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Suggested Citation:"Introduction." National Academies of Sciences, Engineering, and Medicine. 2014. Managing Catastrophic Transportation Emergencies: A Guide for Transportation Executives. Washington, DC: The National Academies Press. doi: 10.17226/22304.
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Page 5
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Suggested Citation:"Introduction." National Academies of Sciences, Engineering, and Medicine. 2014. Managing Catastrophic Transportation Emergencies: A Guide for Transportation Executives. Washington, DC: The National Academies Press. doi: 10.17226/22304.
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Page 6

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Introduction During one transportation CEO’s 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 situation— the loss/retirement of critical experienced staff, inaccurate information, and new leadership that was not prepared—that 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 4 days. As these examples demonstrate, learning emergency response under fire is an all-too-common experience. Senior executives who lead state DOTs have the responsibility of planning, delivering, operating, and maintaining a transportation network that includes over four million miles of roads serving local, regional, and national travel needs, along with many rail lines, bus and rail transit systems, ferries, ports, and waterways. An agency’s emergency preparedness capabilities— preparing for, responding to, and recovering from a major event—are critical to safe and efficient operation of the nation’s transportation network. 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. Transportation is no longer focused on building the nation’s infrastructure, as it had been for nearly 200 years. Over the last 15 years agencies, through American Association of State Highway and Transportation Officials (AASHTO), have been focused on understanding, inventing, and implementing a refocused mission and serving the nation’s transportation needs. To get a sense of this changing environment, consider three major initiatives that DOT agencies are pursuing. 1. Beginning in 1995, DOTs 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. Agencies are moving to employ life-cycle costing as a decision-making 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 making difficult investment decisions with increasingly limited funds. 2. At the turn of the century, recognizing that their mission was no longer building major transportation networks, transportation agencies began to explore what it would mean to be a 21st century operations–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 organizational readiness, staff training programs, improving customer service, and traffic management programs. The result of much of the effort has been to improve the reliability of the transportation network through improved operations. 3. As a result of the events of September 11, 2001, and a long-term commitment to the use of technology and the work surrounding improving operations, agencies are now implementing a new focus on emergency response and their role in homeland security. Transportation plays a critical and unique role in emergency response. As the National Response Framework (NRF) states, “the ability to sustain transportation services, mitigate adverse economic impacts, meet societal needs, and move emergency relief personnel and commodities will hinge on effective “I learned emergency response under fire.” 3

transportation decisions at all levels.” Transportation’s unique role stems from the broad range of capabilities and responsibilities a transportation agency has: large and distributed workforces, easy access to heavy equipment, and a robust communications infrastructure. 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 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 emergency and simultaneously handle day-to-day responsibilities. Meeting these expectations requires CEO leadership, engagement of skilled employees, and critical, targeted investment in technology, people, and infrastructure. To be ready for the agency’s role, a CEO needs to ensure that a comprehensive emergency management program is in place within the agency. The four phases of emergency operations—preparedness, response, recovery, and mitigation—are 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. Phases of emergency operations. Develop and implement programs aimed toward reducing the impact of these events on your agency. Examine potential emergencies and disasters based on the risks posed by likely hazards and build the emergency management functions to respond effectively to, and recover from, any event. Recover so that you can return to normal and protect against future hazards. Conduct emergency operations to save lives and property by doing such things as restoring critical infrastructure and services. Fundamental responsibilities in infrastructure protection, emergency management and resilience: 1. Prevent 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; 5. Evaluate response(s) and continually improve plans, training, skills, and protocols. Source: Countermeasures Assessment & Security Experts, LLC and Western Management & Consulting, LLC, 2014. 4

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TRB’s National Cooperative Highway Research Program (NCHRP) Web-Only Document 206: Managing Catastrophic Transportation Emergencies: A Guide for Transportation Executives provides guidance to new chief executive officers (CEOs) about the roles and actions that CEOs take during emergency events.

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