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PREFACE 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
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62 CAPTool User Guide Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) NCHRP 20-59(23), A Guide to Surface Transportation Security, Volume 6: Guide for Emergency Emergency Response Planning at Transportation Operations State Transportation Agencies (NCHRP Report 525 Volume 6) Transportation Security, Volume 12: TCRP Report 86 Volume 11 Making Transportation Tunnels Safe and Secure (NCHRP Report 525 Security Measures for Ferry Volume 12) Systems 2002 AASHTO Guide to Highway Report To Congress On Vulnerability Assessment for Critical Catastrophic Hurricane Asset Identification and Protection Evacuation Plan Evaluation, (FHWA/DHS) DHS Special Jurisdictions (DHS) Other Asset, Mode, Threat, Hazard, or Sector Specific Guidance Figure 1. CAPTA relationship to asset-specific guides. 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.
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Preface 63 · 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.