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TCRP TRANSIT COOPERATIVE COOPERA T RESEARCHH PROGRAM REPORT 86 Sponsored by the Federal e Transit r A Administration Public Transportation Security Volume 10 Hazard and Security Plan Workshop: Instructor Guide
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TCRP OVERSIGHT AND PROJECT TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2005 (Membership as of November 2005) SELECTION COMMITTEE (as of November 2005) OFFICERS CHAIR Chair: John R. Njord, Executive Director, Utah DOT DAVID A. LEE Vice Chair: Michael D. Meyer, Professor, School of Civil and Environmental Engineering, Connecticut Transit Georgia Institute of Technology Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS ANN AUGUST Santee Wateree Regional Transportation MEMBERS Authority LINDA J. BOHLINGER MICHAEL W. BEHRENS, Executive Director, Texas DOT HNTB Corp. ALLEN D. BIEHLER, Secretary, Pennsylvania DOT ROBERT I. BROWNSTEIN LARRY L. BROWN, SR., Executive Director, Mississippi DOT PB Consult, Inc. DEBORAH H. BUTLER, Vice President, Customer Service, Norfolk Southern Corporation and Subsidiaries, PETER CANNITO Atlanta, GA Metropolitan Transportation Authority-- Metro North Railroad ANNE P. CANBY, President, Surface Transportation Policy Project, Washington, DC GREGORY COOK JOHN L. CRAIG, Director, Nebraska Department of Roads Ann Arbor Transportation Authority DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN NATHANIEL P. FORD NICHOLAS J. GARBER, Professor of Civil Engineering, University of Virginia Metropolitan Atlanta RTA ANGELA GITTENS, Vice President, Airport Business Services, HNTB Corporation, Miami, FL RONALD L. FREELAND GENEVIEVE GIULIANO, Director, Metrans Transportation Center, and Professor, School of Policy, Booz Allen Hamilton, Inc. Planning, and Development, USC, Los Angeles FRED M. GILLIAM Capital Metropolitan Transportation Authority BERNARD S. GROSECLOSE, JR., President and CEO, South Carolina State Ports Authority KIM R. GREEN SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University GFI GENFARE JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL DAVID B. HORNER GLORIA JEAN JEFF, Director, Michigan DOT FTA ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley JILL A. HOUGH HERBERT S. LEVINSON, Principal, Herbert S. Levinson Transportation Consultant, New Haven, CT North Dakota State University SUE MCNEIL, Professor, Department of Civil and Environmental Engineering, University of Delaware JOHN INGLISH Utah Transit Authority MICHAEL R. MORRIS, Director of Transportation, North Central Texas Council of Governments JEANNE W. KRIEG CAROL A. MURRAY, Commissioner, New Hampshire DOT Eastern Contra Costa Transit Authority MICHAEL S. TOWNES, President and CEO, Hampton Roads Transit, Hampton, VA CELIA G. KUPERSMITH C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin Golden Gate Bridge, Highway LINDA S. WATSON, Executive Director, LYNX--Central Florida Regional Transportation Authority and Transportation District PAUL J. LARROUSSE National Transit Institute EX OFFICIO MEMBERS CLARENCE W. MARSELLA Denver Regional Transportation District MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT FAYE L. M. MOORE JOSEPH H. BOARDMAN, Federal Railroad Administrator, U.S.DOT Southeastern Pennsylvania Transportation REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA Authority GEORGE BUGLIARELLO, Chancellor, Polytechnic University, and Foreign Secretary, National Academy MICHAEL H. MULHERN of Engineering Jacobs Civil Inc. J. RICHARD CAPKA, Acting Administrator, Federal Highway Administration, U.S.DOT STEPHANIE L. PINSON THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard Gilbert Tweed Associates, Inc. ROBERT H. PRINCE, JR. JAMES J. EBERHARDT, Chief Scientist, Office of FreedomCAR and Vehicle Technologies, U.S. DOE DMJM+Harris JACQUELINE GLASSMAN, Deputy Administrator, National Highway Traffic Safety Administration, U.S.DOT JEFFREY M. ROSENBERG EDWARD R. HAMBERGER, President and CEO, Association of American Railroads Amalgamated Transit Union DAVID B. HORNER, Acting Deputy Administrator, Federal Transit Administration, U.S.DOT MICHAEL SCANLON JOHN C. HORSLEY, Exec. Dir., American Association of State Highway and Transportation Officials San Mateo County Transit District JOHN E. JAMIAN, Acting Administrator, Maritime Administration, U.S.DOT BEVERLY A. SCOTT EDWARD JOHNSON, Director, Applied Science Directorate, National Aeronautics and Space Administration Sacramento Regional Transit District KATHRYN D. WATERS ASHOK G. KAVEESHWAR, Research and Innovative Technology Administrator, U.S.DOT Dallas Area Rapid Transit