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2021 Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration and by the Federal Transit Administration in cooperation with the Transit Development Corporation Subscriber Categories Public Transportation â¢ Security and Emergencies â¢ Society N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M T R A N S I T C O O P E R A T I V E R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 963 TCRP RESEARCH REPORT 225 A Pandemic Playbook for Transportation Agencies Deborah Matherly WSP USA SolUtionS Lexington, SC Patricia Bye Holicong, PA Janet Benini Washington, DC
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transporta- tion results in increasingly complex problems of wide interest to high- way authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniquesâthe National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agree- ment No. 693JJ31950003. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRBâs recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRBâs relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs iden- tified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&Iâs recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving 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 research 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 by going to https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America NCHRP RESEARCH REPORT 963 Project 20-116 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-67388-4 Library of Congress Control Number 2021935393 Â© 2021 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this 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, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for 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 from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturersâ names or logos appear herein solely because they are considered essential to the object of the report.
TCRP RESEARCH REPORT 225 Project A-36 ISSN 2572-3782 ISBN 978-0-309-67388-4 Â© 2021 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this 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, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for 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 from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the Transit Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report. TRANSIT COOPERATIVE RESEARCH PROGRAM The nationâs growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Cur- rent systems, some of which are old and in need of upgrading, must expand service area, increase service frequency, and improve efficiency to serve these demands. Research is necessary to solve operating prob- lems, adapt appropriate new technologies from other industries, and introduce innovations into the transit industry. The Transit Coopera- tive Research Program (TCRP) serves as one of the principal means by which the transit industry can develop innovative near-term solutions to meet demands placed on it. The need for TCRP was originally identified in TRB Special Report 213âResearch for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administrationânow the Federal Transit Administration (FTA). A report by the American Public Transportation Association (APTA), Transportation 2000, also recognized the need for local, problem- solving research. TCRP, modeled after the successful National Coop- erative Highway Research Program (NCHRP), undertakes research and other technical activities in response to the needs of transit ser- vice providers. The scope of TCRP includes various transit research fields including planning, service configuration, equipment, facilities, operations, human resources, maintenance, policy, and administrative practices. TCRP was established under FTA sponsorship in July 1992. Proposed by the U.S. Department of Transportation, TCRP was authorized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement outlining TCRP operating procedures was executed by the three cooperating organi- zations: FTA; the National Academies of Sciences, Engineering, and Medicine, acting through the Transportation Research Board (TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research organization established by APTA. TDC is responsible for forming the independent governing board, designated as the TCRP Oversight and Project Selection (TOPS) Commission. Research problem statements for TCRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the TOPS Commission to formulate the research program by identi- fying the highest priority projects. As part of the evaluation, the TOPS Commission defines funding levels and expected products. Once selected, each project is assigned to an expert panel appointed by TRB. The panels prepare project statements (requests for propos- als), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooperative research programs since 1962. As in other TRB activities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired effect if products fail to reach the intended audience, special emphasis is placed on disseminat- ing TCRP results to the intended users of the research: transit agen- cies, service providers, and suppliers. TRB provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. APTA will arrange for workshops, train- ing aids, field visits, and other activities to ensure that results are imple- mented by urban and rural transit industry practitioners. TCRP provides a forum where transit agencies can cooperatively address common operational problems. TCRP results support and complement other ongoing transit research and training programs. Published research reports of the TRANSIT COOPERATIVE RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America
The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Boardâs varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.
C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP RESEARCH REPORT 963/ TCRP RESEARCH REPORT 225 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Stephan A. Parker, Senior Program Officer Stephanie L. Campbell, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Janet M. McNaughton, Senior Editor NCHRP PROJECT 20-116 PANEL Field of Special Projects Herby Gerard Lissade, California Department of Transportation, West Sacramento, CA (retired) (Chair) Ingrid L. Birenbaum, Moffat & Nichol, Fort Lauderdale, FL Brian L. Dodge, Texas Department of Transportation, Austin, TX John S. Himmel, Washington State Department of Transportation, Olympia, WA Joaquin Mixco, Utah Department of Transportation, Salt Lake City, UT Timothy Morin, Massachusetts Department of Transportation, Boston, MA Eileen M. Phifer, Michigan Department of Transportation, Lansing, MI James R. Primeau, Rhode Island Department of Transportation, Providence, RI Kendra I. Siler Marsiglio, NASA/Kennedy Space Center, Kennedy Space Center, FL Jason Robert Carnes, FHWA Liaison David W. Cooper, TSA Liaison Richard A. Cunard, TRB Liaison AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under NCHRP Project 20-116 by WSP USA Solutions, Washington, DC. Deborah Matherly, AICP, Principal Planner at WSP, Lexington, SC, was the principal investigator. Independent consultants Patricia Bye, Holicong, PA, and Janet Benini, Washington, DC, served as co-principal investigators and contributing authors. Additional con- tributors of research, interview support, internal reviews and com- ments, and layout and editorial support were Karl Kim and Eric Yamashita, National Disaster Preparedness Training Center at the University of Hawaii; William D. Ankner, Transportation Solutions, Baton Rouge, LA; Mark Krentz, Topeka, Kansas; and Michael Meyer, Zachary Falk, Bryan Kiel, Paul Bonaventura, and Denise Short, WSP, various locations. Quick Response grant researchers are identified in Appendix D. The work was performed under the collaborative direction of the principal investigator and co-principal investigators. The research team is deeply indebted to the interviewees from departments of transportation, transit agencies, and other orga- nizations who generously donated time and pertinent resources and materials in the midst of their own response to the COVID-19 pandemic. Names and organizations are listed in Appendix Aâ thank you, again. The team is also grateful to the many indi- viduals and organizations who have been gathering and sharing information throughout this time via articles, webinars, web- sites, and other media. These include, but are not limited to, the National Hazards Center; AASHTO, in particular the Committee on Transportation System Security and Resilience (CTSSR) and the Emergency Management Working Group; APTA; Chris Zeilinger of the Community Transit Association of America; FHWA; and FTA. The researchers express their heartfelt gratitude to the trans- portation leaders who shared their ideas and practices during the midst of a pandemic response. Transportation truly is a commu- nity of practice, and, once again, the community members are helping each other address the unique challenges of pandemics.
