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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
×
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Suggested Citation:"Part II - CAPTool User Guide." National Academies of Sciences, Engineering, and Medicine. 2009. Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA). Washington, DC: The National Academies Press. doi: 10.17226/14183.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

CAPTool User Guide P A R T I I

The Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) sup- ports high-level program assessments of risk across the spectrum of transportation infrastructure. It is intended for use by senior management overseeing infrastructure in a variety of trans- portation modes. The CAPTA deploys a consequence-based methodology that assists in capital budgeting. This methodology may be used to assess all hazards and provide decision support for resource allocation. CAPTA is part of a suite of analysis and planning methodologies and tools developed to enhance safety and security for a range of assets and related hazards and threats. Figure 1 shows how asset-specific guides relate to the CAPTA methodology. CAPTA helps transportation decision makers and other interested parties compare disparate asset classes across a range of hazards and threats on a common scale for planning and budget- ing. It facilitates development of a countermeasure program to approach hazards and threats selected by the user as likely to occur in their jurisdiction. The assets, hazards, threats, and coun- termeasures are presented in a common format to assist users in planning mitigation measures. CAPTA adds value to the field of risk management by providing a methodology designed to be used by transportation professionals. It does not replicate material already widely available or practices that are widely adopted. The high-level analysis provided in CAPTA helps users identify assets, or categories of assets, at risk. Users may choose to conduct a more detailed analysis in con- junction with established, more narrowly focused guides developed solely for specific assets. These guides provide a tactical assessment, accommodating local conditions or regional varia- tions that may affect the importance of an asset, operating procedures, political considerations, labor costs, and other factors. Several asset-specific risk management assessment and mitigation guides are already available through the American Association of State Highway and Transportation Officials (AASHTO), the Federal Highway Administration (FHWA), the Transportation Security Administration (TSA), the United States Coast Guard (USCG), and other federal agencies and national organizations. How- ever, they do not compare investment across different modes and asset classes. Used as intended, CAPTA fills a void in existing risk management literature. CAPTA supports a broad, high-level assessment of risks to assets from a range of hazards and threats. Assets may be vulnerable to these hazards and threats because of existing design, opera- tional standards, and current conventions. CAPTA facilitates comparisons of risks and related mitigation strategies across hazards and threats for several modes. It allows transportation deci- sion makers to assess the risks, costs, and impacts of additional mitigation strategies through an iterative process applied at the program level. CAPTA helps to determine the cost of additional risk mitigation and to make informed judgments regarding needs for more detailed mode and asset-specific assessments that use detailed risk management analytical methods. Countermeasure costs are estimated, drawn from use of the RS Means estimating manual, practitioner knowledge, 61 P R E F A C E

and experience of the research team. Regional labor costs, supply costs, personnel allocation, and local context will influence the final costs. To facilitate use, the CAPTA methodology is implemented in a spreadsheet-based tool that contains embedded data and assumptions that support high-level analysis. Users may enter assets or classes of assets into the tool and receive summary reports identifying critical assets and esti- mating mitigation costs. The methodology and tool also match countermeasures with their gen- eral function and match effectiveness and cost characteristics with asset/threat combinations considered of interest by virtue of potential consequences. Objective CAPTA supports mainstreaming an integrated, high-level, all-hazard, NIMS-responsive, multimodal, risk management process into major transportation agency programs and activi- ties. CAPTA provides state DOTs and other users with a convenient planning tool to estimate both capital and operating budget implications of measures intended to reduce risks to assets of interest. The primary purpose of CAPTA is to provide users a capital planning and budgeting tool with five major objectives: • Demonstrate the budgetary impacts of various agency consequence threshold levels chosen by the user. • Examine the merits of various countermeasure additions and enhancements including capital and operation measures—both singly and in combination. 62 CAPTool User Guide Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) Surface Transportation Security, Volume 6: Guide for Emergency Transportation Operations (NCHRP Report 525 Volume 6) TCRP Report 86 Volume 11 Security Measures for Ferry Systems NCHRP 20-59(23), A Guide to Emergency Response Planning at State Transportation Agencies DHS Special Jurisdictions (DHS) Transportation Security, Volume 12: Making Transportation Tunnels Safe and Secure (NCHRP Report 525 Volume 12) Report To Congress On Catastrophic Hurricane Evacuation Plan Evaluation, (FHWA/DHS) Other Asset, Mode, Threat, Hazard, or Sector Specific Guidance 2002 AASHTO Guide to Highway Vulnerability Assessment for Critical Asset Identification and Protection Figure 1. CAPTA relationship to asset-specific guides.

• Develop an order-of-magnitude estimate for a user-chosen selection of risk mitigation strate- gies (i.e., countermeasures). This order-of-magnitude estimate serves as a starting point for budgeting purposes. These estimates apply for a multimodal, multiasset agency context. • Indicate the assets for which more detailed risk analysis is needed. • Provide guidance in an objective, transparent manner. CAPTA provides a means to evaluate a wide range of assets and transportation modes based on known attributes, taking into account hazards and threats and their potential consequences. A consequence threshold, applied iteratively by the user, sets a lower limit of losses associated with assets to be considered further. CAPTA’s countermeasures database provides choices for mitigating consequences associated with these assets. This combination enables decision mak- ers to determine appropriate risk mitigation measures and estimate their costs as a function of the selected consequence threshold. CAPTA may be employed by a range of agencies responsible for risk management across transportation modes in an all-hazards environment: • Regional entities, such as port authorities, toll authorities, and transit authorities; • State agencies, such as departments of transportation and state emergency management agen- cies; and • Local agencies, such as departments of public works and county highway departments. CAPTA evolved in response to several emerging realities in the transportation environment: • Current available risk management strategies are asset specific, mode specific, and threat or hazard specific. These approaches typically do not accommodate high-level, multimodal, all- hazard considerations needed for overall agency-level planning and budgeting. • The range of risks faced by transportation agencies forms a continuum. This range of risks requires a systematic, cohesive risk management approach that encompasses all modes. • Transportation owners/operators are aware of the risks their systems face—from natural dis- asters to intentional harm (terrorism). CAPTA uses this knowledge as input to the assessment process. • Many hazards and threats are addressed in established design standards and operational plan- ning. New hazards and threats may exceed established practice or standards. Established and newly apparent risks must be met with mitigation measures consistent with the National Inci- dent Management System (NIMS) and National Infrastructure Protection Plan. Preface 63

Background The CAPTA effort is a continuation of efforts begun following the terrorists attacks of Sep- tember 11, 2001. That event prompted a series of risk assessment and management projects ini- tiated through the Cooperative Research Program managed by the Transportation Research Board of the National Academies. Several risk management guides were prepared independently and were targeted at state transportation agencies that own, operate, or influence specific assets or specific asset classes within the transportation system. They included guides to assess risk and vulnerability for highway assets, rural transit, ferries, tunnels, and bridges. These asset-specific guides provide valuable, current information to owners and operators. This multimodal guide builds upon these prior mode-specific efforts. Much of the transportation-focused risk assessment and risk management guidance avail- able today is asset or threat specific. These approaches to risk management have the following characteristics: • The analysis focuses on a select group of assets, or a specific asset. • The approaches assume or require substantial knowledge of likely threat/hazard scenarios. • The approaches consider many possible scenarios that might disrupt transportation assets. These guides often require knowledge that the user may not possess or easily obtain. The guides are typically specific to one transportation mode or asset class, such as bridges or tunnels. They are not designed to compare transportation assets across transportation modes, such as would be the case with vehicle fleets and tunnels. CAPTA expands the tools available to transportation agencies to acquire and distribute funds. The CAPTA methodology provides a foundation for capital requests based on objective, trans- parent, defensible data and analysis. These well-supported requests made to a legislature or in response to a federal request for grant proposals will help transportation agencies acquire additional funding on the merits of the argument for assets that need resources. The CAPTA methodology helps manage internal resource allocation decisions among multiple modes by providing a means for analyzing needs through an equitable and transparent process that is applied consistently to all assets. The CAPTA methodology is designed to be applied by transportation practitioners without external assistance using the computer-based spreadsheet through which CAPTA is implemented. This introductory chapter provides an overview of why this product was developed and the development process. The tool will be tested and improved through use. 64 Introduction

Overview of the CAPTA Methodology The CAPTA methodology provides a starting point for transportation risk assessment. CAPTA provides users with a capital planning and budgeting tool, used as a strategic point of departure for resource allocation decisions. CAPTA enables an executive to base allocation decisions on objective data about assets. It can also direct decision makers toward assets and asset classes that merit further attention or study. CAPTA is intended for use by senior managers whose jurisdiction or influence extends over multiple modes of transportation, multiple asset classes, and many individual assets. This method- ology provides a means for moving across transportation assets to address system vulnerabilities that could result in significant losses given the hazards and threats of greatest concern. These losses, or consequences, could be casualties, property loss, failure to provide services to the pub- lic successfully, or loss of public confidence in the use of existing infrastructure and facilities. These four areas of loss all represent risk to the transportation system. CAPTA is consequence driven. This methodology begins by asking the transportation owner/ operator to set an initial consequence “threshold,” indicated by the level of losses at which additional resources would likely be required. Subsequent analysis is completed iteratively by identifying assets where losses would exceed the consequence threshold and then identifying counter- measures that could avoid or reduce the consequences. Users may choose to change the conse- quence threshold to focus resources on the highest consequence assets or vary thresholds among transportation modes to reflect variations in authority or responsibility for different modes or asset classes. This approach is ideally suited to the strategic, high-level planning undertaken by an execu- tive with budgetary discretion. The executive faced with deciding where and how to spend funds can arrive very quickly at the most logical choices based on agency priorities and the characteristics of the assets. The process begins with the question of “What adverse consequences do I consider beyond our ability to handle through our normal operations and capital investments?” and then asks the user to indicate the types of hazards and threats of concern that might cause such losses. The user is not, however, expected to know all of the characteristics of potential hazards and threats (e.g., severity, frequency, capability, intent, and motivation). A consequence-based approach to capital allocation departs from traditional risk management strategies in that it does not attempt to assess the likelihood of an event explicitly. In essence, the consequence-based approach assumes that if a decision maker perceives an event to be possible, and if the consequences are sufficiently severe, the decision maker must consider alternatives for avoid- ing or minimizing consequences if the event should occur. The consequence-based approach focuses on how an asset has been adversely affected regardless of why or how it became disabled. Costing Asset Protection Tool (CAPTool) allows senior managers to move through multiple iterations quickly by setting consequence thresholds for losses at levels that reflect levels of respon- sibility and available resources. The consequence threshold may vary from jurisdiction to jurisdic- tion and among individual managers, depending on individual tolerance. Reasonable ranges of consequences are provided to guide the user in each of the following four consequence areas: • Potentially exposed population • Property loss • Mission disruption • Social/cultural disruption The CAPTA methodology, as implemented in a spreadsheet (CAPTool), contains examples and default values to assist the user in choosing consequence thresholds, identifying existing Introduction 65

means for avoiding adverse consequences, choosing countermeasures that fill gaps in coverage, winnowing those choices through cost estimates, and then packaging them for implementation. The Audience The intended audience for the CAPTA is senior state or regional transportation agency person- nel engaged in evaluating risk across multiple modes to determine budgetary priorities. These senior agency personnel use CAPTA to compare alternatives during a high-level analysis. Minimal staff support is required to complete CAPTA, because detailed engineering information is not required at this level of analysis. Proper use of CAPTA will reveal assets and classes of assets that require further evaluation and mitigation. This subsequent analysis will require technical expertise employing established mode- and asset-specific risk management tools. Users can find asset-specific guides for most transportation modes through the TRB website at www.trb.org/securitypubs/. Risk and Consequence CAPTA helps agency management in its planning and budgeting activities. CAPTA encom- passes the set of risks associated with natural hazards and unintentional or intentional events that are not already part of the mainstreamed design and standard operational practices. Recent terrorist threats and major natural disasters have stimulated concern over the wide range of risks faced by transportation modes. CAPTA emphasizes the potentially severe consequences from such major events and is an effort to further mainstream security procedures in an agency, as is already the case for worker safety, traffic incident management, and routine weather events such as snow and ice storms. CAPTA’s risk management process focuses on specific hazards and threats with the following characteristics: • These threats and hazards can cause significant damage to transportation assets and mission or loss of life. • Design/engineering and operational measures to reduce the risk of these threats and hazards are not yet “mainstreamed” in conventional transportation agency practice. • Reasonable and practical consequence-reducing countermeasures to these threats and hazards are available. In keeping with the above approach, CAPTA uses consequence thresholds (for life, property, and mission) to focus risk management on assets and hazard or threat combinations that merit risk reduction investment at the program planning level. CAPTA defines transportation hazards or threats and the assets classes included in this analysis at generalized levels. This generalization allows the user to move quickly to the issues that are of primary concern regardless of trans- portation mode, location, or use and does not require the user to estimate probabilities related to specific hazards and threats or the likelihood that specific assets are affected. The countermeasures database links potential countermeasure strategies directly to consequences and assets. The modest level of effort involved in using CAPTA is intended to encourage mainstreaming an integrated, high-level, all-hazard, NIMS-responsive, multimodal risk management process into major transportation agency programs and activities. CAPTA also provides the departure point for applying asset-specific vulnerability assessment and countermeasure guides for asset-specific design and cost estimation. 66 CAPTool User Guide

Assumptions The consequence-based CAPTA methodology makes several assumptions about asset classes, hazards and threats, and countermeasures. The default values and assumptions embedded in the methodology are transparent to users and, in most cases, users have the opportunity to modify them to reflect local values. Transportation owners and operators face a range of routine hazards or threats to transporta- tion infrastructure and assets, such as equipment breakdowns, derailments, utility disruptions, criminal acts, and medical emergencies. Guidance for handling these routine, often-encountered events and conditions and for asset-specific risk assessment is already addressed in handbooks, manuals, and industry standards that are readily available. Many are located at www.trb.org/ securitypubs/. The following list contains individual examples of such materials: • TCRP Report 86/NCHRP Report 525, Volume 12: Making Transportation Tunnels Safe and Secure (Parsons Brinckerhoff Quade & Douglas, Inc., Science Applications International Corpora- tion, and Interactive Elements Incorporated; Transportation Research Board of the National Academies, Washington, DC, 2006). This guide focuses solely on tunnel assets. • “A Guide to Highway Vulnerability Assessment for Critical Asset Identification and Protec- tion” (Science Applications International Corporation; AASHTO, Washington, DC, 2002). This document develops guidelines for assessing and mitigating vulnerabilities among high- way assets. • “Risk Based Prioritization of Terrorist Threat Mitigation Measures on Bridges” (J. C. Ray, Journal of Bridge Engineering, Vol. 12, No. 2, March/April 2007, pp. 140–146). This guide, developed by FHWA, provides a standardized, detailed method to assess the vulnerabilities of specific bridge components. • NCHRP Report 526: Snow and Ice Control: Guidelines for Materials and Methods (R. R. Blackburn, K. M. Bauer, D. E. Amsler, Sr., S. E. Boselly, and A. D. McElroy; Transportation Research Board of the National Academies, Washington, DC, 2004). • NCHRP Report 525, Volume 6: Guide for Emergency Transportation Operations (S. Lockwood, J. O’Laughlin, D. Keever, and K. Weiss; Transportation Research Board of the National Academies, Washington, DC, 2005). The CAPTA methodology makes the following additional assumptions: • The user takes the information provided by CAPTA as a capital budgeting prioritization tool, not as an asset-specific assessment tool. – The CAPTA process delineates assets or asset classes that are of high consequence to the user. This high-level delineation will allow the user to set aside budgetary resources on a rough order of magnitude. The user will then need to apply an asset-specific tool to discern how to use any resources provided to the high-consequence assets. – The user follows analysis using CAPTA with an asset-specific assessment tool, which may include conducting a full engineering assessment that takes into account facility-specific conditions. • Nuclear hazards or threats are not addressed. These catastrophic threats require mitigation and response measures that are beyond the capacity of a transportation agency. • Cyber threats are not addressed. The evolving nature of cyber threats to the operating and con- trol systems of a transportation agency are best addressed by commercial vendors. Standard practice for any agency is to have a robust, up-to-date cyber security plan. • Routine inspection and maintenance issues are not addressed. These operational measures typically do not require high-level strategic capital allocation measures. • The user has available basic data about the assets to be considered under CAPTA, including physical features, cost, and typical usage of an asset. The information requested in the CAPTool was specifically designed to incorporate data typically available to transportation agencies. Introduction 67