BRIGHAM MCCOWN, Deputy Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT FRANK WILSON WILLIAM W. MILLAR, President, American Public Transportation Association Metropolitan Transit Authority of Harris SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. EPA County ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT EX OFFICIO MEMBERS WILLIAM W. MILLAR CARL A. STROCK (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps APTA of Engineers ROBERT E. SKINNER, JR. TRB TRANSIT COOPERATIVE RESEARCH PROGRAM JOHN C. HORSLEY AASHTO Transportation Research Board Executive Committee Subcommittee for TCRP J. RICHARD CAPKA FHWA JOHN R. NJORD, Utah DOT (Chair) DAVID B. HORNER, Federal Transit Administration, U.S.DOT TDC EXECUTIVE DIRECTOR MICHAEL D. MEYER, Georgia Institute of Technology LOUIS SANDERS WILLIAM W. MILLAR, American Public Transportation Association APTA ROBERT E. SKINNER, JR., Transportation Research Board SECRETARY MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA ROBERT J. REILLY C. MICHAEL WALTON, University of Texas, Austin TRB LINDA S. WATSON, LYNX--Central Florida Regional Transportation Authority
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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP REPORT 86 Public Transportation Security Volume 10 Hazard and Security Plan Workshop: Instructor Guide AECOM CONSULT, INC. Fairfax, VA In association with MAIER CONSULTING, INC. Barboursville, VA and PETER SCHAUER ASSOCIATES Boonville, MO S UBJECT A REAS Planning and Administration · Public Transit · Security Research Sponsored by the Federal Transit Administration in Cooperation with the Transit Development Corporation TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2006 www.TRB.org
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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP REPORT 86: Volume 10 The nation's growth and the need to meet mobility, Project J-10D environmental, and energy objectives place demands on public ISSN 1073-4872 transit systems. Current systems, some of which are old and in need ISBN 0-309-08848-8 of upgrading, must expand service area, increase service frequency, Library of Congress Control Number 2005938047 and improve efficiency to serve these demands. Research is © 2006 Transportation Research Board necessary to solve operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into Price $55.00 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 NOTICE Association (APTA), Transportation 2000, also recognized the need The project that is the subject of this report was a part of the Transit Cooperative for local, problem-solving research. TCRP, modeled after the Research Program conducted by the Transportation Research Board with the longstanding and successful National Cooperative Highway approval of the Governing Board of the National Research Council. Such Research Program, undertakes research and other technical activities approval reflects the Governing Board's judgment that the project concerned is in response to the needs of transit service providers. The scope of appropriate with respect to both the purposes and resources of the National TCRP includes a variety of transit research fields including plan- Research Council. ning, service configuration, equipment, facilities, operations, human The members of the technical advisory panel selected to monitor this project and resources, maintenance, policy, and administrative practices. to review this report were chosen for recognized scholarly competence and with TCRP was established under FTA sponsorship in July 1992. due consideration for the balance of disciplines appropriate to the project. The Proposed by the U.S. Department of Transportation, TCRP was opinions and conclusions expressed or implied are those of the research agency authorized as part of the Intermodal Surface Transportation that performed the research, and while they have been accepted as appropriate Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum by the technical panel, they are not necessarily those of the Transportation agreement outlining TCRP operating procedures was executed by Research Board, the National Research Council, the Transit Development the three cooperating organizations: FTA, The National Academies, Corporation, or the Federal Transit Administration of the U.S. Department of acting through the Transportation Research Board (TRB); and Transportation. the Transit Development Corporation, Inc. (TDC), a nonprofit Each report is reviewed and accepted for publication by the technical panel educational and research organization established by APTA. according to procedures established and monitored by the Transportation TDC is responsible for forming the independent governing board, Research Board Executive Committee and the Governing Board of the National designated as the TCRP Oversight and Project Selection (TOPS) Research Council. 