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FTA Policy
Statement
The Federal Transit Administration (FTA) has developed a National
Transit Response Model that supports the initiatives of the Office of
Homeland Security (OHS). The plan is a guide for the FTA's response to
the OHS Homeland Security Advisory System (HSAS). The Transit Threat
Level Response Recommendation, in turn, provides guidance to the U.S.
transit industry in responding to the various OHS threat level
designations.
Introduction and Background
The Federal Transit Administration (FTA), in response to the Office
of Homeland Security (OHS), has defined the following plan to guide
transit response to the HSAS as defined in Homeland Security
Presidential Directive #3. The plan establishes a consistent and
coordinated transit response to potential threats in order to protect
transit passengers, employees, and infrastructure, and to support
community emergency response efforts. Further, the plan is compatible
with the way transit operates:
Transit relies on an inherently open architecture, allowing free
movement of passengers in public facilities and vehicles. This freedom
of movement must be maintained to permit transit to perform its basic
functions. Transit is geographically widespread, often operating on public
infrastructure and requiring important interagency cooperation to
ensure protection. There is great diversity in how police and security forces are
provided and deployed at different transit systems. There is no
national mandate to standardize this facet of transit operations and
security force policies will remain a local agency decision. Transit functions include substantial differences in equipment,
infrastructure, operations and security practices from agency to
agency. While this plan provides general guidance for response to
individual threat conditions, the details of specific implementation
vary substantially throughout these agencies. Transit systems are routinely under surveillance by their
operating staff (e.g., drivers, supervisors, station attendants, and
controllers), security employees, and, with increasing frequency,
transit passengers. This normal level of vigilance, supplemented by
appropriate awareness training and the protective measures identified
under threat condition green/blue, may be sufficient vigilance for
some systems. Threat Level/Attack/Recovery Systems Approach The FTA National Transit Response Model supplements the existing HSAS
Threat Condition model with Black and Purple designations to further
define appropriate transit industry activities when an attack is in
progress and during the post-event recovery of transit services and
facilities.
| Color | Condition |
| Green | Low threat level |
| Blue | General threat level |
| Yellow | Elevated threat level |
| Orange | High threat level |
| Red | Severe threat level |
| | |
| Black | Actual Attack |
| Purple | Recovery |
The Black and Purple designations are interpreted as
follows.
Black indicates that an attack is underway against a specific
transit agency or within the agency's immediate geographic area. The
Black state is entered only when an attack has occurred. Black
includes the immediate post-attack time period when the transit agency
may be responding to casualties, assisting in evacuations, inspecting
and securing transit facilities, or helping with other tasks directed
by the local emergency management authority. Purple indicates the recovery of transit service after an attack
has occurred. Purple includes restoration of levels of service,
routes, and schedules, repairing or reopening facilities, adjustment
of staff work schedules and duty assignments, responding to customer
inquiries about services, and other activities necessary to restore
transit service. The Purple state follows the Black state and may also
exist for short time periods when the agency is transitioning from a
higher threat condition to a lower threat condition (e.g., from Red to
Orange). The Purple state will coexist with the prevailing threat
condition. In other words, business recovery (Purple) will be
accomplished while maintaining the prevailing readiness status (e.g.,
Orange protective measures). Threat Level Information The Attorney General makes the decision to change the OHS threat
level. Changes in threat levels typically will be in sequential stepwise
order. As conditions warrant, elevated threat levels will typically
progress in order from lowest (green) to highest (red). Likewise, as
conditions warrant, returning from higher to lower threat levels will
typically progress sequentially. Transit response posture may vary depending on the nature of the
threat level. For example, threat guidance focused on the northeastern
region may dictate that transit agencies in that region maintain a
higher response posture than other regions of the country. If the
guidance is modal-based, for example a threat to subways and transit
agencies with subway modes may maintain a higher response posture than
agencies without subways. In fact, large multi-modal transit agencies
may operate their different modes with different response postures. However, based on information and conditions, transit agencies should
be prepared for the distinct possibility of a non-sequential threat
level advisory. For example, if information and conditions warrant, a
current threat advisory level of "Yellow" could be directly elevated to
"Red." Transit agencies must work collaboratively with their local and
regional emergency management organizations, joint terrorism task force,
police agencies, and other organizations. Each transit agency is
responsible for determining its own appropriate response posture, based
on an assessment of the guidance received from all sources and the
response posture of the communities where the agency provides
service.
