FUNDAMENTALS OF EFFECTIVE ALL HAZARDS
SECURITY MANAGEMENT FOR STATE DOTS
FINAL REPORT
Requested by:
American Association of State Highway
and Transportation Officials (AASHTO)
Special Committee on Transportation Security
Prepared by:
High Street Consulting, LLC
Washington, DC
TransTech Management
Greensboro, North Carolina
&
Peter Schauer Associates
Boonville, Missouri
December 2007
The information contained in this report was prepared as part of NCHRP Project 20-59, Task
16B, National Cooperative Highway Research Program, Transportation Research Board.
ACKNOWLEDGMENT OF SPONSORSHIP
This work was sponsored by one or more of the following as noted:
American Association of State Highway and Transportation Officials, in cooperation
with the Federal Highway Administration, and was conducted in the National
Cooperative Highway Research Program,

Federal Transit Administration and was conducted in the Transit Cooperative
Research Program,

American Association of State Highway and Transportation Officials, in cooperation
with the Federal Motor Carriers Safety Administration, and was conducted in the
Commercial Truck and Bus Safety Synthesis Program,

Federal Aviation Administration and was conducted in the Airport Cooperative
Research Program,
which is administered by the Transportation Research Board of the National Academies.
DISCLAIMER
This is an uncorrected draft as submitted by the research agency. The opinions and
conclusions expressed or implied in the report are those of the research agency. They are
not necessarily those of the Transportation Research Board, the National Academies, or
the program sponsors.
Table of Contents
Introduction ......................................................................................................................... 1
Stage One: Fundamental Responsibilities & Key Technical Capabilities .......................... 2
Stage Two: Organizational and Planning Framework ........................................................ 3
Stage Three: Incident Management Actions ....................................................................... 6
Prevention ....................................................................................................................... 7
Preparation ...................................................................................................................... 9
Mitigation ...................................................................................................................... 13
Response ....................................................................................................................... 13
Recovery ....................................................................................................................... 14
Appendix A: Sources and Bibliography
Appendix B: Acronyms and Common Terminology
Introduction
This guide provides Department of Transportation (DOT) managers with an overview of
the fundamentals that characterize an effective state DOT all hazards security management
program. The information in the guide is based on interviews with all hazards security
management personnel at DOTs in California, Florida, Maryland, Minnesota, Wisconsin and the
Federal Highway Administration and reviews of many documents in the published literature. It
describes three stages for preparing and implementing a new or improved all hazards security
management program within a state DOT:

Stage One – Understand All Hazards Related Fundamental Responsibilities and
Key Technical Capabilities of State DOTs. Every DOT should build its all hazards
security management program around a set of fundamental responsibilities and key
capabilities that are consistent with the DOT’s existing transportation mission.

Stage Two – Create Appropriate All Hazards Organizational and Planning
Frameworks within the DOT. Every DOT should have in place appropriate
organizational structures and planning principles that provide a framework for
meeting its all hazards security management responsibilities.

Stage Three – Prepare DOT Led All Hazards and Security Actions. Every DOT
should draw from a broad menu of all hazards security actions that can be tailored to
fit its own all hazards security management program.
Each stage is connected. A DOT’s understanding of fundamental responsibilities and key
capabilities drives its creation of appropriate organizational structures and plans, which guides its
selection of day-to-day actions. Readers are encouraged, however, not to treat the guide as a rule
book or the only source for resolving questions about how to develop effective transportation
solutions. Rather, they should adapt elements to fit their DOT’s unique needs and are encouraged
to read more widely than this primer on topics of interest.
Fundamentals of Effective All Hazards Security Management for State DOTs
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Stage One: Fundamental Responsibilities & Key
Technical Capabilities
A state can have what appear to be the finest emergency management plans, developed
by the best experts from a variety of agencies, but if responders cannot rely on transportation to
reach an incident or people cannot be evacuated via the transportation system, those plans are
seriously weakened and, at worst, meaningless. All hazards security management depends on
access, usually via highways.
The central role of the transportation system in emergency management seems obvious.
The emergency management community often presumes that transportation systems will be
functioning during and after an incident. But this will be the case only if state DOTs understand
their fundamental all hazards and security management responsibilities and have the capabilities
to perform them:

Fundamental DOT All Hazards Security Management
Responsibilities
Every state DOT has five fundamental all hazards and security 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.

