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Tools and Strategies for Eliminating Assaults Against Transit Operators Volume 1: Research Overview TCRP RESEARCH REPORT 193 TRANSIT COOPERATIVE RESEARCH PROGRAM Sponsored by the Federal Transit Administration
TCRP OVERSIGHT AND PROJECT SELECTION COMMITTEE* CHAIR Paul C. Jablonski San Diego Metropolitan Transit System VICE CHAIR Doran J. Barnes Foothill Transit SECRETARY TREASURER Mortimer L. Downey III Mort Downey Consulting LLC MEMBERS Jeffrey Arndt VIA Metropolitan Transit Authority Jameson Auten Kansas City Area Transportation Authority Mallory R. Avis Michigan Department of Transportation Paul J. Ballard Fort Worth Transportation Authority Alva Carrasco Sacramento Regional Transit District Dorval Ronald Carter, Jr. Chicago Transit Authority Francis âBuddyâ Coleman Clever Devices Ltd. Ryan I. Daniel St. Cloud Metro Bus Katharine Eagan Hillsborough Area RTA Suzie Edrington San Antonio VIA Betsy Kachmar Citilink/Fort Wayne Public Transportation Corporation John Lewis Charlotte Area Transit System Sherry Little Cardinal Infrastructure Kris Lyon Lane Transit District W.H. (Bill) McCloud McCloud Transport Associates Jonathan H. McDonald CH2M E. Susan Meyer Spokane Transit Authority Daniel J. Raudebaugh Center for Transportation and the Environment T.J. Ross PACE Vicki L. Shotland Greater Hartford Transit District Gary Thomas Dallas Area Rapid Transit Denise Tyler Delaware Transit Corporation Ed Watt Amalgamated Transit Union David C. Wilcock Vanasse Hangen Brustlin, Inc. K. Jane Williams Federal Transit Administration EX OFFICIO MEMBERS Brandye Hendrickson FHWA Neil J. Pedersen TRB Richard A. White APTA Frederick G. (Bud) Wright AASHTO TDC EXECUTIVE DIRECTOR Arthur L. Guzzetti APTA SECRETARY Christopher J. Hedges TRB TRANSPORTATION RESEARCH BOARD 2018 EXECUTIVE COMMITTEE* OFFICERS Chair: Katherine F. Turnbull, Executive Associate Director and Research Scientist, Texas A&M Transportation Institute, College Station ViCe Chair: Victoria A. Arroyo, Executive Director, Georgetown Climate Center; Assistant Dean, Centers and Institutes; and Professor and Director, Environmental Law Program, Georgetown University Law Center, Washington, D.C. exeCutiVe DireCtor: Neil J. Pedersen, Transportation Research Board MEMBERS Scott E. Bennett, Director, Arkansas State Highway and Transportation Department, Little Rock Ginger Evans, Commissioner, City of Chicago Department of Aviation, IL Nathaniel P. Ford, Sr., Executive DirectorâCEO, Jacksonville Transportation Authority, Jacksonville, FL A. Stewart Fotheringham, Professor, School of Geographical Sciences and Urban Planning, Arizona State University, Tempe John S. Halikowski, Director, Arizona Department of Transportation, Phoenix Susan Hanson, Distinguished University Professor Emerita, Graduate School of Geography, Clark University, Worcester, MA Steve Heminger, Executive Director, Metropolitan Transportation Commission, Oakland, CA Chris T. Hendrickson, Hamerschlag Professor of Engineering, Carnegie Mellon University, Pittsburgh, PA Jeffrey D. Holt, Managing Director, Power, Energy, and Infrastructure Group, BMO Capital Markets, NY S. Jack Hu, Vice President for Research and J. Reid and Polly Anderson Professor of Manufacturing, University of Michigan, Ann Arbor Roger B. Huff, President, HGLC, LLC, Farmington Hills, MI Geraldine Knatz, Professor, Sol Price School of Public Policy, Viterbi School of Engineering, University of Southern California, Los Angeles Melinda McGrath, Executive Director, Mississippi Department of Transportation, Jackson Patrick K. McKenna, Director, Missouri Department of Transportation, Jefferson City James P. Redeker, Commissioner, Connecticut Department of Transportation, Newington Leslie Richards, Secretary, Pennsylvania Department of Transportation, Harrisburg Mark L. Rosenberg, Executive Director, The Task Force for Global Health, Inc., Decatur, GA Gary C. Thomas, President and Executive Director, Dallas Area Rapid Transit, Dallas, TX Pat Thomas, Senior Vice President of State Government Affairs, United Parcel Service, Washington, D.C. (Retired) James M. Tien, Distinguished Professor and Dean Emeritus, College of Engineering, University of Miami, Coral Gables, FL Dean H. Wise, Vice President of Network Strategy, BNSF Railway, Fort Worth, TX Charles A. Zelle, Commissioner, Minnesota Department of Transportation, Saint Paul EX OFFICIO MEMBERS Michael Berube, Deputy Assistant Secretary for