Communication of Threats: A Guide (2002)

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TRANSPORTATION RESEARCH BOARD Public Transportation Security: Volume 1 Communication of Threats: A Guide TRANSIT COOPERATIVE RESEARCH PROGRAMTCRP REPORT 86 Sponsored by the Federal Transit Administration NATIONAL RESEARCH COUNCIL

TCRP OVERSIGHT AND PROJECT SELECTION COMMITTEE (as of June 2002) CHAIR LINDA S. WATSON Corpus Christi RTA MEMBERS DANNY ALVAREZ Miami-Dade Transit Agency KAREN ANTION Karen Antion Consulting GORDON AOYAGI Montgomery County Government JEAN PAUL BAILLY Union Internationale des Transports Publics J. BARRY BARKER Transit Authority of River City RONALD L. BARNES Central Ohio Transit Authority LINDA J. BOHLINGER HNTB Corp. ANDREW BONDS, JR. Parsons Transportation Group, Inc. JENNIFER L. DORN FTA NATHANIEL P. FORD, SR. Metropolitan Atlanta RTA CONSTANCE GARBER York County Community Action Corp. FRED M. GILLIAM Capital Metropolitan Transportation Authority SHARON GREENE Sharon Greene & Associates KATHERINE M. HUNTER-ZAWORSKI Oregon State University ROBERT H. IRWIN British Columbia Transit JOYCE HOBSON JOHNSON North Carolina A&T State University CELIA G. KUPERSMITH Golden Gate Bridge, Highway and Transportation District PAUL J. LARROUSSE National Transit Institute DAVID A. LEE Connecticut Transit CLARENCE W. MARSELLA Denver Regional Transportation District STEPHANIE L. PINSON Gilbert Tweed Associates, Inc. ROBERT H. PRINCE, JR. DMJM+HARRIS JEFFERY M. ROSENBERG Amalgamated Transit Union RICHARD J. SIMONETTA pbConsult PAUL P. SKOUTELAS Port Authority of Allegheny County PAUL A. TOLIVER King County Metro EX OFFICIO MEMBERS WILLIAM W. MILLAR APTA MARY E. PETERS FHWA JOHN C. HORSLEY AASHTO ROBERT E. SKINNER, JR. TRB TDC EXECUTIVE DIRECTOR LOUIS F. SANDERS APTA SECRETARY ROBERT J. REILLY TRB TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2002 (Membership as of July 2002) OFFICERS Chair: E. Dean Carlson, Secretary of Transportation, Kansas DOT Vice Chair: Genevieve Giuliano, Professor, School of Policy, Planning, and Development, USC, Los Angeles Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS WILLIAM D. ANKNER, Director, Rhode Island DOT THOMAS F. BARRY, JR., Secretary of Transportation, Florida DOT MICHAEL W. BEHRENS, Executive Director, Texas DOT JACK E. BUFFINGTON, Associate Director and Research Professor, Mack-Blackwell National Rural Transportation Study Center, University of Arkansas SARAH C. CAMPBELL, President, TransManagement, Inc., Washington, DC JOANNE F. CASEY, President, Intermodal Association of North America JAMES C. CODELL III, Secretary, Kentucky Transportation Cabinet JOHN L. CRAIG, Director, Nebraska Department of Roads ROBERT A. FROSCH, Sr. Research Fellow, John F. Kennedy School of Government, Harvard University SUSAN HANSON, Landry University Prof. of Geography, Graduate School of Geography, Clark University LESTER A. HOEL, L. A. Lacy Distinguished Professor, Depart. of Civil Engineering, University of Virginia RONALD F. KIRBY, Director of Transportation Planning, Metropolitan Washington Council of Governments H. THOMAS KORNEGAY, Exec. Dir., Port of Houston Authority BRADLEY L. MALLORY, Secretary of Transportation, Pennsylvania DOT MICHAEL D. MEYER, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology JEFF P. MORALES, Director of Transportation, California DOT DAVID PLAVIN, President, Airports Council International, Washington, DC JOHN REBENSDORF, Vice Pres., Network and Service Planning, Union Pacific Railroad Co., Omaha, NE CATHERINE L. ROSS, Executive Director, Georgia Regional Transportation Agency JOHN M. SAMUELS, Sr. Vice Pres.-Operations Planning & Support, Norfolk Southern Corporation, Norfolk, VA PAUL P. SKOUTELAS, CEO, Port Authority of Allegheny County, Pittsburgh, PA MICHAEL S. TOWNES, Exec. Dir., Transportation District Commission of Hampton Roads, Hampton, VA MARTIN WACHS, Director, Institute of Transportation Studies, University of California at Berkeley MICHAEL W. WICKHAM, Chairman and CEO, Roadway Express, Inc., Akron, OH M. GORDON WOLMAN, Prof. of Geography and Environmental Engineering, The Johns Hopkins University EX OFFICIO MEMBERS MIKE ACOTT, President, National Asphalt Pavement Association REBECCA M. BREWSTER, President and CEO, American Transportation Research Institute, Atlanta, GA JOSEPH M. CLAPP, Federal Motor Carrier Safety Administrator, U.S.DOT THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard JENNIFER L. DORN, Federal Transit Administrator, U.S.DOT ELLEN G. ENGLEMAN, Research and Special Programs Administrator, U.S.DOT ROBERT B. FLOWERS (Lt. Gen., U.S. Army), Chief of Engineers and Commander, U.S. Army Corps of Engineers HAROLD K. FORSEN, Foreign Secretary, National Academy of Engineering JANE F. GARVEY, Federal Aviation Administrator, U.S.DOT EDWARD R. HAMBERGER, President and CEO, Association of American Railroads JOHN C. HORSLEY, Exec. Dir., American Association of State Highway and Transportation Officials MICHAEL P. JACKSON, Deputy Secretary of Transportation, U.S.DOT ROBERT S. KIRK, Director, Office of Advanced Automotive Technologies, U.S. DOE WILLIAM W. MILLAR, President, American Public Transportation Association MARGO T. OGE, Director, Office of Transportation and Air Quality, U.S. EPA MARY E. PETERS, Federal Highway Administrator, U.S.DOT JEFFREY W. RUNGE, National Highway Traffic Safety Administrator, U.S.DOT JON A. RUTTER, Federal Railroad Administrator, U.S.DOT WILLIAM G. SCHUBERT, Maritime Administrator, U.S.DOT ASHISH K. SEN, Director, Bureau of Transportation Statistics, U.S.DOT ROBERT A. VENEZIA, Earth Sciences Applications Specialist, National Aeronautics and Space Administration TRANSIT COOPERATIVE RESEARCH PROGRAM Transportation Research Board Executive Committee Subcommittee for TCRP E. DEAN CARLSON, Kansas DOT (Chair) JENNIFER L. DORN, Federal Transit Administration, U.S.DOT GENEVIEVE GIULIANO, University of Southern California, Los Angeles LESTER A. HOEL, University of Virginia WILLIAM W. MILLAR, American Public Transportation Association JOHN M. SAMUELS, Norfolk Southern Corporation, Norfolk, VA ROBERT E. SKINNER, JR., Transportation Research Board PAUL P. SKOUTELAS, Port Authority of Allegheny County, Pittsburgh, PA MICHAEL S. TOWNES, Transportation District Commission of Hampton Roads, Hampton, VA

