1

2

3

4

U.S. Department of Transportation 5

Office of Intelligence, Security, and Emergency Response 6

7

8

9

ESF-1 Playbook 10

11

12

13

14

15

16

17

18

19

20

July 2020 21

22

23

2

EMERGENCY SUPPORT FUNCTION # 1 – DRAFT PLAYBOOK 24

1. Emergency Support Function #1 – Lead and Supporting Agency Roster and 25 Communication Strategy…………………………………...………………….…TAB A 26 27

2. Core Capabilities ……………………………….………………………..……….TAB B 28 29

3. Emergency Support Function # 1 – Role of Support Agencies ……………..…TAB C 30 31

4. Key Information Requirements ……………………………………………….…TAB D 32 33

5. Standard Operating Procedure and Pre-Scripted Mission Assignments …..…TAB E 34 35

6. Statutory Authorities …………………………………………...……..………….TAB F 36 37

7. Resources and Capabilities …………………………………...………………….TAB G 38 39

8. Emergency Support Function #1 2013 Calendar ...………...……...…………...TAB H 40 41

9. Emergency Support Faction #1 Goals and Metrics……………………………..TAB I 42 43 44

45

46

47

48

49

50

51

52

53

54

55

56

3

57

58

59

60

61

62

TAB A 63

Emergency Support Function #1 – Lead and 64

Supporting Agency Roster and 65

Communication Strategy 66

67

68

69

70

71

72

73

74

75

76

77

78

79

80

4

EMERGENCY SUPPORT FUNCTION # 1 – LEAD AND SUPPORTING AGENCY ROSTER 81

COMPONENT POINT OF CONTACT

POSITION EMAIL ADDRESS PHONE NUMBER

Department of Transportation

Primary: Mike Callahn Secondary: Jorge Reyes Other: Gregory D. Brown Joanne Soliman

Current Operations, Response, and Recovery Associate Director Current Operations, Response, and Recovery Current Operations, Response, and Recovery Current Operations, Response, and Recovery (Detail)

Mike.Callahan@dot.gov Jorge.Reyes@dot.gov Gregory.Brown@dot.gov Joanne.Soliman@dot.gov

202 366-8113 202-366-0642 202 366-1622 202 366-1091

Department of Agriculture

Primary: Ronald Walton Secondary: Roland Fravel

Ronald.a.walton@aphis.usda.gov Roland.fravel@fsis.usda.gov

202-552-9411 202-690-1211

Department of Commerce

Primary: Steven Goldstein Secondary: Regis Walter

steven.goldstein@associates.fema.dhs.gov regis.walter@noaa.gov

202-646-2817 202-282-9937

Department of Defense

Primary: James Michael O’Malley (NORTHCOM)

mike.omalley@dot.gov

719-554-3217

5

Carlos Sanchez (TRANSCOM) Carol Kohtz (DOD) Secondary: Paige Caldwell (USACE)

carlos.sanchez@dot.gov carol.kohtz@associates.fema.dhs.gov Paige.Caldwell@usace.army.mil

618-220-1450 202-577-7759 202-672-3257

Department of Energy

Primary: Jamie Clarke Secondary: John Ostrich

Jamie.clark@hq.doe.gov John.ostrich@hq.doe.gov

202-287-6844

Department of Homeland Security

(DHS): Michael Roskind (FEMA): Jeremy Greenberg (TSA): Daniel Desrochers (Coast Guard): LCDR Kenisha Scott

michael.roskind@hq.dhs.gov Jeremy.greenberg@fema.dhs.gov Daniel.desrochers@tsa.dhs.gov Kenisha.scott@associates.fema.dhs.gov

703-235-5626 202-704-8184 571-227-1056 816-308-3182

Department of the Interior

Primary: Gordy Sachs Secondary: Barb Geringer-Frazier

Gsachs@fs.fed.us bgeringerfrazier@fs.fed.us

202-340-8339 415-250-0077

Department of Justice

Primary: John Gradiska Secondary: James Rosebrock

John.gradiska@atf.gov james.rosebrock@atf.gov

202-532-3145 202-441-1155

6

82 83 Communications Strategy 84 When FEMA activates ESF #1 at the NRCC or other designated location, the activation is 85 communicated to ESF #1 personnel through DOT’s Emergency Notification System (ENS). 86 Additionally, ESF #1 leadership will distribute an activation order via email to all ESF #1 87

Department of State

Primary: Bobby Clark Secondary: Joey Garcia

Clarkbj1@state.gov garciajr@state.gov

202-431-6698 202-315-8059

General Services Administration

Primary: Renee Fossett Secondary:

Renee.fossett@gsa.gov

202-365-8571

U.S. Postal Service DC National Guard Sector Specific Agency (SSA) National Business Emergency Operation Center (NBEOC)

Primary: Michael Swigart Secondary: Primary: Geri J. Colombaro Primary: Amie Kalsbeek Seconadary: Primary: Rob Glenn Secordary: Ronald Robbins

michael.a.swigart@usps.gov geri.j.colombaro.ctr@mail.mil Amie.Kalsbeek@dot.gov Robert.glenn@fema.dhs.gov Ronald.robbins@fema.dhs.gov

202-268-4749 703-607-1679 202-366-9378 202-403-4665

7

personnel. The ENS and activation order provide details of the incident and where and when to 88 deploy. 89 90 Coordination between all Emergency Support Function #1 (ESF #1) personnel is essential. At 91 least one coordination call between the National Response Coordination Center (NRCC), 92 Transportation Operation Center (TOC), and ESF #1 operational field sites (such as RRCCs, 93 Joint Field Offices (JFOs), etc.), will be conducted daily. If 24-hour operations are in use, one 94 call per shift is appropriate. It is best for these calls to be held prior to any Federal Emergency 95 Management Agency (FEMA) Video Teleconference (VTC) to ensure that the ESF #1 brief 96 addresses the latest ESF #1 issues and activities. 97 98 Notice of any FEMA VTC will be shared with all ESF #1 field sites, the TOC, and the DOT 99 Office of Intelligence, Security, and Emergency Response (S-60) Director and Deputy Director. 100 Any notes from the VTC, as well as other relevant information received will be posted to The 101 Department of Transportation’s (DOT) WebEOC as soon as practicable. DOT uses WebEOC 102 for situational awareness when preparing and responding to incidents and events. 103 104 To ensure proper accountability, ESF #1 staff at the NRCC, Regional Response Coordination 105 Center (RRCC), or JFO will gather and maintain a record of all deployed personnel and post to 106 the DOT’s WebEOC National Response Personnel Tracking Board within required timeframes. 107 108 Public Affairs planning and interaction specific to ESF #1 and other DOT functions are 109 coordinated by the Office of Public Affairs within the Office of the Secretary of Transportation. 110 This office is represented on the Emergency Response Team (ERT) as advisors and may lead a 111 separate Task Force if the incident warrants. Interagency message and public affairs 112 coordination is coordinated through existing DHS public affairs communications structures and 113 ESF #15 – External Affairs. This office also participates in the National Incident Communications 114 Conference Line during incidents. 115 116 On a daily basis during activations, ESF #1 coordinates with FEMA, all ESFs, and other 117 Interagency partners on response and recovery logistical efforts to ensure all needs are being 118 met. 119

120

121

122

123

124

8

125

126

127

TAB B 128

Core Capabilities 129

130

131

132

133

134

135

136

137

138

139

140

141

142

143

144

9

CORE CAPABILITIES SPECIFIC TO ESF# 1 145

1. Critical Transportation 146 147 A. Overall Objective: 148

Provide transportation (including infrastructure access and accessible transportation 149 services) for response priority objectives, including the evacuation of people and animals, 150 and the delivery of vital response personnel, equipment, and services into the affected 151 areas. 152

153 B. Objectives: 154

155 • Coordinate the planning and operational analysis to deliver critical transportation 156

requirements 157 • Conduct assessments of the condition and safety of transportation pathways and plan 158

accordingly 159 • Prioritize the restoration of damaged/unusable pathways, identify alternate pathways, and 160

coordinate rapid repairs to facilitate responder access and provide basic services 161 • Assess resource requirements to support the reconstitution of the transportation 162

infrastructure 163 • Prioritize, adjudicate, and allocate resources to deliver critical transportation 164

requirements 165 • Support the evacuation of disaster survivors 166 • Provide delivery of vital response personnel, equipment, and services into the impacted 167

area 168 • Respond to, coordinate, and prioritize the delivery of resources to disaster survivors and 169

responders in the impacted area 170

171

C. Quantifiable Objectives for Stabilization within 72 hours and 60 Days: 172

Within 72 Hours: 173

1. Move and deliver all required resources needed to save lives 174

2. Move and deliver resources and capabilities to meet the needs of up to 1.5 175 million disaster survivors 176

177

178

10

Within 60 Days: 179

1. Ensure basic human needs are met, stabilize the incident, and transition into 180 short-term recovery 181

2. Restore basic services and community functionality for an affected area of up 182 to 7 million people 183

184

D. Responsibilities: 185 1. Monitor and report the status of and damage to the transportation system and 186

infrastructure 187 2. Identify temporary alternative transportation solutions to be implemented when primary 188

systems or routes are unavailable or overwhelmed 189 3. Implement appropriate air traffic and airspace management measures 190 4. Coordinate regulatory waivers, exemptions, and permits 191 5. Provide longer-term coordination of the restoration and recovery of the affected 192

transportation systems and infrastructure if required 193

194

E. Critical Tasks: 195 1. Establish physical access through appropriate transportation corridors and deliver 196

required resources to save lives and to meet the needs of disaster survivors 197 2. Ensure basic human needs are met, stabilize the incident, transition into recovery for an 198

affected area, and restore basic services and community functionality 199

200

F. Tasks: 201

Normal Operations 202

1. Maintain situational awareness. Conduct and participate in planning, training, and 203 exercises to maintain preparedness, establish contact and relationships, and improve 204 ability to respond to events and incidents on a regular basis. 205