FTA Recommended Protective
Measures/Activities for Transit Agencies
The FTA recommends the threat level protective measures and
activities for transit agencies as suggested or recommended actions, not
required actions. While each transit agency should implement
measures/activities appropriate to its own operating environment, the
following general guidelines apply:
The threat/risk goes up with each successive level. Responses are additive; each level incorporates all activities
from the previous levels. Threat information may be general or indicated for different
geographical regions of the country, metro areas, cities, transit
agencies, industries, facility types (e.g., subway, tunnel, bus,
control center, etc.), or for a specific facility. Specific implementation must be determined by the transit agency
in light of actual events; protective measures for a higher level than
officially designated may be implemented by the transit agency. For
example, if the threat advisory level is elevated from "Yellow" to
"Orange" a transit agency may elect to implement not only "Orange"
level suggested protective measures, but also some "Red" level
protective measures.
The following table presents specific transit industry protective
measures in response to the HSAS threat level conditions, as well as for
the actual attack and post-attack/recovery phases. FTA Recommended Transit Protective Measures:
GREEN Low Condition (Green). This condition is declared when there is a low
risk of terrorist attacks.
Measure 1. Refining and exercising as appropriate preplanned
Protective Measures.
Measure 2. Ensuring personnel receive proper training on the
Homeland Security Advisory System and specific preplanned department or
agency Protective Measures. Measure 3. Institutionalizing a process to assure that all
facilities and regulated sectors are regularly assessed for
vulnerabilities to terrorist attacks, and all reasonable measures are
taken to mitigate these vulnerabilities. Measure 4. All contractors and visitors must check or sign in
and out of designated facilities or areas within the facility that are
considered key command, control or communications centers or areas. Measure 5. Ensure existing security measures are in place and
functioning such as fencing, locks, camera surveillance, intruder
alarms, and lighting. Identify those additional security measures and
resources that can enhance the security at the higher Threat Condition
levels, e.g., increased surveillance. Measure 6. Establish local, regional and system-wide threat
and warning dissemination process, emergency communications capability,
and contact information with law enforcement and security officials,
including local FBI Field Offices, first responders, regional and
district US DOT and FTA representatives. Emergency communications should
have redundancy in both hardware and means to contact security
officials, law enforcement agencies, and mobile field command
centers. Measure 7. Develop terrorist and security awareness and
provide information and educate employees on security standards and
procedures. Caution employees not to talk with outsiders concerning
their facility or related issues. Measure 8. Advise all personnel at each facility to report the
presence of unknown personnel, unidentified vehicles, vehicles operated
out of the ordinary, abandoned parcels or packages, and other suspicious
activities. Measure 9. Develop procedures for shutting down and evacuation
of the facility. Facilities located near critical community assets
should be especially vigilant of security measures. Measure 10. Incorporate security awareness and information
into public education programs and notifications to emergency response
organizations. Measure 11. Survey surrounding areas to determine those
activities that might increase the security risks that could affect the
facility, e.g., airports, government buildings, industrial facilities,
pipelines, etc. Measure 12. Ensure contingency and business continuity plans
are current and include a response to terrorist threats. Measure 13. Develop and implement hardware, software, and
communications security for computer based operational systems. FTA Recommended Transit Protective Measures:
BLUE Guarded Condition (Blue). This condition is declared when there is a
general risk of terrorist attacks. Measure 14. Establish liaison with each station or facility
served to coordinate measures that may be necessary if the Threat
Condition increases. Measure 15. Ensure that a response can be mobilized and review
facility security plans and procedures including bomb threat, chemical,
biological or radiological threat and evacuation procedures. Ensure
plans incorporate EOD and tactical teams as necessary, including
accessibility to explosive detection capabilities such as K-9 teams or
electronic sniffers. Measure 16. Inspect perimeter fencing and repair all fence
breakdowns. In addition, review all outstanding maintenance and capital
project work that could affect the security of facilities. Measure 17. Review all operations plans, personnel details,
