National Academies Press: OpenBook

Transit Security Preparedness (2020)

Chapter: Chapter 2 - Security Preparedness

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Suggested Citation:"Chapter 2 - Security Preparedness." National Academies of Sciences, Engineering, and Medicine. 2020. Transit Security Preparedness. Washington, DC: The National Academies Press. doi: 10.17226/25764.
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Suggested Citation:"Chapter 2 - Security Preparedness." National Academies of Sciences, Engineering, and Medicine. 2020. Transit Security Preparedness. Washington, DC: The National Academies Press. doi: 10.17226/25764.
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Suggested Citation:"Chapter 2 - Security Preparedness." National Academies of Sciences, Engineering, and Medicine. 2020. Transit Security Preparedness. Washington, DC: The National Academies Press. doi: 10.17226/25764.
×
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Suggested Citation:"Chapter 2 - Security Preparedness." National Academies of Sciences, Engineering, and Medicine. 2020. Transit Security Preparedness. Washington, DC: The National Academies Press. doi: 10.17226/25764.
×
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Suggested Citation:"Chapter 2 - Security Preparedness." National Academies of Sciences, Engineering, and Medicine. 2020. Transit Security Preparedness. Washington, DC: The National Academies Press. doi: 10.17226/25764.
×
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Suggested Citation:"Chapter 2 - Security Preparedness." National Academies of Sciences, Engineering, and Medicine. 2020. Transit Security Preparedness. Washington, DC: The National Academies Press. doi: 10.17226/25764.
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6 C H A P T E R 2 Definition of Preparedness “Preparedness,” according to the National Incident Management System (NIMS), is “a con- tinuous cycle of planning, organizing, training, equipping, exercising, evaluating, and taking corrective action in an effort to ensure effective coordination during incident response” (Center of Excellence for Homeland Security-Emergency Management 2019). The Federal Emergency Management Agency’s (FEMA) Comprehensive Preparedness Guide (FEMA 2010) states that preparedness is the “process of identifying the personnel, training, and equipment needed for a wide range of potential incidents, and developing jurisdiction-specific plans for delivering capabilities when needed for an incident.” APTA defines “all-hazard preparedness” as “an integrated planning and capability building for safety, security and emergency management to optimize and continuously improve the use of resources and the management of risks from hazards, threats, vulnerabilities and adverse events or incidents for transit agencies” (APTA 2013c). In the context of security, preparedness means to prepare for incidents that inevitably occur—the policies put in place, and the approaches and actions taken to anticipate and mini- mize the impacts of events. More specifically, security preparedness involves: • Preventing incidents within the control and responsibility of transit system—approaches taken either to ensure that incidents do not occur or to reduce the likelihood of an occurrence. • Protecting passengers, transit agency personnel, and critical assets at all times—actions taken before, during, and after an incident. • Mitigating consequences or losses and their effects attributable to an occurrence—actions taken to reduce probability and severity of consequences to humans and transit agency assets. • Responding to situations and events that do occur—actions taken in reaction to events. • Recovering from incidents—actions taken to restore service and get things back to normal as quickly as possible. Presidential Policy Directive 8 described the nation’s approach to national preparedness and established the National Preparedness Goal: “A secure and resilient nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk” (U.S. Department of Homeland Security 2011). The National Preparedness System identified core capabilities necessary to achieve that goal across five mission areas: prevention, protection, mitigation, response, and recovery, as sum- marized in Figure 1. A security preparedness strategy is dependent on both the threats and hazards of transit sys- tems and the unique operational parameters of the transit agency. Because threats and hazards Security Preparedness