• CAPTA will not provide a cost–benefit analysis for any countermeasure. Countermeasure cost estimates are provided. Quantifying benefit requires an estimate of the effectiveness of a coun- termeasure in avoiding or mitigating the effects of an event. Moreover, this estimate may be about an adverse event that has never and, while possible, is unlikely to occur. Quantifying benefits is most challenging when judging the merits of operational measures intended to prevent or mitigate the effects of intentional acts. Exclusions CAPTA is not intended to replace detailed examination of highly consequential assets or classes of assets. The high-level CAPTA methodology prioritizes resource allocation towards specific assets or classes of assets, which then should be examined using mode-specific guides. CAPTA does not provide a cost–benefit analysis of countermeasures. The methodology does not calculate the extent to which specific countermeasures will keep an asset from all harm. It does, however, assist in identifying countermeasures that are likely to assist in preventing adverse consequences to an asset. CAPTA does not attempt to offer predictions of the likelihood or frequency of intentional disruptions. Organization of This Report As seen in Table 1, this report is organized into two parts: • Part I provides general background about the development of this methodology, its general philosophy, and approach. It also details the evolution of the CAPTool. • Part II, this part, explains the CAPTA system, including all rational and calculation methods. It is intended for those who desire to examine the CAPTA methodology in greater detail. This part also provides a stepwise methodology, describing user inputs and decisions with the tool. The spreadsheet tool that implements the CAPTA methodology is available as a download from the TRB website (www.trb.org/news/blurb_detail.asp?id=9579). Science Applications International Corporation (SAIC) developed CAPTA and the accompa- nying CAPTool with the assistance of PB Consult, Inc. The genesis of thought and idea promul- gated in this CAPTool are derived from previous work by and experience of the authors as well as from interaction with practitioners in this field. Basic CAPTool and Expanded CAPTool CAPTool is the computer-based spreadsheet model that implements the CAPTA methodology. It is presented in a basic and an expanded format. The difference rests in the level of detail pro- vided to the user and the requirement for user input. To facilitate ease of use, the User Guide is based on the Basic CAPTool application within the optional Expanded CAPTool explained in the subsequent section. 68 CAPTool User Guide Title Contents Intended Audience Part I Project history All interested parties Part II CAPTool User Guide Technical users of CAPTA Table 1. Organization of this report.

The Basic CAPTool has six steps: 1. Relevant Risks 2. Thresholds 3. Asset and Asset Class Inventory 4. Inventory of High-Consequence Assets/Asset Classes 5. Countermeasure Opportunities 6. Results Summary In the Basic CAPTool process, the user accepts the default calculations, costs, and assump- tions and can arrive at results quickly. The user enters minimum data, including the assets to be considered for evaluation. The assumptions made in CAPTool have been vetted by subject mat- ter experts and are documented in Step 4 of this guide. Many users will find the Basic CAPTool sufficient for their needs. Users who may wish to consider the Expanded CAPTool include those with • Labor costs and/or materials and supply costs that are substantially different from national averages, and/or • Extensive countermeasure preparations that are already in place, reducing the cost of imple- menting countermeasures. The Expanded CAPTool gives users access to the entire process, including costs of measures proposed to mitigate the effects of a disruption. Users can alter the cost of countermeasures, verify assumptions concerning potential vulnerability, and apply individual filters to counter- measure selection. The added flexibility of the Expanded Tool gives users more control over countermeasure costs and choice of countermeasures. Table 2 shows the detail available in the Basic and Expanded CAPTool versions, respec- tively. Note that in the Enhanced CAPTool, Steps 5a, 5b, and 5c precede Step 5 because they affect the costs and types of countermeasures available for selection in Step 5. These addi- tional steps are not available in the Basic CAPTool. Basic CAPTool uses the default counter- measure types and costs and does not enable the user to filter the selection of countermeasures presented. Introduction 69 Basic Step Basic CAPTool Expanded CAPTool Expanded Step 1 Relevant Risk Selection Relevant Risk Selection 1 Threat Hazard Vulnerability 1a 2 Thresholds Thresholds 2 3 Asset /Asset Class Inventory Asset /Asset Class Inventory 3 4 High-Consequence Assets Inventory High-Consequence Assets Inventory 4 Countermeasure Costs 5a Selection of Additional Countermeasures 5b Countermeasure Filter Selection 5c 5 Countermeasure Opportunities (including asset-specific opportunities) Countermeasure Opportunities (including asset-specific opportunities) 5 6 Results Summary, including by mode Results Summary, including by mode 6 Table 2. Basic CAPTool and Expanded CAPTool.

Example Agency To ease comprehension of the CAPTA methodology, the fictional Apex Transportation Authority is used to illustrate application of CAPTool. The Apex Transportation Authority pos- sesses a normal complement of urban transportation assets, including road bridges and tun- nels, transit stations, transit bridges and tunnels, buses, and a single passenger ferry that operates seasonally. The agency is located in an urban area along an ocean front, serving a metropolitan area of 4 million persons, with daily ridership of 350,000 and daily commuter auto traffic of 400,000. The agency is relatively well funded, has an infrastructure with some elements over 90 years old, and has a great body of institutional knowledge and data from past weather events and disruptions. Within this example, the urban agency, with the wide ranges of transportation modes under its jurisdiction, will avail itself of the full range of the CAPTool. 70 CAPTool User Guide

The CAPTool User Guide The CAPTool User Guide is a reference for those using CAPTool to apply the CAPTA methodology. The Guide provides definitions, the purpose of each step, and step-by-step instructions. The user is guided through the process, aided by examples and illustrations. The outline for each step instruction section is as follows: • Introduction: Provides an overview of the step. • Purpose: Provides information on what the step will accomplish. • Definition: Provides information on terms used within the step. • Assumptions: Provides information on assumptions inherent within the step. • User Inputs: Provides instruction on the actions required of the user during the step. • Output: Provides information on the data available after processing the inputs in the step. • Example: Provides an illustration using the fictional Apex Transportation Authority (ATA). Preparation CAPTool is Microsoft® Excel based and requires that the user have a rudimentary knowledge of that application. The tool uses Microsoft® Excel macros and Visual Basic embedded in a Microsoft® Excel spreadsheet. Changes to the Visual Basic subroutines will change the results, and thus changes should not be made without careful testing. Upon startup of the program, the tool will ask the user to “Enable Macros.” Click the box cor- responding to “Enable Macros.” The tool requires data concerning the asset categories to be considered in the analysis. The user is best served by compiling these data before using CAPTool. The required data are described in Table 3. Data Consistency Asset data should be vetted to ensure that measures of capacity, occupancy, detour length, replacement costs, and other factors are verified and applied consistently. Specific attention should be paid to the following measures: • Maximum Train Capacity (Occupancy): The rated occupancy of a rush-hour train set should be entered. The agency should use rated data from the manufacturer and the size of a rush- hour train set assembled according to standard operating procedure. Using these existing data 71 Welcome to the CAPTA Process

72 CAPTool User Guide eliminates ambiguity concerning both smaller train sets that may operate during non-rush hours and under-filled trains. • Administrative and Support Facilities Capacity (Occupancy): Occupancy data entered should correspond to the occupancy limitations as set by local fire code. • Maximum Occupancy of Persons and Vehicles for Ferries: Occupancy data should corre- spond to the maximum limitations set by the United States Coast Guard. • Maximum Occupancy for Fleets: Occupancy data should correspond to that provided by the vehicle manufacturer. • Detour Length: Detour length should be measured from the point of the impacted bridge or tunnel to the point of the nearest structure capable of providing at least 50 percent capacity replacement. Capacity replacement may be measured in private vehicles only, or in combined private and commercial vehicular traffic. This percentage can be adjusted upward based upon specific situations as long as all the structures are treated similarly. For example, if “detour” is determined to be the distance to a crossing that can accommodate commercial and private vehicles for road bridges, then that criterion applies to all crossings. Table 3. List of required data for use in the CAPTool. Category Required Data Road Bridges Identification of asset or asset class, quantity, annual average daily traffic, length (ft), travel lanes, detour length to nearest available crossing, type of construction, replacement cost (if known). Road Tunnels Identification of asset or asset class, quantity, annual average daily traffic, length (ft), travel lanes, detour length to nearest available crossing, replacement cost. Transit/Rail Stations Identification of asset or asset class, quantity, maximum train capacity (occupancy), knowledge that the structure is below grade or above grade, knowledge that station is a transfer point. Transit/Rail Bridges Identification of asset or asset class, quantity, maximum train capacity (occupancy), type of construction, length (feet), percentage of total ridership using the bridge. Transit/Rail Tunnels Identification of asset or asset class, quantity, maximum train capacity (occupancy), replacement cost, length, percentage of total ridership using the bridge. Administrative & Support Facilities Identification of asset or asset class, quantity, square footage of facility, replacement cost, maximum occupancy of facility. Ferries Identification of asset or asset class, quantity, maximum occupancy (persons), maximum occupancy (vehicles). Fleets Identification of asset or asset class, quantity, maximum occupancy (vehicles), average cost per vehicle.

The Basic CAPTool follows a six-step process: 1. Relevant Risks 2. Thresholds 3. Asset and Asset Class Inventory 4. Inventory of High-Consequence Assets/Asset Classes 5. Countermeasure Opportunities 6. Results Summary Step 1: Relevant Risks Introduction In the first step of this high-level assessment, the owner identifies • Hazards and threats, and • Asset classes of interest This initial step limits the range of assets considered. In this step, the user identifies asset classes of interest that fall under the jurisdiction, influence, or control of the relevant entities. In the event that a user is concerned with a transportation asset class that is not under the control of the agency conducting the analysis, such as when a state DOT might include a privatized ferry service in the analysis, the user may still use CAPTool and the results can be included or excluded from the agency’s own budget as appropriate. The user is asked to choose which threats and/or hazards are relevant in the jurisdiction of interest. For example, an area that experiences hurricanes may not experience earthquakes or landslides. The user can tailor the assessment to the local area and include asset classes for which data are available, e.g., type, occupancy, length, and cost. These details will be called for later in the CAPTool. CAPTool includes a range of hazards and threats. The hazards and threats of interest in a spe- cific situation may be a subset of those listed. Table 4 lists most of the hazards and threats that a state DOT or transit authority has the capacity to address. Purpose The objectives of Step 1 are to 1. Identify asset classes under agency jurisdiction, influence, or control, and 2. Identify regionally relevant hazards and threats. 73 The Basic CAPTool Guide

Asset classes and hazards and threats should be chosen based upon fact. Hazards and threats should be chosen based on their relevance in the area. This relevance may be based on historical data, actuarial data, expert projections (such as potential for seismic activity), or concerns about intentional attacks. Definitions Hazards Some of the hazards and threats shown in Table 4 are regional in nature and will affect mul- tiple assets in an area. Most of the natural events, including earthquake, flood, extreme weather (snow, ice, wind), and landslides, affect all assets in the geographic area where the event takes place. These wide-scope events are indifferent to assets, asset categories, or persons within the path of the destruction. Fire—A conflagration and smoke condition causing greater than 100 MW of energy. A fire of that size is not controllable. Structural Failure—Any decline in the fitness and integrity of a structure such that a loss of com- posite strength is attained. HAZMAT—The introduction and release of liquids, gas, or solids that pose a harm to persons or property upon contact. Flood—The condition of excessive water inflow to an area exceeding the pumping capacity of that area and causing a hazard to persons and property. Earthquake—The release of seismic waves resulting from geothermal disturbance. Extreme Weather—Any naturally occurring act exceeding the predicted 100-year benchmarks for wind, snow, rain, or ice. Mud/Landslide—Any dislocation of soil conditions sufficient to cause a hazardous condition to persons or property. Threats Most human-caused unintentional events and several of the intentional events only affect spe- cific assets. However, events such as HAZMAT spills or large conventional explosives—especially if they involve chemical, radiological, or biological materials—can affect multiple assets either through destruction or by rendering them unusable for long periods of time. Small Explosive—Hand-carried explosive force equivalent to fewer than or equal to 250 lbs TNT. Large Explosive—Vehicle-borne explosive force equivalent to or greater than 500 lbs TNT. Chemical/Biological/Radiological—The introduction of a harmful chemical, biological or radio- logical agent into an environment in quantity sufficient to contaminate the asset. The con- tamination is sufficient to cause harm to persons, or render property unfit for habitation. Criminal Acts—Any act of civil disturbance that violates local, state, or federal laws. 74 CAPTool User Guide Type Hazard/Threat Unintentional Hazard Fire Structural Failure HAZMAT Natural Hazard Flood Earthquake Extreme Weather Mud/Landslide Intentional Threat Small Explosive (hand carried) Large Explosive (vehicle borne) Chemical/Biological/Radiological Criminal Acts Table 4. Hazards and threats.