Technical All Hazards Security Management Capabilities
The technical capabilities required of a state DOT to meet its fundamental
responsibilities fall into three overlapping groups:
I. Security
Awareness
II. Readiness, Response,
& Recovery
Capability
III. Critical
Infrastructure and
Key Asset
Protection
Fundamentals of Effective All Hazards Security Management for State DOTs
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State DOTs can succeed in developing effective all hazards security management
programs if they recognize this function as a natural extension of their well established
emergency preparedness activities and incorporate it into an annual plan, train, and exercise cycle
that integrates the three capability groups. This will enable the DOT to build from the base of
people, processes, and technology already in place:
1. Safety First: Build on the experience of DOTs’ efforts to address safety challenges
and broaden the mission of existing safety personnel.
2. Build on DOT Expertise in Emergency Response: Draw on existing traffic
incident management-related capabilities to work with law enforcement, fire and
rescue personnel, and towing and recovery crews. Tap into statewide capabilities for
emergency contracting, equipment such as radio communications systems, and
personnel. Use personnel that are already trained to observe and report.
3. Make Interdependence an Asset: Transportation depends on, and is depended on,
by other critical infrastructures. Roads and transit are public assets managed by
public agencies. These public agencies house personnel who can insure all agencies
and organizations are involved and all resources are made available on an
interdependent basis.
The next stage in the guide describes organizational and planning techniques that DOTs
can use to help integrate all hazards and security responsibilities and capabilities.
Stage Two: Organizational and Planning
Framework
Effective organizational structures and planning documents provide the framework that
allows a DOT to establish key all hazards security management capabilities and fulfill its
fundamental responsibilities. But, a DOT must be willing to adapt current organizational
structures and invest time in developing comprehensive all hazards security management plans.
This stage describes the core elements of effective organizational structures and plans.
Organizational Structures for All Hazards Security Management
State DOTs with strong all hazards security management programs usually feature some
or all of the following organizational elements:
1. 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
DOT’s focal point for building and maintaining its all hazards and security
management capabilities. At Minnesota DOT for example, the Division of
Operations includes an Office of Maintenance and Security.
2. All hazards security manager reports to executive staff. The all hazards security
manager should be in close organizational proximity to senior DOT leadership so that
critical issues before, during, and after incidents can be quickly raised to the highest
levels, as needed. At Maryland DOT, for example, the Director of Engineering,
Fundamentals of Effective All Hazards Security Management for State DOTs
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reports directly to Maryland DOT’s Secretary and is actively engaged in all hazards
security management.
3. All hazards security manager has generalist expertise. Dealing with security in a
DOT involves sharing ideas among many disciplines from traffic operations and
highway maintenance to bridge and tunnel design and information technology. The
all hazards security manager should be comfortable crossing traditional boundaries
within a DOT. At Wisconsin DOT, for example, the Department’s Director of
Infrastructure Security has 29 years of experience in the management of design,
engineering, construction, and security of transportation and conventional facilities
and in the management of information technology and information systems and
solutions.
4. Core all hazards security management technical specialist staff (if needed).
Depending on factors such as the size of the DOT, existing staff capabilities, and
criticality of risks, one or more additional staff may be needed to support the all
hazards security manager. Core disciplines that specialist staff should have
responsibility for include training and exercises, evacuations, technology, or
intelligence. At Minnesota DOT, for example, a staff of five specialists supports the
Director of Homeland Security and Emergency Management.
5. All hazards security manager housed at DOT headquarters. Many of a DOT’s all
hazards security management activities involve sharing ideas among traditional
transportation disciplines such as traffic operations, maintenance, engineering, and
construction. Since the manager’s job will involve coordination with others across
the DOT, they should be physically located in headquarters. Many DOTs have found
that co-location 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.
6. District all hazards security management coordinators. The headquarters all
hazards and security team should have close links to districts that usually represent
the DOT on the frontline during incidents. Ideally, each DOT district will have a
coordinator position whose full time responsibilities include all hazards security
management. At Caltrans, for example, District Security Coordinators report to the
Statewide Office of Operations Security.