206 2. Review, update, and exercise the following on an ongoing basis: 207

a. Existing response plans and SOPs to incorporate best practices and lessons 208 learned; 209

b. Key personnel rosters with accurate contact information (e.g., Federal 210 Coordinating Officer [FCO], NRCC, RRCC, JFO, and special teams); and 211

c. Develop and review pre-scripted mission assignments, MOUs, and IAAs 212

11

213 3. Conduct detailed gap analysis of transportation infrastructure with local, state, tribal, 214

territorial, and insular area partners to ascertain expected Federal support resources 215

Response Operations 216

1. Initiate reporting to the Office of the Secretary of Transportation, National Operations 217 Center (NOC) Watch, National Infrastructure Coordinating Center, NRCC, 218 Transportation Security Operations Center, DOT operating administrations and regional 219 offices, and the Regional Emergency Transportation Coordinator (RETCO) and Regional 220 Emergency Transportation Representatives (RETREP) 221

2. Activate the DOT Emergency Response Team 222 3. Staff ESF #1 at the NRCC 223 4. Dispatch staff to the NRCC, RRCC(s), JFO(s), and Evacuation Liaison Team 224 5. Activate the RETCOs and RETREPs 225 6. Inform and invite participation by ESF #1 support departments and agencies 226 7. Identify temporary alternative transportation solutions that can be implemented by others 227

when systems or infrastructure are damaged, unavailable, or overwhelmed 228 8. Work with transportation system owners and operators to coordinate the pre-positioning 229

of resources to complete the restoration of transportation infrastructure following a 230 disaster 231

9. Coordinate with ESF #5, ESF #6, ESF #8; local, state, tribal, territorial, and insular area 232 governments; the private sector; and voluntary organizations to identify and deploy 233 capabilities to transport identified populations 234

10. Determine the time available to conduct operations and the distance to (and availability 235 of) shelters 236

11. The Evacuation Liaison Team is activated to support coordination with local, state, tribal, 237 territorial, and insular area governments and nonprofit and private-sector participants 238

12. Provide transportation coordination and analysis for evacuation operations and 239 evacuation route conditions 240

13. Coordinate with DHS to initiate emergency permit and waiver requests to facilitate 241 evacuation, including: 242

a) Temporary relief from specific safety regulations to allow direct response or relief 243 transportation services to continue to a declared disaster or emergency from the 244 Federal Motor Carrier Safety Administration; 245

b) Truck size and weight limit permits from state DOTs; 246 c) Jones Act waivers from DHS; and 247 d) Fuel quality waivers from the Environmental Protection Agency 248

14. Activate specialized aviation support units through the U.S. Department of 249 Commerce/National Oceanic and Atmospheric Administration/Office of Marine and 250 Aviation Operations 251

12

15. Coordinate air operations requirements with ESF #1, ESF #5, and ESF #13 252 16. Identify evacuation shortfalls and outstanding transportation needs 253 17. Monitor and report the status of, and damage to, the transportation system and 254

infrastructure as a result of the incident 255 18. Maintain coordination with ESF #1/DOT/FAA to enable air operations through air 256

navigation services measures, including air traffic control, flow management, and 257 airspace measures 258

19. Coordinate the availability of privately owned transportation 259 20. Coordinate with Federal departments and agencies to determine evacuation support 260

requirements 261 21. Inventory and make available cargo and passenger aviation assets and report availability 262

to the Movement Coordination Center (MCC) in the NRCC 263 22. Deploy Federal Air Marshals Transportation Security Advanced Team through 264

DHS/Transportation Security Administration (TSA) to affected airports 265 23. Coordinate with the U.S. Coast Guard (USCG) and local, state, tribal, territorial, and 266

insular area departments and agencies to manage maritime traffic and provide maritime 267 port and infrastructure awareness and analysis 268

24. If the International Assistance System were to be activated, the U.S. Agency for 269 International Development (USAID)/Office of Foreign Disaster Assistance (OFDA) will 270 begin to identify commercial assets in the region to help with receiving international 271 donations and transport as directed 272

25. Review all necessary cargo and passenger aviation activities, inventory and make 273 available cargo and passenger aviation assets, and report availability to the MCC in the 274 NRCC 275

26. Provide an assessment of the transportation and infrastructure systems to the NOC and 276 NRCC 277

27. Notify, activate, and/or deploy pre-positioned equipment teams 278 28. Provide an update on the status of transportation systems and provide emergency 279

transportation management recommendations to DHS. Continue updates as necessary 280 29. Request Deployable Distribution Expeditionary Depot availability through DOD, if 281

necessary 282 283

Recovery Operations 284

1. Coordinate initial Recovery Support Function (RSF) transportation related activities 285 2. Identify additional transportation related resources needed for long term recovery 286 3. Monitor the recovery from the damage to respective DOT Operating Administrations 287

288 289 290 291

13

292

293

294

295

TAB C 296

Emergency Support Function # 1 – Role of 297

Support Agencies 298

299

300

301

302

303

304

305

306

307

308

309

14

EMERGENCY SUPPORT FUNCTION # 1 – ROLE OF SUPPORT AGENCIES 310

Agency Functions

Department of Agriculture (USDA) Forest Service If available, provides transportation assets to ESF #1 when Forest Service resources are the most effective to support the ESF #1 mission. If available, provides appropriate engineering and contracting/procurement personnel and equipment to assist in emergency removal of debris, demolition, repair of roads and bridges, and temporary repair of essential public facilities. Resources will be assigned commensurate with each unit’s level of training and the adequacy and availability of equipment. ESF #4 – Firefighting or the USDA/Forest Service Disaster and Emergency Operations Branch is the contact for this support.

Department of Commerce (DOC) National Oceanic and Atmospheric Administration (NOAA) Provides the following products and information to support ESF #1 activities, including mass evacuations: Forecasts, watches, and warnings including weather, storm surge, and dispersion forecasts. Surface and marine forecasts and nowcasts including ice and debris tracking. Emergency hydrographic surveys, search and recovery, obstruction location, and vessel traffic rerouting in ports and waterways. Remote aerial and orbital imagery through the DOC/NOAA desk at the NOC.

Department of Defense (DOD) Provides military transportation capacity from the U.S. Transportation Command (USTRANSCOM) or other organizations to move essential resources, including DOT response personnel and associated equipment and supplies, when requested and upon approval by the Secretary of Defense. USTRANSCOM also provides staff to the headquarters ESF #1 function and the regional ESF #1 when requested and upon approval by the Secretary of Defense.

15

Provides assets to complement temporarily degraded or disrupted DOT/FAA air navigation services capabilities as requested by DOT/FAA and ESF #1. U.S. Army Corps of Engineers (USACE) Provides support in the emergency operation and restoration of inland waterways, ports, and harbors under the supervision of DOD/USACE, including dredging operations. Assists in restoring the transportation infrastructure.

Department of Energy (DOE) When requested, DOE/National Nuclear Security Administration provides fixed-wing and rotary aircraft to support radiological environment surveys and/or search capabilities during a radiological or nuclear incident. Provides information on status of, needs for, and plans for restoration of interdependent infrastructure.

Department of Homeland Security (DHS)

Customs and Border Protection (CBP) Identifies and provides transportation-related DHS/CBP assets and resources. Assets include associated personnel and air, land, and water transports to assist with border inspectors and cross-border transportation movements for emergency response efforts. Provides assets to complement temporarily degraded or disrupted DOT/FAA air navigation services capabilities as requested by DOT/FAA and ESF #1. Federal Emergency Management Agency Provides timely funding for activation and Stafford Act-eligible ESF #1 activities. Provides necessary funding for ESF #1 participation in DHS- and FEMA-sponsored planning, training, exercises, and other preparedness activities. Transportation Security Administration Through the TSOC, provides relevant transportation and threat information reports, including Information Sharing and Analysis Centers reports, to ESF #1 in its lead role in reporting the status of transportation infrastructure.

16

Leads efforts to protect transportation infrastructure from the effects of acts of terrorism, and supports efforts to protect transportation infrastructure from the effects of manmade and natural disasters. Provides assets to address security and on-site coordination requirements for the ground operations and in-flight segments of mass air evacuation operations as requested by ESF #1. Provides assistance in the allocation and prioritization of resources through the Infrastructure Liaison and the NICC. U.S. Coast Guard Identifies and provides assets and resources in support of the ESF #1 mission. Including but not limited to, port status reporting databases, fixed and rotorwing aircraft, and vessels to assist in response and recovery activities. Coordinates with support agencies and other maritime stakeholders through ESF #1 to prioritize, evaluate, and support restoration of domestic ports, shipping, waterways, and related systems and infrastructure. Provides staff to the DOT TOC during emergencies to provide status of maritime domain, including ports, waterways and operations, in ESF #1 for integration in overall transportation sector status reporting. Office of Infrastructure Protection Provides information and assistance concerning the recovery and restoration of transportation critical infrastructure, as well as all other CIKR impacted by transportation.

