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

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5 The CASE™ and TRA research team conducted a literature review of information related to the prevention or mitigation of assaults against transit operators. They focused on specific types of workplace violence relevant to transit operators, principally Type 2 but also Types 1 and 4,1 as requested by the project review panel. The review was primarily focused on recent sources because TCRP Synthesis 93: Practices to Protect Bus Operators from Passenger Assault, published in 2011, had a substantial literature search on the topic of operator assaults. Sources for the literature review included Google and Google Scholar as the initial search engines for the online search of relevant research and guidance. The team looked at both U.S. and non-U.S. results in the information-gathering phase of the research. The team also searched specific databases and sources such as FTA’s National Transit Database (NTD). To collect infor- mation on recent transit assault incidents, the team searched local, national, and international news sites. This section contains a summary of the findings of the literature review. A bibliography is included in Appendix A. Definition of Operator Assault The definition of operator assault is important to clarify. NTD defines assault as “an unlaw- ful attack by one person on another.” Assaults are categorized within NTD as personal secu- rity events, which are security events that occur to individuals on transit property. Reporting to law enforcement and the NTD is required for all assaults, including simple assaults, aggravated assaults, sexual assaults, and homicides. All incidents that result in an arrest are reportable. The NTD definition does not provide a complete representation of all types of assaults (such as harassment, verbal abuse, and injuries that do not require transport from the scene). It cap- tures those assaults that are more likely to result in physically or emotionally compromised or debilitating operator condition. C H A P T E R 2 Literature Review and Synthesis 1The U.S. Department of Justice, Federal Bureau of Investigation, workplace violence types: TYPE 1: Violent acts by criminals, who have no other connection with the workplace but enter to commit robbery or another crime. TYPE 2: Violence directed at employees by customers, clients, patients, students, inmates, or any others for whom an organi- zation provides services. TYPE 3: Violence against coworkers, supervisors, or managers by a present or former employee. TYPE 4: Violence committed in the workplace by someone who doesn’t work there but has a personal relationship with an employee—an abusive spouse or domestic partner. Source: Workplace Violence: Issues In Response, U.S. Department of Justice, Federal Bureau of Investigation, 2004 Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

6 Tools and Strategies for Eliminating Assaults Against Transit Operators: Research Overview TCRP Synthesis 93 defined assault more broadly. A survey of transit agencies conducted as part of research found verbal threats or intimidation are the most common form of transit workplace violence, with spitting being the next most problematic. As pointed out in the study, defining threatening or intimidating behavior is not clear-cut. At times, it can be difficult to distinguish between behavior that ultimately threatens safety and those that are merely rude and obnoxious. A broader definition of operator assault is found in TCRP Synthesis 93: Overt physical and verbal acts of aggression by a passenger that interfere with the mission of a transit operator—to complete his or her scheduled run safely—and that adversely affect the safety of the operator and customers. Causes of Operator Assault The causes and contributors to operator assault vary widely. FTA found in an analysis of NTD that the most likely causes of operator assaults are fare disputes (44%), rules disputes (18%), and verbal argu- ment escalation (12%). For agencies operating rail systems, FTA found the most likely causes are rules dispute (35%), followed by waking a sleeping patron (29%), and patron unhappy with service (10%). TCRP Synthesis 93 confirmed the FTA assessment, concluding that the primary factors contributing to operator assaults were fare enforcement and intoxicated passengers or drug users, followed by rule enforcement other than fare enforcement. It is appropriate to step back and consider the context of behaviors that lead up to an assault. The Crisis Prevention Institute provided an overview of the behaviors that lead to assault in a webinar on Workplace Violence Prevention in 2007.2 Figure 2 illustrates the physical aggression continuum from the webinar. There is no reason to believe that there Contributing Factors of Assault • Fare enforcement • Intoxicated passengers or drug users • Other rule enforcement • School/youth-related violence • Individuals with mental illness • Routes operating in high-crime areas • Service problem (delays, service reductions, etc.) • Gang-related violence • Cash transactions Source: TCRP Synthesis 93: Practices to Protect Bus Operators from Passenger Assault 2See Nakanishi, Y. (2009). TCRP Synthesis 80: Transit Security Update. Transportation Research Board, National Academy of Sciences, Washington, D. C. Figure 2. Physical aggression continuum. Source: Webinar on Workplace Violence Prevention, Crisis Prevention Institute, 2007. Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