Asset Categories CAPTA recognizes eight asset categories in transportation: Road Bridges—All aerial platforms for vehicular transportation, including steel, concrete, beam, viaduct, suspension, or cable stay. Road Tunnels—All below-grade or mined segments designed for vehicular transportation. These include cut and cover, mined, bored, or immersed tube tunnel construction and roadways penetrating mountains. Transit/Rail Stations—All above-grade or below-grade facilities designed to allow the embarkation and disembarkation of passengers. Transit/Rail Bridges—All aerial platforms for rail transportation, including steel, concrete, beam, viaduct, suspension, or cable stay. Transit/Rail Tunnels—All below-grade or mined segments designed for rail transportation. These include cut and cover, mined, bored, or immersed tube tunnel construction and road- ways penetrating mountains. Administrative & Support Facilities—All fixed facilities used in the support of a transportation agency’s mission, excluding passenger rail stations. These may include terminals for air, ship or bus; headquarters buildings; supply depots; maintenance facilities; and operations control centers. Ferries—All watercraft used in the regulated transportation of passengers and vehicles for a scheduled service. Fleets—All individual passenger conveyance vehicles, including rail cars and buses. All mainte- nance vehicles. Assumptions To perform Step 1 and detail the relevant risks to a transportation category of assets, the user should possess 1. Hazard maps and historical records and data pertaining to experienced hazards and threats, and 2. Other events or disruptions to be included in the analysis. This requirement pertains to events that have never occurred within the jurisdiction, such as a terrorist attack or earthquake but will be included in the analysis. Terrorist threats can vary with domestic and international politics, visibility of assets, terror- ists’ perceptions of asset values, and the perceived risk to the attacker of being denied success in executing the attack. Therefore, frequency or likelihood of attack is highly subjective and no attempt is made within CAPTool to quantify the likelihood of a terrorist attack against a specific asset or asset class. User Input In Step 1, the user selects hazards and threats (from a screen shown in Figure 2) that are rele- vant to the asset classes and individual assets. Figure 2 shows the input screen from the spreadsheet where the user selects “Y” or “N” (yes or no), indicating which combination of hazards and threats and transportation asset classes are to be considered. The distinction between road assets and transit assets is intentional. These categories of assets are different in structure, capacity, and tolerances to disruption. Users will select only the asset categories of interest and only the hazards and threats likely to be faced. The Basic CAPTool Guide 75

76 CAPTool User G uide Road Bridges Road Tunnels Transit/RailStation Transit/Rail Bridges Transit/Rail Tunnels Admin & Support Facilities Ferry Fleet THREATS Small Explosives Y Y Y Y Y Y Y Y Large Explosives Y Y Y Y Y Y Y Y Chemical/Biological/Radiological Y Y Y Y Y Y Y Y Criminal Acts Y Y Y Y Y Y Y Y UNINTENTIONAL HAZARDS Fire Y Y Y Y Y Y Y Y Struct. Failure Y Y Y Y Y Y Y Y HAZMAT Y Y Y Y Y Y Y Y NATURAL HAZARDS Flood Y Y Y Y Y Y Y Y Earthquake Y Y Y Y Y Y Y Y Extreme Weather Y Y Y Y Y Y Y Y Mud/Landslide Y Y Y Y Y Y Y Y ADDITIONAL Userentered threat/hazard 1 N N N Userentered threat/hazard 2 N N N N N N N N N N NN N Identify Relevant Risks and Asset Classes Instructions: It is highly recommended that you save this as a new project. The "Save" button to the right will rename the file as a time and date-stamped copy to your default folder with the filename: "TransRiskManagementYYYY-MM-DD HH.MM.SS.xls" For the asset classes of interest, please indicate the threats/hazards that you wish to include in your analysis by toggling the response from "N" to "Y" for each cell. Threat/hazard and asset combinations that are likely to result in serious loss will be considered in subsequent steps. When done, click "Next." Reset Answers to "N" User-Entered On/Off Next Save Time- Stamped Copy to Default Folder PreviousExpanded CAPTool Basic CAPTool1 5432 6 1 55c5b4321a 65a Figure 2. Input screen for threat/hazard and asset class.

Output The output for this step is the completed table of transportation asset categories arrayed against relevant hazards and threats. As shown in Figure 2, the result of Step 1 is the selected hazards and threats of concern and the asset classes where events caused by these hazards and threats might produce high-consequence outcomes. Note that some combinations of threats or hazards and asset classes may not appear on the output table because the rules implemented in the CAPTA reflect judgments regarding whether the hazard or threat could result in the destruction of the asset class in question. ATA Example As shown in Figure 3, the fictional ATA has road, transit, and ferry components and will con- sider the asset classes and hazards and threats marked with a “Y” in CAPTool. The Basic CAPTool Guide 77

78 CAPTool User G uide Road Bridges Road Tunnels Transit/RailStation Transit/Rail Bridges Transit/Rail Tunnels Admin & Support Facilities Ferry Fleet THREATS Small Explosives N N Y N N Y Y Y Large Explosives Y Y Y Y Y Y Y Y Chemical/Biological/Radiological Y Y Y Y Y Y Y Y Criminal Acts Y N Y N N Y Y Y UNINTENTIONAL HAZARDS Fire Y Y Y Y Y Y Y N Struct. Failure Y Y Y Y Y Y N N HAZMAT Y Y Y Y Y Y Y Y NATURAL HAZARDS Flood N Y Y N Y Y N Y Earthquake Y Y Y Y Y Y Y Y Extreme Weather Y Y Y Y Y Y Y Y Mud/Landslide Y N Y Y N N N Y ADDITIONAL Userentered threat/hazard 1 Y Y Y Y Y Y Y Y User entered threat/hazard 2 Y Y Y Y Y Y Y Y Identify Relevant Risks and Asset Classes Instructions: It is highly recommended that you save this as a new project. The "Save" button to the right will rename the file as a time and date-stamped copy to your default folder with the filename: "TransRiskManagementYYYY-MM-DD HH.MM.SS.xls" For the asset classes of interest, please indicate the threats/hazards that you wish to include in your analysis by toggling the response from "N" to "Y" for each cell. Threat/hazard and asset combinations that are likely to result in serious loss will be considered in subsequent steps. When done, click "Next." Reset Answers to "N" User-Entered On/Off Next Save Time- Stamped Copy to Default Folder PreviousExpanded CAPTool Basic CAPTool1 5432 6 1 55c5b4321a 65a Figure 3. ATA example of threat/hazard applicability.

Step 2: Thresholds Introduction In Step 2, the user sets the consequence threshold assets and asset classes. The consequence threshold is the point set by the owner, operator, or system user that goes beyond the effects of routine disruptions and losses that current preparations and responses are designed to manage. Setting a consequence threshold focuses attention on the relevant assets, eliminating from fur- ther consideration those assets that cannot exceed consequence thresholds, regardless of the haz- ard or threat. The consequence threshold is used to identify assets or asset classes to be included and the extent to which the hazards and threats identified in Step 1 are retained in the assessment. Thresholds are set for each asset class and for each consequence category. The threshold is used to identify assets that are to be considered in later steps as candidates for countermeasure appli- cation. The user can adjust the threshold for any of the consequences to determine how such changes might affect the number and types of assets that remain on the high-consequence list and thus are candidates for investment of additional resources. Purpose The objective of this step is to establish the consequence threshold beyond which the asset owner, operator, or system user would consider investments in countermeasures to prevent losses or mitigate consequences. Definitions Consequence—An indication of the negative effects from an event on assets of interest. Assets of interest are typically people, structures, or equipment. Direct Consequence—The loss of life, or injury, to a person or damage or destruction of property. Indirect Consequence—Adverse social, economic, or psychological effects resulting from an event. Consequence Threshold—A planning factor used to set the level of consequences beyond which additional investments in countermeasures may be justified. The user may choose this level because beyond it, the physical, economic, or mission damages cannot be readily restored with available resources. The choice of a threshold does not mean that losses below this level are unimportant or inconsequential; it means that losses below this level can be managed operationally and within the existing resources of the agency. Assumptions 1. The consequence levels chosen are consistent with an agency’s intent to commit resources to eliminate or mitigate consequences that exceed the threshold. 2. The user can alter and adjust the threshold levels in subsequent iterations with the CAPTool. User Input User inputs in this step establish the consequence thresholds for each of these consequence categories for each asset category (Figure 4). This step requires the user to select a combination of consequence thresholds. The user will select threshold values for each of the consequence areas consistent with the level of responsibility and concern the user acknowledges. The threshold selected is not meant to imply that losses below the threshold are of no consequence, but that losses below the selected threshold are within responsibilities and concern of other entities (e.g., subordinate jurisdictions The Basic CAPTool Guide 79

80 CAPTool User G uide Figure 4. Consequence threshold values. Category Critical Threshold Explanation ROAD BRIDGE Potentially Exposed Population 0 Potentially exposed population threshold Property Loss $5,000 Replacement cost Mission Importance Level I Demand percentile for ADT * Detour Length Level I 29000 Level II 68000 Level III 241000 ROAD TUNNEL Potentially Exposed Population 0 Potentially exposed population threshold Property Loss $5,000 Replacement cost Mission Importance Yes Do you consider all road tunnels to be mission critical? TRANSIT/RAIL Potentially Exposed Population 0 Potentially exposed population threshold STATION Property Loss Yes Do you consider below-ground stations to be property critical? Mission Importance Yes Do you consider all transfer stations to be mission critical? TRANSIT/RAIL Potentially Exposed Population 0 Potentially exposed population threshold BRIDGE Property Loss $5,000 Replacement cost Mission Importance 0 What % of ridership does a bridge need to serve in order to be mission critical? TRANSIT/RAIL Potentially Exposed Population 0 Potentially exposed population threshold TUNNEL Property Loss $5,000 Replacement cost Mission Importance 0 What % of ridership does a tunnel need to serve in order to be mission critical? ADMIN & SUPPORT Potentially Exposed Population 0 Potentially exposed population threshold FACILITIES Property Loss $5,000 Replacement cost Mission Importance Yes Do you consider all administrative and support facilities to be mission critical? FERRY BOATS Potentially Exposed Population 0 Potentially exposed population threshold Property Loss $5,000 Replacement cost Mission Importance Yes Do you consider all ferry boats to be mission critical? TRANSIT FLEETS Potentially Exposed Population 0 Potentially exposed population threshold Property Loss $5,000 Replacement cost Mission Importance Yes Do you consider all transit fleets to be mission critical? The default threshold values for ADT * detour length are taken from the 75th, 85th, and 95th percentiles for the U.S. If these are inappropriate for your state, enter different values in the appropriate fields to the left. Next Establish Consequence Thresholds Instructions For each asset class, set the appropriate thresholds. When done, click "Next." "Reset" sets all thresholds to their lowest levels. Restore Defaults PreviousReset Thresholdsto Lowest Levels Jump to Critical Assets Summay (Only if Data on Individual Assets is Already Entered Basic CAPTool Expanded CAPTool 1 5432 6 1 55c5b4321a 65a

or agencies or offices within agencies). The losses below the threshold may be within the means of response for the agency. The user begins by identifying consequence thresholds where additional capital investments might be considered. This consequence can be adjusted through successive iterations but identi- fies an outcome that is considered worthy of avoiding and may require investments in counter- measures. The level of investment is determined in Step 5. After seeing the resource implications of a selected consequence threshold, the decision maker may choose to raise or lower the thresh- old to determine how the costs vary with changes in the threshold values. For the purposes of this step, the body of previous work in this area provides the basis for the consequence categories. When applied to particular assets or asset classes, consequence categories assume total destruction of the asset. The following consequence categories are used in Step 1: • Potentially Exposed Population: This category is expressed in terms of potential casualties. The expression is a range of casualties for each threshold level. The CAPTool uses the phrase “poten- tially exposed population” (PEP) because the analysis assumes that this is the upper bound on harm to people associated with the maximum threat. Therefore, the reference is to exposure to risk rather than an estimate of the actual casualties resulting from the hazard or threat. • Property Loss: This category is expressed in terms of asset replacement costs. The expression is in millions of dollars across the cost range. • Mission Importance: This category is expressed in terms of loss of function and/or transport delays and is relevant to specific assets or asset classes, including the relative importance of assets to the transportation network as indicated by their system role (e.g., Interstate Highway System, National Highway System designation) and the volume of use (e.g., Average Daily Traf- fic (ADT)) across a volume range. For highway bridges, the CAPTA uses the product of ADT and detour distance as a surrogate for mission or function impact. The user can set the values of this factor based on local data. For purposes of illustration, this CAPTool example uses the 75, 85, and 95 percentile of this product based on bridges in the National Bridge Inventory. Note that other major consequences may also occur, including loss of specific government services, delays to emergency response, and impediments to military deployment. However, such consequences tend to be highly correlated with the primary consequences that capture loss of life; loss of property; and disruption of functions and related economic, government, military, and emergency response activities. The consequence categories are provided as a starting point so that decision makers may make an initial pass through the process and then, through feedback and adjustments, converge on solutions that make sense within the context for which they are developed. Output The product of this step is the user-selected consequence thresholds by consequence cate- gories. The information entered into CAPTool during this step is used in identifying assets and asset classes that are judged to be of high consequence (critical) and will remain in the analysis for further consideration. ATA Example As shown in Figure 5, ATA’s available resources, including additional capital from the state legislature and bond markets, enable it to set a consequence threshold of about $100 million for sustaining damages to infrastructure. ATA is realistic about casualties, setting thresholds appro- priate to the mode of transportation, averaging 100 potentially exposed persons. It does not con- sider its transit fleets to be critical to the mission of the agency. The Basic CAPTool Guide 81

82 CAPTool User G uide Figure 5. ATA consequence threshold choices. Category Critical Threshold Explanation ROAD BRIDGE Potentially Exposed Population 200 Potentially exposed population threshold Property Loss $101,699,661 Replacement cost Mission Importance Demand Percentile II Demand percentile for ADT * Detour Length Level I 29000 Level II 68000 Level III 241000 ROAD TUNNEL Potentially Exposed Population 101 Potentially exposed population threshold Property Loss $101,699,661 Replacement cost Mission Importance No Do you consider all road tunnels to be mission critical? TRANSIT/RAIL Potentially Exposed Population 100 Potentially exposed population threshold STATION Property Loss Yes Do you consider below-ground stations to be property critical? Mission Importance Yes Do you consider all transfer stations to be mission critical? TRANSIT/RAIL Potentially Exposed Population 200 Potentially exposed population threshold BRIDGE Property Loss $100,004,750 Replacement cost Mission Importance 20 What % of ridership does a bridge need to serve in order to be mission critical? TRANSIT/RAIL Potentially Exposed Population 200 Potentially exposed population threshold TUNNEL Property Loss $100,004,750 Replacement cost Mission Importance 20 What % of ridership does a tunnel need to serve in order to be mission critical? ADMIN & SUPPORT Potentially Exposed Population 101 Potentially exposed population threshold FACILITIES Property Loss $101,699,661 Replacement cost Mission Importance No Do you consider all administrative and support facilities to be mission critical? FERRY BOATS Potentially Exposed Population 305 Potentially exposed population threshold Property Loss $101,699,661 Replacement cost Mission Importance No Do you consider all ferry boats to be mission critical? TRANSIT FLEETS Potentially Exposed Population 50 Potentially exposed population threshold Property Loss $100,004,750 Replacement cost Mission Importance No Do you consider all transit fleets to be mission critical? The default threshold values for ADT * detour length are taken from the 75th, 85th, and 95th percentiles for the U.S. If these are inappropriate for your state, enter different values in the appropriate fields to the left. Next Establish Consequence Thresholds Instructions For each asset class, set the appropriate thresholds. When done, click "Next." "Reset" sets all thresholds to their lowest levels. Restore Defaults PreviousReset Thresholdsto Lowest Levels Jump to Critical Assets Summay (Only if Data on Individual Assets is Already Entered Basic CAPTool Expanded CAPTool 1 5432 6 1 55c5b4321a 65a

