1、Managing Catastrophic Transportation Emergencies: A Guide for Transportation Executives September 2015 2015 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law. Publ Code: MCTE-1 ISBN: 978-1-56051-639-2 2015 by
2、the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Managing Catastrophic Transportation Emergencies: A Guide for Transportation Executives | iii Foreword Congratulations on being appointed as the CEO of your organ
3、ization. This can be one of the most pow- erful and exciting opportunities in your career. Your time in public service will be critical to those you serve, even though it may often go unseen. At some point during your tenure, you will be called upon to deal with a major emergency or disaster. One ne
4、ed only watch the evening news to become aware of the potential for loss of life and devastation that can occur as the result of manmade or environmental incidents and disasters such as floods, storms, fires, earthquakes, terror events, and others. When it does happen, the day-to-day methods that yo
5、u use in your operation will be insufficient to handle the emergency. To help you navigate and prepare for the day you will be faced with these events, we prepared this guide to assist you in getting a quick understanding of what tools and people you will have at your disposal. The guide acquaints y
6、ou with not only the kinds of events you will face but also the process of preparing your agency to be ready to respond to them. Most importantly, it brings you advice from your peers, current and former, who have faced similar situ- ations. More than ten were interviewed and willingly shared though
7、ts they felt would help you deal with the event successfully. We think spending a few minutes reviewing this short guide will help you shape your thinking and rec- ognize very quickly where you will want to place effort given the many demands on your time. Sincerely, John Cox Brian Ness Director Dir
8、ector Wyoming Department of T ransportation Idaho T ransportation DepartmentChair, 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 applicabl
9、e law. 2015 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Managing Catastrophic Transportation Emergencies: A Guide for Transportation Executives | v Preface T o the Executive During your tenure as the Chi
10、ef Executive of a state DOT, transit agency, or other transportation organization, you will likely be called upon repeatedly to manage your agencys response to and recovery from a major emer- gency, event, or disaster. The emergency may consist of a short-duration, simple, static, and singular incid
11、ent; or it may be prolonged, complex, and dynamic, impacting multiple fronts and requiring deployment of exten- sive assets and resources. The need for emergency-incident response or recovery may be due to inclement weather, in the aftermath of a serious highway accident or train derailment, or caus
12、ed by a significant security threat or breach. Additionally, the same planning required for incident response is needed to manage a planned special event effectively, such as an annual holiday celebration and parade, a PGA golf tournament, or a political convention. Establishing the capability to ma
13、nage and direct “ All-Hazards” transportation emergency response and recovery effectively, irrespective of the incident type, demands preplanning, resourcing, and staging of assets and coordination internally and with other affected external agencies, companies, groups, and personnel. When an emerge
14、ncy occurs, routine day-to-day operations give way to a focused, practiced, and resilient crisis man- agement approach that requires professional skills throughout the breadth and depth of the organization. As a new CEO, you may initially be unfamiliar with your agencys critical role and capabilitie
15、s in preparing for, responding to, and recovering from an emergency situation. This Guide was developed to assist you in the transition and is based on the thoughts and advice of transportation leaders who have been in similar positions. Former and current transportation executives were interviewed
16、to gain practical understanding of CEO roles and actions during emergency events. Insights were also obtained from a review of relevant literature and infor- mation about actual emergency events that impacted transportation. Quotes from the interviews are incorporat- ed into the Guide with a summary
17、 of the interviews found in Appendix A. The Guide is organized first to provide basic information about the types of emergency incidents and events that impact transportation agencies. Next, managing these events is discussed, along with an overview of the types of questions and issues that should b
18、e considered to assist the agency in preparing for “ All-Hazards” emergency incidents. The Guide also provides additional information about where to locate more detailed ref- erence materials pertaining to transportation agency emergency management. Managing Catastrophic Transportation Emer- gencies
19、: A Guide for Transportation Executives is a reference guide specifically designed for use by newly appointed executive-level leaders of transportation organizations. It has been written to provide executive deci- sionmakers with important leadership-level information about emergency management majo
20、r-event response and recovery. 2015 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Managing Catastrophic Transportation Emergencies: A Guide for Transportation Executives | 1 Table of Contents Introduction
21、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 T ypes of Emergency Incidents and Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Assessing the Organization and Its Ca
22、pabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 CEO Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Preplanning Guidance: The Right Questions to Ask . . . . . . . . . . . .
23、. . . . . . . . . . . . . . . . . . . . . . . 15 Appendix A: Summary of CEO Interviews . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Appendix B: Federal Initiatives and Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
24、 27 Appendix C: Additional Resources to Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Appendix D: T erms and Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 Appendix E: Acronyms . . . . . . . . .
