A Guide to Transportation's Role in Public Health Disasters (2006)

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CHAPTER 3 EMERGENCY RESPONSE PLANS, OPTIONS, AND STRUCTURE This chapter presents a summary of the different U.S. transportation modes. The summary includes functional, op- erational, and control characteristics of these modes, which will assist in meeting the ultimate objective of this research, which is to develop a guide that will help state and local transportation officials to develop their transportation re- sponse options in the case of an extreme event. The U.S. transportation system carries both freight and people, transported using the following modes: • Highway, • Maritime, • Rail, • Air, and • Mass transit. The last category is unique in that it uses the former modes of transportation, but is limited to the transport of people. The operations of the mass transit system are quite different from freight or personal transportation, thus, the options for use of this system in the case of extreme events is considered separately. Each of the five transportation mode summaries is divided into the following subsections: • Definitions used to describe the system; • National system size and characteristics; • System use under normal operations; • System financing as it relates to security funds and emergency options; • General organization from a management perspective; • General operations under normal conditions; • Emergency plans in the system and organization during emergency events; • Historical emergency actions; and • Summary matrixes of operations and traffic, and emer- gency options, limits, and authority. 3.1 THE HIGHWAY SYSTEM 3.1.1 Definitions The U.S. highway system is approximately 160,000 miles (256,000 kilometers) of roadway important to the nation’s economy, defense, and mobility. The National Highway 34 System (NHS) was developed by the Department of Trans- portation (DOT) in cooperation with the states, local offi- cials, and metropolitan planning organizations (MPO). The NHS includes several subsystems of roadways that overlap: arterials and other road classifications (that are part of the national road network, but of which only a small part of the mileage falls within the NHS). Arterials These roadways provide the highest level of mobility, at the highest speed, for long and uninterrupted travel. Arteri- als typically have higher design standards than other roads. They often include multiple lanes and have some degree of access control. The rural arterial network provides inter- state and inter-county service so that all developed areas are within a reasonable distance of an arterial highway. FHWA subclassifications for arterials in the NHS include the following: • Interstate. The Eisenhower Interstate System, as origi- nally established by the Federal-Aid Highway Act of 1956, retains a separate identity within the NHS. The In- terstate System connects, as directly as practicable, prin- cipal metropolitan areas, cities, and industrial centers; serves the national defense; and connects at suitable bor- der points with routes of continental importance. • Other Principal Arterials. These are highways in rural and urban areas that provide access between an arterial and a major port, airport, public transportation facility, or other intermodal transportation facility. Almost all urban areas with more than 50,000 people, and most urban areas with more than 25,000 people, are con- nected by principal arterial highways that may or may not be part of the Interstate System. • Strategic Highway Network (STRAHNET). This net- work of highways is important to U.S. strategic defense policy; it provides defense access and continuity and emergency capabilities for defense purposes. • Major Strategic Highway Network Connectors. These are highways that provide access between major mili- tary installations and highways that are part of the Strategic Highway Network.

35 • Intermodal Connectors. These highways provide access between major intermodal facilities and the other sub- systems making up the NHS. Other Road Classifications These are part of the national road network, but only a small portion of the mileage falls within the NHS. • Minor arterials. These are roads smaller than principal arterials that connect small communities (e.g., popula- tions  25,000). • Collectors. These roads provide a lower degree of mo- bility than arterials. They are designed for travel at lower speeds and for shorter distances. For the most part, collectors are two-lane roads that collect and dis- tribute travel from the arterial system. The collector sys- tem has two subsystems: major and minor collectors. Major collectors serve larger towns not accessed by higher order roads and important industrial or agricul- tural centers that generate significant traffic but are not served by arterials. In urban areas, the collector system provides traffic circulation within residential neighbor- hoods and commercial and industrial areas. Unlike arte- rials, collector roads may penetrate residential commu- nities, distributing traffic from the arterials to the ultimate destination for many motorists. Urban collec- tors also channel traffic from local streets onto the arte- rial system. • Local roads. These roads represent the largest element in the American public road network in terms of mileage. For rural and urban areas, all public road mileage below the collector system is considered local. Local roads pro- vide basic access between residential and commercial properties and connect with higher order highways. 3.1.2 System Size “Lane miles” is defined as road mileage, with parallel lanes counted separately and thus is greater than miles in terms of travel distance. In 2000, more than 50 percent of the U.S. total lane miles were rural local centerline roads. Prin- cipal arterials, including the interstate, composed only 7 per- cent of the national total lane miles, while major and minor collectors represented 15 and 9 percent of the national total lane miles, respectively. Table 3-1 shows lane miles and the percentage of the U.S. total by road classification (i.e., func- tional system) and area population size. Bridges in the national road system may represent partic- ular points of interest because they typically take more time and money to replace than roadway. Of the 587,146 highway bridges in the United States in 2000, 77.6 percent were in rural communities and 22.4 percent were in urban areas. Examining structures by numbers gives all bridges in the net- work equal priority. Thus, a small local bridge is counted the same as a large urban bridge such as New York’s George Washington Bridge or San Francisco’s Golden Gate Bridge. Structure size can be accounted for by using bridge deck area. Table 3-2 describes, by functional classification and area population, the number of highway bridges and the per- centage of the total number of bridges and total deck area. 3.1.3 System Use Highway transportation in the United States plays a signif- icant role in two major areas: providing personal mobility to households and facilitating freight movement. The use of pri- vate automobiles on the U.S. highway network provides Americans with a high degree of personal mobility. Automo- bile transportation allows people to travel where they want, when they want, and with whom they want. The freedom Functional System Urban (pop. > 50,000) Small Urban (pop. 5,000 – 49,999) Rural (pop. <5,000) Total Lane miles % U.S. Total Lane miles % U.S. Total Lane miles % U.S. Total Lane miles % U.S. Total Interstate 66,507 0.8% 7,626 0.1% 135,000 1.6% 209,133 3% Other Principal Arterial 37,113 0.4% 4,627 0.1% 253,192 3.1% 294,932 4% Minor Arterial 148,077 1.8% 37,702 0.5% 287,605 3.5% 473,384 6% Major Collector 180,434 2.2% 45,208 0.5% 872,647 10.6% 1,098,289 13% Minor Collector 143,620 1.7% 44,525 0.5% 544,976 6.6% 733,121 9% Local 961,484 11.6% 238,684 2.9% 4,230,598 51.3% 5,430,766 66% Total 1,537,235 18.6% 378,372 4.6% 6,324,018 76.6% 8,239,625 100% (Source: Highway Performance Monitoring System) TABLE 3-1 Highway Lane Miles and Percent of U.S. Total by Functional System and Area Population Size, 2000

36 accorded by automobiles and highways accounts in large part for the enormous popularity of automobile travel. One hun- dred million U.S. households generate more than one billion person trips and over nine billion person miles of travel in a typical day. The highway system is also a key conduit for freight movement, accounting for 54 percent of total freight trans- port by weight and 83 percent by value in 1998. Between 1993 and 1997, the weight of commodities shipped by truck from U.S. establishments increased 20.6 percent. The aver- age miles traveled by trucks grew at an average annual rate of 4.0 percent per year during this period (USDOC Census 1997). The value of goods transported by truck has increased, while the weight of goods shipped has declined. In addition to personal mobility and freight movement, transit modes such as buses, vanpools, and demand-response services share roadways with private automobiles and com- mercial vehicles and are affected by highway pavement and traffic conditions. 3.1.4 Financing Highway financing is provided by federal, state, and local sources. The federal-aid highway program is a federally as- sisted, state-administered program that distributes federal funds to the states for the construction and improvement (i.e., operation and maintenance) of urban and rural highway sys- tems. Federal-aid highway projects are developed, contracted, and supervised by the states. Roads remain under the admin- istrative control of the state or local government responsible for their operation and maintenance. The federal-aid highway program is financed from the proceeds of motor-fuel and other highway-related excise taxes deposited in the Federal Highway Trust Fund (HTF). Table 3-3 shows revenues used for highways in 1999. More than one-half of revenues used for highways were from user-taxes (e.g., gasoline taxes). Table 3-4 shows revenues used to fund highways in 1999. The category of “law enforcement and safety” represented about 9 percent of the total disbursements for highways in 1999. Funds are apportioned to states in accordance with legislated formulas that include factors such as Interstate lane-miles, travel, and commercial vehicle contributions to the Highway Trust Fund. For most programs, these funds are matched by state or local governments on an 80 percent federal share to a 20 percent state share basis. State and local governments also receive funds for their highway activities from programs ad- ministered by other federal agencies. Some federal funds are distributed through state governments to local governments. Federal agencies’ direct work on highways represents only a small portion of federal assistance to highways. Most local governments are constrained by their state gov- ernments with respect to revenues generated by the taxation of real and personal property. Because there are limits to the amount of revenue that can be derived from property taxation, many states share revenues with local governments. Local highway-user taxation, when permitted by the state, is usually in the form of local option taxes on motor fuel. With a local option tax, the state allows local governments to decide whether to levy a tax in addition to the state tax rate. TABLE 3-2 Number of Highway Bridges and Percent of U.S. Total Number and Deck Area by Functional System, 2000 Functional System Urban Rural Number of Bridges % U.S. Total Number % U.S. Total Deck Area Number of Bridges % U.S. Total Number % U.S. Total Deck Area Interstate 27,882 4.7% 19.4% 27,797 4.7% 8.2% Other Arterial 63,177 10.8% 26.6% 74,796 12.7% 15.7% Collector 15,038 2.6% 2.8% 143,357 24.4% 13.5% Local 25,684 4.4% 3.6% 209,415 35.7% 10.3% Total 131,781 22.4% 52.4% 455,365 77.6% 47.6% (Source: National Bridge Inventory) TABLE 3-3 Revenues Used for Highways, All Levels of Government, 1999 Revenue Source $ (millions) Federal2 25,083 State 42,029 Local 1,746 Highway-User Tax Revenues1 Total 68,857 Road and Crossing Tolls 5,132 Appropriations from General Funds 17,185 Property Taxes 5,809 Other Imposts 6,382 Miscellaneous Receipts 3 6,775 Bond Receipts 4 11,274 Total Receipts 121,413 (Source: FHWA) 1 Excludes amounts allocated for collection expenses and nonhighway purposes. 2 Amounts reflect Highway Trust Fund revenues attributable to highway-user taxes that were expended for highways in each state, excluding territories. 3 Includes interest earned on Highway Trust Fund reserves. 4 Excludes short-term notes and refunding bond issues.

3.1.5 General Organization Publicly owned highways and bridges are those owned by the federal, state, and local governments. States own almost 20 percent of the nation’s road system. State governments in- clude a DOT or equivalent responsible for road development and maintenance. The inclusion of law enforcement author- ity within the DOT varies among states. The federal govern- ment has control over about 3 percent of the network, pri- marily in national parks and forests and on Native American reservations. More than 77 percent of U.S. roads are owned by local governments (e.g., counties, cities, and towns). 3.1.6 Operations Each state pays for the maintenance, law enforcement, and construction of highways within its boundaries, and each state attempts to ensure receipt of taxes for using its high- ways. States establish vehicle safety regulations, including li- censing requirements and speed limits. Each state can also establish width and weight regulations, within certain federal guidelines, for trucks that operate within its jurisdiction. 3.1.7 Emergency Plans and Organization The state DOT, along with the state emergency manage- ment office, develops emergency plans that include highways. Emergency planning includes preparedness, awareness, and 37 response activities. Preparedness activities are designed to pro- vide a basis to respond to an event; they include coordinating plans, predeploying resources, and providing public informa- tion to support rapid and effective implementation of response measures. Examples include readying and publicizing evacu- ation routes prior to a hurricane and raising security levels on critical transportation infrastructure in response to warnings of increased threat levels. During the preparedness phase of emergency management, transportation agencies typically support the development and revision of • State emergency operations plans (EOPs); • Local/regional hazard-specific plans; • Mutual aid and other support agreements; • Documentation of transportation agency roles in the ICS and community Emergency Operations Center (EOC); • Evacuation plans at the county, state, and multistate levels; • Plans to manage the immediate transport of supplies to support shelter-in-place strategies; and • Training. Preparedness activities can also include participating in exercises and coordinating and planning meetings, as well as activities designed to establish and improve interagency and public communication before, during, and after an event. Awareness activities include gathering and reporting infor- mation on potential emergency events, as well as informing agencies and the general public about the occurrence of an event. Event warnings or alerts can include notifications that a major event may occur, either through weather forecasting (e.g., natural disaster), heightened readiness at the local/ regional level (e.g., special event, possible strike, or civil un- rest), or the DHS’s Homeland Security Advisory System. Whether warning is available or not, the identification of the occurrence of an event or series of events with the potential to disrupt the transportation system must be provided. Among the awareness activities performed by transportation agencies are • Use of surveillance systems to detect indicators of a po- tential emergency, an emergency that is occurring, or an emergency that has occurred; and • Verification by field personnel that an emergency event is occurring or has occurred and communication of rel- evant information to all responding agencies. Response activities cover a wide range of tasks designed to minimize loss of life and property as a result of an emer- gency event. Transportation agencies implement a number of response activities during an emergency event, including the following: • Advising law enforcement on access for transportation personnel assessing damage; TABLE 3-4 Total Disbursements for Highways, All Units of Government, 1999 Disbursement Type 1 $ (millions) State Highways 41,264 Local Highways 15,712 Fed. Roads and Unclassified 246 Capital Outlay Total 57,222 State Highways 11,964 Local Highways 17,964 Fed. Roads and Unclassified 69 Maintenance and Services Total 29,997 9,129 10,393 4,349 4,914 Administration and miscellaneous Highway Law Enforcement and Safety Interest Bond Retirement 2 Total Disbursements 116,005 (Source: FHWA) 1 Disbursements are classified by system on which expended, rather than by expending agencies; e.g., capital outlay on local rural roads includes expenditures from federal, state and local funds. Data includes estimates. 2 Excludes short-term notes and refunding bond issues.