7. Outreach to external partners. Organizational links should be strengthened
between the DOT and non-traditional partners such as the first responder community,
law enforcement, public health, and intelligence. These connections help promote
sharing of ideas and information among disciplines and agencies that can greatly
enhance a DOT’s all hazards security management program.
8. Inter-disciplinary leadership team to address all hazards and security. The all
hazards and security manager should form and lead an inter-disciplinary committee
that on a regular schedule brings together key DOT personnel from disciplines such
as maintenance, traffic operations, planning, design, and construction. The functions
of the team should include sharing of information and innovation as well as regular
reviews of security/emergency incident reports, trends, and program audit findings,
and preparation of recommendations to senior level management for changes to plans
and processes. Wisconsin DOT, for example, has regular bi-monthly security
meetings that involve personnel from across the Department.
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9. Participation in other local, state, and federal agency emergency management
activities. An effective all hazards and security manager should be active in a wide
variety of local, state, and federal networks for addressing emergency management
issues. The state’s emergency management agency is a good place to start building
these relationships. Other groups to consider when building strong relationships
include first responders, law enforcement, intelligence agencies, public health
departments, the Governor’s office, and state and local emergency management
agencies. Florida DOT security personnel, for example, participate in regular state
emergency management agency coordination meetings.
10. Redundancy in all hazards security management positions. To the extent feasible,
all key staff (e.g. all hazards security manager, team staff, and district coordinators)
should have qualified back-ups who will take their place if they are on vacation, off
duty, or out sick. Establish procedures for succession of personnel in all critical
functions of the security and emergency plan(s).
11. Contact information for all hazards and security staff. Up-to-date records of
phone numbers and e-mail addresses including after hours contact information should
be maintained.
12. Appropriate responsibilities assigned to front line staff. In addition to district
coordinator positions, all frontline staff and their managers should be versed in and
expected to follow basic all hazards and security principles and security should be
part of their performance plans.
Planning for All Hazards Security Management
A DOT should develop and maintain a simple all hazards security management plan that
efficiently documents standard operating procedures for the DOT’s state-wide approaches to
prevention, preparation, mitigation, response, and recovery from emergencies of all kinds. The
plan should enable every DOT employee to understand their responsibilities; the plan should help
DOT leadership hold staff accountable; and it should enable the DOT to work effectively with
other agencies. Exemplary DOTs stand out because they have concentrated on integrating their
plans into a single plan or linked set of documents. Their documents usually feature some or all
of the following elements:
1. Consistency with national emergency planning programs and processes. The
National Incident Management System, Incident Command Structure and National
Response Framework are initiatives headed up by the US Department of Homeland
Security and they are the standard for emergency preparedness planning. DOTs in
Maryland, Florida, Wisconsin, California, and Minnesota are all building their
emergency management plans around the principles embodied in these national
programs and processes.
2. A single emergency management planning document. A DOT’s emergency
management plan should be an overarching document that is endorsed by senior
leadership and is the day-to-day resource within the DOT for describing all general
incident management planning, emergency operations center activation, and
command and control and communications architecture that are applicable to most
incidents. It could include an Emergency Operations Center Activation Plan, and an
Fundamentals of Effective All Hazards Security Management for State DOTs
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Emergency Support Function #1 Transportation Plan. (Evacuation plans should be
included in specific annexes attached to the Emergency Management Plan.)
3. Hazard annexes to support the emergency management plan. Hazard annexes can
be attached to the primary emergency management plan that provide details about the
specific roles and responsibilities and command and control and communications
architecture for addressing specific hazards such as terrorism, bio-chemical, nuclear,
fire, tornado, earthquake, snowstorm, or flood emergencies. Wisconsin DOT’s
emergency management plan, for example, is structured in this fashion.
4. Adequate distribution of plans. Appropriate DOT staff must have ready access to
current versions of the DOT Emergency Management Plan.
5. Regular plan updates. The DOT Emergency Management Plan and its annexes are
living/evolving documents to be adapted to changes in the local operating
environment and global situation. Plan components should constantly be scrutinized
and updated as needed. Quarterly reviews of the plan should occur. 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.
