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115 Appendix B Agency Practices Introductionâ¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦â¦.. 116 A. State Transportation Agency Practices ................................................................................... 117 1. Risk Management and Risk Assessment ............................................................................. 117 2. Infrastructure Protection and Resilience ............................................................................ 121 3. Physical Security Countermeasures .................................................................................... 124 Prevention ......................................................................................................................................... 125 Deterrence ........................................................................................................................................ 125 Detection ........................................................................................................................................... 127 Mitigation .......................................................................................................................................... 127 Response and Recovery .................................................................................................................... 129 4. Cyber Security Countermeasures ....................................................................................... 129 5. Training and Exercises ......................................................................................................... 133 B. Physical and Cyber Security Legal Authorities ........................................................................ 138 Public Laws .............................................................................................................................. 139 Homeland Security Presidential Directives ............................................................................. 142 National Frameworks and Strategies ...................................................................................... 144 C. Other Areas Impacting Physical and Cyber Security ............................................................... 150Â
116 Introduction NCHRP Report 525: Surface Transportation Security, Volume 14: Security 101: A Physical Security Primer for Transportation Agencies (2009) provided transportation managers and employees with an introductory-level reference document containing essential security concepts, guidelines, definitions, and standards. Since the guide was published there have been significant advances in transportation security approaches. As summarized in Fundamental Capabilities of Effective All-Hazards Infrastructure Protection, Resilience and Emergency Management for State DOTs (2015), the security domain has now expanded to include the complementary topics of infrastructure protection and system resiliency. Also, defending against the full spectrum of threats facing today'sâ transportation systems requires a more comprehensive approach encompassing cyber-physical systems security and cybersecurity aspects along with physical security. This section contains a summary of the review of practices in transportation agencies in meeting their security and infrastructure protection responsibilities, highlighting any significant changes since the initial guide was published.
117 A. State Transportation Agency Practices Recent guidance at the national level has been reshaping the focus and long-term direction of transportation agencies. Since the first edition of this guide was published, there is now an emerging focus on the complementary goals of infrastructure protection and resiliency as part of security and emergency management. Today there are even higher expectations for system performance and reliability and lower tolerance for delays. Small events pose threats of great consequences since the impact of any incident is magnified when a transportation network is operating at or past its capacity â as is the case in portions of many states as travel demand on their transportation networks grows. Hazards continue to evolve. Extreme weather, cyber incidents and other additional hazards need to be addressed as part of all hazards. In addition, the risk of natural and man-made events is growing more common due to many pressures including aging infrastructure. Todayâs transportation systems are integrated cyber and physical systems. There has been, and continues to be, significant deployment of new technologies to support DOT activities. 1. Risk Management and Risk Assessment Risk may be understood as the potential for unplanned adverse events to affect one or more transportation facilities in a way that causes unacceptable transportation system performance according to any or all of the agencyâs performance objectives. As noted in the first edition of Security 101, risk management is the appropriate starting point for any decision making. There have been a number of recent NCHRP reports that provide overviews and case studies describing how state DOTs are utilizing risk assessment and risk management techniques in their planning, operations, and program/project management. NCHRP PROJECT 20-24 (74) EXECUTIVE STRATEGIES FOR RISK MANAGEMENT BY STATE DOTS (2011) conducted a review of transportation, planning, and business management to identify risk management practices and emerging methods related to internal operations and program and project delivery. The study looked at DOT risk management practices at the enterprise, program, and project levels, but focused more on enterprise risk management. The project final report includes an overview of general risk management process and techniques as they apply to DOTs. NCHRP REPORT 706 USES OF RISK MANAGEMENT AND DATA MANAGEMENT TO SUPPORT TARGET- SETTING FOR PERFORMANCE-BASED RESOURCE ALLOCATION BY TRANSPORTATION AGENCIES (2011) focused on risk management to support funding decisions and prioritization of projects. Many, if not all, DOTs have conducted, and continue to conduct, vulnerability assessments of their critical assets. In general, risk is the product of likelihood and consequence. The steps in a Vulnerability Assessment as provided in the GUIDE TO HIGHWAY VULNERABILITY ASSESSMENT FOR CRITICAL ASSET IDENTIFICATION AND PROTECTION (AASHTO, 2002) are illustrated in Figure 1. As part of the Figure 1: Steps in Vulnerability Assessment.
118 assessment, today it is important to not only understand the sensitivity of system assets, infrastructure and services to different types of events, but to also understand the interdependency of critical infrastructure and assets within the transportation system and also across other sectors. There are a number of methodologies associated with assessing transportation assets that incorporate a variety of risk models such as likelihood models, consequence models, delay/detour models and recovery consequence models. States are currently using different methods and models to evaluate risk. In the case of earthquakes, information is relatively well developed in the seismically vulnerable states. The same expertise and capabilities can serve not only in earthquakes, but also after other extreme events such as storm surge, wave action, and scour. Databases exist for floods, fires and other natural hazards. Threat and Hazard Identification and Risk Assessment (THIRA) THIRA, a foundation of the National Preparedness System, is a four-step risk assessment process that provides an understanding of risks and helps estimate capability requirements. The THIRA process (illustrated in Figure 2) standardizes the risk analysis process that emergency managers and homeland security professionals use and builds on existing local, state, tribal, territorial Hazard Identification and Risk Assessments by: ï· Broadening the threats and hazards considered to include human-caused threats and technological hazards. ï· Incorporating the whole community into the planning process, including individuals; families; businesses; faith-based and community organizations; nonprofit groups; schools and academia; media outlets; and all levels of government, including local, state, tribal, territorial, and federal partners. ï· Providing increased flexibility to account for community-specific factors. Figure 2: The THIRA Process 1. Identify Threats and Hazards of Concern: Based on a combination of experience, forecasting, subject matter expertise, and other available resources, identify a list of the threats and hazards of primary concern to the community. 2. Give the Threats and Hazards Context: Describe the threats and hazards of concern, showing how they may affect the community.
119 3. Establish Capability Targets: Assess each threat and hazard in context to develop a specific capability target for each core capability identified in the National Preparedness Goal. The capability target defines success for the capability. 4. Apply the Results: For each core capability, estimate the resources required to achieve the capability targets through the use of community assets and mutual aid, while also considering preparedness activities, including mitigation opportunities. Example: THIRA Template Table 1 illustrates one possibility for how to organize the information in THIRAs. Table 1: THIRA Template.
120 FWHA Framework for Vulnerability Assessment FHWA developed a Conceptual Model to use in conducting vulnerability and risk assessments of infrastructure to the projected impacts of global climate change. Based on the feedback and lessons learned in pilots with state DOTs, the Conceptual Model was revised and expanded into the Climate Change & Extreme Weather Vulnerability Assessment Framework summarized in Figure 3. Figure 3: FWHA Framework for Vulnerability Assessment. (Source: Assessing Vulnerability and Risk of Climate Change Effects on Transportation Infrastructure 2014)
121 2. Infrastructure Protection and Resilience Resilience is âthe ability to prepare and plan for, absorb, recover from and more successfully adapt to adverse eventsâ (DISASTER RESILIENCE: A NATIONAL IMPERATIVE, NATIONAL RESEARCH COUNCIL, 2012). DOTs are currently in the process of understanding the impact of shift in focus from protection of assets to resilience of systems. FHWA Resilience Pilot Study locations are shown in Figure 4. FHWA partnered with state departments of transportation (DOTs) and metropolitan planning organizations (MPOs) to conduct climate change and extreme weather vulnerability assessments of transportation infrastructure and to analyze options for adapting and improving resiliency. In 2010-2011, five pilot teams piloted a Conceptual Model to use in conducting vulnerability and risk assessments of infrastructure to the projected impacts of global climate change. Based on the feedback and lessons learned through the pilots, FHWA revised and expanded the model developed the Climate Change & Extreme Weather Vulnerability Assessment Framework (December 2012). In 2013-2105 nineteen pilot teams partnered with FHWA to assess transportation vulnerability and evaluate options for improving resilience using the Climate Change & Extreme Weather Vulnerability Assessment Framework (December 2012) and other resources for their analyses. Figure 4: FHWA Resilience Pilot Locations. Table 2 provides a summary description of the most recent FHWA resilience pilot projects.
