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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 180 TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2015 www.TRB.org Research sponsored by the Federal Transit Administration in cooperation with the Transit Development Corporation Subject Areas Public Transportation â¢ Security and Emergencies Policing and Security Practices for Small- and Medium-Sized Public Transit Systems Ernest âRonâ Frazier, Sr. Countermeasures assessment and seCurity experts, LLc New Castle, DE
TCRP REPORT 180 Project F-18 ISSN 1073-4872 ISBN 978-0-309-30881-6 Â© 2015 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION 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. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the Governing Board of the National Research Council. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board, the National Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the Transit Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report. TRANSIT COOPERATIVE RESEARCH PROGRAM The nationâs 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 intro- duce 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 213âResearch for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administrationânow the Federal Transit Admin istration (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 success- ful National Cooperative Highway Research Program, undertakes research and other technical activities in response to the needs of tran- sit 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. Pro- posed by the U.S. Department of Transportation, TCRP was autho- rized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement out- lining TCRP operating procedures was executed by the three cooper- ating organizations: FTA, the National Academies, acting through the Transportation Research Board (TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research orga- nization 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 identi- fying 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 state- ments (requests for proposals), select contractors, and provide techni- cal 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 pro- grams since 1962. As in other TRB activ ities, TCRP project panels serve voluntarily without com pensation. Because research cannot have the desired impact if products fail to reach the intended audience, special emphasis is placed on dissemi- nating TCRP results to the intended end users of the research: tran- sit agencies, service providers, and suppliers. TRB provides a series of research reports, syntheses of transit practice, and other support- ing 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. 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
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon 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 technical 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 Academy 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 achievements of engineers. Dr. C. D. Mote, Jr., 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, upon its own initiative, to identify issues of medical care, research, and education. Dr. Victor J. Dzau 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 Academyâs purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, 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 Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Boardâs varied activities annually engage about 7,000 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 individu- als interested in the development of transportation. www.TRB.org www.national-academies.org
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 AUTHOR ACKNOWLEDGMENTS The research project, TCRP Project F-18, âPolicing and Security Practices for Small- and Medium-Sized Public Transit Agenciesâ came about because transit industry practitioners accurately perceived a distinc- tion in the security risk, profile, and needs of smaller agencies. As observed in the commentary of the TCRP Project F-18 project panel, post 9/11 government and industry security risk reduction prioritization was focused toward the âtop 100 transit agencies.â While this approach was most appropriate and consistent with concepts of risk management from an industry perspective, there was additional work to be done to assist other smaller agencies to define their specific security conditions and requirements. The author acknowledges his appreciation for the efforts and energy undertaken by the F-18 subject matter expert panel to bring this project to fruition. CRP STAFF FOR TCRP REPORT 180 christopher W. Jenks, Director, Cooperative Research Programs Stephan A. Parker, Senior Program Officer Megan chamberlain, Senior Program Assistant Eileen P. Delaney, Director of Publications Scott E. Hitchcock, Editor TCRP PROJECT F-18 PANEL Field of Human Resources Jeanne Krieg, Eastern Contra Costa Transit Authority, Antioch, CA (Chair) William c. Fleming, Massachusetts Bay Transportation Authority Police, Braintree, MA Aston T. Greene, Metropolitan Atlanta Rapid Transit Authority (MARTA) Police Dept., Ellenwood, GA Bobby J. Griffin, Griffin and Associates, Flower Mound, TX Glenn Hansen, Howard County (MD) Police Department, Ellicott City, MD Evangelos I. Kaisar, Florida Atlantic University, Boca Raton, FL Sue F. Knapp, KFH Group, Inc., Bethesda, MD Keith Bryan Leaird, Concord, NC Nancy Norris, TransIT Services of Frederick County, Frederick, MD Richard Gerhart, FTA Liaison Patricia Monahan, National Rural Transit Assistance Program Liaison Stephen J. Andrle, TRB Liaison Jennifer L. Weeks, TRB Liaison
