An Emergency Management Playbook for State Transportation Agencies (2024)

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2024 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 1093 An Emergency Management Playbook for State Transportation Agencies Deborah Matherly MIRTA, LLC Lexington, SC Patricia Bye Holicong, PA Janet Benini Washington, DC Trevor Cliord WSP USA Portland, OR William D. Ankner Atlanta, GA Mark Krentz Topeka, KS Karl Kim Eric Yamashita Jiwnath Ghimire National Disaster Preparedness Training Center University of Hawaii Honolulu, HI Subscriber Categories Administration and Management • Security and Emergencies Research sponsored by the American Association of State Highway and Transportation Ofcials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transporta- tion results in increasingly complex problems of wide interest to high- way authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agree- ment No. 693JJ31950003. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRB’s relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs iden- tified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&I’s recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published research reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America NCHRP RESEARCH REPORT 1093 Project 20-116 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-70933-0 Library of Congress Control Number 2023952229 © 2024 by the National Academy of Sciences. National Academies of Sciences, Engineering, and Medicine and the graphical logo are trade- marks of the National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, APTA, FAA, FHWA, FTA, GHSA, or NHTSA endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. Cover photos: via Getty Images Cover photo design: WSP USA NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors. The Transportation Research Board does not develop, issue, or publish standards or spec- ifications. The Transportation Research Board manages applied research projects which provide the scientific foundation that may be used by Transportation Research Board sponsors, industry associations, or other organizations as the basis for revised practices, procedures, or specifications. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names or logos appear herein solely because they are considered essential to the object of the report.

e National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. e National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. e National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. e three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. e National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. e Transportation Research Board is one of seven major program divisions of the National Academies of Sciences, Engineering, and Medicine. e mission of the Transportation Research Board is to mobilize expertise, experience, and knowledge to anticipate and solve complex transportation-related challenges. e Board’s varied activities annually engage about 8,500 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. e program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS This guide would not have been possible without the assistance and guidance of many individuals and organizations that provided invaluable support and resources. Those listed below have agreed to be contacted by other state DOTs for further information. Please note that other DOTs have provided information but have chosen to remain anonymous. DOTs have provided support through the AASHTO Emergency Management Working Group, part of the Committee on Transportation Security, Sustainability and Resilience (CTSSR). The Working Group is chaired by Ed Sniffen, Deputy Director, Hawaii DOT. CRP STAFF FOR NCHRP RESEARCH REPORT 1093 Waseem Dekelbab, Deputy Director, Cooperative Research Programs, and Manager, National Cooperative Highway Research Program Stephan A. Parker, Senior Program Officer (retired) Stephanie L. Campbell-Chamberlain, Senior Program Assistant Natalie Barnes, Director of Publications Heather DiAngelis, Associate Director of Publications NCHRP PROJECT 20-116 PANEL Field of Special Projects Herby Gerard Lissade, Haiti Engineering, Inc., West Sacramento, CA (Chair) Ingrid L. Birenbaum, Moffatt & Nichol, Fort Lauderdale, FL Joy Davis, Institute for Transportation Research and Education, Cary, NC Brian L. Dodge, Texas Department of Transportation, Austin, TX John S. Himmel, Washington State Department of Transportation, Olympia, WA Michael W. Lowder, Michael W. Lowder & Global Associates, Springfield, VA Joaquin Mixco, Utah Department of Transportation, Salt Lake City, UT Timothy Morin, Commonwealth of Massachusetts, Boston, MA Eileen M. Phifer, Michigan Department of Transportation, Lansing, MI Jeff Prevost, Oneida Casino, Green Bay, WI James R. Primeau, Rhode Island Department of Transportation, Providence, RI Kendra I. Siler-Marsiglio, NASA/Kennedy Space Center, Kennedy Space Center, FL Jason Robert Carnes, FHWA Liaison David W. Cooper, TSA Liaison Richard A. Cunard, TRB Liaison Name Organization Title Email Irene Cabral Florida DOT Emergency Coordination Officer irene.cabral@dot.state.fl.us John Himmel Washington State DOT Emergency Manager himmelj@wsdot.wa.gov Eileen Phifer Michigan DOT Safety and Security Administration phifere@michigan.gov Chad Ray Colorado DOT Deputy Director, Division of Maintenance and Operations chad.ray@state.co.us