122 Table 2: FHWA Resilience Pilot Locations. Pilot Project Description Arizona DOT (ADOT) The ADOT team conducted a study to identify hotspots where highways are vulnerable to associated hazards from high temperatures, drought, and intense storms. The project focused on the interstate corridor connecting Nogales, Tucson, Phoenix, and Flagstaff, which includes a variety of urban areas, landscapes, biotic communities, and climate zones and presents a range of weather conditions applicable to much of Arizona. California DOT (Caltrans), District 1 The vulnerability assessment approach drew from methodologies developed by FHWA and the Washington State DOT 2010â2011 climate resilience pilot project. The pilot assessed vulnerability in four counties by scoring asset criticality and potential impact. The pilot identified adaptation options at four prototype locations of vulnerable road segments. The Caltrans District 1 team formalized their adaptation methodology into a tool to assist with the evaluation and prioritization of adaptation options. Capital Area MPO (CAMPO) The CAMPO team used a data and stakeholderâdriven approach to assess risks to nine critical assets from flooding, drought, extreme heat, wildfire, and ice. The project team conducted a criticality workshop, developed local climate projections, and performed risk assessments for each asset. Connecticut DOT (CT DOT) The CTDOT team conducted a systemsâlevel vulnerability assessment of bridge and culvert structures from inland flooding associated with extreme rainfall events. The assessment included data collection and field review, hydrologic and hydraulic evaluation, criticality assessment and hydraulic design criteria evaluation. Hillsborough MPO  The Hillsborough MPO team assessed the vulnerability of select surface transportation assets to sea level rise, storm surge, and flooding in order to identify costâeffective risk management strategies for incorporation into shortâterm and longâ range transportation planning. Iowa DOT To evaluate future flood conditions, the Iowa DOT team developed a methodology to integrate climate projections of rainfall within a river system model to predict river flood response to climate change. Iowa DOT tested this methodology in two river basins to evaluate the strengths and weaknesses of technology to produce scenarios of future flood conditions. They also analyzed the potential impact of the future floods on six bridges to evaluate vulnerability to climate change and extreme weather and inform the development of adaptation options. Maine DOT The Maine DOT team identified transportation assets that are vulnerable to flooding from sea level rise and storm surge in six coastal towns. The team developed depthâ damage functions and adaptation design options at three of the sites and evaluated the costs and benefits of the alternative design structures. Maryland State Highway Administration (MDSHA) The MDSHA team developed a threeâtiered vulnerability assessment methodology and GIS layers of statewide water surfaces to analyze vulnerability to sea level rise, storm surge, and flooding in two counties. The team also reviewed design strategies, best management practices, planning standards, and other ways to support the adoption of adaptive management solutions. Massachusetts DOT (MassDOT) The MassDOT team sought to better understand the vulnerability of the Iâ93 Central Artery/Tunnel system (CA/T) in Boston to sea level rise and extreme storm events. The team combined a stateâofâtheâart hydrodynamic flood model with agencyâdriven knowledge and priorities to assess vulnerabilities and develop adaptation strategies.  Michigan DOT (MDOT) The MDOT team conducted a climateâbased vulnerability assessment of mostly MDOTâowned and âoperated transportation infrastructure, including roads, bridges, pumps and culverts. The assessment used GIS to overlay climate projections ontoÂ
123 asset information from MDOT's existing asset management database to help identify locations and infrastructure that may be at risk. Minnesota DOT (MnDOT) The MnDOT team conducted a vulnerability assessment of bridges, culverts, pipes, and roads paralleling streams to flooding in two districts. Based on the vulnerability assessment results, they developed facilityâlevel adaptation options for two selected culverts programmed for replacement. Using damage and economic loss estimates associated with flash flooding as well as cost estimates for alternative engineering designs the team identified the most costâeffective options under a range of climate scenarios. Metropolitan Transportation Commission (MTC) The MTC team refined a previous vulnerability assessment with additional sea level rise mapping and hydraulic analysis. Using the revised vulnerability data, the project team developed a comprehensive suite of adaptation strategies for three focus areas, and through a systematic evaluation process, they selected five adaptation strategies for further development: living levees (in two locations), an offshore breakwater, a drainage study, and mainstreaming climate change risk into transportation agencies planning processes. North Central Texas Council of Governments (NCTCOG) The NCTCOG team assessed the vulnerability of existing and planned transportation infrastructure in the DallasâFort Worth region, where extreme weather events will add an additional stress on the transportation system in the rapidly growing region. New York State DOT (NYSDOT) The NYSDOT team assessed the vulnerability of the transportation system to changes in precipitation in the rural Lake Champlain Basin. The team developed a benefits valuation approach to help decisionâmakers prioritize infrastructure and assess when to undertake culvert replacements considering social, economic, and environmental factors. They evaluated vulnerability, criticality and risk, and developed a method to apply an environmental benefits multiplier to each culvert.  Oregon DOT (ODOT) The ODOT team engaged maintenance and technical staff and utilized asset data to assess the vulnerability of highway infrastructure in two coastal counties to extreme weather events and higher sea levels. Based on the results of the vulnerability assessment, the pilot conducted further analysis of specific adaptation sites, options, and benefits and costs for five priority storm and landslide hazard areas. Options analyzed ranged from âdo nothingâ scenarios to options for increased operations and maintenance and options with significant construction and engineering requirements.  South Florida The South Florida team focused on a fourâcounty region in conducting a detailed geospatial analysis to calculate vulnerability scores for âregionally significantâ road and passenger rail infrastructure. The study also recommended ways for partner agencies to incorporate the vulnerability results into their normal decisionâmaking processes. Tennessee DOT (TDOT) The TDOT team conducted an extreme weather vulnerability assessment of transportation infrastructure across the state. The project team compiled a statewide inventory of the most critical transportation infrastructure and used historical and projected climate and weather data as well as stakeholder feedback to develop rankings of the vulnerability of critical transportation assets to projected temperature and precipitation changes and other extreme weather events. Washington State DOT (WSDOT) The WSDOT team examined adaptation options in the Skagit River Basin, an area of the state identified in an earlier assessment as highly vulnerable to flooding. Adaptation options centered on 11 vulnerable road segments in the study area. Options included active traffic management, detour routes, basinâwide flood easements, and culvert improvements. Western Federal Lands Highway The WFLHD/ADOT&PF team assessed three unique climate change issues in the state of Alaska. In Kivalina, the pilot considered the impact of the loss of sea ice, sea levelÂ
124 Division (WFLHD) and the Alaska DOT and Public Facilities (ADOT&PF) rise, and wind on shoreline erosion of the coastal runway. In Igloo Creek and along the Dalton Highway, the pilot considered the impacts of increased temperature (resulting in permafrost melt) and increased precipitation on landslides and pavement cracking.  3. Physical Security Countermeasures This section discusses the many of the tools and countermeasures used to improve the security of critical infrastructure and facilities, and other areas. Physical security countermeasures include signs; emergency telephones, duress alarms, and assistance stations; key controls and locks; protective barriers; protective lighting; alarm and intrusion detection systems; electronic access control systems; and surveillance systems and monitoring. For nonpublic spaces, access control, perimeter security, intrusion detection systems, and other similar types of technology are deployed to protect facilities from external losses. In facilities that are open to the public, security personnel or possibly surveillance systems are the primary means of providing protection. TCRP REPORT 180 POLICY AND SECURITY PRACTICES FOR SMALL- AND MEDIUM-SIZED PUBLIC TRANSIT SYSTEMS (2015) explores the current state of practice and identifies potential security countermeasures that could be deployed by both of these sizes of transit agencies. TCRP F-21 TOOLS AND STRATEGIES FOR ELIMINATING ASSAULTS AGAINST TRANSIT OPERATORS (2017) provides an overview of countermeasures - ranging from policing, personnel, and training to technology, information management, policy, and legislation - that can be considered as a means to prevent, deter, detect, mitigate, respond to or recover from an attempt or actual assault upon a transit operator. In contemplating the appropriate level of security, it is important to take into account the purpose and benefits of the various types of security countermeasures that are available. Security can be designed to prevent, deter, detect, mitigate, respond to, or recover from an incident. Security spans the continuum from prevention through response and recovery. Table 3 below provides definitions of the levels of security. Table 3: Levels of Security. Security Level Definition Prevention Those capabilities necessary to avoid, prevent, or stop a threatened or actual act. Deterrence An activity, procedure, or physical barrier that reduces the likelihood of an incident, attack, or criminal activity.  Detection The identification and validation of potential threat or attack that is communicated to an appropriate authority that can act. Mitigation The application of measure or measures to reduce the likelihood of an unwanted occurrence and/or its consequences.  Response Capabilities necessary to save lives, protect property and the environment, and meet basic human needs after an incident has occurred.Â