Security Preparedness 7 to transit systems evolve, security approaches need to evolve to address the new challenges. The security preparedness approach that periodically reassesses measures chosen for implementa- tion to evaluate their effectiveness and recognizes new risks and challenges to reduce risks will best accomplish the security level required to accomplish the agencies’ goals and meet customers’ expectations. An effective preparedness strategy today is a comprehensive strategy, one that is multi- faceted (i.e., policies/procedures, people, and technology) and layered (i.e., systematic security approaches deployed jointly or in tandem). As pointed out in Making the Nation Safer (National Research Council 2004) and still relevant today, security methods and techniques that are “dual use, adaptable and opportunistic” are optimal in the diverse and dynamic transportation sector. Importance of Security Preparedness Security affects many aspects of a transit system. Similar to safety, it affects ridership and the use of the system, with the resultant revenue and economic impact. Despite its overall safety and security, according to research studies, many people consider public transit dangerous, and so are reluctant to use it or support its expansion in their community (Ferrell, Mathur, and Mendoza 2008; Kennedy 2008). TCRP Synthesis 80: Transit Security Update (Nakanishi 2009) found that within transit systems, both serious and minor crimes affect passenger perceptions of security: “Serious crimes are exaggerated by the media and intensify passenger fears. Minor offenses and disorder are also disconcerting to passengers and provoke the perception that the transit agency is not in control of its transit system.” The majority of people who use public transit in the United States are women. They account for 55% of overall ridership across the country, according to a 2007 survey from APTA. In some places, the proportion of women riders is even higher. Compared with men, women take more trips per day, but travel shorter distances. Women are more likely to travel during off-peak hours and less likely to travel after dark. When new transit options are available, women are less likely than men to take transit (specifically trains or buses) because of concerns for personal safety. Issues such as litter, graffiti, poor lighting along pathways, isolated transit stops, and unstaffed stations are main factors women use to determine whether they will take transit (Yavuz and Welch 2010). Although men are more often crime victims on public transport than are women (Morgan and Smith 2006), women are more fearful of transit crime than men. Addressing the security concerns of women can have a significant effect on transit system use and revenue. The security of a transit system affects its employees. Employees, especially drivers and operators, can experience potential physical and psychological injury and increased job stress. Morale can be affected, resulting in increased turnover and additional training costs. A transit agency can face economic loss attributable to lost work time, damaged employee morale and Prevention Protection Mitigation Response Recovery Intelligence and Information Sharing Risk Assessment Infrastructure Systems Interdiction and disruption Access control Threats and hazards identification On-scene security, protection, and law enforcement Screening, search, and detection Physical protection measures Long-term vulnerability reduction Operational communications Risk management Situational awareness Cybersecurity Figure 1. Preparedness capabilities summary chart.

8 Transit Security Preparedness productivity, increased worker’s compensation payments, medical expenses, and possible law- suits and liability costs. The security of a transit system affects the reputation of the agency. Public and political leaders expect a transit agency to have plans and take actions to prevent or minimize disrup- tions and to respond quickly when necessary. Transit accidents and assaults tend to receive significant media coverage (Martin 2011). A fatal transit crash or transit terrorist attack often produces national and international media coverage. The media and the entertainment industry have exaggerated the dangers of public transportation systems (Nakanishi 2009) even though accidents and assaults are infrequent. As Benjamin Franklin said in Poor Richard’s Almanack, “It takes many good deeds to build a good reputation, and only one bad one to lose it.” Security has political repercussions. When something major happens on a transit system, political leaders look to the agency leadership. A commitment to security preparedness is evi- dence that an agency has made its best efforts, within available resources, to prevent and protect, and quickly respond to events when they occur. Being able to demonstrate that an agency was prepared, that it had assessed vulnerabilities and potential problems and took actions to address them, can reduce political consequences. Taking a proactive approach to security preparedness can save money, reduce concerns of the public and the politicians, and bolster an agency’s reputation. Roles in Security Preparedness Federal agencies such as DHS, FEMA, the FTA, and the FRA play a role in transit security. DHS/TSA Role The TSA, as part of DHS, is charged with identifying critical assets, infrastructure, and sys- tems and their vulnerabilities and with assisting bus and public transportation authorities in addressing their security programs. The TSA works with mass transit and passenger rail systems to ensure the safety and security of mass transit and passenger rail and provides transit security training courses and materials, such as employee pocket guides and other training media. Baseline Assessment for Security Enhancement Program The TSA Baseline Assessment for Security Enhancement (BASE) program was developed to increase domain awareness, enhance prevention and protection capabilities, and further response preparedness of transit systems nationwide. A voluntary BASE review of a transit sys- tem evaluates 17 categories of security and emergency preparedness action items that were iden- tified as fundamentals for a sound transit security program. The review includes topics such as an agency’s security plan, security training, drills/exercise programs, public outreach efforts, and background check programs. BASE assessments are performed by the Transportation Security Inspectors–Surface Division of the TSA. These assessments allow agencies to track their progress against security goals. Transit agencies that achieve a certain score on the assessment are awarded a Gold Standard Award by the TSA. TSA Test Beds TSA’s Intermodal Division, working in conjunction with the DHS Science and Technology Directorate, provides security technology recommendations and solutions for surface and aviation transportation venues by evaluating existing security technologies and developing requirements for new technologies. For example, the TSA, working with New Jersey Transit,

