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T R A N S P O R T A T I O N R E S E A R C H B O A R D WASHINGTON, D.C. 2009 www.TRB.org NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 525 Subject Areas Planning and Administration ⢠Operations and Safety ⢠Aviation ⢠Public Transit Rail ⢠Freight Transportation ⢠Marine Transportation ⢠Security Surface Transportation Security Volume 14 Security 101: A Physical Security Primer for Transportation Agencies Ernest R. Frazier, Sr. Yuko J. Nakanishi Mary Ann Lorimer COUNTERMEASURES ASSESSMENT AND SECURITY EXPERTS, LLC Camden, NJ Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research provides the most effective approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Boardâs recognized objectivity and understanding of modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; it possesses avenues of communications and cooperation with federal, state and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objectivity; it maintains a full-time research correlation staff of specialists in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The program is developed on the basis of research needs identified by chief administrators of the highway and transportation departments and by committees of AASHTO. Each year, specific areas of research needs to be included in the program are proposed to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY 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 NCHRP REPORT 525: VOLUME 14 Project 20-59 (28) ISSN 0077-5614 ISBN: 978-0-309-11793-7 Library of Congress Control Number 2006902911 © 2009 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 National Cooperative Highway 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 Boardâs judgment that the program concerned is of national importance and appropriate with respect to both the purposes and resources of the National Research Council. The members of the technical committee 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 committee, they are not necessarily those of the Transportation Research Board, the National Research Council, the American Association of State Highway and Transportation Officials, or the Federal Highway Administration, U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical committee 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 Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the individual states participating in the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of this report.
CRP STAFF FOR NCHRP REPORT 525, VOLUME 14 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs S. A. Parker, Senior Program Officer Eileen P. Delaney, Director of Publications Hilary Freer, Senior Editor NCHRP PROJECT 20-59 PANEL Field of Special ProjectsâArea of Security David S. Ekern, Virginia DOT, Richmond, VA (Chair) Dave Cardenas, Los Angeles World Airports, Los Angeles, CA John M. Contestabile, Johns Hopkins Univ./Applied Physics Lab, Laurel, MD Ernest R. âRonâ Frazier, Countermeasures Assessment and Security Experts, LLC, Camden, NJ Vicki Glenn, VHB, Inc., Vienna, VA Barbara Ivanov, Washington State DOT, Olympia, WA Michael Miles, California DOT, Sacramento, CA Sonia Pitt, Excalibur Associates, Inc., Alexandria, VA Mary Lou Ralls, Ralls Newman, LLC, Austin, TX Gina C. Wesley, University of Louisville, Louisville, KY Jeffrey L. Western, Western Management and Consulting, LLC, Madison, WI Richard Winston, Evanston, IL Ernesto L. Acosta, TSA Liaison Steven L. Ernst, FHWA Liaison Richard Gerhart, FTA Liaison Anthony B. Tisdale, FTA Liaison Rick Barnaby, FHWA Liaison William Brownlow, AASHTO Liaison Mark S. Bush, AASHTO Liaison Philip J. Caruso, Institute of Transportation Engineers Liaison Xavier Delache, Ministere des Transports de l'Equipment du Tourisme et de la Mer Liaison Nicholas Farber, National Conference of State Legislatures Liaison Marvin Fell, US Department of Homeland Security Liaison David Hahn, APTA Liaison Greg Hull, APTA Liaison Robert D. Jaffin, American Public University Liaison Anthony R. Kane, AASHTO Liaison Peter LaPorte, District of Columbia Emergency Management Agency Liaison Erhart M. âMarkâ Olson, Washington Metropolitan Area Transit Authority Liaison Vincent P. Pearce, US DOT 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
