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NCHRP REPORT 525
Surface Transportation Security
Volume 6
Guide for
Emergency Transportation
Operations
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TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2005 (Membership as of June 2005)
OFFICERS
Chair: John R. Njord, Executive Director, Utah DOT
Vice Chair: Michael D. Meyer, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology
Executive Director: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
MICHAEL W. BEHRENS, Executive Director, Texas DOT
ALLEN D. BIEHLER, Secretary, Pennsylvania DOT
LARRY L. BROWN, SR., Executive Director, Mississippi DOT
DEBORAH H. BUTLER, Vice President, Customer Service, Norfolk Southern Corporation and Subsidiaries, Atlanta, GA
ANNE P. CANBY, President, Surface Transportation Policy Project, Washington, DC
JOHN L. CRAIG, Director, Nebraska Department of Roads
DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN
NICHOLAS J. GARBER, Professor of Civil Engineering, University of Virginia, Charlottesville
ANGELA GITTENS, Consultant, Miami, FL
GENEVIEVE GIULIANO, Director, Metrans Transportation Center, and Professor, School of Policy, Planning, and Development,
USC, Los Angeles
BERNARD S. GROSECLOSE, JR., President and CEO, South Carolina State Ports Authority
SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University
JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL
GLORIA J. JEFF, Director, Michigan DOT
ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley
HERBERT S. LEVINSON, Principal, Herbert S. Levinson Transportation Consultant, New Haven, CT
SUE MCNEIL, Director and Professor, Urban Transportation Center, University of Illinois, Chicago
MICHAEL MORRIS, Director of Transportation, North Central Texas Council of Governments
CAROL A. MURRAY, Commissioner, New Hampshire DOT
PHILIP A. SHUCET, Commissioner, Virginia DOT
MICHAEL S. TOWNES, President and CEO, Hampton Roads Transit, Hampton, VA
C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin
LINDA S. WATSON, Executive Director, LYNX--Central Florida Regional Transportation Authority
MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT (ex officio)
JOSEPH H. BOARDMAN, Federal Railroad Administrator, U.S.DOT (ex officio)
REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA (ex officio)
GEORGE BUGLIARELLO, Chancellor, Polytechnic University, and Foreign Secretary, National Academy of Engineering (ex officio)
THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard (ex officio)
JENNIFER L. DORN, Federal Transit Administrator, U.S.DOT (ex officio)
JAMES J. EBERHARDT, Chief Scientist, Office of FreedomCAR and Vehicle Technologies, U.S. Department of Energy (ex officio)
STACEY L. GERARD, Acting Deputy Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT (ex officio)
EDWARD R. HAMBERGER, President and CEO, Association of American Railroads (ex officio)
JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials (ex officio)
EDWARD JOHNSON, Director, Applied Science Directorate, National Aeronautics and Space Administration (ex officio)
RICK KOWALEWSKI, Deputy Director, Bureau of Transportation Statistics, U.S.DOT (ex officio)
WILLIAM W. MILLAR, President, American Public Transportation Association (ex officio)
MARY E. PETERS, Federal Highway Administrator, U.S.DOT (ex officio)
ERIC C. PETERSON, Deputy Administrator, Research and Innovative Technology Administration, U.S.DOT (ex officio)
SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. Environmental Protection Agency (ex officio)
JEFFREY W. RUNGE, National Highway Traffic Safety Administrator, U.S.DOT (ex officio)
ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT (ex officio)
WILLIAM G. SCHUBERT, Maritime Administrator, U.S.DOT (ex officio)
JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT (ex officio)
CARL A. STROCK (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers (ex officio)
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
Transportation Research Board Executive Committee Subcommittee for NCHRP
JOHN R. NJORD, Utah DOT (Chair) MARY E. PETERS, Federal Highway Administration
JOHN C. HORSLEY, American Association of State Highway ROBERT E. SKINNER, JR., Transportation Research Board
and Transportation Officials MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA
MICHAEL D. MEYER, Georgia Institute of Technology C. MICHAEL WALTON, University of Texas, Austin
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
NCHRP REPORT 525
Surface Transportation Security
Volume 6
Guide for
Emergency Transportation
Operations
STEPHEN LOCKWOOD
PB CONSULT
Washington, DC
JOHN O'LAUGHLIN
PB FARRADYNE
Seattle, WA
DAVID KEEVER
KAREN WEISS
SCIENCE APPLICATIONS INTERNATIONAL CORPORATION
McLean, VA
S UBJECT A REAS
Planning and Administration · Maintenance · Operations and Safety · Security
Research Sponsored by the American Association of State Highway and Transportation Officials
in Cooperation with the Federal Highway Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2005
www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY RESEARCH NCHRP REPORT 525: Volume 6
PROGRAM
Systematic, well-designed research provides the most effective Project 20-59(11)
approach to the solution of many problems facing highway
administrators and engineers. Often, highway problems are of local ISSN 0077-5614
interest and can best be studied by highway departments ISBN 0-309-08829-1
individually or in cooperation with their state universities and
Library of Congress Control Number 2004111186
others. However, the accelerating growth of highway transportation
develops increasingly complex problems of wide interest to © 2005 Transportation Research Board
highway authorities. These problems are best studied through a
coordinated program of cooperative research. Price $21.00
In recognition of these needs, the highway administrators of the
American Association of State Highway and Transportation
Officials initiated in 1962 an objective national highway research
