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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 11
Security Measures
for Ferry Systems
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TCRP OVERSIGHT AND PROJECT TRANSPORTATION RESEARCH BOARD 2006 EXECUTIVE COMMITTEE
SELECTION COMMITTEE (Membership as of April 2006)
(as of March 2006)
OFFICERS
CHAIR
David A. Lee CHAIR: Michael D. Meyer, Professor, School of Civil and Environmental Engineering, Georgia Institute
Connecticut Transit of Technology
VICE CHAIR: Linda S. Watson, Executive Director, LYNX--Central Florida Regional Transportation Authority
MEMBERS EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board
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 John D. Bowe, Regional President, APL Americas, Oakland, CA
PB Consult, Inc. Larry L. Brown, Sr., Executive Director, Mississippi DOT
Sandra K. Bushue Deborah H. Butler, Vice President, Customer Service, Norfolk Southern Corporation and Subsidiaries,
FTA Atlanta, GA
Peter Cannito
Metropolitan Transportation Authority-- Anne P. Canby, President, Surface Transportation Policy Project, Washington, DC
Metro North Railroad Douglas G. Duncan, President and CEO, FedEx Freight, Memphis, TN
Gregory Cook Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, University of Virginia,
Ann Arbor Transportation Authority Charlottesville
Nathaniel P. Ford Angela Gittens, Vice President, Airport Business Services, HNTB Corporation, Miami, FL
San Francisco MUNI Genevieve Giuliano, Professor and Senior Associate Dean of Research and Technology, School of Policy,
Ronald L. Freeland Planning, and Development, and Director, METRANS National Center for Metropolitan Transportation
Booz Allen Hamilton, Inc. Research, USC, Los Angeles
Fred M. Gilliam
Susan Hanson, Landry University Prof. of Geography, Graduate School of Geography, Clark University
Capital Metropolitan Transportation Authority
Kim R. Green James R. Hertwig, President, CSX Intermodal, Jacksonville, FL
GFI GENFARE Gloria J. Jeff, General Manager, City of Los Angeles DOT
Jill A. Hough Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley
North Dakota State University Harold E. Linnenkohl, Commissioner, Georgia DOT
John Inglish Sue McNeil, Professor, Department of Civil and Environmental Engineering, University of Delaware
Utah Transit Authority Debra L. Miller, Secretary, Kansas DOT
Jeanne W. Krieg Michael R. Morris, Director of Transportation, North Central Texas Council of Governments
Eastern Contra Costa Transit Authority Carol A. Murray, Commissioner, New Hampshire DOT
Celia G. Kupersmith
Golden Gate Bridge, Highway John R. Njord, Executive Director, Utah DOT
and Transportation District Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson
Paul J. Larrousse Henry Gerard Schwartz, Jr., Senior Professor, Washington University
National Transit Institute Michael S. Townes, President and CEO, Hampton Roads Transit, Hampton, VA
Clarence W. Marsella C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas at Austin
Denver Regional Transportation District
Faye L. M. Moore EX OFFICIO MEMBERS
Southeastern Pennsylvania Transportation
Authority Marion C. Blakey, Federal Aviation Administrator, U.S.DOT
Michael H. Mulhern Joseph H. Boardman, Federal Railroad Administrator, U.S.DOT
Jacobs Civil, Inc. Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA
Stephanie L. Pinson George Bugliarello, Chancellor, Polytechnic University of New York, and Foreign Secretary, National
Gilbert Tweed Associates, Inc. Academy of Engineering
Robert H. Prince, Jr. Sandra K. Bushue, Deputy Administrator, Federal Transit Administration, U.S.DOT
DMJM+Harris J. Richard Capka, Acting Administrator, Federal Highway Administration, U.S.DOT
Jeffrey M. Rosenberg
Thomas H. Collins (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard
Amalgamated Transit Union
Michael Scanlon James J. Eberhardt, Chief Scientist, Office of FreedomCAR and Vehicle Technologies, U.S. DOE
San Mateo County Transit District Jacqueline Glassman, Deputy Administrator, National Highway Traffic Safety Administration, U.S.DOT
Beverly Scott Edward R. Hamberger, President and CEO, Association of American Railroads
Sacramento Regional Transit District John C. Horsley, Exec. Dir., American Association of State Highway and Transportation Officials
Kathryn D. Waters John E. Jamian, Acting Administrator, Maritime Administration, U.S.DOT
Dallas Area Rapid Transit J. Edward Johnson, Director, Applied Science Directorate, National Aeronautics and Space Administration
Frank Wilson Ashok G. Kaveeshwar, Research and Innovative Technology Administrator, U.S.DOT
Metropolitan Transit Authority Brigham McCown, Deputy Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT
of Harris County
William W. Millar, President, American Public Transportation Association