Transportation, U.S. Department of Energy Mary R. Brooks, Professor Emerita, Dalhousie University, Halifax, Nova Scotia, Canada, and Chair, TRB Marine Board Mark H. Buzby (Rear Admiral, U.S. Navy), Maritime Administrator, Maritime Administration, U.S. Department of Transportation Steven Cliff, Deputy Executive Officer, California Air Resources Board, Sacramento Malcolm Dougherty, Director, California Department of Transportation, Sacramento Howard R. Elliott, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation Daniel K. Elwell, Acting Administrator, Federal Aviation Administration, U.S. Department of Transportation Audrey Farley, Executive Director, Office of the Assistant Secretary for Research and Technology, U.S. Department of Transportation Cathy Gautreaux, Deputy Administrator, Federal Motor Carrier Safety Association, U.S. Department of Transportation LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, D.C. John T. Gray II, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, D.C. Brandye Hendrickson, Deputy Administrator, Federal Highway Administration, U.S. Department of Transportation Donald Jackson (Major General, U.S. Army), Deputy Commanding General for Civil and Emergency Operations, U.S. Army Corps of Engineers, Washington, D.C. Heidi King, Deputy Administrator and Acting Administrator, National Highway Traffic Safety Administration, U.S. Department of Transportation Bevan B. Kirley, Research Associate, University of North Carolina Highway Safety Research Center, Chapel Hill, and Chair, TRB Young Members Council Juan D. Reyes III, Acting Deputy Administrator, Federal Railroad Administration, U.S. Department of Transportation Craig A. Rutland, U.S. Air Force Pavement Engineer, U.S. Air Force Civil Engineer Center, Tyndall Air Force Base, FL Karl Simon, Director, Transportation and Climate Division, U.S. Environmental Protection Agency Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies, University of California, Davis Richard A. White, Acting President and CEO, American Public Transportation Association, Washington, D.C. K. Jane Williams, Executive Director, Federal Transit Administration, U.S. Department of Transportation Frederick G. (Bud) Wright, Executive Director, American Association of State Highway and Transportation Officials, Washington, D.C. Paul F. Zukunft (Admiral, U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security * Membership as of February 2018.* Membership as of November 2017.
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 â¢ Security and Emergencies Tools and Strategies for Eliminating Assaults Against Transit Operators Volume 1: Research Overview Countermeasures Assessment and Security Experts, LLC New Castle, DE a n d Transportation Resource Associates, Inc. Philadelphia, PA
TCRP RESEARCH REPORT 193, VOLUME 1 Project F-21 ISSN 2572-3782 ISBN 978-0-309-39024-8 Â© 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 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. 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 213âResearch for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administrationânow 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
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 Boardâs 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.
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 1 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
TCRP Research Report 193: Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview, provides potential countermeasures and strate- gies 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 con- tribute to absence, productivity shortfalls, and increased levels of stress for the operators. In addition to causing 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, miti- gating, 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 agen- cies. 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 preven- tion, including contributing factors such as behavioral and sociological factors, training requirements, community outreach, and policy enforcement practices. The Countermeasures Assessment and Security Experts, LLC (CASETM), and Transpor- tation 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 custom- izable, scalable, issue-specific risk analysis instruments and risk management tools that can perform both âwhat ifâ and âtrade-offâ 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 1: Research Overview Copyright National Academy of Sciences. All rights reserved.
