Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview (2018)

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101 The vulnerability self-assessment questionnaire below allows a reviewer to assess the strength of an agency’s operator assault approach and the agency’s unique vulnerabilities based on spe- cific details of each countermeasure currently in use. Each countermeasure is followed by one or more questions worth between .5 and 5 points; the maximum number of points available for each countermeasure is 5 points. Upon completing this questionnaire, your agency will possess straightforward, easy-to- interpret scores that demonstrate vulnerabilities and opportunities for growth. Later portions of the agency assessment will allow your agency to use these scores, along with information about specific countermeasures, to eliminate vulnerabilities in a systematic and organized manner. STEP 1: For each question below, enter the allotted number of points in the “Score” column if the answer to a question is “Yes.” If the answer is “No,” award 0 points. STEP 2: Once you have answered each of the questions, add the point values recorded in the “Score” column to produce a total score for each countermeasure. Total scores for each counter measure will range from 0 to 5. STEP 3: After generating a total score for each countermeasure in the vulnerability self- assessment questionnaire, transfer each total countermeasure score to the self-assessment final scores matrix. This step, which is described in detail later on in the report, will empower your agency to act on the results of the vulnerably self-assessment by evaluating overall per- formance, strengths, and potential areas for improvement in incorporating operator assault countermeasures. A P P E N D I X D Vulnerability Self-Assessment Questionnaire SELF-ASSESSMENT QUESTIONNAIRE Category 1: Policies, Plans, and Protocols Countermeasure Questions Points Available Score Fare Collection Policies Does your agency have a fare collection policy to reduce potential for conflict over payment? 3 Do employees receive training and routine refresher information regarding their responsibilities within the policy? 1 Is the policy strictly enforced (except when enforcing the policy would expose the employee to significant risk)? 1 Total Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

102 Tools and Strategies for Eliminating Assaults Against Transit Operators: Research Overview Passenger Code of Conduct Does your agency have a passenger code of conduct? 3 Is the code of conduct posted on every vehicle in the fleet? 1 Is the passenger code of conduct strictly enforced through issuance of notice of violation? 1 Total Communication Protocol for Violent Incidents (Incident Command System) Does your agency have a communication protocol for violent incidents? 3 Does the protocol incorporate outside emergency responders and like agencies? 0.5 Are employees trained to their responsibilities within the protocol? 0.5 Has the protocol been tested in an exercise/drill or a live incident within the past 3 years? 0.5 Has an after-action report/improvement plan been developed and implemented based on the results of the exercise/drill or incident? 0.5 Total Operator Assaults Zero Tolerance Workplace Violence Policy Coverage Does your agency have a Zero Tolerance Workplace Violence Policy? 3 Are employees required to sign off on receipt of the policy? 1 Is the policy endorsed by upper management? 0.5 Is the policy enforced? 0.5 Total Operator Assault Committees/Task Forces Does your agency have an operator assault committee or task force, or are incidents addressed by another committee or task force? 3 Are all levels of the agency (operators, supervisors, management, unions, HR, etc.) involved? 1 Are the recommendations developed by the committee or task force put into practice? 1 Total Post Incident Action Steps Has your agency developed post-incident action steps (counseling, legal, financial, etc.)? 4 Is a process in place to review and update the post-incident action steps at least once every 3 years? 1 Total Countermeasure Questions Points Available Score Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

Vulnerability Self-Assessment Questionnaire 103 Barring Systems Is there a barring system in place within the agency? 3 Do the barring systems include technologies to identify potential or past aggressors? 1 Does this system allow the operator the liberty to deny the aggressor entrance into the vehicle? 1 Total Violent Incident Emergency Response Plan Does your agency have a violent incident emergency response plan? 3 Does the plan identify specific personnel roles and their lines of authority at each level within the agency? 0.5 Does the plan provide emergency response procedures? 0.5 Does the plan provide lines of communication to proper personnel? 0.5 Has the plan been updated within the past 3 years? 0.5 Total Intelligence Information Sharing Cooperation Is there a process in place to gather and share information? 2 Is there a process to relay information to agency personnel? 1 Is intelligence gathered by the agency used to identify, mitigate, and prevent incidents? 1 Is there a designated point of contact in the agency for intelligence sharing? 1 Total Assault Legislation Does assault legislation in the area where your agency operates include enhanced penalties for operator assaults? 3 Are laws against operator assault routinely enforced in your area? 2 Total Passenger Awareness Programs Does the agency have a passenger awareness program? 3 Does the program identify how the public may report concerns and who to report them to? 1 Does the agency track and analyze reported incidents from the passenger awareness program? 1 Total Countermeasure Questions Points Available Score Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