EX OFFICIO MEMBERS Suzanne Rudzinski, Director, Transportation and Regional Programs, U.S. EPA
William W. Millar Annette M. Sandberg, Federal Motor Carrier Safety Administrator, U.S.DOT
APTA Jeffrey N. Shane, Under Secretary for Policy, U.S.DOT
Robert E. Skinner, Jr. Carl A. Strock (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers
TRB
John C. Horsley TRANSIT COOPERATIVE RESEARCH PROGRAM
AASHTO Transportation Research Board Executive Committee Subcommittee for TCRP
J. Richard Capka
FHWA Michael D. Meyer, Georgia Institute of Technology (Chair)
Sandra K. Bushue, Federal Transit Administration, U.S.DOT
TDC EXECUTIVE DIRECTOR William W. Millar, American Public Transportation Association
Louis Sanders John R. Njord, Utah DOT
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 at 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 11
Security Measures
for Ferry Systems
SCIENCE APPLICATIONS INTERNATIONAL CORPORATION
McLean, VA
Subject Areas
Planning and Administration · Public Transit · Marine Transportation · 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 11
The nation's growth and the need to meet mobility, environmental, Price $32.00
and energy objectives place demands on public transit systems. Current
Project J-10H
systems, some of which are old and in need of upgrading, must expand
ISSN 1073-4872
service area, increase service frequency, and improve efficiency to serve
ISBN 0-309-09857-2
these demands. Research is necessary to solve operating problems, to Library of Congress Control Number 2006927376
adapt appropriate new technologies from other industries, and to
introduce innovations into the transit industry. The Transit © 2006 Transportation Research Board
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. COPYRIGHT PERMISSION
The need for TCRP was originally identified in TRB Special Report Authors herein are responsible for the authenticity of their materials and for obtaining
213--Research for Public Transit: New Directions, published in 1987 and written permissions from publishers or persons who own the copyright to any previously
based on a study sponsored by the Urban Mass Transportation published or copyrighted material used herein.
Administration--now the Federal Transit Administration (FTA). A Cooperative Research Programs (CRP) grants permission to reproduce material in this
report by the American Public Transportation Association (APTA), publication for classroom and not-for-profit purposes. Permission is given with the
Transportation 2000, also recognized the need for local, problem- understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA,
FMCSA, FTA, or Transit Development Corporation endorsement of a particular product,
solving research. TCRP, modeled after the longstanding and successful method, or practice. It is expected that those reproducing the material in this document for
National Cooperative Highway Research Program, undertakes research educational and not-for-profit uses will give appropriate acknowledgment of the source of
and other technical activities in response to the needs of transit service any reprinted or reproduced material. For other uses of the material, request permission
from CRP.
providers. The scope of TCRP includes a variety of transit research
fields including planning, service configuration, equipment, facilities,
operations, human resources, maintenance, policy, and administrative
practices. NOTICE
TCRP was established under FTA sponsorship in July 1992. The project that is the subject of this report was a part of the Transit Cooperative Research
Proposed by the U.S. Department of Transportation, TCRP was Program conducted by the Transportation Research Board with the approval of the
authorized as part of the Intermodal Surface Transportation 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
Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum purposes and resources of the National Research Council.
agreement outlining TCRP operating procedures was executed by the
The members of the technical advisory panel selected to monitor this project and to review
three cooperating organizations: FTA, the National Academies, acting this report were chosen for recognized scholarly competence and with due consideration
through the Transportation Research Board (TRB); and for the balance of disciplines appropriate to the project. The opinions and conclusions
the Transit Development Corporation, Inc. (TDC), a nonprofit 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
educational and research organization established by APTA. TDC is
necessarily those of the Transportation Research Board, the National Research Council,
responsible for forming the independent governing board, designated the Transit Development Corporation, or the Federal Transit Administration of the U.S.
as the TCRP Oversight and Project Selection (TOPS) Committee. Department of Transportation.