Department of the Interior (DOI) Identifies, and if available, provides departmental transportation assets (e.g., fixed-wing aircraft and all-terrain vehicles) and support resources (e.g., mechanics, pilots) if these are the most effective to support the ESF #1 mission. Resources will be assigned commensurate with each unit’s level of training and the adequacy and availability of equipment. ESF #4 or the DOI Operations Center is the contact for this support.

17

Provides information on status of, needs for, and plans for restoration of infrastructure.

Department of Justice (DOJ) Identifies and provides departmental transportation support assets in support of the ESF #1 mission when not committed for internal operations.

Department of State (DOS) When requested, provides liaison to the DOT TOC in the event of incidents having potential international implications. In accordance with the International Coordination Support Annex, coordinates international offers of transportation-related assistance and support. In coordination with DOT/FAA, modify or revoke previously approved foreign diplomatic aircraft clearances. This DOS action does not obviate the continuing need for flight crews to check the pertinent Notices to Airmen released by DOT/FAA. DOS will reference DOT/FAA airspace restrictions, including Temporary Flight Restrictions, as part of its processing of requests from foreign embassies/missions for diplomatic aircraft clearance.

General Services Administration (GSA) Assists in identifying sources for and contracting transportation services needed for execution of the ESF #1 mission.

U.S. Postal Service (USPS) Collectz and reports on transportation infrastructure disruption and damages as information becomes available.

311

312

313

314

315

316

317

18

318

319

320

321

322

TAB D 323

Key Information Requirements 324

325

326

327

328

329

330

331

332

333

19

EMERGENCY SUPPORT FUNCTION # 1 – KEY INFORMATION REQUIREMENTS 334

Responsibility Primary responsibility for reporting the status of the transportation system 335 lies with DOT. The key supporting entities within DOT are the DOT Emergency 336 Coordinators who collect information from each of DOT's Operating Administrations (OAs) 337 through more than 300 field offices nationwide as well as key transportation associations and 338 transportation providers. This network provides on the ground information to help deconflict 339 the various media and other reporting on the status and actions taken across the transportation 340 sector. The Departments RETCOs and RETREPs, who are deployed as part of ESF #1 to 341 RRCCs, State EOCs, and JFOs provide valuable reports and can help coordinate emergency 342 transportation issues. Considerable information is also available online. The TOC monitors 343 and shares media reports regarding the incident and infrastructure/systems status. ESF #1 344 Support Agencies provide status input at the National, regional, and local level. DOT 345 liaisons at other federal sites may also acquire and share information at both classified and 346 unclassified levels. 347

348

Process When pre-incident tracking is possible (e.g. known approaching hurricane, etc.), 349 DOT focuses monitoring and reporting on the area likely to be affected. Reporting begins 350 prior to the incident and describe protective and preventive measures being taken by the 351 transportation sector and the impact these actions have on an inter-modal, local, regional, and 352 national scale. During the initial phase of the incident, reports will focus on status of the 353 transportation infrastructure/system, response plans that are being made, corrective actions 354 being taken, and assessments of the impact of damage. DOT HQ will provide this 355 information to ESF #1 at the JFO, RRCC, and NRCC simultaneously via WebEOC. When 356 the DHS-sponsored Common Operating Picture (COP) is in use, DOT will provide reports 357 via this system as well. The COP is a document that provides the entire government with 358 situational awareness of an event or incident, including but not limited to natural and/or man-359 made disasters, acts of terrorism, and/or NSSEs 360

361

Deliverable Transportation status and damage reports are provided as part of the DOT sector 362 report, which is issued based on the incident reporting cycle established by FEMA at the 363 NRCC or RRCC. Information is provided on a mode-by-mode basis, including aviation, 364 highway, trucking, rail, transit, pipeline, and maritime. Reports include specific damages 365 sustained, on-going recovery efforts, projected recovery times, and assessments of the 366 impact. The DOT is responsible, working with its partners for the following deliverables: 367 368

1. Status of all transportation systems (air, sea, land, rail). In particular, port closures, 369 airport closures and major delays, and impacts to railroad systems and public transit 370 should be communicated 371

2. Status of major/primary roads 372

3. Status of critical and non-critical bridges, including bridge closures 373

4. Status of evacuation routes. In particular, the following should be communicated: 374

20

a. Activation and suspension of contra-flow operations 375

b. Road closures impacting evacuation traffic 376

c. Emergencies impacting evacuation traffic 377

d. Major evacuation traffic disruptions 378

5. Aviation Operations 379

a. Identification of airports/airfields used for response 380

b. Baseline characteristics and capabilities 381

c. Status 382

i. Emergency 383

ii. Limited Operations 384

iii. Normal Operations 385

d. Fuel Availablility 386

e. Ground Support 387

f. ANS (including ATC) 388

g. Available Air Assets 389

6. Accessibility concerns, such as adequate availability of wheelchair accessible 390 transportation for individuals with disabilities and physical accessibility of 391 embarkation and debarkation points, stations, and depots 392

7. Limiting factors or shortfalls 393

394

395

396

397

398

399

21

400

401

402

403

404

TAB E 405

Standard Operating Procedure, Pre-Scripted 406

Mission Assignments, and Plans 407

408

409

410

411

412

413

414

415

416

417

418

419

22

EMERGENCY SUPPORT FUNCTION # 1 – SUMMARY OF STANDARDS OF 420

PROCEDURE, PRE-SCRIPTED MISSION ASSIGNMENTS, MEMORANDUMS OF 421

UNDERSTANDING, INTERAGENCY AGREEMENTS, AND PLANS 422

The Standards of Procedures (SOPs), Pre-Scripted Mission Assignments, Memorandums of 423 Understanding (MOUs), Interagency Agreements, and Plans detailed below can all be located in 424 USDOT’s WebEOC and at the request of ESF #1. 425

NATIONAL RESPONSE PROGRAM STANDARDS OF PROCEDURES 426

SOP 1-1 Use of Imagery During Disasters 427

This SOP describes the process for acquiring National Technical Means, commercial imagery, 428 and imagery-derived products in support of security or emergency support functions. 429

SOP 1-2 NRCC Activation Checklist 430

This SOP is an activation checklist for ESF #1 activation to the National Response Coordination 431 Center. 432

SOP 1-3 National Special Security Events 433

This SOP identifies the necessary procedures for the advance planning and operational staffing 434 during National Special Security Events (NSSEs). 435

SOP 1-4 Evacuation Liaison Team 436

This SOP identifies the mission, roles and responsibilities, and necessary procedures for the 437 activation, operational activities, and demobilization of the Evacuation Liaison Team. 438

SOP 1-5 Facilitating Permitting for Oversize/Overweight Vehicles 439

This SOP identifies the roles, responsibilities, and procedures for coordinating and facilitating 440 the permitting process for oversize/overweight vehicles during an emergency response. 441

SOP 1-6 – Emergency Special Permits for Hazardous Materials 442

This SOP identifies the roles, responsibilities, and procedures for coordinating and facilitating 443 Emergency Special Permits for Hazardous Materials. 444

SOP 1-7 - Maritime Administration (MARAD) Vessel Mobilization 445

This SOP identifies the ESF #1 NRP procedures and operational considerations for utilization of 446 MARAD vessels for FEMA disaster response. 447

SOP 1-8 - Request Form for Geographic Information Systems Maps 448

SOP has been developed to standardize the process to request Geographic Information Systems 449 (GIS) maps during incidents. 450

23

SOP 2-1 Emergency Activation and Travel 451

This SOP identifies the necessary procedures for Emergency Travel required for an activation of 452 ESF #1 personnel. 453

SOP 2-2a Onboard and Departure Process – RETCOs and RETREPs 454

This SOP outlines the process and procedures necessary for National Response Program/S-60 455 Staff to follow when joining or leaving the National Response Program. 456

SOP 2-2b Onboard and Departure Process – HQ Cadre and RET-C 457

This SOP outlines the process and procedures necessary for RETREPs and RETCOs to follow 458 when joining or leaving the National Response Program. 459

SOP 2-2c Onboard and Departure Process – NRP Staff 460

This SOP outlines the process and procedures necessary for Regional Emergency Transportation 461 Representative (RETREPs) and Regional Emergency Transportation Coordinators (RETCOs) to 462 follow when joining or leaving the National Response Program 463

SOP 2-3 Go Kit Inventory 464

This SOP is designed to ensure standardization among all National Response Program Go-Kits. 465 Go-Kits are used by Headquarters personnel and RETREPs when deployed to Joint Field Offices 466 or other forward operating areas. 467

468

ESF #1 PRE-SCRIPTED MISSION ASSIGNMENTS 469

1. PSMA – 3, Pre-declaration Activation, Regional Response Coordination Center (RRCC) 470

• Activate Department of Transportation (DOT) to the FEMA Region ##REGION## 471 Regional Response Coordination Center (RRCC) to perform duties of Emergency 472 Support Function (ESF) #1 in support of Pre-Declaration disaster operations. A 473 subsequent MA may be issued for Post-Declaration activation if necessary. 474