Stage Three: Incident Management Actions
This portion of the guide describes specific actions that might become components of a
DOT’s overall emergency management plan. These specific actions are not intended as a
rigorous scorecard or blue print for every state, but are offered as a guide for states to compare
what they are doing with what others are doing.
Typology of Actions
The actions described in this stage are divided into five areas similar to National Incident
Management System priorities as shown below:
Action
Definition
1. Prevention
Actions taken to try to ensure that incidents do not occur.
2. Preparation
Actions taken to anticipate and minimize the impacts of
events including planning measures taken to insure
reactions to events are efficient and effective.
3. Mitigation
Actions taken to reduce or eliminate long term risk from
hazards and their effects to reduce the human
consequences or asset loss of an event.
4. Response
Actions taken to respond to events.
5. Recovery
Actions taken to get back to normal.
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Risk Management and Action Selection
The key to understanding which actions are appropriate for any state DOT is risk
management. DOTs must decide what is an acceptable, achievable (within budget constraints)
level of risk and then develop actions to offset those risks.
The following list presents those elements of risk management that are central to
selecting appropriate incident management actions:
1. Conduct a statewide risk assessment. Establish a risk management and
vulnerability assessment process that is comprehensive statewide and system-wide.
2. Keep the risk assessment current. Update the system-wide risk assessment
whenever a new asset/facility is added or modified, and when conditions warrant
(e.g. changes in threats or intelligence).
3. Use the risk assessment process to prioritize security investments. There are
usually more demands on funding than funding available. Risk assessment helps
make the best use of available funds.
4. Coordinate with regional security partners. Appropriate partners should include
federal, state, and local governments and entities with shared infrastructure to
leverage resources and experience for conducting risk assessments.
5. Share risk assessments. Share risk assessment results with appropriate agencies
such as the state National Guard or the local office of the Federal Bureau of
Investigation and local law enforcement agencies.
Prevention
Actions taken to try to ensure that incidents do not occur
Physical Security
1. Identify all DOT critical facilities and assets. (Critical facilities may include
infrastructure such as multi-tier bridges and overpasses that traverse navigable
waters, flammable pipeline crossings, tunnels, heavily congested truck routes, and
roadways adjacent to other targets.)
2. Develop written policies and procedures for restricting access to critical facilities and
assets (e.g. card key, identification badges, keys, or safe combinations). Ensure that
policy is updated when new threats, audit findings, or circumstances warrant.
3. Conduct regular physical security inspections of all critical facilities and assets:
a. Keep critical facility fence lines clear.
b. Focus on physical locations in close proximity to critical targets where would-beattackers can most easily gather information. Know who belongs where and
what activities are normal, so it is immediately obvious when suspicious activity
occurs.
c. Increase frequency of inspections in response to elevation of the Homeland
Security Advisory System threat advisory level.
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d. Develop and use protocols for DOT vehicle inspections that correspond to
Homeland Security Advisory System threat advisory levels.
e. Vary the manner in which inspections of facilities and assets are conducted to
avoid setting discernible and exploitable patterns and to integrate
unpredictability.
4. Use identification badges for employee access control and for all visitors and
contractors.
5. Conduct background investigations (i.e., criminal history and motor vehicle records)
on all new front-line operations and maintenance employees and contractors and
employees and contractors with access to sensitive security information and critical
facilities and systems:
a. Conduct background investigations on contractors, including vendors, with
access to sensitive security information and critical facilities and systems.
b. Document the background investigation process, including criteria for
background investigations by employee type (operator, maintenance,
safety/security sensitive, contractor, etc.).
6. Apply appropriate security and crime prevention design criteria for any major capital
construction projects such as installation of physical barriers that increase stand-off
distances from vulnerable structural components, such as bridge piers or tunnel
ventilation systems.
Public Security and Emergency Awareness
7. Implement and reinforce a public security and emergency awareness program:
a. Develop and implement an all-hazards transportation security awareness program
for the traveling public.
b. Prominently display all-hazards transportation security information materials at
appropriate locations, such as rest stops or on variable message boards.
c. Post all-hazards transportation security information on the DOT website.
d. Use real time traffic congestion website capabilities to post information about the
time, location, and nature of incidents and update as the incident is responded to
and cleared.
e. Ensure all-hazards transportation security materials and announcements
emphasize the importance of vigilance and provide clear direction to the public
on reporting of suspicious activities.
f.
