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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