2. PSMA – 32, Post-declaration, RRCC 475

• Activate Department of Transportation (DOT) to the FEMA Region ##REGION## 476 Regional Response Coordination Center (RRCC) to perform duties of Emergency 477 Support Function (ESF) #1 in support of Post-Declaration disaster operations. 478

3. PSMA – 77, Pre-declaration, NRCC 479

• Activate Department of Transportation (DOT) to the FEMA National Response 480 Coordination Center (NRCC) to perform duties of Emergency Support Function 481 (ESF) #1 in support of Pre-Declaration disaster operations. 482

4. PSMA – 105, Post-declaration, NRCC 483

24

• Activate Department of Transportation (DOT) to the FEMA National Response 484 Coordination Center (NRCC) to perform duties of Emergency Support Function 485 (ESF) #1 in support of Post-Declaration disaster operations 486

5. PSMA – 133, Federal Transit Assistance, Damage Assessment 487

• In order to determine actual recovery and restoration costs associated with damaged 488 public transportation systems, FTA will undertake damage assessment and cost 489 validation work for both operating and capital costs of those systems using FTA 490 personnel and/or contracting support. 491

6. PSMA – ######, Federal Transit Assistance, Public Transportation 492

• Contract for Emergency Public Transportation service to/from major employment 493 centers or to/from transfer points to other public transportation services to supplement 494 inoperable service. The Federal Transit Administration (FTA) will coordinate the 495 types and quantities of vehicles with the impacted transit agency and GSA. 496

7. PSMA – 284, Air Navigation Services Operations Liaison(s) to National Response 497 Coordination Center (NRCC) 498

• Provides an FAA operations liaison to the FEMA National Response Coordination 499 Center (NRCC) to provide subject matter expert input on air navigation services-500 related issues, including the status of air traffic management (ATM) services and 501 communications, navigation, and surveillance (CNS) systems in the disaster area. 502 This PSMA supports response (including pre-event preparations) and recovery. 503

• The liaison will also work with the National Response Coordination Staff, including 504 the Operations Support Group and the Transportation and Movement Coordination 505 Center (TMCG) to: 506

• Maintain shared situational awareness of flight operations requested by the 507 NRCC, 508

• Develop and coordinate NRCC-driven plans for the management of airspace 509 to meet incident needs, 510

• Develop and maintain a list of validated response flights requested by the 511 NRCC to be authorized by the FAA to enter airspace subject to Temporary 512 Flight Restrictions (TFRs) and/or to operate at restricted airports and airfields 513 being used as Aerial Ports of Embarkation / Debarkation (APOE/D) or 514 Incident Support Bases (ISBs). 515

8. PSMA – 285, Air Navigation Services Operations Liaison(s) to Air Operating Bases (AOBs) 516

• The FAA will provide an operations liaison to be assigned to the AOB [or equivalent 517 structure] at [location]. This liaison will provide subject matter expert input on air 518 navigation services-related issues, including the status of air traffic management 519

25

(ATM) services and communications, navigation, and surveillance (CNS) systems in 520 the disaster area. The liaison will also work with the AOB [or equivalent structure] to: 521

• Develop air traffic and airspace management measures, such as Temporary 522 Flight Restrictions (TFRs) 523

• Develop and implement vetting and, as needed, flow management protocols 524 for response and recovery aircraft flying to, from, and in the disaster airspace 525

• Maintain shared situational awareness of the response and recovery flight 526 operations in the disaster area. 527

• Translate overarching airspace management and response and recovery air 528 mission plans into Special Instructions (SPINS) for participating pilots. 529

9. PSMA - 286, Air Transport by FAA Washington Flight Program (“Hangar 6”) 530

• Provide transportation by air of FEMA personnel and/or materiel using FAA Hangar 531 6 aircraft in support of disaster response (including pre-event preparations) and 532 recovery efforts. 533

10. PSMA – 289, Maritime Administration – Berthing Ships 534

• Activate DOT/Maritime Administration (MARAD) berthing ship(s) to provide 535 billeting, meals and support for FEMA approved personnel in support of disaster 536 operations. 537

11. PSMA – 290, Maritime Administration – Cargo Ships 538

• Activate DOT/Maritime Administration (MARAD) cargo ship(s) in support of 539 disaster operations. 540

541

MEMORANDUMS OF UNDERSTANDING/INTERAGENCY AGREEMENTS 542

Federal Transit Administration/Federal Emergency Management Agency MOA 543

The purpose of this MOA is to coordinate the roles and responsibilities of FTA and FEMA in 544 providing assistance for public transportation, including the provision of public transportation 545 service and the repair and restoration of public transportation systems in areas for which the 546 President has declared a major disaster or emergency. 547

Department of Defense/Department of Transportation MOA 548

The purpose of this MOA is to coordinate the roles and responsibilities between DOD and DOT 549 concerning the National Defense Reserve Fleet and Ready Reserve Force. 550

551

26

PLANS 552

National Response Program Concept of Operations 553

The Concept of Operations document describes the roles and responsibilities of ESF #1 team 554 members and is supported by various SOPs that further describe how the actions are performed 555 with respect to the scope of ESF #1. 556

Deliberate Plan – 1 Hurricane 557

Deliberate Plan 1 – Hurricane (DP-1) outlines the U.S. Department of Transportation’s 558 capabilities in a phased approach to support Federal, State, local, territorial, tribal authorities. 559 Private sector and nongovernmental organizations during hurricane activities including 560 preparedness, response, and the transition to recovery. This plan will be updated for all-hazards. 561

Deliberate Plan – 2 All Hazards (notice) 562

Deliberate Plan 2 – All Hazards (notice) outlines the U.S. Department of Transportation’s (DOT) 563 capabilities in a phased approach to support Federal, State, local, territorial, tribal authorities, 564 private sector and nongovernmental organizations during notice incidents. 565

Deliberate Plan – 3 All Hazards (no-notice) 566

Deliberate Plan 3– All Hazards (no-notice) outlines the U.S. Department of Transportation’s 567 (DOT) capabilities in a phased approach to support Federal, State, local, territorial, tribal 568 authorities, private sector and nongovernmental organizations during no-notice incident activities 569 including preparedness, response, and the transition to recovery. 570

571

572

573

574

575

576

577

578

579

27

580

581

582

583

TAB F 584

Statutory Authorities 585

586

587

588

589

590

591

592

593

594

595

596

597

598

599

28

EMERGENCY SUPPORT FUNCTION # 1 – STATUTORY AUTHORITIES 600

Select Department of Transportation Authorities, Including 601

Waiver Authorities, Available During an Emergency 602 603

Note: These summaries are subject to change and correction. Please see appropriate attorneys in 604 the Office of the General Counsel (OGC) or an Office of the Chief Counsel for details and 605 advice. OGC’s Office of Operations (C-60) prepared the summaries with the help of attorneys in 606 the various Chief Counsel Offices. 607 608 By statute, the Secretary of Transportation shall, under the direction of the President, exercise 609 leadership in transportation matters, including those matters affecting national defense and those 610 matters involving national or regional emergencies. The following is an overview of select 611 authorities of the Department that may be of interest in the response to an emergency situation. 612 These are authorities that the Department and Operating Administrations already have and are 613 available anytime the situation warrants, but may called upon during an emergency situation. 614 Part I contains a summary of Departmental emergency authorities for key components of the 615 transportation system, including air, rail, mass transit, highway, pipeline, hazardous materials, 616 and maritime transportation. Part II contains a summary of select waiver authorities of the 617 Department. Part III contains a discussion of other relevant authorities. 618 619 Part I – DOT Authorities 620 621 Air. The Federal Aviation Administration (FAA) is the lead agency for aviation safety 622 regulation and oversight and is responsible for the operation and maintenance (to include 623 personnel, physical, and cyber) of the Air Traffic Control System (49 U.S.C., Subtitle VII, 624 Aviation Programs). Title 49 provides FAA with full authority to operate and maintain air 625 navigation facilities and to provide the facilities and personnel needed to regulate and protect air 626 traffic. FAA continues to have primary responsibility for its own internal security, including the 627 security of its facilities. Any movement in the navigable airspace of the United States can be 628 stopped, redirected, or excluded by the FAA, regardless of the commodity involved (49 U.S.C. § 629 40103). Additionally, the FAA can order US-flag air carriers not to enter designated airspace of 630 a foreign country (e.g., to keep airspace clear for rescue operations). If FAA determines that an 631 emergency exists related to safety in air commerce that requires immediate action, FAA may 632 prescribe regulations and issue orders immediately to meet that emergency (49 U.S.C. § 633 46105(c)). FAA can also enforce a grant assurance made by all airports receiving FAA airport 634 grant funds (approximately 3,300 airports including all major U.S. airports) that the airport 635 sponsor will not temporarily close the airport for a non-aeronautical purpose without prior DOT 636 approval (49 U.S.C. § 47107(a)(8)). 637 638 Examples of specific actions FAA can take under the above authority include: preventing takeoff 639 of aircraft headed for an affected airport, and diverting aircraft already headed for that airport; 640 creating Temporary Flight Restrictions (TFR) over any part of the country, giving priority to 641 response and rescue operations; revoking exemptions from the Washington DC Air Defense 642