104 Tools and Strategies for Eliminating Assaults Against Transit Operators: Research Overview Centralized Remote Sensors with Immediate Force Response 4 Does your agency use these devices (pagers/sensors) to detect dangerous substances, such as radioactive or biohazardous material, and alert the operator or dispatch when the vehicle has been contaminated? If deployed does your agency provide immediate response by a dedicated police/security/supervisor element specialized for this type of incident? 1 Total Passenger Screening Is there a passenger screening system in place? 4 Is there training in place to support the passenger screening program 1 Total Category 2: Police or Security Staffing Countermeasure Questions Points Available Score Staffing On Board Conveyance Does your agency provide police/security/supervisors randomly, by directed patrol, or on all your vehicles? 5 Total Shadowing Vehicles Do police, security, or supervisors “shadow” your vehicles on a routine basis? 5 Total Centralized On-Board Alarms, Panic Buttons with Immediate Force Response Does your agency use On-Board Alarms/Panic Buttons? 4 Is there an identified immediate response by a dedicated police/security/supervisor element to the use of these types of alarms? 1 Total Centralized Surveillance with Immediate Force Response Does your agency use Centralized Surveillance on their vehicles? 3 Is there an identified immediate response by a dedicated police/security/supervisor element to what is observed? 1 Is there an identified immediate response by a dedicated police/security/supervisor element to what is observed? 1 Total Countermeasure Questions Points Available Score Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

Vulnerability Self-Assessment Questionnaire 105 Category 3: Voice Communications Technology Countermeasure Questions Points Available Score Two-Way Radio Are all your vehicles equipped with two-way radios? 3 Is each operator assigned a two-way radio? 0.5 Does the issued two-way radio have a “panic button”? 0.5 Does the agency routinely check radios for reliability? 0.5 Is there an emergency radio communications procedure in place? 0.5 Total Cellular Telephone— Texting and Emailing Does your agency allow the use of cell phones as a communication device? 3 Is there a clear policy/procedure/SOP defining the use of cell phones for communication purposes? 1 Has that policy/procedure/SOP been updated within the past 3 years? 1 Total Two-Way Radio using 3G/4G/LTE/ Satellite Mobile Broadband Least-Cost Routing Does your agency use this updated technology? 3 Is there a policy/procedure/SOP concerning the use of this technology? 1 Has that policy/procedure/SOP been updated within the past 3 years? 1 Total Real-Time Audio Does your agency use Real Time Audio recording? 3 Can your control center or any other management function listen to live audio from the vehicle? 1 Is the information gathered using this technology shared internally and/or with outside responders? 1 Total Category 4: Data Communications and Telemetry Systems Countermeasure Questions Points Available Score Tracking and Monitoring Global Positioning System (GPS) Does your agency use GPS technology to track and monitor vehicles? 3 Is there a policy/procedure/SOP concerning the use of this technology? 1 Has that policy/procedure/SOP been updated within the past 3 years? 0.5 Is the information gathered using this technology shared internally and/or with outside responders? 0.5 Total Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

106 Tools and Strategies for Eliminating Assaults Against Transit Operators: Research Overview Vehicle Disabling Does your agency use a vehicle disabling system? 3 Does the agency maintain a formal plan/policy/procedure regarding the use of this system? 1 Has the plan/policy/procedure been updated within the past 3 years 1 Total Anti-Theft—Secure Driver Sign On Are your vehicles equipped with a secure startup system? 3 Does the agency maintain a formal plan/policy/procedure regarding the use of this system 1 Has the plan/policy/procedure been updated within the past 3 years? 1 Total Anti-Theft—Enroute Are your vehicles equipped with an enroute anti-theft system? 3 Does the agency maintain a formal plan/policy/procedure regarding the use of this system? 1 Has the plan/policy/procedure been updated within the past 3 years? 1 Total Mobile Data Terminals (MDT) with DVRs Are your agency’s vehicles equipped with mobile data terminals? 2 Do the terminals support storage of data forms including live video, live audio, and alarms? 1 Is there a policy/procedure/SOP concerning the use of mobile data terminals? 1 Has that policy/procedure/SOP been updated within the past 3 years? 1 Total Countermeasure Questions Points Available Score Electronic Distress Signs Does your agency use electronic distress sign technology? 4 Are electronic distress signs tested for reliability? 1 Total Vehicle Locator Systems (AVLs) - Global Positioning System (GPS) Does your agency use a vehicle locator system? 4 Is the information gathered using this technology shared internally and/or with outside responders? 1 Total Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

