1、Fundamental Capabilities of E ectiveAll-Hazards Infrastructure Protection, Resilience, and Emergency Managementfor State Departments of TransportationSeptember 2015 2015 by the American Association of State Highway and Transportation O cials. All rights reserved. Duplication is a violation of applic
2、able law.Publ Code: HAZ-1 ISBN: 978-1-56051-638-5 2015 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.Fundamental Capabilities of E ective All-Hazards Infrastructure Protection, Resilience, and Emergency Man
3、agement | 1ForewordIn the days, months, and years following the events of September 11, AASHTO and its partners united through the Transportation Research Board to improve and enhance the skills of the transportation community to prepare for and respond to events of terrorism that threaten the trans
4、portation system. One of many products produced was a Guide to Understanding the Fundamentals of Effective Security Management. In the intervening years it has become clear that the learning achieved not only applied to security threats but to all forms of threats to the transportation system.Today
5、we understand that: Customers today have higher expectations for system performance and reliability and lower tol-erance for delays. Even small events pose threats of great consequences since the impact of any incident is magnified. Hazards continue to evolve. Extreme weather, cyber incidents, and o
6、ther additional hazards need to be addressed. In addition, the risk of natural and man-made events is growing more common due to many pressures, including an aging infrastructure. Todays transportation systems are integrated cyber and physical systems. There has been, and continues to be, significan
7、t deployment of new technologies to support DOT activities. This newly updated Fundamentals Guide synthesizes the most recent federal and state guidance and research efforts from a state DOT perspective and lays out a set of capabilities for state DOTs that addresses all-hazards infrastructure prote
8、ction, resilience, and emergency management and reflects National Preparedness Goals. The goal of the Guide is to provide a resource for state DOTs that supports the integration of infrastructure protection and resilience into all of their operations and infrastructure programs. To ensure the securi
9、ty and resilience of our nations transportation systems, AASHTO member DOTs, along with local, state, and federal emergency response agencies have become strong security and emergency response partners. This Fundamentals Guide provides you the best and latest thinking on how to remain the best at wh
10、at we do and how we can remain that way moving further into the 21stCentury. This Guide and our partnerships will help to keep the nations transportation system strong and well protected no matter what the event that may threaten it.John Cox Brian NessDirector DirectorWyoming Department of Transport
11、ation Idaho Transportation Department2015 AASHTO President Chair, AASHTO Special Committee on Transportation Security and Emergency Management 2015 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law. 2015 by the
12、 American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.Fundamental Capabilities of E ective All-Hazards Infrastructure Protection, Resilience, and Emergency Management | 3PrefaceThis guide is an update to the 2007 Fundame
13、ntals of Effective All Hazards Security Management for State DOTs. The original guide was intended to provide DOT managers with an overview of an effective all-hazards securi-ty management program. It outlined the fundamental responsibilities of a state department of transportation (DOT):1. Prevent
14、incidents within their control and responsibility;2. Protect transportation users, agency personnel, and critical infrastructure;3. Support regional/state/local emergency responders with resources including facilities, equipment, and per-sonnel;4. Recover swiftly from incidents;5. Evaluate response(
15、s) and continually improve plans, training, skills, and protocols.Since the time of that publication, the fundamental responsibilities of DOTs have not significantly changed but the capabilities necessary to perform those responsibilities have evolved. AASHTO has recognized five “funda-mentals” docu
16、ments, most published since 2009, that provide comprehensive guidance on the major elements of a state DOT all-hazards transportation security and emergency management program:1. Security 101: A Physical Security Primer for Transportation Agencies (2009; update anticipated 2017)2. A Guide to Emergen
17、cy Response Planning at State Transportation Agencies (2010; update anticipated 2016)3. Blast Resistant Highway Bridges: Design and Detailing Guidelines (2010)4. Costing Asset Protection: An All Hazards Guide for Transportation Agencies (2009; update anticipated 2016)5. Continuity of Operations Plan
18、ning (COOP) Guidelines for Transportation Agencies (2005)Since 2010, four significant national-level directives and executive orders have been issued: Presidential Policy Directive 8: National Preparedness (2011) strengthens security and resilience through five preparedness mission areas: prevention
19、, protection, mitigation, response, and recovery. Presidential Policy Directive 21: Critical Infrastructure Security and Resilience (2013) focuses on the need for secure critical infrastructure that is able to withstand and rapidly recover from all hazards (resilient). National Infrastructure Potect
20、ion Plan 2013: Partnering for Critical Infrastructure Security and Resilience emphasizes the importance of resilience, and the need to reduce all-hazards vulnerabilities and mitigate potential consequences of incidents or events that do occur. Executive Order 13636: Improving Critical Infrastructure
21、 Cybersecurity (2013) provides a technol-ogy-neutral cybersecurity framework and means to promote the adoption of cybersecurity practices. 2015 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law. 2015 by the Ame
22、rican Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.Fundamental Capabilities of E ective All-Hazards Infrastructure Protection, Resilience, and Emergency Management | 5Table of ContentsForeword . . . . . . . . . . . . . .
