FTA-MA-90-7001-94-1 DOT-VNTSC-FTA-94-1 © Transit System U. S. Department of Transportation Security Program Federal Transit Administration Planning Guide U.S. Department of Transportation January 1994 Research and Special Programs Administration Final Report John A. Volpe Reprint National Transportation Systems Center January 1995 Cambridge MA 02142 FEDERAL TRANSIT ADMINISTRATION REPORT DOCUMENTATION PAGE Form Approved OMB No. 0704-0188 Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or an/ other aspect of this collection of information, including suggestions for reducing this burden, to Washington Headquarters Services, Directorate for information Operations and Reports, 1215 Jefferson Davis Highway. Suite 1<?04, Arlington VA 22202-4302, and to the Office of Management and Budget, Paperwork Reduction Project (0704-6188), wa;.h ! mt^, CC > \. 1. AGENCY USE ONLY (Leave blank) REPORT DATE 3. REPORT TYPE AND DATES COVERED January 1994 Final Report - January 1994 Reprint January 1995 4. TITLE AND SUBTITLE FUNDING NUMBERS TRANSIT SYSTEM SECURITY PROGRAM PLANNING GUIDE DTRS-57-89-D-00091 6. AUTHOR(S) TT415/U4020 John N. Balog, Anne N. Schwarz , Bernard C. Doyle 7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING ORGANIZATION KETRON Division of KETRON Division of REPORT NUMBER The Bionetics Corporation* The Bionetics Corporation 350 Technology Drive 58 Charles Street DOT -VNTSC-FTA- 94-1 Malvern, PA 19355 Cambridge, MA 02141 9. SPONSORING/MONITORING AGENCY NAME(S) AND ADDRESS(ES) 10. SPONSORING/MONITORING Office of Technical Assistance and Safety AGENCY REPORT NUMBER Federal Transit Administration FTA-MA-90-7001-94-1 U.S. Department of Transportation Washington, DC 20590 11. SUPPLEMENTARY NOTES Volpe National Transportation Systems Center Research and Special Programs Administration *under contract to: U.S. Department of Transportation Cambridge, MA 02142 12a. DISTRIBUTION/AVAILABILITY STATEMENT 12b. DISTRIBUTION CODE This document is available to the public through the National Technical Information Service, Springfield, VA 22161 13. ABSTRACT (Maximum 200 words) The Federal Transit Administration's Safety and Security Program goal is to achieve the highest practical level of safety and security in all modes of transit. In order to protect passengers, employees, revenues, and property, all transit systems are encouraged to develop, implement, and maintain a System Security Plan and Program. Increased security should be accomplished through the use of a systems approach with both proactive and law enforcement activities clearly outlined in the Security Program Plan. The System Security Program Plan should be a complete, well thought out guide to establishing and maintaining a comprehensive Security Program for the transit system and the entire system for which it is responsible: this includes people, property, procedures, and environment. This Guide is designed to help transit systems outline and author the sections of a plan in order to implement an effective Security Program. The Guide discusses each aspect of a security plan to ensure that when complete, the plan document will demonstrate management's commitment and policy regarding security; introduce the concept of a System Security Program; describe the transit system; establish the management of the plan; detail the Security Program by assigning responsibilities; explain how threats and vulnerabilities will be identified, assessed, and resolved; describe how the plan itself will be implemented to establish or revise the program; and describe how the Security Plan will be evaluated and modified. Additional information in the appendixes will make the complete Security Plan a valuable security reference. The Guide includes a transit security bibliography of approximately 200 documents. 