• Performing damage assessment responsibilities for af- fected transportation system elements; • Coordinating assessments and decisions on the opera- tional capabilities of the transportation system; • Making decisions regarding closures, restrictions, and priority repairs; • Providing assistance in determining any potential haz- ards at the scene; • Initiating traffic management operations and control strategies; • Assigning personnel to EOC(s) to help coordinate disaster response and recovery efforts; • Addressing first responder transportation needs; • Providing field support for emergency responders, inte- grated through ICS and communicated and coordinated with the traffic management center (TMC); • Assigning transportation resources to move materials, personnel, and supplies as requested by responders; • Supporting hazardous materials containment assess- ments in coordination with the ICS; and • Attending briefings at incident sites on situations, incident action plans, response objectives, and strategy. Recovery activities are concentrated on restoring essential services following an emergency event. Activities include implementing plans to reopen closed segments of the trans- portation system to allow the return of evacuated persons to their communities and rerouting traffic to ensure that suffi- cient capacity to meet regional demand is provided. Other recovery-related activities performed by transportation agen- cies include • Initiating priority clean-up, repair, and restoration activities; • Coordinating roadway clearance activities; • Prioritizing recovery operations and performing emergency repairs in the disaster area; • Coordinating with other jurisdictions that are managing, supporting, or affected by the repair activities; • Assisting in the design and implementation of alternate transportation services; • Coordinating with efforts to restore utilities; • Supporting decontamination of hazardous materials contractors and clean-up crews; • Assisting state and local governments in determining the most viable transportation networks to, from, and within the disaster area and regulating the use of those networks; • Providing highway clearances and waivers required to expedite transportation of high-priority materials; and • Providing public information/traveler alerts on trans- portation status by monitoring re-entry routes. In summary, the scope and responsibilities of transporta- tion agencies regarding emergency response include three 38 general areas: (1) operating the transportation system before, during, and after an emergency event; (2) delivering infor- mation on transportation system status to other public agen- cies and the general public before, during, and after an event; and (3) providing logistical support to other public agencies and the general public. 3.1.8 Historical Emergency Actions There is historical experience in taking emergency actions to alter highway use for evacuations because of natural events such as hurricanes and floods. During these events, in- bound entrance ramps can be closed with gates and in-bound lanes are reduced or entirely eliminated and redesignated as out-bound lanes. In the southeastern coastal cites where there are greater hurricane risks, evacuation routes are displayed in places ranging from local newspapers, to the internet, media broadcasts, and telephone book community information sec- tions. The evacuating state DOT coordinates activities with adjacent states, providing them with estimates of evacuation traffic flow. After the Northridge earthquake in 1994, California’s DOT responded by assessing highway infrastructure condi- tion, determining its soundness, and developing alternative routes where necessary. In addition to modifying highway traffic flow and assessing highway soundness, the state DOT has provided trucks, personnel, and sand bags as requested by incident command centers in response to various emer- gencies. 3.1.9 Highway System Summary Matrix Table 3-5 summarizes highway operational sequences, traffic flow, and historical emergency response. Table 3-6 summarizes highway control options, operational limits, and existing authority. 3.2 THE MARITIME SYSTEM 3.2.1 Definitions For this project, the U.S. maritime transportation system (MTS) is defined in accordance with the U.S. Coast Guard (USCG) and the Army Corps of Engineers as consisting of 95,000 miles of coast line, including the Great Lakes and in- land waterways, with more than 361 ports. U.S. waters are all waters extending from 12 nautical miles off the coast inland. State waters are waters contained solely within one state that are never navigated commercially or were not created by the U.S. Army Corps of Engineers. Coastal trade is defined in the Jones Act as picking up cargo in one U.S. port for delivery to another U.S. port. Liner trade defines the movement of cargo vessels that adhere to a set schedule of port visits and departures. Tramp trade

39 TABLE 3-5 Highway Operational Sequences, Traffic Flow, and Historical Emergency Response Operational Sequences Traffic Flow Historical Emergency Response Traffic Types Traffic Patterns Short Term (2 hr) Long Term (>2 hr) Personal: Private passenger cars and light duty trucks for personal travel. Peak demand during morning and afternoon commute hours with travel during weekdays often higher than during weekends. Freight: Privately owned heavy duty trucks hauling freight. Truck volume generally uniform throughout the day and generally lower on weekends than weekdays. Normal: A mix of vehicle types and travel demand. Constraining Emergencies: General traffic reduced during severe weather (e.g., snow, hurricane). In extreme cases, prohibit travel on public roads to facilitate emergency equipment access. Expanding Emergencies: Use evacuation routes to expand exit capacity. Modify traffic control devices (e.g., traffic signals) to manage demand. Reroute traffic to facilitate emergency response. Rush Hours: Toward urban areas, schools, and work centers. Off-Peak: To and from schools, shopping, entertainment, etc. Emergencies: Route vehicles generally away from emergency area; first responders toward emergency area. Eliminate Access: Prohibit vehicles from accessing site. Reroute Traffic: Establish routes around site. Establish Evacuation Route: Identify evacuation routes to provide vehicles with routes away from scene. Other Options: Modify traffic control to provide access to emergency vehicles (e.g., traffic signal priority); provide traveler information regarding alternative routes. Reroute: Modify routes as needed. Same as short term and: Repair/Construct roads and bridges.

defines the movement of vessels that comply with specific delivery orders. Such vessels may remain at anchor for ex- tended periods of time awaiting their next transport order. Types of maritime vessels include • Foreign vessels. Such vessels are prohibited by the Jones Act from participating in coastal trade. These ves- sels are built, substantially modified, owned, controlled, or crewed by non-U.S. personnel or businesses. • U.S.-flagged vessels. These are defined as vessels built, controlled, crewed, and primarily maintained by U.S. personnel or business. Certain exemptions to this crite- rion are routinely included in congressional legislation for specific vessels. • Ferries. These are vessels designed to transport passen- gers or passengers and vehicles on fairly short (less than a day) scheduled routes. Most ferries operating in U.S. waters are U.S. flagged. • Cruise ships. These are designed to transport passengers for longer periods of time. Most cruise ships are foreign vessels. • Liners. These are freight vessels that carry cargo ac- cording to a fixed scheduled of routes and port calls. Most containerized and some breakbulk cargo fall in this category. • Tramps. These are chartered freight vessels that carry dry cargo (mainly dry bulks such as coal, grain, and fer- tilizers, as well as steel and, in some cases, automo- biles). • Tankers. These are vessels that carry bulk liquid cargo, such as crude oil. 3.2.2 System Size and Modes It is misleading to define the U.S. MTS simply by report- ing the number of U.S. flagged vessels. An average of 7,500 foreign ships call on U.S. ports each year. These foreign ships account for 95 percent of the passenger ships (mainly 40 cruise ships) and 75 percent of the cargo ships operating in U.S. waters. However the flag of the vessel no longer repre- sents the nation of the vessel owners. Most of the cruise ships visiting our ports are actually owned by a U.S. corporation; for example Miami-based Carnival Cruise Lines is the largest cruise line in the world. Although not as dramatic in percentage, the number of foreign tankers entering the U.S. that are actually owned by U.S. corporations is also high. Table 3-7, describes the vessels with a U.S. flag registry. Because of many economic factors, the actual U.S. flag fleet has become primarily one of tugs, barges, excursion boats, and ferries, with a few deep draft cargo vessels serv- ing U.S. states and possessions (e.g., Alaska, Hawaii, Guam, and Puerto Rico). The major U.S. components of the MTS are its port and the inland waterway vessels. Table 3-8 lists the top 15 ports in the United States. based on total cargo, foreign trade cargo, and containers. Bulk cargo (e.g., coal, oil, and grain) is worth far less per ton than containerized cargo; thus cargo tonnage alone does not reflect relative economic value. Table 3-9 lists the value and weight of foreign freight cargo based on cargo vessel type, where liners are largely transporting containers (i.e., ready for intermodal transport). 3.2.3 System Use According to the USCG, more than 95 percent of the over- seas trade that comes in or out of the United States moves by ship. U.S. ports and waterways handle more than 2 billion tons of both domestic and foreign commerce, including the daily importation of 9 million barrels of oil. Cargo moving through the MTS contributes more than $742 billion to the U.S. gross domestic product and creates employment for more than 13 million individuals. Ninety percent of all equipment and supplies for Operation Desert Storm was shipped from U.S. strategic ports via U.S. in- land and coastal waterways. Commercial transportation assets decrease the cost and environmental impact of meeting military TABLE 3-6 Highway Control Options, Operational Limits, and Existing Authority Control Options Operational Limits Existing Authority Short Term (2 hr) Long Term (>2 hr) Short Term (2 hr) Long Term (>2 hr) Options  Reroute traffic  Change traffic signalization  Institute reverse lanes  Distribute traveler information  Execute incident management plans Same as short term and: Implement evacuation plans Reroute traffic—limited feasible routes Change traffic signalization—hardware and software limits Institute reverse lanes—geometry and access limits Distribute traveler information—accuracy and availability Execute emergency plans—limited equipment and staff Same as short term and: Implement evacuation plans—coordination of routes and information across jurisdictions Fuel Access—suspended or delayed fuel deliveries may limit highway access. Reroute traffic—state/local public safety agencies Change traffic signals—state/local transportation agency Institute reverse lanes—state transportation agency Distribute traveler information—state/local transportation agency Execute incident management plans—state/local transportation agency

transportation requirements. Ships and barges have the fewest accidental spills or collisions of all forms of transportation. They routinely load and unload millions of barrels of petroleum and tons of coal, grain, chemicals, and other essential products throughout the United States, from Alaska to Maine. The inland portion of the MTS includes nearly 12,000 miles of commercially navigable inland and coastal water- ways and more than 630 million tons of cargo per year. Mov- ing the same volume over land would require 6.3 million rail carloads or 25 million truckloads. In 1997, the cruise passenger industry spent $6.6 billion on goods and services in the United States, which generated 176,000 jobs and had an estimated total economic impact of $11.6 billion. In 2003, it is estimated that there were approxi- mately 163 foreign-flag passenger vessels operating from U.S. ports, each carrying 1,000 to 5,000 persons on board, and all combined, carrying more than 6.5 million passengers annually. About 78 million Americans participated in recreational boating in 1997, using 16 million boats of all types and spend- ing $19 billion for new and used boats, accessories, and mem- 41 berships in 8,000 yacht and boat clubs. Millions of people annually use commercial passenger vessels that provide sight- seeing, excursion, dining, gaming, wind jamming, whale watching, and nature cruises. Ferries and high-speed vessels increasingly provide an envi- ronmentally sound alternative to cars. Ferryboat riders are often commuters. The largest capacity ferry systems are in the states of Washington and New York, although nearly every state has a private or government-run ferry service. In Puget Sound, fer- ries carry 23 million passengers each year; in Alaska, ferries are essentially the highways to and from homes and businesses. Private ferries must turn a profit while taxpayers subsidize pub- lic systems such as in New York and Washington. Table 3-10 summarizes the U.S. ferry fleet passenger capacity. 3.2.4 Financing In the United States, most vessel and marine terminal costs are privately funded. The federal government maintains some infrastructure, such as vessel locks on the inland waterways, Vessel Type Shallow Draft Vessels Deep Draft Vessels Vessel Type Number % Total of Type Average Draft Average Age Number % Total of Type Average Draft Average Age Vessels (total)2 39,945 96.2 9 20 1,557 3.8 21 20 Self-Propelled (total) 7,615 89.7 8 26 871 10.3 23 21 Dry Cargo (total) 732 78.7 7 24 198 21.3 31 24 Dry Bulk 6 8.2 11 36 67 91.8 30 28 Containership 0 - - - 68 100.0 37 19 General Cargo 209 86.0 9 30 34 14.0 29 21 Specialized 517 94.7 6 22 29 5.3 18 27 Passenger 724 99.2 5 23 6 0.8 21 20 Offshore Support 1,465 93.5 8 19 102 6.5 17 7 Tanker 23 19.2 9 44 97 80.8 40 21 Towboat 4,671 90.9 8 29 468 9.1 17 22 Non-Self-Propelled (total) 32,327 97.9 9 18 685 2.1 19 20 Dry Barge (total) 28,474 98.6 9 18 416 1.4 18 18 Dry Covered 13,600 98.6 9 16 192 1.4 20 11 Dry Open 8,649 99.2 9 16 68 0.8 17 34 Lash/Seabee 1,184 100.0 9 22 0 - - - Deck 4,927 97.6 8 23 120 2.4 16 21 Other Dry 3 114 76.0 9 25 36 24.0 16 19 Tank Barge (total) 3,853 93.5 10 23 269 6.5 21 23 Single Hull 587 84.5 10 32 108 15.5 21 26 Double Hull 2,642 97.2 10 21 75 2.8 23 16 Other Tank4 624 87.9 9 24 86 12.1 21 25 (Source: U.S. Army Corps of Engineers) 1 Based on the loaded draft of the vessel; shallow draft is defined as less than or equal to 14 feet and deep draft is greater than 14 feet. 2 Total is greater than the sum because of 4 unclassified vessels and 86 vessels with unknown draft; includes vessels available for operation. 3 Includes dry cargo barges that may be open or covered, railroad car, pontoon, RO-RO, container, or convertible. 4 Includes tank barges that may be double sided only, double bottom only, or not elsewhere included. TABLE 3-7 Summary of the United States Shallow and Deep Draft Vessels by Vessel Type for 2001