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 — N A T I O N A L R E S E A R C H C O U N C I L NATIONAL ACADEMY PRESS WASHINGTON, D.C. — 2002 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 Public Transit • Planning and Administration Public Transportation Security: Volume 1 Communication of Threats: A Guide JOHN N. BALOG McCormick, Taylor & Associates, Inc. Philadelphia, PA MATTHEW G. DEVOST Technical Defense, Inc. Burke, VA and JOHN P. SULLIVAN Rowland Heights, CA

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 1 Project J-10B(4) FY’02 ISSN 1073-4872 ISBN 0-309-06760-X Library of Congress Control Number 2002109708 © 2002 Transportation Research Board Price $15.00 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. To save time and money in disseminating the research findings, the report is essentially the original text as submitted by the research agency. This report has not been edited by TRB. Special Notice The Transportation Research Board, 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 National Research Council 2101 Constitution Avenue, N.W. Washington, D.C. 20418 and can be ordered through the Internet at http://www.national-academies.org/trb/bookstore Printed in the United States of America

FOREWORD By S. A. Parker Staff Officer Transportation Research Board Rapid and accurate information sharing is a critical operational need for coping with threats against public transportation systems. This first volume of TCRP Report 86: Public Transportation Security will be of interest to transit general managers, police and staff in security, operations, communications, information technology, training, and human resources. It will also be of interest to federal, state, and local law enforcement. This volume offers information on a variety of approaches to improv- ing the sharing of threat information. Current practices, operational needs, tech- nologies for threat information dissemination, and system functional requirements are discussed. Effective strategies for sharing analyzed and unanalyzed reports of suspicious activities and a path to an interoperable set of national, regional, and local threat-information forums are proposed. This volume was prepared by McCormick, Taylor & Associates, Inc., under TCRP Project J-10B(4). Emergencies arising from terrorist threats highlight the need for transportation managers to minimize the vulnerability of passengers, 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 public 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. In the last week of October 2001, the Transit Cooperative Research Program budgeted $2 million for security-related research in fiscal year 2002. This is the first volume of TCRP Report 86: Public 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 will 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 subject area was established to guide the researchers in organizing and evaluating the collected 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 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 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.