Step 3: Asset and Asset Class Inventory Introduction Transportation asset owners and operators often have responsibilities for or influence over multiple modes. In this step, the user lists the assets or asset classes to be evaluated by the CAPTool. The data entered in this step will be assessed against the thresholds chosen in Step 2 to screen the assets and asset classes for further consideration. These inputs can be entered individually, by name or designation, or by class of assets. Named or designated assets are normally well-known structures that are unique in the jurisdiction. Named assets may also be entered onto the list because of their special significance or impor- tance to the region. Prior to the entry into the CAPTool, the user should screen the list to group similar assets into asset classes. Examples of assembling classes of assets may be • Concrete highway bridges between 1,000 and 2,000 ft total length with ADT between 20,000 and 30,000 vehicles, • Buildings with office space between 20,000 and 30,000 sq ft, and • At-grade transit stations with dual tracks. When these asset classes are entered, the user should carefully note representative values such as key design and operational parameters that are used to represent the entire class. This approach seeks to reduce the number and types of assets to be considered by consolidat- ing assets into classes that can be treated as a group. The user can also enter individual assets likely to be at or near the threshold levels chosen in Step 2. The owner’s inventory is combined with the thresholds from Step 2 to identify high-consequence assets—those assets that exceed the selected consequence thresholds. The user may consult and obtain information from available inventories, such as the National Bridge Inventory, or from prior criticality assessments to generate the information needed for this step. Purpose The principal purpose of this step is to enter assets or classes of assets of interest to the user, either because of direct ownership or because they are influenced by the user and the user would like them to be considered by the CAPTool in the analysis. The secondary purpose is to calcu- late whether an asset or asset class surpasses the consequence thresholds chosen by the user. Definitions Asset Class—An aggregation of similar transportation assets. These assets are grouped together because of universal possession of like design specifications. High-Consequence (Critical) Asset—An asset for which a hazard or threat could produce an out- come where one or more consequence thresholds is likely to be exceeded and, therefore, risk mitigation countermeasures should be considered. Assumptions 1. CAPTool uses nominal relationships between asset classes and their threshold-related char- acteristics based on asset parameters. Asset classes unlikely to result in losses that exceed thresholds are eliminated from further consideration. The Basic CAPTool Guide 83

2. Table 5 shows the criteria used to determine whether an event involving the asset (or asset class) could result in an outcome that exceeds the designated consequence threshold. These criteria require data for assets so that the measures associated with the criteria can be calcu- lated and compared to threshold values. 3. The PEP is calculated by estimating the maximum number of persons who might be present when an adverse event occurs using National Fire Protection Association (NFPA) or similar standards. 4. The property criterion is based on planning factors for replacing a destroyed asset. User Inputs The user enters all the assets and asset classes to be considered by the CAPTool into the appro- priate transportation asset category sheet. The categories are those selected in Step 1, from among the following: • Road Bridge • Road Tunnel 84 CAPTool User Guide Asset Class PEP Equation Property Equation Mission Equation Road Bridges Separated into primary direction and secondary direction -- for each, if vehicles/lane > 2400, assume 40 vehicles/ 1000ft. Otherwise assume 7.5 veh./1000 fta $20,000/lf (ADT) (detour length) 75th, 85th, 95th percentile as thresholds relative to typical bridge inventory (Example is based on the National Bridge Inventory) Road Tunnels Separated into primary direction and secondary direction—for each, if vehicles/lane > 2400, assume 40 vehicles/ 1000 ft. Otherwise assume 7.5 vehicles/1000 fta $100,000/lf User Input for criticality Transit/Rail Station 4 (maximum capacity of rail cars)b Below ground = critical User input if transfer station is critical Transit/Rail Bridge 2 (maximum capacity of rail cars)b $15,600/lf User input percentage of ridership that regularly use this transit/rail transportation asset Transit/Rail Tunnel 2 (maximum capacity of rail cars)b $40,000/lf User input percentage of ridership that regularly use this transit/rail transportation asset Administrative & Support Facilities 1 person/175 sq ftc $210/sq ft Never critical unless so designated by user Ferries Maximum capacity of ferry User input Never critical unless so designated by user Fleets Maximum occupancy of one fleet vehicle Average cost per vehicle maximum number of vehicles Never critical unless so designated by user a Derived from the Highway Capacity Manual. TRB, National Research Council, Washington, DC, 2000. b Derived from NFPA 130: Standard for Fixed Guideway Transit and Passenger Rail. National Fire Protection Association, Quincy, MA, 2007. cDerived from NFPA 101: Life Safety Code . National Fire Protection Association, Quincy, MA, 2006. Table 5. Criteria used to determine if assets exceed consequence thresholds.

• Transit/Rail Bridge • Transit/Rail Tunnel • Transit/Rail Station • Administrative and Support Facilities • Ferries • Fleets (Rail and Bus) The user initiates the consequence threshold screening for each transportation asset category. Instructions for Entering Assets/Asset Classes into CAPTA The specific data needed varies by the asset category. Figure 6 shows the data required for road bridges. CAPTool uses these entries to calculate the potential consequences of each asset or asset class. Specific data required for each asset or asset class within each asset category follow: • Road Bridges/Tunnels – Annual average daily traffic (AADT) – Length – Lanes – Detour – Type of construction material – A determination if a bridge is cable stay or suspension (requiring a unique input) • Transit/Rail Bridges/Tunnels – Maximum car occupancy – Type of construction material (steel vs. concrete) – Square footage • Transit/Rail Stations – Unique identification – Maximum occupancy – Above- or below-grade indicator – Transfer point indicator • Administration and Support Facilities – Square footage – Replacement cost – Maximum occupancy • Ferries – Maximum occupancy – Maximum number of vehicles loaded • Fleets – Maximum number of vehicles – Maximum occupancy of vehicles – Replacement cost of individual vehicles The inputs for road bridges/tunnels also contain a user input for cable stay and suspension bridges. These highly individual structures require specific replacement cost data. Figure 7 shows data required for administrative and support facilities. These data are used to determine if assets are likely to exceed nominal consequence threshold values in the event of the postulated hazards or threats. Note from Figure 7 that buildings are only critical if the user marks them as such in the last column. By reviewing Figure 7 and related output, transportation owners and operators can quickly determine which assets are most likely to be vulnerable to hazards and threats and, ultimately, where countermeasures are likely to be needed to mitigate risks. The Basic CAPTool Guide 85

86 CAPTool User G uide Figure 6. Sample asset inventory data entry template for road bridges. Asset ID Quantity ADT Length (ft) Lanes Detour (mi) Replacement Cost Per Asset(Optional) Potentially Exposed Population Property Loss Mission Importance Manual Override ROAD BRIDGES CRITICALITY Specified Thresholds Potentially Exposed Population Property Loss Mission Importance Manual Override On/Off Calculate Criticality Comments Hide/Unhide Describe Infrastructure Assets (Road bridges) Instructions: Enter all road bridge assets below, along with the necessary data. If you wish to manually mark certain assets as definitely critical, toggle the "Manual Override" button on, and indicate the assets you deem to be critical by toggling from "No" to "Yes" in the manual override column. To add comments, toggle the "Comments" button on, and insert any desired comments for each asset. To hide the comments column, toggle the "Comments" button off. Click "Calculate Criticality" to view a summary of criticality areas for your assets. When done, click "Next. Next Previous Basic CAPTool Expanded CAPTool 1 5432 6 1 55c5b4321a 65a

The Basic CAPTool G uide 87 Figure 7. Criticality assessment for administrative and support facilities. 101 $101,699,661 No Asset ID Quantity Sq. Footage Replacement Cost Per Asset (Optional) Occupancy (Optional) Potentially Exposed Population Property Loss Mission Importance Manual Override Northern Region TMC 1 4609 Eastern Region TMC 1 12074 Central Region TMC 1 14997 SW Region TMC 1 22000 Y NW Region TMC 1 23011 Y Central Office 1 206000 Y Maintenance Division 1 78000 Y Central Services 1 87000 Y Brighton Office - Materials 1 45000 Y Western District - Administration Building 1 36000 Y Eastern District - Administration Building 1 34000 Y South District - Administration Building 1 56000 Y North District - Administration Building 1 21000 Y ADMIN & SUPPORT FACILITIES CRITICALITY Specified Thresholds Potentially Exposed Population Property Loss Mission Importance Manual Override On/Off Calculate Criticality Comments Hide/Unhide Next Describe Infrastructure Assets (Admin & Support Facilities) Instructions Enter all building assets below, along with the necessary data. If you wish to manually mark certain assets as definitely critical, toggle the "Manual Override" button on, and indicate the assets you deem to be critical by toggling from "No" to "Yes" in the manual override column. To add comments, toggle the "Comments" button on, and insert any desired comments for each asset. To rehide the comments column, toggle the "Comments" button off. Click "Calculate Criticality" to view a summary of criticality areas for your assets. When done, click "Next." Previous Basic CAPTool Expanded CAPTool 1 5432 6 1 55c5b4321a 65a

Instruction for Calculating High Consequence (Criticality) Following entry of all assets/asset classes to be considered, CAPTool calculates which of the assets/asset classes exceed the thresholds chosen by the user and will continue forward for counter- measure assessment. On each transportation asset category entry form, the “Calculate Criticality” button is located to the upper right with the other choice boxes. This option evaluates each entered asset/asset class against the selected consequence thresholds. The assets/asset classes that exceed the threshold values will be designated in the far right columns with a “Y.” Figure 7 illustrates Step 3. Note that each of the assets identified in this figure may represent a class of assets with similar attributes. The “Y” in the “criticality” table on the right of each fig- ure indicates that the attributes of the asset (or asset class) are such that, if exposed to the previ- ously identified hazards and threats, the result could exceed one or more of the consequence thresholds (E=exposed population, P=property damage, M=mission, MO=manual override). The MO code can be entered by the user to ensure that a specific asset is included among those identified as of high consequence. Output Based on the inventory provided by the user, CAPTool identifies the assets/asset classes that exceed the consequence thresholds chosen in Step 2. Those that do not exceed thresholds are not carried forward in the process. The asset classification step will most likely have the following effects on the list of critical assets: • Vehicle assets are grouped in common classes and are not likely to meet criticality thresholds and therefore, in most cases, will be eliminated from further consideration unless the user chooses to include them using the manual override. Special purpose vehicles (e.g., law enforcement or those used to transport national leadership) will undoubtedly be subjected to much more thorough analysis than can be afforded in this process. • Facilities such as yards, terminals, and traffic management centers (TMC) differ in size and configuration. Recommended countermeasures will vary, with some exceptions, principally based on facility size. Their relative lack of personnel and ease of replacement indicate that they are not likely to meet criticality thresholds for either casualties or replacement cost. • Stations and terminals are divided into size classes based on potentially exposed population. Smaller stations are unlikely to meet criticality thresholds. • Assets that accommodate large populations, are high cost, and/or play major or critical trans- portation roles are most likely to fall above criticality thresholds. These assets (bridges, tun- nels, office buildings) require a second level of classification based on: – Data available in existing databases (e.g., the National Bridge Inventory) – General classifications based on high-level parameters (e.g., square feet of office space). ATA Example Figure 8 shows the data ATA entered into CAPTA on road bridges within their jurisdiction or influence. 88 CAPTool User Guide

The Basic CAPTool G uide 89 Figure 8. ATA example. 200 $101,699,661 Demand Percentile II Asset ID Quantity ADT Length (ft) Lanes Detour (mi) Replacement Cost Per Asset(Optional) Manually mark as critical? Potentially Exposed Population Property Loss Mission Importance Manual Override Fair St. Bridge 1 1469 2389 76 Yes Y ES Rhodes Bridge 1 9753 3409 54 No Peck Bridge 1 234000 1428 21 No Y Tucker Channel Bridge 1 4967 671 2 89 No Broad Bridge 1 56099 4530 43 No Y Shaw Bridge 4 45032 7927 78 No Y Y I-95 Bridge 2390 801 2 65 No High Bridge 1 1 89345 5609 92 No Y Y Little River Bridge 1 50345 10478 23 No Y Y McDonald Bridge 1 42000 12093 2 2 8 4 4 4 4 6 56 $50,000,000 No Y ROAD BRIDGES CRITICALITY Specified Thresholds Potentially Exposed Population Property Loss Mission Importance Manual Override On/Off Calculate Criticality Comments Hide/Unhide Describe Infrastructure Assets (Road bridges) Instructions: Enter all road bridge assets below, along with the necessary data. If you wish to manually mark certain assets as definitely critical, toggle the "Manual Override" button on, and indicate the assets you deem to be critical by toggling from "No" to "Yes" in the manual override column. To add comments, toggle the "Comments" button on, and insert any desired comments for each asset. To hide the comments column, toggle the "Comments" button off. Click "Calculate Criticality" to view a summary of criticality areas for your assets. When done, click "Next." Next Previous Basic CAPTool Expanded CAPTool 1 5432 6 1 55c5b4321a 65a

Step 4: Inventory of High-Consequence Assets/Asset Classes Introduction Step 4 combines results from Steps 2 and 3 to identify the assets and asset classes that exceed one or more consequence thresholds. This is the first opportunity the user has to view the assets deemed of high consequence. CAPTool arrays the assets (in columns) against the hazards and threats (in rows) to which they are vulnerable. Purpose The primary purpose of this step is to identify assets or asset classes that exceed consequence thresholds. A secondary purpose is to present the systemwide high-consequence assets arrayed against the hazards/threats to which they are vulnerable. Definitions Asset Classes—Those used in this step are a reduced set from Step 2, having been screened based on the postulated hazards and threats of concern. Proper Name Assets—Specific assets that have special characteristics and are not part of a larger asset class. These typically involve large and well-known bridges, buildings, and stations. Systemwide—The assets/asset classes collected from among the full range of those of concern to transportation agencies. Assumptions 1. The CAPTA methodology determines potential consequences as a function of asset charac- teristics regardless of the hazard or threat that leads to the losses. 2. Default values are based on the nature of the assets and their typical function as they relate to missions or functions, potential occupancy, physical characteristics, and public perception. 3. All default values are within a range consistent with the purposes of this process. 4. Consequences are event-neutral; that is, focus is on assets that could conceivably be at risk rather than the specific hazards and threats that put them at risk. 5. The user has the ability to select any named asset for further consideration. This selection may be based on attributes not considered in the CAPTA methodology. User Inputs No additional inputs are required from the user in this step. This step produces results based on default values unless the user overrides them. Output The result of this step is a list of assets with the potential for consequences that exceed the selected consequence threshold given the hazards and threats considered (Figure 9.) Using the assets and asset classes of concern, the user then proceeds to select measures to consider for mit- igating consequences. ATA Example In the ATA example in Figure 10, the road bridge, road tunnel, and some administrative and support assets are shown compared against the relevant hazards/threats to which they are exposed that result in consequences that exceed the thresholds set by the user. 90 CAPTool User Guide

The Basic CAPTool G uide 91 Figure 9. Assembly of high-consequence assets. Asset Type # of critical assets # of assets considered Road bridges 3 26 Road tunnels 3 11 Stations 13 13 Rail bridges 6 6 4Rail tunnels 4 Facilities 5 12 Ferry 0 2 Fleet 5 Other 0 8 0 YX Total 39 82 Road Bridges Road Tunnels Transit/Rail Station B l u e R i v e r B r i d g e S t a t e L i n e B r i d g e V e t e r a n ' s B r i d g e D o w n t o w n T u n n e l U p t o w n T u n n e l M e m o r i a l T u n n e l N o r t h S t a t i o n S o u t h S t a t i o n B a y S t a t i o n D o w n t o w n S t a t i o n M a r k e t S t a t i o n P a r k S t r e e t S t a t i o n G o v e r n m e n t C e n t e r Potentially Exposed Population Y Y Y Y Y Y Y Y Y Y Y Y Y Property Loss Y Y Y Y Y Y Mission Importance Manual Override Small Explosives X Large Explosives X Fire X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X HAZMAT C R I T I C A L I T Y R E L E V A N T T H R E A T S / H A Z A R D S Identify Critical Assets Across Modes Instructions The following is a list of all critical assets, their thresholds of interest, and their relevant threats or hazards. If you wish to modify the relevant risks for an asset, delete an "X" from any cell to remove that as a risk for the corresponding asset. Likewise, add an "X" to any field where you believe a threat/hazard is relevant to the asset. In particular, look closely at assets that have been manually marked critical (these cells are highlighted yellow), as you may wish to adjust the threats or hazards associated with these assets. When done, click "Next." Next Previous Return to Thresholds Sheet Basic CAPTool Expanded CAPTool 1 5432 6 1 55c5b4321a 65a

