Roles and Implications of Transportation Systems in Homeland Security David Ekern, PE – Commissioner Virginia Department of Transportation, Virginia, USA Joe Crossett, Partner High Street Consulting Group, Pennsylvania, USA Abstract State departments of transportation are responsible for planning, delivering, operating, and maintaining a vast surface transportation network that Americans depend on for safe, predictable, and easy movement of people and goods. The apparent scale and redundancy of the nation’s transportation network gives a false sense of security, as in many parts of the country that network is straining to keep up with the transportation demands of society and the economy. A single unexpected interruption in one location may have a dramatic ripple effect on ease and reliability of travel across a wide region. This paper discusses the emergency preparedness capabilities that public-sector transportation agencies are acquiring as their awareness grows about threats to safe and efficient operation of the nation’s transportation network. It covers the organizational elements and planning approaches critical to developing effective all-hazards emergency preparedness capabilities and it examines the roles that transportation agencies are developing to help prevent, prepare for, respond to and recover from serious incidents. In the United States, state departments of transportation (DOTs), working with agencies at the local and federal governmental levels, have responsibility for planning, delivering, operating, and maintaining a vast surface transportation network that includes not only four million miles of roads serving local, regional and national travel needs [1], but many rail lines, bus and rail transit systems, ferries, ports and waterways. The emergency preparedness capabilities that public-sector transportation agencies are acquiring are critical to safe and efficient operation of the nation’s transportation network in the 21st Century. Whether moving by car, truck, bus, train, ferry or on foot, Americans depend on surface transportation for safe and predictable mobility. On trips through town or across the country, vehicles drive an estimated eight billion miles on roads in the United States every day [2] and a considerable share of daily travel is associated with moving the estimated 89 percent of all freight by value that is shipped on highways [3]. The apparent scale and redundancy of the nation’s transportation network gives a false sense of security, but in many parts of the country that network is straining to keep up with the transportation demands of society and the economy. A single unexpected interruption in one location may have a dramatic ripple effect on travel across a wide region. In August 2007, for example, the collapse of Minnesota’s busiest bridge (I-35W) that carried 140,000 vehicles a day over the Mississippi River between downtown Page 1 Minneapolis and its northern suburbs, not only caused tragic loss of life but is expected to have an economic impact of about $60 million in road user detour costs incurred before it is fully replaced [4] at an expected to cost of at least $393 million. The US Department of Transportation estimates there are at least 1,000 bridges across the country where substantial casualties and economic disruption would result from isolated terrorist attacks [5]. Homeland security is one among many threats to safe and efficient operation of the nation’s transportation network. An act of terrorism at a busy bottleneck or malevolent destruction of a major bridge would almost certainly cause unacceptable loss of life and temporary disruption of economic stability and necessitate costly infrastructure repairs. Historically a range of threats such as floods, earthquakes, extreme weather, wildfires, or major traffic incidents have all proven capable of generating similarly adverse outcomes. As travel grows with economic prosperity, lower density land use, and more mobile populations, incidents of any kind pose greater potential to disrupt the transportation network. Transportation agencies have no choice but to enhance their emergency preparedness capabilities to ensure they can meet five fundamental responsibilities: 1. Prevent incidents within their control and responsibility; 2. Protect transportation users, agency personnel and critical infrastructure; 3. Support regional, state, and local emergency responders with resources including facilities, equipment, and personnel; 4. Recover swiftly from incidents; and 5. Evaluate response(s) and continually improve plans, training, skills and protocols. Meeting these responsibilities requires the engagement of skilled employees in a transportation agency, leadership by senior executives, and critical targeted investment in technology, people, and infrastructure. Fortunately, transportation agencies can build from a strong foundation as they enhance their emergency preparedness capabilities. This is because successful prevention, protection, response and recovery from terrorist attacks depends on many of the same technologies, staff skills and organizational structures needed to handle other threats. As a consequence, many transportation agencies, including over 90 percent of state DOTs, have in place all-hazards emergency preparedness plans that enable them to respond to serious incidents regardless of their cause [6]. No two transportation agencies share exactly the same characteristics and onesize-fits-all fixes are not the solution for stronger homeland security, but some common themes are emerging that merit further scrutiny. The organizational Page 2 