125 Security Level Definition Recovery The development, coordination, and execution of plans for impacted areas and operations.  The following sections contain summary information on effective security countermeasures by continuum category. Prevention There are relatively few security measures available to prevent events from occurring on transportation systems. Transportation conveyances, in general, are public open access vehicles available for use by an unrestricted general population. With the exception of no-fly lists, individuals who represent security risks are not pre-identified or barred from riding because their propensity to action is generally unknown. Often, there is no screening for weapons or dangerous implements prior to boarding. Riders are placed in close proximity to one another. In summary, the openness of transportation systems makes them virtually unprotectable using modern physical security technology. See Figure 5. Figure 5: A selection of prevention countermeasures with varying visibility, cost, and ease of implementation. Deterrence Deterrence is largely a matter of reducing exposure to potential harm, or influencing how the attacker or offender interprets the risk of apprehension or personal loss. Security-related technologies can greatly reduce both the perceived window of opportunity and the potential impact of incidents. Figure 6 provides a summary of the most relevant countermeasures and approaches related to deterrence. PREVENTION Police Personnel Protective Barriers Barring Systems
126 Figure 6: A selection of procedures, activities, and physical interventions with deterrent effects. Example: Code of Conduct for Transit Passengers: Charlotte Area Transit System Charlotte released a Ridersâ Code of Conduct, which notes the following acts are prohibited on a CATS or LYNX vehicle: ï· Smoke or carry any lighted tobacco product or expel the residue of any other tobacco product including chewing tobacco ï· Consume any alcoholic beverage or possess an open container of any alcoholic beverage ï· Engage in disruptive, disturbing behavior including: loud conversation, profanity or rude insults, or operating any electronic device used for sound without an earphone(s) ï· Take any animal onto a vehicle unless its purpose is to assist a person with a disability or in training activities ï· Carry, possess or have within immediate access any dangerous weapon ï· Possess or transport any flammable liquid, combustible material or other dangerous substance such as gasoline, kerosene or propane ï· Litter ï· Vandalize the vehicle or station platform by writing, marking, scribbling, defacing or causing damage to the vehicle or platform facilities in any manner ï· Beg by forcing yourself upon another person ï· Excrete any bodily fluid or spit upon or at another person on the vehicle or station platform ï· Possess, use or sell any controlled substance ï· Lying down on seats, benches or tables at stations and bus stops ï· Standing, sitting or lying within 2 feet of the edge of the rail station platforms except for boarding and exiting the light rail vehicle ï· Skating or skateboarding on station platforms ï· Trespassing upon any area not open to the public and posted as such Deterrence Surveillance Systems Public Address Systems and Signage Awareness Training LegislationOnboard Security Passenger Codes of Conduct Physical Barriers
127 The Ridersâ Code of Conduct was adapted from Charlotte Code Sec. 15-272 and 15-273. As of the publication of TCRP Report 180, violations of this code could be enforced by a fine of $50 or by arrest. Local laws, regulations, or ordinances such as the Charlotte Code (as mentioned above) can provide a basis for creating a code of conduct for users of state DOT assets. Detection There are technology measures such as video/audio surveillance, sensors, and other tools that can support detection when a potential incident is imminent. Detection and assessment of transportation systems has been enhanced by rapidly developing technologies providing digitized data acquisition, storage and transmission along with structural diagnostics, i.e. monitoring of structures by sensitive instruments measuring temperature, displacement, acceleration, and other significant performance indicators during regular service. A number of remote, in-situ, or portable monitoring/damage detection techniques have become available for use in post-event assessment such as sensors, sonar, ground-breaking radar, satellite imagery and unmanned aerial vehicles. These new capabilities are not fully explored and utilized by state DOTs today. Figure 7 provides a summary of the most relevant countermeasures and approaches. Figure 7: Detection tools for identifying and interrupting incidents range from more affordable sensors and alarms to complex security staffing plans and tracking systems. Mitigation Measures to reduce the likelihood of an assault or to minimize the consequences of an incident include policy, such as security plans, technology measures such as smart components and sensors; and awareness and training. Figure 8 provides a summary of the most relevant countermeasures and approaches to mitigate incidents. Detection Incident Responce Plan Twoâway Radio / Mobile Broadband Communicat ions Remote Sensors Telemetry Systems Antiâtheft Devices Intelligence Sharing Based on experimental evidence and numerical simulation results gathered during the research for NCHRP REPORT 645: BLAST-RESISTANT HIGHWAY BRIDGES: DESIGN AND DETAILING GUIDELINES,
128 guidelines for highway bridge columns were developed. The research found that one of the best ways to mitigate damage was to increase the standoff distance with physical deterrents such as bollards, security fences, and vehicle barriers. When standoff distance is not available, the design and detailing provisions as described in the guidelines should be met. . Figure 8: A selection of mitigation countermeasures. Example: Red Kite Training Program for Conflict Management SEPTA This training program is designed to help employees to be more aware and to show more understanding for individuals (the customers) by allowing them to understand self-importance, to show respect and to see the human factor, allowing them to focus on de-escalating potential problems before they happen. Operators participate in their training while learning that they have choices in every interaction and how they can create a shift that can disarm a potentially difficult situation. This internationally used training model uses trauma-informed crisis management as a means to de-escalate violence with those who have experienced it. Program tenets include a belief that teaching public-service workers the effects of trauma and how to de-escalate violence is the key to community safety. In terms of physical security, simple and aggravated assaults against operators can harm those operators physically and emotionally. TCRP Report 180 notes that even spitting attacks have resulted in drivers Mitigation Incident Response Plan Physical Barriers Automatic Assessment Systems Electronic SignsTraining Real Time Incident Surveillance Immediate Response
129 needing to take paid leave. In addition, the report also notes, âbesides the potential physical harm to people, a repeated pattern of aggravated assaults may instill a culture of fear in a transit agency in which passengers are afraid to use the system or operators are afraid to come to work. Damage to property and scheduling may also occur as a result of an aggravated assault.â Response and Recovery There are numerous types of countermeasures that can support the maintenance of an effective response program for incidents. Many of these measures are low cost and/or low effort, consisting of policy responses, awareness and training, security planning, or coordination with local authorities. Figure 9 provides a summary of the most relevant countermeasures and approaches to respond to and recover from incidents. Response and Recovery Waivers and Emergency  Legislation Post Incident Action Steps Training, Drills  and Exercises Immediate Actions Security  Communications Training Coordination & Collaboration Task Forces Figure 9: Response and Recovery Countermeasures