29

Identification Zone (ADIZ), thereby enforcing tighter security around DC; and giving priority to 643 military aircraft. 644 645 Subject to the direction and control of the Secretary of DHS, it is the Transportation Security 646 Administration (TSA) that has the exclusive responsibility to direct law enforcement activity 647 related to passenger safety on an aircraft involved in air piracy (as defined under 49 U.S.C. § 648 46502) from the moment all external doors of the aircraft are closed following boarding until 649 doors are opened to allow passengers to leave the aircraft (49 U.S.C. § 44903(e)), and the 650 authority to cancel a flight or series of flights if a decision is made that a particular threat cannot 651 be addressed in a way adequate to ensure, to the extent feasible, the safety of passengers and 652 crew (49 U.S.C. § 44905(b)). TSA is required to work in conjunction with the FAA with respect 653 to any actions or activities that may affect aviation safety or air carrier operations (49 U.S.C. 654 § 114(f)(13); 6 U.S.C. § 233(a)). 655 656 Rail. Any movement in the United States by rail carrier (including commuter rail but excluding 657 urban rapid transit not connected to the general system of rail transportation) may be stopped, 658 redirected, or limited by the combined authority of the Surface Transportation Board (STB) and 659 the Federal Railroad Administration (FRA), irrespective of commodity involved.1 FRA may 660 issue, without providing prior notice and an opportunity for comment, an emergency order 661 imposing any restrictions or prohibitions necessary to abate what FRA determines is an 662 emergency situation involving a hazard of death, personal injury, or significant harm to the 663 environment caused by unsafe conditions or practices (49 U.S.C. § 20104). While FRA may 664 stop rail traffic it may not redirect the movement of the traffic; only STB may do that. In 665 addition, FRA safety inspectors may immediately order a locomotive out of service if it is not 666 safe to operate without unnecessary danger of personal injury (e.g., non-compliance with FRA 667 regulations) until either repair of the defect or further inspection and a finding of compliance (49 668 U.S.C. § 20702(b)).2 Further, an FRA safety inspector may immediately order freight cars and 669 railroad passenger equipment (both cars and locomotives) out of service if they violate certain 670 FRA regulations and are unsafe to operate until repaired or found to be in compliance (49 U.S.C. 671 §§ 20111(b), 20702(b)).3 Finally, an FRA safety inspector may order a railroad to reduce the 672 class of a segment of its track to as low as Class 1, which entails maximum operating speeds of 673 10 mph for freight trains and 15 mph for passenger trains, when the track segment does not 674 comply with the requirements for the class at which the track is being operated (49 U.S.C. § 675 20111(b)).4 676 677 The STB can direct for a period of 270 days the movement, preferences, and prioritization of 678 freight traffic necessary to alleviate an emergency situation involving the failure of traffic 679 movement having substantial adverse impacts on shippers or on rail service in any region of the 680 United States (49 U.S.C. § 11123), and may also order that preference be given to certain traffic 681 when the President so directs in time of war or threatened war (49 U.S.C. § 11124). STB orders 682 issued pursuant to this authority override bans or embargos on rail movement issued by 683

1 Some authority exercised by other DOT operating administration, as discussed below, is limited to hazardous materials. 2 See 49 CFR §§ 216.13, 216.17. 3 See 49 CFR §§ 216.11, 216.15, 216.17. 4 See 49 CFR §§ 213.9, 216.15, 216.17.

30

Governors or Mayors, although the latter could challenge such orders in court based on their 684 police and general welfare authority. 685 686 Subject to the direction and control of the Secretary of DHS, TSA is principally responsible for 687 railroad security and may prescribe a security regulation or issue a security order affecting the 688 security of railroad operations in consultation with DOT. Also, FRA construes “every area of 689 railroad safety” to include security-related threats to safety (Homeland Security Act of 2002, 690 Section 1710; 49 U.S.C. §§ 20105, 20103(a)). 691 692 Mass Transit. In general, DOT is forbidden from regulating the operation, etc. of public 693 transportation system grantees of the Federal Transit Administration. However, the SAFETEA-694 LU Act amended section 5334 of 49 U.S.C. to create an express exception to the above 695 prohibition when needed for national defense or in the event of a national or regional emergency. 696 697 Highway. DOT’s Federal Highway Administration (FHWA) possesses no authority to operate 698 the Nation’s highway system during times of emergency. States, local governments, other 699 Federal agencies, and private parties own, control, and operate the Nation’s roads and bridges. 700 701 DOT’s Federal Motor Carrier Safety Administration (FMCSA) enforces DOT’s hazardous 702 materials regulations applicable to highway transportation. DOT may issue or impose 703 emergency restrictions, prohibitions, recalls, or out-of-service orders involving hazardous 704 materials, without notice or an opportunity for a hearing, but only to the extent necessary to abate 705 an imminent hazard (49 U.S.C. § 5121(d)). In addition, Section 1711 of the Homeland Security 706 Act of 2002 (Pub. L. 107-296) clarifies that DOT’s hazardous materials authority extends to 707 security matters (49 U.S.C. 5103(b)(1)). In light of these statutes, DOT is developing regulatory 708 procedures for DOT to issue emergency orders to address imminent hazards, including an 709 external threat to a hazardous cargo. If needed, DOT could issue such an order on an emergency 710 basis before completion of the rulemaking. 711 712 Pipeline. The Pipeline and Hazardous Materials Safety Administration (PHMSA) has authority 713 to issue an administrative order suspending or restricting operation of a gas or hazardous liquid 714 pipeline facility without prior notice and hearing if it determines that: (1) continued operation of 715 the pipeline facility is or would be hazardous; and (2) failure to issue the order expeditiously will 716 result in likely serious harm to life, property or the environment (49 U.S.C. § 60112). New 717 authority contained in the Pipeline Inspection, Protection, Enforcement, and Safety (PIPES) Act 718 of 2006 (P.L. 109-468) authorizes PHMSA to issue a special permit on an emergency basis 719 temporarily waiving compliance with any part of the Federal safety regulations applicable to a 720 pipeline without prior notice and hearing on terms PHMSA considers appropriate if PHMSA 721 determines that: (1) it is in the public interest to grant the special permit; (2) the special permit is 722 not inconsistent with pipeline safety; and (3) the special permit is necessary to address an actual 723 or impending emergency involving pipeline transportation, including an emergency caused by a 724 natural or man-made disaster. Emergency special permits may be issued for a period of not more 725 than 60 days but may be renewed upon application after notice and opportunity for a hearing (49 726 U.S.C. § 60118(c)(2)). 727 728

31

Hazardous Materials. Any aspect of hazardous materials transportation by any mode that 729 presents an “imminent hazard” may be halted by court order (49 U.S.C. § 5122(b)). An 730 “imminent hazard” is a condition that presents a substantial likelihood that death, serious illness, 731 severe personal injury, or a substantial endangerment to health, property, or the environment may 732 occur before the reasonable foreseeable completion date of a formal proceeding begun to lessen 733 the risk of that death, illness, injury, or endangerment (49 U.S.C. § 5102). DOT may issue or 734 impose emergency restrictions, prohibitions, recalls, or out-of-service orders involving hazardous 735 materials, without notice or an opportunity for a hearing, but only to the extent necessary to abate 736 an imminent hazard (49 U.S.C. § 5121(d)).5 737 738 Maritime. The Saint Lawrence Seaway Development Corporation (SLSDC) may halt traffic 739 through those portions of the Saint Lawrence Seaway subject to the jurisdiction of the United 740 States, if required for safety or security of the seaway or for national security (e.g., deepwater 741 vessels could be barred from entering or leaving the Seaway) (33 U.S.C. §§ 984 & 1226). Also, 742 the Ports and Waterways Safety Act of 1972 (Pub. L. 92-340, 86 Stat. 424), as amended by the 743 Port and Tanker Safety Act of 1978 (Pub. L. 95-474, 92 Stat. 1471), provides the SLSDC 744 authority over vessel operations in the Saint Lawrence Seaway. 745 746 DOT does not have the authority to regulate other maritime transportation; that is the province of 747 the U.S. Coast Guard. However, during a national emergency declared by the President, DOT, 748 through the Maritime Administration (MARAD), can enhance U.S. sealift capacity by taking 749 control of vessels, containers and chassis through requisitioning (46 U.S.C. § 56301); Emergency 750 Foreign Vessels Acquisition Act (50 U.S.C. §§ 196-198)). When the United States is at war or 751 during a national emergency declared by the President, MARAD can also restrict the transfer of 752 shipyards, among other properties, to foreign ownership (46 U.S.C. § 56102(a)). MARAD can 753 prevent the transfer of vessel ownership to foreign ownership or control (46 U.S.C. § 56101), 754 and, working with the Department of Defense, can allocate landside access and space in ports for 755 the more efficient movement of military cargo (see discussion below regarding the Defense 756 Production Act, and MARAD’s regulations at 46 C.F.R. Parts 340, 345-47). 757 758 The Maritime Administration operates and maintains the National Defense Reserve Fleet 759 (“NDRF”). 50 U.S.C. App. § 1744. The NDRF is available, among other uses, to support the 760 deployment of the armed forces of the United States and for civil contingency operations upon 761 orders from the National Command Authority. 50 U.S.C. App. § 1744(b). The Maritime 762 Administration also has authority to purchase, charter, operate, or otherwise acquire the use of 763 any documented vessel. 46 U.S.C. § 57533. 764 765 Part II – Select Waiver Authorities of the Department of Transportation 766 767 DOT has specific authorities to waive certain safety regulations. The following is an overview 768 of DOT’s more significant or useful authorities that may apply in an emergency situation. Each 769 authority is heavily fact-driven. 770 771 Aviation (FAA and OST) 772