elements and planning approaches critical to developing effective all-hazards emergency preparedness capabilities and the roles that transportation agencies are expected to perform in preventing, preparing for, responding to and recovering from serious incidents. Organizational Elements of Preparedness A transportation agency’s organizational structure is the framework that allows it to establish successful all-hazards emergency preparedness capabilities. The agency must be willing to blend new all-hazards functions with traditional organizational elements. Transportation agencies with strong all-hazards emergency management programs exhibit the following organizational elements [7]. A high-level all-hazards manager State DOTs are recognizing that all-hazards preparedness cannot be achieved without a full time, senior-level manager who is the agency’s focal point for building and maintaining its all-hazards management capabilities. Many allhazards preparedness activities involve sharing ideas among traditional transportation disciplines such as traffic operations, maintenance, engineering, and construction, so the all hazards manager in a transportation agency must have a broad understanding of many disciplines, from traffic operations and highway maintenance to information technology or bridge and tunnel design. The all-hazards emergency manager must be in close communication with executive staff so that critical issues before, during, and after incidents can be quickly raised to the highest levels, as needed. Many state DOTs have learned that colocation of all hazards emergency management with their maintenance and operations functions makes sense because this is where the greatest overlap occurs among field staff awareness, emergency traffic operations, and other direct service activities. This becomes an even stronger function when colocation can be integrated with public safety agencies. All-hazards leadership team The all-hazards manager should form and lead an inter-disciplinary team that brings together key agency personnel from disciplines such as maintenance, traffic operations, planning, design, and construction on a regular schedule. The functions of the team should include regular review of emergency incident reports, trends, program audit findings; and preparation of recommendations to senior management on changes emergency preparedness plans and processes. All-hazards technical specialist staff Depending on factors such as the size of the agency, existing staff capabilities, and criticality of risks, one or more additional staff are needed to support the allhazards manager. Core focus areas of experienced specialist(s) include responsibility for training, exercises, evacuations, technology, and intelligence. In large state DOTs, the headquarters all-hazards and security team must have Page 3 close links to districts that act for the DOT on the frontline during incidents. Each DOT district must have an experienced professional whose responsibilities include all-hazards emergency preparedness. External partnerships Organizational exchange must be strengthened between transportation agencies and partners such as emergency management agencies, the first responder community, law enforcement, public health, and intelligence. An effective allhazards manager must be active in a wide variety of state and federal networks for addressing emergency management issues. These connections promote sharing of ideas and information among disciplines and agencies that can greatly enhance a DOT’s all-hazards preparedness program. All-Hazards Emergency Preparedness Plans Transportation agencies’ all-hazards emergency preparedness plans are vital to prevention, protection, response and recovery from emergencies of all kinds. They enable every employee to understand their responsibilities; they help leadership hold staff accountable; and they allow the agency to work effectively with other organizations. Exemplary transportation agencies stand out because they have concentrated on integrating their plans into a single plan document. Their plans feature the following elements [8]. Consistency with national emergency planning principles The National Incident Management System (NIMS), Incident Command Structure (ICS) and National Response Plan (NRP) are initiatives headed up by the US Department of Homeland Security and they are the standard for emergency management planning. Many transportation agencies have built their emergency preparedness plans around NIMS, ICS and the NRP. A single emergency preparedness plan A transportation agency’s emergency preparedness plan must be an overarching document that is adopted by senior leadership and is the day-to-day resource within the agency for describing all general incident management planning, emergency operations center activation, and command and control and communications architecture that are applicable to incidents. Hazard Type annexes Hazard annexes can be attached to the primary emergency preparedness plan that provide details about threat-specific roles and responsibilities for addressing specific hazards such as terrorism, bio-chemical, nuclear, fire, tornado, earthquake, snowstorm, or flood emergencies. Likewise, an annex can be included for continuity of operations planning that describes how the agency will continue to operate if a disaster impacts key infrastructure or critical assets. Page 4 Distribution and regular updating Appropriate staff must have ready access to the latest version of the emergency preparedness plan. Furthermore, the plan and its annexes must be treated as a living document that is adapted