Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 2: User Guide (2018)

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Tools and Strategies for Eliminating Assaults Against Transit Operators Volume 2: User Guide TCRP RESEARCH REPORT 193 TRANSIT COOPERATIVE RESEARCH PROGRAM Sponsored by the Federal Transit Administration

2018 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 RESEARCH REPORT 193 Research sponsored by the Federal Transit Administration in cooperation with the Transit Development Corporation Subject Areas Public Transportation • Security and Emergencies Tools and Strategies for Eliminating Assaults Against Transit Operators Volume 2: User Guide Countermeasures Assessment and Security Experts, LLC New Castle, DE a n d Transportation Resource Associates, Inc. Philadelphia, PA Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 2: User Guide Copyright National Academy of Sciences. All rights reserved.

TCRP RESEARCH REPORT 193, VOLUME 2 Project F-21 ISSN 2572-3782 ISBN 978-0-309-39025-5 © 2018 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, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC 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 research 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 National Academies of Sciences, Engineering, and Medicine. 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 Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors 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 object of the report. TRANSIT COOPERATIVE RESEARCH PROGRAM The nation’s growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Cur- rent 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 prob- lems, adapt appropriate new technologies from other industries, and introduce innovations into the transit industry. The Transit Coopera- tive 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 successful National Coop- erative Highway Research Program (NCHRP), undertakes research and other technical activities in response to the needs of transit ser- vice providers. The scope of TCRP includes various 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 organi- zations: FTA; the National Academies of Sciences, Engineering, and Medicine, 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 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 TRB. The panels prepare project statements (requests for propos- als), 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 effect if products fail to reach the intended audience, special emphasis is placed on disseminat- ing TCRP results to the intended users of the research: transit agen- cies, 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, train- ing aids, field visits, and other activities to ensure that results are imple- mented by urban and rural transit industry practitioners. TCRP provides a forum where transit agencies can cooperatively address common operational problems. TCRP results support and complement other ongoing transit research and training programs. Published research 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 by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 2: User Guide Copyright National Academy of Sciences. All rights reserved.

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied committees, task forces, and panels 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 individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org. Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 2: User Guide Copyright National Academy of Sciences. All rights reserved.

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 CRP STAFF FOR TCRP RESEARCH REPORT 193, VOLUME 2 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Gwen Chisholm Smith, Manager, Transit Cooperative Research Program Keyara Dorn, Program Coordinator Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Sreyashi Roy, Editor TCRP PROJECT F-21 PANEL Field of Human Resources Ed Watt, Amalgamated Transit Union, Silver Spring, MD (Chair) Kevin J. Amberg, NJ Transit Police, Newark, NJ Tina Beasley, Massachusetts Bay Transportation Authority, Boston, MA David H. Goeres, Utah Transit Authority, Salt Lake City, UT Lee Johnson, San Antonio, TX John L. Lyons, Amalgamated Transit Union, Washington, DC Azita Mashayekhi, International Brotherhood of Teamsters, Washington, DC Martha J. Smith, Wichita State University, Wichita, KS Michelle R. Sommers, ATU International, Brooklyn Park, MN Carol E. Wise, Dallas Area Rapid Transit, Dallas, TX Joseph W. Powell, FTA Liaison Darnell Grisby, APTA Liaison Cammie C. Menendez, Centers for Disease Control and Prevention Liaison Stephen J. Andrle, TRB Liaison Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 2: User Guide Copyright National Academy of Sciences. All rights reserved.