130 4. Cyber Security Countermeasures NIST Computer Security Division's Computer Security Resource Center (CSRC) facilitates broad sharing of information security tools and practices, provides a resource for information security standards and guidelines, and identifies key security web resources to support users in industry, government, and academia. The CSRC is the primary gateway for gaining access to NIST computer security publications, standards, and guidelines plus other useful security-related information. NIST has published over 300 Information Security guides that include Federal Information Processing Standards (FIPS), the Special Publication (SP) 800 series, Information Technology Laboratory (ITL) Bulletins, and NIST Interagency Reports (NIST IR). Most commonly referenced NIST publications include: PROTECTION OF TRANSPORTATION INFRASTRUCTURE FROM CYBER ATTACKS: A PRIMER (2016), a joint product of two Transportation Research Board Cooperative Research Programs, provides transportation organizations basic reference material concerning cybersecurity concepts, guidelines, definitions and standards. The primer delivers fundamental strategic, management and planning information associated with cybersecurity and its applicability to transit and state department of transportation operations. The primer presents fundamental definitions and rationales that describe the principles and practices that enable effective cybersecurity risk management. The goals of the primer are to: increase awareness of cybersecurity as it applies to highway and public transportation; plant the seeds of organizational culture change; address those situations where the greatest risks lie; and provide industry- specific approaches to monitoring, responding to and mitigating cyber threats. Individual chapters address: myths of cybersecurity; risk management, risk assessment and asset evaluation; plans and strategies, establishing priorities, organizing roles and responsibilities; transportation operations cyber systems; countermeasures; training; and security programs and support frameworks. APTA STANDARDS DEVELOPMENT PROGRAM RECOMMENDED PRACTICE: SECURING CONTROL AND COMMUNICATIONS SYSTEMS IN TRANSIT ENVIRONMENTS, PARTS I, II AND IIIA (2010 â 2015), addresses the importance of control and communications security to a transit agency and presents recommended approaches for securing communications and control systems. Parts IIIb and IIIc are anticipated in the future. Example: San Francisco Municipal Transportation Authority (SFMTA) Ransomware Event In November 2016, SFMTA experienced a ransomware attack that encrypted SFMTAâs information systems. The impact on physical control systems was minimized because SFMTA used a segmentation approach to separate operational control and communications systems from other IT systems and disconnected their fare gates and ticket vending machines systems from the network. Cybersecurity is a growing issue for all organizations, including airports. ACRP Report 140: Guidebook on Best Practices for Airport Cybersecurity (2015) provides resources for airport managers and IT staff to reduce or mitigate inherent risks of cyberattacks on technology-based systems. Traditional IT infrastructure such as servers, desktops, and network devices are covered along with increasingly sophisticated and interconnected industrial control systems, such as baggage handling, temperature control, and airfield lighting systems. Example: Chicago Air Traffic Control Center Fire On September 26, 2014, Federal Aviation Administrationâs (FAA) Air Route Traffic Control facility outside of Chicago shut down over 91,000 mi2 of airspace due to a massive fire set by a disgruntled
131 contractor. Thousands of travelers and flights were disrupted nationwide. The FAA and air traffic control minimized the disruption by using air traffic control centers in other locations. The contractor could easily overcome the existing security systems, since he held access privileges, highlighting the need for system redundancy and adaptability of processes and personnel. This example also illustrates the importance of coordinated programs for physical, cyber, and personnel security. Executive Order (EO) 13636, âImproving Critical Infrastructure Cybersecurity,â February 2013, directed National Institute of Standards and Technology (NIST) to work with stakeholders to develop a voluntary cybersecurity framework for reducing risks for critical infrastructure. The resulting Framework for Improving Critical Infrastructure Cybersecurity was released in 2014. Recognizing that a âone size fits allâ methodology for implementation of the framework is impractical, the Transportation Security Administration, Department of Transportation, United States Coast Guard, and Transportation Systems Sector (TSS) stakeholders organized to create implementation guidance of greatest relevance to the TSS. The TSS Cybersecurity Framework Implementation Guidance, published in 2015, provides guidance, resource direction, and a directory of options to assist a transportation agency or organization in adopting the NIST Framework. The implementation guidance can be used by organizations to do the following: ⢠Characterize their current and target cybersecurity posture. ⢠Identify opportunities for evolving their existing cybersecurity risk management programs. ⢠Recognize existing sector tools, standards, and guidelines that may support framework implementation. ⢠Assess and communicate their risk management approach to both internal and external stakeholders. Example: Utah Transit Authority Cybersecurity Program UTA, a medium-sized transit agency with about 2,500 employees, serves six counties or about 1,600 square miles and 80% of the stateâs population. UTAâs infrastructure and assets consist of the following: ⢠6,206 active bus stops ⢠520 buses, 123 paratransit, 441 vans, 70+ Support ⢠146 Light Rail Cars, 18 locos, 53 Commuter Rail Cars ⢠90 miles of commuter rail track. 16 commuter rail stations, 50 light rail stations UTAâs cybersecurity program is comprised of a cybersecurity monitoring strategy, a systematic decision- making process for selecting and implementing countermeasures, SCADA rail cybersecurity and cybersecurity layers. UTAâs cybersecurity program is based on best practices and is effective in protecting UTAâs SCADA and rail control systems, and its IT and enterprise systems. UTAâs cybersecurity monitoring strategy effectively manages its cyber security threats and vulnerabilities. Discussed in the case study are its monthly monitoring system used by the IT unit and Security Incident Reporting tools UTAâs decision-making process to initiate a cyber security project proceeds as follows: First, there is a risk assessment process which identifies possible security enhancement measures. For each decision cycle, several of UTAâs many systems undergo the risk assessment process. Second, a committee ranks these measures based on certain high-level factors. While the CTO is responsible for overall cyber security for UTA, the UTA Security Administrator makes the final decisions on whether or not to proceed with the
132 selected projects. This decision process occurring several times a year results in implementation of 10-30 cyber security measures. To protect data connections between traffic control, SCADA, and data systems, IT worked with rail operations units to implement cybersecurity systems. They constantly scan the systems for viruses and unusual activity. The case study includes a presentation of Defense in Depth corporate policies. UTAâs layers of security begin with corporate policies and progresses to physical security, perimeter security, internal network security, host security and application/data security. Cyber-Physical Security Cybersecurity cannot be easily separated from physical security. Physical and cyber systems in transportation have become increasingly colocated and functionally dependent on one another. Inadequate physical security can put cyber assets in jeopardy. Physical damage can compromise cyber assets. Evidence of intrusion into physical assets, especially control system cabinets, devices or terminals, communications devices or networks, is an indicator for a suspected cyber breach. Along with more obvious damage or telltale evidence of intrusion and unreconciled door and/or cabinet alarms, inexplicable loss or behavior of communications links or behavior of control system devices could be indications of physical security breaches. Policies and practices for responding to physical security breaches need to also address cybersecurity, and incorporate considerations that a cyber-related incident may have also occurred. Benefits and Needs for an Integrated Approach to CyberâPhysical Security for Transportation, (Zimmerman and Dinning, 2017) published in Transportation Research Circular E-226: Transportation Systems Resilience: Preparation, Recovery, and Adaptation (Transportation Research Board, 2017), provides an overview of cyber and physical systems, gives examples of effective security approaches, and includes transportation case studies. The authors identify four challenges: ï· Redundancy and backup systems, that are needed to mitigate impacts of disruptions, should be part of continuity of operations plans, and require training, management, and close oversight. ï· Because cyber and physical systems, and their respective security system products, are specified and purchased independently from different sources, a systems approach to acquisitions should be used that includes security and resilience in system specifications. Where possible, product designs should address both cyber and physical security. ï· Many organizations lack enterprise-wide resiliency plans addressing all risks simultaneously. All- hazards resiliency plans can reduce the impact of interrelated risks and cascading impacts. ï· Personnel must understand both cyber and physical risks and mitigation strategies. Some organizations are facing this challenge with workforce training programs, for example by NIST, DHS, ICS-CERT, and the Transportation Research Board Critical Transportation Infrastructure Protection Committee.