5 For DOT’s regulations implementing this statutory authority, see 49 CFR part 109.

32

Safety: FAA – Federal Aviation Administration (FAA) has extremely broad exemption authority 773 to grant exemptions from FAA regulations. 49 U.S.C. § 40109(b).6 Exemptions may cover 774 activities such as transportation of otherwise prohibited substances to emergency locations; 775 passenger manifesting; towing of devices or equipment by helicopters to address emergency 776 situations; removal of flight and duty time limitations to permit emergency evacuations by airline 777 pilots; or use of non-certificated aircraft for transportation of people or cargo. In addition, FAA 778 may issue interpretations of its regulations that ease flight and duty time requirements for crews 779 to facilitate participation in relief flights, and may relax cabin safety requirements, such as 780 allowing children over two years old to ride in a parent's lap, to allow more than three children in 781 a row, etc., as was done during Hurricane Katrina evacuations. 782

783 Economic: OST - The Office of the Assistant Secretary for Aviation and International Affairs 784 (OST-X) may issue emergency exemptions on a temporary basis to permit foreign-flag airlines 785 to carry passengers and freight in support of a designated relief effort, such as a hurricane. 49 786 U.S.C. § 40109(g), and may issue emergency exemptions to permit air carriers normally licensed 787 only for private air transportation to offer their services to the public at large, including 788 government and private relief organizations, to assist in relief efforts. 49 U.S.C. § 40109(c). 789 Additionally, OST may amend grant awards to airports supported by the DOT’s Small 790 Community Air Service Development Program under certain conditions. 49 U.S.C. § 41743. For 791 example, OST may agree to waive local matching share requirements if specific disaster 792 situations hamper the airport’s ability to obtain local funds. 793

794 Commercial Motor Vehicles (FMCSA) - Upon declaration of a regional or local emergency, 795 either by the President, designated Federal Motor Carrier Safety Administration (FMCSA) 796 officials, or appropriate State or local officials, FMCSA regulations automatically provide 797 temporary relief from specific safety regulations to any motor carrier or driver operating a 798 commercial motor vehicle (CMV) to provide direct7 emergency assistance during the emergency 799 (see 49 CFR 390.23); no application by the carrier or driver is needed. This regulatory relief 800 covers 49 CFR 390 through 399 of the Federal Motor Carrier Safety Regulations, which includes 801 hours of service requirements; driver qualification requirements; CMV operation, inspection; 802 repair and maintenance requirements; and employee safety and health standards. Section 390.23 803 does not provide relief from the requirements for a Commercial Driver’s License (CDL) (49 804 CFR 383)8, controlled substances and alcohol testing (49 CFR 382), or motor carrier financial 805 responsibility/insurance (49 CFR 387). 806

6 For FAA’s exemption procedures see 14 CFR § 11.61 et seq. 7 The definition of “direct assistance” in 49 CFR 390.23 is “transportation and other relief services provided by a motor carrier or its driver(s) incident to the immediate restoration of essential services (such as electricity, medical care, sewer, water, telecommunications, and telecommunication transmissions) or essential supplies (such as food and fuel). It does not include transportation related to long-term rehabilitation of damaged physical infrastructure or routine commercial deliveries after the initial threat to life and property has passed.”

8 However, the CDL regulations themselves include a number of exceptions, which apply at all times, not just during emergencies. One such exception covers military drivers. Section 383.3(c) states that "Each State must exempt from the requirements of this part [the CDL regulations] individuals who operate CMVs for military purposes. This exception is applicable to active duty military personnel; members of the military reserves; members of the national guard on active duty, including personnel on full-time national guard duty, personnel on part-time national guard training, and national guard military technicians (civilians who are required to wear military uniforms); and active

33

807 Highway (FHWA) - DOT’s Federal Highway Administration (FHWA) possesses no authority 808 to operate the Nation’s highway system during times of emergency. States, local governments, 809 other Federal agencies, and private parties own, control, and operate the Nation’s roads and 810 bridges. Additionally, waivers of size and weight restrictions must be issued by the States. 811 812 Hazardous Materials (PHMSA) – Pursuant to 49 U.S.C. § 5117(a)(1), the Pipeline and 813 Hazardous Materials Safety Administration (PHMSA) may issue special permits authorizing a 814 variance of specified hazardous materials transportation safety regulations for transportation of 815 hazardous materials in a way that achieves a safety level at least equal that required under 816 existing law; or that is consistent with the public interest and Chapter 51, Title 49, if a required 817 safety level does not exist.9 There are three types of special permits : (1) those authorizing the 818 offer of a hazardous material for transportation in a different manner than otherwise required in 819 the Hazardous Materials Regulations (HMR); (2) those authorizing the transport a hazardous 820 material in a different manner than required in the HMR; and (3) those authorizing the 821 manufacture and sale of a packaging for use in transporting hazardous material, when the 822 packaging does not meet the design specification or performance requirements in the HMR. 823 Special permits usually contain conditions (alternate requirements) that provide an equivalent 824 level of safety. For example, the special permit may allow surface transportation (rail or motor 825 vehicle) but not air transportation; it may limit the transportation to private carriage (delivery by 826 the manufacturer or seller) rather than a common carrier; it may specify “exclusive use” (i.e., the 827 vehicle may not carry other materials). 828 829 Highway Safety Programs (NHTSA) - The National Highway Traffic Safety Administration 830 (NHTSA) may issue waivers of specific State funding programs. 23 U.S.C. § 402(b)(2); 23 CFR 831 § 1250.5. For example, as a result of Hurricanes Katrina and Rita, NHTSA granted the State of 832 Louisiana a partial waiver of the requirement for the State to expend at least 40% of Fiscal Year 833 2005 Section 402 funds for the benefit of local political subdivisions. This waiver was necessary 834 because those hurricanes directly impacted local law enforcement agencies’ ability to expend 835 funds on traffic safety, and the State estimated that it would achieve only an estimated 25% local 836 benefit when FY 2005 expenditures were closed out. 837 838 Motor Vehicle Safety (NHTSA) – 49 U.S.C. § 30144 provides a limited exemption from the 839 prohibition against importing non-conforming motor vehicles and equipment for a motor vehicle 840 imported on a temporary basis for personal use by specific class of individuals, such as the 841 personnel of foreign governments. See also 49 CFR § 591.5. However, such motor vehicles 842 may not be sold while in the U.S. and must be exported or abandoned to the U.S. government at 843 the end of the individual’s tour in the U.S. Id. For example, as a result of Hurricane Katrina, 844 NHTSA permitted importation of trucks and other vehicles needed to assist in disaster relief 845 efforts without completed customs declaration for each imported vehicle, particularly in light of 846 the controls established by the Federal Emergency Management Agency and the Department of 847 State. 848

duty U.S. Coast Guard personnel. This exception is not applicable to U.S. Reserve technicians." Because these military drivers are exempt from the CDL requirements, they are also exempt from controlled substances and alcohol testing. 9 For PHMSA’s special permit procedures, see 49 CFR Part 107, subpart B.