92 CAPTool User G uideAsset Type # of critical assets # of assets considered Road bridges 7 10 Road tunnels 4 7 Stations 0 Rail bridges 0 Rail tunnels 0 0 0 0 Facilities 10 13 Ferry 0 0 Fleet 0 0 Other 0 0 Total 21 30 Road Bridges Road Tunnels Admin & Support Facilities F a i r S t . B r i d g e P e c k B r i d g e B r o a d B r i d g e S h a w B r i d g e H i g h B r i d g e L i t t l e R i v e r B r i d g e M c D o n a l d B r i d g e W a l k e r T u n n e l D o w n t o w n P o s t R o a d B r i d g e T u n n e l W o o d b u r y B r i d g e T u n n e l S W R e g i o n T M C N W R e g i o n T M C C e n t r a l O f f i c e M a i n t e n a n c e D i v i s i o n Potentially Exposed Population Y Y Y Y Y Y Y Y Y Y Y Y Y Property Loss Y Y Y Y Y Mission Importance Manual Override Y Y Small Explosives Large Explosives X Chemical/Biological/Radiological X X X X X X X X X Criminal Acts X Fire X Struct. Failure X X X X X X X X X HAZMAT X Flood Earthquake X X X X X Extreme Weather X X Mud/Landslide X X X User entered threat/hazard 1 X X X X X User entered threat/hazard 2 X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X XXX X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X C R I T I C A L I T Y R E L E V A N T T H R E A T S / H A Z A R D S Identify Critical Assets Across Modes Instructions The following is a list of all critical assets, their thresholds of interest, and their relevant threats or hazards. If you wish to modify the relevant risks for an asset, delete an "X" from any cell to remove that as a risk for the corresponding asset. Likewise, add an "X" to any field where you believe a threat/hazard is relevant to the asset. In particular, look closely at assets that have been manually marked critical (these cells are highlighted yellow), as you may wish to adjust the threats or hazards associated with these assets. When done, click "Next." Next Previous Return to Thresholds Sheet Basic CAPTool Expanded CAPTool 1 5432 6 1 55c5b4321a 65a Figure 10. ATA example of critical assets arrayed against threshold-exceeding events.

Step 5: Countermeasure Opportunities Introduction In Step 5, CAPTA combines data from the countermeasures database with options of counter- measures. These countermeasures have been deemed appropriate and likely to assist in miti- gating the consequence to the specific asset or asset class. The displayed set of countermeasures is a subset of the entire countermeasures database, which contains a wide range of security, design, and operational countermeasures. Countermeasures only display for the combinations of asset–hazard/threat–consequence for which they are considered appropriate. Purpose The purpose of this step is to determine countermeasures capable of reducing risks as deter- mined by the assessment in Step 4. Definitions Potentially Effective Countermeasures—Measures determined to have potential for mitigating disruption or loss of life, property, or mission. Assumptions 1. CAPTool displays all countermeasures considered appropriate for the hazards and threats considered. 2. CAPTool uses a color code to indicate countermeasures considered to be highly or moder- ately effective: orange (seen in print as shaded gray) for high effectiveness, yellow (seen in print as shaded lighter gray) for medium effectiveness. 3. Countermeasures are identified without regard for costs. 4. CAPTA allows the user to select from a range of countermeasures and assign them to indi- vidual assets/asset classes. 5. Costs are displayed on an asset-by-asset basis, or in Step 6. User Inputs The user selects the quantity of each of the displayed countermeasures for any of the assets or asset classes for which it is shown as appropriate. CAPTool automatically displays the combina- tions of assets and countermeasures together. This display is illustrated in Figure 11. The user may choose the set of potential countermeasures based on the relevant hazards and threats and the owner’s assets of interest. Because many countermeasures are widely applicable across a range of asset categories, hazards, and threats, the user may wish to limit the number of countermeasures identified based on addi- tional criteria that reflect the user’s primary concerns, the availability of resources, preferences for certain countermeasure strategies, and other considerations. Furthermore, some countermeasures apply to multiple assets or asset classes and need not be selected for each asset or asset class. After the initial choice of countermeasures for the arrayed assets and asset classes, the user may select a specific asset and view the countermeasure choices for that asset as well as the cost of those measures. The user can access asset-specific data and countermeasure options by clicking the mouse on the specific asset listed across the top of the table and then clicking the “Analyze Asset” button at the top of the page. This enables the user to compare all of the countermeasure options and see their relative cost while assigning them to a particular asset. The Basic CAPTool Guide 93

94 CAPTool User G uide Color Key Road Bridges Road Tunnels Transit/Rail Station B l u e R i v e r B r i d g e S t a t e L i n e B r i d g e V e t e r a n ' s B r i d g e D o w n t o w n T u n n e l U p t o w n T u n n e l M e m o r i a l T u n n e l N o r t h S t a t i o n S o u t h S t a t i o n B a y S t a t i o n D o w n t o w n S t a t i o n M a r k e t S t a t i o n P a r k S t r e e t S t a t i o n G o v e r n m e n t C e n t e r S t a t e S t r e e t C o l l e g e S t a t i o n S u b u r b a n S t a t i o n A i r p o r t S t a t i o n A l l o t h e r a b o v e g r o u n d A l l o t h e r b e l o w g r o u n d Quantity of Named Asset 1 1 1 2 4 1 1 1 1 1 1 1 1 3 20 13 Lighting Barriers & Berms Fences CCTV Intrusion Detection Devices Physical Inspection of asset ID Cards Biometrics Background Checks Metal Detectors Restricted Parking Random Inspections Visible Badges Limited Access Points Visitor Control & Escort Locks Explosive Detection Establish Clear Zones Visible Signs Seismic Retrofitting Fire Detection & Supression Encasement, Wrapping, Jacketing Patrols WX/Seismic Information Intelligence Networking HAZMAT Mitigation Security Awareness Training Emergency Response Training Emergency Evacuation Planning Planned Redundancy (e.g., detours) Public Information and Dissemination High Effectiveness Medium Effectiveness A s s e t D e s i g n / E n g r O p e r a t i o n a l C o u n t e r m e a s u r e s A c c e s s C o n t r o l C o u n t e r m e a s u r e s P h y s i c a l S e c u r i t y C o u n t e r m e a s u r e s Select Candidate Countermeasures Instructions The following is a list of countermeasure opportunities for each critical asset -- yellow indicates medium effectiveness and orange indicates high effectiveness. To analyze an asset more closely, click on the name of the asset in row 15, and then click "Analyze Asset." A new sheet will pop up that details the effectivness of the countermeasure against every relevant threat and hazard. The sheet will also tell you how many units of countermeasure you have selected so far for the asset, and the estimated cost. To add units of countermeasure, enter the desired number of units into any cell. Alternatively, the "Analyze Asset" sheet also has a field for adding units of countermeasure. When you are satisfied with your CM allocation, click "Continue." Next Analyze Asset FilterCountermeasures Clear All Countermeasure Quantities Basic CAPTool Expanded CAPTool 1 5432 6 1 55c5b4321a 65a Figure 11. Countermeasure selection.

Output The product of this step is a list of potential countermeasures for each asset class or proper name asset. The countermeasure opportunities are drawn from the countermeasures database described in Part I based on their effectiveness in mitigating risks associated with the asset class, threat or hazard, and consequence area. This set of countermeasures represents the range of pos- sible countermeasures that should be considered when making capital budgeting decisions. Countermeasures with orange (shaded darker gray in the printed guide) cells are judged most effective against one or more of the hazards or threats associated with the asset or asset class; countermeasures with yellow (shaded lighter gray in the printed guide) cells are judged at least moderately effective in mitigating one or more of the identified hazards or threats associated with the corresponding asset or asset class. ATA Example The ATA example is shown in Figure 12. The example screen is limited to road bridges and road tunnels to ease presentation. This example focuses the countermeasure selection on the haz- ards and threats deemed most appropriate for the road bridge and road tunnel assets. Fire was chosen in an earlier step as a likely hazard, and fire protection and suppression are prominently chosen countermeasures. The user has also chosen to fund more inspections of bridges and tun- nels and to install lighting. The inspections and lighting add to both security and safety of the bridges and tunnels, while the fire protection system enhances response capabilities. The Basic CAPTool Guide 95

96 CAPTool User Guide Color Key Road Bridges Road Tunnels Fa ir St . B rid ge Pe ck B rid ge B ro ad B rid ge Sh aw B rid ge H ig h Br id ge Li ttl e Ri ve r B rid ge M cD on al d Br id ge W al ke r Tu nn el D ow nt ow n Po st R oa d Br id ge T un ne l W oo db ur y Br id ge T un ne l Quantity of Named Asset 1 1 1 4 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 Lighting 2 2 22 2 2 22 2 2 2 2 2 Barriers & Berms Fences CCTV Intrusion Detection Devices Physical Inspection of asset ID Cards Biometrics Background Checks Metal Detectors Restricted Parking Random Inspections Visible Badges Limited Access Points Visitor Control & Escort Locks Explosive Detection Establish Clear Zones Visible Signs Seismic Retrofitting Fire Detection & Supression Encasement, Wrapping, Jacketing Patrols WX/Seismic Information Intelligence Networking HAZMAT Mitigation Security Awareness Training Emergency Response Training Emergency Evacuation Planning Planned Redundancy (e.g., detours) Public Information and Dissemination High Effectiveness Medium Effectiveness A ss et D es ig n/ E n gr O pe ra tio na l Co un te rm ea su re s A cc es s Co nt ro l Co un te rm ea su re s Ph ys ic al S ec ur ity Co un te rm ea su re s Select Candidate Countermeasures Instructions The following is a list of countermeasure opportunities for each critical asset -- yellow indicates medium effectiveness and orange indicates high effectiveness. To analyze an asset more closely, click on the name of the asset in row 15, and then click "Analyze Asset." A new sheet will pop up that details the effectivness of the countermeasure against every relevant threat and hazard. The sheet will also tell you how many units of countermeasure you have selected so far for the asset, and the estimated cost. To add units of countermeasure, enter the desired number of units into any cell. Alternatively, the "Analyze Asset" sheet also has a field for adding units of countermeasure. When you are satisfied with your CM allocation, click "Continue." Next Analyze Asset FilterCountermeasures Clear All Countermeasure Quantities Basic CAPTool Expanded CAPTool 1 5432 6 1 55c5b4321a 65a Figure 12. ATA countermeasure selection example.

Step 6: Results Summary Introduction In Step 6, CAPTool provides the user with a one-page summary of results based upon all inputs and the CAPTool default values. The summary is provided by asset category with optional spreadsheets available for individual assets. Purpose The purpose of this step is to provide the decision maker with a concise summary of consequence- based results and countermeasure combinations across multiple modes of transport. Definitions Results Summary—A one-page report exhibiting the results of the CAPTA process and the com- bination of countermeasures chosen by the user to lessen the consequence to assets under the agency’s jurisdiction or influence. The results summary step does not require additional data but provides an opportunity for the user to cycle back through the process after observing the result based on the selected threshold values and countermeasure configuration. Assumptions All assumptions made and calculations performed throughout the CAPTA process are reflected in the results summary. User Inputs and Actions No user input is required in this step. Based upon the results shown in the summary, the user has the option to return to the beginning and • Repeat the process using different threshold values; or • Use the Enhanced CAPTool, which allows the user to enter cost and other data and set coun- termeasure filters to limit the countermeasures considered. ATA Example The ATA example is displayed in Figures 13 and 14. The figures show a range of countermea- sures applied against a range of assets. Focusing on the first asset column in Figure 13, road bridges, and moving downward, all the relevant data about this asset class appear: the conse- quence choices, the countermeasures chosen, and the costs associated with these choices. The countermeasure choices for road bridges were modest and focused on lighting, inspections, and fire protection and suppression. The Basic CAPTool Guide 97

98 CAPTool User G uide Figure 13. Tabular results of ATA example results summary. Report Date and Time: 8/19/2008 21:00 Small Explosives X X Large Explosives X X X X Chemical/Biological/Radiological X X X X Criminal Acts X X X X Fire X X X X Struct. Failure X X X HAZMAT X X X X Flood X X X X Earthquake X X X X Extreme Weather X X X X Mud/Landslide X X User entered threat/hazard 1 X X X X User entered threat/hazard 2 X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X Persons Persons Persons Persons Persons Persons Persons Persons -- 200 101 100 200 200 101 305 50 -- Damage Damage Below Ground Stations Critical? Damage Damage Damage Damage Damage -- $101,699,661 $101,699,661 Yes $100,004,750 $100,004,750 $101,699,661 $101,699,661 $100,004,750 -- ADT * Detour Length Road tunnels critical? Transfer Stations Critical? % of ridership that causes mission criticality % of ridership that causes mission Facilities critical? Ferries critical? Fleets critical? -- Demand Percentile II No Yes 20 20 No No No -- # of Unique Countermeasures 3 3 0 Total # of Countermeasures 68 16 0 Physical Security Countermeasures (x1000) $610.2 $90.4 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 Access Control Countermeasures (x1000) $210.0 $120.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 Asset Design/Engr Countermeasures (x1000) $3,219.9 $1,840.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 Operational Countermeasures (x1000) $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 Other Countermeasures (x1000) $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 Total Countermeasure Expenditures (x1000) $4,040.1 $2,050.4 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 Physical Security Countermeasures $700,600 Access Control Countermeasures $330,000 Design/Engr Countermeasures $5,059,912 Operational Countermeasures $0 Other Countermeasures $0 Overall Total $6,090,501 R e l e v a n t R i s k s Potentially Exposed Population Property Loss T o t a l s # of Unique Critical Assets Mission Importance T h r e s h o l d s E x p e n d i t u r e s C o u n t s 7 00 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0104 Road Bridges Transit/Rail Stations Transit/Rail Bridges Admin & Support Facilities Other Save Time-Stamped Copy to Default Folder Ferries Fleets Summary Report Click Heading for Detailed Expenditure Report Return to Beginning Road Tunnels Transit/Rail Tunnels Edit Countermeasure Selection Save Results Only Basic CAPTool Expanded CAPTool 1 5432 6 1 55c5b4321a 65a

The Basic CAPTool Guide 99 Figure 14. Pie charts of ATA example results summary. Expenditures by Asset Class 66% 34% 0% Road Bridges Road Tunnels Transit/Rail Station Transit/Rail Bridges Transit/Rail Tunnels Admin & Support Facilities Ferry Fleet Other Expenditures by CM Type 12% 5% 83% 0% 0% Physical Security Countermeasures Access Control Countermeasures Design/Engr Countermeasures Operational Countermeasures Other Countermeasures