and it provides some funding for dredging certain ports and waterways. Since the terrorist attacks of September 11, 2001, the federal government has also provided funds to operators in the MTS to assess and upgrade security. According to the American Association of Port Authori- ties (AAPA), in 1998, port authorities invested nearly $1.5 billion to update their facilities, including $154 million for general cargo, $507 million in investments for containers, $260 million on infrastructure improvements, and $152 million for dredging. Between 1999 and 2003, it has been projected that ports will spend just over $9 billion. 42 Total Cargo, 2001 Foreign Trade Cargo, 2001 Container Traffic, 2002 Rank Port Tons (mil) Rank Port Tons (mil) Rank Port TEUS 1 South Louisiana 212.6 1 Houston, TX 120.6 1 Los Angeles, CA 6,105,864 2 Houston, TX 185.1 2 South Louisiana 95.7 2 Long Beach, CA 4,524,036 3 NY/NJ 137.5 3 NY/NJ 67.3 3 New York/New Jersey 3,749,014 4 New Orleans, LA 85.6 4 Beaumont, TX 62.0 4 Oakland, CA 1,707,827 5 Beaumont, TX 79.1 5 Corpus Christi, TX 53.9 5 Charleston, SC 1,592,834 6 Corpus Christi, TX 77.6 6 Long Beach, CA 51.6 6 Tacoma, WA 1,470,826 7 Huntington, WV 76.7 7 New Orleans, LA 50.3 7 Seattle, WA 1,436,872 8 Long Beach, CA 67.6 8 Los Angeles, CA 45.0 8 Hampton Roads, VA 1,437,779 9 Texas City, TX 62.3 9 Texas City, TX 44.1 9 San Juan, PR 1,393,627 10 Baton Rouge, LA 61.4 10 Hampton Rds, VA 33.7 10 Savannah, GA 1,327,939 11 Plaquemines, LA 60.7 11 Philadelphia, PA 32.9 11 Houston, TX 1,159,789 12 Pittsburgh, PA 53.0 12 Lake Charles, LA 31.9 12 Miami, FL 980,743 13 Lake Charles, LA 52.8 13 Mobile, AL 28.0 13 Honolulu, HI 945,460 14 Los Angeles, CA 51.4 14 Portland, ME 26.5 14 Jacksonville, FL 683,836 15 Hampton Rds, VA 51.2 15 Baltimore, MD 25.4 15 Port Everglades, FL 554,041 (Source: American Association of Port Authorities (AAPA)) TEUS = “Twenty-foot Equivalent Units” (i.e., 20-ft long container equivalents) TABLE 3-8 Top U.S. Ports Based on Total Cargo, Foreign Trade Cargo, and Container Traffic Imports Exports Total Type of Service Value (million $) Weight (thousand tons) Value/ weight ($/ton) Value (million $) Weight (thousand tons) Value/ weight ($/ton) Value (million $) Weight (thousand tons) Value/ weight ($/ton) Liner 236,233 69,610 3,394 88,830 47,639 1,865 325,063 117,249 2,772 Tanker 83,314 443,984 188 10,618 38,841 273 93,931 482,826 195 Tramp 75,904 130,771 580 32,543 141,443 230 108,447 272,214 398 TABLE 3-9 Foreign Waterborne Cargo Summary, Year-to-Date, August 2003, Value, Weight and Value to Weight Ratio Passenger Capacity Number of Vessels % Total 0 – 50 120 19.3 51 – 100 154 24.8 101 – 200 98 15.8 201 – 350 57 9.2 351 – 500 60 9.6 501 – 1,000 71 11.4 Over 1,000 27 4.3 Unknown 35 5.6 Total Ferry Fleet 622 100.0 (Source: WCSC survey and DOT National Ferry Study) TABLE 3-10 U.S. Ferry Fleet by Passenger Capacity, 2001 The U.S. DOT Maritime Administration (MARAD) pro- vides some funding to the operators of U.S. flag vessels, which helps off set the higher labor and vessel costs associated with U.S. regulatory requirements. In return, MARAD retains cer- tain rights to use these vessels in times of national need. 3.2.5 General Organization According to the AAPA “The U.S. public port industry consists of more than 100 public port authorities and agen- cies located along the Atlantic, Pacific, Gulf and Great Lakes coasts, as well as in Alaska, Hawaii, Puerto Rico, Guam, and the U.S. Virgin Islands. • Established by enactments of state government, ports develop, manage, and promote the flow of waterborne commerce and act as catalysts for economic growth. These agencies include port authorities, special purpose navigation districts, bi-state authorities and departments of state, county, and municipal government. • Public ports develop and maintain the terminal facilities for intermodal transfer of cargo between ships, barges,

trucks, and railroads. Ports build and maintain cruise terminals for the growing cruise passenger industry. • In addition to maritime functions, port authority activities may also include airports, bridges, tunnels, commuter rail systems, inland river or shallow draft barge terminals, in- dustrial parks, foreign trade zones, world trade centers, terminal or shortline railroads, shipyards, dredging, mari- nas and other public recreational facilities. • Public ports also play a critical role in our national se- curity, peace-keeping, and humanitarian efforts around the world. In particular, ports support the mobilization, deployment, and resupply of U.S. military forces. • Ports on the coasts and inland waterways provide 3,214 berths for deep draft ships and transfer cargo and passen- gers through 1,941 public and private marine terminals.” The remaining ports in the United States are either pri- vately run by commercial operators or managed by local mu- nicipalities. Overall MTS is more managed than organized. The USCG and the U.S. Army Corps of Engineers are responsible for the safe operation of the MTS. The USCG has jurisdiction over vessels in U.S. waters and can order them to move or conduct specified actions deemed necessary for the safety of a port. All maritime and waterfront facilities are also under USCG jurisdiction in regard to safety and security. Additionally, local authorities may have some shared jurisdiction over ma- rine and waterfront facilities. The placement of maritime facilities, cruise ship opera- tions, and marine services is driven by national and interna- tional economics and changes continually. 3.2.6 Operations There are many ways to divide operations within the MTS. The most appropriate way for this project is to break it into six specific modes as follows: • Scheduled liner trade, • Bulk ship trade, • Tug and barge trade, • Passenger vessels and ferry boat trade, • Cruise ship trade, and • Recreational boating. Scheduled liner trade consists primarily of intermodal container vessels that are 500 to 1,100 feet in length. They have crews of 12 to 30 and are mostly foreign flagged. Their schedules are set by their international corporate offices to maximize revenue. These vessels will seldom be in any one port for more than a day. Bulk ship trade consists of ships designed to carry oil, chemicals in bulk, or dry products (e.g., grain, ore, or coal). These vessels generally operate in the tramp trade although some do have regularly scheduled routes. These ships may 43 remain at anchor for considerable periods of time in a port after they have made their delivery and are waiting for an- other order. Tug and barge trade is primarily conducted by U.S. flagged vessels. Barges today may be as large as ships (500 to 700 feet). They carry all forms of cargo. For coastal ports, their primary use is for the movement of oil and to a lesser extent intermodal containers. On the inland waterways they are moved in large numbers (6 to 48) lashed together. They are used to move oil, grain, ore, coal, and other dry bulk cargo. The inland barge trade is both scheduled and on de- mand. The oil trade on the coast is primarily on demand whereas the container barge trade is run on a schedule. Passenger vessel (other than cruise ships) and ferry boat trade is primarily conducted by U.S. flagged vessels. Sched- ules are set for regional demand, many times varying by sea- son. Ferry boat routes are generally short in length (less than 2 hours). Ferry boats are run by both private and public enti- ties. Passenger vessels cater to sightseeing, dinner cruises, and ecotourism (e.g., whale watching), and their voyages are generally less than 8 hours long. Passenger vessels are usu- ally run by private entities. Cruise ship trade is primarily conducted by foreign ves- sels. These ships are home-ported in about a dozen U.S. ports and make port calls in a number of other ports. Most of these ships depart on the weekends for 3- to 14-day voyages and return to their homeport to begin the cycle again. Cruise ship schedules are published about a year in advance and are set to capture the planned market share of cruise ship customers. Recreational boats are numerous, are owned and operated by the public, and range in size from small canoes to 100- plus-foot-long yachts. All commercial vessels are under the control of a licensed mariner. Each such vessel is required to carry certain safety equipment. In addition certain waterfront facilities and most commercial vessels are being required to develop and imple- ment security plans by an international convention (SOLAS ISPS) and national law (Maritime Transportation Security Act of 2002). These plans basically require that the vessels and ter- minals have reasonable security to prevent unauthorized per- sonnel from gaining access and to ensure that contingency plans exist for specified events such as bomb threats and hostage situations. 3.2.7 Emergency Plans and Organization In the event of a threat to the MTS, the USCG is responsi- ble for managing its operation. The USCG’s authority in responding to a threat to the MTS is found in 33 CFR 6-160 and includes the authority to control any vessel or waterfront facility, close off or restrict access to a waterway to anyone, and even order the destruction of a vessel. Each portion of the MTS is part of a USCG Captain of the Port (COTP) Zone. Each COTP has an area security committee formed to use the knowledge of all parts of the MTS from government to labor

within a specified area having responsibility for an area secu- rity plan to deal with possible security threats. The area secu- rity plans explain how security threats will be managed and who will be in charge. The USCG is in charge initially; how- ever federal emergency plans can shift that responsibility to other agencies in response to certain threats (e.g., weapons of mass destruction). When an incident or security threat mate- rializes, these committees and their plans are used to rapidly disseminate information to those with a need to know. In addition to the area security plans, each COTP main- tains plans for managing natural disasters and regional emer- gencies. These plans are developed locally by the COTP and vary in complexity because of the perceived threat and avail- ability of resources. Implementation of the Maritime Transportation Security Act (MTSA) 2002, falls under the USCG, which, in 2003, published new security plans and security officer regulations in 33 CFR Parts 101 to 106. All vessels in waters under U.S. jurisdiction are subject to USCG Area Security Plans, as de- scribed in 33 CFR 103. Area Security Plans include vessel identification and navigation requirements. Further require- ments vary with the area. Designation of vessel types for which more stringent national security regulations apply is based on determinations of relative risk, which includes both the likelihood of an event and the magnitude of the effects of an event. In general, depending on a vessel’s gross weight, cargo types, and number of passengers, it may be required to conduct vulnerability assessments and to develop USCG- approved security plans that may include emergency re- sponse aspects such as passenger evacuation. 3.2.8 Historical Emergency Actions During the terrorist attacks of September 11, 2001, ferry boats and other commercial vessels shuttled thousands of people from Manhattan to New Jersey, Long Island, and Staten Island. After 9/11, temporary ferry lines were estab- lished to allow commuters to get to work despite damage to certain railway systems (for example the PATH trains into lower Manhattan). Many large tugboats are equipped with firefighting monitors and often assist in suppressing maritime fires. All commercial vessels are equipped with VHF FM ra- dios and are required to monitor certain channels for infor- mational and emergency broadcasts. The maritime industry has a proud history of lending assistance during emergencies, including participating in search and rescue operations. 3.2.9 System Summary Matrix Table 3-11 summarizes maritime operational sequences, traffic flow, and historical emergency response. Table 3-12 summarizes maritime control options, operational limits, and existing authority. 44 3.3 THE RAILWAY SYSTEM 3.3.1 Definitions Freight rail statistics exclude passenger, commuter, and excursion railroads, subways and mass transit systems, and freight railroads that operate solely on behalf of an individ- ual company and do not interchange traffic with other carri- ers. Miles of road is the aggregate length of railway exclud- ing yard tracks and sidings and does not include parallel miles of road with two or more tracks. The miles of road op- erated total is greater than the mileage owned total because more than one railroad operates some railways through track- age rights. Miles of road owned can be calculated as the dif- ference between miles of road operated and miles of road with trackage rights. Railroad companies are classified into five groups: • Class I. Railroads with an operating revenue of at least $266.7 million in 2001. In 2002, the minimum revenue for this category was $272 million. These carriers oper- ate in many states, with most of their operations for long-haul, high-density intercity traffic. This class rep- resents 1 percent of the number of U.S. freight railroads, 68 percent of the industry’s operated mileage, 88 per- cent of the industry’s employees, and 92 percent of the industry’s freight revenues. • Regional. Railroads with at least 350 route miles and/or revenue between $40 million and the Class I minimum. Railroads in this class are linehaul, and typically oper- ate 400 to 650 miles of road in a region located in two to four states. • Local linehaul. Railroads that operate less than 350 miles of road and have annual revenues less than $40 million. These carriers generally perform point-to- point transportation services over short distances. Most operate less than 50 miles of road and serve a single state. • Switching and terminal (S&T). Railroads that primarily provide switching and/or terminal services, rather than point-to-point services. These carriers pick up and de- liver cars between one or more connecting linehaul car- riers within a specified area. • Foreign-owned. Railroads owned by one of two Cana- dian companies: Canadian National Railway and Canadian Pacific Railway. Canadian company opera- tions in the United States can be classified as any of the above four classifications. Inclusion of Canadian com- pany U.S. operations in U.S. rail statistics varies de- pending on the reporting source. Tables 3-13 through 3-15 provide information on the relative size of U.S., Canadian, and Mexican rail operations in the United States.