Vulnerability Self-Assessment Questionnaire 107 Category 5: Surveillance and Observation Systems Countermeasure Questions Points Available Score Visible Surveillance Systems—Cameras in Plain Sight Does your agency deploy a visible video surveillance system? 3 Can video from this system be viewed in real time? 1 Does your agency maintain a formal plan or policy for review of data captured via this system and sharing of that data with other agencies? 1 Total Bus Stop Lighting Does your agency deploy bus stop lighting for security purposes? 3 Does your agency maintain a formal policy or plan regarding lighting at new and existing bus stops? 1 Is the agency capable of reconfiguring bus stop lighting in response to operator or patron input? 0.5 Does the agency regularly inspect bus stop lighting to ensure that it is working? 0.5 Total Video Surveillance Using On-Board Computer/DVR Does your agency conduct video surveillance using on-board computer or DVR? 3 Is there a policy/procedure/SOP concerning the use of video surveillance systems? 1 Has that policy/procedure/SOP been updated within the past 3 years? 1 Total Category 6: Driver Protection Systems Countermeasure Questions Points Available Score Physical Barriers/Compartment Barriers or Shielding— Full or Partial Does your agency use full (5 points) or partial (3 points) physical barriers or shielding? 5 or 3 Total Public Address System and Signage Does your agency use a public address system on your vehicles? 3 Does your agency use a public address system at your stations/stops? 0.5 Does your agency deploy signage on your vehicles that relates to safety and security? 0.5 Does your agency deploy signage at your stations/stops that relates to safety and security? 0.5 Does the signage advise how to report information & who to report the information for mitigation? 0.5 Total Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

108 Tools and Strategies for Eliminating Assaults Against Transit Operators: Research Overview Countermeasure Questions Points Available Score Defensive Weapons Does your agency allow operators to use Defensive Weapons? 3 Are policies/procedures in place regarding the use of Defensive Weapons? 1 Have those polices/procedures been updated within the past 3 years? 1 Total DNA Swipe Kits Does your agency partner with police/security to deploy DNA Swipe Kits during investigation/prosecution of incidents/assaults? 5 Total Driver-Side Exit Doors Do your agency’s vehicles have Driver-Side Exit doors? 5 Total Category 7: Training Countermeasure Questions Points Available Score Driver/Operator Handbook Does your agency have a Driver Operator Handbook? 2 Does the handbook incorporate information on operator assault? 1 Has the handbook been updated within the past 3 years? 1 Does your agency enforce rules compliance regarding the handbook? 1 Total Driver/Operator Security Awareness Does your agency have Operator Security Awareness policies/procedures? 3 Do the employees receive formal training regarding their responsibilities? 0.5 Have Operator Security Awareness policies/procedures been updated within the past 3 years? 0.5 Do the employees receive refresher training regarding Operator Security Awareness? 0.5 Does the awareness policy/procedure cover how to report suspicious activity or witnessed events and who to report them to for mitigation? 0.5 Total Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

Vulnerability Self-Assessment Questionnaire 109 Countermeasure Questions Points Available Score Do operators receive training for self-defense? 3 Driver/Operator Security Do operators receive training for conflict resolution (verbal judo, de-escalation processes, voice control, etc.) with hostile passengers, intoxicated (drug or alcohol) passengers and/or mentally challenged and/or impaired passengers? 2 Total Driver/Operator Security Communication Does your agency provide training for Driver Operator Security Communication policies/procedures? 2 Does your agency have a policy/procedure for redundant communication should the primary communication system become inoperable? 2 Has the training for Operator Security Communication policies/procedures been updated within the past 3 years? 0.5 Does your agency train on use of the “panic alarm”/“emergency call button” available to operators? 0.5 Total Drills, Exercises, and Immediate Actions Does your agency conduct Drills/ Exercises involving response to violent incidents on vehicles? 3 Do those Drills/Exercises involve outside emergency responders? 0.5 Does your agency conduct “Hotwashes” and prepare “After Action Reports” regarding drills or exercises, and develop improvement plans based on the findings? 0.5 Are the improvement plans tracked for completion? 0.5 Does your agency conduct after-action reviews of real-world incidents? 0.5 Total Does your agency train operators to defend themselves from aggressive attacks? 4 Driver/Operator Self Defense Has the training for operator self-defense been updated within the past 3 years? 0.5 Do operators receive regular refresher training on self-defense? 0.5 Total Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