Literature Review and Synthesis 7 is a distinctly different continuum for assaults on transit drivers. In fact, the evidence suggests that the pattern of assaults on transit drivers is closely aligned with the pattern of assaults on the general population of the area within which the transit system operates. Thus, Figure 2 can also represent the various entry points for countermeasures to address the maladaptive behaviors that ultimately lead to assaults. In the terminology of crime statistics, all assault categories beginning with discourtesy through some forms of physical aggression are defined as being simple assaults. Depending upon the severity or consequences of the physical aggression, these behaviors may be upgraded to aggravated assault, attempted murder, or homicide. National, state, and local data on operator assaults suggest aggravated and simple assault rates change by region, population density, and a variety of other factors. Preventive Approaches for Operator Assault Operator protection measures can range from policing, personnel, and training to technol- ogy, information management, policy, and legislation. Typically, when an agency selects and implements security measures, a variety of involved institutional, legal, and budgetary con- straints are considered. Some measures are more appropriate for preventing certain types of attacks. For example, con- flict mitigation training is most appropriate for reducing assaults from disputes but barriers are more useful in protecting the operator against spontaneous attacks. Emergency communications and vehicle location technologies improve incident response while video surveillance is found to be effective for deterrence and post-assault identification and prosecution of assailants. Audio surveillance has been found to be specifically useful in addressing verbal attacks and threats. In some cases, transit agencies have established barring policies by refusing service to individ- ual passengers for violating transit agency rules. Similarly, the use of school outreach programs is used to mitigate assaults by juveniles.3 In a number of jurisdictions, agencies and transit union locals have used the law to discour- age would-be assailants by working to pass felony assault legislation or establishing enhanced penalties for operator assaults. For example, transit systems in Ohio are supported by the Ohio Revised Code, Section 2917, which defines what constitutes “Misconduct on Public Transpor- tation” and the applicable penalties for the violation of those regulations. Minnesota state law classifies certain assaults against bus and train operators as gross misdemeanors, punishable by up to a year in prison and a $3,000 fine. Previously the penalty was up to 90 days in prison and a $1,000 fine. Other practices identified by the synthesis survey, case studies, literature review, and input from industry experts are listed below. 1. Crime statistics maps are valuable visual tools for the transit police and are useful for the strategic deployment of officers. Providing passengers with access to up-to-date crime data through interactive, user-friendly crime statistics maps increases their perception of control over their transit trips. 2. Plain clothes officers within the transit system are used to catch perpetrators in the act of committing a crime. The use of unmarked vehicles is also an effective practice in transit park- and-ride or other parking facilities. 3Nakanishi, Y. (2009). TCRP Synthesis 80: Transit Security Update. Transportation Research Board, National Academy of Sciences, Washington, D. C. Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

8 Tools and Strategies for Eliminating Assaults Against Transit Operators: Research Overview 3. Training bus drivers in customer relations, conflict mitigation, and gang-related violence provides bus drivers with increased confidence and knowledge in dealing with the public. 4. Codes of conduct are rules that passengers must follow within the transit system. Enforcing codes of conduct can assist agencies in detecting and deterring crime and in enhancing the perception of security within their transit systems. Many of the behaviors in the Physical Aggression Continuum (see Figure 2) can be mitigated through training operators in countermeasures such as verbal judo. There are other methods to reduce or eliminate aggressive behaviors that are technology-based. For example, a cashless fare system has been found to reduce aggression and assault on bus drivers.4 Table 1 provides a summary of the effective countermeasures that have been identified. Overview of Crime Prevention and Security Paradigms The crime prevention and security paradigm is in a state of continual change to meet new challenges and obstacles with updated technology. The Situational Crime Prevention framework, originally developed by Ronald V. Clarke in 1992,5 is a conceptual model that is applicable to 4Nakanishi, Y. J., and Fleming, W. C. (2011). TCRP Synthesis 93: Practices to Protect Bus Operators from Passenger Assault. Transportation Research Board, National Academy of Sciences, Washington, D.C. 5In 1992, Ronald V. Clarke introduced a 12-technique classification using risk, reward, and effort found to prevent a variety of “street” and predatory crimes. The classification addressed three purposes, implicit in the assumptions of situational prevention, of increasing the risks, increasing the difficulties, and reducing the rewards of crime. In 1997, Clarke and Homel Category Countermeasure Physical Controls • Barriers (partitions) between drivers and passengers • Left-side driver exit doors • Security cameras to discourage violent behavior and identify the perpetrator if an assault does occur • Silent alarms and radio communication to allow drivers to safely request help • Vehicle tracking devices, such as a global positioning system (GPS), to locate a driver in distress • Improved interior and bus stop lighting to allow the operator to be aware of passenger behavior Procedural Controls • Cashless fare collection • Elimination of operator enforcement responsibilities • On-board police presence and/or increased police patrols and stops • De-escalation training and procedures Policy Measures • Cooperation with police • Work rules/policies/procedures • Signage • Prosecution of offenders • Management support/media campaigns • Zero tolerance/suspension of service • Community/school outreach, committees • Legislation increasing penalties Communications • On-board technologies facilitating communication with supervisors and responders, and fast response to incidents • Surveillance systems • Improvements in communication between the Operations Control Center staff, operators, and police Table 1. Effective countermeasures to prevent operator assault. Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