34

849 Maritime – (1) Jones Act: Although the Department of Homeland Security (DHS), not DOT, 850 issues waivers of the Merchant Marine Act of 1920 (the “Jones Act”), the Maritime 851 Administration (MARAD) assists DHS in determining whether such waivers are necessary, as 852 well as the extent and duration of such waivers, by identifying available U.S. flagged sealift 853 capacity. 46 U.S.C § 501. 854 855 (2) War Risk Insurance: Under 46 U.S.C. § 53905, with approval of the President, DOT issues 856 war risk insurance without payment of insurance premium at the request of the Department of 857 Defense (DOD) upon an agreement of indemnifying DOT against loss covered by the insurance. 858 859 (3) Under 10 U.S.C. § 2631, DOD, not DOT, may waive the vessel requirements of transporting 860 military freight when DOD determines that such waiver is critical to U.S. national security. 861 862 Public Transit – The Federal Transit Administration (FTA) is prohibited from regulating 863 operations, routes or schedules of public transportation except for purposes of national defense or 864 in the event of a national or regional emergency. 49 U.S.C. 5334(b)(1). FTA generally does not 865 have authority to waive statutory requirements. However, when making a grant under FTA’s 866 Public Transportation Emergency Relief Program, authorized by MAP-21, grants are subject to 867 terms and conditions FTA considers are necessary. Therefore, FTA may choose to not apply 868 requirements that would impair the ability of a public transportation agency to act quickly in 869 response to an event. In addition, FTA’s charter rule (49 CFR Part 604) provides that 870 evacuations and emergency services are not considered charter service. Grantees may provide 871 emergency services that might otherwise be considered charter to a community for up to 45 days 872 before notifying FTA. 49 CFR 604.2(f). In addition, FTA may waive the prohibition against use 873 of FTA-funded assets for school bus service during or in the aftermath of an emergency (49 874 U.S.C. § 5323, 49 CFR Part 605). FTA may also waive the requirements that FTA-assisted 875 property be used for transit purposes and allow, for example, transit systems to use buses as 876 barricades or to use transit facilities as shelters (49 CFR Part 18). Additionally, FTA may waive 877 the requirement to reimburse FTA for damage to FTA-funded property due to misuse if, during 878 an emergency, the transit system needs to subject its assets to dangerous conditions (FTA Master 879 Agreement § 19). Finally, FTA may waive requirements for driver drug and alcohol testing, 880 competitive procurement and Buy America requirements, if drivers or assets need to be quickly 881 obtained to respond to an emergency (49 U.S.C. § 5331; 49 CFR Part 655; 49 CFR Part 18, 49 882 U.S.C. § 5323; 49 CFR Part 661).10 883 884 Pipeline - The Pipeline and Hazardous Materials Safety Administration (PHMSA) may issue a 885 special permit on an emergency basis temporarily waiving compliance with any part of the 886 Federal safety regulations applicable to a pipeline without prior notice and hearing on terms 887 PHMSA considers appropriate if PHMSA determines that: (1) it is in the public interest to grant 888 the special permit; (2) the special permit is not inconsistent with pipeline safety; and (3) the 889 special permit is necessary to address an actual or impending emergency involving pipeline 890 transportation, including an emergency caused by a natural or man-made disaster. Emergency 891 special permits may be issued for a period of not more than 60 days but may be renewed upon 892 application after notice and opportunity for a hearing. 49 U.S.C. § 60118(c)(2). 893

10 For FTA’s emergency relief provisions see 49 CFR Part 601.

35

Railroads (FRA and STB) 894 FRA – The Federal Railroad Administration (FRA) may issue waivers of certain safety 895 regulations or orders during an emergency situation or event. 49 U.S.C. § 20103(d). Such 896 waivers may include temporary postponement of required maintenance, repair, or inspection 897 related to railroad equipment, track, and signals; temporary relief from certain recordkeeping or 898 reporting requirements; or short-term relief from various operational requirements.11 899 900 STB - The Surface Transportation Board (STB) has broad authority to exempt persons, 901 transactions, or services --- either individually or as a class --- from almost all parts of the statute 902 that it administers, pursuant to 49 U.S.C. § 10502 (rail provisions), § 13541 (motor and water 903 carrier provisions), and § 15302 (pipeline provisions). Similarly, STB has broad inherent 904 authority to waive its regulations, so long as the waiver is reasonable and explained. For 905 example, after Hurricane Katrina, STB authorized the railroad CSX to use 355.1 miles of rail line 906 of a railroad controlled by Norfolk Southern railroad between Alabama and Louisiana. CSX 907 needed this trackage because of the destruction or damage to CSX’s own track. In a decision 908 granted less than 24 hours after receipt of the request, STB waived the usual delay in effective 909 date and allowed the temporary route to be used immediately. 910 911 Part III – Other Applicable Authorities 912 913 Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act) (codified as 914 amended almost entirely at 42 U.S.C. §§ 5121-5206) – The Stafford Act establishes programs 915 and processes for the Federal Government to provide disaster and emergency assistance to 916 States, local governments, tribal nations, individuals, and qualified private nonprofit 917 organizations. The provisions of the Stafford Act cover all hazards including natural disasters 918 and terrorist events. In a major disaster or emergency as defined in the Stafford Act, the 919 President may “direct any Federal agency, with or without reimbursement, to utilize its 920 authorities and the resources granted to it under Federal law (including personnel, equipment, 921 supplies, facilities, and managerial, technical, and advisory services) in support of State and local 922 assistance efforts.” 923 924 Defense Production Act of 1950 (50 U.S.C. App. §§ 2061-2170) – The Defense Production Act 925 (DPA) is the President’s primary authority to ensure timely availability of private sector 926 resources for national defense. In addition to military and energy activities, the definition of 927 “national defense” includes emergency preparedness activities conducted pursuant to Title VI of 928 The Robert T. Stafford Disaster Relief and Emergency Assistance Act and the protection and 929 restoration of critical infrastructure. Therefore, DPA authorities are available for activities taken 930 in preparation for, during, or following a natural or human-caused disaster or event. The two 931 DPA titles used by DOT are Title I and Title VII. 932 933 Under Title I of the DPA, the President has authority to require the acceptance and prioritization 934 of contracts and orders -- and to allocate materials, services, and facilities -- in support of the 935 national defense. Under Section 201 of Executive Order 13603, the President has delegated 936

11 For FRA’s emergency waiver procedures, see 49 CFR 211.45.

36

these prioritization and allocation authorities to the Secretary of Transportation for all forms of 937 civil transportation. However, formal findings must be made by the Departments of Defense, 938 Energy or Homeland Security before DOT can exercise its DPA authority. In allocating or 939 prioritizing civil transportation resources, DOT, after an appropriate finding from one of the 940 three agencies, has extensive authority, in all modes, to organize civil transportation in the event 941 of an emergency. The Secretary has delegated this authority to the Director, Office of 942 Intelligence, Security and Emergency Response. 943

Title VII, specifically Section 708, of the DPA authorizes voluntary agreements and plans of 944 action for preparedness programs. This allows for execution of voluntary agreement among 945 business competitors to cooperate for disaster planning and response and provides antitrust 946 protection for actions taken pursuant to such voluntary agreements. DOT’s Maritime 947 Administration sponsors and manages two voluntary agreements—the Voluntary Intermodal 948 Sealift Agreement (for dry cargo) (VISA) and the Voluntary Tanker Agreement (for petroleum 949 products) (VTA). Both agreements are designed to facilitate DOD assured access to merchant 950 vessels for contingency operations when a timely response to a request for required capacity 951 from the commercial market will not be forthcoming. 952

The Economy Act - The Economy Act (31 U.S.C. §§ 1535, 1536) provides general authority for 953 one agency (the “requesting agency”) to request that a major organizational unit within that 954 agency or a different agency (the “performing agency”) provide goods or services for the 955 requesting agency.12 In general, the performing agency may provide the requested good or 956 services either directly or by contract with a private party. The Economy Act requires that 957 (1) the requesting agency must have the authority and funds to undertake the activity supported 958 by the request; (2) the requesting agency must determine that the request is in the best interest of 959 the government; (3) the performing agency must in a position to supply the goods or services 960 requested; and (4) the requesting agency must determine that it cannot obtain the goods or 961 services as conveniently or economically from a commercial source. 31 U.S.C. § 1535(a). The 962 requesting agency must pay or reimburse the performing agency for the actual cost of goods or 963 services provided. Id. § 1535(b). 964

965

966

967

968

969

970

12 The Economy Act generally does not apply when more specific statutory authority authorizes an agency to provide assistance to another agency.

37

971

972

973

974

975

TAB G 976

Resources and Capabilities 977

978

979

980

981

982

983

984

985

986

987

988

989

990

38

991

EMERGENCY SUPPORT FUNCTION # 1 – RESOURCES AND CAPABILITIES 992

USDOT Deployable Resources and Capabilities 993

39

Asset Owner Capability Deployment Metrics National Response Program

DOT DOT is the coordinator and primary agency for ESF #1 and a supporting agency for other ESFs. ESF #1 supports the Department of Homeland Security (DHS) by assisting federal, state, local, and tribal governmental entities, voluntary organizations, NGOs, and the private sector in the management of transportation systems and infrastructure during domestic threats or in response to incidents. ESF #1 provides a single point for obtaining key transportation-related information, planning, and emergency management, including prevention, preparedness, response, mitigation, and recovery capabilities at all levels of government. ESF #1 also carries out the Department of Transportation (DOT)’s statutory responsibilities, including regulation of transportation, management of the Nation’s airspace, and ensuring the safety and security of the national transportation system. ESF #1 agencies are not responsible for the movement of goods, equipment, animals, or people.

Staff at deployable to FEMA HQ/National Response Coordination Center (NRCC) within hours. Staff located in each FEMA Region deployable to FEMA RRCCs within hours.

National Response Program - Regional

DOT A Regional Emergency Transportation Coordinator (RETCO) is a senior-level executive appointed by DOT to serve as the regional representative of the Secretary of Transportation for emergency transportation preparedness and response. RETCO’s coordinates/provide assistance to other Federal agencies and SLTTs in emergency preparedness and response for transportation services. RETCO acts as a single point of contact during

Staff located in each FEMA Region deployable to FEMA RRCCs within hours

40

major, Presidentially declared incidents to expedite and validate requests to DOT other Federal/State/Local Officials at the incident site.

Evacuation Liaison Team

DOT Evacuation Liaison Teams led by ESF-1 can assist in the coordination of multi-state evacuations. Due to the likelihood of extensive damage and the need to relocate large portions of the population, a catastrophic incident is expected to generate significant evacuation requirements. ESF #1 dedicates significant resources, such as evacuation-coordination and liaison teams and transportation-system and coordination support, to improve evacuation planning and identify assets to support evacuations.

Staff located in Atlanta and can be activated within one day.

