EXPLAN) is the participant handbook for operations-based exercises. The EXPLAN provides controllers, evaluators, players, and observers with information, such as the exercise purpose, scope, objectives, and logistical information. 3. Controller evaluator handbook - Controller evaluator (C/E) handbooks supplement EXPLANs for operations-based exercises. The C/E handbook contains information in more detail about the exercise scenario and guides controllers and evaluators in their roles and responsibilities. 4. Master Scenario Events List - The Master Scenario Events List contains a chronological listing of the events and injects that drive operations-based exercise play. 5. Exercise Evaluation Guides - Exercise Evaluation Guides (EEGs) provide evaluators with a checklist of critical tasks to be completed by participants during an exercise. EEGs contain the information to Checklist of Strategies to Exercise Regional Transportation Plan for Disasters, Emergencies, and Significant Events

Bibliography and Resource Guide 305 be discussed by participants, space to record evaluator observations, and questions to consider after the exercise. Develop the evaluation of the exercise that assesses performance on three levels: 1. Task level – Assesses the ability of individual players or teams to perform a required task during an exercise. 2. Organization level – Assesses the ability of an organization, discipline, or function to perform its role in responding to an event. 3. Mission level – Assesses the ability of the intergovernmental community as a whole within the region to achieve expected outcomes in responding to an event. Develop a structured testing schedule. Testing should occur at least annually for an entire organization. All new incoming employees should be briefed on the plan or should take full training if they will be directly involved in emergency events. Determine which target groups will be included in the testing of plans. First responders Emergency management personnel New hire employees Existing employees General public Private sector representatives Decide which type of exercise should be used to test the plan. Discussion-based exercise? (Centers on participant discussion.) Operations-based exercise? (Focuses on action-oriented activities such as deployment of resources and personnel.) Design the format of the exercise. A seminar: an informal discussion-based exercise led by a presenter or facilitator, used to teach or orient participants. A workshop: A formal discussion-based exercise led by a facilitator or presenter, used to build or achieve a product. A tabletop exercise: This type involves senior staff, elected or appointed officials, or other key personnel in an informal group discussion centered on a hypothetical scenario. A game: A simulation of operations using rules, data, and procedures designed to depict an actual or assumed real-life situation. A drill: A supervised activity that tests a specific operation or function of a single agency. A functional exercise: A single or multi-agency activity designed to evaluate capabilities and multiple functions using simulated response. A full-scale exercise: A high-stress multi-agency, multijurisdictional activity involving actual deployment of resources in a coordinated response, as if a real incident had occurred.

306 A Guide to Emergency Management at State Transportation Agencies Appendix A5: Templates Agency Resources Contact Sheet Template RESOURCES Area Engineer Phone No. Area Supt. Phone No. Area Super. Phone No. Sub-Area Super. Phone No. Equipment Pickups Bucket Trucks Loaders Flashing Light Trailers Backhoes Variable Message Boards Water Trucks Type III Barricades Trucks Water Pumps Graders Chainsaws Bobcat Equipment Trailer Concrete Safety Barrier Employee Radio Call Number Cell Phone Number

Bibliography and Resource Guide 307 Organization Agency/Sub-Organization POC Name Position Title Email Telephone INTERNAL Homeland Security Coordinator Emergency Management Coordinator ESF-1 Coordinator District Contacts District A District B [continue list as necessary] FEDERAL GOVERNMENT U.S. Department of Transportation (U.S. DOT) Federal Highway Administration (FHWA) Local FHWA Contact Federal Motor Carrier Safety Administration Surface Transportation Board Pipeline and Hazardous Materials Safety Admin. U.S. Department of Homeland Security (USDHS) Office of Infrastructure Protection Protective Security Advisor TSA, Highway and Motor Carriers Division U.S. Army Corps of Engineers Division A District A District B U.S. Coast Guard District A District B Federal Aviation Administration (FAA) Federal Bureau of Investigation