133 5. Training and Exercises SECURITY AWARENESS AND ALERTNESS TRAINING IN STATE DEPARTMENTS OF TRANSPORTATION1 (Chen, Nof, Partridge, Varkonyi, and Nakanishi, 2006) provided a summary of how state departments of transportation train their employees for security awareness and alertness based on a 2004 survey of state DOTs. Eighteen states were found that considered assessment and certification of security training, and a list of 25 most popular training programs conducted by those 18 states were evaluated in the research. The key findings from that analysis included: ï· Large numbers of security training courses and tools are available. ï· State DOT training goals were general in scope, even though a higher level of specificity is recommended. ï· Security training should be continuously updated and flexible to respond to new and changing threats. Over time, there has been an evolution in the preferred methods of training delivery for DOT employees, captured in ASSHTO State DOT Security/Emergency Management Survey results. The 2010 survey summarizes this evolution, as shown in Figure 10. There is a still strong preference for print/electronic materials with significant growth in demand for conferences/peer exchanges and web-based seminars. Exercises and workshops as a preferred source have declined significantly. Figure 10: DOT Preferred Training Delivery Methods (Source: Summary of 2010, NCHRP Project 20-59 (29)) ASSESSMENT OF SURFACE TRANSPORTATION SECURITY TRAINING NEEDS AND DELIVERY PREFERENCES (2011) identified security training content needs and effective approaches through focus groups and interviews with representatives of 45 different major surface transportation or security organizations. The study identified training content needs by audience, as summarized in Table 4.  1 Transportation Research Record: Journal of the Transportation Research Board, No. 1942, Transportation Research Board of the National Academies, Washington, D.C., 2006, pp. 39â51.Â
134 Table 4: Security Training Content Needs by Audience. Audience Content Needs  Frontline ⢠Situational assessment of threats and incidents ⢠Observational skills and reporting dangerous substances, suspicious packages, and situations ⢠Appropriately reacting to all threats ⢠Proper use of security equipment or technology There was clear concern that training for frontline personnel does not need be too inâdepth or technical.  Transportation Professionals Midâ to highâlevel managers and executives in operations, planning, safety, security, maintenance, and other related fields  Aside from the same basic security awareness training for frontline employees, this audience has special highâlevel training and education needs in the area of security risk assessment and management, vulnerability assessment, and planning for resiliency. This audience may need to understand more clearly the difference between safety and security. Contractors and Vendors  ⢠Similar to frontline employee awareness training ⢠Reporting suspicious activity. Emergency Responders ⢠Transportation system operations, hazards, and vulnerabilities ⢠Integrated communications and response practices/procedures ⢠Integrated incident management Needs for this group will not be much different from that of frontline employees in terms of emphasis on reporting suspicious and dangerous activities, but would vary in priority based on the proximity and access to critical infrastructure and operations (for maintenance workers) and to public areas. Source: Assessment of Surface Transportation Security Training Needs and Delivery Preferences (2011) As part NCHRP PROJECT 20-59 (43), INCORPORATING TRANSPORTATION SECURITY AWARENESS INTO ROUTINE STATE DOT OPERATIONS AND TRAINING, a scanning survey was done to identify existing transportation safety and security training. Survey results were obtained from 31 respondents representing 20 different states. Almost 60% of the survey respondents indicated that their organization required or encouraged training in transportation security. The current transportation security training involved âIf You See Something, Say Somethingâ program related security awareness training, ICS/MINS emergency response training, TIMS training, and HazMat Training, where appropriate.
135 Transportation Emergency Response Application (TERA) TERA is a simulation used to respond to and visualize the impact of transportation agency actions in an event/disaster that may affect normal operations. It was created under the Transit Cooperative Research Program (TCRP) Project A-36, âCommand-Level Decision Making for Transportation Emergency Managersâ and sponsored by the National Cooperative Highway Research Program NCHRP Project 20-59, âSurface Transportation Security and Resilience Research.â See Figure 11. TERA is a web-based facilitated exercise with multiple scenarios available. Nine scenarios are for airports. There are roles for transit agencies and departments of transportation in scenarios for the following. 1. Flood 2. Wildfire 3. Hurricane 4. Earthquake 5. Power Outage 6. Hazardous Material 7. Pedestrian-involved Bus Crash 8. Active Shooter 9. Contagious Disease 10. Traffic Incident Management (TIM) Capstone for Strategic Highway Research Program 2 Training Course Example: Texas Department of Transportation (TxDOT) Security Awareness Program The TxDOT Security Training Program is designed to make each employee aware of their role in security, teach them how to identify suspicious activities, behavior and objects, and relay TxDOT procedures for reporting any objects, behaviors or activities. The established reporting process is to call internal security contact who forwards to call fusion center 1-800 or calls 911 depending on what is being reported. There are following major components: 1. Online Security Training Course that all TxDOT employees must take as new employee training and then refresher course every 2 years. The course is module based and includes information on roles in reducing vulnerability, in incident response and in preparedness. 2. Field exercises with scenarios that include delivery and gate procedures, identification process for suspicious people and items. 3. Integration with job-specific courses such as bridge maintenance course that includes information on awareness, what to look out for and how to pass information along. Module on Fracture Critical Bridges â includes information on importance that nothing be placed on certain places on bridge. Figure 11: TERA Portal.
