SECURITY, PREPAREDNESS AND RESPONSE STRATEGIC GOAL

“Balance transportation security requirements with the safety, mobility and economic needs of the Nation and be prepared to respond to emergencies that affect the viability of the transportation sector”

Outcomes

  1. Expert transportation sector intelligence
  2. Preparedness for emergencies affecting the transportation sector
  3. Effective response to emergencies affecting the transportation sector

Strategies

We have defined our Security, Preparedness and Response Strategic Goal to address challenges that seem greater than any we have faced in our history – challenges from terrorism and challenges from nature.

We address Security against the background of 9/11.  Modern weapons give terrorists a tremendous amount of leverage in wreaking damage and havoc throughout the transportation network.  In the London attack on July 7, 2005, just a handful of individuals disrupted one of the world's great metropolitan transit systems.  Our security strategies recognize that the transportation network must not only move millions of people and tons of cargo daily but also must remain a vital link for Department of Defense mobilization requirements.  In this regard, we will continue to work closely with the Department of Homeland Security to assess and reduce the vulnerabilities of transportation services and infrastructure to terrorist or criminal attacks while ensuring the mobility needs of the Nation for personal travel and commerce. 

We address Preparedness and Response against the background of one of the most catastrophic natural disasters in American history – Hurricane Katrina.  Transportation was critical in the Katrina evacuation considering the fact that well over a million people had to move out of the area rapidly.  More people migrated after Katrina than in any other previous mass migration in American history except for the Dust Bowl, which took place over a period of decades and not over a period of a few days. 

Against this backdrop, our Security, Preparedness and Response strategies address the challenges we anticipate in coming years.  We recognize that the first element of facing a challenge is to prepare for it, and preparing involves many different activities – policy making, reviewing and validating intelligence, planning, building capacity, training, and exercising scenarios.  Our strategies put those elements in place to prepare us to deal with both expected and unexpected emergencies. 

Our emphasis on planning is well founded:  experience tells us that if you do not have a proper plan, improvisation is not going to provide the answer that you need when you are in the middle of the catastrophe.  From the same standpoint, our strategies integrate our authorities and capabilities across the Department.  A mode by mode, or stovepipe response would produce far less than a totality of effort.

Having a good plan, however, is no guarantee that evacuations, for example, will be carried out smoothly, particularly mass evacuations that involve many different agencies at all levels of government.  Our strategies call for joint exercises in which plans are tested against different scenarios to determine if cooperating agencies can become accustomed to working together and can assess how their plans address various contingencies.  Our strategies address security, preparedness, and response in a comprehensive, coordinated, multi-modal approach. 

Resources

The human resources, programs, capital assets, information technology and other resources described in DOT's Annual Performance Budgets are needed to achieve our outcomes for Security, Preparedness and Response and to execute the strategies presented below.  The schedule for executing these strategies extends from fiscal year 2006 through fiscal year 2011. 

Security Strategies

  1. Work with the Operating Administrations to communicate and validate timely, relevant, expert intelligence analysis that focuses preparedness efforts, supports operational response, supports international programs, and informs technical requests from the Intelligence and Law Enforcement Communities. (Supports outcomes 1 and 2)
  2. Work with the Operating Administrations to develop a security policy framework that will ensure preparedness, mitigate the consequences of transportation sector emergencies, and support the Department's mission. (Supports outcomes 1 and 2)
  3. Fulfill DOT commitments to international partners and agreements, such as the Security and Prosperity Partnership for North America, and the North Atlantic Treaty Organization (NATO). (Supports all outcomes)
  4. Maintain DOT responsibility for oversight of national security initiatives affecting the maritime transportation system within the Maritime Administration. (Supports all outcomes)
  5. Maintain government-owned sealift assets and provide assured access to commercial sealift and related commercial intermodal assets for use in defense mobilizations and national emergencies. (Supports all outcomes)
  6. Develop and implement actions to work aggressively on closing identified security program gaps and emergency operation gaps throughout the transportation system. (Supports all outcomes)
  7. Work with the States, the Department of Defense, Surface Deployment and Distribution Command, State military offices, and applicable military units to identify and address the highway infrastructure and operational requirements that support National defense and deployment needs. (Supports outcomes 1 and 2)
  8. Represent government and industry stakeholders within the civil community in the identification of U.S. Space-Based Position, Navigation, and Timing (PNT) needs and requirements, the promotion, coordination and leveraging of PNT capabilities across the civil community, and in the development of backup position and timing capabilities that can support critical infrastructure applications within the U.S.  (Supports all outcomes)
  9. Develop, promote and enforce performance-based national and international hazardous materials security standards. (Supports outcomes 1 and 2)

Cyber Security Strategies

  1. Make information technology (IT) a strategic enabler for the Department to provide critical capabilities for secure, efficient storage and transfer of information. (Supports outcome 2)
  2. Evolve and mature the DOT Information Assurance Program to comply fully with the Federal Information Security Management Act. (Supports outcome 2)
  3. Begin a phased integration of logical access controls into DOT processes through DOT Common Identity Standards in support of Homeland Security Presidential Directive (HSPD)-12. (Supports outcome 2)
  4. Integrate effective IT security programs with critical business functions and systems to protect the confidentiality, integrity and availability of mission critical information. (Supports all outcomes)