and logistics requirements that pertain to implementing higher Threat
Condition levels. Measure 18. Inspect all CCTV/Video Camera/VCR equipment and
intercom systems where applicable to ensure equipment is
operational. Measure 19. Review and ensure adequacy of personnel and ID
issuance and control procedures. Measure 20. Require each visitor to check in at a designated
facilities or areas within the facility that are consider key command,
control or communications centers or areas and verify their
identification - be especially alert to repeat visitors or outsiders who
have no apparent business at the facility and are asking questions about
the facility or related issues including the facility's personnel. Be
familiar with vendors who service the facility and investigate changes
in vendor personnel. Measure 21. Inspect emergency supplies to ensure equipment is
in good working order. Measure 22. Provide the public with any information that would
strengthen its ability to act appropriately. Measure 23. At regular intervals, remind all personnel to be
suspicious and inquisitive about strangers, particularly those carrying
suitcases or other containers. Watch for unidentified vehicles on or in
the vicinity of facilities. Watch for abandoned parcels or suitcases and
any unusual activity. FTA Recommended Transit Protective Measures:
YELLOW Elevated Condition (Yellow). An Elevated Condition is declared when
there is a significant risk of terrorist attacks. Measure 24. Inform all law enforcement and security officials
with an operational need to know of the increased threat. Communicate
this information to agency employees who have an operational need to
know. Reinforce awareness of responsibilities with employees. Measure 25. Test security and emergency communications
procedures and protocols. Post Security Alert if appropriate. Check
communications with designated emergency response or command
locations. Measure 26. Secure all buildings and storage areas not in
regular use. Increase frequency of inspection and patrols within the
facility including the interior of buildings and along the facility
perimeter. Increase surveillance in areas considered key command,
control or communications centers and areas such as truck docks, taxi
lanes, parking lots, bridges, tunnels, and interlockings, as
applicable. Measure 27. Check designated unmanned and remote sites at more
frequent intervals for signs of unauthorized entry, suspicious packages,
or unusual activities. Measure 28. Reduce the number of access points for vehicles
and personnel to minimum levels and periodically spot check the contents
of vehicles at the access points. Be alert to vehicles parked for an
unusual length of time in or near a facility. Measure 29. Inspect all mail and packages coming into a
facility. Do not open suspicious packages. Review the USPS "Suspicious
Mail Alert" and the "Bombs by Mail" publications with all personnel
involved in receiving mail and packages. Measure 30. Network with local law enforcement intelligence
units, i.e. FBI field offices, and liaison, as appropriate, with other
departments. Measure 31. Ensure that personnel with access to building
plans and area evacuation plans be available at all times. Personnel
should be able to seal off an area immediately. The Director of Safety
and Security and staff required to implement security plans should be on
call and readily available. Measure 32. Increase security spot checks of vehicles and
persons entering facilities. Measure 33. Review and implement security measures for
high-risk personnel, as appropriate. Measure 34. Increase the frequency of warnings by Low
Condition (Green) and Guarded Condition (Blue) and inform personnel of
additional threat information as available. Implement procedures to
provide periodic updates on security measures being implemented. Measure 35. Ensure that a company or facility response can be
mobilized appropriate for the increased security level. Review
communications procedures and back-up plans with all concerned. Measure 36. Review with all facility employees the operations
plans, personnel safety, security details, and logistics requirements
that pertain to implementing increased security levels. Review
notification/recall lists. Measure 37. Confirm availability of security resources that
can assist with 24/7 coverage as applicable. Measure 38. Step up routine checks of unattended vehicles,
scrutiny of packages and vehicles, and monitor critical facilities and
key infrastructure (e.g., directed patrol checks of hatches, traction
power substations, signal equipment, tracks, switches, rail yards and
shops, rights-of-way, parking lots, etc.) are properly secured. Measure 39. Limit visitor access to key security areas and
confirm that the visitor has a need to be and is expected. All unknown
visitors should be escorted while in these areas. Measure 40. Advise local police agencies that the facility is
at Elevated Condition (Yellow) and advise the measures being employed.