136 4. Proactive information distribution that includes posters in all TxDOT office, emails to directors of operations, statewide message boards (driven by state operations center) and mass emails, if necessary, for major or highly significant information. Making it clear that employees have security responsibilities â that they are the âeyes and earsâ of the agency â and they should be aware of suspicious activity and know who to call to report matters of a suspicious or dangerous nature is an effective physical and cybersecurity measure. Training can also improve safety. For example, maintenance worker training includes information on the hazard of Meth lab debris to mowers. In the border security in districts on Tex/Mex line and regions where the drug cartel operates, awareness of planting drugs on TxDot vehicles for transport and cloning of TxDot vehicles is critical. Incorporating security awareness training into job-specific training is efficient and can be very effective. TxDOT bridge inspectors have identified a number of security events: ï· Bridge marking issue - bridge inspectors reported graffiti that looks suspicious ï· Bridge damage - E Texas district found that someone literally shot column until all concrete was gone. If done in right place, would be able to bring bridge down. All agencies can benefit from a security awareness program similar to that established at TxDOT and can improve existing security by incorporating components of TxDOT program. Example: Tennessee DOT Comprehensive Exercise Program TDOTâs exercise plan is robust and is aligned with relevant federal guidance and the state of Tennesseeâs emergency management program. The program requires, for each identified hazard, that an exercise be conducted at least once in the two-year cycle. The Emergency Management Standards are used as promulgated by the Emergency Management Accreditation Program. HSEEP is used as a reference not as a standard. TDOT is viewed and treated as an equal partner by the emergency management community, and frequently trains and exercises with the state EMA and other state emergency response providers. In addition, TDOT frequently communicates and coordinates with state EMA and other emergency response providers. In incidents, TDOT typically assumes the following roles: IC, Operations, Planning, Intel/Investigations. The training program includes ICS/NIMS, Traffic Incident Management, Hazmat Awareness, Active Shooter Training, and Emergency Radio Communications. NIMS/ICS training and TIM training have been provided to all emergency response personnel in the DOT. After every exercise or real world event, AARs are developed to capture lessons learned, identify areas of needed improvement, and assign the improvements to a functional area within the TDOT. The Comprehensive Exercise Program for the State of Tennessee Department of Transportation (CEP) document is a supporting document to the TEPP and is an agency-wide comprehensive emergency management exercise program plan and framework for TDOT. The document states that the âgoal of the CEP is to develop, implement and institutionalize a quality comprehensive, objective based and threat focused exercise program.â (CEP, page 4) The document supports the State Multi-year Training and Exercise Plan / Program (MTEP) and is intended to fulfill federal HSEEP requirements; at the same time, it should be noted that the state of Tennessee incorporates the HSEEP process into the planning methodology but not as regulation. In addition to the HSEEP, the Emergency Management Accreditation Program (EMAP) and Emergency Management Performance Grant (EMPG) documentation are also used as guidelines by TEMA and TDOT.
137 Standard components to be included in exercise plans and exercise scheduling and priority determination are described in the CEP. Tennesseeâs Multi-year Exercise Plan is contained in CEP Appendix 2 and includes a listing of exercise priorities for each training year. In Training Year 2015 (October 2014 â September 2015) terrorism was the second priority; the first was Hazmat. Training Year 2016 (October 2015 â September 2016) terrorism was the fifth priority and non-Hazmat transportation was the fourth. In Training Year 2017 (October 2016 â September 2017) the third, fourth, and seventh priorities were communications, continuity of operations, and Hazmat, respectively. An Exercise Design Template is provided in CEP Appendix 3. The template provides a detailed outline of the key components of a sample exercise design.
138 B. Physical and Cyber Security Legal Authorities This section contains an overview of public laws, presidential directives, national frameworks and strategies that establish the legal authorities related to physical and cyber security. Â
139 Public Laws Name Description Security and Infrastructure Protection Implications USA PATRIOT Act of 2001 (42 U.S.C. 5195c(e)) Created the authority to protect and defend critical infrastructure and other security authorities and is a basis for HSPDâ7. Established requirement to protect and defend critical infrastructure. Homeland Security Act of 2002 (6 U.S.C. 101), 2002  This Act created the Department of Homeland Security and is the primary authority for Homeland Security Presidential Directive (HSPD) Number 5 and a major supporter of HSPDâ8.  Defined âemergency response providersâ to mean âfederal, state, and local governmental and nongovernmental emergency public safety, fire, law enforcement, emergency response, emergency medical (including hospital emergency facilities) and related personnel, agencies, and authorities.â   Provides for grants to state and local governmental entities, tribal governments, or other local entities, for emergency and disasterârelated activities. PostâKatrina Emergency Management Reform Act (PKEMRA) of 2006 The PostâKatrina Emergency Management Reform Act of 2006 (PKEMRA) amended the Homeland Security Act of 2002 to make extensive revisions to emergency response provisions while keeping FEMA within the Department of Homeland Security. PKEMRA significantly reorganized FEMA, provided it substantial new authority to remedy gaps in response, and included a more robust preparedness mission for FEMA.   Directed the development of a National Disaster Recovery Strategy and National Disaster Housing Strategy. Amended the Stafford Act to direct FEMA to appoint a Disability Coordinator to ensure the needs of individuals with disabilities are addressed in emergency preparedness and disaster relief. Requires the development of preâscripted mission assignments as part of the planning efforts for Emergency Support Function (ESF) response efforts. Employs the National Incident Management System (NIMS) and the National Response Framework (NRF) as the framework for emergency response and domestic incident management. Requires the development of comprehensive plans to respond to catastrophic incidents to include clear standardization, guidance, and assistance to ensure common terminology, approach, and framework for all strategic and operational planning. Include needs of individuals with disabilities and protection for household pets and service animals.Â
140  Coordinates and supports precautionary evacuations and recovery efforts. Provides transportation assistance for relocating and returning individuals displaced from their residences in a major disaster. Security and Accountability for Every Port Act of 2006 (SAFE Port Act) Required that Area Maritime Security (AMS) Plans include a Salvage Response Plan to ensure that waterways are cleared and port commerce is reestablished as efficiently and quickly as possible following a transportation security incident. Establishes USCG efforts in cases of for port disruptions and events impacting waterways. Coast Guard Authorization Act of 2010 Called for AMS Plans to establish response and recovery protocols to prepare for, respond to, mitigate against, and recover from a transportation security incident. Established Marine Transportation System Recovery Unit (MTSRU) to work with stakeholders and provide guidance to incident command. Maritime Transportation Security Act (2002, 2010)  Requires an area maritime transportation security plan to establish regional response and recovery protocols to mitigate regional transportation security incidents.   Requires the Transportation Worker Identification Credential, also known as TWIC®, for workers who need access to secure areas of the nationâs maritime facilities and vessels.  Requires owners of US facilities that are on or adjacent to U.S. waters that pose a high risk of being involved in a transportation security incident to: (1) make the vulnerability assessment of the facility available to the local port authority and appropriate state or local law enforcement agencies; and (2) integrate the facility's security system with compatible systems operated by state, law enforcement agencies, and the CG. Middle Class Tax Relief and Job Creation Act of 2012, Pub. L. No. 112â96, 126 Stat. 156 (2012) Establishes a State and Local Implementation Grant Program for the purpose of making grants âto States to assist State, regional, tribal and local jurisdictions to identify, plan, and implement the Provides for grant funds to state and local governments for emergency communications Activities.Â