program employing modern scientific techniques. This program is
supported on a continuing basis by funds from participating
member states of the Association and it receives the full cooperation
and support of the Federal Highway Administration, United States NOTICE
Department of Transportation.
The project that is the subject of this report was a part of the National Cooperative
The Transportation Research Board of the National Academies
Highway Research Program conducted by the Transportation Research Board with the
was requested by the Association to administer the research
approval of the Governing Board of the National Research Council. Such approval
program because of the Board's recognized objectivity and reflects the Governing Board's judgment that the program concerned is of national
understanding of modern research practices. The Board is uniquely importance and appropriate with respect to both the purposes and resources of the
suited for this purpose as it maintains an extensive committee National Research Council.
structure from which authorities on any highway transportation
The members of the technical committee selected to monitor this project and to review
subject may be drawn; it possesses avenues of communications and
this report were chosen for recognized scholarly competence and with due
cooperation with federal, state and local governmental agencies, consideration for the balance of disciplines appropriate to the project. The opinions and
universities, and industry; its relationship to the National Research conclusions expressed or implied are those of the research agency that performed the
Council is an insurance of objectivity; it maintains a full-time research, and, while they have been accepted as appropriate by the technical committee,
research correlation staff of specialists in highway transportation they are not necessarily those of the Transportation Research Board, the National
matters to bring the findings of research directly to those who are in Research Council, the American Association of State Highway and Transportation
a position to use them. Officials, or the Federal Highway Administration, U.S. Department of Transportation.
The program is developed on the basis of research needs Each report is reviewed and accepted for publication by the technical committee
identified by chief administrators of the highway and transportation according to procedures established and monitored by the Transportation Research
departments and by committees of AASHTO. Each year, specific Board Executive Committee and the Governing Board of the National Research
areas of research needs to be included in the program are proposed Council.
to the National Research Council and the Board by the American
Association of State Highway and Transportation Officials.
Research projects to fulfill these needs are defined by the Board, and
qualified research agencies are selected from those that have
submitted proposals. Administration and surveillance of research
contracts are the responsibilities of the National Research Council
and the Transportation Research Board. Published reports of the
The needs for highway research are many, and the National
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
Cooperative Highway Research Program can make significant
contributions to the solution of highway transportation problems of are available from:
mutual concern to many responsible groups. The program,
however, is intended to complement rather than to substitute for or Transportation Research Board
duplicate other highway research programs. Business Office
500 Fifth Street, NW
Washington, DC 20001
and can be ordered through the Internet at:
Note: The Transportation Research Board of the National Academies, the
National Research Council, the Federal Highway Administration, the American
Association of State Highway and Transportation Officials, and the individual
http://www.national-academies.org/trb/bookstore
states participating in the National Cooperative Highway Research Program do
not endorse products or manufacturers. Trade or manufacturers' names appear
herein solely because they are considered essential to the object of this report. Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol-
ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology
and to their use for the general welfare. On the authority of the charter granted to it by the Congress in
1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni-
cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Acad-
emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration
and in the selection of its members, sharing with the National Academy of Sciences the responsibility for
advising the federal government. The National Academy of Engineering also sponsors engineering programs
aimed at meeting national needs, encourages education and research, and recognizes the superior achieve-
ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the
services of eminent members of appropriate professions in the examination of policy matters pertaining
to the health of the public. The Institute acts under the responsibility given to the National Academy of
Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative,
to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the
Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate
the broad community of science and technology with the Academy's purposes of furthering knowledge and
advising the federal government. Functioning in accordance with general policies determined by the Acad-
emy, the Council has become the principal operating agency of both the National Academy of Sciences
and the National Academy of Engineering in providing services to the government, the public, and the
scientific and engineering communities. The Council is administered jointly by both the Academies and
the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. William A. Wulf are chair and vice chair,
respectively, of the National Research Council.