Coordinate emergency plans as appropriate with nearby jurisdictions. Measure 41. Resurvey the surrounding area to determine if
activities near the facility could create emergencies and other
incidents that could affect the facility, e.g., airports, government
buildings, industrial facilities, railroads, other pipelines, etc. Measure 42. Instruct employees working alone at remote
locations or on the ROW to check-in on a periodic basis. Measure 43. Check to ensure all emergency telephone, radio,
intercom, and satellite communication devices are in place and they are
operational. Measure 44. Direct all personal, company, and contractor
vehicles at the facility are secured by locking the vehicles. Remind Bus
drivers to lock vehicles and check vehicles before entering or
driving. Measure 45. Interface with vendors and contractors to heighten
awareness and report suspicious activity. Post signs or make routine
public announcements that emphasize the need for all passengers to
closely control baggage and packages to avoid transporting items without
their knowledge. Measure 46. Assign canines to visible patrols in stations
where applicable. Measure 47. Alert bus and helicopter units, if applicable. Measure 48. Increase special foot patrols, bicycle patrol, and
bus and train boardings as appropriate. Use canine patrols if
available. Measure 49. Develop and implement a schedule for increasing
the frequency of inspection including specific areas and item such as:
telephone booths, garbage containers, and all public areas. Measure 50. Assessing whether the precise characteristics of
the threat require that further refinement of preplanned Protective
Measures. Measure 51. Implementing, as appropriate, contingency and
emergency response plans. Measure 52. Keep all personnel involved in implementing
antiterrorist contingency plans on call. Measure 53. Secure and regularly inspect all buildings, rooms,
and storage areas not in regular use. Measure 54. At the beginning and end of each workday and at
other regular and frequent intervals, inspect the interior and exterior
of buildings in regular use for suspicious packages. Measure 55. Examine mail (above the regular examination
process) for letter or parcel bombs. Measure 56. Check all deliveries to facility and loading
docks. Measure 57. Make staff and dependents aware of the general
situation in order to stop rumors and prevent unnecessary alarm. Measure 58. At an early stage, inform members of local
security committees of actions being taken. Explain reasons for
actions. Measure 59. Operate random patrols to check vehicles, people,
and buildings. Measure 60. Implement additional security measures for
high-risk personnel as appropriate. FTA Recommended Transit Protective Measures:
ORANGE High Condition (Orange) A High condition is declared when there is a
high risk of terrorist attacks. Measure 61. Move cars and objects (e.g., crates, trash
containers) at least 25 meters from buildings (Where possible)
particularly highly populated, mission related, or high profile
buildings. Consider centralized parking. Move automobiles and other
non-stationary items from station and terminal perimeters and other
sensitive buildings or areas. Identify areas where explosive devices
could be hidden. Measure 62. Close and lock gates and barriers except those
needed for immediate entry and egress. Inspect perimeter fences on a
regular basis. Ensure that other security systems are functioning and
are available. Measure 63. Increase security manpower for additional
surveillance, to act as a deterrent and prevent unauthorized access to
secure areas, deploy specialty/technical resources, and enact local
tactical plans, if applicable. The areas recommended for additional
patrols should include railroad terminals, on trains and busses, at bus
stops, parking areas, loading docks, ticket counters, secure areas,
bridges, tunnels and interlockings. Increasing surveillance of critical
locations. Measure 64. Arrange for and deploy plainclothes law
enforcement or security officials for surveillance in terminals,
stations and other location as appropriate. Measure 65. Physically inspect visitors and randomly inspect
their suitcases, parcels, and other containers. Measure 66. Continue Low, Guarded and Elevated measures or
introduce those that have not already been implemented. Measure 67. Activate emergency response plans. Measure 68. Reduce facility access points to the absolute
minimum necessary for continued operation. Restrict threatened facility
access to essential personnel only. Measure 69. Advise local police agencies that the facility is
at a High Condition (Orange) and advise the measures being employed. Measure 70. Consult with local authorities about control of
public roads and accesses that might make the facility more vulnerable
to terrorist attack if they were to remain open. Take additional
precautions at public events and possibly consider alternative venues or
even cancellation. Measure 71. Erect barriers and obstacles to control direction
of traffic flow and protect that terminal, station or other key
area/facility from an attack by a parked or moving vehicle - company
vehicles may be used for this purpose. Implement centralized parking and
shuttle bus service where feasible. Measure 72. Schedule more frequent visits to remote sites and
other locations that are potentially impacted. Measure 73. Increase the frequency of call-ins from remote
locations. Employees should not work alone in remote areas. Measure 74. Check all security systems such as lighting and
intruder alarms to ensure they are functioning. Install additional,
temporary lighting if necessary to adequately light all suspect areas or
decrease lighting to detract from the area. Measure 75. Identify the owner of all vehicles parked at key
command, control, or communications areas or other critical
areas/facilities/ and have all vehicles removed which are not
identified. Measure 76. Strictly enforce control of entry. Inspect all
vehicles entering key areas/facilities including the vehicle's cargo
areas, undercarriage, glove boxes, and other areas where dangerous items