308 A Guide to Emergency Management at State Transportation Agencies (FBI) Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) [continue list as necessary] INTERSTATE State A DOT Other organization as appropriate State B DOT Other organization as appropriate [continue list as necessary] STATE State Homeland Security Agency State Emergency Management Agency State Senior Security Advisor DOT’s Partner Agencies at the State Level Agency 1 (enter title) Agency 2 (enter title) Agency 3 (enter title) [continue list as necessary] Turnpike Authority State Police/Highway Patrol Law Enforcement National Guard Health Agency [continue list as necessary] LOCAL County/Parish A Sheriff's Office Entity Engineer

Bibliography and Resource Guide 309 Fire Department Chief Executive's Office Highway Department [continue list as necessary] Municipality A Law Enforcement Organization(s) Transportation Department Fire Department [continue list as necessary] Local Airports Airport A Airport B Airport C [continue list as necessary] Local Transit Agencies Agency A Agency B Agency C [continue list as necessary] Local Toll Road Agencies Agency A Agency B Agency C [continue list as necessary] OTHER PARTNERS American Assoc. of State Highway and Transportation Officials (AASHTO) Transportation Research Board (TRB) [continue list as necessary]

310 A Guide to Emergency Management at State Transportation Agencies EXECUTIVE SUMMARY The [STATE NAME/JURISDICTION] – [EXERCISE TYPE – seminar, table top, etc.] was conducted on [DATE OF EXERCISE]. EXPLAIN THE SEQUENCE OF EVENTS LIST KEY STRENGTHS IDENTIFIED Key strengths identified during this exercise include: LIST SUCCESSES RECOGNIZED In addition, several successes of this exercise can be recognized, among them: LIST IMPROVEMENT AREAS Throughout the exercise, several opportunities for improvement were identified, including: PART 1: EXERCISE OVERVIEW EXERCISE NAME: [EXERCISE JURISDICTION/STATE - EXERCISE NAME - EXERCISE TYPE] LOCATION: [EXERCISE FACILITY - EXERCISE JURISDICTION - EXERCISE STATE] SCENARIO: List all scenarios. TYPE OF EXERCISE: FOCUS: EXERCISE DATE: PARTICPATING ORGANIZATIONS: CO-SPONSORS: State Agencies: Federal Agencies: Contract Support: [(EXERCISE SUPPORT TEAM] PARTICIPANTS: Local Participants: State Participants: Federal Participants: Private Sector Participants: International Participants: Local Participants: Summary of the Full After Action Report Template

Bibliography and Resource Guide 311 Provincial/State Participants: NUMBER OF PARTICIPANTS: Participants: [#] Observers: [#] Facilitators: [#] Exercise Support: [#] FUNDING SOURCE: PROGRAM: CLASSIFICATION: (If applicable) FEDERAL SPONSORING AGENCY/DEPARTMENT POC: (If applicable) FEDERAL EXERCISE PROJECT OFFICER: (If applicable) EXERCISE OVERVIEW: EXERCISE STATE EXERCISE CITY EXERCISE NAME AND TYPE EXERCISE DATE EXERCISE EVALUATION PART 2: EXERCISE GOALS AND OBJECTIVES PART 3: EXERCISE SYNOPSIS SCENARIO: EXERCISE: PARTICIPANT HOTWASH SUMMARY: PART 4: ANALYSIS OF MISSION OUTCOMES This section of the report provides an analysis of how well the participating jurisdictions as a whole (e.g., across disciplines and across jurisdictions) achieved the expected mission outcomes in responding to the simulated event, with a focus on outcomes, rather than processes. MISSION AREA Outcome Summary MISSION AREA Outcome Summary MISSION AREA Outcome Summary