Security 101: A Physical Security Primer for Transportation Agencies provides transporta- tion managers and employees with an introductory-level reference document to enhance their working knowledge of security concepts, guidelines, definitions, and standards. This is a document for use primarily by those who are neither security professionals nor well versed in security language. There are many types of security: personal, cyber, document, information, operations, personnel, infrastructure, etc. This document focuses on physical security, the part of security concerned with measures and concepts designed to (1) safe- guard personnel; (2) prevent unauthorized access to equipment, installations, materiel, and documents; and (3) safeguard equipment, installations, materiel, and documents against espionage, sabotage, damage, and theft. Physical security is integral to an all-hazards approach to preparedness. As such, this report covers the major components of an effective security program at the conceptual level, including risk management and risk assessment, plans and strategies, physical security countermeasures, security personnel and other personnel, infrastructure protection, and homeland security. This primer can be used as an introduction to the extensive literature and additional sources of information identified in the appendixes; however, readers are reminded that plans need to be tested through exercises to ensure adequacy and to reinforce roles and responsibilities. This volume of NCHRP Report 525 was prepared under NCHRP Project 20-59(28) by Countermeasures Assessment and Security Experts, LLC, of Camden, New Jersey. Surface transportation agencies are recognizing that because of their broad policy respon- sibility, public accountability, large and distributed workforces, heavy equipment, and robust communications infrastructure, they are uniquely positioned among civilian gov- ernment agencies to swiftly take direct action to protect lives and property. The institutional heft of such agencies also provides a stable base for campaigns to mitigate or systematically reduce risk exposure over time through all-hazards capital investments. This is the fourteenth volume of NCHRP Report 525: Surface Transportation Security, a series in which relevant information is assembled into single, concise volumesâeach per- taining to a specific hazard or 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 signifi- cant knowledge, available information was assembled from numerous sources, including state departments of transportation. A topic panel of experts in the subject area was estab- F O R E W O R D By S. A. Parker Staff Officer Transportation Research Board
lished 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 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 NCHRP Report 525: Surface Transportation Security may be found on the TRB website at http://www.TRB.org/SecurityPubs.
1 Summary 3 Chapter 1 Risk Management and Risk Assessment 6 Threat Assessment 6 Threat Types 7 Explosives 8 Weapons of Mass Destruction 13 Armed Assault 13 Adversary Types and Motivations 15 Vulnerability Assessment 16 Security Surveys 16 Performing the Security Survey 18 Chapter 2 Plans and Strategies 18 Objectives of a Security Plan 19 Benefits of a Security Plan 19 Elements of a Security Plan 20 Establishing Priorities 21 Organizing Roles and Responsibilities 21 Selecting Countermeasures and Strategies 22 Maintaining the Plan 22 Security Design Processes 25 Security Funding 27 Chapter 3 Physical Security Countermeasures 27 Signs 30 Emergency Telephones, Duress Alarms, and Assistance Stations 31 Key Control and Locks 32 Protective Barriers 32 Fencing 34 Protective Barriers 34 Landscape Design 35 Protective Lighting 38 Lamps 38 Luminaries 38 Alarm and Intrusion Detection Systems 41 Electronic Access Control Systems 44 Surveillance Systems and Monitoring C O N T E N T S
51 Chapter 4 Security Personnel and Training 51 Security Forces 55 Security Experts, Consultants, and Contractors 55 Security Committees and Employee Watch Programs 56 Security Training 64 Chapter 5 Infrastructure Protection 64 Critical Infrastructure Designation 66 Methods to Rate and Prioritize Critical Assets 67 Building Security 71 Bridge and Tunnel Security 74 Rolling Stock and Vehicle Security 80 Chapter 6 Homeland Security 80 Homeland Security Laws and Statutes 83 Homeland Security Presidential Directives 85 National Response Framework 85 National Infrastructure Protection Plan 88 Transportation Systems CI/KR Sector-Specific Plan 93 Appendix A Annotated Bibliography 120 Appendix B Additional Sources of Information 126 Appendix C Acronyms, Abbreviations, and Initialisms 143 Appendix D Glossary