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 Special Notice program by identifying the highest priority projects. As part of the The Transportation Research Board of The National Academies, the National evaluation, the TOPS Committee defines funding levels and Research Council, the Transit Development Corporation, and the Federal Transit expected products. Administration (sponsor of the Transit Cooperative Research Program) do not Once selected, each project is assigned to an expert panel, endorse products or manufacturers. Trade or manufacturers' names appear herein appointed by the Transportation Research Board. The panels prepare solely because they are considered essential to the clarity and completeness of the project statements (requests for proposals), select contractors, and project reporting. 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 Published reports of the to reach the intended audience, special emphasis is placed on disseminating TCRP results to the intended end users of the TRANSIT COOPERATIVE RESEARCH PROGRAM research: transit agencies, service providers, and suppliers. TRB are available from: provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. APTA Transportation Research Board Business Office will arrange for workshops, training aids, field visits, and other 500 Fifth Street, NW activities to ensure that results are implemented by urban and rural Washington, DC 20001 transit industry practitioners. The TCRP provides a forum where transit agencies can and can be ordered through the Internet at cooperatively address common operational problems. The TCRP http://www.national-academies.org/trb/bookstore results support and complement other ongoing transit research and training programs. Printed in the United States of America
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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. Ralph J. Cicerone 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. Ralph J. Cicerone 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
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COOPERATIVE RESEARCH PROGRAMS STAFF FOR TCRP REPORT 86, VOLUME 10 ROBERT J. REILLY, Director, Cooperative Research Programs CHRISTOPHER W. JENKS, TCRP Manager S. A. PARKER, Senior Program Officer EILEEN P. DELANEY, Director of Publications ANDREA BRIERE, Editor BETH HATCH, Editor TCRP PROJECT J-10D Field of Special Projects--Area of Security RICHARD G. WONG, Rancho Santiago Community College District, Pasadena, CA (Chair) GERALD L. BLAIR, Indiana County Transit Authority, Indiana, PA CHARLES CARR, Mississippi Department of Transportation PENELOPE J. PAGE, Yellow Connex, Baltimore, MD VINCENT P. PEARCE, U.S. Department of Transportation PATRICIA WEAVER, University of Kansas RUTH O'HARA, FTA Liaison GREG HULL, APTA Liaison CHRISTOPHER A. KOZUB, National Transit Institute Liaison CHRISTOPHER ZEILINGER, Community Transportation Association of America Liaison JOEDY W. CAMBRIDGE, TRB Liaison PETER SHAW, TRB Liaison AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under TCRP Project Mr. Kenneth LaRue J-10D, "Developing and Updating Security Plans: A Pilot Course Oklahoma Transit Programs Division, Oklahoma City, for Rural and Community-Based Public Transportation Systems," Oklahoma by AECOM Consult, Inc., in conjunction with Maier Consulting, Ms. Amanda Ratliff Inc., and Peter Schauer Associates. Department of Homeland Security/Federal Emergency The TCRP panel defined the original objectives of the work and Management Agency Region V guided its completion. A particularly constructive role was played by the panel of Mr. J. R. Salazar experts who provided feedback regarding the needs of small sys- Central Texas Rural Transit, Coleman, Texas tems in developing an appropriate security plan template. That Mr. John Sorrell panel consisted of the following participants: Wiregrass Transit Authority, Dothan, Alabama Judge Kenton Askren Mr. Richard Wong Circuit Court, Cooper County, Boonville, Missouri Rancho Santiago Community College District, Pasadena, California Mr. Robert Borne CyRide, Ames, Iowa Mr. Christopher Zeilinger Community Transportation Association of America, Mr. David Bruffy Washington, D.C. Monongalia City Urban Mass Transit Authority, Morgantown, West Virginia Pat Maier and Peter Schauer are co-principal investigators from Maier Consulting, Inc., Barboursville, Virginia, and Peter Schauer Mr. Charles Carr Associates, Boonville, Missouri, respectively. The other authors of Mississippi DOT this report are Scott Baker, vice president, and Vi Truong, lead con- Ms. Mona Comici sultant, both of AECOM Consult. OATS West Regional Office, Sedalia, Missouri Notwithstanding the generous contributions made by the research participants, errors and omissions remain the responsibil- Mr. David J. Custer ity of the principal investigators. City of Morgantown Fire Department, Morgantown, West Virginia