Vary the content and appearance of messages to retain public interest.
g. Increase the frequency of all-hazards transportation security awareness activities
(e.g. public address announcements) as the HSAS threat advisory level is raised.
h. Issue public service announcements in the local media explaining relevant
services such as intelligent transportation systems, incident management, and
motorist assistance patrol services.
i.
Maintain toll-free telephone number(s) to provide information to the public.
These can be helpful in emergency response. Some agency toll-free lines
Fundamentals of Effective All Hazards Security Management for State DOTs
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normally play recorded messages, but can be converted to staffed customer
service lines in an emergency.
j.
Involve the state trucking association and the state public transit association in
development of the DOT’s all-hazards transportation security plans and
protocols.
Information Sharing
8. Participate in information sharing processes for threat and intelligence information
including appropriate information sharing networks or arrangements with:
a. State and local emergency management, law enforcement, and homeland security
officials.
b. Department of Homeland Security’s homeland security information network,
which is a computer-based counterterrorism communications system connecting
all 50 states, five territories, Washington, D.C., and 50 major urban areas.
c. Federal Bureau of Investigation Joint Terrorism Task Force and/or other regional
anti-terrorism task forces (e.g. Terrorism Early Warning Group, US Attorney's
Office)
d. Transportation Security Administration surface transportation security inspectors
Control Access to Sensitive Information
9. Control access to documents that contain sensitive information about security critical
systems and facilities.
a. Create an oversight committee for setting sensitive information policies.
b. Develop protocols to cover handling of access to documents, marking
documents, storing documents, and requests for documents.
c. Establish a single point of contact for managing sensitive information.
d. Identify and protect documents such as vulnerability or risk assessments,
emergency response plans and other documents on security critical systems, such
as engineering/design/architectural materials on bridges, tunnels, facility heating,
ventilation and air conditioning systems, and surveillance, monitoring, and
intrusion detection systems.
e. Educate DOT staff about sensitive information handling protocols.
Preparation
Actions taken to anticipate and minimize the impacts of events
including planning measures taken to insure reactions to events
are efficient and effective
Training and Training Tracking
10. Establish and maintain an all-hazards transportation security training program
consistent with Department of Homeland Security, Federal Emergency Management
Agency, and Transportation Security Administration curriculums.
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a. Provide ongoing basic training to all employees in i) security orientation and
awareness, ii) emergency response, and iii) critical infrastructure protection.
b. Provide ongoing advanced i) security, ii) emergency response, and iii) critical
infrastructure training by job function, including actions at incremental
Homeland Security Advisory System threat advisory levels. This training should
be provided to:





Transportation management center technicians
Field supervisors
Toll collectors (if appropriate)
Equipment operators
Maintenance personnel
c. Provide ongoing advanced training programs for managers, including but not
limited to chief executive officers, maintenance operations managers, and
security directors.
d. Regularly update all-hazards transportation security training materials to address
newly identified high consequence risks.
e. Ensure that security training programs reinforce security roles, responsibilities,
and duties of employees, and ensure proficiency in their performance.
f.
Ensure security training programs emphasize integration of visible deterrence,
randomness, and unpredictability into security deployment activities to avoid
exploitable patterns and heighten deterrent effect.
g. Train appropriate staff in incident command procedures.
h. Provide training to appropriate personnel to reduce the likelihood of radio failure
due to overloading the system.
i.
Establish a system that records personnel training in security and emergency
response. The system should record both initial training and recurrent or
refresher training.
j.
Establish and maintain a security notification process to inform personnel of
significant updates to security and emergency management plans and procedures.
Homeland Security Advisory System (HSAS)
11. Establish plans and protocols to respond to the Department of Homeland Security’s
Homeland Security Advisory System threat levels.
a. Establish a formal process for receiving notification from state emergency
management agency and Department of Homeland Security officials.
b. Security and emergency management plans and procedures should identify
incremental actions to be implemented at each Homeland Security Advisory
System threat level.
c. Conduct exercises to test implementation of the preventive measures for each
Homeland Security Advisory System threat level, including random application
of security measures.