TABLE OF CONTENTS SECTION PAGE INTRODUCTION 1 CURRENT PRACTICE AND OPERATIONAL NEEDS 3 COMMUNICATION OF THREATS SURVEY 5 SURVEY: BACKGROUND INFORMATION 6 SURVEY: ASSESSMENT OF CURRENT PRACTICES 6 SURVEY: ASSESSMENT OF OPERATIONAL NEEDS AND PREFERENCES 8 SYSTEM DESIGN 9 INTEROPERABILITY 9 INFORMATION SURETY (OPERATIONAL SECURITY) 9 WHAT LEVEL OF SECURITY 10 CURRENT INFORMATION SHARING MECHANISMS 10 THREAT INFORMATION NEEDS 10 COMMENTS/SUGGESTIONS FOR IMPROVED COMMUNICATION OF THREATS 11 SURVEY: SUMMARY AND CONCLUSIONS 11 ASSESSMENT OF CURRENT PRACTICES 11 ASSESSMENT OF OPERATIONAL NEEDS AND PREFERENCES 11 OPERATIONAL PARAMETERS: THREAT INFORMATION FORUM 12 TECHNOLOGIES FOR THREAT INFORMATION DISSEMINATION 14 SYSTEM FUNCTIONAL REQUIREMENTS 15 SCALABLE INFRASTRUCTURE DESIGN 15 DATABASE STORAGE 16 MULTI-LEVEL AND MULTI-TYPE INPUT MECHANISMS 16 MULTIPLE DISSEMINATION MECHANISMS 17 MESSAGE CONTENT 18 SUPPLEMENTAL ISSUES 18 CONCLUSION 18 REFERENCES 20 APPENDIX A: ACRONYM LIST 21 APPENDIX B: PUBLIC TRANSPORTATION SYSTEMS PERSONNEL SENT SURVEY RESEARCH INSTRUMENTS 23 APPENDIX C: SURVEY INSTRUMENT AND TRANSMITTAL LETTER 27 APPENDIX D: HOMELAND SECURITY ADVISORY SYSTEM (HSAS) CONDITIONS 33 APPENDIX E: PROPOSED NEXT STEPS 35 APPENDIX F: SURVEY RESULTS 37

COOPERATIVE RESEARCH PROGRAMS STAFF FOR TCRP REPORT 86 ROBERT J. REILLY, Director, Cooperative Research Programs CHRISTOPHER JENKS, TCRP Manager S. A. PARKER, Senior Program Officer EILEEN P. DELANEY, Managing Editor ELLEN M. CHAFEE, Assistant Editor TCRP PROJECT J-10B PANEL Field of Special Projects—Area of Security BARRY J. McDEVITT, Washington Metropolitan Area Transit Authority (Chair) WILLIAM J. FLEMING, Massachusetts Bay Transportation Authority ERNEST R. “RON” FRAZIER, AMTRAK, Wilmington, DE BEN GOMEZ, Dallas Area Rapid Transit JOSEPH E. HOFMANN, Metropolitan Transportation Authority–New York City Transit JOHN K. JOYCE, Greater Cleveland Regional Transit Authority DANIEL KEYES, University of Texas, Southwestern Medical Center, Dallas, TX K. SCOTT KIMERER, King County Sheriff/Metro Transit Police, WA LISA A. MANCINI, San Francisco Municipal Railway FRANK T. MARTIN, Santa Clara Valley Transportation, CA MICHAEL J. WALKER, Toronto Transit Commission PATRICIA WEAVER, University of Kansas RICHARD WINSTON, Chicago Transit Authority LEONARD E. DIAMOND, FTA Liaison Representative QUON KWAN, FTA Liaison Representative TERRELL WILLIAMS, FTA Liaison Representative GREG HULL, APTA Liaison Representative VIVIENNE WILLIAMS, APTA Liaison Representative ALLAN J. DeBLASIO, Volpe National Transportation Systems Center Liaison Representative PAUL GOLDEN, National Infrastructure Protection Center Liaison Representative CHRISTOPHER A. KOZUB, National Transit Institute Liaison Representative LENA TIMMONS, Easter Seals Project ACTION Liaison Representative JOEDY W. CAMBRIDGE, TRB Liaison Representative PETER SHAW, TRB Liaison Representative