April 15, 2009 Version

I. INTRODUCTION

Planning for the continuity of instruction, research, and patient care at Duke University in response to an emergency is a complex task. This Emergency
Management Plan documents the framework, processes, and communications required for a successful response to and recovery from an emergency incident.

Purpose

The purpose of the Emergency Management Plan is to:

• Help prepare Duke employees to respond successfully to an emergency situation
• Define clearly roles, responsibilities, and authorities for those involved in managing emergencies
• Ensure that consequences of emergencies are adequately and expediently assessed from an internal and external perspective
• Have a clear, rapid, factual and coordinated system of internal and external communication in emergency situations
• Have effective coordination between the emergency management organizations of the university, the health system, and local, state, and federal authorities
• Promote throughout the university and the health system a culture that both enables effective response in an emergency and helps prevent them through an open exchange of information about potential emergencies

Scope

The plan provides those working at the University with a methodology and a protocol for managing:

• Emergency incidents in Duke University facilities in Durham, North Carolina and in other Duke offices and departments throughout North Carolina
• A situation that could affect the reputation of Duke University
• A technical event that interrupts Duke’s ability to conduct classes or research, or provide patient care
• An event that significantly affects students, faculty, staff, executives, or Board members.

II. EMERGENCY MANAGEMENT ORGANIZATION

Overview

Duke University has a tiered emergency response structure that encourages local management of incidents and coordinated communication involving senior leadership.

The Duke University Emergency Management Plan operates on three levels (see Appendix B for additional information):

• Level 3 — incidents that have limited impact on the university and can be managed through routine protocols and procedures within a department or center of activity (e.g., school, unit, or facility)
• Level 2 — incidents that have the potential to have broader impact or that require cooperation among units to effectively manage and resolve them and that require adaptation of routine procedures
• Level 1 — incidents that present substantial risks to the community or the university’s resources and reputation and that present a substantial degree of novelty

The Emergency Coordinator (EC) is responsible for “grading” incidents and elevating them when necessary to a higher level of management. Everyone in the
emergency management organization is trained to bring incidents to the attention of the EC when there is the possibility of an incident requiring coordination at a higher
level.

Each level of response requires a different approach to managing incidents:

In level 3 incidents, local department or site-based teams — Department Operations Teams (DOT) — are responsible for strategic decisions,
communication, and management. At the initiation of a level 3 event, the DOT informs the EC and provides updates to the EC throughout the duration of the emergency.

In level 2 incidents, the EC activates a team of administrators — Initial Assessment Team (IAT) — to assess the situation and decide on a
course of action. The IAT is a subset of the Emergency Management Team (EMT) and it generally manages the incident and is responsible for strategic decisions,
communication, and implementation. The leader of the IAT, as designated by the EC, keeps the EC informed throughout the duration of the emergency. The EC keeps the
senior leadership informed of major developments in a level 2 incident.

In level 1 incidents, the full Emergency Management Organization is activated by the EC, including the EMT and the Emergency Leadership Team (ELT).

Emergency Coordinator (EC)

The Emergency Coordinator is appointed by the President. Responsibilities include:

• Oversee the development and operation of the Duke Emergency Management Plan
• Activate and assemble the Initial Assessment Team (level 2), Emergency Management Team (level 1 and 2) and Emergency Leadership Team (level 1)
• Act as the liaison between the Emergency Leadership Team and the Emergency Management Team in level 1 incidents
• Vice President and University Secretary currently serves as EC, backed up by Vice President for Administration in the Health System and Vice President for Campus Services

Initial Assessment Team (IAT)

The Initial Assessment Team provides the initial evaluation of an incident. Team members include

• Emergency Coordinator (EC)
• Public Information Officer
• Emergency Management Team leaders (Logistics, Operations, Finance, Academic/Planning)
• Head of Campus Safety and Security
• Representative from University Counsel
• Representative from Facilities
• Representative from Student Affairs
• Others as necessary

Emergency Leadership Team

In level 1 incidents, the Emergency Leadership Team (ELT) makes policy and major strategic and resources decisions. Chaired by the President (or in his absence, the
Executive Vice President), the ELT consists of the following:

President

Vice Chancellor of Health Affairs

Executive Vice President

Provost

Vice President and University Counsel

Vice President for Public Affairs and Government Relations

Vice President and University Secretary

Others as necessary depending on the nature of the emergency

Emergency Management Team (EMT)

Responsibilities include:

• Implement policies and decisions and coordinate response to the emergency situation
• Provide for the well-being of recovery personnel
• Ensure teams are carrying out responsibilities
• Make recovery decisions based on any documented recovery priorities and communicate to the recovery teams
• Recommend how these priorities can be achieved, and which may need to be revised
• Assist in assigning the appropriate tasks needed to achieve strategic recovery goals and objectives
• Ensure critical vendors, regulatory bodies, and other identified key stakeholders are notified of the situation in a timely manner
• Assist in determining the number of staff available to assist in the recovery and how many are necessary
• Maintain and monitor the recovery schedule
• Coordinate local recovery efforts and restore the affected facility back to “business as usual”

Emergency Management Team Structure — Incident Command System

The Emergency Management Team employs the Incident Command System (ICS) as the model for organization and communication flow to manage emergencies. ICS is
now the required operating methodology for all federal/state/local agencies in the United States, and is part of the National Response Plan (NRP) and National Interagency
Incident Management System (NIIMS).

Command

The Command Team has the responsibility and the authority to direct all response and recovery activities, and is responsible for overall implementation of emergency policy.

It is led by the EC who generally serves as the Incident Commander (IC). Responsibilities include setting priorities and determining incident objectives and strategies,
developing action plans, implementing policy decisions, coordinating the work of the EMT teams, approving resource requests, authorizing information release to the media,
and ensuring after-action reports are completed.

If the incident requires an IC to be on site, the EC assigns a member of the EMT to perform that role and the EC remains in the EOC to lead the Command team.

Members of Command include:

Emergency Coordinator (IC)

Public Information Officer

Safety Officer

Liaison Officer

Chief of Staff

Others as needed

The Public Information Officer is responsible for interfacing with the public and media and/or with other agencies with incident-related information requirements. The Public
Information Officer gathers, verifies, coordinates, and disseminates accurate, accessible, and timely information on the incident’s cause, size, and current situation; resources
committed; and other matters of general interest for both internal and external audiences.

The Safety Officer monitors incident operations and advises the IC on all matters relating to operational safety, including the health and safety of emergency responder personnel.

The Liaison Officer is Incident Command’s point of contact for representatives of other governmental agencies, NGOs, and the private sector (with no jurisdiction or legal
authority) to provide input on their agency’s policies, resource availability, and other incident-related matters.

The Chief of Staff manages the information flow with the Command team and between Command and the other EMT teams and is responsible for the documentation and
dissemination of the action plans.

Operations

The Operations team is responsible for all tactical activities focused on reducing the immediate hazard, saving lives and property, establishing situational control, and restoring
normal operations. Lifesaving and responder safety are the highest priorities and first objectives of the Operations team. This team comprises the “doers.”

Members of Operations include:

Vice President of Campus Services (team leader)

Facilities

Campus Safety and Security

Occupational and Environmental Safety Office

Office of Information Technology

Duke Health Technology Solutions

Medical Center Engineering and Operations

Utilities and Engineering

Environmental Programs

Operations for Duke Hospital

Others as needed

Logistics

The Logistics team is responsible for all service support requirements needed to facilitate effective and efficient incident management, including ordering resources. This team also provides facilities, security (of the incident command facilities and personnel), transportation, supplies, equipment maintenance and fuel, food services, communications and information technology support, and emergency responder medical services, including inoculations, as required. This team comprises the “getters.”

Members of Logistics include:

Vice President of Student Affairs (team leader)

Human Resources

Athletics

Parking and Transportation

Office of Information Technology

Student Health

Dining

Student Housing

Registrar

Others as needed

Adademic/Planning

The Academic/Planning team collects, evaluates, and disseminates incident information and intelligence to the IC and incident management personnel. This team then prepares status reports, displays situation information, maintains the status of resources assigned to the incident, and prepares and documents the action plans, based on Operations team input and guidance from the IC. This team comprises the “thinkers.”