Security Preparedness 9 the Washington Metropolitan Area Transit Authority (WMATA), Amtrak, and the Los Angeles County Metropolitan Transit Authority (LA Metro), assessed the effectiveness of technolo- gies designed to address threats associated with person- and vehicle-borne improvised explosive devices. Working with transit agencies, the TSA helps technology manufacturers develop their products to better meet the security needs of agencies and helps by serving as a technology surrogate for smaller agencies that cannot afford or support expensive technology development and assessments. The TSA has formal agreements with leading and higher-risk transit agencies to serve as test beds for promising technology. The New Jersey Transit Police Department was the TSA’s first test bed partner and continues to work with the TSA on assessing various tech- nologies to address their security needs. As of 2018, there were ongoing test beds with five of the 10 highest-risk mass transit and passenger rail venues. Public Transit Homeland Security Information Network The Public Transit Homeland Security Information Network (PT-HSIN) public transit sub- portal on DHS’s Homeland Security Information Network (HSIN) was established as a primary mechanism for sharing security-related information with public transit agencies. HSIN is a user- driven, web-based, information-sharing platform for sensitive but unclassified information. Fed- eral, state, local, territorial, tribal, international, and private-sector homeland security partners use HSIN to manage operations, events, exercises, natural disasters, and incidents. HSIN provides secure dissemination and sharing capabilities for homeland security alerts, reports, and products. PT-HSIN is the main source of intelligence information for smaller transit agencies. DHS Preparedness Grants The federal government’s approach to distributing funds through preparedness grants has evolved over time. DHS/FEMA preparedness grants are issued for priority focus areas based on the national risk profile. For example, in 2019, there were four priority areas: 1. Enhancing the protection of soft targets/crowded places; 2. Enhancing weapons of mass destruction and improvised explosive device (IED) prevention, detection, response, and recovery capabilities; 3. Enhancing cybersecurity; and 4. Addressing emergent threats, such as unmanned aerial systems (UAS). DHS/FEMA also recognizes several enduring security needs as a second tier of priorities for the transportation grants: • Effective planning, • Training and awareness campaigns, • Equipment and capital projects, and • Exercises. In addition, the DHS preparedness grant guidance currently focuses on the nation’s highest- risk areas, including urban areas that face the most significant threats. The Urban Area Security Initiative (UASI) is designed to enhance regional preparedness and capabilities by funding 31 high-threat, high-density urban areas. Dedicated funding is provided for law enforcement and terrorism prevention throughout the country. The Transit Security Grant Program (TSGP) and the Intercity Bus Security Grant Program (IBSGP) are preparedness grant programs that directly support transportation infrastructure security activities. The TSGP provides funds to owners and operators of transit systems to pro- tect and increase the resilience of critical surface transportation infrastructure and the traveling public from terrorist attacks, major disasters, and other emergencies, and to increase resilience

10 Transit Security Preparedness of transit systems. Eligible transit agencies are determined on the basis of daily unlinked pas- senger trips (ridership) and transit systems that serve historically eligible UASI-designated urban areas. Similarly, the IBSGP provides funds to owners and operators of intercity bus systems located within the UASI-eligible urban areas to protect critical surface transportation infra- structure and the traveling public from acts of terrorism and to increase the resilience of transit infrastructure. As noted by DHS, these grants play an important role in the implementation of the National Preparedness System by supporting the building, sustainment, and delivery of core capabilities essential to achieving the national preparedness goal of a secure and resilient nation. Current preparedness grant programs can be found on the DHS/FEMA website. Recipients receiving Homeland Security Grant Program funding are required to implement the National Incident Management System (NIMS). The use of NIMS aids in ensuring a unified approach across all mission areas. NIMS created a national standard system for federal, state, tribal, and local governments to work together to prepare for, and respond to, incidents affecting lives and property. It presents and integrates accepted practices proven effective over the years into a com- prehensive framework for use by incident management organizations in an all-hazards context. FTA Role The FTA is involved in policy development, oversight, and data collection, along with hazard investigation and risk analysis. The agency collects and analyzes data and coordinates informa- tion sharing among transit agencies. Transit Advisory Committee for Safety The FTA Transit Advisory Committee for Safety (TRACS) provides information, advice, and recommendations on transit safety and other issues as determined by the Secretary of Transpor- tation and the FTA Administrator. TRACS consists of 15 voting members who serve for a 2-year term. The full committee meets at least twice a year. The committee has been tasked by the FTA “to review emerging technology and recommend public transportation innovations” that support public transportation focus areas identified by the FTA. Current focus areas of TRACS include tres- passes and suicide fatality prevention, employee assault prevention, and emergency preparedness. FTA Grants The FTA oversees thousands of grants provided to states, tribes, and local public agencies to support public transportation. Recent grant programs have included operator assault and human trafficking grant programs. In 2019, the FTA issued a solicitation for proposals under the Department of Transportation’s Public Transportation Innovation Program to identify inno- vative solutions to reduce or eliminate human trafficking occurring on transit systems, protect transit operators from the risk of assault, and reduce crime on public transit vehicles and in facilities. Available funding was set at $2 million in research funds, with 25 awards expected. FTA grantees have a responsibility to comply with statutory and regulatory requirements associated with the management of federally assisted grants. National Organizations’ Role American Public Transportation Association APTA assists members by ensuring that best practices and industry standards are developed and shared through its peer review program and committees in collaboration and coordina- tion with federal partners and other stakeholders. APTA provides a number of security and emergency management programs, such as the Security Standards Program, to help ensure that transit agencies are successful in maintaining and improving the security of their employees, infrastructure, and customers.