23、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Introduction . . . . . . . . . . . . . . . . .
24、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Summary of Fundamental Capabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
25、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Public Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17Operational Coordination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
26、 . . . . . . . . . . . . . . . . . . . . . 21Prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
27、 . . . . . . . . . . . . . . . 29Mitigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33Response . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
28、 . . . . . . . . . 37Recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41Cybersecurity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
29、. . . 43Training and Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49Appendix A: Selected References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51Appendix B: Definitio
30、ns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53Appendix C: Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 2015 by the American Association of State Highway
31、 and Transportation Officials.All rights reserved. Duplication is a violation of applicable law. 2015 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.Fundamental Capabilities of E ective All-Hazards Infrastru
32、cture Protection, Resilience, and Emergency Management | 7IntroductionEvolving DOT priorities, research on security and emergency management, and new federal guidance issued since 2010 have prompted the need to re-examine DOT capabilities to support their fundamental roles. The 2007 version of the F
33、undamentals document focused on capabilities associated with security awareness, critical infrastructure/key asset protection, and readiness, response, and recovery. There is now an emerging focus on the complementary goals of infrastructure protection and resiliency as part of security and emergenc
34、y management.Figure 1. DOT Capabilities2007 and Now Customers today have higher expectations for system performance and reliability and lower tol-erance for delays. Even small events pose threats of great consequences since the impact of any incident is magnified when a transportation network is ope
35、rating at or past its capacityas is the case in portions of many states as travel demand on their transportation networks grows. Hazards continue to evolve. Extreme weather, cyber incidents, and other events need to be addressed. In addition, the risk of natural and man-made events is growing more c
36、ommon due to many pressures includ-ing aging infrastructure. Todays transportation systems are integrated cyber and physical systems. There has been, and continues to be, significant deployment of new technologies to support DOT activities.DOTs have a significant role in infrastructure protection. T
37、ransportation employees and contractors are the best positioned to know what is usual and unusual and can help their agency protect its employees, information, data, networks, and facilities. DOTs have the responsibility for controlling access to critical components, establishing coordination with l
38、aw enforcement to ensure quick response to incidents, conducting risk and vulnerability InfrastructureProtectionResilienceEmergencyManagementSecurityAwarenessReadiness,Response, Secure critical infrastructure against human, physical, and cyber threats through sustainable ef-forts to reduce risk, whi
39、le accounting for the costs and benefi ts of security investments; Enhance critical infrastructure resilience by minimizing the adverse consequences of incidents through advance planning and mitigation e orts and by employing e ective responses to save lives and ensure the rapid recovery of essentia
40、l services; Share actionable and relevant information across the critical infrastructure community to build awareness and enable risk-informed decision making; and Promote learning and adaptation during and after exercises and incidents.Resilience Principles Redesign to reduce or eliminate vulnerabi
41、lity. Improve ability to impro-vise during an event. Add redundancies to system to improve avail-ability to reroute tra c through one or more parallel components. Have backup compo-nents available to quickly replace disrupted func-tion. Allow rerouting. 2015 by the American Association of State High
42、way and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.E ective All-Hazards Infrastructure Protection, Resilience, and Emergency Management | 9This 2015 Fundamentals document synthesizes the recent federal and state guidance and research efforts from a sta
43、te DOT perspective and lays out a set of capabilities for state DOTs that addresses all-hazards infrastructure protection, resilience, and emergency management and reflects national preparedness goals. The goal of this document is to provide a resource for state DOTs that supports the integration of
44、 infrastructure protection and resilience into their operations and infrastructure programs. 2015 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law. 2015 by the American Association of State Highway and Transpo
45、rtation Officials.All rights reserved. Duplication is a violation of applicable law.Fundamental Capabilities of E ective All-Hazards Infrastructure Protection, Resilience, and Emergency Management | 11Summary of Fundamental CapabilitiesFigure 3 provides a summary of the fundamental capabilities nece
46、ssary to support the DOTs responsibilities, organized by categories that mirror the National Preparedness Strategy: Prevention: To avoid, prevent, or stop a threatened or actual act of terrorism. Protection: To secure against acts of terrorism and man-made or natural disasters. Mitigation: To reduce
47、 loss of life and property by lessening the impact of disasters. Response: To save lives, protect property and the environment, and meet basic human needs after an incident has occurred. Recovery: To assist communities affected by an incident to recover effectively. Fundamental capabilities of DOTs
48、reflect an all-hazards approach including extreme weather, storm surges, natural events, accidental or unintended incidents, technological failure, and cybersecurity breach, and multi-modal risk assessment and management.The capabilities reflect an all-hazards approach that includes a broad range of
49、 incidents and events that have potential to impact transportation systems operations. Extreme weather, cyber incidents, and other additional hazards need to be addressed as part of an all-hazards approach. Figure 2 includes the types and frequency of events that transportation agencies may encounter along with the other agencies (local, state, and federal) that may be involved depending on the severity or complexity of the incident.The following sections provide a definition of each category, an overview of the key capabilities re