Literature Review and Synthesis 9 a variety of crime-reduction activities. Situational prevention comprises opportunity-reducing measures that (1) are directed at highly specific forms of crime; (2) involve the management, design, or manipulation of the immediate environment in as systematic and permanent a way as possible; or (3) make crime more difficult and risky, or less rewarding and excusable, as judged by a wide range of offenders. By increasing the perceived effort involved in committing a crime, increasing the perceived risks to an assailant, and decreasing the potential rewards of a crimi- nal act, the crime may become a less attractive option for potential offenders. The framework includes a classification of opportunity-reducing techniques, which has undergone change over time. Though not all of Clarke’s categories are directly applicable to the crime of operator assault, many operator assault countermeasures correspond to the Situational Crime Prevention framework, and are useful as disincentives for criminal actions. Similarly, security in the context of emergency management includes a broader range of activi- ties than crime prevention in the Situational Crime Prevention framework, spanning the con- tinuum from prevention through response and recovery. Table 2 provides a set of definitions for levels of security presenting an approach to consider operating, technical, and management techniques needed to confront, prevent, mitigate, respond to, and recover from operator assaults. Safety concepts as well create mechanisms for promoting secure transit operating environ- ments that can reduce or eliminate assaults. The Safety Management System (SMS), the basis for FTA’s National Public Transportation Safety Program, is a formal, top-down, organizationwide approach to managing safety risks and assuring the effectiveness of safety risk mitigations. SMS includes four main pillars—SMS policies and procedures, risk management, safety promotion, and safety assurance. Organizations with high safety performance have SMSs that are collections of policies, processes, and behaviors that ensure a formalized, proactive approach to safety risk Purpose Definition Prevention Those capabilities necessary to avoid, prevent, or stop a threatened or actual act. Deterrence An activity, procedure, or physical barrier that reduces the likelihood of an incident, attack, or criminal activity. Detection The identification and validation of potential threat or attack that is communicated to an appropriate authority that can act. Mitigation The application of measure or measures to reduce the likelihood of an unwanted occurrence and/or its consequences. Response Capabilities necessary to save lives, protect property and the environment, and meet basic human needs after an incident has occurred. Recovery The development, coordination, and execution of plans for impacted areas and operations. Table 2. Levels of security. modified the classification to include a fourth purpose, to increase shame and guilt or to “remove excuses” for crime. The expansion reflected the additional crimes that situational measures have been applied against where rationalizations about behavior can play a role in excusing the conduct. These type of offenses such as income tax evasion, traffic offenses, sexual harassment and theft of employers’ property might more effectively be prevented by increasing the incentives or pressures to comply with the law. In 2003, Cornish and Clarke revised the techniques based on suggestions to augment the classification, which dealt with the analysis of situational opportunities, with a complementary analysis of situational precipitators. These are factors within the crime setting itself that may prompt, provoke, pressure, or permit an individual to offend. Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.

10 Tools and Strategies for Eliminating Assaults Against Transit Operators: Research Overview management.6 Safety promotion, including increasing the awareness of passengers as well as all employees of how transit agencies will respond to assaults and the consequences to assaults, is a critical component of an effective risk management program. TCRP Synthesis 93 found that most transit agencies have standard operating procedures in place for responding to operator assaults. A comprehensive management policy and associated procedures will address prevention, training, reporting, the operator and supervisor/manager’s responsibility, post-incident actions including prosecutions, communication, and follow-up/ feedback procedures. The risk of driver assault on a given route may be conceptualized as a tripartite function— risk is affected by the potential for an assault (threat), the probability that an assault would be successful (vulnerability), and the severity of an assault (consequences). The risk can be dealt with risk reduction techniques—identifying the vulnerabilities of systems through vulnerabil- ity analysis and eliminating or reducing vulnerabilities and consequences through the use of countermeasures. 6FTA Transit Advisory Committee for Safety. (2011). TRACS 10-01 Report: Implementing Safety Management System Principles in Transit Agencies. Washington, D.C. Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.