NCHRP Research Report 963/TCRP Research Report 225: A Pandemic Playbook for Trans- portation Agencies (Playbook) is designed as a practical guide for managing a transporta- tion agencyâs response to a pandemic. It draws on domestic and international research and interviews with key U.S. transportation leaders to provide questions and plays for state departments of transportation (DOTs) and transit agencies to consider. The transportation leaders interviewed during the COVID-19 pandemic for this Playbook represent organiza- tions large and small throughout the United States. The Playbook should be of immediate interest to agency leaders and senior management responsible for their agenciesâ responses in a pandemic. A Pandemic Playbook for Transportation Agencies complements and references the most authoritative TRB resource on the topic currently available, NCHRP Report 769: A Guide for Public Transportation Pandemic Planning and Response. Since publication of NCHRP Report 769 in 2014, there have been both significant changes and a substantial increase in knowledge about the role of transportation in pandemicsâparticularly during calendar year 2020 in response to COVID-19. In the United States and elsewhere, the transpor- tation industry has produced new strategies, programs, and ways of doing business that have increased the safety, security, and resilience of the nationâs transportation systems. The American Association of State Highway and Transportation Officials (AASHTO), the American Public Transportation Association, the Community Transportation Association of America, the National Rural Transit Assistance Program, TRB, and many other organi- zations have stepped up information exchange webinars and virtual conferences to help transportation agencies deal with the pandemic. Under NCHRP Project 20-116, âAn Emergency Management Playbook for State Trans- portation Agencies,â with additional funding from TCRP Project A-36, âCommand- Level Decision Making for Transportation Emergency Managers,â WSP was charged with (1) developing a playbook to support emergency management program review and devel- opment for state transportation agencies and (2) developing and executing a deployment strategy to familiarize the affected transportation agencies of every state with a playbook and supporting emergency management materials. The playbook and related products and activities were to encompass state DOTs, public transportation systems, and other trans- portation agencies under state control or influence (i.e., state transportation agencies). In March 2020, as work was just beginning on the literature review and a survey of industry practices, the project pivoted to focus Phase 1 on research about pandemic impacts on transportation systems, leadership decisions, and response implementation to reveal common challenges and exemplary practices. This Playbook is an early deliverable from this still F O R E W O R D By Stephan A. Parker Staff Officer Transportation Research Board
ongoing research and was published early in order to respond to the urgent need for guidance by transportation agencies. Work on the other tasks continues apace and will be published in subsequent reports. The projectâs primary deliverable will be a transportation emergency management play- book covering a broad range of emergencies, including pandemics. The project is also preparing resource typing standards, training courses and associated materials, an update to TRBâs 2013 NCHRP Report 753: A Pre-Event Recovery Planning Guide for Transporta- tion, and a successor to AASHTOâs 2015 Fundamental Capabilities of Effective All-Hazards Infrastructure Protection, Resilience, and Emergency Management for State Departments of Transportation.
1 Summary 4 Chapter 1 Introduction 4 Pandemic Basics 5 Impacts on Transportation 6 Approaches to Pandemics 9 Chapter 2 Key Questions to Ask 12 Chapter 3 Key Players and Agencies 14 Chapter 4 Challenges 14 Fear and Loss of Confidence in Safety 15 Morale and Trust 15 Loss of Team Building and Interaction 16 Stress and Psychological Impacts 16 Funding 17 Unintended Consequences 18 Chapter 5 Emergency Management Plays: Approaches and Solutions 20 Planning, Training, and Exercises 22 Employee Impact 24 Pandemic Protective Actions 26 Pandemic Public Transit Protective Actions 30 Situational Awareness and Reporting 34 Communications 38 Restore Public Confidence 40 Traffic Management 42 Service Operations Adjustments 46 Evacuations/Shelter-in-Place: Pandemic Impact 48 Financial Management 50 Emergency Support Function 1 and Community Support 52 Agency Stabilization 55 Concurrent Emergencies with Pandemics 57 Chapter 6 Conclusions 57 Silver Linings 58 Moving Forward 59 Acronyms 60 Endnotes C O N T E N T S
64 Appendix A Pandemic Playbook Interviewee List 66 Appendix B Emergency Support Functions 68 Appendix C Incident Command System Incident Action Plan 70 Appendix D Preliminary Results of Quick Response Grants 73 Appendix E Pandemic Playbook Resources Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.