1 Summary 3 Chapter 1 Research Approach 5 Chapter 2 Literature Review and Synthesis 5 Definition of Operator Assault 6 Causes of Operator Assault 7 Preventive Approaches for Operator Assault 8 Overview of Crime Prevention and Security Paradigms 11 Chapter 3 Threat Assessment Response Protocol 11 Management Policy and Standard Operating Procedures 13 Threat Assessment and Response Protocols 14 Key Questions about Investigation Protocols 16 Chapter 4 Risk Methodology 17 Risk Factor Rationale 18 Methodology for Calculating Risk Factor and Risk Rank 25 Chapter 5 Countermeasures 25 Levels of Security 33 Countermeasures Rating Scale 36 Countermeasures and Categories 41 Examples of Countermeasure Deployment Strategies 43 Chapter 6 Operator Assault Risk Management Toolbox 43 Vulnerability Self-Assessment Tool 46 Route-Based Risk Calculator 51 Pilot Test Results 58 User Guide Overview 60 Chapter 7 Transit Agency Examples 60 Policy Guidance 60 Policy Examples 61 Passenger Code of Conduct Examples 64 Driver Guidance Material Examples 67 Appendix A Bibliography 73 Appendix B Transit Agency Operator Assault Route Factors 98 Appendix C Weighted Countermeasure Scores 101 Appendix D Vulnerability Self-Assessment Questionnaire 112 Appendix E Route-Based Risk Calculator C O N T E N T S Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.
119 Appendix F Operationalizing Risk Factors Identified in the Literature 134 Appendix G Transit Driver Assault Risk Factors 145 Appendix H Framework for Route Risk Analysis of Driver Assaults Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.
1 Volume 1: Research Overview Assaults against transit workers and operators are a significant concern in the transit industry. It is an unfortunate and all too frequent workplace occurrence that year after year transit employees in the United States have been killed or injured as the result of violent aggression by system users. Transit agencies as employers have a legal and ethical obligation to promote a work environment free from threats and violence. In addition, the agency can face economic loss as the result of violence due to lost work time, damaged employee morale and productivity, increased employee compensation payments, medical expenses, and possible lawsuits and liability costs. In addition to causing injuries and increased levels of stress for the operators and potential injury, assaults cause fear and a perception of lack of safety for the public, transit passengers, and transit workers. Recent legislative activity surrounding this issue reinforces that managing operator assault risk is a priority for transit agencies around the country. Countermeasures Assessment and Security Experts, LLC (CASEâ¢), and Transportation Resource Associates, Inc. (TRA), conducted research with the end goal of developing a practical toolbox for transit agencies to prevent or mitigate assaults against transit opera- tors with âcustomizable templatesâ for assessing and reporting assaults, situational mea- sures and technologies, and âexecutableâ activities or countermeasures that can be taken to address this important safety and security issue. The research approach contained four major elements: (1) a focused review of existing liter- ature; (2) analysis of the workplace violence doctrine, policy, and procedures; (3) estab- lishment of a foundation for the development of customizable, scalable, issue-specific risk analysis instruments at both the micro (driver/operator) and macro (route- or system-based) levels; and (4) development of a structured and viable risk management capability that can perform both âwhat ifâ and âtrade-offâ decision-making for transit owners. There are two major deliverables of the research: (1) a comprehensive and detailed list- ing of potential countermeasures and strategies available to prevent or mitigate assaults against transit operators and (2) a practical operator assault risk management toolbox that includes the â¢ Vulnerability self-assessment tool that allows an agency to assess the specific strengths and weaknesses of its operator assault posture, â¢ Route-based risk calculator that produces scores identifying assault risk across the sys- tem that is also usable to evaluate risk on a route-based level, 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 1: Research Overview Copyright National Academy of Sciences. All rights reserved.
2 Tools and Strategies for Eliminating Assaults Against Transit Operators: Research Overview â¢ Route-comparison summary table which brings together vulnerability and risk infor- mation in an easy-to-interpret format, and â¢ Detailed step-by-step examples of usage of the tools in TCRP Research Report 193: Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 2: User Guide. The deliverables also include this research overview that documents the entire research effort and outlines the research results. Tools and Strategies for Eliminating Assaults Against Transit Operators, Volume 1: Research Overview Copyright National Academy of Sciences. All rights reserved.