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Drills and Exercises
12. Conduct tabletop and functional drills.
a. Conduct tabletop exercises at least every three to six months to exercise system
security programs and emergency management plans.
b. Participate as an active player in full-scale exercises held at least annually.
c. Coordinate with regional security partners, including Federal, State, and local
governmental representatives and other affected entities to integrate their
representatives into exercise programs.
d. Conduct de-briefings for tabletop and full scale exercises.
e. Develop after-action reports and review results of all tabletop and full scale
exercises.
f.
Update plans, protocols and processes to incorporate after-action report findings,
recommendations, and corrective actions.
Emergency Traffic Operations and Evacuation
13. Upgrade transportation management center capabilities so they evolve from a passive
information collection role to one of fusing multiple sources of data to coordinate
responses and support decision-making for the on-scene responders and general
public via strategies such as improved traffic detection logarithms, timely
coordination with homeland security agencies, and improved public messaging and
information.
14. Build functional flexibility into transportation management center equipment and
operations that enables the transportation management center to be aligned to the
scale and scope of an incident. These changes may include 24-7 operational
requirements; access to special agency information systems, and may require the
transportation management center to evolve into an auxiliary Emergency Operations
Center, closely networked with other emergency responding agencies and centers.
15. Develop and deploy special response units (equipment, trained personnel) that are
available to address all hazard situations. Key issues to address include reporting
requirements; authority for on-scene operations and actions; resource allocation
(number/coverage patterns/operational hours); and training.
16. Arrange emergency contractual procedures to engage specialty towing and recovery
services or special clearance equipment in a timely and efficient manner and to
minimize responder risk and traffic disruption.
17. Improve site investigation procedures including crime scene preservation and
documentation, better use of accident data collection technology and team procedures
to minimize disruptions to traffic and responder exposure on roadways.
18. Collectively train DOT and public safety personnel in proper site management,
prevention of secondary crashes, responder safety best practices, and quick clearance,
including improved investigative methods, updated towing requirements, and
improved spill clean-up procedures.
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19. Establish a standardized incident-related public information and messaging program
to support informed driver decisions for routing and trip-making.
20. Establish procedures to work with state and local police on emergency traffic
operations. Determine equipment to be assigned to local areas for long term closures
such as mobile signs, trailblazer detour signs, and barriers.
21. Develop procedures so DOT maintenance and emergency patrol personnel can assist
police in road closures and traffic management in major emergencies when police
resources are stretched thin.
22. Identify pre-planned detour routes for the state’s entire interstate highway system and
major thoroughfares and coordinate detours with evacuation planning in the state.
Place permanent ramp gates at critical interstate entrances.
23. 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 could include 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,
and permanent ramp gates at critical interstate entrances.
Communications Interoperability and Notification
24. Maintain communications interoperability with first responders who have security
responsibilities.
a. Establish multiple means for disseminating emergency notifications including
web distribution, blast fax systems, radio codes, paging, and telephone calling
lists.
b. Develop an integrated communications system and establish mobile emergency
response operations/command centers to support various radio frequencies,
including those for state DOT, state patrol, and local police and fire departments
including support for UHF, VHF, low band VHF, amateur radio, 800 MHz, and
satellite communications.
c. Apply for access to the Government Emergency Telecommunications Service.
The Government Emergency Telecommunications Service is a service of the
Department of Homeland Security and provides priority local and long distance
phone service access over the public switched telephone network to users during
emergencies.
Equipment, Facilities and Personnel Inventory Management
25. Establish a geographic information system-based database of emergency response
resources including specific equipment and its location, and personnel and their home
addresses to enable managers to quickly pinpoint the closest available resources to
emergency or incident sites. The system should be accessible via laptop computer to
DOT supervisors in the field.
26. Establish and regularly update names, phone numbers (including off-hours phone
numbers) and e-mail contact information for critical suppliers, such as suppliers of
temporary bridges.
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27. Equip critical vehicles with automatic vehicle location transponders to enable rapid
location of vehicles during emergencies.
28. Coordinate with associations and committees of heavy contractors to establish a data
base of all the contractors’ contact information and what types of resources they have
available, such as trucks, barrier walls, or cranes.
29. Equip appropriate personnel such as motorist assistance patrols and state patrol
officers with respirator masks or gas masks.