could be concealed. Measure 77. Limit access to designated facilities to those
personnel who have a legitimate and verifiable need to enter the
facility. Implement positive identification of all personnel - no
exceptions. Evacuate all non-essential personnel. Measure 78. Implement frequent inspection of key areas or
facilities including the exterior and roof of all buildings and parking
areas. Increase patrolling at night and ensure all vulnerable critical
points are fully illuminated and secure. Measure 79. If threat is region specific, alert connecting
region(s) of potential need for additional manpower and/or equipment;
commanding officers of connecting region(s). Measure 80. Review procedures and make necessary preparations
to establish Command Center(s) where applicable; make necessary
preparations to dispatch Mobile Command Centers and/or Air Wings in the
event of an actual emergency; prepare to initiate an incident command
system or similar incident management structure for organizing the
response to emergencies. Prepare to execute contingency procedures, such
as moving to an alternate site or dispersing the workforce. Measure 81. Disable all baggage lockers where applicable. Measure 82. Restrict access to boarding areas to ticketed
passengers only. Measure 83. Coordinate necessary security efforts with
Federal, State, and local law enforcement agencies or any National Guard
or other appropriate armed forces organizations. Measure 84. Keep all personnel responsible for implementing
antiterrorist plans on call. Measure 85. Enforce centralized parking of vehicles away from
buildings. Measure 86. Increase patrolling of the facilities. Measure 87. Protect all designated vulnerable points. FTA Recommended Transit Protective Measures:
RED Severe Condition (Red). A Severe Condition reflects a sever risk of
terrorist attacks. Measure 88. Increase security patrol activity to the maximum
level sustainable. Increase perimeter patrols and inspections of
facility. Measure 89. Cancel or delay all non-vital facility work
conducted by contractors, or continuously monitor their work with
company personnel as applicable. Measure 90. Continue all Low, Guarded, Elevated and High
Condition measures or introduce those that have not already been
implemented. Measure 91. Implement emergency and continuity plans as
appropriate. Reduce restricted area access points to an operational
minimum. Measure 92. Augment security forces to ensure absolute control
of key command, control or communications centers or areas and other
potential target areas. Establish surveillance points and reporting
criteria and procedures. Measure 93. Limit schedule or routing. Measure 94. Remove unattended, unauthorized vehicles parked
within 300 feet of a terminal building or station where passengers load
or unload. Measure 95. Increase or redirect personnel to address critical
emergency needs. Measure 96. Assign emergency response personnel and
pre-position and mobilize specially trained teams or resources. Measure 97. Monitor, redirect, or constrain transportation
systems. Measure 98. Close public and government facilities. Measure 99. Identify all vehicles within operational or
mission support areas. Measure 100. Search all vehicles and their contents before
allowing entrance to facilities. Measure 101. Control access and implement positive
identification of all personnel. Measure 102. Search all suitcases, briefcases, packages, etc.,
brought into the facility. Measure 103. Frequent checks of building exteriors and parking
areas. Measure 104. Minimize all administrative journeys and
visits. Measure 105. Coordinate the possible closing of public roads
and facilities with local authorities. FTA Recommended Transit Activities: BLACK A Black (Attack) condition means that a terrorist attack has
occurred. Measure 106. Activate Immediate Action Drills (IAD) and
Emergency Responses to a Terrorist Attack (there are 10 essential
IAD's) Measure 107. Report the attack immediately to all emergency
response organizations Measure 108. Provide for security of the site and other
transit system assets during the emergency and be alert to possible
secondary attacks. Measure 109. Assist response to any Casualties Measure 110. Activate measures to Mitigate the effects of the
Attack Measure 111. Assess immediately impact of the attack on
transit service and facilities and adjust or terminate services as
required. Measure 112. Advise FTA and FBI immediately of all know
information regarding the nature of the attack so that FTA, FBI and
others may immediately disseminate that information to other transit
properties nationwide. Measure 113. Provide Internal and Public Information asap Measure 114. Designate the Incident Commander and Activate
Transit Emergency Response (or Operations) Center and/or dispatch
representatives to appropriate Emergency Operations Centers Measure 115. Mobilize and provide transit assets
(communications links, equipment, facilities and personnel) in support
of the overall incident response effort. Measure 116. Identify Attackers for Responders if witnesses
and/or surveillance can provide timely and relevant information Measure 117. Activate "on-call" external contractors or other
special support as required FTA Recommended Transit Activities: PURPLE A Purple condition designates business recovery activities after an
attack.
Measure 118. Activate (or hastily develop) Business Recovery
Plan Measure 119. Restore Transit System capabilities Measure 120. Restore the Scene of Attack to functionality Measure 121. Guard against secondary Attacks Measure 122. Evaluate why Attack succeeded and update Threat
and Vulnerability Analysis Measure 123. Identify and implement corrective measures Measure 124. Restore Public confidence by announcing new
measures Measure 125. Return to an appropriate preventative level of
GREEN thru RED Measure 126. Coordinate funding and other needs for transit
system restoration with FTA Measure 127. Identify Short and Long Term Capital replacement
needs, develop plans and detailed designs Measure 128. Complete an After Action report
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