Members of Academic/Planning include:

Vice Provost for Research (team leader)

Internal Audits and Risk Management

Provost Office

Undergraduate Education

Student Affairs

School of Medicine

Office of Information Technology

Graduate and Professional Schools

University Counsel Office

Others as needed

Finance

The Finance team is responsible for on-scene or incident-specific finance and other administrative support services. Some of the functions that fall within the scope of this team are recording personnel time, maintaining vendor contracts, administering compensation and claims, and conducting an overall cost analysis for the incident. Close coordination with the Planning team and Logistics team is essential so that operational records can be reconciled with financial documents. This team comprises the “payers.”

Members of Finance include:

Assistant VP and Controller (team leader)

Procurement

Human Resources

Treasury and Cash Management

Corporate Risk Management

Others as needed

Departmental Operations Teams (DOT)

Department Operations Teams (DOT) are local department or unit-based teams that are responsible for managing level 3 incidents and coordinating with the EMT in level 1 and 2 incidents. They are led by DOT Coordinators (see Appendix A for list).

The DOT has the following responsibilities:

• Take responsibility for department preparedness, response, and recovery planning and training
• Maintain database of buildings, occupants, and contact persons
• Prepare a written DOT Emergency Plan that includes communication plans and procedures to members of the department
• Identify a primary and alternate Department Operations Center (DOC) for emergency response
• Designate key personnel for primary emergency roles:
• A DOT Coordinator to develop the DOT Emergency Plan and represent the department on the Emergency Management Council (EMC)
• A Response Team to assist with building evacuations
• An Information Coordinator to interface with the Public Information Officer
• Participate in campus EMC workshops and exercises

In addition, during incidents, the DOT has these additional responsibilities:

• Account for staff, faculty, students and others in the department
• Provide initial damage assessment to EMT
• Disseminate emergency instructions to constituents
• Communicate initial and on-going status to EMT
• Coordinate local recovery efforts and restore the affected facility back to “business as usual,” under direction of EMT

Each DOT should have a Department Operations Center (DOC) location (and at least one alternate location) for the team to use during the management of an incident. This may be a conference room or large office.

Emergency Operations Center

The Emergency Operations Center (EOC) is the command center for the Emergency Management Team. In level 1 activations, it is located in the RENCI/Telcom building. In level 2 activations, it is located in a convenient conference room. In level 2 and 3 activations, the EMT may also meet via conference call using the conference bridge number: 877-228-3100 passcode: 242665#.

In the event that the primary EOC is unavailable in a level 1 activation, the backup location at Durham Regional Hospital will be used.

Emergency Management Council (EMC)

The EMC consists of the Emergency Coordinator (chair), Vice President of Campus Services (vice chair), DOT Coordinators, EMT team leaders, and others designated by the EC as key to the Emergency Management effort at Duke. It meets at least once a semester to review key developments in EM at Duke and to discuss current issues in EM.

A subset of members serve on the EMC Steering Committee, which meets regularly to review procedures and practices; organize drills; anticipate issues or practices that might lead to an incident; and ensure that Duke’s emergency management plan stays current and effective.

III. INITIAL NOTIFICATION PROCESS IN EVENT OF EMERGENCY

Emergencies are reported through the usual reporting structure. Events that are likely to cause an activation of the plan will be made known to Campus Police, Facilities, or OIT and they will then notify the Emergency Coordinator to initiate the assessment process.

The Campus Police dispatch is staffed 24×7. This procedure allows faculty/staff/students to have a single contact point to report an Emergency.

1. In the event of a disaster, a manager from the impacted location must call the Campus Police Control Center by using the Campus Police number (911 from on campus, 684-2444 from off campus).
2. The Control Center will ask for the following information:
   • Caller’s name
   • Contact telephone number
   • Alternate telephone number
   • Event date and time
   • Event location
   • Short description of the event
   • How the caller become aware of the event
3. The Control Center will then contact the Police Chief who will notify the Emergency Coordinator.
4. The Emergency Coordinator and the Initial Assessment Team will meet on the conference bridge (877-228-3100 passcode: 242665#) to receive briefing.

The types of incidents that must be reported should include any serious event (Level 1 or 2) that has the potential to or results in an office closure or potential danger/injury to faculty/staff/students, visitors, and/or the potential for disruption to normal operations.

APPENDICES

• Appendix A: Department Operations Teams
• Appendix B: Emergency Levels
• Appendix C: Severe Weather Operations Protocol