100 The Enhanced CAPTool provides the user with the opportunity to examine and change sev- eral factors that are set at default values in Basic CAPTool. These factors are largely concerned with adjusting the CAPTool default values to reflect characteristics associated with assets being analyzed and countermeasures considered. The Enhanced CAPTool functionality also provides the opportunity for the user to alter cost estimates of countermeasures to reflect local conditions. The user can provide the costs and other factors, which will then be applied by CAPTool to the assets and consequence threshold chosen by the user. The enhanced version steps include • Access to the threat and hazard vulnerability table, • Access to countermeasure costs, • The ability to select additional countermeasures, • The ability to select countermeasure filters, and • Access to the countermeasure dictionary. Step 1a: Threat/Hazard Vulnerability Table Introduction In the Enhanced CAPTool, the threat/hazard vulnerability table, Step 1a, comes immedi- ately after Step 1. This spreadsheet will allow the user to adjust the hazard/threat to asset com- binations. The Basic CAPTool uses default assumptions to match hazards and threats to the asset classes. In this enhanced feature, the user may enter the screen and change any of the assumptions. Purpose Access to the threat/hazard screen allows the user to customize CAPTool to reflect the user’s perceptions of hazards and threats that could result in loss of assets. This process allows the intro- duction of local knowledge and unusual conditions. Assumptions The user prefers to adjust the threat/hazard vulnerability table to reflect hazard or threat con- ditions within the jurisdiction or area of concern. The Enhanced CAPTool Guide

The Enhanced CAPTool Guide 101 User Inputs The user manually selects a threat/hazard–asset combination by inserting an “X” into a vacant cell, or deleting a hazard or threat by removing the “X” from a filled cell (Figure 15). The user may also choose to mark the “Manual Override” cell to include an asset into a consequence threshold automatically. Note that only cells associated with the asset categories and hazards and threats selected in Step 1 will display in this step. Output The user has identified specific combinations of assets and hazards/threats for assets of interest. Potentially Exposed Population Property Loss Mission Importance Manual Override Potentially Exposed Population Property Loss Mission Importance Manual Override Potentially Exposed Population Property Loss Mission Importance Manual Override Small Explosives X Large Explosives X Fire X X X X X HAZMAT X X X X X X X X X X X X X X X X X X X X X X X X X X X X X Road Bridges Transit/Rail StationRoad Tunnels Verify High Consequence Threats and Hazards Instructions For each asset class, indicate which threats or hazards could cause unacceptable consequences for exposed population, property damage, or loss of mission capabilities by placing an "X" in the appropriate square. Additionally, if you plan to manually mark certain assets as critical (manual override), indicate the threats or hazards of concern in the event of a manual override. "Restore Defaults" gives default values for exposure, property, and mission, but leaves all fields blank for manual override. When done, click "Next". Restore Defaults Next Previous Expanded CAPTool1 55c5b4321a 65a Figure 15. Enhanced CAPTool hazard/threat–asset entry.

102 CAPTool User Guide Step 5a: Countermeasure Costs Introduction The Basic CAPTool uses logical cost assumptions based upon information from the RS Means cost estimating manual, practitioner advice, and the experience of the research team. In this enhanced feature, the user may enter the screen and change any of the assumptions con- cerning costs. Purpose This step allows the user to apply local cost information. Local cost information provides more accurate cost estimates in the reports summary. Assumptions The user desired to apply local cost figures using the Enhanced CAPTool. User Inputs The user manually enters cost data for selected countermeasures (Figure 16). Output The user has access to more accurate costs for countermeasures to be considered.

ESTIMATED PER- UNIT COST (x1000) Comments Unit of measure 1 Lighting $11.30 one per 100 feet of road or perimeter. Assumes nearby power connection, no demolition or excavating. 1 12 Barriers & Berms $3.30 10 jersey barriers and two end planters to cover 100 feet of space 3 Fences $21.00 12 foot height security fence, in concrete with 4 gates (6 feet high, 3 feet wide). Infrared detection system. Power install, relay to central monitor. Excludes central monitoring station operation. 100 linear feet 4 CCTV $17.50 4 remote PTZ cameras, one control panel 1 5 Intrusion Detection Devices $0.90 1 burglar alarm with remote signal installed 1 6 Physical Inspection of asset $30.00 1 full time equivalent (FTE) contract employee dedicated to this task 1 FTE employee per year 7 ID Cards $10.00 6 zone system with database, installed 6 zones 8 Biometrics $50.00 6 facial and fingerprint scanners, database, installed 6 zones 9 Background Checks $57.00 1 full time equivalent (FTE) contract employee dedicated to this task 1 FTE contract employee per year 10 Metal Detectors $138.00 6 portals, 4 handhelds, installed. Assumes no demolition and nearby power source 11 Restricted Parking $18.45 1 full time equivalent (FTE) contract employee dedicated to this task 1 FTE contract employee per year 12 Random Inspections $30.00 1 full time equivalent (FTE) contract employee dedicated to this task 1 FTE contract employee per year 13 Visible Badges $30.00 1 full time equivalent (FTE) contract employee dedicated to this task 1 FTE contract employee per year 14 Limited Access Points $30.00 1 full time equivalent (FTE) contract employee dedicated to this task 1 FTE contract employee per year 15 Visitor Control & Escort $30.00 1 full time equivalent (FTE) contract employee dedicated to this task 1 FTE contract employee per year 16 Locks $1.20 1 cipher lockset, installed. Assumes no demolition or heavy construction Each 17 Explosive Detection $257.00 2 portals, 2 handhelds, with power 2+2 18 Establish Clear Zones $0.10 100 sq yards. Assumes no demolition 100-SY 19 Visible Signs $0.09 1 aluminum sign 18 inches high, with base Each 20 Seismic Retrofitting $10,000.00 Estimates must be changed to reflect local variation Per application 21 Fire Detection & Supression $459.99 Class III standpipe system with Type 2 water supply to 10,000 sf building. System includes minimum 20 pull stations with master box, annunciator, and central station relay. Assumes minimal demolition. 22 Encasement, Wrapping, Jacketing $0.60 Estimates must be changed to reflect local variation 100-SF 23 Patrols $30.00 1 full time equivalent (FTE) contract employee dedicated to this task 1 FTE contract employee per year 24 WX/Seismic Information $100.00 1 full time equivalent (FTE) contract employee dedicated to this task 1 FTE contract employee per year 25 Intelligence Networking $100.00 1 full time equivalent (FTE) contract employee dedicated to this task 1 FTE contract employee per year 26 HAZMAT Mitigation $1,329.60 Assumes complete start up of hazmat remediation program providing 24 hour coverage. Mechanized crew of 8 persons. Excludes material dumping costs 1 crew 27 Security Awareness Training $100.00 Contracted 1 program 28 Emergency Response Training $100.00 Contracted 1 program 29 Emergency Evacuation Planning $100.00 Designed program for structures and stations 1 program 30 Planned Redundancy (e.g., detours) $220.00 Pre-staged and marked detours. Deploys one FT traffic engineer, 1 PT carpenter, 1 PT operating engineer, $9,000 fixed cost - $211,000 per year 31 Public Information and Dissemination $150.00 1 PIO, 1 web technician. 2FT employee per year Physical Security Countermeasures Access Control Countermeasures Asset Design/Engineering Operational Countermeasures Reset Next Review Countermeasure Unit Costs Instructions If you wish to modify any of the per-unit countermeasure costs, please do so below by entering the new value into the appropriate field. When finished modifying, or if the defaults are acceptable, click "Continue." "Reset" restores the defaults. Previous Expanded CAPTool1 55c5b4321a 65a Figure 16. Countermeasure cost entry.

Step 5b: Selection of Additional Countermeasures Introduction The Basic CAPTool uses logical assumptions concerning the array of countermeasures con- tained within CAPTA. The selected countermeasures have been chosen because of both their applicability to the hazards and threats examined and their applicability to transportation assets. In the Enhanced CAPTool, users can add countermeasures that are not in the CAPTool counter- measures database. Purpose This process allows the introduction of additional countermeasures. Assumptions The user desires to consider additional countermeasures in the CAPTA process that are not already contained within the CAPTool countermeasures database. User Inputs The user enters the additional countermeasures to be included in the Enhanced CAPTool, as shown in Figure 17. The user also enters all of the characteristics of the additional countermeasures. Output The user will have now entered all countermeasures they desired to have incorporated into the CAPTool. 104 CAPTool User Guide

The Enhanced CAPTool G uide 105 OFF OFF OFF OFF OFF OFF OFF OFF OFF OFF Other 1 Other 2 Other 3 Other 4 Other 5 Other 6 Other 7 Other 8 Other 9 Other 10 PREDICT DETER DETECT INTERDICT RESPONSE PREP. DESIGN/ENGINEERING Investment $ (x1000) $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 Area-Wide Asset Specific Temporary/Redeployable Multipurpose Potential Basic Enhanced Threat Responsive Small Explosives M Large Explosives M Chemical/Biological/Radiological M Criminal Acts M Lighting M Struct. Failure M HAZMAT M Flood M Earthquake M Extreme Weather M Mud/Landslide M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M F u n c t i o n s C o s t I m p l e m e n t a t i o n P a c k a g e R o a d B r i d g e s Next PreviousClear Entries on SheetIdentify and Describe Additional Countermeasures Instructions If you wish to add additional countermeasures, select "ON" to turn on each CM column. Then, rename the countermeasure as desired. To indicate functionality, implementation, and package, place an "X" in the appropriate fields if the CM possesses the attribute. Additionally, enter an estimated cost in the appropriate field. Then, for each CM, use the drop-down list to rank the effectiveness of the CM against each threat/hazard and asset class -- L,M, or H. "Reset" will turn off all additional CMs and reset the associated information. When done, click "Continue". Expanded CAPTool1 55c5b4321a 65a Figure 17. Additional countermeasure entry.

Step 5c: Countermeasure Filter Selection Introduction Step 5c allows the user to apply countermeasure filters. The Basic CAPTool displays all coun- termeasures applicable to threat/hazard–asset combinations. In the Enhanced CAPTool, the user may screen the countermeasures so that only those that meet the filtering criteria are displayed. Purpose This enhanced step allows the user to filter countermeasures contained in the CAPTool counter- measures database. Definitions Countermeasure Filters—Applied criteria designed to screen measures to achieve a minimum standard of effectiveness. Countermeasure Criteria: • Function—Possessing attributes to predict, deter, detect, or interdict a disruption; boost response preparedness; or be installed as part of design/engineering. • Implementation—Area(s) specific or asset specific, temporary/redeployable, multipurpose. • Package—Belonging to basic, advanced, and/or threat-responsive assemblies of measures. • Cost—A maximum unit cost per single application. Assumptions The user chooses to screen the display of CAPTool countermeasures. User Inputs The user will manually enter cost data to the desired countermeasure as in Figure 18. Output The user will have now entered all countermeasure filters they desire to have incorporated into the CAPTool. 106 CAPTool User Guide

The Enhanced CAPTool G uide 107 Road Bridges Road Tunnels Transit/RailStation Transit/Rail Bridges Transit/Rail Tunnels Admin & Support Facilities Ferry Fleet Other Is prediction a desirable countermeasure function? Y Y Is deterrence a desirable countermeasure function? Y Y Is detection a desirable countermeasure function? Y Y Is interdiction a desirable countermeasure function? Y Y Is response preparedness a desirable countermeasure function? Y Y Are countermeasures related to design/engineering desirable? Y Y Do you wish to consider only area-wide countermeasures, only asset-specific countermeasures, or both? Both Both Both Both Both Both Both Both Both Do you wish to consider temp/redeployable countermeasures? Y Y Are you willing to consider CMs that are NOT multipurpose? Y Y Do you wish to consider only basic countermeasures, only enhanced countermeasures, or both? Both Both Both Both Both Both Both Both Both Do you wish to consider threat responsive countermeasures? (Answer "N" if only want permanent countermeasures.) Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y C o s t What is the maximum per unit countermeasure cost you are willing to pay? $999,999.0 $999,999.0 $999,999.0 $999,999.0 $999,999.0 $999,999.0 $999,999.0 $999,999.0 $999,999.0 F u n c t i o n s I m p l e m e n t a t i o n P a c k a g e Set Countermeasure Filters based on User Preference Instructions In order to better identify useful countermeasures for critical assets, answer the filtering questions below. When done, click "Continue." "Reset" restores the defaults. Reset to Most Inclusive Filters NextPrevious Expanded CAPTool1 55c5b4321a 65a PREDICT DETER DETECT INTERDICT RESPONSE PREP. DESIGN/ENGINEERING Area -Wide and Asset- Specific Temporary/Redeployable Multipurpose Potential Basic and Enhanced Threat Responsive Max Unit Cost (x1000) Figure 18. Countermeasure filter entry.

Properly used, CAPTool allows users to compare multiple modes of transportation assets on a common basis. CAPTool identifies assets and asset classes that are of highest consequence and thus most important to the functionality of the transportation mission. CAPTool provides an effective means to analyze assets in an objective, transparent manner. CAPTool results depend upon the quality of the information and judgments used in applying it. Missing or unsubstantiated data concerning asset characteristics—such as length, cost, and usage—skew results inappropriately. Inconsistent input data also cause assets to be identified as more or less consequential than they should be. Efforts should be made to ensure consistent inputs to the CAPTool. CAPTool is designed to be iterative. Users can apply different consequence thresholds to assets and consider various countermeasures. CAPTool is more effective when the user alters thresh- olds and reviews results of these scenarios. This iterative process allows the user to determine the assets of highest consequence for further evaluation. CAPTool makes the iterative process easy by supplying informative summary reports that allow a decision maker to choose between dif- ferent threshold settings and countermeasure selections. CAPTool provides a summary report designed for submission and presentation to decision makers. The summary report, displayed at the end of CAPTool, provides the thresholds chosen, results, and allocation of resources by mode. Various iterations of consequence threshold and countermeasures can be chosen and summarized, such that a range of alternatives can be dis- played. This iterative approach allows the decision maker to make the best decision. The Basic CAPTool is designed to suit the needs of a majority of transportation officials. The embedded equations and data are drawn from practical experience, and engineering judgments. Costs are based on national averages. The CAPTool recognizes that transportation agencies have access to data and resources to identify costs applicable to the area and assets of interest. The Enhanced CAPTool allows the user to alter costs and to apply countermeasure screening judgments. Used properly, the CAPTool provides decision support to the difficult task of resource allo- cation across multiple modes. CAPTA combines a transparent means to capture management judgments on consequence thresholds with the objective characteristics of the assets analyzed to produce a list of high-consequence assets that merit further examination. CAPTool identifies high-consequence assets and links them to objective data and user choices. 108 Conclusion