NCHRP Research Report 1093 presents a state-of-the-art emergency management play- book to support state transportation agencies with improving, developing, and maintaining effective emergency management programs. The Playbook provides a systematic, coordinated approach for the full emergency management cycle along with a capability maturity model and self-assessment tool. The Playbook was developed based on an extensive literature review, research, and interviews with state transportation agencies. It is accompanied by comple- mentary training materials and tools designed for immediate use by new and experienced practitioners in their effort to implement or improve emergency management programs. Several emergency management courses and generic planning templates are currently available to transportation emergency managers at airports, transit agencies, and state depart- ments of transportation, including NCHRP Report 525: Surface Transportation Security, Volume 16: A Guide to Emergency Response Planning at State Transportation Agencies (2010). Such resources, together with federal guidance promulgated through the Incident Command System/National Incident Management System/Homeland Security Exercise and Eval- uation Program (ICS/NIMS/HSEEP) doctrines, are necessary but insufficient for ready implementation. There was a need for a strategy-driven, actionable guide—a playbook—that, with inci- dental implementation support, would help emergent and part-time transportation emer- gency managers understand, plan, and implement an emergency preparedness program that fits their agency’s needs, capabilities, and challenges. Such a playbook can serve as a simple, practical, and comprehensive emergency preparedness program development guide for transportation emergency managers; be generally applicable to all transportation emergency operations centers; and be consistent with ICS/NIMS/HSEEP doctrines. A transportation- specific playbook helps close the gap in transportation emergency preparedness and enables quicker and more effective uptake of valuable, scenario-based training and exercise tools that help organizations apply prerequisite planning and program development. Translating strategy from a playbook to the real world (how to do it) is complex, as states vary in how they organize their activities. There was a need to develop and execute a strategy to effectively bridge the gap between all-hazards emergency management research and state transportation agency practice to improve an agency’s response over a broad continuum of emergencies affecting the nation’s travelers, economy, and infrastructure. Under NCHRP Project 20-116, WSP USA was asked to (1) develop a playbook to support emergency management program review and development for state transportation agencies and (2) develop and execute a deployment strategy to familiarize the affected transpor- tation agencies of every state with the playbook and supporting emergency management F O R E W O R D By Waseem Dekelbab Deputy Director, Cooperative Research Programs Transportation Research Board

materials. This Playbook and related products encompass state DOTs, public transporta- tion systems, and other transportation agencies under state control or influence (i.e., state transportation agencies). In addition to NCHRP Research Report 1093: An Emergency Management Playbook for State Transportation Agencies, documentation of the overall research effort is available as NCHRP Web-Only Document 384: Developing an Emergency Response Playbook for State Transportation Agencies. Several other deliverables can be found on the National Academies Press webpage (https://doi.org/10.17226/27379) for NCHRP Research Report 1093 under Resources. These additional deliverables include • An Emergency Management Pocket Guide for Agency Leadership, • PowerPoint training materials for transportation leaders and presenters, • Twenty Excel workbooks containing DOT Mission-Ready Packages (MRPs), • Spreadsheet tool for various equipment types, and • Appendix C: Emergency Management Assistance Compact Resources from NCHRP Research Report 1093.

1 Summary P A R T I 5 Chapter 1 Introduction 5 Playbook Objectives 5 How to Use the Playbook 7 Chapter 2 Emergency Management Overview 7 Emergency Management Definition 8 Whole Community Approach 9 Role of Transportation in Emergency Management 10 National Incident Management System and Incident Command System P A R T I I 13 Chapter 3 Transportation Agency Emergency Management Program 13 DOT EM Program Overview 14 Essentials of a DOT EM Program 22 Chapter 4 Key Roles and Responsibilities 22 Leadership Role 23 EM Program Manager Role 23 EOC Role 24 ESF #1 Transportation Lead and Coordinator Role 25 ICS Member Role 26 Finance and Administration 27 Chapter 5 Resource Needs 27 Overview of Resource Needs 27 Mutual Aid and EMAC Overview 30 Chapter 6 Key Questions to Ask 30 Planning Questions 30 Training Questions 30 Communications Questions 31 Collaboration Questions 31 Questions During the Event 31 Questions After the Event C O N T E N T S

33 Chapter 7 Building an Emergency Management Culture 33 Clear Direction 33 Common Understanding 34 Engaged Workforce 34 Ongoing Training 34 Performance Management 34 Keys to Success 36 Chapter 8 Capability Maturity and Self-Assessment 36 Overview 37 Recommended Approach P A R T I I I 43 Chapter 9 Emergency Management Plays 43 EM Plays by Phase 79 EM Plays by Event 91 Chapter 10 Available Tools 91 Vulnerability and Risk Assessment Tools 91 Program Management and Work Planning 91 Incident-Based Critical Information Tracking and Post-Incident Damage Assessment 101 Repair Work Operations 101 Reporting and Business Intelligence 104 Chapter 11 Keep in Mind 104 Resilience 105 Technology 110 Cybersecurity 112 Unique Events and Needs P A R T I V 117 Chapter 12 Challenges 117 Infrequent Events 118 Need for a “Marketer” 118 Part-Time EM Managers 118 Lack of Funding and Resources 120 Chapter 13 Sustaining Success 121 Chapter 14 Conclusions 123 References

124 Appendix A Emergency Management Assistance Compact Guide 131 Appendix B Emergency Management Capability Maturity Framework 168 Appendix C Emergency Management Assistance Compact Resources Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at nap.nationalacademies.org) retains the color versions.