312 A Guide to Emergency Management at State Transportation Agencies PART 5: ANALYSIS OF CRITICAL TASK PERFORMANCE TITLE OF TASK Task # – Subtask # Discussion Recommendations and Improvements Actions Task # – Subtask # Discussion Recommendations and Improvements Actions Task # – Subtask # Discussion Recommendations and Improvements Actions PART 6: CONCLUSIONS EXERCISE JURISDICTION/STATE – EXERCISE TYPE – EXPLAIN THE SIGNIFICANCE OF THE EXERCISE LIST CAPABILITIES Exercise Participants demonstrated an initial capability to: LIST RECOMMENDATIONS Exercise Participants identified several lessons learned for improvements in [EXERCISE JURISDICTION/STATE - EXERCISE TYPE]. Major recommendations include: SUMMARY

Bibliography and Resource Guide 313 Key Steps to Effective Collaboration A shared and compelling transportation need transcends jurisdictional boundaries and can best be addressed through regional collaboration. The following steps can aid planners in identifying and responding to transportation emergency management needs. Step 1. Describe the geographic area in the region: populations; geography, transportation resources and assets; hazards and potential significant events; and communication assets and needs. Step 2. Identify the common issues or needs that are perceived to be mutual problems and opportunities in planning for disasters, emergencies, and significant events, such as: Information sharing Compatible technologies systems Movement of people and goods Safety Response to incidents, manmade and natural Homeland security programs, including evacuation Transport of hazardous materials Economic Recovery and restoration of normal operations Leverage multiple funding sources Resource sharing across agencies and jurisdictions Step 3. Identify existing networks or groups within the region that are engaged in transportation planning, such as state departments of transportation, metropolitan planning organizations and regional planning commissions; transportation management centers; United We Ride; direct service providers who provide or use paratransit. Identify agencies and stakeholders involved in emergency planning, such as emergency managers. Identify stakeholders who may not currently be involved in emergency planning, but who need to be, such as businesses, utilities, and representatives of community groups who may require transportation services. Step 4. Use existing address books or contact lists to identify potential collaborators. Step 5. Call or email key contacts to schedule a meeting or ask to be invited to a meeting with these agencies and others that are engaged in emergency management planning. Think about the key message before the call. What is the purpose of creating or joining a collaborative network? What are the benefits? Use hazard vulnerability assessments in emergency operation plans (EOPs) as conversation starters. Step 6. Secure support from the leadership of these organizations. Source: Adapted from TCRP Report 150: Communication with Vulnerable Populations: A Transportation and Emergency Management Toolkit (2011). Appendix A6: Collaboration and Coordination Guides

314 A Guide to Emergency Management at State Transportation Agencies Questions for Collaborative Partners/Other Stakeholders to Ask Each Other To develop a comprehensive plan built on the principles in this Guide, planners and all vested stakeholder organizations must ask and be prepared to answer these key questions. These questions are designed to act as conversation starters that will lead to other questions that draw out information about specific details that apply to each region. 1. What disasters, emergencies, and significant events do you plan for? 2. What low probability events should be planned for that are not currently considered? 3. How well prepared are you for disasters and emergencies? 4. How do you view your role in these atypical emergency events? a. What are your responsibilities? b. What are your priorities? c. How are the roles and responsibilities incorporated into your regional planning? d. What capabilities and resources can you provide? e. What transportation infrastructure/services do you need access to? Do you have a priority list? f. How can you better integrate security, emergency management, and mitigation planning into your regular practices? 5. Where do you fit into your regional planning efforts? 6. Who are the key people you need to talk to? 7. What is the best way to communicate and share information with each other: Before During After an atypical event? 8. What is the chain of authority if/when a particular decision-maker is unavailable? 9. What is your restoration process? How are locations prioritized for restoration? 10. How can other regional stakeholders and the public participate and contribute to the planning? 11. What long-term goals and objectives that address disasters, emergencies, and significant events can be accomplished through our regional collaboration? Source: Adapted from NCHRP Report 777: A Guide to Regional Transportation Planning for Disasters, Emergencies, and Significant Events (2014).