Public Transportation Emergency Mobilization and Emergency Operations Guide (2005)

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T R A N S P O R T A T I O N R E S E A R C H B O A R D WASHINGTON, D.C. 2005 www.TRB.org 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 TCRP REPORT 86 Research Sponsored by the Federal Transit Administration in Cooperation with the Transit Development Corporation SUBJECT AREAS Planning and Administration • Safety and Human Performance • Public Transit • Rail Public Transportation Security Volume 7 Public Transportation Emergency Mobilization and Emergency Operations Guide JOHN N. BALOG McCormick, Taylor & Associates, Inc. Philadelphia, PA ANNABELLE BOYD & JIM CATON Boyd, Caton & Grant Transportation Group, Inc. Earlysville, VA PETER N. BROMLEY & JAMIE BETH STRONGIN McCormick, Taylor & Associates, Inc. Philadelphia, PA DAVID CHIA & KATHLEEN BAGDONAS Planners Collaborative, Inc. Boston, MA

TRANSIT COOPERATIVE RESEARCH PROGRAM The nation’s growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Current 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 problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the transit industry. The Transit Cooperative 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 213—Research for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administration—now the Federal Transit Admin- istration (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 longstanding and successful National Cooperative Highway Research Program, undertakes research and other technical activities in response to the needs of transit service providers. The scope of TCRP includes a variety of transit research fields including plan- ning, 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 organizations: FTA, The National Academies, 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) Committee. 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 Committee to formulate the research program by identifying the highest priority projects. As part of the evaluation, the TOPS Committee defines funding levels and expected products. Once selected, each project is assigned to an expert panel, appointed by the Transportation Research Board. The panels prepare project statements (requests for proposals), 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 activ- ities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired impact if products fail to reach the intended audience, special emphasis is placed on disseminating TCRP results to the intended end users of the research: transit agencies, 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, training aids, field visits, and other activities to ensure that results are implemented by urban and rural transit industry practitioners. The TCRP provides a forum where transit agencies can cooperatively address common operational problems. The TCRP results support and complement other ongoing transit research and training programs. TCRP REPORT 86: Volume 7 Project J-10B(1) ISSN 1073-4872 ISBN 0-309-08833-X Library of Congress Control Number 2005928011 © 2005 Transportation Research Board Price $25.00 NOTICE The project that is the subject of this report was a part of the Transit Cooperative Research Program conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. Such approval reflects the Governing Board’s judgment that the project concerned is appropriate with respect to both the purposes and resources of the National Research Council. The members of the technical advisory panel selected to monitor this project and to review this report were chosen for recognized scholarly competence and with due consideration for the balance of disciplines appropriate to the project. The opinions and conclusions expressed or implied are those of the research agency that performed the research, and while they have been accepted as appropriate by the technical panel, they are not necessarily those of the Transportation Research Board, the National Research Council, the Transit Development Corporation, or the Federal Transit Administration of the U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical panel according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. Special Notice The Transportation Research Board of The National Academies, the National Research Council, the Transit Development Corporation, and the Federal Transit Administration (sponsor of the Transit Cooperative Research Program) do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the clarity and completeness of the project reporting. Published 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 at http://www.national-academies.org/trb/bookstore Printed in the United States of America

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board’s mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board’s varied activities annually engage more than 5,000 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. www.TRB.org www.national-academies.org

COOPERATIVE RESEARCH PROGRAMS STAFF FOR TCRP REPORT 86 ROBERT J. REILLY, Director, Cooperative Research Programs CHRISTOPHER W. JENKS, TCRP Manager S. A. PARKER, Senior Program Officer EILEEN P. DELANEY, Director of Publications HILARY FREER, Editor TCRP PROJECT J-10B(1) Field of Special Projects—Area of Security WILLIAM J. FLEMING, Massachusetts Bay Transportation Authority ERNEST R. “RON” FRAZIER, AMTRAK, Wilmington, DE BEN GOMEZ, Dallas Area Rapid Transit JOHN K. JOYCE, Greater Cleveland Regional Transit Authority K. SCOTT KIMERER, King County (WA) Sheriff/Metro Transit Police LISA A. MANCINI, CSX Transportation, Jacksonville, FL FRANK T. MARTIN, PBS&J, Tallahassee, FL MICHAEL J. WALKER, Toronto Transit Commission PATRICIA WEAVER, University of Kansas RICHARD WINSTON, Chicago Transit Authority VINCENT P. PEARCE, FHWA Liaison LEWIS P. CLOPTON, FTA Liaison ROBERT D. JAMISON, FTA Liaison QUON KWAN, FTA Liaison TERRELL WILLIAMS, FTA Liaison ANTHONY VANCHIERI, TSA Liaison GREG HULL, APTA Liaison VIVIENNE WILLIAMS, APTA Liaison MIKE AUBERGER, Atlantis Community Liaison ALLAN J. DEBLASIO, Volpe National Transportation Systems Center Liaison PAUL GOLDEN, DHS Information Assurance and Infrastructure Protection Liaison KAREN HEAD, Amalgamated Transit Union Liaison DAN KNOTE, Federal Railroad Administration Liaison CHRISTOPHER A. KOZUB, National Transit Institute Liaison GEORGE MCDONALD, Transport Workers Union Liaison ED PRITCHARD, Federal Railroad Administration Liaison MATTHEW D. RABKIN, Volpe National Transportation Systems Center Liaison LENA TIMMONS, Project ACTION Liaison JOEDY W. CAMBRIDGE, TRB Liaison PETER SHAW, TRB Liaison