as changes in the local operating environment and global situation dictate. The cycle for conducting a comprehensive update of the plan could be as frequent as once a year, but should certainly occur at least once every two years. Incident Prevention Capabilities Terrorist attacks differ from natural and accidental disasters because they are intentionally perpetrated acts that could possibly be prevented or deterred. The heightened threat of terrorism has led transportation agencies to pay much closer attention to counter measures for preventing malevolent attacks against assets. State and federal transportation agencies are working together with researchers to use seismically safe technologies and knowledge to enhance the blast resilience of their transportation structures. Blasts, such as those caused by a truck bomb parked near a bridge for example, have very similar structural effects to those that take place in an earthquake. Some of the tools and techniques developed over the past 25 years to make structures seismically safe may be used to make structures more resistant to terrorist attacks. These include use of redundant structural systems that are designed to reduce the risk of catastrophic collapse by transferring loads supported by lost or damaged columns to columns still intact, and structural dampers that are designed to absorb and reduce damaging vibrations. The cost of installing countermeasures for even a handful of transportation infrastructure assets is high. Much of the transportation system is characterized by features such as physical robustness, system redundancy and limited potential for mass casualties that make it a relatively unappealing terrorist target. By contrast, specific transportation facilities, such as those that span large natural barriers such as rivers, bays or mountains, and serve unique regional or national transportation and economic roles, may be attractive targets. Key transportation agency prevention capabilities should include the following elements. Risk management Risk assessment or vulnerability assessment involves considering the probability of an event and its likely consequences on people and assets. Transportation agencies are constantly refining risk management techniques to identify and protect high risk assets such as multi-tier bridges, overpasses that traverse navigable waters, flammable pipeline crossings, tunnels, heavily congested truck routes, and roadways adjacent to other targets. Armed with accurate information about risks, transportation agencies can identify and implement cost-effective Page 5 countermeasures to reduce risks to transportation assets, including risks from natural disasters and from sources of intentional harm such as terrorism. Deterrence and detection improvements Transportation agencies are putting in place a variety of deterrent and detection measures for better protecting critical facilities and assets. These measures work by creating a greater likelihood that potential aggressors will be caught and may even be deterred from attacking an asset. The effectiveness of deterrence varies with the aggressor’s sophistication, the asset’s attractiveness, and the aggressor’s objective. Measures undertaken by transportation agencies include installation of fences to increase stand-off distances from vulnerable structural components such as bridge piers or tunnel ventilation systems; secure access to structures; better lighting; electronic detection systems; elimination of parking areas beneath structures; security patrols and cameras; use of identification badges for employees and visitors; and background investigations on employees and contractors with access to critical information and facilities. Infrastructure hardening As facilities are added or renovated on the transportation network and old structures are replaced or rehabilitated, transportation agencies must take advantage of opportunities to incorporate more advanced design features for critical infrastructure assets that make them more resilient to attacks, such as location and design considerations, pier placement, and blast survivability. Public awareness building Transportation agencies are using communication tools such as rest stop information centers, highway variable message signs and congestion reporting websites to implement high visibility emergency awareness programs for the public that emphasize the importance of vigilance and provide clear direction on reporting of suspicious activities. Information sharing Transportation agencies must regularly participate in a variety of forums for sharing threat and intelligence information including networks or arrangements with state and local emergency management, law enforcement and homeland security officials. Control of sensitive information Transportation agencies must take steps to control access to documents that contain sensitive information about security critical systems and facilities. Steps that include creation of an oversight committee for setting sensitive information policies; development of protocols to cover handling of access to documents, Page 6 marking documents, storing documents, and requests for documents; establishment of a single point of contact for managing sensitive information; identification and protection of documents such as vulnerability or risk assessments, emergency response plans and other documents on security critical systems; and education of staff about sensitive information handling protocols. Incident Preparedness Capabilities Transportation agencies do not lead emergency preparedness, response, and recovery efforts, but they can and