Security 101: A Physical Security Primer for Transportation Agencies

223 Pages·2003·6.65 MB·English

NCHRP
REPORT 525
Surface Transportation Security
Volume 14
Security 101:
A Physical Security Primer
for Transportation Agencies
TRANSPORTATION RESEARCH BOARD 2009 EXECUTIVE COMMITTEE*
OFFICERS
CHAIR:Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley
VICECHAIR:Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington
EXECUTIVEDIRECTOR:Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY
Allen D. Biehler, Secretary, Pennsylvania DOT, Harrisburg
Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson
Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA
William A.V. Clark,Professor, Department of Geography, University of California, Los Angeles
David S. Ekern, Commissioner, Virginia DOT, Richmond
Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, University of Virginia, Charlottesville
Jeffrey W. Hamiel,Executive Director, Metropolitan Airports Commission, Minneapolis, MN
Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, DC
Will Kempton, Director, California DOT, Sacramento
Susan Martinovich,Director, Nevada DOT, Carson City
Debra L. Miller, Secretary, Kansas DOT, Topeka
Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore
Pete K. Rahn,Director, Missouri DOT, Jefferson City
Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson
Tracy L. Rosser, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA
Rosa Clausell Rountree, CEO–General Manager, Transroute International Canada Services, Inc., Pitt Meadows, BC
Steven T. Scalzo,Chief Operating Officer, Marine Resources Group, Seattle, WA
Henry G. (Gerry) Schwartz, Jr.,Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO
C. Michael Walton,Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin
Linda S. Watson,CEO, LYNX–Central Florida Regional Transportation Authority, Orlando
Steve Williams,Chairman and CEO, Maverick Transportation, Inc., Little Rock, AR
EX OFFICIO MEMBERS
Thad Allen (Adm., U.S. Coast Guard),Commandant, U.S. Coast Guard, Washington, DC
Peter H. Appel,Administrator, Research and Innovative Technology Administration, U.S.DOT
J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT
Rebecca M. Brewster,President and COO, American Transportation Research Institute, Smyrna, GA
George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York University, Brooklyn; Foreign Secretary,
National Academy of Engineering, Washington, DC
James E. Caponiti, Acting Deputy Administrator, Maritime Administration, U.S.DOT
Cynthia Douglass, Acting Deputy Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT
LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC
Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, DC
John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC
Rose A. McMurry, Acting Deputy Administrator, Federal Motor Carrier Safety Administration, U.S.DOT
Ronald Medford, Acting Deputy Administrator, National Highway Traffic Safety Administration, U.S.DOT
William W. Millar,President, American Public Transportation Association, Washington, DC
Jeffrey F. Paniati,Acting Deputy Administrator and Executive Director, Federal Highway Administration, U.S.DOT
Peter Rogoff, Administrator, Federal Transit Administration, U.S.DOT
Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT
Robert L. Van Antwerp(Lt. Gen., U.S. Army),Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC
*Membership as of June2009.
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
NCHRP
REPORT 525
Surface Transportation Security
Volume 14
Security 101: A Physical Security Primer
for Transportation Agencies
Ernest R. Frazier, Sr.
Yuko J. Nakanishi
Mary Ann Lorimer
COUNTERMEASURESASSESSMENTANDSECURITYEXPERTS, LLC
Camden, NJ
Subject Areas
Planning and Administration • Operations and Safety • Aviation • Public Transit
Rail • Freight Transportation • Marine Transportation • Security
Research sponsored by the American Association of State Highway and Transportation Officials
in cooperation with the Federal Highway Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2009
www.TRB.org
NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 525: VOLUME 14
RESEARCH PROGRAM
Systematic, well-designed research provides the most effective Project 20-59 (28)
approach to the solution of many problems facing highway ISSN 0077-5614
administrators and engineers. Often, highway problems are of local ISBN: 978-0-309-11793-7
Library of Congress Control Number 2006902911
interest and can best be studied by highway departments individually
or in cooperation with their state universities and others. However, the © 2009 Transportation Research Board
accelerating growth of highway transportation develops increasingly
complex problems of wide interest to highway authorities. These
problems are best studied through a coordinated program of
COPYRIGHT PERMISSION
cooperative research.