14. SUBJECT TERMS 15. NUMBER OF PAGES Transit, System, Security, Program, Plan, Safety, Law Enforcement, Proactive, Policy, 133 Management, Threat, Vulnerability, Crime, Transportation, Bus, Rail, Paratransit, Employee, Procedures, Passenger, Trespass, Vandalism, Police, Guards 16. PRICE COOE 17. SECURITY CLASSIFICATION 18. SECURITY CLASSIFICATION 19. SECURITY CLASSIFICATION 20. LIMITATION OF ABSTRACT OF REPORT OF THIS PAGE OF ABSTRACT Unclassified Unclassified Unclass ified NSN 7540-01-280-5500 Standard Form 29S (Rev. 2-89) Prescribed by ANSI Std. 239-18 298-102 t METRIC/ENGLISH CONVERSION FACTORS ENGLISH TO METRIC METRIC TO ENGLISH LENGTH (APPROXIMATE) • LENGTH (APPROXIMATE) 1 inch (in) = 2.5 centimeters (cm) 1 millimeter (mm) = 0.04 inch (in) 1 foot (ft) = 30 centimeters (cm) 1 centimeter (cm) = 0.4 inch (in) 1 yard (yd) = 0.9 meter (m) 1 meter (m) = 3.3 feet (ft) 1 mile (mi) =1.6 kilometers (km) 1 meter (m} =11 vards fvd^ 1 kilometer (km) = 0.6 mile (mi) AREA (APPROXIMATE) AREA (APPROXIMATE) 1 square inch (sq in, in2 = 6.5 square centimeters (cm2 ) 1 square centimeter (cnT2) = 0.16 square inch (sq in , in2 ) 1 square foot (sq ft, ft = 0.09 square meter (nu) 1 square meter (m ) = 1.2 square yeards (sq yd, yd2 ) i square yara tsq yo, ya2 ^ — u.o square meter tm2) 1 square kilometer (km2 ) = 0.4 square mile (sq mi, mi 2 ) 1 square mile (sq mi, mi 2 ) = 2.6 square kilometers (km2) 1 hectare (he) = 10,000 square meters (m2 ) = 2.5 acres 1 acre = 0.4 hectares (he) = 4,000 square meters (m2) HAod - Wtibnl tArrKUAlMAI ) MASS - WEIGHT (APPROXIMATE) i ounce |( oz) — to grams i gr > 1 gram (gr) = 0.036 ounce (oz) 1 pound (lb) = .45 kilogram (kg) 1 kilogram (kg) = 2.2 pounds (lb) 1 short ton = 2,000 pounds (lb) = 0.9 tonne (t) 1 tonne (t) = 1,000 kilograms (kg) = 1.1 short tons VOLUME (APPROXIMATE) VOLUME (APPROXIMATE) 1 teaspoon (tsp) = 5 milliliters (ml) 1 milliliters (ml) = 0.03 fluid ounce (fl oz) 1 tablespoon (tbsp) = 15 milliliters (ml) 1 liter (1) = 2.1 pints (pt) 1 fluid ounce (fl oz) = 30 milliliters (ml) 1 liter dT= 1.06 quarts (qt) 1 cup (c) = 0.24 liter (1) 1 liter (1) = 0.26 gallon (gal) 1 pint (pt) = 0.47 liter (1) 1 cubic meter (m ) = 36 cubic feet (cu ft, ft ) 1 quart (qt) = 0.96 liter (1) 1 cubic meter (m ) =1.3 cubic yards (cu yd, yd3 ) i gallon (gal; - i.o liters (l) 1 cubic foot (cu ft, ft3 ) = 0.03 cubic meter (m3 ) 1 cubic yard (cu yd, ycr) = 0.76 cubic meter (m ) TEMPERATURE (EXACT) TEMPERATURE (EXACT) t(x-32)(5/9)] °F = y °C t(9/5) y + 32] °C = x °F QUICK INCH-CENTIMETER LENGTH CONVERSION INCHES 0 12 3 4 5 6 7 8 9 1() i i i i iii ii CENTIMETERS 0123456789 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 25.40 QUICK FAHRENHEIT-CELSIUS TEMPERATURE CONVERSION °F -40° -22° -4° 14° 32° 50° 68° 86° 104° 122° 140° 158° 176° 194° 212° °C -40° -30° -20° -10° 0° 10° 20° 30° 40° 50° 60° 70° 80° 90° 100° For more exact and or other conversion factors, see NBS Miscellaneous Publication 286, Units of Weights and Measures. Price $2.50. SD Catalog No. C13 10286. Acknowledgements The Ketron Division of The Bionetics Corporation would like to extend its full appreciation to the Federal Transit Administration, the Volpe National Transporta- tion Systems Center, and the following individuals who were instrumental in initiating this project and bringing it to its successful conclusion: Franz Gimmler Deputy Associate Administrator for Safety Federal Transit Administration