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This tenth volume of TCRP Report 86: Public Transportation Security will assist FOREWORD rural, small urban, and community-based passenger transportation agencies in creating By S. A. Parker hazard and security plans or evaluating and modifying existing plans, policies, and pro- Staff Officer cedures consistent with the National Incident Management System (NIMS). The Transportation Research importance of NIMS is set out in a September 8, 2004, letter to state governors from Board Department of Homeland Security Secretary Tom Ridge: "NIMS provides a consistent nationwide approach for Federal, State, territorial, tribal, and local governments to work effectively and efficiently together to prepare for, prevent, respond to, and recover from domestic incidents, regardless of cause, size, or complexity." Rural, small urban, and community-based passenger transportation agencies face many of the same security concerns as other service-sector enterprises. Transit employ- ees may experience workplace violence or spillovers of domestic violence, and there is a risk of domestic or international terrorism. Beyond the immediate trauma of inten- tional harm to an employee, a destroyed vehicle, or a vandalized facility, there can be disruptions to operations and emotionally disturbing repercussions to employees and passengers that could shatter the functionality of the transit system. Consequently, tran- sit systems must have a hazard and security plan in place, understood by all staff, to identify and to eliminate the risk or minimize the loss and disruptions to operations, staff, and passengers. To accomplish the above tasks, rural, small urban, and community-based passen- ger transportation systems need practical planning templates that reflect the operating environment and the realities of available staff for implementation. The templates must be flexible so they can be used in developing customized security plans and combined with effective training tools for each unique transit system. Hence, the objective of this project was to develop a hazard and security planning template and to design training for developing security plans and integrating those plans into the routine of daily tran- sit operations. Users of the TCRP Report 86 series will find that the products empha- size mitigation along with prevention, preparation, response, and recovery. The training course in this report is supplemented online with a downloadable tem- plate for a completed hazard and security plan. The CD-ROM includes those resources and more than 60 other documents organized in an electronic library. AECOM Consult prepared this volume of TCRP Report 86 under TCRP Proj- ect J-10D. 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, mitigation, response, and recovery. Man- agers seek to reduce the chances that transportation vehicles and facilities will be tar- gets 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
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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 tenth 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 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 reports will be issued as they are completed. To develop this volume in a comprehensive manner and to ensure inclusion of significant 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. 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://www.TRB.org/SecurityPubs.
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CONTENTS 1 Using the Instructor Guide 1 Preface 3 Introduction and Background 4 Course Goals 4 General Instructional Approach 5 Conceptual Agenda and Elapsed Times 7 Workshop Outline 10 Template for a 1-Day Workshop 11 Template for a 2-Day Workshop 12 Materials, Audio Visual, and Miscellaneous Requirements 14 Participant Agenda 18 Before Presenting the Course: A Checklist At-1 ATTACHMENT 1 Volunteer Fire Departments (VFDs) and Terrorism Analogs A-1 APPENDIX A Lesson Plan B-1 APPENDIX B Instructor PowerPoint Slides and Notes C-1 CD Contents