30. Identify sources and have access to portable radiological detectors to detect the
presence of radiological material in the advent of a hazardous material emergency.
31. Clarify policies and contracts regarding DOT employee or contract employee
expectations during terrorist attacks or emergencies. Develop a system to assist
responders in safeguarding their families so employees have the ability to report for
duty free of concern for the well being of their families.
Mitigation
Actions taken to reduce or eliminate long term risk from hazards
and their effects to reduce the human consequences or asset
loss of an event
32. Use a risk management approach to bring down risk over time through capital budget
decisions.
33. Establish procedures for quickly notifying local media of emergency situations.
34. Include emergency situation reporting as part of a broader Highway Condition
Reporting System that is used to feed 511 service and DOT-sponsored internet sites
and provides automatic notices to television and radio stations.
35. Develop capabilities to have on-scene DOT employee liaisons available for all
incidents who can provide information to the DOT and request any additional
resources that may be needed as an incident unfolds.
36. Establish procedures for sharing roadway maps and satellite imagery with emergency
responders.
37. Use the Condition Acquisition and Reporting System developed via an FHWApooled fund project. It is an Internet-based database that allows authorized users to
contribute to or view real time information about conditions and events affecting the
transportation network at a statewide level.
Response
Actions taken to respond to events
38. Establish and use a formal process for reporting suspicious activity:
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a. Through training and awareness programs, ensure employees and contractors
understand the “what, how, and when” of reporting observed suspicious activity
or items,
b. Use exercises to test employee awareness and the effectiveness of reporting and
response procedures,
c. Ensure public awareness materials and announcements provide clear direction to
the public on reporting of suspicious activity, and
d. Maintain protocols to ensure that designated Security Coordinator(s) report
threats and significant security concerns to appropriate law enforcement
authorities.
39. Develop skilled DOT rapid response teams equipped to handle an array of risks and
vulnerabilities such as tunnel emergencies or bridge failures.
40. Coordinate public information during emergencies. Establish procedures to ensure
that DOT “speaks with one voice” and releases consistent information to the public
and the media.
41. Establish protocols for use of traffic cameras for critical infrastructure surveillance
during emergency events.
Recovery
Actions taken to get back to normal
42. Establish trained skilled teams for rapid clean up, repair, and inspection of an
incident area or event.
43. Develop and have emergency contracting procedures available to restore assets,
services, and systems.
44. Manage restoration of service by keeping the public informed and observe the
recovery process to enable reallocation or rededication of resources during the
recovery process.
45. Document expenses used in cleanup or incident management in a manner that is
consistent with reimbursement practices of the Federal Emergency Management
Agency or other entity.
46. Audit an entire incident response after each event and revise plans and procedures as
necessary to improve the key activities of prevention, preparation, mitigation,
response and recovery in the future.
Fundamentals of Effective All Hazards Security Management for State DOTs
Page 14 of 18
Appendix A:
Sources and Bibliography
This document adapted materials liberally from the following documents and we hereby
gratefully acknowledge the authors:
System Security Awareness for Transportation Employees, NCHRP Report 525,
Surface Transportation Security Volume 7, National Cooperative Highway Research
Program, Transportation Research Board, National Research Council, Washington,
D.C., 2006
http://www.trb.org/news/blurb_detail.asp?ID=6343
Responding to Threats: A Field Personnel Manual, NCHRP Report 525, Surface
Transportation Security Volume 1, National Cooperative Highway Research
Program, Transportation Research Board, National Research Council, Washington,
D.C., 2004
http://www.trb.org/news/blurb_detail.asp?id=4425
Guidance for Transportation Agencies on Managing Sensitive Information, NCHRP
Report 525, Surface Transportation Security Volume 5, National Cooperative
Highway Research Program, Transportation Research Board, National Research
Council, Washington, D.C., 2005
http://www.trb.org/news/blurb_detail.asp?id=5118
Best Practices in Emergency Transportation Operations Preparedness and
Response Results of the FHWA Workshop Series, USDOT, Federal Highway
Administration, Washington, D.C., publication number FHWA-HOP-O7-076,
December, 2006
http://ops.fhwa.dot.gov/publications/etopr/best_practices/etop_workshop.htm
TSA/FTA Security and Emergency Management Action Items for Transit Agencies,
USDOT, Federal Transit Administration, Washington, D.C., 2006
http://transit-safety.volpe.dot.gov/security/SecurityInitiatives/ActionItems/default.asp
Hazard and Security Plan Workshop: Instructor Guide (Security Planning Tools
for Rural, Small Urban, and Community-Based Public Transportation
Operations), TCRP Report 86, Public Transportation Security Volume 10, Transit
Cooperative Research Program, Transportation Research Board, National Research
Council, Washington, D.C., 2006
http://trb.org/news/blurb_detail.asp?id=5733
Note: All NCHRP and TCRP reports above are available at http://trb.org/securitypubs.