45 Operational Sequences Traffic Flow Historical Emergency Response Traffic Types Traffic Patterns Short Term (2 hr) Long Term (>2 hr) Passenger Vessels, Cruise Ships, and Ferry Boats: Operate nearly exclusively on present schedules. Passengers or Cargo Accumulate: At the marine terminal prior to the vessels arrival. Ferry boats experience high peak service during the weekdays in the morning and afternoon (rush hour). Normal: A mix of workers, students, shoppers, tourists, and others on fixed routes, on or near schedule. Peak demand during the morning and evening hours, and during some events. Constraining Emergencies: Reduced or suspended service during severe weather emergencies (e.g., hurricane). Expanding Emergencies: Expand service during natural or manmade disasters (e.g., earthquake, terrorist attack, blackouts, flood). Routine: To and from specified marine terminals. The difference between peak and off-peak is generally only the frequency of transits. Emergency: Vessels can be rerouted to any pier or waterfront with adequate draft for the vessel to operate assuming passengers can access the vessel. Stop Service: At event sites, at suspicious sites, and as directed. Reroute Service: Around known emergency site, suspicious areas, danger zones Suspend Fares: During area evacuations to reduce traffic during spiked demand (special events). Other Options: Inform passengers of travel alternatives, discourage use, provide special service.  Reroute service  Evacuate people  Suspend fares  Inform passengers  Dedicate vessels to first responders  Modify other vessels for passengers  Rent vessels from outside region TABLE 3-11 Maritime Operational Sequences, Traffic Flow, and Historical Emergency Response

46 Control Options Operational Limits Existing Authority Short Term (2 hr) Long Term (>2 hr) Short Term (2 hr) Long Term (>2 hr) Options Reroute Service Evacuate People Suspend Fares Inform Passengers Dedicate Vessels to FR Use other vessels to carry passengers Same as short term and: Rent/Borrow vessels and operators Modify Vessels to carry passengers Help from Employers (staggered work hours), Media (inform public) State and Local Government (special exemption—waiver of hour restrictions on vessel operators) Stop or Reroute Service—limited choices Suspend Fares—overcrowding Add/Refocus Service—lack of resources First Responder Help—different: command structure, culture, operations Media Assistance— inadequate coordination, coverage, frequency, etc. Evacuate Vessels and Terminals—lead time Same as short term and: Borrow/rent Vessels/operators—lack of funding, stock, operators Receive Assigned Assistance—lack of resources, commitment, experience Modify Vessels—resources, time Employers, Media, State and Local Government—lack of control, not uniformly applied, etc. Fuel Access—may be limited due to delayed or suspended shipments. Stop/Reroute Service—federal, local, and state government. Suspend Fares—local and state government. Add/Refocus Service—local and state government. Substitute Service—local, state, and federal government. First Responder Help—first responder organization, local and state government. Media Assistance—industry Borrow/Rent Vessels/operators—local, state, and federal government Modify Vessels—local, state, and federal government. Employer Assistance—industry Special Exemption—local and state government Evacuate—first responder organization, local and state government. TABLE 3-12 Maritime Control Options, Operational Limits, and Existing Authority

3.3.2 System Size Freight railroads move 42 percent of U.S. domestic freight as measured in ton-miles, in addition to contributing billions of dollars each year to the economy through investments, wages, purchases, and taxes. 3.3.3 System Use Coal is the single most important commodity carried by rail. In 2001, 46 percent of the tonnage and 23 percent of the revenue of Class I railroads was from coal transport. The pri- mary use of coal is for the generation of electricity at coal- fired power plants, which produce more than one-half of the nation’s electricity. Approximately two-thirds of the coal used for generating electricity is shipped by rail. In 2001, 70 percent of the coal shipped by rail originated in three states: 47 Wyoming, West Virginia, and Kentucky. The top five states for termination of coal shipments (i.e., Illinois, Missouri, Texas, Virginia, and Ohio), represent about 36 percent of coal shipments. Intermodal traffic (i.e., truck trailers and containers trans- ported by rail and at least one other mode of transportation) is considered a category of its own and represents about 20 percent of rail revenue. This growing category may soon ex- ceed coal in terms of rail revenue. Other major commodities carried by rail are chemicals, including those used for public water purification; plastic resins; fertilizers; grain and other agricultural products; food; nonmetallic minerals, including phosphate rock, sand, and crushed stone and gravel; forest products, including lumber and paper; motor vehicles and vehicle parts; and waste and scrap materials, including scrap iron and paper. Table 3-16 presents rail tons originated and gross revenue by commodity group. Type of Railroad Number Miles Operated* Employees Freight Revenue ($ billions) Class I 8 97,631 162,155 $33.53 Regional 34 17,439 10,302 $1.58 Local linehaul 314 20,881 5,023 $0.88 S&T 215 6,682 6,889 $0.59 Canadian** 2 728 N/A N/A Total 573 143,361 184,369 $36.58 (Source: American Association of Railroads (AAR)) * excludes trackage rights ** CN and CP operations that are not part of Class I TABLE 3-13 Freight Railroad Industry Number of Companies, Miles Operated, Employees, and Revenue, 2001 Relations County of Owner Total Class 1 Other Car Co. and Shippers Canada 185,296 137,906 15,089 32,301 Mexico 33,969 19,823 6,335 7,811 U.S. 1,299,670 477,751 130,590 691,329 Total 1,518,935 635,480 152,014 731,441 (Source: AAR) TABLE 3-14 Freight Cars in Service in North America, 2002 Railroad Country of Ownership Revenue (million $) % of Total Revenue Union Pacific Railroad United States 10,614 26% The Burlington Northern and Santa Fe Railway United States 9,201 23% CSX Transportation United States 6,454 16% Norfolk Southern United States 6,170 15% Canadian National Railway Canada 3,650 9% Canadian Pacific Railway Canada 2,386 6% TFM (a subsidiary of Grupo Transportacion Ferroviario Mexicano) Mexico 668 2% FXE (a subsidiary of Grupo Ferroviario Mexicano) Mexico 567 1% Kansas City Southern Railway United States 566 1% Total 40,276 100% (Source: AAR) TABLE 3-15 Major North American Railroads Based on Revenue, 2001

In addition to commercial shipments, railroads provide critical support to the Department of Defense (DOD) Strate- gic Rail Corridor Network (STRACNET), which includes more than 30,000 miles of rail line and provides the back- bone for the movement of DOD shipments. DOD shipments, in addition to some commodities, such as certain chemicals and munitions, present greater risk of terrorist acts or acci- dental spillage. The rail industry has assessed these vulnera- bilities and taken steps to minimize these risks, as addressed in the Emergency Plans and Organization section, below. From a geographical use perspective, the 10 states with the greatest number of rail miles represent 40 percent of the na- tional total rail miles. These states are listed in Table 3-17. 48 The top 10 states for rail tons originated and for rail tons ter- minated are shown in Tables 3-18 and 3-19, respectively. 3.3.4 Financing and Ownership More than 90 percent of U.S. freight railroads, including all Class I carriers and all but one regional railroad, are privately owned and operated. Most railway track in the United States is owned by these private companies, which construct, main- tain, and pay property taxes on their road and facilities. With respect to capital intensity, freight railroads are near the top of all major U.S. industries. From 1980 to 2001, 45 percent of their operating revenue was spent on capital expenses and Tons Originated Gross Revenue Commodity Group (000) % of total (million) % of total Coal 785,006 44.4 $7,797 21.2 Chemical and allied products 158,734 9 $4,707 12.8 Farm products 137,717 7.8 $2,711 7.4 Nonmetallic minerals 125,643 7.1 $967 2.6 Food and kindred products 102,230 5.8 $2,657 7.2 Miscellaneous mixed shipments* 97,228 5.5 $4,900 13.3 Metals and products 55,905 3.2 $1,350 3.7 Stone, clay, and glass products 49,279 2.8 $1,149 3.1 Lumber and wood products 47,533 2.7 $1,628 4.4 Petroleum and coke 40,207 2.3 $977 2.7 Waste and scrap materials 39,440 2.2 $717 2 Pulp, paper, and allied products 37,212 2.1 $1,567 4.3 Motor vehicles and equipment 35,902 2 $3,626 9.9 Metallic ores 31,376 1.8 $285 0.8 All other commodities 23,258 1.3 $1,704 4.6 Total 1,766,671 100 $36,742 100 (Source: AAR) * Miscellaneous shipments are primarily intermodal. Some intermodal shipments are included in the commodity-specific categories. TABLE 3-16 Type of Freight Carried in 2002 State Rail Miles % U.S. Total Texas 10,473 7.3% Illinois 7,197 5.0% California 6,052 4.2% Ohio 5,484 3.8% Pennsylvania 5,145 3.6% Kansas 5,084 3.5% Georgia 4,795 3.3% Minnesota 4,504 3.1% Indiana 4,185 2.9% Missouri 4,168 2.9% Top 10 Total 57,087 39.8% U.S. Total 143,361 100% (Source: AAR) TABLE 3-17 Top 10 States for Rail Miles, 2001 TABLE 3-18 Top 10 States for Rail Tons Originated, 2001 State Rail Tons Originated % U.S. Total Wyoming 375,510,739 20% West Virginia 127,283,023 7% Illinois 119,524,605 6% Kentucky 109,670,324 6% Texas 108,589,349 6% Minnesota 74,389,180 4% Florida 64,413,774 3% Ohio 61,036,161 3% Pennsylvania 59,815,765 3% California 57,609,683 3% Top 10 Total 1,157,842,603 61% U.S. Total 1,898,840,100 100% (Source: AAR)

equipment and infrastructure maintenance. For long distances, rail is generally the cheapest form of freight transportation in the United States; the trucking industry is its biggest com- petitor. To maintain its niche in the U.S. transportation mar- ketplace, railroads have consistently been within the lowest quartile of all U.S. industries in terms of profitability. Revenue by carrier type for 2001 is shown in Table 3-13, above. Class I carrier financial statistics, including operating revenue and expenses, net income, and return on average eq- uity in 2002, are shown in Table 3-20 below. Class I carrier operating statistics, including freight revenue per ton-mile in 2002, is shown in Table 3-21. 3.3.5 General Organization All Class I railroads are owned by private corporations, as are most regional railroads. Each corporation is run by a board of directors that appoints a chief executive officer to oversee railroad management. Most major U.S. cities are 49 served by more than one Class I railroad; secondary cities may be served by only one Class I carrier and/or by smaller regional railroads. The Class I railroads have areas of general geographical concentration. For example, transport between the West and Midwest is primarily provided by Burlington Northern and Santa Fe Railroad (BNSF) and Union Pacific (UP); transport between the Midwest, East, and South is largely provided by Norfolk Southern and CSX. No single railroad owns railway from the West to the East, but rail company partnerships facilitate coast-to-coast transporta- tion, as well as international transportation to Canada and Mexico. Although U.S. railroads have always been privately owned, the extent of government regulation over them has varied as the economy and modes of transportation have changed. The Staggers Rail Act of 1980 reduced government regulation of railroads to allow them to establish their own routes, adjust rates and services to market conditions, and differentiate rates based on demand. The Interstate Com- merce Commission (ICC) retains authority over some non- rate areas and can set maximum rates or take certain other actions if a railroad is found to have abused its market power or engaged in anticompetitive behavior. Before the Staggers Act, the Rail Passenger Service Act of 1970 allowed the private rail industry to exit the intercity pas- senger rail market, which was consistently operating at a loss. The same act established government-owned Amtrak, which has remained the sole intercity passenger rail carrier in the con- tinental United States. Amtrak owns approximately 750 miles of railroad. The remaining miles over which it operates are owned by freight railroads, which it pays for track use. A few dozen cities in the United States have commuter and light rail passenger service between a central city and its suburbs or out- lying region. These services are owned by either private com- panies or local and state governments. Some of these commuter passenger operators own all or part of the railway over which they operate; however, it is becoming increasingly common for commuter passenger operators to extend their operations using railroad right-of-way purchased from freight railroads. In some cases, a freight railroad has been contracted to provide passen- ger service (e.g., Union Pacific in the Chicago area), but in gen- eral, freight railroads limit their operations to freight. The Association of American Railroads (AAR) provides a unified voice and point of organization for the rail industry with respect to regulations, safety, and more recently, security and associated coordination with federal and local authorities. AAR membership includes all major freight railroads in the United States, Canada, and Mexico, as well as Amtrak, and represents more than 96 percent of intercity freight rail service and essentially 100% of intercity passenger rail service. The FRA enforces rail safety regulations and conducts re- search and development in support of improved safety and rail policy. The primary research center for the North American railroad industry is owned by the FRA and operated by the Transportation Technology Center, Inc (TTCI), a subsidiary of TABLE 3-19 Top 10 States for Rail Tons Terminated, 2001 State Rail Tons Terminated % U.S. Total Texas 189,633,233 10% Illinois 186,302,393 10% Ohio 97,329,450 5% Florida 93,820,901 5% California 92,684,031 5% Georgia 83,033,699 4% Missouri 78,030,320 4% Wisconsin 70,169,618 4% Virginia 68,915,424 4% Indiana 63,407,891 3% Top 10 Total 1,023,326,960 53% U.S. Total 1,942,330,529 100% (Source: AAR) Freight revenue (billion) $34.1 Operating revenue (billion) $35.3 Operating expense (billion) $29.6 Net income (billion) $3.2 Operating ratio 84% Return on average equity 8% (Source: AAR) TABLE 3-20 Financial Statistics of Class I Railroads, 2002 TABLE 3-21 Operating Statistics of Class I Railroads, 2002 Freight revenue per ton-mile $0.0226 Average tons per carload 63.3 Average tons per train 3,030 Average length of haul (miles) 853 (Source: AAR)