Judy Meade Program Manager Federal Transit Administration Adelbert Lavery Chief, Safety & Security Division Volpe National Transportation Systems Center William Hathaway Senior Project Engineer Volpe National Transportation Systems Center Larrine Watson Project Manager Volpe National Transportation Systems Center Debra J. Haas Administrative Assistant KETRON Division of The Bionetics Corporation Jennifer E. Rimmer Transit/Paratransit Specialist KETRON Division of The Bionetics Corporation Mark M. Hood Transit/Paratransit Specialist KETRON Division of The Bionetics Corporation R. Benjamin Gribbon Transit/Paratransit Specialist KETRON Division of The Bionetics Corporation David Chia Transportation Planner KETRON Division of The Bionetics Corporation iii Contents Introducing This Guide xi What this Section Contains: xi Role of the FTA xi Five Steps to a Successful Security Program Plan xii Outline ofTransit System Security Program Plan xiii Your Checklist xv One Final Note xv Bibliography xvii Definitions xxix Chapter 1 Opening Pages to the System Security Plan 1 Title Page 1 Acknowledgments 1 Table of Contents 1 Foreword 2 Management Commitment and Directive/Policy 2 Executive Summary 3 v 1 Chapter 2 I. Introduction to System Security 5 Summary Statement 5 Purpose of System Security Program Plan and Program 6 Goals, Objectives and Tasks ofthe Program 7 Scope of the Program 9 Security and Law Enforcement 10 Management Authority and Legal Aspects 1 Government Involvement 1 Definitions Within the System Security Program Plan 12 Chapter 3 II. Transit System Description 13 A. Background and History ofTransit Agency 15 B: Organizational Structure 15 C: Human Resources 18 D: Passengers 18 E: Transit Services/Operations 19 F: Operating Environment 20 G: Facilities and Equipment 21 H: Passenger, Vehicle, and System Safety Plan and Program 22 I: Current Security Conditions 23 Existing Security Capabilities and Practices 24 J: 1. Proactive Measures 25 2. Response Measures 26 Chapter 4 III: Management of the System Security Plan 27 A: Responsibility for Mission Statement and System Security Policy 28 B: Management of the Program 28 C: Division of Security Responsibilities 29 D: Proactive Security Committee 30 E: Security Breach Review Committee 31 Chapter 5 IV: System Security Program — Roles and Responsibilities 33 A: Planning 34 B: Proactive Measures 36 C: Training 38 D: Day-to-Day Activities 39 Chapter 6 V: Threat and Vulnerability Identification, Assessment, and Resolution 43 A: Threat and Vulnerability Identification 44 1 . Security Testing and Inspections 44 2. Data Collection 48 3. Reports 49 4. Security Information Flow 50 B: Threat and Vulnerability Assessment 52 1. Responsibility 52 2. Data Analysis 52 3. Frequency and Severity 53 C: Threat and Vulnerability Resolution 53 1. Emergency Response 54 2. Breach Investigation 54 3. Research and Improvements 55 4. Eliminate, Mitigoate, or Accept 56 vii Chapter 7 VI: Implementation and Evaluation of System Security Program Plan 57 A: Implementation Goals and Objectives 58 Establish a Program 58 Define and Modify the Program „ 58 Describe the Program Clearly 58 Communicate the program to all affected persons 58 Put in place the means to accomplish security tasks and activities established by the Plan 60 Provide a means to accomplish security tasks. 61 Execute specific new security subprograms. 61 B: Implementation Schedule 61 C: Evaluation 62 1. Internal Review—Management 63 2. External Audits 64 Chapter 8 VII: Modification of the System Security Plan 67 A: Initiation 67 B: Review Process 69 C: Implement Modifications . 69