110 Tools and Strategies for Eliminating Assaults Against Transit Operators: Research Overview Self-Assessment Final Scores Matrix Calculating Your Score: Populate the table below with the individual countermeasure scores developed using the vulnerability self-assessment questionnaire. Next, multiply each self-assessment score by the countermeasure ranking to produce your countermeasure score. For example, a vulnerability self-assessment score of 4 multiplied by a countermeasure ranking of 1.8 yields an overall countermeasure score of 7.2. Complete this step for all countermeasures. Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

Countermeasure Self Assessment Score x Countermeasure Ranking = Your Countermeasure Score Maximum Possible Score - Your Countermeasure Score = Remaining Points Available Fare Collection Policies x 2 = 10 = Communication Protocol for Violent Incidents x 1.9 = 9.5 - = Operator Assaults Zero Tolerance Workplace Violence Policy Coverage x 1.9 = 9.5 - = Operator Assault Committees/Task Forces x 1.8 = 9 - = Post Incident Action Steps x 1.8 = 9 - = Passenger Code of Conduct x 1.7 = 8.5 - = Violent Incident Emergency Response Plan x 1.7 = 8.5 - = Intelligence Information Sharing Cooperation x 1.6 = 8 - = Assault Legislation x 1.3 = 6.5 - = Passenger Awareness Programs x 1.2 = 6 - = Barring Systems x 1.2 = 6 - = Passenger Screening x 1 = 5 - = Staffing On Board Conveyance x 1.4 = 7 - = Shadowing Vehicles x 1.1 = 5.5 - = Centralized On-Board Alarms, Panic Buttons with x 1 = 5 - = Centralized Surveillance with Immediate Force x 1 = 5 - = Centralized Remote Sensors with Immediate Force x 1 = 5 - = Two way Radio x 1.8 = 9 - = Cellular Telephone - Texting – Email x 1.5 = 7.5 - = Two-way Radio using 3G/4G/LTE/ Satellite Mobile x 1.4 = 7 - = Real-Time Audio x 1.2 = 6 - = Tracking and Monitoring Global Positioning System x 1.6 = 8 - = Vehicle Disabling x 1.6 = 8 - = Anti-Theft – Secure Driver Sign On x 1.6 = 8 - = Anti-Theft –Enroute x 1.6 = 8 - = Mobile Data Terminals (MDT) w/DVRs x 1.4 = 7 - = Electronic Distress Signs x 1.4 = 7 - = Vehicle Locators Systems (AVL’s) - Global Positioning x 1.3 = 6.5 - = Visible Surveillance Systems - Cameras in Plain Sight x 1.4 = 7 - = Bus Stop Lighting x 1.2 = 6 - = Video Surveillance Using On-Board Computer/DVR x 1.2 = 6 - = Physical Barriers/Compartment Barriers or Shielding - Full or Partial x 1.5 = 7.5 - = Public Address System and Signage x 1.5 = 7.5 - = Defensive Weapons x 1.4 = 7 - = DNA Swipe Kits x 1.4 = 7 - = Driver- Side Exit Doors x 1.3 = 6.5 - = Driver/Operator Handbook x 2 = 10 - = Driver Operator Security Awareness x 2 = 10 - = Driver Operator Security x 1.5 = 7.5 - = Driver Operator Security Communication x 1.4 = 7 - = Drills, Exercises & Immediate Actions x 1.2 = 6 - = Driver-Operator Self Defense x 1.2 = 6 - = Calculating Your Score Improving Your Score T ools and S trategies for E lim inating A ssaults A gainst T ransit O perators, V olum e 1: R esearch O verview C opyright N ational A cadem y of S ciences. A ll rights reserved.