Security Preparedness 11 Public Transportation Information Sharing and Analysis Center The Public Transportation Information Sharing and Analysis Center (PT-ISAC) collects, analyzes, and disseminates alerts and incident reports to its membership and shares security information among transit and railroad industry personnel, local and state law enforcement agencies, DHS, and the Federal Bureau of Investigation (FBI). The center, in collaboration with APTA, the Association of American Railroads, and the TSA, disseminate awareness reports on potential vulnerabilities, threats, and risks to security. The Transit and Rail Intelligence Aware- ness Daily Report provides PT-ISAC participants with a quick, easy-to-read synopsis in three fundamental areas—suspicious activities, terrorism and counterterrorism analysis, and general security awareness—with access to more in-depth detail through embedded links to supporting reports. The PT-ISAC also offers cyber daily reports as well as other critical reports. Local Role Local and regional agencies play an important role in transit security preparedness. Agencies depend on obtaining assistance from local area police and first responders. Social service and nonprofit agencies provide essential assistance in addressing major problems such as how to handle the homeless in transit and provide public education/customer awareness programs. Transit Agency Roles Leadership Role Transit agency leadership plays a unique role in security preparedness. Through active and visible support for security preparedness efforts, leadership “sets the tone” for the agency. Agency leadership sets mission priorities and makes the organizational risk decisions such as agency risk tolerance and agency-wide risk decisions. The leadership ensures agency-wide coor- dination of security plans and provides oversight and review through governance and agency policies. The leadership also maintains the “attention span” for preparedness through a persis- tent focus on awareness and training and preparedness funding. Employee Role Transit agency employees play a critical role in security preparedness. Because of their varied responsibilities and work locations, employees are often the first to notice or learn about suspicious activity or objects and are best positioned to recognize threats or security concerns. An employee’s presence alone can deter unlawful acts. Because of their continued presence in and on agency properties and assets, employees are uniquely positioned to identify issues, problems, and deviations from what is usual. Employee input on security concerns can include providing ideas on how to improve policies and procedures and recognizing what effect any changes made will have on the operations of the transit agency. Agency frontline and mid-management-level employees can serve as security coordinators and as participants in security committees. These advisory groups and committees focus on: • Deploying a broad-based, system-wide security preparedness process that identifies, tracks, and responds to all security threats, vulnerabilities, and occurrences. • Maintaining a workplace where security incidents are routinely reported and every staff and operating department contributes to security preparedness improvements. • Promoting security awareness and security preparedness throughout the organization.

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Sixty percent of the transit-industry practitioners surveyed rate their transit agency’s efforts to address their major security challenges as somewhat or very successful. However, only 25 percent say they have implemented any security-risk-reduction program that they consider to be exceptional or exemplary.

The TRB Transit Cooperative Research Program's TCRP Synthesis 146: Transit Security Preparedness identifies current practices transit systems can use to enhance their security measures and to identify opportunities to apply security technology applications used in other industries to the transit environment.

One size does not fit all in the context of transit security. However, there are common themes in all effective security preparedness approaches.

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