the AAR. The facility is for both freight and passenger rail- roads, with a focus on safety, reliability, and productivity. In addition to test track, it operates a training center for emer- gency personnel responding to transportation accidents in- volving hazardous materials. 3.3.6 Operations Railroad freight runs on closed guideways largely con- trolled by train dispatchers. The dispatchers direct locomotive engineers on direction and speed. Cargo waybills (i.e., agree- ments to haul) are largely electronic, allowing each shipment to be easily tracked by its listed content and location. En- crypted data are used to transfer information on shipments that are critical from a security perspective. Hazardous mate- rials and munitions shipments, regardless of mode of trans- port, are governed by separate federal regulations that require compliance with safety-related standards and carrying a man- ifest of hazardous cargo. All rail cars and containers passed between different companies (i.e., most shipments) are re- quired to have two radio frequency identification tags that allow electronic identification of the car’s history, ownership, and contents. Thus, while personnel picking up and trans- porting cars or containers may not know the cargo contents, information on a particular car can be readily obtained when needed. After a car enters a railroad yard, its location is di- rected and tracked by the yardmaster. Overall, unlike other freight transportation modes, the rail industry can relatively easily provide information on the locations of all its ship- ments and cars through a single point (i.e., American Associ- ation of Railroads and its subsidiary, Railinc, which maintains an extensive databases on rail activities). Although some smaller railroads are not part of AAR, these railroads typically transfer cars/containers to and from AAR members, along with origin and destination information, enabling good esti- mations of car locations. GPS technology has been installed on some locomotives and rail cars (particularly those carrying frozen goods) for more precise locations. Tracking the loca- tion of a shipment does not ensure that the contents have re- mained unchanged. Recently implemented rules require land freight trans- porters to notify U.S. Customs of cargo contents at least 4 hours before crossing national borders. In contrast, ocean transporters must provide cargo contents lists at least 24 hours before port arrival. Shipping containers and freight cars may be initially inspected (x-rayed) at receiving ports. An electronic targeting system scores all cars that enter the United States based on their ownership and con- tents and so forth and identifies those to receive intensi- fied inspections. Lower scores (i.e., less critical security threats) are given to Customs-Trade Partnership Against Terrorism (CTPAT) members, who have previously pro- vided the U.S. Bureau of Customs with extensive com- pany and shipment information. 50 Rapid decision-making in response to emergencies has al- ways been part of the rail system for dealing with more com- mon emergencies such as natural disasters (e.g., drought and snowstorms). Rapid decisions regarding emergency changes in security and operations are typically made at a high (i.e., CEO) level. Rotating round-the-clock shifts of top decision- makers are typically employed so that emergency decisions can always be made quickly. 3.3.7 Emergency Plans and Organization Shortly after the terrorist attacks of September 11, 2001, the railroad industry established the Railroad Security Task Force through the AAR. The task force included 150 railroad industry representatives and former government security and intelligence personnel and sought to develop a comprehen- sive risk analysis and security plan based on CIA and national intelligence community best practices. The resulting plan addresses hazardous materials, operations, infrastruc- ture, information technology and communications, and military movements in the railroad system. This plan uses a database created to prioritize railroad assets, assess railroad vulnerabilities and terrorism threats, calculate risks, and identify risk-reduction countermeasures. Alert levels and ac- tions to be taken at each level have been defined and the role of the AAR operations center and railroad alert network has been delineated. Railroad Security Task Force findings have led to an in- crease in employee security awareness and training, and em- ployee records have been compared with FBI terrorist lists. There have also been increases in the tracking and inspection of hazmat and munitions movements; security of railroad physical assets; random inspections; spot identification checks; cybersecurity procedures; coordination with Military Transportation Management Command; and the use of en- cryption technology for selected data communications. Based on task force recommendations, the rail industry has developed plans for immediate response to any threats in the transportation network. Furthermore, a round-the-clock operations center has been established at the AAR to coordi- nate industry-wide rail freight security. The AAR alert net- work operates from an industrial security clearance room, allowing constant and secured communications between fed- eral authorities and railroad companies. In the event of a ter- rorist threat, the AAR alert network would communicate with all Class I carriers in the United States and Canada and with many regional carriers. The rail industry has conducted war game exercises to fur- ther identify potential problems. These exercises may help au- thorities delineate circumstances under which it is better to keep traffic moving rather than halting it and providing a standing target, recognize the domino effects of late or can- celled shipments (e.g., chemicals to maintain drinking water sanitation), and assess capabilities for population evacuations

with boxcars. The Railroad Security Task Force vulnerability assessment includes relative assessments of attack effective- ness on tunnels, bridges, track, and shipments. Concerns with shipment attacks may include theft of shipments for illegal sale or use, releases and explosions of hazardous cargo (e.g., chemicals or munitions), and contamination or poisoning of food shipments. This vulnerability assessment information is considered highly sensitive, along with the steps implemented at each alert level and thus these details are not presented in this report. 3.3.8 Historical Emergency Actions Immediately after the terrorist attacks of September 11, 2001, the railroad industry worked closely with local, state, and federal authorities to increase inspections and patrols, often with its own police forces. Freight traffic in the New York area was briefly suspended and, throughout the coun- try, access to key facilities was restricted and operational practices were modified as antiterrorist measures. As clean- up efforts of the September 11 attacks began, gondola cars were donated to assist with hauling debris. Other types of as- sistance the rail industry has provided during emergencies in- clude hauling needed supplies free of charge and increasing on-duty staff to meet emergency shipment needs. At the start of U.S. military action in Afghanistan, in con- sultation with federal security agencies, the railroad industry maintained a 72-hour “Red Alert” status, with associated additional security protocols. Shipments of hazardous mate- rials were suspended during this alert, which provided expe- rience with the repercussions of shipment delays. AAR coordination with the Chlorine Institute, the American Chemistry Council, and the Fertilizer Institute has greatly increased in recent years to improve both security and emer- gency planning. Overall, since the terrorist attacks of Sep- tember 11, the rail industry has made great strides to improve freight security and emergency planning in excess of gov- ernment requirements. Historically, the rail industry has provided great assistance during emergencies. The industry’s financial stability and related well-maintained infrastructure facilitates this assistance. Historical rail accidents have been studied and considered in the rail industry emergency plans. For example, in July 2001, a railroad accident inside the Howard Street tunnel in Baltimore caused chemical tank cars and cars loaded with paper products to burn for 3 days. The accident was studied by the Nuclear Regulatory Commission (NRC) as a worst-case model of the type of accident that could befall a shipment or nuclear waste by railroad. The conclusions were that nuclear waste containers would have survived the fire, but these results have become highly controversial. This case is an example of the type of situation (whether involving deliberate attack or of accidental origin) that could occur, whether nuclear materials are involved or not. The evacuation requirements and response 51 needs for such an accident (nuclear or chemical) have been and are being considered by the rail industry. Another instructional historical rail accident occurred in 1979 near the town of Mississauga, Ontario. A railroad car undercarriage failure caused a propane tank explosion fol- lowed by ruptures of cars containing chlorine and other chemicals, resulting in an extremely hot and acrid fire. More than 210,000 residents were evacuated from the area. This accident is a model of the type of situation that can result when trains contain a mix of different types of cargo (as they typically do). Some types of cargo can seriously diminish the ability to respond. In this case, the presence of chlorine gas prevented fire fighting personnel from being able to respond for a significant amount of time. 3.3.9 System Summary Matrix Table 3-22 summarizes railway operational sequences, traffic flow, and historical emergency responses. Table 3-23 summarizes railway control options, operational limits, and existing authorities. 3.4 THE AVIATION SYSTEM 3.4.1 Definitions The aviation industry comprises aircraft; their operators; the people and goods transported; airports and supporting infrastructure; and the communications, navigation, and con- trol infrastructures that make reliable air transportation pos- sible. The aviation industry consists of several major sectors, or categories of operations, that have distinctly different roles in a threat environment. These sectors are • Air carriers, which transport people; • Cargo carriers, which include air carriers in addition to freight airlines; • The business use sector, which includes operators such as mining companies, power transmission companies, and oil exploration, charter aircraft, and individuals operating aircraft for business purposes; • The agricultural use sector (dusting and spraying); this sector is a sub-sector of business aircraft; • The corporate transport sector, which includes many minor and major corporate fleets operated to transport employees; • The air taxi industry (transport on demand), which is quite large and diverse; • The public use sector, which includes Emergency Medical Services (EMS) operations, forest service and forest fire suppression, law enforcement, and the USCG air fleet; and • The pleasure flying sector. 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52 Operational Sequences Traffic Flow Historical Emergency Response Traffic Types Traffic Patterns Short Term (2 hr) Long Term (>2 hr) Freight: Privately owned railway, locomotives, and freight cars. Shipments are tracked from the agreement to ship until delivery. Passenger: Intercity passenger travel exclusively by Amtrak (federally owned), commuter, and within- city passenger transport addressed under Mass Transit. Normal: Mix of many cargo types, typically for longer distance transport; some hazardous materials and munitions. Constraining Emergencies: Traffic may be reduced during severe weather (e.g., snow, hurricane). Traffic has been halted for up to 72 hours under high-level security alerts. Expanding Emergencies: Delivery of emergency supplies and use for evacuations. Normal Operations: Rail traffic greatest in larger cities. Emergencies: Deliveries of emergency supplies and provision of boxcars for evacuations. Suspend Transport: A 72- hour suspension was applied when the U.S. invasion of Afghanistan began. Reroute/Delay Deliveries: Deliveries to the New York area were briefly halted as a result of the 9/11 terrorist attacks. Same as short term and:  Repair/ construct railway  Increase deliveries to area in need  Dedicate equipment to emergency assistance  Emergency Deliveries: Transported hay without charge during droughts, donated gondola cars for 9/11 debris removal. TABLE 3-22 Railway Operational Sequences, Traffic Flow, and Historical Emergency Response

53 Control Options Operational Limits Existing Authority Short Term (2 hr) Long Term (>2 hr) Short Term (2 hr) Long Term (>2 hr) Options Suspend Transport: apply to all or selected freight. Reroute/Delay Deliveries: halt deliveries to emergency areas. Emergency Deliveries: deliver emergency supplies. Same as short term and:   Repair/construct railway Increase deliveries to area in need  Dedicate equipment to emergency assistance Suspend Transport—public health dangers with suspensions of 3+ days for water treatment shipments; stationary hazardous cargo may be an easier target. Reroute/Delay Deliveries—deliveries essential for public health may be critically delayed. Emergency Deliveries—limited by rail track location, equipment, personnel. Same as short term and: Repair/construct railway—financing, need land ownership for new construction. Increase deliveries to area in need—equipment and personnel limits. Dedicate emergency equipment—equipment limits Fuel Access—reduced or suspended deliveries of fuel may limit operations. Suspend Transport—industry Reroute/Delay deliveries—industry Emergency deliveries—industry Repair/construct railway—industry, local and state government Increase deliveries to area in need—industry Dedicate equipment to emergency assistance—industry TABLE 3-23 Railway Control Options, Operational Limits, and Existing Authority

In a broad sense, operations for hire, such as airline, cargo, and air taxi, are classified as commercial aviation, while private operations for business, corporate, pleasure, and public use are classified as general aviation (GA). The final sector (not to be treated here) is domestic military avi- ation operations. 3.4.2 System Size The air carrier industry includes 87 different airline com- panies, of which 15 are considered major. Cargo carriage is an important revenue source for the air carriers and is the sole means of support for many relatively unknown freight opera- tors as well as the well-known express companies, each of which operates major ‘airlines’ themselves. The next largest sectors (in terms of dollars expended) are the business use and corporate transport categories. The business use sector in- cludes the agricultural aircraft sector (dusting and spraying), which is small economically, but very important from a threat viewpoint. The corporate transport category involves many minor and major corporate fleets operated for employee trans- port. The air taxi industry (transport on demand) is large and diverse. The pleasure flying sector is economically important and encompasses more than 160,000 aircraft of many vari- eties, a large pilot population, and relative ease of entry, all of which present a vast opportunity for mischief. Table 3-24 quantifies the relative magnitudes of these several sectors. 3.4.3 System Use The U.S. aviation industry transports both people and freight. In 2002, 595 million passengers enplaned, repre- senting 32.77 billion revenue passenger-miles. In 2001, air 54 freight represented 5% of total U.S. intercity freight revenue, but less than 0.05% of national freight tons and ton-miles. Freight transport provides a significant revenue source for all major airlines, and several large airlines exclusively provide freight service. 3.4.4 Financing and Ownership The air transportation system can be thought of as consist- ing of three segments: the airports; the communications, nav- igation, and ATC system; and the aircraft. Ownership and operation of each segment is distinct. The airports typically are owned and operated by municipalities or counties or by state-chartered authorities. The communications, navigation, and ATC system facilities are owned almost exclusively (with exceptions, such as the Contract Tower Program) by the fed- eral government. The noteworthy exception is the ARINC (Aeronautical Radio Inc.) communications network, which is owned by the airlines. The government is also responsible for promulgating regulations and certifying pilots. Commercial operators and private owners own the aircraft. 3.4.5 General Organization Besides aircraft and the people who operate and maintain them, other entities compose the air transportation system: • Airports—Airports include major, intermediate, and minor hub airports; the non-hub commercial airports; public-use GA airports and heliports; private airports and heliports; and military airports. The GA airports can be roughly divided into a group primarily serving business and corporate operators and a group primarily serving Sector Number ofAircraft Employees/ Operators Vehicle Miles Passengers/ Tons Passenger Miles/Ton Miles (annual) Economics Fuel Consumption (annual) Air Carrier 8,055 642,797 employees 5,664M 595M passengers 516,129M passenger miles $104.4B 14,845M gallons (jet) Air Cargo 20M tons 58,400M ton- miles $ 8.2B Air Taxi 4,019 22,000 pilots General Aviation (total) 217,533 637,000 jobs (direct and indirect) 600,000 pilots >3,877M 180M passengers >13,500M passenger miles $ 17.5B (direct) $102B (direct and indirect) 337M gallons (jet) 998M gallons (gas) Corporate 11,033 Business 25,169 Agriculture 4,294 Pleasure 163,000 Other 14,037 (incl. air taxi) (Source: USDOT National Transportation Statistics, 2002, and “Report of the Aviation Security Advisory Committee Working Group on General Aviation Airports Security”, National Association of State Aviation Officials (NASAO), Oct 1, 2003.) TABLE 3-24 Size and Economic Characterization of the Aviation Industry