Fundamentals of Effective All Hazards Security Management for State DOTs
Appendix B:
Acronyms and Common Terminology
For the uninitiated the jargon and acronyms of the field of hazard and security
planning and response can be daunting. The following quote from the FEMA, IS700
National Incident Management System course summary hints at the goal to
“uncomplicate” communication by removing some of the codes and hopefully jargon.
“The ability to communicate within ICS (Incident Command System) is
absolutely critical. Using standard or common terminology is essential to
ensuring efficient, clear communications. ICS requires the use of common
terminology, including standard titles for facilities and positions within the
organization. Common terminology also includes the use of “clear text”—
that is, communication without the use of agency-specific codes or jargon.
In other words, use plain English.”
Example:
Uncommon Terminology: “Response Branch, this is HazMat 1. We are
10-24.”
Common Terminology: “Response Branch, this is HazMat 1. We have
completed our assignment.”
Source: http://training.fema.gov/emiweb/downloads/IS700-NIMS.pdf
Despite our shared goal with FEMA to “use plain English” the field of hazard and
security planning and response is riddled with acronyms and “shorthand.” As much as
possible the authors of this document have used common terminology and standard
references. However, to help the reader the following table of typical acronyms is
presented.
Acronyms*
AAR
Association of American Railroads
AASHTO
American Association of State Highway and Transportation Officials
APTA
American Public Transportation Association
ATA
American Trucking Associations
ATTF
Anti-Terrorism Task Force
AVL
Automatic Vehicle Location
Fundamentals of Effective All Hazards Security Management for State DOTs
CCTV
Closed Circuit Television
COW
Cellular on Wheels
CST
Civil Support Team
DHS
Department of Homeland Security
DMIS
Disaster Management Interoperability System
DOT
Department of Transportation
EAS
Emergency Alert System
EMAC
Emergency Management Assistance Compact
EMS
Emergency Medical Services
EOC
Emergency Operations Center
ETIS
Evacuation Traffic Information System
FAA
Federal Aviation Administration
FBI
Federal Bureau of Investigation
FEMA
Federal Emergency Management Agency
FHWA
Federal Highway Administration
FMCSA
Federal Motor Carrier Safety Administration
GETS
Government Emergency Telecommunications Service
GIS
Geographic Information System
HSAS
Homeland Security Advisory System
ICS
Incident Command System
ID
Identification
INS
Immigration and Naturalization Service
ISAC
Information Sharing and Analysis Center
ITS
Intelligent Transportation Systems
JIC
Joint Information Center
JRAC
Joint Rear Area Coordinator
Fundamentals of Effective All Hazards Security Management for State DOTs
JTTF
Joint Terrorism Task Force
LEO
Law Enforcement Officer
MAP
Motorist Assistance Patrol
MMRS
Metropolitan Medical Response System
MPO
Metropolitan Planning Organization
NGO
Non-governmental Organization
OMNCS
Office of the Manager, National Communications System
PIO
Public Information Officer
PPE
Personal Protective Equipment
REJIS
Regional Justice Information System
TMC
Transportation Management Center
VMS
Variable Message Sign
*Source: Best Practices in Emergency Transportation Operations Preparedness and
Response Results of the FHWA Workshop Series, USDOT, FHWA, Washington, D.C.,
publication number FHWA-HOP-O7-076, December, 2006,
http://ops.fhwa.dot.gov/publications/etopr/best_practices/etop_workshop.htm
Fundamentals of Effective All Hazards Security Management for State DOTs