TCRP Research Report 193: Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview, provides potential countermeasures and strategies to prevent or mitigate assaults against transit operators. The Research Overview also documents the materials used to develop Volume 2: User Guide. The User Guide includes an operator assault risk management toolbox developed to support transit agencies in their efforts to prevent, mitigate, and respond to assaults against operators. The User Guide also provides transit agencies with guidance in the use and deployment of the vulnerability self-assessment tool and the route-based risk calculator, and includes supportive checklists, guidelines, and methodologies. The products of this research will be useful to senior managers, organized labor, law enforcement officials, legal advisors, training personnel, and policymakers. Assaults on transit operators are a significant concern in the transit industry and contribute to absence, productivity shortfalls, and increased levels of stress for the operators. In addi- tion to causing operator injuries, assaults against transit operators on transit vehicles, at bus stops, and on platforms causes fear and engenders a negative perception of transit in the minds of the public and transit passengers, as well as the transit workforce. Transit industry policies, practices, and operating procedures related to preventing, mitigating, and responding to operator assaults are not uniform. The policies and procedures set by the transit agency and situational and design factors can shape mitigation approaches. The format, scale, and implementation of these measures vary greatly among transit agencies. Many agencies have written policies that address workplace violence prevention, but they vary widely in content, scope, and application. Relevant skills and training required by transit operators to address this issue vary as well. TCRP Synthesis 93: Practices to Protect Bus Operators from Passenger Assault includes a framework for understanding transit industry current practices, policies, and tools for addressing this complex, multi-faceted problem. However, further research is needed to better define the issues related to transit operator assaults, mitigation, and prevention, including contributing factors such as behavioral and sociological factors, training require- ments, community outreach, and policy enforcement practices. The Countermeasures Assessment and Security Experts, LLC (CASE™), and Trans- portation Resource Associates, Inc. (TRA) prepared this report under TCRP Project F-21. The objective of this research was to develop a practical toolbox for transit agencies to pre- vent and mitigate assaults against transit operators. To accomplish this objective, a focused review of existing literature was conducted. In addition, a series of interviews with subject matter experts were conducted to provide the foundation for the development of customiz- able, scalable, issue-specific risk analysis instruments and risk management tools that can perform both “what if” and “trade-off” decision-making for users. F O R E W O R D By Gwen Chisholm Smith Staff Officer Transportation Research Board Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 2: User Guide Copyright National Academy of Sciences. All rights reserved.

1 Summary 3 Introduction 3 Definition of Operator Assault 4 Causes of Operator Assault 5 Chapter 1 Operator Assault Risk Management 7 Chapter 2 Operator Assault Risk Management Toolbox 7 Capabilities and Results 8 Benefits of the Toolbox 8 Vulnerability Self-Assessment Tool 13 Route-Based Risk Calculator 27 Route-Comparison Summary Table 30 Calculating Total Route Risk with Countermeasures 38 Chapter 3 Countermeasures Catalog 41 Chapter 4 Threat Assessment Response Protocol and Evaluation Methodology 41 Threat Assessment Protocol 44 Threat Assessment Teams and Response Protocols 48 Chapter 5 Reporting 49 Data Collection 49 Underreporting of Assaults 50 Examples of Reports 57 Appendix A Vulnerability Self-Assessment Tool 70 Appendix B Route-Based Risk Calculator Template 75 Appendix C Route-Comparison Summary Table Template 78 Appendix D Countermeasures Catalog 110 Appendix E “Incident-Based” Threat Assessment Response Protocol and Evaluation Methodology C O N T E N T S Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 2: User Guide Copyright National Academy of Sciences. All rights reserved.

1 Volume 2: User Guide TCRP Research Report 193: Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 2: User Guide is designed to provide transit agencies with concise guidance on the deployment of strategies to counter assault against transit operators. It also provides guidance on how to use the operator assault risk management toolbox—principally the vulnerability self-assessment tool and the route-based risk calculator as well as supportive checklists, guidelines, and methodologies that were developed during the project. The User Guide is designed for use by transit professionals to improve the safety and security of the operators of transit agency revenue service vehicles within existing resource and budgetary constraints. It has been prepared with an understanding that the needs and available resources of these agencies are often very different depending on their size and scope of operations. The introduction provides background information on operator assault and risk manage- ment for transit agencies. It also includes an overview of how transit agencies can use the approaches provided in the User Guide to address operator assault. Chapter 1 provides a framework for operator assault risk management with an overview of risk management and risk mitigation strategies. This chapter outlines the key elements of an effective operator assault risk reduction program: the assessment of threats, vulner- abilities, and consequences (TVC analysis) in an effort to reduce the number of incidents or mitigate the impacts associated with an assault event. The framework will help transit agen- cies understand the role of the various components of the operator assault risk management toolbox described in the User Guide. Chapter 2 addresses the operator assault risk management toolbox along with a series of customizable templates for systematically evaluating and analyzing assault risks, situational factors, technologies, agency efforts, and current countermeasures to assist transit agencies in identifying gaps and improvements that would provide the largest benefits and the greatest risk reductions. The toolbox includes the • Vulnerability self-assessment tool that allows an agency to assess the specific strengths and weaknesses of its operator assault posture, • Route-based risk calculator that produces scores identifying assault risks across the system that is also usable to evaluate risk on a route-based level, • Route-comparison summary table which bring together vulnerability and risk information in an easy-to-interpret format, and • Detailed step-by-step examples of usage of the tools in the toolbox. S U M M A R Y Tools and Strategies for Eliminating Assaults Against Transit Operators Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 2: User Guide Copyright National Academy of Sciences. All rights reserved.