hobbyists. Private airports and heliports are built and used in many cases by business and public-use operators such as EMS. Military airfields are mentioned for their obvi- ous function and because they can serve as medical evac- uation destinations (particularly for quarantine purposes). • Communications and Navigation—Communications fa- cilities, both public and private, are the backbone of avi- ation. Communications are essential in both controlled and uncontrolled environments. In contrast to most other forms of transportation, the robust aircraft communica- tions environment (which is immune to short-term power failures) allows rapid response to changing con- ditions and emergencies (witness the rapid grounding of the entire commercial air fleet on September 11, 2001). This capability can serve to eliminate general (or non- specific) threats, avoid regional threats, or respond to supply or evacuation requests. The navigation and land- ing system (much of which is also immune to power out- ages) is used by virtually all operators, even visual flight rules (VFR) operators. Operations by instrument flight rules (IFR) operators can continue in low-visibility con- ditions regardless of the cause of the reduced visibility. • Air Traffic Control (ATC)—The ATC system, operated exclusively by the federal government (and military), guarantees separation of IFR aircraft from other aircraft and facilitates separation of almost all aircraft. It pro- vides the planning and sequencing services that ensure the efficient overall operation of the system. The ATC system is fundamentally configured as a pyramid. The System Command Center at the top originates the basic strategy to control flow and to minimize delays and weather impacts. The twenty Air Route Traffic Control Centers (ARTCCs) in the middle control the en route operation of aircraft and ingress/egress to uncontrolled airfields. Finally, the many Terminal Radar Control (TRACON) Facilities, control towers, and flight service stations at the bottom control landings and takeoffs and handle flight plan filings. 3.4.6 Operations A fundamental characteristic of the air transportation in- dustry is that, with the exception of medical evacuation, air transportation is always multi-modal. This applies to cargo as well as people (and contrasts with automobile and truck transportation, which is unimodal). Private users of aviation operate in an “anytime, any- where” environment and typically fly as directly as possible from origin to destination. The air carrier system has evolved to what is known as the “hub and spoke” system, with each airline concentrating operations at one or more hub airports. This is extremely important from the threat viewpoint. The hub can be used to disperse contaminants widely via the spokes. It, however, has little effect on air transport in the emergency response mode. Hub and spoke can be abandoned 55 at any time in favor of the anytime, anywhere concept, either to disperse evacuees or to concentrate delivery of supplies and relief workers. Commercial air operations are tightly managed and con- trolled (by the ATC system and company dispatch offices). The result is a system that can respond immediately to criti- cal stimuli. Planning and control are critically important in the evacuation mode. Air operations (unlike automobile evacuation) require staging of empty aircraft into the region to be evacuated. Unlike ground environments, where inbound lanes can be switched to double outbound capacity, the de- parture capacity of an airport cannot typically be increased. Weather disruptions to air travel result from major storm systems redirecting en route progress and slowing or prevent- ing operations to major airports. Such a situation can diminish the ability of aircraft to respond to emergency situations. These situations serve as valuable models for studying the effects of attacks that result in closure of one or more airports. The airline and airport infrastructure is sufficiently robust to supply fuel and flight crews for intensive relief operations over an extended period of time (possibly 2 weeks) without re-supply. General aviation airports also typically store sub- stantial quantities of fuel relative to the size of their operation. With respect to industry management, the pyramidal struc- ture of the ATC system and its independent power supplies and communications channels, the highly-organized nature of airline (and corporate) flight dispatch offices, and the ARINC communications network provide for a very highly structured management and control system. Each aircraft is capable of virtually autonomous operation even in low visi- bility conditions (assuming that the GPS network is opera- tional, although it is substantially true even if GPS is not operational). All that is required from the ground environ- ment are separation services. Tight control over aircraft operations enables them to respond as directed. 3.4.7 Emergency Plans and Organization Capabilities and Limitations of Air Transportation A very important capability lies in the use of helicopters to provide first-responder and evacuation services and sur- veillance of a disaster scene to coordinate activities of ground personnel. The limitations are that only a few such heli- copters are properly equipped and staffed in any given area, severely limiting the scale of services that can be provided. Inasmuch as most of the population of the United States lies reasonably close to the oceans and inland seaways patrolled by the USCG, the USCG helicopter fleet, fundamentally designed for search and rescue operations, is a significant adjunct to local capabilities. National Guard and Army heli- copters are important for evacuation operations. A serious limitation on the ability to respond in a local dis- aster environment stems from the fragmented jurisdictions of the various involved organizations. Even local law enforce- ment agencies in many metropolitan areas are not able to

cross-communicate because of differences in radio systems. Local law enforcement agencies, medical centers, private EMS operators, the USCG, and available military responders are all under separate jurisdictions. The need for prior plan- ning and organization is obvious. The FAA has published two Advisory Circulars that apply directly: • AC 00-7D, State and Regional Disaster Airlift (SARDA) Planning (09/15/98) and • AC 00-59, Integrating Helicopter and Tiltrotor Assets into Disaster Relief Planning (11/13/98). These provide guidance for the use of all GA resources, EMS airlift, and so forth, for disaster recovery. State and local planners should likewise be aware of other organizations that may exist in the local area. These include the Civil Air Patrol (organized under the auspices of the Air Force), the Emergency Volunteer Air Corp (EVAC), the Air Care Alliance, Angel Fights, and any other local GA clubs and organizations. Coor- dination by local disaster relief officials with the SARDA plan (if present), law enforcement, volunteer organizations, and local airport management will be required in order for effective disaster response to be available. SARDA resources may include aircraft and other resources under the control of state and local governments, the National Guard, the DOD, and the USCG, as well as commercial op- erators, private aircraft owners, corporations, airfield opera- tors, the Civil Air Patrol, and other volunteer organizations. The National Response Plan (NRP), published in 2004, can be activated in the event of a disaster. In that event, the states executing SARDA plans will then coordinate missions closely with Federal personnel as directed in the NRP. Transport aircraft, in both passenger and cargo configura- tions, are extremely useful for bringing in responders and ma- terials and evacuating the injured and the general populace. The major limitation is not the supply of aircraft available, but the ability to squeeze operations through limited airport capacity. The command and control capabilities available can result in a well-managed, efficient process. Many of the air carrier com- panies are participants in the Civil Reserve Air Fleet (CRAF). CRAF is made up of air carriers who commit under contract to provide operating and support personnel for DOD so that it can quickly mobilize the nation’s airlift resources. CRAF response plans consider the need to move injured persons as well as cargo and personnel. Although CRAF was originally designed to meet DOD force projection requirements in a military emer- gency (troop and materiel transport), it can be exercised in response to any suitable national emergency that has been de- clared by the President or Congress. Air Transportation Vulnerabilities Much of the security effort being expended today regards hijack and sabotage prevention. The vastness and complex- 56 ity of the air transportation system causes many additional vulnerabilities. Commercial airports involve concentrations of people within the terminal buildings and in people-mover systems. Current precautions involve stepped up inspections of vehi- cles as they enter parking structures that are under, over, or next to populated buildings. Commercial airports also have large fuel tank farms, often totally aboveground, that are vul- nerable to attack (particularly from the air). Even smaller general aviation airports have tank farms of sufficient size to present a tempting target. The availability and potential use of shoulder-fired missiles designed to down aircraft is a very serious threat. Man Portable Air Defense Systems (MANPADS) include the well-known Russian SA-7, French Mistral, and U.S. Stinger missiles. An estimated 500,000 MANPADS exist and many are available on the black market. It is very difficult for a transport aircraft to detect such a missile, let alone take the required evasive ac- tion should one be detected. Airliners are not currently equipped with detection and spoofing systems such as those used on several types of military aircraft. The airline compa- nies, which are in serious economic conditions, are loathe to expend funds on such systems. Cost estimates for equipping the domestic airline fleet range from $5 to $25 billion dollars. General aviation airports are by their nature relatively vul- nerable to sabotage. In many cases, few obstructions to entry (e.g., fences) are present, and access to airport property is unrestricted. Aircraft are relatively easy to steal and the air- space around the airport is uncontrolled, allowing perpetra- tors to make off with an aircraft undetected. It is not difficult to envision a motivated person (even if poorly trained in pi- loting small aircraft), already committed to suicide, attempt- ing to steal and fly off in an aircraft. Such bravado is not even required if a person is licensed and checked-out in an available type of rental aircraft. Air- craft rentals are commonplace. A licensed pilot could rent an aircraft, fly it to a remote airfield (or a pasture); load chemi- cal, biological, or radiological materiel; and fly the aircraft off to the intended target. Agricultural aircraft are used not only for spraying and dusting crops, but also for tasks such as mosquito suppression in urban areas. Two of the 9/11 hijackers were known to have investigated such aircraft for use as a weapon. Fortunately, there is little opportunity to rent such aircraft. Because crop dusting requires specialized training and experience, an inex- perienced pilot would be unlikely to be hired as an agricul- tural pilot. Theft, however, is a possibility. 3.4.8 Historical Emergency Actions The standard tight control of aircraft operations allowed the skies to be cleared of IFR traffic (which includes all commer- cial flights) in a matter of minutes after the terrorist attacks of September 11th. Another good example is the recent power failure affecting Ohio, Michigan, southern Canada, and the

northeastern states. During the power outage, most flights al- ready in the air were able to reach their intended destinations. Others were able to proceed safely to an alternate airport. As time progressed, departing flights were cancelled in many cases as a prudent response to the situation. Had an emergency evacuation been required, operations could have proceeded. There have been several troubling experiences with infec- tious diseases recently, including the SARS breakout and the appearance of monkeypox in the United States. Air trans- portation was unfortunately directly involved in the global spread of SARS. Although monkeypox did not come to the United States by air; contaminated animals were imported from Ghana, distributed, and infected prairie dogs in pet stores, which in turn infected humans. New infectious dis- eases can be introduced with relative ease, and aircraft ven- tilation systems could be deliberately contaminated in an effort to start an epidemic. Regarding response capabilities during hurricanes, airports are slow to snap back from wind and storm damage. There tends to be a large amount of debris to be cleaned up resulting from wind-damaged vehicles and aircraft. Even minor debris accu- mulations must be completely cleaned up to prevent the inges- tion of foreign materials by jet engine intakes. This can result in closure of the airport for a day or two after the storm passes. Flooding conditions often result in situations where the local populace (and sometimes relief workers) can become trapped and require evacuation, either by boat or by heli- copter. Also, helicopters are ideal for searching and seeking out individuals in distress. Examples abound where heli- copters have been pressed into service in rescue situations. For example, in the aftermath of the 1982 Air Florida crash into the Potomac on departure from Washington National Airport on a snowy day, a National Park Service helicopter was involved in the rescue activities. 3.4.9 System Summary Matrix Table 3-25 summarizes aviation operational sequences, traffic flow, and historical emergency response. Table 3-26 summarizes aviation control options, operational limits, and existing authority. Aviation Information Sources National Transportation Statistics, 2002, Bureau of Trans- portation Statistics, U. S. Department of Transportation, BTS02-08. “Report of the Aviation Security Advisory Committee Working Group on General Aviation Airports Security,” Na- tional Association of State Aviation Officials (NASAO), Oct 1, 2003. AC 00-7D, “State and Regional Disaster Airlift (SARDA) Planning (09/15/98),” ADA-20, Federal Aviation Adminis- tration, U.S. Department of Transportation. 57 AC 00-59, “Integrating Helicopter and Tiltrotor Assets into Disaster Relief Planning (11/13/98,” AND-710, Federal Avi- ation Administration, U. S. Department of Transportation. National Response Plan, Department of Homeland Secu- rity, December, 2004 (available at http://www.dhs.gov/ dhspublic/interapp/editorial/editorial_0566.xml) 3.5 THE MASS TRANSIT SYSTEM 3.5.1 Definitions For the purposes of this project, public transportation, or mass transit, as in the American Public Transportation Asso- ciations (APTA) definition, which is “transportation by bus, rail, or other conveyance, either publicly or privately owned, providing to the public general or special service (but not including school buses or charter or sightseeing service) on a regular and continuing basis.” A transit agency (transit sys- tem) is an entity responsible for administering and managing transit activities and services. Transit agencies can directly operate the service or contract out for all or part of the service. A mode is the system for carrying transit passengers de- scribed by specific right-of-way, technology, and operational features (e.g., bus, rail). When more than one mode of ser- vice is operated, it is a multimodal transit agency. Transit data are generally collected by mode. Intermodal (multi- modal) are those issues or activities that involve more than one mode of transportation, including transportation connec- tions, choices, cooperation, and coordination of various modes. Definitions of public transit modes are provided as the last section of this chapter. Fixed-route services are those provided on a repetitive, fixed-schedule basis along a specific route with vehicles stopping to pick up and deliver passengers to specific loca- tions; each fixed-route trip serves the same origins and des- tinations. Fixed-route services may include occasional route deviations on a discretionary basis. Demand-response ser- vices are the only form of non-fixed-route services. 3.5.2 System Size Approximately 6,000 public transportation systems oper- ate in the United States and Canada. Most of these agencies operate more than one mode of service. Tables 3-27 and 3-28 provide some basic statistics on public transit vehicle charac- teristics and employment, respectively. The number of transit agencies and number of vehicles providing each mode of service are listed in Table 3-29. More than 2,250 agencies provide bus service, about 5,250 operate demand-response service, and 150 operate other modes (i.e., rail and ferryboat). Two-thirds of U.S. public transportation agencies provide ser- vice designed for senior citizens and persons with disabilities. Many public transit agencies contract service with private (text continues on page 60)