Research problem statements for TCRP are solicited periodically but Each report is reviewed and accepted for publication by the technical panel according to
may be submitted to TRB by anyone at any time. It is the responsibility procedures established and monitored by the Transportation Research Board Executive
of the TOPS Committee to formulate the research program by Committee and the Governing Board of the National Research Council.
identifying the highest priority projects. As part of the evaluation, the The Transportation Research Board of the National Academies, the National Research
TOPS Committee defines funding levels and expected products. Council, the Transit Development Corporation, and the Federal Transit Administration
(sponsor of the Transit Cooperative Research Program) do not endorse products or
Once selected, each project is assigned to an expert panel, appointed manufacturers. Trade or manufacturers' names appear herein solely because they are
by the Transportation Research Board. The panels prepare project considered essential to the clarity and completeness of the project reporting.
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 activities, 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
Published reports of the
disseminating TCRP results to the intended end users of the research:
transit agencies, service providers, and suppliers. TRB provides a series TRANSIT COOPERATIVE RESEARCH PROGRAM
of research reports, syntheses of transit practice, and other supporting are available from:
material developed by TCRP research. APTA will arrange for Transportation Research Board
workshops, training aids, field visits, and other activities to ensure that Business Office
results are implemented by urban and rural transit industry 500 Fifth Street, NW
Washington, DC 20001
practitioners.
The TCRP provides a forum where transit agencies can cooperatively and can be ordered through the Internet at
address common operational problems. The TCRP results support and http://www.national-academies.org/trb/bookstore
complement other ongoing transit research and training programs. Printed in the United States of America
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COOPERATIVE RESEARCH PROGRAMS
CRP STAFF FOR TCRP REPORT 86, VOLUME 11
Robert J. Reilly, Director, Cooperative Research Programs
Christopher W. Jenks, TCRP Manager
S. A. Parker, Senior Program Officer
Eileen P. Delaney, Director of Publications
Beth Hatch, Editor
TCRP PROJECT J-10H PANEL
Field of Special Projects--Area of Security
James P. Swindler, Golden Gate Bridge, Highway, and Transportation District, Larkspur, CA (Chair)
James J. Corbett, University of Delaware, Newark, DE
Scott E. Davis, Washington State Ferries, Seattle, WA
Peter C. Johansen, West Hempsted, NY
Kelly Leone, U.S.DOT Research and Innovative Technology Administration, Cambridge, MA
Brian McEwing, Cape May--Lewes Ferry, North Cape May, NJ
Michael D. Riley, New Jersey DOT
Nancy Solkowski, FTA Liaison
Anthony B. Tisdale, FTA Liaison
Greg Hull, APTA Liaison
Richard Lolich, U.S. Maritime Administration Liaison
Malcolm McLellan, U.S. Coast Guard Liaison
Matthew D. Rabkin, Volpe National Transportation Systems Center Liaison
Dawn Tucker, U.S.DOT Office of Intelligence & Security Liaison
Joedy W. Cambridge, TRB Liaison
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FOREWORD
By S. A. Parker
Staff Officer
Transportation Research Board
This eleventh volume of TCRP Report 86: Public Transportation Security will assist U.S.
ferry system operators in evaluating and selecting general security measures (GSMs) for
their operations consistent with the National Incident Management System (NIMS). The
importance of NIMS is set out in a September 8, 2004, letter to state governors, from
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."