Authors herein are responsible for the authenticity of their materials and for obtaining
In recognition of these needs, the highway administrators of the
written permissions from publishers or persons who own the copyright to any previously
American Association of State Highway and Transportation Officials published or copyrighted material used herein.
initiated in 1962 an objective national highway research program
Cooperative Research Programs (CRP) grants permission to reproduce material in this
employing modern scientific techniques. This program is supported on publication for classroom and not-for-profit purposes. Permission is given with the
a continuing basis by funds from participating member states of the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA,
FMCSA, FTA, or Transit Development Corporation endorsement of a particular product,
Association and it receives the full cooperation and support of the
method, or practice. It is expected that those reproducing the material in this document for
Federal Highway Administration, United States Department of educational and not-for-profit uses will give appropriate acknowledgment of the source of
Transportation. any reprinted or reproduced material. For other uses of the material, request permission
from CRP.
The Transportation Research Board of the National Academies was
requested by the Association to administer the research program
because of the Board’s recognized objectivity and understanding of
NOTICE
modern research practices. The Board is uniquely suited for this
purpose as it maintains an extensive committee structure from which The project that is the subject of this report was a part of the National Cooperative Highway
Research Program conducted by the Transportation Research Board with the approval of
authorities on any highway transportation subject may be drawn; it
the Governing Board of the National Research Council. Such approval reflects the
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relationship to the National Research Council is an insurance of
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report were chosen for recognized scholarly competence and with due consideration for the
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balance of disciplines appropriate to the project. The opinions and conclusions expressed
research directly to those who are in a position to use them. or implied are those of the research agency that performed the research, and, while they have
The program is developed on the basis of research needs identified been accepted as appropriate by the technical committee, they are not necessarily those of
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by chief administrators of the highway and transportation departments
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needs are defined by the Board, and qualified research agencies are The Transportation Research Board of the National Academies, the National Research
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selected from those that have submitted proposals. Administration and
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surveillance of research contracts are the responsibilities of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade
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The needs for highway research are many, and the National
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Printed in the United States of America

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 NCHRP REPORT 525, VOLUME 14
Christopher W. Jenks,Director, Cooperative Research Programs
Crawford F. Jencks,Deputy Director, Cooperative Research Programs
S. A. Parker,Senior Program Officer
Eileen P. Delaney,Director of Publications
Hilary Freer,Senior Editor
NCHRP PROJECT 20-59 PANEL
Field of Special Projects—Area of Security
David S. Ekern, Virginia DOT, Richmond, VA(Chair)
Dave Cardenas, Los Angeles World Airports, Los Angeles, CA
John M. Contestabile, Johns Hopkins Univ./Applied Physics Lab, Laurel, MD
Ernest R. “Ron” Frazier, Countermeasures Assessment and Security Experts, LLC, Camden, NJ
Vicki Glenn,VHB, Inc., Vienna, VA
Barbara Ivanov, Washington State DOT, Olympia, WA
Michael Miles, California DOT, Sacramento, CA
Sonia Pitt, Excalibur Associates, Inc., Alexandria, VA
Mary Lou Ralls,Ralls Newman, LLC, Austin, TX
Gina C. Wesley, University of Louisville, Louisville, KY
Jeffrey L. Western, Western Management and Consulting, LLC, Madison, WI
Richard Winston, Evanston, IL
Ernesto L. Acosta, TSA Liaison
Steven L. Ernst, FHWA Liaison
Richard Gerhart, FTA Liaison
Anthony B. Tisdale, FTA Liaison
Rick Barnaby, FHWA Liaison
William Brownlow, AASHTO Liaison
Mark S. Bush, AASHTO Liaison
Philip J. Caruso, Institute of Transportation Engineers Liaison
Xavier Delache,Ministere des Transports de l'Equipment du Tourisme et de la Mer Liaison
Nicholas Farber, National Conference of State Legislatures Liaison
Marvin Fell,US Department of Homeland Security Liaison
David Hahn, APTA Liaison
Greg Hull, APTA Liaison
Robert D. Jaffin, American Public University Liaison
Anthony R. Kane, AASHTO Liaison
Peter LaPorte, District of Columbia Emergency Management Agency Liaison
Erhart M. “Mark” Olson, Washington Metropolitan Area Transit Authority Liaison
Vincent P. Pearce, US DOT Liaison
F O R E W O R D
By S. A. Parker
Staff Officer
Transportation Research Board
Security 101: A Physical Security Primer for Transportation Agenciesprovides transporta-
tion managers and employees with an introductory-level reference document to enhance
their working knowledge of security concepts, guidelines, definitions, and standards. This
is a document for use primarily by those who are neither security professionals nor well
versed in security language. There are many types of security: personal, cyber, document,
information, operations, personnel, infrastructure, etc. This document focuses on physical
security, the part of security concerned with measures and concepts designed to (1) safe-
guard personnel; (2) prevent unauthorized access to equipment, installations, materiel, and
documents; and (3) safeguard equipment, installations, materiel, and documents against
espionage, sabotage, damage, and theft.