141 most efficient and effective way for such jurisdictionsâ to use and become part of the ânationwide public safety broadband networkâ that is also established under the Act. Moving Ahead For Progress In The 21st Century Act (MAPâ21)  Focused on performance management and established a series of national performance goals. MAPâ21 required incorporating performance goals, measures, and targets into transportation planning. Most aspects of MAPâ21 are continued in the FAST Act. The goals related to safety, congestion reduction, freight movement and economic vitality and environmental sustainability are of particular relevance to security. Fixing Americaâs Surface Transportation (FAST) Act, 2015 Expands the focus on the resiliency of the transportation system. âIt is in the national interest to encourage and promote the safe and efficient management, operation, and development of resilient surface transportation systems that will serve the mobility needs of people and freight and foster economic growth and development within and between states and urbanized areas through metropolitan and statewide transportation planning processes.â  Requires strategies to reduce the vulnerability of existing transportation infrastructure to natural disasters and expands the scope of consideration of the metropolitan planning process to include improving transportation system resiliency and reliability. Encourages MPOs to consult with state agencies that plan for natural disaster risk reduction to produce plans that include strategies to reduce the vulnerability to natural events. Key features include: 1) emphasis on resilience with funding permitted to protect bridges and tunnels; 2) emphasis on riskâbased as well as performanceâ based asset management; and 3) inclusion of critical infrastructure for project funding eligibility.   Title 44, Code of Federal Regulations Regulations promulgated to administer the grant programs under FEMA and DHS. Defines eligible party and other requirements of federal grants under FEMA and DHS. Code of Federal Regulations 49 Part 192, 49 CFR Part 193, 49 CFR Part 33, 49 CFR Part 194, 49 CFR Part 195, 40 CFR Part 112, 30 CFR Part 254, and 49 CFR Part 194 Federal regulations that govern pipeline safety and emergency planning requirements.  All 50 states and the District of Columbia have elected to adopt by reference, federal pipeline safety regulations. Federal pipeline regulations have very specific emergency planning requirements that include mandated written emergency response procedures and the requirement for communication of emergency plans and procedures to fire, police, and other public officials.Â
142 Homeland Security Presidential Directives Name Description Security and Infrastructure Protection Implications HSPDâ5, Management of Domestic Incidents  Purpose: âTo enhance the ability of the United States to manage domestic incidents by establishing a single, comprehensive National Incident Management System.â It created the National Incident Management System and the National Response Plan; the latter has been replaced by the National Response Framework. Established foundation for NIMS and National Response Framework.  HSPDâ7, Infrastructure Identification, Prioritization, and Protection  âThis directive establishes a national policy for federal departments and agencies to identify and prioritize United States critical infrastructure and key resources and to protect them from terrorist attacks.â Led to National Protection Infrastructure Protection Plan. Established foundation for NIPP and Transportation Systems SectorâSpecific Plan.  HSPDâ8, National Preparedness (2011)  âThis directive establishes policies to strengthen the preparedness of the United States to prevent and respond to threatened or actual domestic terrorist attacks, major disasters, and other emergencies by requiring a national domestic allâ hazards preparedness goal, establishing mechanisms for improved delivery of federal preparedness assistance to state and local governments, and outlining actions to strengthen preparedness capabilities of federal, state, and local entities.â This led to creation of a National Preparedness Goal, which was implemented in the form of the National Preparedness Guidelines (NPG) document and several other guidelines.  Emphasis of the National Preparedness Goal is on building and sustaining core capabilities across five mission areas â Prevention, Protection, Mitigation, Response, and Recovery.   Identifies capabilities required for executing the mission or function at any time (before, during, or after an incident) and across all threats and hazards.    Presidential Policy Directive 8: National Preparedness (2011)  Integrates National Planning Frameworks â National Prevention Framework. National Mitigation Framework, National Response Strengthen security and resilience through five preparedness mission areasâPrevention, Protection, Mitigation, Response, and Recovery.Â
143 Framework, National Disaster Recovery Framework. Presidential Policy Directiveâ21: Critical Infrastructure Security and Resilience (2013) Critical infrastructure must be secure and able to withstand and rapidly recover from all hazards. Resilient infrastructure systems are flexible and agile and should be able to bounce back after disruptions. Established integration with National Preparedness System. Establishes resilience and rapid recovery as focus of critical infrastructure security.  Executive Order 13636: Improving Critical Infrastructure Cybersecurity (2013) Develop a technologyâneutral voluntary cybersecurity framework. Promote and incentivize the adoption of cybersecurity practices. Establishes cybersecurity as aspect of critical infrastructure security.  Executive Order 13653, Preparing The United States For The Impacts Of Climate Change (2013) Requires federal agencies to integrate considerations of the challenges posed by climate change effects into their programs, policies, rules and operations to ensure they continue to be effective, even as the climate changes. Establishes climate change as additional aspect to address in plans and programs.  Executive Order ââ Coordinating Efforts to Prepare the nation for Space Weather Events, 2016 Space weather has the potential to simultaneously affect and disrupt health and safety across entire continents. This order defines agency roles and responsibilities and directs agencies to take specific actions to prepare the nation for the hazardous effects of space weather. Establishes spaceâweather events as additional aspect to address in plans and programs.Â
144 National Frameworks and Strategies Name Description Security and Infrastructure Protection Implications National Preparedness Goal, Second Edition, 2011 updated 2015 The 2011 National Preparedness Goal defines what it means for the whole community to be prepared for all types of disasters and emergencies. âA secure and resilient nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk.â Updated in 2015, the key changes areÂ Â ï· Stresses importance of community preparedness and resilience. ï· Risk and the Core Capabilities include cybersecurity and climate change. ï· A new core capability, Fire Management and Suppression, was added. ï· Core Capability Titles were revised: o Threats and Hazard Identification (Mitigation) â revised to Threats and Hazards Identification; o Public and Private Services and Resources (Response) â revised to Logistics and Supply Chain Management; o Onâscene Security and Protection (Response) â revised to Onâscene Security, Protection, and Law Enforcement; and o Public Health and Medical Services (Response) â revised to Public Health, Importance of community preparedness and resilience. Threats and Hazard Identification incorporates cybersecurity and climate change into risks and core capabilities. Â
145 Healthcare, and Emergency Medical Services.Â ï· Several of the core capability definitions were revised. National Disaster Recovery Framework, Second Edition, 2011 updated in 2016 The National Disaster Recovery Framework describes, âhow the whole community works together to restore, redevelop, and revitalize the health, social, economic, natural, and environmental fabric of the community.â The new framework incorporates the edits to the National Preparedness Goal and new lessons learned. Additional changes made to the framework include: âIncreased focus on Recoveryâs relationship with the other four mission areas. Updated Recovery Support Functions (RSFs) to reflect changes in Primary Agencies and Supporting Organizations. Additional language on science and technology capabilities and investments for the rebuilding and recovery efforts.â Guides effective recovery support to disasterâimpacted areas and introduces six Recovery Support Functions (RSFs).  Infrastructure Systems RSF provides the coordinating structures, framework and guidance for resilience, sustainability and mitigation.   National Response Framework, Third Edition, updated in 2013, 2016 The NRF is aligned with NIMS and provides capabilities to save lives, protect property, and meet basic human needs. Response activities occur before, during, and after an incident and can overlap with the start of recovery activities. The following changes were made to the framework: ⢠The addition of a new core capability, Fire Management and Suppression. ⢠Three revised core capability titles o Logistics and Supply Chain Management; o Onâscene Security, Protection, and Law Enforcement; and o Public Health, Healthcare, and Emergency Medical Services. Identifies critical role of transportation in response. Calls for Emergency Operations Plans (EOPs) and Continuity of Operations Plans (COOPs). When an incident exceeds the ability of local and state government to respond effectively, the Federal Government uses NRF to organize federal assistance.Â