TCRP Report 180: Policing and Security Practices for Small- and Medium-Sized Public Transit Systems broadens the current state of practice and identifies and responds to the spe- cific challenges and issues associated with the security of small- and medium-sized transit agencies. Following the five stages of protection activity (prevention, mitigation, prepared- ness, response, and recovery), the report provides baseline options and identifies potential security countermeasures that could be deployed by both small- and medium-sized transit agencies. This information is contained in numerous tables including specific informa- tion about (1) existing countermeasures in place at small- and medium-sized agencies, (2) an exhaustive and scalable list of prospective countermeasures that are available for deployment, and (3) spotlighted best practices that transit agencies are using to reduce security-related risks. For the purpose of this report, a small transit agency is defined as serving a population of less than 50,000 people whereas a medium agency serves a popu- lation of between 50,000 and 100,000 people. TCRP Report 180 is a reference document, intended primarily for transit agency personnel without a security background whose work requires them to address, perform, or supervise security activities as a part of their overall job responsibilities. Managers of small- and medium-sized transit systems considering enhancements to or establishment of formal security programs want to know the following: (1) Are my peers doing formal security needs assessments? (2) What practical security measures are in use? (3) What practical security measures are recommended? (4) How does one set a security budget? (5) How does one justify a security budget? In the research effort led by Countermeasures Assessment & Security Experts, LLC, 180 small- and medium-sized public transit agencies from across the United States were surveyed about their assets, identified and historic security risks, as well as physical and operational countermeasures. Questions about assets included size of fleet by mode, physi- cal structures (e.g., office buildings, maintenance garages), infrastructure (e.g., bridges, tunnels), and security personnel. For comparative purposes, 106 large agencies were also surveyed. Risk questions pertained to the incidence of homeland security-related events, felony and misdemeanor crimes, and quality of life offenses committed within the past year. Agencies were also asked to report on incidents of suspicious activity, packages, or persons, bomb threats, and evacuations based on these suspicious circumstances. In terms of countermeasures, agencies were asked about access control, barriers, berms, surveil- lance equipment, security public awareness campaigns, and security planning. The research conducted supports an initial hypothesis that there are significant differ- ences between the security risks, needs, and issues facing smaller agencies when compared F O R E W O R D By Stephan A. Parker Staff Officer Transportation Research Board
to those of large metropolitan transit systems; police and security problems at small- and medium-sized systems occur with much less frequency or magnitude of severity. A survey of large, medium, and small transit agencies disclosed that the smaller the system, the less probable it is for the agency to experience significant levels of crime or disorder. Homeland security- or terrorism-related threats rarely occur on smaller systems. However, the poten- tial for serious crime and major security events always exists, even for these smaller systems. Irrespective of the size of the agency, transit security problems fall into the following categories: (1) passenger security, (2) employee security, (3) revenue security, (4) transit equipment and property protection, (5) fraud, and (6) homeland security-related threats and vulnerabilities. The highest consequence security issue that small- and medium-sized transit agencies must confront on a daily basis is the potential for employees to be assaulted while performing their duties. Although lesser crimes or violations may occur more fre- quently, by and large the most significant criminal threat outside of homicide that the tran- sit agency will face is as an aggravated assault committed against an employee. This project created two products that are available on the TRB website (www.TRB.org) by searching for âTCRP Report 180â: (1) this report, and (2) a PowerPoint presentation describing the entire project.
1 Summary 3 Chapter 1 Security Risk Management and Assessment Processes 3 Risk 3 Risk Management 5 Security Risk 5 Homeland Defense/Homeland SecurityâThe Risk of Terrorist Attack 7 Felony or Misdemeanor CrimeâThe Risk of Crime and Criminal Activity 8 Violent Crime 8 Overview 9 Property Crime 9 Overview 10 Minor Offenses and Disorder 11 Perceptions of a Lack of Security 12 Chapter 2 Small- and Medium-Sized Transit Agency Security Environment 13 Small-Sized Agencies 13 Medium-Sized Agencies 17 Chapter 3 Transit Agency Security Risk Profiles 19 Security Risk ProfileâSmall-Sized Transit Agencies 21 Security Risk ProfileâMedium-Sized Transit Agencies 23 Relative Risk Profile Comparative Findings/Summary Section 24 Countermeasures Deployment Comparative Findings/Agency Utilization Rates 25 Chapter 4 Crime, Statistics, and Reporting Procedures 25 Crime and Security Data 27 Crime Rates in Transit 30 Chapter 5 Transit Crime and Security Problems 30 Passenger Security 30 Homicide 31 Aggravated Assault, Simple Assault, and Harassment 31 Robbery 31 Rape and Sex Offenses 32 Employee Security 32 Type 1 Violence 33 Type 2 Violence 33 Homicide 34 Aggravated Assault, Simple Assault, and Harassment 37 Revenue Security C O N T E N T S
37 Transit Equipment and Property Protection 37 Internal Theft 39 External Theft 40 Vandalism and Graffiti 43 Fraud Prevention 43 Homeland Security Issues 45 Chapter 6 Police and Security Staffing 45 Security Forces 52 Chapter 7 Security Countermeasures 53 Protecting People On Board 54 On-Board Vehicle Countermeasures 54 Prevention 55 Deterrence 55 Response 58 Other On-Board Vehicle Incidents 59 Protecting People at Bus Stops 61 Protecting Transit Properties 62 Vehicles and Conveyances 65 Other Transit Property 65 Buildings and Other Facilities 74 Chapter 8 Security Plan Implementation and Management 79 Establish Priorities 80 Organization, Roles, and Responsibilities 81 Countermeasures and Strategies 81 Plan Maintenance 83 Chapter 9 Conclusions 83 Key Points Summary 83 Risk Factors 83 Small- and Medium-Sized Agencies Security Risk Profile 84 Homeland Security 84 Crime and Disorder 85 Workplace Violence 86 Security Countermeasures 88 References 91 Appendix A Agencies Participating in the F-18 Study of Agency SizeâLarge, Medium, Small