Physical security is integral to an all-hazards approach to preparedness. As such, this
report covers the major components of an effective security program at the conceptual level,
including risk management and risk assessment, plans and strategies, physical security
countermeasures, security personnel and other personnel, infrastructure protection, and
homeland security. This primer can be used as an introduction to the extensive literature
and additional sources of information identified in the appendixes; however, readers are
reminded that plans need to be tested through exercises to ensure adequacy and to reinforce
roles and responsibilities.
This volume of NCHRP Report 525 was prepared under NCHRP Project 20-59(28) by
Countermeasures Assessment and Security Experts, LLC, of Camden, New Jersey.
Surface transportation agencies are recognizing that because of their broad policy respon-
sibility, public accountability, large and distributed workforces, heavy equipment, and
robust communications infrastructure, they are uniquely positioned among civilian gov-
ernment agencies to swiftly take direct action to protect lives and property. The institutional
heft of such agencies also provides a stable base for campaigns to mitigate or systematically
reduce risk exposure over time through all-hazards capital investments.
This is the fourteenth volume of NCHRP Report 525: Surface Transportation Security,a
series in which relevant information is assembled into single, concise volumes—each per-
taining to a specific hazard or security problem and closely related issues. These volumes
focus on the concerns that transportation agencies are addressing when developing pro-
grams in response to the terrorist attacks of September 11, 2001, and the anthrax attacks
that followed. Future volumes of the reports will be issued as they are completed.
To develop this volume in a comprehensive manner and to ensure inclusion of signifi-
cant knowledge, available information was assembled from numerous sources, including
state departments of transportation. A topic panel of experts in the subject area was estab-
lished to guide the researchers in organizing and evaluating the collected data and to review
the final document.
This volume was prepared to meet an urgent need for information in this area. It records
practices that were acceptable within the limitations of the knowledge available at the time
of its preparation. Work in this area is proceeding swiftly, and readers are encouraged to be
on the lookout for the most up-to-date information.
Volumes issued under NCHRP Report 525: Surface Transportation Securitymay be found
on the TRB website at http://www.TRB.org/SecurityPubs.
C O N T E N T S
1 Summary
3 Chapter 1 Risk Management and Risk Assessment
6 Threat Assessment
6 Threat Types
7 Explosives
8 Weapons of Mass Destruction
13 Armed Assault
13 Adversary Types and Motivations
15 Vulnerability Assessment
16 Security Surveys
16 Performing the Security Survey
18 Chapter 2 Plans and Strategies
18 Objectives of a Security Plan
19 Benefits of a Security Plan
19 Elements of a Security Plan
20 Establishing Priorities
21 Organizing Roles and Responsibilities
21 Selecting Countermeasures and Strategies
22 Maintaining the Plan
22 Security Design Processes
25 Security Funding
27 Chapter 3 Physical Security Countermeasures
27 Signs
30 Emergency Telephones, Duress Alarms, and Assistance Stations
31 Key Control and Locks
32 Protective Barriers
32 Fencing
34 Protective Barriers
34 Landscape Design
35 Protective Lighting
38 Lamps
38 Luminaries
38 Alarm and Intrusion Detection Systems
41 Electronic Access Control Systems
44 Surveillance Systems and Monitoring
51 Chapter 4 Security Personnel and Training
51 Security Forces
55 Security Experts, Consultants, and Contractors
55 Security Committees and Employee Watch Programs
56 Security Training
64 Chapter 5 Infrastructure Protection
64 Critical Infrastructure Designation
66 Methods to Rate and Prioritize Critical Assets
67 Building Security
71 Bridge and Tunnel Security
74 Rolling Stock and Vehicle Security
80 Chapter 6 Homeland Security
80 Homeland Security Laws and Statutes
83 Homeland Security Presidential Directives
85 National Response Framework
85 National Infrastructure Protection Plan
88 Transportation Systems CI/KR Sector-Specific Plan
93 Appendix A Annotated Bibliography
120 Appendix B Additional Sources of Information
126 Appendix C Acronyms, Abbreviations, and Initialisms
143 Appendix D Glossary