58 Operational Sequences Traffic Flow Historical Emergency Response Traffic Types Traffic Patterns Short Term (2 hr) Long Term (>2 hr) Vehicles: Airline flights operate on fixed city-pair routes. Air taxi operators provide on- demand service. Private operators fly in ‘anytime, anywhere’ mode. Passengers: Intermodal transport at origin and destination. Peak airline demand on weekdays, primarily Monday and Friday. Normal: A mix of business travelers and tourists. Airline travel is preplanned, often with lengthy lead times. Constraining Emergencies: Weather conditions (low visibility, heavy rain and ice at airports) can seriously disrupt travel, resulting in delays and cancellations. Expanding Emergencies: Emergency plans (Civil Reserve Air Fleet, Emergency Medical Service operators, USCG, National Guard) can be executed with ability to operate when and where needed. Normal Operations: Airlines use ‘hub and spoke’ concept. Other operators use ‘anytime - anywhere’ concept. Emergencies: ‘Hub and spoke’ can be abandoned in favor of ‘anytime - anywhere’ concept for evacuations and for bringing in emergency responders. Cancel Departures: Under control of ATC System Command Center, departures can be held or canceled. Reroute Arrivals: Under local ATC or ATC SCC direction, flights redirected to alternate airports. Other Services: EMS response, local law enforcement aircraft, USCG, National Guard for search, rescue, delivering emergency workers, etc.  Reroute Service  Evacuate People  Suspend Fares  Inform Passengers  Dedicate Aircraft to First Responders.  Transport Supplies  Civil Reserve Air Fleet  EMS Response Examples: WTC and Pentagon 9/11, Air Florida crash, floods TABLE 3-25 Aviation Operational Sequences, Traffic Flow, and Historical Emergency Response

59 Control Options Operational Limits Existing Authority Short Term (2 hr) Long Term (>2 hr) Short Term (2 hr) Long Term (>2 hr) Options  Reroute Service, Suspend Departures  Suspend Fare Collection (CRAF)  Add or Refocus Service (CRAF)  Substitute Service (ground transportation)  Transport FR  ATC, ARINC Communica- tions Ensures Control  Local Law Enforcement Coordination  Evacuate Terminals Same as short term and:  Implement National Response Plan  Implement CRAF, SARDA Plans  Coordinate Mutual Assistance—Po- lice and Fire, Volunteer Organizations, USCG, National Guard, etc.  Convert Cargo Aircraft for Medical Transport  Media public) (inform Reroute/Suspend Service—Fuel Limitations Suspend Fares—overcrowding, revenue loss Add/Refocus Service—Airport Capacity Limits Substitute Service—(e.g., ground transit) inefficient Transport FR—jurisdictional issues, command structure ATC, ARINC Communications—May not apply to EMS and other local services Law Enforcement Coordination—Jurisdic- tion issues, incompatible communications Evacuate Terminals—Limited ground transport Same as short term and:  Implement Emergency Plan—Lead Time; Local Confusion  Implement CRAF, SARDA Plans—Funding Limitations, Lead Time  Coordinate Assistance (Police, fire, volunteers, USCG, National Guard, etc.)— Coordination Issues  Convert Cargo Aircraft for Medical Transport—Lead Time  Media (inform public)—Lack of Control  Reroute/Suspend Service—airlines, Air Traffic Control, local and state government.  Suspend Fares—local, state, and federal government.  Add/Refocus Service—local, state, and federal government, first responder organization  Substitute Service—airlines, local and state government.  Transport FR—first responder organization, local and state government .  ATC, ARINC Communications—federal government, airlines  Implement Emergency Plan—local, state, and federal government,  Implement CRAF, SARDA Plans—local, state, and federal government, first responder organization, airlines  Coordinate Mutual Assistance—local and state government, first responder organization  Convert Cargo Aircraft to Medical Transport—federal government, airlines  Media—industry  Evacuate Terminals—first responder organization, local and state government, airlines TABLE 3-26 Aviation Control Options, Operational Limits, and Existing Authority

60 operators, further increasing the number of public transporta- tion providers. The public transportation fleet comprises 134,000 vehicles in active service. Buses represent 57% of these vehicles; demand-response vehicles, 26%; heavy rail cars, 8%; commuter rail cars, 4%; light rail cars, 1%; and all other modes, 5%. 3.5.3 System Use Based on APTA data, in 2001, 9.7 billion trips were made on the U.S. public transportation system, an increase of 3% over the previous year, outpacing growth in other travel sys- tems. In the past 6 years, public transportation ridership in the United States has grown by more than 24%, faster than highway or air travel. More than 14 million people ride on public transportation each weekday. The U.S. DOT estimates another 25 million use public transportation less frequently but regularly. APTA data suggest that 54% of all trips end at workplaces, 15% of trips go to schools; 9% to shop; 9% to social visits; and 5% to medical appointments. Table 3-30 summarizes public transit use. Almost one-half of the nation’s Fortune 500 companies, rep- resenting over $2 trillion in annual revenue, are headquartered in transit-intensive metropolitan areas. Public transit is thought to facilitate employee recruitment, in addition to increasing em- ployee reliability and reducing absenteeism and turnover. Pub- lic transportation is also important for 30 million rural non- drivers, including senior citizens, low-income families, and people with disabilities. One-fourth of today’s 75+ age group does not drive. Passengers older than 65 years and younger than 18 years compose 20% of the national riders. By the year 2020, 40% of the U.S. population will be senior citizens. Table 3-31 lists the percent of workers that use public transit in the urban areas with greatest worker use of public transit. 3.5.4 Financing Transit agencies depend on many sources of funds for cap- ital and operating expenses. None of the transit agencies are self-sufficient based on fares alone. Over the past decade, tran- sit agencies have been asked to comply with more stringent emissions regulations, in addition to local directives to adopt Vehicles, Total 141,392 * Active 134,271 * Age, Average (years) 10.3 * Air-conditioned 89.8% * Lifts, Wheelchair 56.8% * Ramps, Wheelchair 14.5% * Accessible Only via Stations 4.2% * Power Source, Diesel or Gasoline 70.9% * Power Source, Alternative 26.2% * Rehabilitated 12.2% (Source: APTA, 2001) TABLE 3-27 National Public Transit System Vehicle Characteristics TABLE 3-28 National Public Transit System Vehicle Employment Employees, Operating 357,266 * Vehicle Operations 228,091 * Vehicle Maintenance 62,404 * Non-vehicle Maintenance 29,963 * General Administration 36,808 Employees, Capital 13,490 Diesel Fuel Consumed (gallons) 744,663,000 Other Fuel Consumed (gallons) 112,088,000 Electricity Consumed (kwh) 5,609,846,000 (Source: APTA, 2001) MODE Agencies Vehicles Bus 76,075 Commuter Rail 5,124 Demand Response 34,661 Heavy Rail 10,718 Light Rail 1,366 Trolleybus 600 Vanpool 5,519 Aerial Tramway ND Automated Guideway 45 Cable Car 40 Ferryboat (b) 107 Inclined Plane 8 Monorail 8 Total 2,264 21 5,251 14 26 5 67 2 5 1 42 4 2 6,000 (a) 134,271 (a) Total is not sum of all modes since many agencies operate more than one mode. (b) Excludes international, rural, rural interstate, island, and urban park ferries. TABLE 3-29 Number of Transit Agencies and Vehicles by Mode Trips, Unlinked Passenger, Average Weekday 32,994,000 Trips, Unlinked Passenger, Annual 9,652,816,000 Trips to Workplace 54% Trips to Schools 15% Trips to Shop 9% Trips, Social 9% Trips, Medical appointments 5% Miles, Passenger 49,070,383,000 Trip Length, Average (miles) 5.1 Miles, Vehicle Total 4,196,245,000 Miles, Vehicle Revenue 3,715,210,000 Hours, Vehicle Total 281,723,000 Hours, Vehicle Revenue 252,236,000 Speed, Vehicle in Revenue Service, Average (m.p.h.) 14.7 (APTA, 2001) TABLE 3-30 Public Transit Use Statistics

new technologies and clean fuels, and federal requirements for provision of services and facilities for people with disabilities (i.e., the ADA). Generally, and predominantly, these activities were financed by funds other than those from fares. Public transportation funds come from two main sources, capital and operating. Understanding the breakdown may help to understand funding of security-related projects. Table 3-32 summarizes public transit financial statistics. Capital funds are used to finance infrastructure needs such as new construction and rehabilitation of existing facilities. The federal government contributes 50% of all capital fund- ing for public transportation. In Fiscal Year 2003, up to 80% of the total capital cost may be federally funded. The balance is typically paid for by a combination of state and local funds. Many state and local governments provide more than the re- 61 quired minimum 20% of matching funds and in many cases, capital projects are financed solely by state and local funds. Operating funds provide income for operational expenses. Most operating funds originate from local sources (73%). Passenger fares pay 35% of operating expenses, local govern- ments pay 24%, and nongovernmental sources and taxes levied by the transportation system, tolls, and fees, pay 14%. State and federal governments contribute 22% and 5%, respectively. Funding of security and emergency preparedness fall under both operating expenses (e.g., plan development and training) and capital expenses (e.g., cameras and alarms). The overlap of safety, security, and emergency preparedness allows financing of emergency-related preparations from various sources. FTA funds provided to transit agencies may be applied to security and emergency response. Some of the funds recently available to specifically address emergencies include grants from the Office of Domestic Preparedness for public transit security and emergency response. In addition, FTA has made grants to 86 transit agencies for up to $50,000 to be applied to emergency response drills. Transit agency expenditures on security, their security increases since the terrorist attacks of September 11, 2001, and their security pri- orities are assessed in a recent survey by APTA.1 3.5.5 General Organization Depending on the agency, public transit agencies may pro- vide service for a city, a county, or a multicounty/multicity metropolitan area. Boards of directors/trustees typically over- see transit agencies. Depending on the agency, the boards may include governor-appointed members, county supervisors, state officials, members of the public, the mayor, and/or city council representatives. Advisory committees often provide additional input. Some state governors have veto power over board decisions. The board commonly selects an executive director/general manager (GM) to administer the agency. Typically, there are separate divisions for finance and admin- istration; engineering and project management; human re- sources; and operations. Safety and emergency plans may fall under operations or another division (e.g., legal affairs) or it may be a separate division of its own depending on the agency. Often, the safety and security office reports directly to the GM, where operational responsibility ultimately rests. However, because transit is a public service, safety and security issues can readily become a political matter and thus invite the atten- tion and actions of the board and public officials. 3.5.6 Operations An operations control center or dispatcher coordinates transit agency service. Nearly all public transit vehicles are Urban Area UrbanArea Central City New York-Newark, NY-NJ-CT Washington, DC-MD-VA Boston, MA-NH-RI San Francisco-Oakland, CA Chicago, IL-IN Philadelphia, PA Pittsburgh, PA Baltimore, MD Seattle, WA Atlanta, GA Minneapolis-St. Paul, MN New Orleans, LA 29.0 13.4 12.3 16.2 12.6 9.9 8.0 7.6 7.6 4.2 5.4 7.3 52.8 33.2 32.3 31.1 26.1 25.4 20.5 19.5 17.6 15.0 14.6 13.7 (2000, U.S. Census Bureau) TABLE 3-31 Percent of Workers Using Public Transit in the Top 12 Urban Areas with Worker Use of Public Transit Agencies, Number of 6,000 Fares Collected, Passenger $8,891,063,000 Fare per Unlinked Trip, Average $0.92 Expense, Operating Total (a) $23,516,916,000 * Salaries and Wages (b) $10,626,938,000 * Fringe Benefits (b) $5,705,586,000 * Services (b) $1,389,348,000 * Fuel and Lubricants (b) $716,776,000 * Materials and Supplies, Other (b) $1,645,758,000 * Utilities (b) $772,447,000 * Casualty and Liability (b) $492,802,000 * Purchased Transportation (b) (c) $2,976,508,000 * Other (b) ($809,247,000) * Vehicle Operations (c) $10,438,750,000 * Vehicle Maintenance (c) $4,348,422,000 * Non-vehicle Maintenance (c) $2,290,124,000 * General Administration (c) $3,463,113,000 Expense, Capital Total $11,418,662,000 * Rolling Stock (vehicles) $4,027,344,000 * Facilities $6,301,830,000 * Other (equipment and services) $1,089,488,000 (a) Sum of (b) lines OR sum of (c) lines. TABLE 3-32 Public Transit Financial Statistics (APTA, 2001) 1 Survey of the United States Transit System Security Needs and Funding Priorities, April 2004, available at the American Public Transit Association website: http://www.apta.com/ services/security/documents/security_survey.pdf