National Defense Reserve Fleet/Ready Reserve Force

DOT/MARAD

The National Defense Reserve Fleet is comprised of ships owned and maintained by the Maritime Administration. The fleet serves as a reserve of vessels which can be activated to help meet U. S. shipping requirements during a national emergency.

The Ready Reserve Force (RRF) is a fleet of cargo ships, owned and maintained by the Maritime Administration and managed by commercial companies. The ships are used to support the deployment of U.S. military forces overseas and in national emergencies.

178 Vessels in the NDRF, 48 Vessels in the RRF. A complete inventory of the National Defense Reserve Fleet is available at http://www.marad.dot.gov/documents/i110531.pdf The NDRF fleet is dispersed among three anchorages: James River (Fort Eustis), Virginia; Beaumont, Texas; Suisun Bay in Benicia, California.

Transportation Operation Center

DOT The Department’s Transportation Operation Center (TOC) serves as the focal point for the Department’s actions during crises. The TOC is designed to monitor the nation’s transportation systems and infrastructure 24-hours a day, 7 days a week; hosts the Secretary’s Emergency Response Team and other supports personnel who provide the Secretary

Staff at DOT HQ 24/7/365; may deploy to COOP locations as necessary

41

and the Department’s Operating Administrations with information during crises; supports the Secretary with secure video teleconferencing and around-the-clock communications for unclassified and classified information; provides information to other Federal agencies, the White House, and DOT headquarters and field staff. Additionally, the TOC is the central point for the Department’s interagency liaison and coordination with the Department of Homeland Security’s National Response Coordination Center for federal response efforts.

State/Local/Tribal/Territorial Coordination (via ESF-1)

DOT In addition to providing transportation coordination and analysis for evacuation operations and evacuation route conditions, ESF #1 coordinates with State DOTs and other SLTT transportation providers regarding activities related to the restoration and repair of roadways, bridges, rails, ports, and national airspace system infrastructure.

When needed, ESF #1 activates specialized response cells to manage and coordinate air navigation services and other aviation-related efforts.

National Airspace Control

DOT/FAA FAA has authority over the National Airspace System (NAS) before, during, and after disaster response/relief operations.

FAA serves as the nation’s ultimate airspace controlling authority (ACA) and regulatory oversight authority, as well as the primary Air Navigation Services Provider (ANSP), including

42

Air Traffic Management (ATM) and Airspace Management (ASM).

Airspace Coordination

DOT/FAA, via ESF-1

Via ESF-1, DOT can activate FAA to assist states in determining the appropriate use of airports during emergency conditions.

If an event were to directly impact/damage an airport, airport repair is the responsibility of the airport authority or owner/operator. However, the FAA deploys Field Incident Response Teams to inspect, restore and repair FAA equipment and facilities.

Via ESF-1 activation

Air Navigation Services/Mobile ATC towers/AWACS

DOT/FAA Throughout disaster response/relief periods, FAA provides Air Navigation Services (ANS), including Air Traffic Control (ATC), ATM/ASM (e.g., disaster TFRs over the affected area), and navigational aids. On a case-by-case basis, the FAA may coordinate with DOD, National Guard (NG), DHS and other interagency partners to temporarily provide ANS related materiel and non-materiel assets (e.g., military mobile Air Traffic Control Towers (ATCT) or Airborne Warning and Control System (AWACS) or Command, Control, Communications (C3) type of aircraft) to compensate for the temporary reduction of FAA capabilities and/or to support extraordinary response/relief air missions.

In the event that existing FAA ANS capabilities are temporarily degraded or disrupted by an incident, the FAA will determine what alternative, contingency capabilities are established.

Temporary Flight Restrictions (TFRs)

DOT/FAA FAA may implement disaster and other TFRs in the affected area to support response/relief operations. Any introduction of aircraft performing C3 type of functions into the disaster

As appropriate, the FAA may direct these contingency resources be demobilized as

43

airspace must be pre-approved by the FAA and the UC in order to avoid the unsafe risk of disparate tactical directions being sent to multiple flights operating in shared airspace.

FAA ANS capabilities are restored.

Security Details DOT/OIG DOT-OIG will provide support to ESF#1 -Transportation through security details and protecting DOT assets, equipment or other items requested by the Secretary of Transportation.

HAZMAT Regulatory Compliance, and associated Regulatory and Administrative Relief provisions

DOT, PHMSA, and FMCSA

The transportation of HAZMAT is governed by the Federal Hazardous Materials Transportation Law (Federal hazmat law), and the implementing regulations, the Hazardous Materials Regulations (HMR, 49 CFR Parts 171-180) which are issued and enforced by DOT. The Secretary of Transportation has delegated the authority for transportation of hazardous materials, including radioactive materials, to the Pipeline and Hazardous Materials Safety Administration (PHMSA) and its modal partners. The Federal hazmat law and HMR apply to persons who transport, or cause hazardous materials to be transported in commerce, and are applicable to hazmat packaging and pre-transportation and transportation functions. The Federal hazardous materials preemption framework also includes modal specific preemption provisions for motor carrier (highway routing), rail, and aviation. Surrounding a particular event, emergency declarations may be issued by the President, Governors, or the Federal Motor Carrier Safety Administration (FMCSA). These declarations trigger the temporary suspension of certain Federal safety regulations, including hours of service,

DOT-PHMSA can assist with compliance with the HMR for transportation of contaminated items, and/or issue waivers of HMR. DOT can issue an Emergency Special Permit at the request of an Incident Commander, Field Operations Office, or Federal party responsible for oversight of an incident. In an emergency situation, a Special Permit can be approved in approximately one hour. The special permit itself may apply to any surface mode of transportation (but most typically to motor vehicle transportation).

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994

995

996

997

998

999

1000

1001

1002

1003

1004

for motor carriers and drivers engaged in specific aspects of the emergency relief effort.

DOT Emergency Preparedness, Response, and Recovery Information Website (www.dot.gov/emergency) and Call-Center

DOT During emergency situations, DOT will post information related to transportation permits, waivers, and other regulations and authorities that are applicable during an emergency to assist all public and private transportation organizations

Staff located at DOT HQ and call center (if applicable) is activated on an “as needed” basis.

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1005

1006

1007

1008

TAB H 1009

Emergency Support Function #1 2021 1010

Calendar 1011

1012

1013

1014

1015

1016

1017

1018

1019

1020

1021

1022

1023

1024

46

EMERGENCY SUPPORT FUNCTION # 1 – FY 2021 CALENDAR 1025

Event Date/Location Point of Contact National Response Program Annual Training

March 3-7, 2021, TBD Mike Callahan, mike.callahan@dot.gov

ESF-1 Partners Meeting May 2021, Date TBD DOT Headquarters

Mike Callahan, mike.callahan@dot.gov

DOT Emergency Response Team Hurricane Briefing

May 2021, Date TBD DOT Headquarters

Mike Callahan, mike.callahan@dot.gov

1026

1027

1028

1029

1030

1031

1032

1033

1034

1035

1036

1037

1038

1039

1040

1041

1042

1043

47

1044

1045

1046

1047

1048

TAB I 1049

Emergency Support Function #1 Goals and 1050

Metrics 1051

1052

1053

1054

1055

1056

1057

1058

1059

1060

1061

1062

1063

1064

1065

1066

48

ESF #1 Goals and Metrics 1067

1. Goal: Hold annual meeting with representatives from lead and support agencies. 1068

a. Metric: Was this completed? Yes/No 1069

2. Goal: Update internal and external point of contact list on a quarterly basis. 1070

a. Metric: Is the POC list current? Yes/No 1071

3. Goal: Conduct Hot Wash and After Action Reviews after each ESF #1 activation. 1072

a. Metric: Was Hot Wash and After Action Reviews conducted? Yes/No 1073

b. Metric: Was Corrective Action Plan developed? Yes/No 1074

c. Metric: Were Corrective Actions Implemented? Yes/No 1075

4. Goal: Review and update if necessary SOPs, Pre-Scripted Mission Assignments, MOUs, 1076 Interagency Agreements, Checklists, and Plans on a semi-annual basis. 1077

a. Metric: Was review/update completed? Yes/No 1078

5. Goal: Hold DOT Emergency Response Team seminar annually (prior to Atlantic hurricane 1079 season) to ensure preparedness. 1080

a. Metric: Did you hold a seminar? Yes/No 1081

6. Goal: Hold year-end review meetings at the end of each hurricane season to identify and 1082 address gaps and shortfalls that occurred that season. 1083

a. Metric: Did you hold a meeting? Yes/No 1084

b. Were gaps/shortfalls from previous years recurring or were they addressed 1085 effectively? Yes/No 1086

7. Goal: Participate in national, state, and local training and exercises as needed. 1087

a. Metric: What national, state, and local training exercises did ESF #1 participate in? 1088 Yes/no 1089

b. Metric: Were all ESF #1 action items completed? Yes/No 1090

8. Goal: Ensure all ESF #1 assigned equipment (SatPhone, HotSpot, GETS/WPS, Secure 1091 Phone) is testing monthly. 1092

a. Metric: Was equipment tested? Yes/No 1093

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b. Metric: Is equipment working properly? Yes/No 1094

9. Goal: Conduct National Response Program Annual Training 1095

a. Metric: Was the training conducted? Yes/No 1096

1097