do play a vital support role to first responder, public safety, and law enforcement partners. Because they do not have high visibility roles, transportation agencies are perceived by others as public works agencies with limited support capabilities. Public safety and emergency management agencies, meanwhile, may not understand how to assess an emergency situation in terms of its likely impacts on the transportation system. Technical resources – such as advanced surveillance systems possessed by state DOTs – are not well known to the public safety community and are underutilized. All-hazards preparedness means that transportation agencies are ready to work with emergency responders whenever an incident occurs. When incidents directly affect the transportation network, DOT field personnel must become first responders so preparedness is critical. Preparatory actions enable a transportation agency to anticipate and minimize the impacts of incidents via advance planning. Many preparatory actions are relevant regardless of threat type. Key preparatory capabilities often include the following elements. Employee training Training ensures transportation agency employees are educated about their emergency management roles, responsibilities, and duties and ensures proficiency in their performance. Establishing all-hazards training programs that are consistent with Department of Homeland Security, Federal Emergency Management Agency and Transportation Security Administration curriculums to provide training to all employees in security awareness, emergency response and critical infrastructure protection. Advanced training programs must be provided for managers including CEOs, senior staff, maintenance operations managers, and all-hazards managers. Drills and exercises Transportation agencies should conduct their own tabletop and functional drills at least every three to six months to exercise emergency management plans and participate as active players in full-scale exercises held at least annually. They must use drills and exercises to develop follow-up actions including de-briefings Page 7 and updates to plans, protocols and processes to incorporate after-action findings. Enhanced traffic management centers Many DOTs are developing and expanding sophisticated “intelligent transportation systems” that use electronic technology such as traffic cameras, ramp monitoring, roadway sensors and message signs to monitor and manage traffic in urban areas. Transportation agencies are upgrading their transportation management center (TMC) capabilities from passive information collection to fusing multiple sources of data that are capable of supporting on-scene responders and the general public during incidents. These changes involve “247” operational requirements; access to special agency information systems, and should require the TMC to evolve into an auxiliary Emergency Operations Center, closely networked with other emergency responding agencies and centers. As we move deeper into the 21st Century, co-location of transportation management centers, emergency operations centers and public safety answering points will become a critical security and economic necessity. Emergency traffic operations Transportation agencies must establish procedures for working with state and local emergency responders to provide emergency traffic operations during an incident. This should include determining how to assign equipment such as mobile signs, trailblazer detour signs and barriers as well as development of procedures for use of DOT maintenance and safety patrol personnel in assisting police in road closures and traffic management in major emergencies when police resources are stretched thin. Evacuation planning Transportation agencies must work with personnel from city, and county, transportation, police, fire, and emergency management agencies, metropolitan planning organizations and major hospitals to develop plans for primary and alternative evacuation routes for major population centers. This work usually includes identification of pre-planned detour routes for the Interstate highway system and major thoroughfares, maps of each major highway access point showing where emergency vehicles should be parked to block traffic, permanent ramp gates at critical interstate entrances, assistance in preparation of major metropolitan areas and downtown evacuation plans. Communications interoperability Transportation agencies must participate in communications interoperability initiatives with first responders who have security responsibilities. This includes multiple means for disseminating emergency notifications, including web distribution, blast fax systems, radio codes, paging, and telephone calling lists, as well as development of an integrated communications system and establishment of mobile emergency response command centers to support various radio Page 8 frequencies, including those for state DOT state patrol, and local police and fire departments. Equipment, facility and personnel inventory management Transportation agencies are developing geographic information system-based databases for tracking their emergency response resources including specific equipment and its location, and personnel and their home addresses. This enables managers to quickly pinpoint the closest available resources to emergency or incident sites. The systems are often accessible via laptop computer to supervisors in the field. Critical vehicles are equipped with automatic vehicle location transponders to enable rapid location of vehicles during emergencies and appropriate personnel such as motorist assistance