equipped with two-way radios. Many contain more sophisti- cated communications systems, tracking capabilities, record- ing devices, and emergency notification systems. Although tracking can provide location information, it does not ensure safety or security of contents within a vehicle. General system operations for the three most common modes of public transit, representing approximately 90% of public transit vehicles, are described below. • Buses—Fixed-route bus service varies by transit agency in vehicle type (e.g., van or bus), length (45, 40, 35, 30 foot); fuel (diesel, compressed natural gas (CNG), lique- fied natural gas (LNG), hybrid); floor height; service (e.g., frequency of stops, cost, and number of passen- gers); and effectiveness (e.g., on-time performance and cost of service). Bus service is planned by day of the week to allow for reduced demand during weekends; time of the day to respond to work commuters; and to holiday and special events needs. Buses and drivers are generally assigned to the same bus and the same route. As such, the drivers not only become familiar with their vehicle, the service route, the neighborhoods, and repeat passengers, but also can notice new riders. Before pull- out, the driver is to inspect the vehicle for mechanical and operational soundness and, in some cases, for un- usual or suspicious objects. At the end of the route, the driver or the cleaning crew will look inside the bus for misplaced property and other objects. The bus is cleaned, serviced, and returned to operation at the next pull-out. • Demand Response (dial-a-ride, paratransit)—Demand- response bus service varies by transit agency in vehicle type (i.e., van or bus), length, and fuel type (gasoline, diesel, CNG, LNG, hybrid). Demand-response service users call to schedule their trip, similar to a taxi service. Lead time for scheduling, hours of operation, and num- ber of passengers that share a ride (and hence, number of stops) varies. The primary objective of this service is to meet the requirements of the ADA by providing trans- portation for persons with disabilities. Regular fixed- service vehicles are increasingly being equipped to fa- cilitate travel by a larger proportion of persons with disabilities; thus the extent of demand-response vehicles depends both on the size and demographics of the com- munity and the characteristics of the fixed-route fleet (i.e., low-floor and kneeling buses). The pull-out inspec- tion requirements, driver assignments, route assign- ments, and bus inspections are similar to those required on buses. However, the driver commonly provides closer and more personal support to this clientele. • Heavy Rail (subways, elevated, metro, etc.)—Operations vary by transit agency in accordance with local require- ments; system complexity; system age, vehicle type and arrangement (e.g., subway, elevated, and number of cars per train); service (e.g., frequency of stops, express ser- vice, local service, cost, and number of passengers); and effectiveness. Service frequency varies between rush- 62 hour and non-rush-hour times of day and days of week. Trains and operators are generally assigned to the same train and the same route. Operator choices are limited by the fixed-guideway system, and instructions regarding train speed, stops, and so forth are generally provided by the operations control center (dispatcher). In an emer- gency, detour options are very limited and evacuations can be difficult because of the danger caused by the elec- trified third rail and the confines of the physical system (e.g., tunnels, elevated structures, semi-enclosed tracks, height of the train, and ventilation issues). Rail operators commonly have minimal interaction and, by extension, much less familiarity with their passengers than bus driv- ers. However, other personnel assigned to the train, such as the door engineer or transit police (including plain clothes police) have a greater ability to observe, report, and, if needed, interfere. Post-service inspections identify repair and service requirements and look for misplaced objects. Cars are cleaned and serviced and returned to op- eration at the next pull-out. Operational requirements are increasingly including requirements to look for unusual or suspicious objects. 3.5.7 Emergency Plans and Organization All transit agencies have some plans for emergencies, which often include preset alternate routes and schedules. The primary objective of these plans is to avoid problem areas and provide assistance to first-responders as needed. These ob- jectives remain the same whether the event is a more common emergency, such as snow storms or water main breaks, or a terrorist threat. The extent to which plans address terrorist- related emergencies varies significantly between agencies. According to the FTA Office of Safety and Security, emer- gency response plans that specifically address WMD were de- veloped at the 30 largest public transit agencies as of the end of 2003, and the number of agencies with these plans is con- tinuing to increase. The FTA provides consulting services for agencies developing these plans, which may also include co- ordinated responses with state and federal agencies, such as the FBI, CDC, FEMA and other parts of the DHS. Because the use of emergency response plans (not neces- sarily those related to WMD) is expected with some frequency within transit agencies, decisions on how and when to imple- ment these plans are kept at an operational level. For each emergency type, the operations control center and field per- sonnel have specific procedures to follow as set in the agency’s emergency response plan. Initially, at the site of an incident, the first respondents have direct, local control of traffic flow, including public transit. This control is quickly transferred to a rapidly established incident command post, which is typi- cally controlled by either the police or fire department, de- pending on the event. Under severe emergencies, for example, for those that involve WMD, federal agencies may be involved and may assume control of the incident command post,

thereby becoming the key executors of response operations. The transit operations control center, or dispatcher, coordi- nates transit service with the incident command post. Transit agency representatives are either physically present at the in- cident command post (which may be a vehicle provided by the transit agency) or are in frequent communication via telephone or radio. The transit agency may also have field personnel pro- viding information through the agency’s operation control center to the incident command post. Thus, emergency response decisions in transit agencies follow preset plans, which can be superseded by orders from the incident command post. These actions do not require explicit consultation or approval within the transit agency be- yond the operations division. A transit representative assists the command post in assessing public transit options such as changes in routes, tunnel ventilation, provision of assistance to an adjacent transit authority, or dedication of vehicles to emergency worker needs. To assist with emergency plan development, the FTA has recently funded vulnerability assessments of the 37 largest transit systems. In 2003, the FTA released a document on “Handling of Chemical and Biological Incidents in Tunneled Environments,” which further developed appropriate emer- gency responses. A similar report on surface transit opera- tions has also been released. Rail systems are addressed through the FTA/APTA Rail Safety Audit Program that pro- motes and oversees state oversight of fixed-guideway sys- tems. The program includes emergency response plans, training, and security, and guidance on ventilation regarding the most appropriate way to change ventilation in vehicles and tunnels under different emergency conditions. Typically, transit agencies rapidly coordinate with fire departments when ventilation-related emergency actions are needed. Under some conditions, the fire department may assume con- trol of a transit agency’s tunnel ventilation through remote control of fan direction and speed. Additional guidance in emergency plan development has been available through 2-day workshops offered throughout the country by the US DOT Volpe Center. The workshops, entitled “Connecting Communities,” include transit agency personnel and their local first responders to identify emer- gency plan strengths and weaknesses, with consideration of emergencies ranging from the relatively common to WMD. Transit agency personnel may also obtain training on topics such as system security, general emergency management, threat management, and emergency response to hijackings, transit explosives incident management, and WMD through courses offered by the FTA’s Transit Safety Institute. 3.5.8 Historical Emergency Actions Public transportation has been critical in maintaining basic access, mobility, and safety for the public during both natural and human-caused emergencies. On 9/11, in the New York City area, the public transportation systems moved people 63 safely away from the World Trade Center disaster. Early re- sponse examples included informing passengers of alternative transit via telecommunication monitors, suspending bus and rail fares to facilitate evacuation, and reopening bridges and tunnels with more outbound lanes. Emergency changes in the New York City Metropolitan Transportation Authority (MTA) service was quickly coordinated with New Jersey Transit. Later responses included provision of shuttle service to what become known as Ground Zero, with buses dedicated to search and rescue teams, emergency responders, and the Sal- vation Army. Two light rail cars were stripped and dedicated to the transport of personnel and equipment to Ground Zero. In the Washington, DC, area, hundreds of thousands of res- idents flooded the transportation system when workplaces and schools were closed after the attack on the Pentagon. Passen- gers were informed of station changes via the transit authority Web page, flyers, telephone message centers, and media an- nouncements. Service was increased to meet the needs of an early rush hour. Additional buses were assigned to provide rest stations for Pentagon rescue workers and to provide trans- portation for search and rescue teams. The following day, several buses were assigned to the DC Police to assist in de- ploying officers at strategic locations. In the wake of the attacks of September 11, many adjacent transit providers coordinated their efforts not only in the New York City and Washington, DC, regions, but also around airports throughout the country, where air travel was suspended. Nationwide, transit systems evacuated tens of thousands of travelers from closed airports in major cities. Not a single life was lost among the millions of people traveling on public transportation that day. Other examples of emergency use during natural disasters include the record snowfall that hit the East Coast over the 2003 President’s Day weekend. Buses and trains at many systems kept the public moving from Washington, DC, to Boston. Dur- ing the peak of the storm, the Rhode Island Public Transit Authority extended some bus service from its regular closing time of midnight until 3 a.m. The change was made to ensure that riders would not get stranded in the snow without access to transportation. In Philadelphia, the Southeastern Pennsylvania Transportation Authority (SEPTA) provided transportation for thousands of stranded passengers when the Philadelphia Air- port shut down for approximately 3 days because of the heavy snow. Along with operating service at 70 to 75% of normal schedules on average, SEPTA also kept its paratransit services operating during the storm. In January 2003, an ice storm hit the Carolinas, leaving millions without power and heat. The Charlotte Area Transit System (CATS) altered operations to provide transportation to temporary shelters across the area. 3.5.9 System Summary Matrix Table 3-33 provides a matrix that summarizes mass tran- sit operational sequences, traffic flow, and historical emer- gency response. Table 3-34 summarizes mass transit control options, operational limits, and existing authority.

64 Traffic Flow Historical Emergency Response Operational Sequences Traffic Types Traffic Patterns Short Term (2 hr) Long Term (>2 hr) Vehicles: Dispatched on set routes, schedules, and stops (e.g., bus stops, train stations). For demand response service routes, schedules and stops vary. Passengers: Embark and debark at set or arranged stops/stations. Peak demand is for service weekdays— mornings and evenings. Normal: Workers, students, shoppers, and tourists on or near schedule. Peak demand during the morning and evening hours, and during some events. Constraints: Reduced or suspended service during severe weather (e.g., snow, hurricane). Rush Hours: Toward urban areas, schools, and work centers. Off-Peak: To and from schools, shopping, entertainment, etc. Emergencies: Route general traffic away from and first responders toward emergency area. Off schedule and on and off routes. Stop Service: At event sites, at suspicious sites, and as directed. Reroute Service: Around emergency site, suspicious areas, traffic congestion. Suspend Fares: During area evacuations to reduce traffic during spiked demand (special events). Other Options: Promote travel alternatives, discourage use, issue transfers, provide special service. Examples: WTC and Pentagon 9/11, Baltimore chemical spill (7-18-01). Reroute Service Evacuate People Suspend Fares Inform Passengers Dedicate Vehicles to First Responders. Modify Vehicles for Supplies Borrow Vehicles and Drivers from Nearby Transit Authorities TABLE 3-33 Mass Transit Operational Sequences, Traffic Flow, and Historical Emergency Response

65 Control Options Operational Limits Existing Authority Short Term (2 hr) Long Term (>2 hr) Short –Term (2 hr) Long Term (>2 hr) Options Stop/Reroute Service Suspend Fares Add/Refocus Service Substitute Service (buses instead of trains); Obtain FR Help Media Assistance Evacuate Vehicles Evacuate Station Same as short term and: Get Right of Way Borrow or Buy Vehicles/Drivers Receive Assistance—From Police, Traffic Control, DOT, etc. Modify Vehicles Employer Help (stagger work hours) Media (inform on all) State and Local Government (special exemption— use of roads) Stop/Reroute Service—limited choices Suspend Fares—overcrowding, revenue loss Add/Refocus Service— lack of resources Substitute Service—(e.g., buses vs. trains) inefficient, lack of resources; First Responder Help—different command structure, operations, etc. Media Assistance— inadequate coordination, coverage, frequency, etc. Evacuate Vehicles and Stations Same as short-term and: Get Right of Way—traffic issues, resentments Borrow/Buy Vehicles/Drivers—lack of funds, stock, operators Receive Assigned Assistance—lack of resources, commitment, experience Modify Vehicles—resources, time Other Long—Term Help—employers, media, state and local government Fuel Access—depends on continuity of fuel deliveries. Stop/Reroute Service—first responder organization, transit agency, local and state government. Suspend Fares—first responder organization, transit agency, local and state government. Add/Refocus Service—transit agency, local and state government. Substitute Service—transit agency, local and state government. First Responder Help—first responder organization, local and state government. Media Assistance—industry Get Right of Way—first responder organization, local and state government. Borrow/Buy Vehicles/Drivers—transit agency, local, state, and federal government . Modify Vehicles—transit agency, local government. Employer Help— industry Special Exemption—local and state government Evacuate— first responder organization, transit agency, local and state government. TABLE 3-34 Mass Transit Control Options, Operational Limits, and Existing Authority

66 3.5.10 Other Mass Transit Definitions The mass transit definitions listed below are from the APTA “Glossary of Transit Terminology.” • Aerial Tramway: An electric system of aerial cables with suspended unpowered passenger vehicles. The ve- hicles are propelled by separate cables attached to the vehicle suspension system and powered by engines or motors at a central location not on board the vehicle. • Automated Guideway: An electric railway operating without operators or other crew on board the vehicle. • Bus (Motorbus): A rubber-tired, self-propelled, manu- ally steered vehicle with fuel supply carried on board the vehicle. Types include advanced design, articulated, charter, circulator, double deck, express, feeder, inter- city, medium-size, new look, sightseeing, small, stan- dard-size, subscription, suburban, transit and van. • Cable Car: An electric railway operating in mixed street traffic with unpowered, individually-controlled transit vehicles propelled by moving cables located below the street surface and powered by engines or motors at a central location not on board the vehicle. • Commuter Rail: Railroad local and regional passenger train operations between a central city, its suburbs and/or another central city. It may be either locomotive-hauled or self-propelled and is characterized by multi-trip tick- ets, specific station-to-station fares, railroad employment practices, and usually only one or two stations in the cen- tral business district. Also known as “suburban rail.” • Demand Response: Non-fixed-route service using vans or buses with passengers boarding and alighting at pre- arranged times at any location within the system’s ser- vice area. Also called “Dial-a-Ride.” • Ferry boat: A boat providing fixed-route service across a body of water. • Heavy Rail: An electric railway with the capacity for a “heavy volume” of traffic and characterized by exclusive rights-of-way, multi-car trains, high speed and rapid ac- celeration, sophisticated signaling, and high platform loading. Also known as “rapid rail,” “subway,” “elevated (railway)” or “metropolitan railway (metro).” • Inclined Plane: A railway operating over exclusive right-of-way on steep grades with unpowered vehicles propelled by moving cables attached to the vehicles and powered by engines or motors at a central location not on board the vehicle. • Light Rail: A metropolitan electric railway system that can operate single cars or short trains along exclusive right-of-way at ground level, aerial structures, in sub- ways, or on streets. Passengers are boarded and dis- charged at the track or car floor level. • Monorail: An electric railway in which a rail car or train of cars is suspended from or straddles a guideway formed by a single beam or rail. Most monorails are ei- ther heavy rail or automated guideway systems. • Trolley Bus: An electric, rubber-tired transit vehicle, manually steered, propelled by a motor drawing current through overhead wires from a central power source not on board the vehicle. Also known as “trolley coach” or “trackless trolley.” • Van Pool: An arrangement in which a group of passen- gers share the use and cost of a van in traveling to and from pre-arranged destinations together.