The Transportation Research Board is a division of the National Research Council, which serves the
National Academy of Sciences and the National Academy of Engineering. The Board's mission is to promote
innovation and progress in transportation through research. In an objective and interdisciplinary setting,
the Board facilitates the sharing of information on transportation practice and policy by researchers and
practitioners; stimulates research and offers research management services that promote technical
excellence; provides expert advice on transportation policy and programs; and disseminates research
results broadly and encourages their implementation. The Board's varied activities annually engage more
than 5,000 engineers, scientists, and other transportation researchers and practitioners from the public and
private sectors and academia, all of whom contribute their expertise in the public interest. The program is
supported by state transportation departments, federal agencies including the component administrations of
the U.S. Department of Transportation, and other organizations and individuals interested in the
development of transportation. www.TRB.org
www.national-academies.org
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COOPERATIVE RESEARCH PROGRAMS STAFF FOR NCHRP REPORT 525
VOLUME 6
ROBERT J. REILLY, Director, Cooperative Research Programs
CRAWFORD F. JENCKS, Manager, NCHRP
S. A. PARKER, Senior Program Officer
EILEEN P. DELANEY, Director of Publications
ANDREA BRIERE, Editor
ELLEN CHAFEE, Assistant Editor
NCHRP PROJECT SP20-59 PANEL FOR PROJECT 20-59(11)
Field of Special Projects--Area of Security
DAVID S. EKERN, Idaho Transportation Department (Chair)
MALCOLM "MAL" BAIRD, Vanderbilt University
JOHN CORBIN, Wisconsin DOT
JONATHAN L. GIFFORD, George Mason University
LEE D. HAN, University of Tennessee
THOMAS C. LAMBERT, Metropolitan Transit Authority--Houston
DOTTIE SHOUP, Nebraska Department of Roads
BRIAN ZIEGLER, Pierce County Public Works and Utilities, Washington
DAVID HELMAN, FHWA Liaison
THEOPHILOS C. GEMELAS, TSA Liaison
VALERIE BRIGGS KALHAMMER, AASHTO Liaison
MATTHEW D. RABKIN, Volpe National Transportation Systems Center Liaison
DAWN TUCKER, U.S.DOT Office of Intelligence and Security Liaison
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This sixth volume of NCHRP Report 525: Surface Transportation Security is
FOREWORD designed to assist transportation agencies in adopting the National Incident Manage-
By S. A. Parker ment System (NIMS). In his September 8, 2004, letter to state governors, DHS Secre-
Staff Officer tary Tom Ridge wrote that "NIMS provides a consistent nationwide approach for Fed-
Transportation Research eral, State, territorial, tribal, and local governments to work effectively and efficiently
Board together to prepare for, prevent, respond to, and recover from domestic incidents,
regardless of cause, size, or complexity."
The objective of Volume 6: Guide for Emergency Transportation Operations is to
support the development of a formal program for the improved management of traffic
incidents, natural disasters, security events, and other emergencies on the highway sys-
tem. This report outlines a coordinated, performance-oriented, all-hazard approach
called "Emergency Transportation Operations." The NIMS-friendly Guidance was
developed as part of a series requested by The American Association of State Highway
and Transportation Officials (AASHTO) through its Standing Committee on Trans-
portation Security. It is based on current best practice on the part of state DOTs and is
designed for maximum compatibility with the objectives of public safety agencies. It
has also benefited from discussion with the National Transportation Incident Manage-
ment Coalition, which brings together the combined perspectives of the transportation
and public safety communities.