Preparedness Strategies

  1. Work with the Office of the Secretary and Operating Administrations to:
    1. Develop multi-modal metrics to measure progress against each of the three new outcomes under this strategic goal by October 1, 2008. (Supports all outcomes) 
    2. Establish and maintain emergency operations staffing, special teams and capabilities to respond effectively to incidents and fulfill our commitments under Homeland and National Security Presidential Directives and the National Response Plan. (Supports all outcomes) 
    3. Provide complete, consolidated and accurate information about the impacts of incidents on the transportation system, for distribution to stakeholders and other government agencies. (Supports all outcomes)
    4. Assure continuity of operations, support continuity of government, and maintain emergency operations surge staffing and response capabilities to respond effectively to incidents and fulfill our commitments under Homeland and National Security Presidential Directives and the National Response Plan. (Supports all outcomes)
  1. Regularly review hazmat transportation security measures using risk-based analyses to determine whether additional requirements are necessary and whether there are opportunities to moderate our regulatory posture wherever possible. (Supports all outcomes)
  2. Conduct hazmat field inspections, research, partnerships, and education through a coordinated approach that ensures the security of the transportation sector. (Supports all outcomes)
  3. Conduct and support research to reduce the vulnerability of transportation systems and to improve their ability to prepare for and recover from attacks, natural disasters, and emergencies. (Supports all outcomes) 
  4. Provide security training for transportation professionals, continuously updating the training to reflect advances in the state-of-the-art and state-of-the-practice and to meet changing training needs. (Supports outcomes 2 and 3)

Response Strategies

  1. Develop and maintain plans, procedures, training and exercises that prepare the Department to respond to incidents whether security related or natural disasters. (Supports outcomes 2 and 3)
  2. Provide transportation assistance during disasters to other Federal agencies, States and local governments under the National Response Plan to reduce loss of life, suffering and property damage. (Supports outcome 3)
  3. Implement the public transit emergency management program in coordination with other DOT elements and other Federal agencies to ensure responsiveness to emergency transportation needs. (Supports outcomes 2 and 3)

22.  Sponsor programs which ensure that local emergency responders have timely access to hazardous materials information carried by all modes, and provide training and tools to help responders react effectively. (Supports outcome 3)

Performance Measures

Table 5 shows the relationship between our Security, Preparedness and Response outcomes and the milestones and performance measures that will measure our progress toward that goal.

Table 5.  Security, Preparedness and Response Outcomes, Performance and Measures Milestones 

Outcomes

Performance Measures

  1. Expert transportation sector intelligence
  2. Preparedness for response to emergencies affecting the transportation sector
  3. Effective response to emergencies affecting the transportation sector

Target:  DOT will develop quantitative performance measures for each of the three outcomes by October 1, 2008.   DOT has set milestones for developing these measures as follows:

- Develop multi-modal performance measures for each of the four outcomes by September 30, 2007

 -Conduct a trial performance period to field test and calibrate the performance measures between October 1, 2007 and September 30, 2008

- Implement final performance measures for each of the four outcomes October 1, 2008

Hazmat Emergency Response Measures

- Number of Emergency Response Guidebooks distributed.  2008 Quadrennial Target is 2.4M

- Number of first responders trained - Annual target is 180,000.

- Number of emergency response plans completed.  Annual target is 5,000.

- Number of hazmat employees trained.  Annual target is 100,000.

    Defense Mobilization Measures

Percentage of DoD required shipping capacity complete with crews available with mobilization timelines.  Target:  through 2011, maintain the timely availability of DoD required shipping capacity at 94 percent.

Percentage of DoD designated commercial ports available for military use within DoD established readiness timelines.  Target:  through 2011, maintain the timely availability of DOD required commercial strategic port facilities at 93 percent.

External Factors

The most significant external factors that could affect our ability to achieve our security, preparedness and response strategic goal are an Asian Flu Pandemic or major disruptions to transportation caused by natural disasters, terrorists or criminals.

Flu Pandemic

Globalization and the resulting highly integrated transportation networks make it possible for infectious diseases to spread rapidly from one region of the world to another.  The outbreak of an infectious disease in one part of the world may have serious economic and financial consequences for transportation firms operating in the region.  While the spread of any infectious disease would cause a serious disruption in world commerce and travel, concern is now focused on an Avian Flu Pandemic.  The outbreak of a highly infectious disease such as the Avian Flu could strain all segments of our economy and all modes of transportation. 

DOT has plans in place to sustain its critical business operations through a combination of teleworking (to promote social distancing) and working on-site for those functions that cannot be performed via telework.  DOT will work with the Departments of State and Homeland Security as well as with State and local governments for prioritized delivery of critical system and services nationwide.  Nevertheless, a flu pandemic is an external factor that could impact our ability to achieve our strategic goals.

Disruptions from Natural Disasters, Terrorists and Criminal Attacks

Natural disasters such as hurricanes, tornados, earthquakes and floods demonstrate that the government needs to be ready to collaborate and cooperate in new and innovative ways to cope with such events effectively.  Similarly, terrorist and criminal attacks on transportation systems can disrupt passenger transportation and the flow of cargo, particularly vital commodities such as food, medicines and petroleum products.  Major transportation fuel supply disruptions could occur in pumping or transporting crude oil, in refining crude oil and in the distribution and delivery of fuels.  Damage to large segments of roadway, tunnels, or bridges, as well as to waterway transport, rail freight movement, and transit services are all plausible risks.  Electricity supply disruptions, such as major blackouts or brownouts, could sharply affect the operation of certain transport sectors, particularly aviation, rail, and transit.  Reliance on information technology makes the Department itself, and thus its ability direct recovery efforts, more vulnerable when blackouts occur.  The 2005 hurricane season dramatically revealed how enormous peak burdens were placed on the nation’s transportation system when millions of people attempted to vacate or relocate in a narrow window of time.  Primarily the roadway system, but also mass transit, rail, air and other modes can be severely burdened by such events.  Disruptions from natural disasters, terrorists and criminal attacks will challenge our ability to achieve our goals.


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