National Academies Press: OpenBook

Security Measures for Ferry Systems (2006)

Chapter: Front Matter

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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2006. Security Measures for Ferry Systems. Washington, DC: The National Academies Press. doi: 10.17226/13927.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2006 www.TRB.org T R A N S I T C O O P E R A T I V E R E S E A R C H P R O G R A M TCRP REPORT 86 Research sponsored by the Federal Transit Administration in cooperation with the Transit Development Corporation Subject Areas Planning and Administration • Public Transit • Marine Transportation • Security Public Transportation Security Volume 11 Security Measures for Ferry Systems SCIENCE APPLICATIONS INTERNATIONAL CORPORATION McLean, VA

TRANSIT COOPERATIVE RESEARCH PROGRAM The nation’s growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Current systems, some of which are old and in need of upgrading, must expand service area, increase service frequency, and improve efficiency to serve these demands. Research is necessary to solve operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into 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 Administration (FTA). A report by the American Public Transportation Association (APTA), Transportation 2000, also recognized the need for local, problem- solving research. TCRP, modeled after the longstanding and successful National Cooperative Highway Research Program, undertakes research and other technical activities in response to the needs of transit service 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. TCRP was established under FTA sponsorship in July 1992. Proposed by the U.S. Department of Transportation, TCRP was authorized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement outlining TCRP operating procedures was executed by the three cooperating organizations: FTA, the National Academies, acting through the Transportation Research Board (TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research organization established by APTA. TDC is responsible for forming the independent governing board, designated as the TCRP Oversight and Project Selection (TOPS) 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 program by identifying the highest priority projects. As part of the evaluation, the TOPS Committee defines funding levels and expected products. Once selected, each project is assigned to an expert panel, appointed by the Transportation Research Board. The panels prepare project 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 disseminating TCRP results to the intended end users of the research: transit agencies, service providers, and suppliers. TRB provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. APTA will arrange for workshops, training aids, field visits, and other activities to ensure that results are implemented by urban and rural transit industry practitioners. The TCRP provides a forum where transit agencies can cooperatively address common operational problems. The TCRP results support and complement other ongoing transit research and training programs. TCRP REPORT 86: VOLUME 11 Price $32.00 Project J-10H ISSN 1073-4872 ISBN 0-309-09857-2 Library of Congress Control Number 2006927376 © 2006 Transportation Research Board COPYRIGHT PERMISSION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the 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, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The project that is the subject of this report was a part of the Transit Cooperative Research Program conducted by the Transportation Research Board with the approval of the 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 purposes and resources of the National Research Council. The members of the technical advisory panel selected to monitor this project and to review this report were chosen for recognized scholarly competence and with due consideration for the balance of disciplines appropriate to the project. The opinions and conclusions 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 necessarily those of the Transportation Research Board, the National Research Council, the Transit Development Corporation, or the Federal Transit Administration of the U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical panel according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. The Transportation Research Board of the National Academies, the National Research Council, the Transit Development Corporation, and the Federal Transit Administration (sponsor of the Transit Cooperative Research Program) do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the clarity and completeness of the project reporting. Published reports of the TRANSIT COOPERATIVE RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at http://www.national-academies.org/trb/bookstore Printed in the United States of America

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 C O O P E R A T I V E R E S E A R C H P R O G R A M S

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 F O R E W O R D By S. A. Parker Staff Officer Transportation Research Board

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. vi Foreword

vii C O N T E N T S 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 P A R T 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

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 Guard–Approved 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 viii Contents

Next: Part I: Guide for Evaluating Security Measures for the U.S. Ferry System »
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TRB's Transit Cooperative Research Program (TCRP) Report 86: Public Transportation Security, Volume 11: Security Measures for Ferry Systems is designed to assist U.S. ferry system operators in evaluating and selecting general security measures (GSM) for their operations consistent with the National Incident Management System.

The seven-step GSM evaluation process and the description of the characteristics of the U.S. ferry system in TCRP Report 86, vol. 11 are supplemented by an Excel tool for applying the seven-step GSM evaluation process.

The TCRP Report 86: Public Transportation Security series assembles relevant information into single, concise volumes, each pertaining to a specific security problem and closely related issues. These volumes focus on the concerns that transit agencies are addressing when developing programs in response to the terrorist attacks of September 11, 2001, and the anthrax attacks that followed. Future volumes of the report will be issued as they are completed.

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