25、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .41 Appendix F: Staff Resources and T ools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 2015 by the American Association of State Highway and Transportation Of
26、ficials. 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.Managing Catastrophic Transportation Emergencies: A Guide for Transportation E
27、xecutives | 3 During one transportation CEOs tenure, there were four major snowstorms, two major tornados, and a flood event spanning the longest duration in U.S. history. Another CEO experienced the “perfect storm” in his first emergency response situationthe loss/retirement of critical experienced
28、 staff, inaccurate information, and new leadership that was not preparedthat turned a localized weather event into a statewide emergency, stranding hundreds of trucks and motorists for more than 20 hours and closing major highways for four days. As these examples demonstrate, learning emer- gency re
29、sponse “under fire” is an all-too-common experience. Senior executives who lead state departments of transportation (DOT s) have the responsibility of planning, delivering, operating, and maintaining a transportation network that includes over four million miles of roads serving local, regional, and
30、 national travel needs, along with many rail lines, bus and rail transit systems, ferries, ports, and waterways. An agencys emergency preparedness capabilitiespreparing for, responding to, and re- covering from a major eventare critical to safe and efficient operation of the nations transportation n
31、etwork. The agency you are leading, one of 52 across the nation, has been on the leading edge of a transition to a new way of thinking and approach to services. T ransportation is no longer focused on building the nations infra- structure, as it had been for nearly 200 years. Over the last 15 years,
32、 agencies through American Association of State Highway and T ransportation Officials (AASHTO) have been focused on understanding, inventing, and implementing a refocused mission and serving the nations trans- portation needs. T o get a sense of this changing environment, consider three major initia
33、tives that DOT agencies are pursuing. 1. Beginning in 1995, DOT s across the country began to investigate and implement a new approach to managing pavements, bridges, and other assets using principles adopted from the private sector in an approach that has come to be known as Asset Management. Agenc
34、ies are moving to employ life-cycle costing as a decision-mak- ing aid in doing their business. This addition to the planning and investment process has helped bring closer together the engineering, financial, innovative finance, and political communities. Most agencies now use these principles in m
35、aking difficult investment decisions with increasingly limited funds. 2. At the turn of the Century, recognizing that their mission was no longer building major transportation “I learned emergency response under fire.” Five fundamental responsibilities in security and emergency response: 1. Prevent
36、incidents within your control and responsibility; 2. Protect transportation users, agency personnel, and critical infrastructure; 3. Support regional, state, and local emergency responders with resources including facilities, equipment, and personnel; 4. Recover swiftly from incidents; and 5. Evalua
37、te response(s) and continually improve plans, training, skills, and pro- tocols. Source: AASHTO Introduction 2015 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.4 | networks, transportation agencies began t
38、o explore what it would mean to be a 21st Century Opera- tions-Oriented DOT. The focus of this work has been on how to operate a transportation system and how to convert agency staffing and processes to support the emerging mission. This effort has resulted in a broad body of work in understanding o
39、rganizational readiness, staff training programs, improving customer service, and traffic management programs. The end result of much of the effort is to improve the reliability of the transportation network through improved operations. 3. As a result of the events of 9/11 and a long-term commitment
40、 to the use of technology and the work surrounding improving operations, agencies are now implementing a new focus on Emergency Re- sponse and their role in homeland security. T ransportation plays a critical and unique role in emergen- cy response. As the National Response Framework (NRF) states, “
41、The ability to sustain transportation services, mitigate adverse economic impacts, meet societal needs, and move emergency relief personnel and commodities will hinge on effective transportation decisions at all levels.” T ransportations unique role stems from the broad range of capabilities and res
42、ponsibilities a transportation agency has: large and distributed workforces, easy access to heavy equipment, and a robust communications infrastruc- ture. In most states, the only other agency capable of mobilizing personnel and equipment, in quantity, to plan for or respond to any emergency may be
43、the National Guard. These initiatives bring into sharp focus the critical role a transportation CEO plays, particularly as a leader in emergency response planning and operations. A state governor expects the DOT to respond to a disaster or emer- gency and simultaneously handle day-to-day responsibil
44、ities. Meeting these expectations requires CEO leader- ship; engagement of skilled employees; and critical, targeted investment in technology, people, and infrastructure. T o be ready for the agencys role, a CEO needs to ensure that a comprehensive emer- gency management program is in place within t
45、he agency. The four phases of emergency operationsPreparedness, Response, Recovery, and Mit- igationare summarized in Figure 1. A state DOT must be prepared for risks that cannot be eliminated and be prepared to deal with the consequences of actual events and to recover from those events. Figure 1.
46、Phases of Emergency Operations Recovery Response Preparedness Mitigation Figure 1 2015 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Managing Catastrophic Transportation Emergencies: A Guide for Transporta
47、tion Executives | 5 The term “all hazards” includes a broad range of incidents and events that have potential to impact transporta- tion systems operations. Figure 2 illustrates the types and frequency of events that transportation agencies may encounter. These events may require coordination with o
48、ther agencies (local, state, and federal) depending on the severity or complexity of the incident. Planned activities range from frequent local or regional events such as sporting events, concerts, and parades to less frequent National Security Special Events (NSSE) such as political conventions and presidential inaugurations. Weather-related incidents span the range of predi