109 A P P E N D I X A Countermeasure Unit Costs and Descriptions

110 CAPTool User Guide Measure Estimated Per-Unit Cost (x1000) Description Unit of Measure Lightinga $11.30 One per 100 ft of road or perimeter. Assumes nearby power connection, no demolition or excavating. One installation Barriers and Bermsa,b $3.30 10 jersey barriers and two end planters to cover 100 ft of space. One installation Fencesa,b $21.00 12 ft high security fence, in concrete with four gates (6 ft high, 3 ft wide). Infrared detection system. Power install, relay to central monitor. Excludes central monitoring station operation. 100 linear feet (lf) CCTVa $17.50 Four remote PTZ cameras, one control panel. One Intrusion Detection Devicesa $0.90 One burglar alarm with remote signal installed. One Physical Inspection of Assetsf $30.00 One contracted full-time equivalent (FTE) dedicated to this task. One full-time employee per annum (p.a.) ID cardsa,b $10.00 Six-zone system with database, installed. Six zones Biometricsa,b,c $50.00 Six facial and fingerprint scanners, database, installed. Six zones Background Checksf $57.00 One contracted FTE dedicated to this task. One full-time employee p.a. Metal Detectorsa,b $138.00 Six portals, four handhelds, installed. Assumes no demolition and nearby power source. One system Restricted Parkingf $18.45 One contracted FTE dedicated to this task. One full-time employee p.a. Random Inspectionsf $30.00 One contracted FTE dedicated to this task. One full-time employee p.a. Visible Badgesf $30.00 One contracted FTE dedicated to this task. One full-time employee p.a. Limited Access Pointsf $30.00 One contracted FTE dedicated to this task. One full-time employee p.a. Visitor Control and Escortf $30.00 One contracted FTE dedicated to this task. One full-time employee p.a. Locksa,b $1.20 One cipher lockset, installed. Assumes no demolition or heavy construction. One lock Explosive Detectionb $257.00 Two portals, two handhelds, with power. One entry Establish Clear Zonesa $0.10 100 sq yd. Assumes no demolition. One application Visible Signsa,b $0.09 One aluminum sign 18 in. high, with base. One placement

Countermeasure Unit Costs and Descriptions 111 Measure Estimated Per-Unit Cost (x1000) Description Unit of Measure Seismic Retrofittinge $10,000.00 Estimates must be changed to reflect local variation. One application Fire Detection & Suppressiona $460.00 Class III standpipe system with Type 2 water supply to 10,000 sq ft building. System includes minimum 20 pull stations with master box, annunciator, and central station relay. Assumes minimal demolition. One system Encasement, Wrapping, Jacketingd $0.60 Estimates must be changed to reflect local variation. 100 sq ft Patrolsf $30.00 One contracted FTE dedicated to this task. One full-time employee p.a. Weather/Seismic Informationa $100.00 Contracted to a service provider. One system Intelligence Networking $208.00 One full-time in-house person with all benefits. One full-time employee HAZMAT Mitigationa $1329.60 Assumes complete startup of HAZMAT remediation program providing 24-hour coverage. Mechanized crew of eight persons. Excludes material dumping costs. One crew Security Awareness Training $100.00 Contracted to a service provider. One program for 1 year Emergency Response Training $100.00 Contracted to a service provider. One program with trainer Emergency Evacuation Planning $100.00 Designed program for structures and stations. One program with trainer. Planned Redundancya $220.00 Pre-staged and marked detours. Deploys one full- time traffic engineer, 1 part-time carpenter, 1 part-time operating engineer. One application Public Information and Disseminationf $150.00 One PIO, one web technician. One program for 1 year a Estimated cost from 2008 RS Means. b Estimated cost based on 2008 escalated construction cost from PB’s Database based on previous information and projects. c Estimated cost based on 2008 Manufacturer’s baseline quote. d Estimated cost based on 2008 Manufacturer’s website. e Estimated cost based on professional engineering judgment. Costs associated with seismic retrofitting are typically expensive, and very specific to the asset being treated. f Estimated income based on 2008 cost from web searches/the US Bureau of Labor Statistics.

112 A P P E N D I X B Threshold Equations Asset PEP Equation Property Equation Mission Equation Road Bridges Separated into primary direction and secondary direction— for each, if vehicles/lane > 2400, assume 40 vehicles/ 1000 ft. Otherwise assume 7.5 vehicles/ 1000 fta $20,000/linear foot (lf) (ADT) (detour length) 75th, 85th, 95th percentile as thresholds relative to typical bridge inventory (Example is based on the National Bridge Inventory) Road Tunnels Separated into primary direction and secondary direction— for each, if vehicles/lane > 2400, assume 40 vehicles/ 1000 ft. Otherwise assume 7.5 vehicles/ 1000 fta $100,000/lf User input for criticality Transit/Rail Station 4 (maximum capacity of rail cars)b Below ground are property critical User input if transfer station are critical Transit/Rail Bridge 2 (maximum capacity of rail cars)b $15,600/lf User input percentage of ridership that regularly use this transit/rail transportation asset Transit/Rail Tunnel 2 (maximum capacity of rail cars)b $40,000/lf User input percentage of ridership that regularly use this transit/rail transportation asset Administrative & Support Facilities 1 person/175 sq ftc $210/sq ft Never critical unless so designated by user Ferries Maximum capacity of ferry User input of cost Never critical unless so designated by user Fleets Maximum occupancy of one fleet vehicle (Average cost per vehicle) (maximum number of vehicles) Input by user Never critical unless so designated by user aDerived from the Highway Capacity Manual. TRB, National Research Council, Washington, DC, 2000. bDerived from NFPA 130: Standard for Fixed Guideway Transit and Passenger Rail. National Fire Protection Association, Quincy, MA, 2007. cDerived from NFPA 101: Life Safety Code . National Fire Protection Association, Quincy, MA, 2006.

This tool provides for a consequence-based assessment across multiple modes of transporta- tion assets. It is an initial tool for high-level budgeting decisions, providing a platform where all modes are compared on equal footing. This tool allows for an iterative process where the user can return to the beginning of the model and plot different threshold variables. Opportunities are available at Step 1 and Step 6 in the tool to save your work to your hard drive. Getting Started with the Tool STEP 1: Save the Microsoft® Excel file named “Costing Asset Protection Tool.xls” to your computer. STEP 2: Open the file. STEP 3: Enable macros in the file. The tool requires that you enable the use of macros in this spreadsheet. When you open the file, if a dialogue box opens up regarding enabling macros, click “Enable Macros.” You are now ready to start using CAPTool. If you do not see a dialogue box when you open the file, you will need to make sure that your macro security level is set to Medium. To do this, follow these steps: a. Select the Tools dropdown menu and then select “Macro,” then “Security.” b. A security dialogue box will appear. Make sure you are looking at the “Security Level” tab inside the dialogue box. c. Set the security level to Medium by clicking the radio button. Medium security allows you to choose whether you use macros in this tool. d. Close the file and any other instances of the application currently running on the computer. e. Open the file again and click “Enable Macros” when prompted to allow the macro to run. You are now ready to use CAPTool. If you have further questions, please consult the CAPTool User Guide. 113 A P P E N D I X C CAPTool Initial Startup Instructions

Overview The countermeasures dictionary contains the default list of countermeasures and their attri- butes from which users may select to mitigate the consequences of the hazards and threats that are relevant for the assets they own or operate. Countermeasures are classified by type, and attri- butes are provided for countermeasures within each type. These attributes are used in the coun- termeasure-filtering step available in the Enhanced CAPTool. The countermeasures dictionary also includes a baseline assessment of the relative appropriateness or effectiveness of each of the countermeasures for each asset category and threat or hazard. Countermeasures are given a relative assessment of “L” for low, “M” for medium, and “H” for high. Users may change the values of attributes or the baseline assessments based on additional information or experience with the countermeasures in the applications of interest. Countermeasures Attributes Tables D-1 through D-3 show the attributes of countermeasures in the countermeasures dic- tionary, organized into countermeasure categories. Baseline Assessment of Relative Value Tables D-4 through D-12 show the baseline assessment of the relative value of each of the countermeasures included in the countermeasures dictionary. Note that these judgments do not quantify effectiveness in terms of risk reduction but are intended to give users some sense of which countermeasures are most likely to reduce consequences associated with specific hazards and threats. 114 A P P E N D I X D Countermeasures Dictionary

Countermeasures Dictionary 115 Physical Security Countermeasures 1 2 3 4 5 6 Countermeasure Li gh tin g Ba rri er s & Be rm s Fe nc es CC TV In tru sio n D et ec tio n D ev ic es Ph ys ic a l In sp ec tio n of a ss e t PREDICT X DETER X X X X X DETECT X X X X X INTERDICT RESPONSE PREP. F un ct io ns DESIGN/ENGINEERING Co st Investment $ (x1000) $11.3 $3.3 $21 $17.5 $0.9 $30 Area-Wide Asset Specific X X X X X X Temporary/Redeployable X Im pl em en ta tio n Multipurpose Potential X X X X X X Basic X X X X X X Enhanced Pa ck ag e Threat Responsive X Table D-1. Attributes of physical security countermeasures.

116 CAPTool User Guide Access Control Countermeasures 7 8 9 10 11 12 13 14 15 16 17 18 19 Countermeasure ID C ar ds Bi om et ric s Ba ck gr ou nd Ch ec ks M et al D et ec to rs R es tri ct ed Pa rk in g R an do m In sp ec tio ns Vi sib le B ad ge s Li m ite d Ac ce ss Po in ts Vi si to r C on tro l & Es co rt Lo ck s Ex pl os ive D et ec tio n Es ta bl ish C le ar Zo ne s Vi si bl e Si gn s PREDICT DETER X X X X X X DETECT X X X X X X INTERDICT X RESPONSE PREP. Fu nc tio ns DESIGN/ENGINEERING Co st Investment $ (x1000) $10 $50 $57 $138 $18.5 $30 $30 $30 $30 $1.2 $257 $0.1 $0.1 Area-Wide X X X X X Asset Specific X X X X X X X X Temporary/Redeployable X X X X Im pl em en ta tio n Multipurpose Potential Basic X X X X X X X X Enhanced X X X Pa ck ag e Threat Responsive X X Table D-2. Attributes of access control countermeasures.

Asset Design/Engineering Operational Countermeasures 20 21 22 23 24 25 26 27 28 29 30 31 Countermeasure Se ism ic Re tro fit tin g Fi re D et ec tio n & Su pr es sio n En ca se m en t, W ra pp in g, J ac ke tin g Pa tro ls W X/ Se ism ic In fo rm at io n In te llig en ce N et w or ki ng H AZ M AT M iti ga tio n Se cu rit y Aw ar en es s Tr ai ni ng Em er ge nc y R es po ns e Tr ai ni ng Em er ge nc y Ev ac ua tio n Pl an ni ng Pl an ne d Re du nd an cy (e. g., de tou rs) Pu bl ic In fo rm a tio n an d Di ss em in at io n PREDICT X X DETER DETECT X X INTERDICT RESPONSE PREP. X X X X X X X X XF un ct io ns DESIGN/ENGINEERING X Co st Investment $ (x1000) $10,000 $460 $0.6 $30 $100 $100 $1,330 $100 $100 $100 $220 $150 Area-Wide X X X X X X X X X Asset Specific X X X Temporary/Redeployable X X X Im pl em en ta tio n Multipurpose Potential X X X X X X Basic X X X X X X X X X Enhanced X X X Pa ck ag e Threat Responsive X X X Table D-3. Attributes of design/engineering and operational countermeasures. Countermeasures Dictionary 117

118 CAPTool User Guide Physical Security Countermeasures 1 2 3 4 5 6 Countermeasure Li gh tin g Ba rri er s & Be rm s Fe nc es CC TV In tru sio n D et ec tio n D ev ic es Ph ys ica l In sp ec tio n o f a ss et Small Explosives L H H M M H Large Explosives M M M M M M Chemical/Biological/Radiological M L L L M H Criminal Acts M M M M M M Fire M M L M L L Struct. Failure L L L L L H HAZMAT L L L L L H Flood L M L L L H Earthquake L L L L L L Extreme Weather L M L L L H R oa d Br id ge s Mud/Landslide L M L L L H Small Explosives L H H M M H Large Explosives M M M M M M Chemical/Biological/Radiological M L L L M H Criminal Acts M M M M M M Fire M M L M L L Struct. Failure L L L L L H HAZMAT L L L L L H Flood L M L L L H Earthquake L L L L L L Extreme Weather L M L L L H R oa d Tu nn el s Mud/Landslide L M L L L H Small Explosives M L L M M H Large Explosives M M M M M M Chemical/Biological/Radiological M L L L M H Criminal Acts M L L M M M Fire M M L M L L Struct. Failure L L L L L H HAZMAT L L L L L H Flood L M L L L H Earthquake L L L L L L Extreme Weather L M L L L H Tr an si t/R ai l S ta tio n Mud/Landslide L M L L L H Table D-4. Relative value of physical security countermeasures for road bridges, road tunnels, and transit/rail stations.

Access Control Countermeasures 7 8 9 10 11 12 13 14 15 16 17 18 19 Countermeasure ID C ar ds Bi om et ric s Ba ck gr ou nd Ch ec ks M et al D et ec to rs R es tri ct ed Pa rk in g R an do m In sp ec tio ns Vi si bl e Ba dg es Li m ite d Ac ce ss P oi nt s Vi si to r C on tro l & Es co rt Lo ck s Ex pl os ive D et ec tio n Es ta bl ish Cl e a r Zo ne s Vi si bl e Si gn s Small Explosives L M L M L H L M M M H H L Large Explosives L M L L M M M M M M H M L Chemical/Biological/Radiological L M L L M H L M M M L M L Criminal Acts L L M L M M M M M H L H M Fire L L L L L L L L L L L H L Struct. Failure L L L L L L L L L L L L L HAZMAT L L L L L L L L L L L M L Flood L L L L L L L L L L L M L Earthquake L L L L L L L L L L L L L Extreme Weather L L L L L L L L L L L L L R oa d Br id ge s Mud/Landslide L L L L L L L L L L L L L Small Explosives L M L M L H L M M M H H L Large Explosives L M L L M M M M M M H M L Chemical/Biological/Radiological L M L L M H L M M M L M L Criminal Acts L L M L M M M M M H L H M Fire L L L L L L L L L L L H L Struct. Failure L L L L L L L L L L L L L HAZMAT L L L L L L L L L L L M L Flood L L L L L L L L L L L M L Earthquake L L L L L L L L L L L L L Extreme Weather L L L L L L L L L L L L L R oa d Tu nn el s Mud/Landslide L L L L L L L L L L L L L Small Explosives L M L M L H L M M M H H L Large Explosives L M L L M M M M M M H M L Chemical/Biological/Radiological L M L L M H L M M M L M L Criminal Acts L L M L M M M M M H L H M Fire L L L L L L L L L L L H L Struct. Failure L L L L L L L L L L L L L HAZMAT L L L L L L L L L L L M L Flood L L L L L L L L L L L M L Earthquake L L L L L L L L L L L L L Extreme Weather L L L L L L L L L L L L L Tr an si t/R ai l S ta tio n Mud/Landslide L L L L L L L L L L L L L Table D-5. Relative value of access control countermeasures for road bridges, road tunnels, and transit/rail stations. Countermeasures Dictionary 119

120 CAPTool User Guide Asset Design/Engineering Operational Countermeasures 20 21 22 23 24 25 26 27 28 29 30 31 Countermeasure Se ism ic R et ro fit tin g Fi re D et ec tio n & Su pr es sio n En ca se m e n t, W ra pp in g, Ja ck et in g Pa tro ls W X/ Se ism ic In fo rm at io n In te llig en ce N et w or kin g H AZ M AT M itig at io n Se cu rit y Aw ar en es s Tr ai ni ng Em er ge nc y R es po ns e Tr ai ni ng Em er ge nc y Ev ac ua tio n Pl an ni ng Pl an ne d R ed un da nc y (e. g., de tou rs) Pu bl ic In fo rm at io n an d D iss em in at io n Small Explosives H H H H L M L H H H H H Large Explosives H M H H L M L M M M M H Chemical/Biological/Radiological L M L H M M H L H H H H Criminal Acts M M H H L L L H M M M H Fire H H H H L L L L H H H H Struct. Failure H L H L L L L L H H H H HAZMAT L H L M M L H L H H H H Flood H L L H H L L L H H H H Earthquake H M H M H L L L H H H H Extreme Weather H L H M H L L L H H H H R oa d Br id ge s Mud/Landslide H L H M H L L L H H H H Small Explosives H H H H L M L H H H H H Large Explosives H M H H L M L M M M M H Chemical/Biological/Radiological L M L H M M H L H H H H Criminal Acts M M H H L L L H M M M H Fire H H H H L L L L H H H H Struct. Failure H L H L L L L L H H H H HAZMAT L H L M M L H L H H H H Flood H L L H H L L L H H H H Earthquake H M H M H L L L H H H H Extreme Weather H L H M H L L L H H H H R oa d Tu nn el s Mud/Landslide H L H M H L L L H H H H Small Explosives H H H H L M L H H H H H Large Explosives H M H H L M L M M M M H Chemical/Biological/Radiological L M L H M M H L H H H H Criminal Acts M M H H L L L H M M M H Fire H H H H L L L L H H H H Struct. Failure H L H L L L L L H H H H HAZMAT L H L M M L H L H H H H Flood H L L H H L L L H H H H Earthquake H M H M H L L L H H H H Extreme Weather H L H M H L L L H H H H Tr an si t/R ai l S ta tio n Mud/Landslide H L H M H L L L H H H H Table D-6. Relative value of design/engineering and operational countermeasures for road bridges, road tunnels, and transit/rail stations.