146 ⢠Three revised core capability definitions o Environmental Response/ Health and Safety; o Fatality Management Services; and o Logistics and Supply Chain Management. National Mitigation Framework, Second Edition, 2016 The National Mitigation Framework covers the capabilities necessary to reduce the loss of life and property by lessening the effects of disasters, and focuses on risk (understanding and reducing it), resilience (helping communities recover quickly and effectively after disasters), and a culture of preparedness. The new framework incorporates the edits to the National Preparedness Goal and new lessons learned including a revised core capability title, Threats and Hazards Identification. In addition, the following changes have been made: âAdditional language on science and technology efforts to reduce risk and analyze vulnerabilities within the mitigation mission area. Updates on the Mitigation Framework Leadership Group (MitFLG), which is now operational. Updates to the Community Resilience core capability definition to promote preparedness activities among individuals, households and families.â Vulnerability assessments and riskâreduction plans and activities.  National Protection Framework, Second Edition, 2016 The National Protection Framework focuses on âactions to deter threats, reduce vulnerabilities, and minimize the consequences associated with an incident.â The new framework incorporates the edits to the National Preparedness Goal and new lessons learned. In addition, the following changes have been made: âUpdated Cybersecurity Core Capability Critical Tasks to align with the Mitigation, Response, and Recovery Mission Areas. Additional language on science and technology investments to protect Establish and maintain an allâhazards infrastructure protection program designed to (1) safeguard personnel; (2) prevent unauthorized access (3) safeguard infrastructure, facilities, equipment, installations, materiel, and data.Â
147 against emerging vulnerabilities are included within the protection mission area. Additional language on interagency coordination within the protection mission area to support the decisionâmaking processes outlined within the framework.â National Prevention Framework, Second Edition, 2016 The National Prevention Framework focuses on terrorism and addresses the capabilities necessary to avoid, prevent, or stop imminent threats or attacks. Some core capabilities overlap with the protection mission area. The updates include edits to the Nation Preparedness Goal, and lessons learned. Other edits include: âUpdates to Coordinating Structure language on Joint Operations Centers and the Nationwide Suspicious Activity Reporting Initiative. Clarification on the relationship and differences between the Prevention and Protection mission areas. Updated language on the National Terrorism Advisory System (NTAS) as part of the Public Information and Warning core capability. Additional language on science and technology investments within the prevention mission area.â Prevention coordination with law enforcement and state, local, federal intelligence.  NIPP 2013: Partnering for Critical Infrastructure Security and Resilience The National Infrastructure Protection Plan (NIPP) â NIPP 2013: Partnering for Critical Infrastructure Security and Resilience â outlines how government and private sector participants in the critical infrastructure community work together to manage risks and achieve security and resilience outcomes.â â).  Provides coordinated approach for Critical Infrastructure and Key Resources (CI/KR) protection. Focus on resilience â âthe ability to resist, absorb, recover from, or successfully adapt to adversity or a change in conditions.â Transportation Systems Sectorâ Specific Plan (TSSSP) Annex to NIPP Transportation Systems SSP describes strategies to reduce risks to critical transportation infrastructure.  The three goals are (1) Prevent and deter acts of terrorism against transportation Focuses on reducing risks from all hazards, increasing resiliency, and enhancing readiness for continuity and recovery operations. Â
148 system, (2) Enhance resilience of transportation system, and (3) Improve costâeffective use of resources for transportation security. The SectorâSpecific Plans of the 16 critical infrastructure sectors are being updated to align with the NIPP 2013. Encourages wider participation in riskâreduction activities.  Recommends determining security and resiliency priorities. National Incident Management System (NIMS) NIMS provide a consistent nationwide template to enable all government, private sector, and nongovernmental organizations to work together during domestic incidents.  NIMS updates in 2008 provided important new definitions, policy direction and guidance explaining: (1) the NIMS relationship to the National Preparedness Framework; (2) additions to cover intelligence and cyber issues; (3) support, coordination, collaboration, and command and management tactical and nonâtactical operations; (4) use and interoperability of emergency communications; and (5) inclusion of âwhole communityâ concepts.    FEMA is in the process of reviewing and refreshing NIMS. The draft of the refreshed NIMS retains key concepts and principles from the 2004 and 2008 versions, while incorporating lessons learned from exercises and real world incidents, best practices, and changes in national policy, including updates to the National Preparedness System. NIMS compliance by local, state, territorial, and tribal nation jurisdictions is a prerequisite for federal preparedness grants and funds.   Adoption of new Center Management System (CMS) guidance is not mandatory as part of preparedness grants. National Space Weather Strategy and Action Plan, 2015 Successfully preparing for spaceâweather events is an allâofânation endeavor that requires partnerships across governments, emergency managers, academia, the media, the insurance industry, nonâprofits, and the private sector. This Incorporate spaceâweather events in plans and programs. Â
149 plan identifies roles and actions to prepare the nation for the hazardous effects of space weather.  National Information Exchange Model (NIEM) NIEM is a communityâdriven, standardsâbased approach to exchanging information. Diverse communities can collectively leverage NIEM to increase efficiencies and improve decision making. Recommended approach to information exchange.Â
150 C. Other Areas Affecting Physical and Cyber Security This section contains an overview of other regulations that have an impact on physical and cyber security at state departments of transportation and other transportation agencies. Name Description Security and Infrastructure Protection Implications Rail  Adjacent Track Rule Rule restricts labor from working on a track adjacent to a track with an active train. In some port terminals, this rule has been expanded from the adjacent track to include an entire terminal with the results that whenever a train enters or exits a terminal, all labor stops work. May cause delays in the recovery process of port terminals and other facilities with active train lines. Highway  Vehicle Weight Restrictions Current truck size and weight standards are a blend of federal and state regulations and laws. Federal law controls maximum gross vehicle weights and axle loads on the Interstate System. There are also federal standards for length and width on the National Network. All states have laws in place to ensure compliance with federal size and weight requirements. In some instances, states have laws that allow sizes and weights on nonâinterstate highways in excess of the current federal truck size and weight limits. May require temporary relief from regulations and implementation of shortâterm heavy weight corridors. Hours of Service of Drivers Final Rule (2011) Defines maximum allowable hours of driving for truck and drayage drivers. May require temporary relief from regulations.  Hazardous Materials Transportation Act ,  as amended and codified in 49 U.S.C. 5101 et seq "No person may offer or accept a hazardous material for transportation in commerce unless that person is registered in conformance with [law], if applicable, and the hazardous material is properly classed, described, packaged, marked, labeled, and in condition for shipment as required or authorized..."(49 CFR 171.2(a)).  Federal Motor Carrier Safety Administration (FMCSA) requires motor carriers to obtain a Hazardous Materials Safety Permit (HMSP) prior to transporting certain highly hazardous materials. Defines hazardous materials incident rules and regulations.Â