The seven-step GSM evaluation process and the description of the characteristics of the
U.S. ferry system in this report are supplemented online with a downloadable Excel tool for
applying the seven-step GSM evaluation process. The Excel tool is available at http://trb.org/
news/blurb_detail.asp?id=6068. Users of the TCRP Report 86 series will find that the prod-
ucts emphasize mitigation along with prevention, preparation, response, and recovery.
Science Applications International Corporation prepared this volume of TCRP Report 86
under TCRP Project J-10H.
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. Managers seek 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 pre-
pared to respond to terrorism, each 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.
This is the eleventh 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 programs in response to the
terrorist attacks of September 11, 2001, and the anthrax attacks that followed. Future vol-
umes of the reports will be issued as they are completed.
To develop this volume in a comprehensive manner and to ensure inclusion of signifi-
cant 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 available at the time
v
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vi Foreword
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
P A R T I Guide for Evaluating Security Measures for
the U.S. Ferry System
3 Chapter 1 Introduction
3 1.1 Background
3 1.2 Objective, Scope, and Limitations
5 Chapter 2 The Evaluation Process
5 2.1 Overview
5 2.2 The Seven Steps
8 Chapter 3 The Tool
8 3.1 Worksheet Integration and Data Flow
8 3.2 Worksheet 1, Evaluation Weights
9 3.2.1 Criteria Group 1: Security Objectives
10 3.2.2 Criteria Group 2: Non-Security Effects
10 3.2.3 Criteria Group 3: 33 CFR Compliance
11 3.2.4 Criteria Group 4: Locations
12 3.2.5 Criteria Group 5: Threat Type
13 3.2.6 Evaluation Criteria Groups
13 3.3 Worksheet 2, Valuations
15 3.4 Worksheet 3, Characterization
16 3.5 Worksheet 4, Applicability Ranks
17 3.6 Worksheet 5, Costs
19 3.7 Worksheet 6, Cost-Util & Strengths
20 3.8 References Worksheet
20 3.9 Hidden Calculations Worksheet
20 3.9.1 Overview of Hidden Calculations
21 3.9.2 Calculation of Weight-Adjusted Ranks
PA RT I I Characteristics of the U.S. Ferry System
25 Chapter 1 Introduction to USFS Characteristics
25 1.1 Objective
25 1.2 Organization of Part II
26 1.3 Background
28 Chapter 2 USFS Security-Related Vessel Characteristics
29 2.1 International Routes
30 2.2 Passenger Capacity and Location of Relatively High-Risk Targets
30 2.3 Vessel Gross Tons
31 2.4 Additional Categories That May Affect Security
vii
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viii Contents
31 2.4.1 High-Ridership Systems
31 2.4.2 Vessel Vehicle Capacity
32 2.4.3 Vessel Cruising Speed and Hull Type
34 Chapter 3 USFS Terminal and Area Characteristics
34 3.1 Docks, Moorings, and Gangways
36 3.2 Fare Collection, Waiting Areas, and Vessel Loading
37 3.3 Waterway Area Effects
37 3.4 Ownership/Operation
39 Chapter 4 Security Regulations and Guidance
39 4.1 International Vessel and Terminal Security Regulations
40 4.2 National Vessel and Terminal Security Regulations and Guidance
40 4.2.1 The Code of Federal Regulations (CFR)
41 4.2.2 Maritime Security (MARSEC) Directives
41 4.2.3 Navigation and Vessel Inspection Circulars (NVICs)
42 4.2.4 References for the Development of a U.S. Coast GuardApproved
Security Plan
42 4.3 Safety Regulations with Security Implications
42 4.3.1 Vessel Traffic Service (VTS)
43 4.3.2 Automatic Identification System (AIS)
45 Chapter 5 Common USFS Threats
45 5.1 Introduction to Common Threats
47 5.2 Explosives and Incendiaries
48 5.3 Acts of Force
49 5.4 Chemical, Biological, and Radiological (CBR) Agents
51 Appendix A Summary of Regulations and Guidance
54 Appendix B Maritime Security (MARSEC) Levels
56 Appendix C Glossaries of Terms and Acronyms
