Responding to Threats: A Field Personnel Manual (2004)

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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. 2004 www.TRB.org NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 525 Research Sponsored by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration SUBJECT AREAS Planning and Administration • Safety and Human Performance • Public Transit • Rail • Aviation • Freight Transportation • Marine Transportation Surface Transportation Security Volume 1 Responding to Threats: A Field Personnel Manual SCIENCE APPLICATIONS INTERNATIONAL CORPORATION (SAIC) McLean, VA

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research provides the most effective approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board’s recognized objectivity and understanding of modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; it possesses avenues of communications and cooperation with federal, state and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objectivity; it maintains a full-time research correlation staff of specialists in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The program is developed on the basis of research needs identified by chief administrators of the highway and transportation departments and by committees of AASHTO. Each year, specific areas of research needs to be included in the program are proposed to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Note: The Transportation Research Board of the National Academies, the National Research Council, the Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the individual states participating in the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of this report. Published reports of the NATIONAL COOPERATIVE HIGHWAY 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 NCHRP REPORT 525: Volume 1 Project 20-59(6) FY’02 ISSN 0077-5614 ISBN 0-309-08803-8 Library of Congress Control Number 2004111186 © 2004 Transportation Research Board Price $18.00 NOTICE The project that is the subject of this report was a part of the National Cooperative Highway 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 program concerned is of national importance and appropriate with respect to both the purposes and resources of the National Research Council. The members of the technical committee 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 committee, they are not necessarily those of the Transportation Research Board, the National Research Council, the American Association of State Highway and Transportation Officials, or the Federal Highway Administration, U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical committee according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council.

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. Bruce M. Alberts 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. Bruce M. Alberts 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 NCHRP REPORT 525 ROBERT J. REILLY, Director, Cooperative Research Programs CRAWFORD F. JENCKS, Manager, NCHRP S. A. PARKER, Senior Program Officer EILEEN P. DELANEY, Director of Publications NCHRP PROJECT 20-59 PANEL FOR PROJECT 20-59(6) Field of Special Projects—Area of Security THOMAS HICKS, Maryland State Highway Administration (Chair) DAVID P. ALBRIGHT, New Mexico Office of Homeland Security JAMES D. COOPER, FHWA (Retired) PAUL GOLDEN, National Infrastructure Protection Center Liaison Representative ANTHONY R. KANE, AASHTO VINCENT P. PEARCE, FHWA RAY L. PURVIS, Missouri DOT (Retired) MARY LOU RALLS, Texas DOT (Retired) TERRY SIMMONDS, Washington State DOT (Retired) STEVEN L. ERNST, FHWA Liaison Representative THEOPHILOS C. GEMELAS, TSA Liaison Representative DAVID S. EKERN, AASHTO Liaison Representative MATTHEW D. RABKIN, Volpe National Transportation Systems Center Liaison Representative

This first volume of NCHRP Report 525: Surface Transportation Security will be of interest to transportation officials and others responsible for establishing and com- municating desired employee practices in observing and reporting security threats. The audience will therefore include chief executive officers; senior executives; operational and technical managers; law enforcement officers; security personnel; and communi- cations, training, and human-resources staff. Personnel with similar responsibilities in transportation or public works will also find this report to be of value. The objective of Volume 1: Responding to Threats: A Field Personnel Manual is to provide a draft template that contains basic security awareness training in a work- book format that can be redesigned as a pamphlet, glove-box brochure, or other user- specific document. This NCHRP manual emphasizes noticing and reporting behavior that may be part of the planning stages of an event, and explains how an increased level of attention on the part of all employees can deter criminal and terrorist plans prior to implementation. This document is not intended to be implemented verbatim; rather, it is a resource that provides raw materials, leaving it up to each individual state to assimilate all the information available to it and develop its own comprehensive secu- rity program based on the circumstances and needs of that state. Science Applications International Corporation prepared this volume of NCHRP Report 525 under NCHRP Project 20-59(6). Emergencies arising from terrorist threats highlight the need for transportation managers to minimize the vulnerability of travelers, employees, and physical assets through incident prevention, preparedness, response, and recovery. Managers are seek- ing 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 transportation agency is simultaneously 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 first volume of NCHRP Report 525: Surface Transportation Security, a series in which relevant information is assembled into single, concise volumes—each pertaining to a specific security problem and closely related issues. These volumes focus on the concerns that transportation agencies are addressing when developing pro- grams 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 state departments of transportation. A topic panel of experts in the subject area was established to guide the researchers in organizing and evaluating the collected data and to review the final document. FOREWORD By S. A. Parker Senior Program Officer Transportation Research Board

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 avail- able 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 NCHRP Report 525: Surface Transportation Security may be found on the TRB website at http://www4.trb.org/trb/crp.nsf/All+Projects/NCHRP +20-59. ###

The content and structure of this manual are provided in draft form and only as a sample template, for customization by state and local transportation agencies. The man- ual is not site-, operation-, threat-, vulnerability-, or circumstance-specific. The user agency has the responsibility to make all changes and take all other measures (e.g., site testing, staff training, conduct of exercises, effectiveness verification, and coordination with local security agencies) necessary to ensure that the manual is designed and imple- mented safely and in accordance with the user’s security needs. As threats, vulnerabilities, or other changes in circumstances occur, the content and structure of this document may no longer be valid and should not be relied upon. Fur- thermore, no guarantees or assurances are provided or implied that the use of this or any derivative manual will mitigate criminal or terrorist acts. SAIC D ISCLAIMER

This draft manual provides a draft template to address the concept of security awareness and the recognition and reporting of unusual circumstances to reduce the opportunity for initiation of criminal and terrorist acts. It is disseminated in workbook format to allow the user organization to add contact-, facility-, site-, and operations- specific information and otherwise modify the document to meet user-specific needs. It is to be completed and customized by and for the end-user organization before field use. A coordinated review by the user-organization’s security office, local secu- rity agencies (e.g., police), and others (e.g., union, insurance company) is strongly recommended. The manual is inspired by the training material, System Security Awareness for Transportation Employees and Security Incident Management for Transportation Supervisors—Instructor Package, developed by the National Transit Institute (NTI).1 These materials and the NTI materials present frameworks of information to be adapted by individual state DOTs based on the circumstances and needs of each state. Neither set of materials is intended to be implemented verbatim. The materials present an overlapping range of information, philosophies, and approaches that must be rec- onciled by or for the end user prior to implementation. The final manual, as amended by the user, should be designed for use by —and given only to—personnel who have received training. For training-related information, please contact NTI at: The National Transit Institute, 120 Albany Street, Tower Two Suite 250, New Brunswick, NJ 08901, tel. (732) 932-1700, www.ntionline.com. INSTRUCTIONS 1 The National Transit Institute Workplace Safety and Security Program’s “System Security Awareness for Transportation Employees and Security Incident Management for Transportation Supervisors,” Instructor Package, Version 1.0, September 12, 2003.

CONTENTS 1 Introduction, 1 2 How Terrorists/Criminals Select a Target or a Victim, 2 3 Potential Targets, 3 4 What the Terrorist/Criminal Needs to Know, 4 5 Where to Look, 5 6 What to Look For, 7 7 How and What to Report, 10 8 When to Intervene, 12 9 Potential Actions to Further Improve Security, 13 10 Sample Report, 15 11 Contact List, 16 12 A Few Key Reminders, 17