FOREWORD By S. A. Parker Staff Officer Transportation Research Board Homeland Security Presidential Directive-5 (HSPD-5) spawned the National Inci- dent Management System, “a consistent nationwide approach for federal, state, tribal, and local governments to work effectively and efficiently together to prepare for, pre- vent, respond to, and recover from domestic incidents, regardless of cause, size, or complexity.” Public Transportation Emergency Mobilization and Emergency Opera- tions Guide, the seventh volume of TCRP Report 86: Public Transportation Security, has been developed to highlight key considerations for public transportation agencies working with their local communities to enhance mobilization capabilities. It provides recommendations and tools based on an extensive research effort conducted with pub- lic transportation systems; local, state and federal emergency planning agencies; and first responders around the country. It describes activities that may be taken by public transportation systems to • Promote early recognition of emergency events that have the potential to over- whelm the capabilities of the transportation system to respond and that require activation of available local and mutual aid resources; • Expedite response to an emergency event occurring on transportation-system property by promoting the rapid deployment of personnel and equipment to address, manage, and resolve the event; • Coordinate the application and integration of additional organized, qualified resources from other agencies (e.g., regional, state, and federal) in response to a major emergency; and • Ensure that public transportation resources are available to support the response to emergency events occurring in the transportation system’s service area and that these resources can be effectively integrated into an extended program for both response and recovery. This volume of TCRP Report 86: Public Transportation Security will be of interest to transit general managers; transit emergency-response, law-enforcement, and security officials; and operations, training, and human-resources staffs. It will also be of interest to federal, state, and local emergency-response and emergency-management representatives. This volume was prepared by McCormick Taylor, Inc., under TCRP Project J-10B(1). Emergencies arising from terrorist threats highlight the need for transportation man- agers to minimize the vulnerability of passengers, employees, and physical assets through incident prevention, preparedness, response, and recovery. Managers are seeking to reduce the chances that transportation vehicles and facilities will be targets or instruments of terrorist attacks and to be prepared to respond to and recover from such possibilities. By being prepared to respond to terrorism, each public transportation agency is simulta-

neously prepared to respond to natural disasters such as hurricanes, floods, and wildfires, as well as human-caused events such as hazardous materials spills and other incidents. This is the seventh volume of TCRP Report 86: Public Transportation Security, a series in which relevant information is assembled into single, concise volumes, each per- taining to a specific security problem and closely related issues. These volumes focus on the concerns that transit agencies are addressing when developing programs in response to the terrorist attacks of September 11, 2001, and the anthrax attacks that followed. Future volumes of the report will be issued as they are completed. To develop this volume in a comprehensive manner and to ensure inclusion of sig- nificant knowledge, available information was assembled from numerous sources, including a number of public transportation agencies. A topic panel of experts in the sub- ject area was established to guide the researchers in organizing and evaluating the col- lected 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 TCRP Report 86: Public Transportation Security may be found on the TRB website at http://www4.trb.org/trb/crp.nsf/All+Projects/TCRP+J-10.

S-1 SUMMARY 1-1 SECTION 1 Introduction Role of Public Transportation in Major Emergencies, 1-2 Mobilization Considerations, 1-3 Basis for Guide, 1-4 Objectives and Organization of This Guide, 1-6 Appendixes, 1-6 2-1 SECTION 2 Framework for Emergency Mobilization Department of Homeland Security Requirements, 2-3 Implications for Public Transportation Agencies, 2-9 3-1 SECTION 3 Organizing for Incident Management The Public Transportation Incident Management Organization, 3-2 Hypothetical Response Example, 3-2 Roles and Responsibilities, 3-7 Coordination with Public Transportation Emergency Operations Center and Local Emergency Operations Centers, 3-10 Benefits of IMO Response, 3-11 4-1 SECTION 4 Developing an Emergency Operations Plan Emergency Operations Plan Elements, 4-2 Developing the Emergency Operations Plan, 4-3 Emergency Planning Principles Applied to Public Transportation, 4-7 5-1 SECTION 5 Supporting Community Evacuation Recent Experience, 5-1 Evacuation Planning, 5-2 The Decision to Evacuate, 5-3 Need for Additional Transportation, 5-4 Recommendations for Public Transportation, 5-4 Checklist, 5-7 Planning and Preparation, 5-8 Notification and Deployment, 5-12 Response and Evacuation, 5-13 Recovery and Restoration of Service, 5-13 6-1 SECTION 6 Terrorism and Public Transportation Defining Terrorism, 6-1 Historical Record of Incidents, 6-1 Database, 6-1 News Sources, 6-2 Results, 6-2 Emerging Threats, 6-5 7-1 SECTION 7 Terrorism Response—Capabilities Assessment, Prevention, and Awareness Assessment of Existing Capabilities, 7-1 Prevention, 7-3 Awareness, 7-10 Incident Response Protocols, 7-12 R-1 REFERENCES AAI-1 ACRONYMS, ABBREVIATIONS AND INITIALISMS A-1 APPENDIX A Emergency Mobilization Survey Cover Letter and Research Instrument B-1 APPENDIX B Survey of U.S. Public Transportation Systems C-1 APPENDIX C Understanding the Incident Command System (ICS) D-1 APPENDIX D Useful Mobilization Resources CONTENTS