Physical Security Countermeasures 1 2 3 4 5 6 Countermeasure Li gh tin g Ba rri er s & Be rm s Fe nc es CC TV In tru si on D et ec tio n D ev ic e s Ph ys ica l In sp ec tio n of a ss e t Small Explosives M M L M L H Large Explosives M H H M H H Chemical/Biological/Radiological M L L M L H Criminal Acts M L L M M M Fire M M L M L L Struct. Failure L L L L L H HAZMAT L L L L L H Flood L M L L L H Earthquake L L L L L L Extreme Weather L M L L L H Tr an si t/R ai l B rid ge s Mud/Landslide L M L L L H Small Explosives M M L M L H Large Explosives M H H M H H Chemical/Biological/Radiological M L L M L H Criminal Acts M L L M M M Fire M M L M L L Struct. Failure L L L L L H HAZMAT L L L L L H Flood L M L L L H Earthquake L L L L L L Extreme Weather L M L L L H Tr an si t/R ai l T un ne ls Mud/Landslide L M L L L H Small Explosives M L L M M H Large Explosives M M M M M M Chemical/Biological/Radiological M L L L M H Criminal Acts M L L M M M Fire L L L L L L Struct. Failure L L L L L H HAZMAT L L L L L M Flood L M L L L H Earthquake L L L L L L Extreme Weather L M L L L L A dm in & S up po rt Fa ci lit ie s Mud/Landslide L M L L L L Table D-7. Relative value of physical security countermeasures for transit/rail bridges, transit/rail tunnels, and administrative and support facilities. Countermeasures Dictionary 121

122 CAPTool User Guide Access Control Countermeasures 7 8 9 10 11 12 13 14 15 16 17 18 19 Countermeasure ID C ar ds Bi om et ric s Ba ck gr ou nd Ch ec ks M et al D et ec to rs R es tri ct ed Pa rk in g Ra nd om In sp ec tio ns Vi sib le Ba dg es Li m ite d Ac ce ss P oi nt s Vi si to r C on tro l & Es co rt Lo ck s Ex pl os ive D et ec tio n Es ta bl ish Cl ea r Zo ne s Vi si bl e Si gn s Small Explosives H L L M L H L H H M H H L Large Explosives H H H H L H L H H H H M L Chemical/Biological/Radiological L L L L L L L L L L L M L Criminal Acts L L M L M M M M M H L L M Fire L L L L L L L L L L L H L Struct. Failure L L L L L L L L L L L L L HAZMAT L L L L L L L L L L L M L Flood L L L L L L L L L L L M L Earthquake L L L L L L L L L L L L L Extreme Weather L L L L L L L L L L L L L Tr an si t/R ai l B rid ge s Mud/Landslide L L L L L L L L L L L L L Small Explosives H L L M L H L H H M H H L Large Explosives H H H H L H L H H H H M L Chemical/Biological/Radiological L L L L L L L L L L L M L Criminal Acts L L M L M M M M M H L L M Fire L L L L L L L L L L L H L Struct. Failure L L L L L L L L L L L L L HAZMAT L L L L L L L L L L L M L Flood L L L L L L L L L L L M L Earthquake L L L L L L L L L L L L L Extreme Weather L L L L L L L L L L L L L Tr an si t/R ai l T un ne ls Mud/Landslide L L L L L L L L L L L L L Small Explosives L M L M L H L M M M H H L Large Explosives L M L L M M M M M M H M L Chemical/Biological/Radiological L M L L M H L M M M L M L Criminal Acts L L M L M M M M M H L H M Fire L L L L L L L L L L L H L Struct. Failure L L L L L L L L L L L L L HAZMAT L L L L L L L L L L L M L Flood L L L L L L L L L L L M L Earthquake L L L L L L L L L L L L L Extreme Weather L L L L L L L L L L L L L A dm in & S up po rt Fa ci lit ie s Mud/Landslide L L L L L L L L L L L L L Table D-8. Relative value of access control countermeasures for transit/rail bridges, transit/rail tunnels, and administrative and support facilities.

Asset Design/Engineering Operational Countermeasures 20 21 22 23 24 25 26 27 28 29 30 31 Countermeasure Se ism ic R et ro fit tin g Fi re D et ec tio n & Su pr es sio n En ca se m en t, W ra pp in g, Ja ck et in g Pa tro ls W X/ Se ism ic In fo rm at io n In te llig en ce N et w or ki ng H AZ M AT M iti ga tio n Se cu rit y Aw ar en es s Tr ai ni ng Em er ge nc y R es po ns e Tr ai ni ng Em er ge nc y Ev ac ua tio n Pl an ni ng Pl an ne d R ed un da nc y (e. g., de tou rs) Pu bl ic In fo rm at io n an d D is se m in at io n Small Explosives H H H H L M L H H H H H Large Explosives H H H H L M L H H H H H Chemical/Biological/Radiological L H L M L M H H H H H H Criminal Acts M M H H L L L H M M M H Fire H H H H L L L L H H H H Struct. Failure H L H L L L L L H H H H HAZMAT L H L M M L H L H H H H Flood H L L H H L L L H H H H Earthquake H M H M H L L L H H H H Extreme Weather H L H M H L L L H H H H Tr an si t/R ai l B rid ge s Mud/Landslide H L H M H L L L H H H H Small Explosives H H H H L M L H H H H H Large Explosives H H H H L M L H H H H H Chemical/Biological/Radiological L H L M L M H H H H H H Criminal Acts M M H H L L L H M M M H Fire H H H H L L L L H H H H Struct. Failure H L H L L L L L H H H H HAZMAT L H L M M L H L H H H H Flood H L L H H L L L H H H H Earthquake H M H M H L L L H H H H Extreme Weather H L H M H L L L H H H H Tr an si t/R ai l T un ne ls Mud/Landslide H L H M H L L L H H H H Small Explosives H H H H L M L H H H H H Large Explosives H M H H L M L M M M M H Chemical/Biological/Radiological L M L H M M H L H H H H Criminal Acts M M H H L L L H M M M H Fire H H H M L L L M H H H H Struct. Failure H L H L M L L L H H H H HAZMAT L M L L L L H L H H H H Flood H L H L H L L L H H H H Earthquake H L H L H L L L H H H H Extreme Weather H L H L H L L L H H H H A dm in & S up po rt Fa ci lit ie s Mud/Landslide H L H L H L L L H H H H Table D-9. Relative value of design/engineering and operational countermeasures for transit/rail bridges, transit/rail tunnels, and administrative and support facilities. Countermeasures Dictionary 123

124 CAPTool User Guide Physical Security Countermeasures 1 2 3 4 5 6 Countermeasure Li gh tin g Ba rri er s & Be rm s Fe nc es CC TV In tru si on D et ec tio n D ev ic es Ph ys ica l In sp ec tio n o f a ss et Small Explosives M L L M M H Large Explosives M M M M M M Chemical/Biological/Radiological M L L L M H Criminal Acts M L L M M M Fire L L L L L L Struct. Failure L L L L L H HAZMAT L L L L L M Flood L M L L L H Earthquake L L L L L L Extreme Weather L M L L L L Fe rr ie s Mud/Landslide L M L L L L Small Explosives M L L M M H Large Explosives M M M M M M Chemical/Biological/Radiological M L L L M H Criminal Acts M L L M M M Fire L L L L L L Struct. Failure L L L L L H HAZMAT L L L L L M Flood L M L L L H Earthquake L L L L L L Extreme Weather L M L L L L Fl ee ts Mud/Landslide L M L L L L Small Explosives M M M M M M Large Explosives M M M M M M Chemical/Biological/Radiological M M M M M M Criminal Acts M M M M M M Fire M M M M M M Struct. Failure M M M M M M HAZMAT M M M M M M Flood M M M M M M Earthquake M M M M M M Extreme Weather M M M M M M O th er Mud/Landslide M M M M M M Table D-10. Relative value of physical security countermeasures for ferries, fleets, and others.

Access Control Countermeasures 7 8 9 10 11 12 13 14 15 16 17 18 19 Countermeasure ID C ar ds Bi om et ric s Ba ck gr ou nd Ch ec ks M et al D et ec to rs R es tri ct ed Pa rk in g R an do m In sp ec tio ns Vi si bl e Ba dg es Li m ite d Ac ce ss Po in ts Vi si to r Co nt ro l & Es co rt Lo ck s Ex pl os ive D et ec tio n Es ta bl ish Cl ea r Z on es Vi si bl e Si gn s Small Explosives L M L M L H L M M M H H L Large Explosives L M L L M M M M M M H M L Chemical/Biological/Radiological L M L L M H L M M M L M L Criminal Acts L L M L M M M M M H L H M Fire L L L L L L L L L L L H L Struct. Failure L L L L L L L L L L L L L HAZMAT L L L L L L L L L L L M L Flood L L L L L L L L L L L M L Earthquake L L L L L L L L L L L L L Extreme Weather L L L L L L L L L L L L L Fe rr ie s Mud/Landslide L L L L L L L L L L L L L Small Explosives L M L M L H L M M M H H L Large Explosives L M L L M M M M M M H M L Chemical/Biological/Radiological L M L L M H L M M M L M L Criminal Acts L L M L M M M M M H L H M Fire L L L L L L L L L L L H L Struct. Failure L L L L L L L L L L L L L HAZMAT L L L L L L L L L L L M L Flood L L L L L L L L L L L M L Earthquake L L L L L L L L L L L L L Extreme Weather L L L L L L L L L L L L L Fl ee ts Mud/Landslide L L L L L L L L L L L L L Small Explosives M M M M M M M M M M M M M Large Explosives M M M M M M M M M M M M M Chemical/Biological/Radiological M M M M M M M M M M M M M Criminal Acts M M M M M M M M M M M M M Fire M M M M M M M M M M M M M Struct. Failure M M M M M M M M M M M M M HAZMAT M M M M M M M M M M M M M Flood M M M M M M M M M M M M M Earthquake M M M M M M M M M M M M M Extreme Weather M M M M M M M M M M M M M O th er Mud/Landslide M M M M M M M M M M M M M Table D-11. Relative value of access control countermeasures for ferries, fleets, and others. Countermeasures Dictionary 125

126 CAPTool User Guide Asset Design/Engineering Operational Countermeasures 20 21 22 23 24 25 26 27 28 29 30 31 Countermeasure Se ism ic R et ro fit tin g Fi re D et ec tio n & Su pr es sio n En ca se m e n t, W ra pp in g, Ja ck et in g Pa tro ls W X/ Se ism ic In fo rm at io n In te llig en ce N et wo rk in g H AZ M AT M iti ga tio n Se cu rit y Aw ar en es s Tr ai ni ng Em er ge nc y R es po ns e Tr ai ni ng Em er ge nc y Ev ac ua tio n Pl an ni ng Pl an ne d R ed un da nc y (e. g., de tou rs) Pu bl ic In fo rm at io n an d D is se m in at io n Small Explosives H H H H L M L H H H H H Large Explosives H M H H L M L M M M M H Chemical/Biological/Radiological L M L H M M H L H H H H Criminal Acts M M H H L L L H M M M H Fire H H H M L L L M H H H H Struct. Failure H L H L M L L L H H H H HAZMAT L M L L L L H L H H H H Flood H L H L H L L L H H H H Earthquake H L H L H L L L H H H H Extreme Weather H L H L H L L L H H H H Fe rr ie s Mud/Landslide H L H L H L L L H H H H Small Explosives H H H H L M L H H H H H Large Explosives H M H H L M L M M M M H Chemical/Biological/Radiological L M L H M M H L H H H H Criminal Acts M M H H L L L H M M M H Fire H H H M L L L M H H H H Struct. Failure H L H L M L L L H H H H HAZMAT L M L L L L H L H H H H Flood H L H L H L L L H H H H Earthquake H L H L H L L L H H H H Extreme Weather H L H L H L L L H H H H Fl ee ts Mud/Landslide H L H L H L L L H H H H Small Explosives M M M M M M M M M M M M Large Explosives M M M M M M M M M M M M Chemical/Biological/Radiological M M M M M M M M M M M M Criminal Acts M M M M M M M M M M M M Fire M M M M M M M M M M M M Struct. Failure M M M M M M M M M M M M HAZMAT M M M M M M M M M M M M Flood M M M M M M M M M M M M Earthquake M M M M M M M M M M M M Extreme Weather M M M M M M M M M M M M O th er Mud/Landslide M M M M M M M M M M M M Table D-12. Relative value of design/engineering and operational countermeasures for ferries, fleets, and others.

Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA) Get This Book
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TRB’s National Cooperative Highway Research Program (NCHRP) Report 525: Surface Transportation Security, Volume 15: Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA) is designed as a planning tool for top-down estimation of both capital and operating budget implications of measures intended to reduce risks to locally acceptable levels. CAPTA supports mainstreaming an integrated, high-level, all-hazards, national incident management system-responsive, multimodal, consequence-driven risk management process into transportation agency programs and activities.

The guide is supplemented online with a downloadable Microsoft® PowerPoint slide show and CAPTool, a spreadsheet tool for implementing the CAPTA methodology. A help file is also available online.

NCHRP Report 525: Surface Transportation Security is a series in which relevant information is assembled into single, concise volumes—each pertaining to a specific security problem and closely related issues. The volumes focus on the concerns that transportation agencies are addressing when developing programs in response to the terrorist attacks of September 11, 2001, and the anthrax attacks that followed. Future volumes of the report will be issued as they are completed.

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