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NCHRP REPORT 525 Surface Transportation Security Volume 15 Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA)
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TRANSPORTATION RESEARCH BOARD 2008 EXECUTIVE COMMITTEE* OFFICERS CHAIR: Debra L. Miller, Secretary, Kansas DOT, Topeka VICE CHAIR: Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY Allen D. Biehler, Secretary, Pennsylvania DOT, Harrisburg John D. Bowe, President, Americas Region, APL Limited, Oakland, CA Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles David S. Ekern, Commissioner, Virginia DOT, Richmond Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, University of Virginia, Charlottesville Jeffrey W. Hamiel, Executive Director, Metropolitan Airports Commission, Minneapolis, MN Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, DC Will Kempton, Director, California DOT, Sacramento Susan Martinovich, Director, Nevada DOT, Carson City Michael D. Meyer, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology, Atlanta Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore Pete K. Rahn, Director, Missouri DOT, Jefferson City Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Tracy L. Rosser, Vice President, Corporate Traffic, Wal-Mart Stores, Inc., Bentonville, AR Rosa Clausell Rountree, Executive Director, Georgia State Road and Tollway Authority, Atlanta Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin Linda S. Watson, CEO, LYNXCentral Florida Regional Transportation Authority, Orlando Steve Williams, Chairman and CEO, Maverick Transportation, Inc., Little Rock, AR EX OFFICIO MEMBERS Thad Allen (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, Washington, DC Joseph H. Boardman, Federal Railroad Administrator, U.S.DOT Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA Paul R. Brubaker, Research and Innovative Technology Administrator, U.S.DOT George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York University, Brooklyn; Foreign Secretary, National Academy of Engineering, Washington, DC Sean T. Connaughton, Maritime Administrator, U.S.DOT LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, DC John H. Hill, Federal Motor Carrier Safety Administrator, U.S.DOT John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC Carl T. Johnson, Pipeline and Hazardous Materials Safety Administrator, U.S.DOT J. Edward Johnson, Director, Applied Science Directorate, National Aeronautics and Space Administration, John C. Stennis Space Center, MS David Kelly, Acting Administrator, National Highway Traffic Safety Administration, U.S.DOT Thomas J. Madison, Jr., Administrator, Federal Highway Administration, U.S.DOT William W. Millar, President, American Public Transportation Association, Washington, DC James S. Simpson, Federal Transit Administrator, U.S.DOT Robert A. Sturgell, Acting Administrator, Federal Aviation Administration, U.S.DOT Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC *Membership as of November 2008.
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 525 Surface Transportation Security Volume 15 Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) SCIENCE APPLICATIONS INTERNATIONAL CORPORATION McLean, VA PB CONSULT Washington, DC Subject Areas Planning and Administration · Operations and Safety · Aviation · Public Transit · Rail Freight Transportation · Marine Transportation · Security Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2009 www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 525: VOLUME 15 RESEARCH PROGRAM Systematic, well-designed research provides the most effective Project 20-59 (17) approach to the solution of many problems facing highway ISSN 0077-5614 administrators and engineers. Often, highway problems are of local ISBN 978-0-309-11763-0 interest and can best be studied by highway departments individually Library of Congress Control Number 2006902911 or in cooperation with their state universities and others. However, the © 2009 Transportation Research Board accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of COPYRIGHT PERMISSION cooperative research. Authors herein are responsible for the authenticity of their materials and for obtaining In recognition of these needs, the highway administrators of the written permissions from publishers or persons who own the copyright to any previously American Association of State Highway and Transportation Officials published or copyrighted material used herein. initiated in 1962 an objective national highway research program Cooperative Research Programs (CRP) grants permission to reproduce material in this employing modern scientific techniques. This program is supported on publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, a continuing basis by funds from participating member states of the FMCSA, FTA, or Transit Development Corporation endorsement of a particular product, Association and it receives the full cooperation and support of the method, or practice. It is expected that those reproducing the material in this document for Federal Highway Administration, United States Department of educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission Transportation. from CRP. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board's recognized objectivity and understanding of NOTICE modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which The project that is the subject of this report was a part of the National Cooperative Highway Research Program conducted by the Transportation Research Board with the approval of authorities on any highway transportation subject may be drawn; it the Governing Board of the National Research Council. Such approval reflects the possesses avenues of communications and cooperation with federal, Governing Board's judgment that the program concerned is of national importance and state and local governmental agencies, universities, and industry; its appropriate with respect to both the purposes and resources of the National Research Council. relationship to the National Research Council is an insurance of The members of the technical committee selected to monitor this project and to review this objectivity; it maintains a full-time research correlation staff of report were chosen for recognized scholarly competence and with due consideration for the specialists in highway transportation matters to bring the findings of balance of disciplines appropriate to the project. The opinions and conclusions expressed research directly to those who are in a position to use them. or implied are those of the research agency that performed the research, and, while they have been accepted as appropriate by the technical committee, they are not necessarily those of The program is developed on the basis of research needs identified the Transportation Research Board, the National Research Council, the American by chief administrators of the highway and transportation departments Association of State Highway and Transportation Officials, or the Federal Highway and by committees of AASHTO. Each year, specific areas of research Administration, U.S. Department of Transportation. needs to be included in the program are proposed to the National Each report is reviewed and accepted for publication by the technical committee according Research Council and the Board by the American Association of State to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are The Transportation Research Board of the National Academies, the National Research Council, the Federal Highway Administration, the American Association of State Highway selected from those that have submitted proposals. Administration and and Transportation Officials, and the individual states participating in the National surveillance of research contracts are the responsibilities of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade Research Council and the Transportation Research Board. or manufacturers' names appear herein solely because they are considered essential to the object of this report. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America
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COOPERATIVE RESEARCH PROGRAMS CRP STAFF FOR NCHRP REPORT 525, VOLUME 15 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs S. A. Parker, Senior Program Officer Eileen P. Delaney, Director of Publications Natalie Barnes, Editor NCHRP PROJECT 20-59 (17) PANEL Field of Special Projects--Area of Safety Jeffrey L. Western, Western Management and Consulting, LLC, Madison, WI (Chair) Charles R. Carr, Mississippi DOT, Jackson, MS John M. Contestabile, Maryland DOT, Hanover, MD Frederick J. Cowie, Helena, MT Cosema E. Crawford, Metropolitan Transportation Authority--New York City Transit, NY Robert Doll, Transportation Systems Associates, Juneau, AK William J. Fleming, Massachusetts Bay Transportation Authority Police, Braintree, MA Ernest R. Frazier, Countermeasures Assessment and Security Experts, LLC, Camden, NJ Jonathan L. Gifford, George Mason University, Arlington, VA Stephanie A. King, Weidlinger Associates, Inc., Mountain View, CA Yuko Nakanishi, Nakanishi Research and Consulting, LLC, Rego Park, NY Mary Lou Ralls, Ralls Newman, LLC, Austin, TX Joe Scanlon, Carleton University, Ottawa, ON William Brownlow, AASHTO Liaison Sheila Rimal Duwadi, FHWA Liaison Richard Gerhart, FTA Liaison Greg Hull, APTA Liaison John Reiter, New York City Transit Authority Liaison Richard Swigart, Department of Homeland Security Liaison Tom Watson, Department of Homeland Security Liaison Ernesto L. Acosta, TSA Liaison Bud Hunt, TSA Liaison Ely Kahn, TSA Liaison Bridger E. McGaw, TSA Liaison Thomas Reilly, TSA Liaison Dawn Tucker, Research and Innovative Technology Administration Liaison James A. Harrison, Volpe National Transportation Systems Center Liaison Daniel C. Murray, American Transportation Research Institute Liaison Matthew D. Rabkin, Federal Emergency Management Agency Liaison Joedy W. Cambridge, TRB Liaison
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AUTHOR ACKNOWLEDGMENTS The research presented herein was performed under NCHRP Project 20-59(17) by Science Applica- tions International Corporation (SAIC) of McLean, Virginia, and PB Consult of Washington, D.C. Dr. Michael C. Smith, Senior Scientist in SAIC's Transportation Research Division, was the principal investigator for the project. Mr. Stephen Lockwood, Senior Vice President at PB Consult, served as the subcontractor's principal investigator. Mr. Kevin Duffy served as SAIC's program manager and Ms. Joce- lyn Bauer, Research Associate in SAIC's Transportation Research Division, programmed the CAPTA methodology into a spreadsheet model to facilitate its application. Representatives from a transit authority and several state departments of transportation provided opportunities to apply the methodology in realistic settings using representative data so the study team could tailor the methodology and the spreadsheet tool to the users' needs.
