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The Basic CAPTool Guide 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

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74 CAPTool User Guide Table 4. Hazards and threats. Type Hazard/Threat Fire Unintentional Structural Failure Hazard HAZMAT Flood Natural Earthquake Hazard Extreme Weather Mud/Landslide Small Explosive (hand carried) Intentional Large Explosive (vehicle borne) Threat Chemical/Biological/Radiological Criminal Acts 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.

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The Basic CAPTool Guide 75 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.

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76 CAPTool User Guide 1 2 3 4 5 6 Basic CAPTool Save Time- 1 1a 2 3 4 5a 5b 5c 5 6 Expanded CAPTool Previous Stamped Copy to Default Folder Identify Relevant Risks and Asset Classes Instructions: Reset Answers to It is highly recommended that you save this as a new project. The "Save" button to the right will rename the file as Next a time and date-stamped copy to your default folder with the filename: "TransRiskManagementYYYY-MM-DD "N" HH.MM.SS.xls" For the asset classes of interest, please indicate the threats/hazards that you wish to include in your analysis by User-Entered toggling the response from "N" to "Y" for each cell. Threat/hazard and asset combinations that are likely to result in On/Off serious loss will be considered in subsequent steps. When done, click "Next." Transit/Rail Transit/Rail Transit/Rail Admin & Support Road Bridges Road Tunnels Ferry Fleet Station Bridges Tunnels Facilities 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 N N N N N Userentered threat/hazard 2 N N N N N N N N Figure 2. Input screen for threat/hazard and asset class.

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The Basic CAPTool Guide 77 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.

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78 CAPTool User Guide 1 2 3 4 5 6 Basic CAPTool Save Time- 1 1a 2 3 4 5a 5b 5c 5 6 Expanded CAPTool Stamped Copy to Previous Default Folder Identify Relevant Risks and Asset Classes Instructions: Reset Answers to It is highly recommended that you save this as a new project. The "Save" button to the right will rename the file as Next a time and date-stamped copy to your default folder with the filename: "TransRiskManagementYYYY-MM-DD "N" HH.MM.SS.xls" For the asset classes of interest, please indicate the threats/hazards that you wish to include in your analysis by User-Entered toggling the response from "N" to "Y" for each cell. Threat/hazard and asset combinations that are likely to result in On/Off serious loss will be considered in subsequent steps. When done, click "Next." Transit/Rail Transit/Rail Transit/Rail Admin & Support Road Bridges Road Tunnels Ferry Fleet Station Bridges Tunnels Facilities 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 Figure 3. ATA example of threat/hazard applicability.