patrols and state patrol officers should be equipped with respirator masks or place gas masks. Incident Response and Recovery Capabilities Transportation agencies have maintenance forces and equipment active across the transportation network. As a result, they can play key response and recovery roles during and after an incident. For example, on a weekday in July 2001 just before rush hour in Baltimore, a CSX freight train derailed and caught fire in a rail tunnel directly beneath the downtown’s central business district. By 4:30 p.m. the City Fire Department had ordered all major roads into the city closed including several Interstate routes. Maryland DOT’s modal agencies played vital roles throughout the tunnel fire in maintaining traffic flow. The Coordinated Highways Action Response Team (CHART) posted notices on variable message signs advising motorists on closure of major routes into the city. State toll authority personnel coordinated temporary closure of I-395 into Baltimore. The state’s transit operators coordinated light rail, bus and commuter rail operations. As the story of a major incident begins to leave the headlines, recovery efforts are just starting, particularly when infrastructure damage is severe. If transportation facilities are targeted or they experience ancillary damage, a stiff economic toll may be exerted if they are closed to traffic, particularly when alternate routes are not readily available. In such instances, pressure to rebuild quickly is often intense. Transportation agencies are equipped to oversee hundreds of infrastructure construction projects every year. Their access to heavy equipment and contracting capabilities make them uniquely qualified to lead reconstruction efforts. The Los Angeles earthquake generated a year’s worth of reconstruction work in a single event. The dramatic roadway damage caused by the earthquake placed a significant strain on auto-dependent southern California. Bridges and roads were completely knocked out at four locations on several Interstate and state highways. CALTRANS, the state’s DOT, however, had its first emergency debris and demolition contracts in place by 7:00 a.m. that day. CALTRANS maintenance crews implemented initial detours, while commuter rail and bus service was expanded to provide transportation alternatives. CALTRANS Page 9 Highway Advisory Radio, Variable Message Signs, CCTV, speed monitoring loop detectors, and traffic signal timing capabilities helped keep traffic moving in the days and weeks after the earthquake. Subsequent recovery efforts involved round-the-clock operations to accelerate reconstruction of earthquake resistant structures. CALTRANS’ Traffic Management Center served as the center for mobility decision-making throughout the recovery. Capabilities developed by transportation agencies to support responders during an incident and return to normal include. Mobilization of equipment, people and private sector resources Mobilization of emergency transportation operations by transportation agencies and their partners involves assembling and organizing resources, including people, equipment, communications systems, expert technical support, and public information systems and protocols. It is a capability that requires that the right people will deploy appropriate resources at the correct time. Effective mobilization requires a partnership of local, regional, state, and federal agencies. Joint preparedness training is important, while during response and recovery voice and data communications must be interoperable, and information must be shared. Key roles for transportation agencies include: Dispatch of personnel to incident scenes including specialized service patrols and incident response teams to help secure the incident scene; provide emergency medical aid; support fire, rescue and emergency medical services in their operations; relocate or remove vehicles and debris from the roadway; assist stranded motorists and others on the roadway; provide for emergency traffic control; and initiate longer-term traffic control for approaching traffic and affected areas. Arranging emergency contracts to engage specialty towing and recovery services or special clearance equipment in a timely manner and to minimize responder risk and traffic disruption. Assessment of transportation infrastructure condition and closure of unsafe components. Transportation of equipment, personnel, and supplies for supporting emergency activities, and provision of any highway clearances and waivers needed to speed up such movements. Provision of transportation-related resources such as vehicle repair facilities, fleet parking, and storage areas to be used for servicing, refueling, parking, and storage of emergency vehicles. Provision of general traffic management assistance including posting of temporary signing, portable variable message signs, temporary traffic controls, one-way systems, barricades, detour routings, lowering of freeway speed limits through use of dynamic message signs or variable speed limit Page 10 signs, modification of ramp metering rates or signal timing to slow the flow of traffic, use of flashing beacons and Highway Advisory Radio to issue public warnings and advisories, and provision of vehicular traffic flow data and information from permanent and temporary monitoring sites. Use of traffic management centers operated by DOTs in many larger cities that offer electronic technology such as traffic cameras, ramp monitoring, and roadway sensors, to monitor and manage traffic. Design and implementation of alternate transportation services to temporarily replace capacity lost to