This guide is intended for both senior managers/policy makers and for agency pro-
gram managers. The first five sections are for all readers. The sections entitled "The
Institutions and Leadership Self-Assessment" and "The Institutions and Leadership
Guidance" are for senior managers/policy makers and focus on the importance of a
coherent policy, organizational, and financial framework. The section entitled "The
Operations and Technology Self-Assessment and Guidance" is for agency program
managers involved in the development, management, and improvement of processes,
equipment, and relationships that constitute such a program.
PB Consult and Science Applications International Corporation prepared this vol-
ume of NCHRP Report 525 under NCHRP Project 20-59(11).
Emergencies arising from terrorist threats highlight the need for transportation
managers to minimize the vulnerability of travelers, employees, and physical assets
through incident prevention, preparedness, mitigation, response, and recovery. Man-
agers seek to reduce the chances that transportation vehicles and facilities will be tar-
gets or instruments of terrorist attacks and to be prepared to respond to and recover from
such possibilities. By being prepared to respond to terrorism, each transportation
agency is simultaneously prepared to respond to natural disasters such as hurricanes,
floods, and wildfires, as well as human-caused events such as hazardous materials spills
and other incidents.
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This is the sixth volume of NCHRP Report 525: Surface Transportation Security,
a series in which relevant information is assembled into single, concise volumes--each
pertaining to a specific security problem and closely related issues. These volumes
focus on the concerns that transportation agencies are addressing when developing pro-
grams in response to the terrorist attacks of September 11, 2001, and the anthrax attacks
that followed. Future volumes of the report will be issued as they are completed.
To develop this volume in a comprehensive manner and to ensure inclusion of sig-
nificant knowledge, available information was assembled from numerous sources,
including a number of state departments of transportation. A topic panel of experts in
the subject area was established to guide the researchers in organizing and evaluating
the collected data and to review the final document.
This volume was prepared to meet an urgent need for information in this area. It
records practices that were acceptable within the limitations of the knowledge avail-
able at the time of its preparation. Work in this area is proceeding swiftly, and readers
are encouraged to be on the lookout for the most up-to-date information.
Volumes issued under NCHRP Report 525: Surface Transportation Security may
be found on the TRB website at http://www.TRB.org/SecurityPubs.
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Contents
The Call to Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
The Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Key Driving Forces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
A Serious Commitment to ETO. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Self-Assessment Against Best Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Strategies to Improve Current Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
The Importance of Executive Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
The Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Driving Forces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
State of the Practice Strengths and Weaknesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Improvement Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Basic Improvement Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
The Bottom Line: Degree and Type of Change Needed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
The Guidance Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
The Institutions and Leadership Self-Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
The Institutions and Leadership Guidance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Strategy 1: Develop Interagency Preparations for Complete Array of Incidents
and Emergencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Strategy 2: Establish Formal Program with Senior Responsibility, Organization,
and Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Strategy 3: Allocate Adequate Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Strategy 4: Establish Objectives with Related Performance Measures and Accountability . . 29
Strategy 5: Develop Agency Policy, Laws, and Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Improvement Strategies as Part of Agency Strategic Planning and Programming . . . . . . . . . 31
Moving Forward--the Importance of Executive Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
The Operations and Technology Self-Assessment and Guidance . . . . . . . . . . . . . . . . . . . . . . . . . 33
Strategy 1: Make Hazard-Specific/Proactive Preparations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Strategy 2: Develop and Implement Coordinated Protocols, Procedures, and Training . . . . . 37
Strategy 3: Deploy Advanced Technology/Equipment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Strategy 4: Measure/Benchmark Performance Against Best Practice . . . . . . . . . . . . . . . . . . . . 43
Moving Forward--Ideal State of the Practice for ETO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
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GUIDE FOR EMERGENCY TRANSPORTATION OPERATIONS
Appendix: The State of the Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Operations--State of the Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Operations--Strengths and Weaknesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Technology--State of the Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Technology--Strengths and Weaknesses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Institutions--State of the Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Institutions--Strengths and Weaknesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