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FOREWORD By S. A. Parker Staff Officer Transportation Research Board Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) supports mainstreaming an integrated, high-level, all-hazards, National Incident Manage- ment System (NIMS)responsive, multimodal, consequence-driven risk management process into transportation agency programs and activities by providing a convenient and robust planning tool for top-down estimation of both capital and operating budget impli- cations of measures intended to reduce risks to locally acceptable levels. CAPTA is intended for use by senior managers whose jurisdiction extends over multiple modes of transporta- tion, multiple asset classes, and many individual assets. The CAPTA methodology provides a means for moving across transportation assets to address system vulnerabilities that could result in significant losses given the threats and hazards of greatest concern. This guide was reviewed by many state and local agencies and was pilot tested by the Maryland Department of Transportation (DOT), The Massachusetts Bay Transportation Authority (MBTA), and the Virginia DOT. The guide is supplemented online with a downloadable Microsoft® PowerPoint slide show and CAPTool, a spreadsheet tool for implementing the CAPTA methodology. The slide show and CAPTool are available on the TRB website (http://trb.org/news/blurb_ detail.asp?id=9579). This volume of NCHRP Report 525 was prepared under NCHRP Project 20-59(17) by Science Applications International Corporation (SAIC) of McLean, VA, and PB Consult of Washington, D.C. Surface transportation agencies are recognizing that they are uniquely positioned among civilian government agencies to swiftly take direct action to protect lives and property due to their broad policy responsibility, public accountability, large and distributed workforces, heavy equipment, and robust communications infrastructure. Their institutional heft also provides a stable base for campaigns to mitigate or systematically reduce risk exposure over time through all hazards capital investments. This is the fifteenth volume of NCHRP Report 525: Surface Transportation Security, a series in which relevant information is assembled into single, concise volumes--each per- taining to a specific hazard or security problem and closely related issues. These volumes focus on the concerns that transportation agencies are addressing when developing pro- grams in response to the terrorist attacks of September 11, 2001, and the anthrax attacks that followed. Future volumes of the reports will be issued as they are completed. To develop this volume in a comprehensive manner and to ensure inclusion of signifi- cant knowledge, available information was assembled from numerous sources, including a number of state departments of transportation. A topic panel of experts in the subject area
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was established to guide the researchers in organizing and evaluating the collected data and to review the final document. This volume was prepared to meet an urgent need for information in this area. It records practices that were acceptable within the limitations of the knowledge available at the time of its preparation. Work in this area is proceeding swiftly, and readers are encouraged to be on the lookout for the most up-to-date information. Volumes issued under NCHRP Report 525: Surface Transportation Security may be found on the TRB website at www.TRB.org/SecurityPubs.
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CONTENTS 1 Summary PA RT I CAPTA Final Report 7 Chapter 1 Project Rationale and Approach 7 Background 8 Overview of the CAPTA Methodology 9 Basic Definitions 10 Risk Management Taxonomy 12 Methodology 12 Assumptions 13 Defining the Problem and Implementing the Solutions 13 Risk and Consequence 14 Institutional Context for Risk Management 16 Chapter 2 CAPTA Development Path 16 Alternative Approaches 17 Development of the CAPTA Methodology 23 Chapter 3 CAPTA Components 23 Asset Categories 24 Hazards/Threats 29 Consequence Threshold 30 High-Consequence (Critical) Assets 30 Countermeasures 33 General Countermeasure Attributes 35 Chapter 4 Results Summary 36 Chapter 5 Conclusion 37 References 38 Appendix A Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) Test Preparation 47 Appendix B Summary Report for the CAPTA Pilot Test with Maryland DOT, October 17, 2007 49 Appendix C Summary Report for the CAPTA Pilot Test with MBTA, November 16, 2007 51 Appendix D Summary Report for the CAPTA Pilot Test with the Virginia DOT, February 13, 2008
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53 Appendix E List of Acronyms 54 Appendix F Glossary of Terms Used in CAPTA 57 Appendix G Recommended Further Reading PA RT I I CAPTool User Guide 61 Preface 64 Introduction 64 Background 65 Overview of the CAPTA Methodology 66 The Audience 66 Risk and Consequence 67 Assumptions 68 Exclusions 68 Organization of This Report 68 Basic CAPTool and Expanded CAPTool 70 Example Agency 71 Welcome to the CAPTA Process 71 The CAPTool User Guide 71 Preparation 71 Data Consistency 73 The Basic CAPTool Guide 73 Step 1: Relevant Risks 79 Step 2: Thresholds 83 Step 3: Asset and Asset Class Inventory 90 Step 4: Inventory of High-Consequence Assets/Asset Classes 93 Step 5: Countermeasure Opportunities 97 Step 6: Results Summary 100 The Enhanced CAPTool Guide 100 Step 1a: Threat/Hazard Vulnerability Table 102 Step 5a: Countermeasure Costs 104 Step 5b: Selection of Additional Countermeasures 106 Step 5c: Countermeasure Filter Selection 108 Conclusion 109 Appendix A Countermeasure Unit Costs and Descriptions 112 Appendix B Threshold Equations 113 Appendix C CAPTool Initial Startup Instructions 114 Appendix D Countermeasures Dictionary