disaster damage. Provision of information for the public about issues such as road closures, infrastructure damage, debris removal, and restoration activities via contacts with radio, television and other commercial media and use of technologies such as highway advisory radio, 511 travel information, variable message signs, and Internet web pages. Recovery of Transportation Infrastructure As emergency management activities switch from response to recovery, transportation agencies play either a key supporting role or a leading role if transportation facilities have been damaged. Recovery of transportation infrastructure helps communities reestablish economic and social vitality. Key roles for transportation agencies include: Deployment of trained and skilled teams for rapid clean up, repair and inspection of incident areas. Restoration of critical transportation routes and facilities, via deployment of emergency contracting procedures for restoration of transportation assets, services and systems. Issuance or waiver of permits and other assistance required to restore utility lines or pipes that are immediately adjacent to, or run over or under transportation infrastructure. Continuing to keep travelers informed about important information on road closures, detours, and evacuation routes to travelers. Assistance with site investigation procedures including crime scene preservation and documentation, use of data collection technology and team procedures to minimize disruptions to traffic and responder exposure on roadways. Documentation of expenses used in cleanup or incident management for possible reimbursement by FEMA or other entity. Establish an employee assistance program and mental health services for responders which includes professional counseling and peer discussion groups. Page 11 Audits of entire incident response after each event and revisions to plans and procedures as necessary to improve the key activities of prevention, preparation, response and recovery in the future. Conclusions The costs of failure to prepare for a terrorist attack that affects the nation’s transportation infrastructure, in terms of loss of life and economic disruption, could be catastrophic. Transportation agencies were able to act swiftly on September 11, 2001 and in other major incidents because they were already equipped to meet the challenges of responding to and recovering from the devastation caused by natural and man-made disasters. When incidents such as hurricanes, wildfires, earthquakes, snowstorms or major traffic crashes threaten safety and mobility, transportation agency personnel and equipment are part of response and recovery activities. Their sophisticated traffic management systems helps keep traffic moving, their information systems help keep communications flowing, and their construction expertise helps speed recovery. The threat of terrorism, however, poses new challenges for transportation agencies. Because eighty percent of state DOTs report they have incurred additional costs to improve transportation security, continual investment in training, equipment, infrastructure hardening, and research for transportation agencies is vital. References [1] Federal Highway Administration, Highway Statistics 2005, US Department of Transportation, Washington, DC, 2007 [2] Ibid [3] Parsons Brinkerhoff, National Needs Assessment for Ensuring Transportation Infrastructure Security, National Cooperative Highway Research Program, Washington, DC, 2002. [4] Minnesota Department of Employment and Economic Development and Minnesota Department of Transportation, Economic Impacts of the I-35W Bridge Collapse, Minneapolis, MN, 2007 [5] Federal Highway Administration, Our Nation’s Highways, US Department of Transportation, Washington, DC, 2002 [6] American Association of State Highway and Transportation Officials, 2003 Survey of State Transportation Agencies–Summary of Results, Washington, DC, 2004 [7] National Highway Cooperative Research Program, Fundamentals of Transportation Security for State Transportation Agencies, NCHRP Report 20-59 (16B) Transportation Research Board, Washington, D.C., Forthcoming [8] ibid Page 12 Further reading list Blue Ribbon Panel on Bridge and Tunnel Security, Recommendations for Bridge and Tunnel Security, US Department of Transportation, Washington, D.C., 2003 National Highway Cooperative Research Program, Responding to Threats: A Field Personnel Manual, NCHRP Report 525, Volume 1, Transportation Research Board, Washington, D.C., 2004 National Highway Cooperative Research Program, Continuity of Operations Plans for Transportation Agencies, NCHRP Report 20-59 (21), Transportation Research Board, Washington, D.C., 2005 National Highway Cooperative Research Program, Guidelines for Transportation Emergency Training Exercises, NCHRP Report 525, Volume 9, Transportation Research Board, Washington, D.C., 2006 National Highway Cooperative Research Program, Making Transportation Tunnels Safe and Secure, NCHRP Report 525, Volume 12, Transportation Research Board, Washington, D.C., 2006 National Highway Cooperative Research Program, Guide to Risk Management of Multimodal Transportation Infrastructure, NCHRP Report 20-59 (17) Transportation Research Board, Washington, D.C., Forthcoming National Highway Cooperative Research Program, A Guide to Emergency Response Planning at State Transportation Agencies, NCHRP Report 20-59 (23) Transportation Research Board, Washington, D.C., Forthcoming Volpe Institute, Disaster Case Studies Series (New York/Washington DC, Baltimore Train Fire, East Coast Blackout, Northridge Earthquake), Boston, Massachusetts, 2004 Page 13