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5.0 Access Management

5.1 Overview
5.1.1 Access Management Parameters
5.1.2 Challenges in the Transit Environment
5.1.3 Access Management as Part of an Enterprise-wide Strategy
5.1.4 Access Management as Part of a Comprehensive Security Plan
5.1.5 Access Management Concepts
5.1.5.1 Crime Prevention Through Environmental Design (CPTED)
5.1.5.2 Access Control
5.1.5.3 Intrusion Detection and Surveillance
5.1.5.4 Layered Security
5.1.5.5 Systems Integration
5.1.6 Implementation Challenges
5.2 Tools/Techniques
5.2.1 Policies and Procedures
5.2.2 Perimeter Protection and Barriers
5.2.3 Entry-Point Screening
5.2.4 Credentials and Credentialing
5.2.4.1 Credentials
5.2.4.2 Credentialing
5.2.5 Surveillance Systems
5.2.6 Intrusion Detection
5.2.7 Security Personnel
5.2.8 Communication and Information Processing Systems
5.2.9 Lighting
5.3 Sample Access Management Guidelines
5.3.1 Fencing and Gates
5.3.1.1 Perimeter Fences
5.3.1.2 Clear Zones
5.3.1.3 Fence Fabric
5.3.1.4 Posts and Hardware
5.3.1.5 Openings
5.3.1.6 Gates
5.3.2 Security Lighting
5.3.2.1 Perimeter Lighting
5.3.2.2 Entry, Guardhouse, and Parking Lot Lighting
5.3.2.3 Types of Lighting
5.3.3 Admission Control
5.3.3.1 Facility Employees, Contractors, and Visitors
5.3.3.2 Pick-Ups and Deliveries
5.3.4 Vehicle Access Control and Parking
5.3.4.1 Vehicle Inspection
5.3.4.2 Facility Parking/Traffic Control
5.3.4.3 Adjacent Parking
5.3.4.4 Parking Registration / Vehicular Identification Systems
5.3.4.5 Towing of Unauthorized Vehicles
5.3.4.6 Vehicle Access Points
5.3.4.7 High-Speed Vehicle Approaches
5.3.4.8 Drive-Up / Drop Off Locations
5.3.4.9 Electronic Vehicle Access Control Systems
5.3.5 Vehicle Barriers
5.3.5.1 Barrier Use
5.3.5.2 Applications in a Transit Environment
5.3.5.3 Barrier Types
5.3.5.4 Barrier Selection and Implementation
5.3.6 Critical and Restricted Area Access
5.3.6.1 Critical Operating Areas
5.3.6.2 Hazardous Areas and Security Areas
5.3.7 Windows
5.3.7.1 Construction
5.3.7.2 Steel Bars and Grills
5.3.7.3 Glass Brick
5.3.7.4 Glass and Steel Framework
5.3.7.5 Security Glazing
5.3.8 Wall Safeguards
5.3.8.1 Extending Interior Wall Construction to Ceiling or Roof Deck
5.3.8.2 Reinforced Wall
5.3.8.3 Intrusion-Detection Sensors
5.3.9 Miscellaneous Openings
5.3.9.1 Fire Escapes
5.3.9.2 Manholes
5.3.9.3 Accessible Steel Grates and Doors
5.3.9.4 Sewers and Storm Drains
5.3.9.5 Rooftop Access Points
5.3.9.6 Air Intakes
5.3.10 Personnel Security
5.3.10.1 Pre-Employment Screening
5.3.10.2 Levels of Screening
5.3.11 Key Control
5.3.11.1 Control of Locks and Keys
5.3.11.2 Key Control Official
5.3.11.3 Records Requirements
5.3.11.4 Issue and Control Procedures
5.3.11.5 Lost and Unaccounted-for Keys and Electronic Access Cards
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Figure 5-1 Transit System Assets
Figure 5-2 Layers of Security
Figure 5-3. Access Management Component Integration
Figure 5-4. Entry Control Techniques
Figure 5-5. Credentialing and Access Control
Figure 5-6. Speed Reduction Approach
Figure 5-7. Blast Overpressures as a Function of Distance
Table 5 1. llluminance Specification
Table 5 2. Vehicle Barrier Usage
Table 5 3. Blast Damage
Table 5 4. Blast Charge and Damage Distance
Table 5 5. Sample Pre-Employment Background Screening Matrix
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How is this chapter useful?

For transit managers and security staff it is a resource for

  • Integrating access management into transit security
  • Listing sample access management guidelines
  • Identifying tools and techniques for controlling access

Access management is a set of policies, plans, procedures, personnel, and physical components that provide control and awareness of assets and activities in and around facilities and restricted areas.

This chapter provides:

Note that details on the design and strategies for access management systems are beyond the scope of this chapter. Refer to Chapter 6: Infrastructure, for a description of design-related security measures for stationary assets in a system, such as buildings, tunnels, wayside easement, and rail lines.

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5.1 Overview

This section defines the parameters of access management, the challenges of incorporating access management into the transit environment, using access management as part of a planning strategy and security plan, the security concepts behind access management, and agency challenges when implementing access management systems.

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5.1.1 Access Management Parameters

Access management controls who should be permitted access to facilities and restricted areas; where they can access (e.g., garage or rail yard facilities, vehicles, utility areas within stations or terminals); and when they can access these areas (e.g., certain days of the week or shifts). In addition to controlling passage in and out of facilities or areas, determining who belongs and who does not, access management includes the ability to observe and track movement in and out of controlled areas. Agencies grant access for various combinations of persons and assets, depending on the needs and restrictions established by each agency.

What is Access Management?

Policies, procedures, and physical components controlling passage in and out of facilities or areas, determining who belongs and who does not, and tracking movement in and out of controlled areas.

Basic principles of access management include:

In developing an access management plan, agencies should consider identifying their assets and areas of their property/facilities that should be controlled. They can then make decisions about who will be given access to those assets and areas. From there, they can decide how different access management tools-such as intrusion detection and surveillance-can work together as a part of an integrated security system.

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5.1.2 Challenges in the Transit Environment

Access Management and the Transit Environment

Access management controls and limits access to areas.
Public transit requires unrestricted public access to much of the system.

The objectives of access management and the mission of transit agencies are not always compatible with each other. The purpose of access management is to control and limit access, while public transit requires unrestricted public access to much of the system. In addition, transit systems serve mobile populations and contain mobile assets that are difficult to monitor and to secure.

Transit systems must accommodate thousands of customers daily-24 hours a day/seven days a week in some facilities. Customers using transit systems may pass near restricted areas such as tunnels, control rooms, utility rooms, power supplies, or hazardous-material storage areas. This presents a unique challenge for transit agencies; implementing access control systems that provide easy access to public areas of facilities, at the same time as limiting access to non-public areas to authorized personnel.

Transit agencies are constantly faced with the challenge of managing risks to diverse assets throughout the system. Access management strategies and systems for transit environments must work in a wide variety of settings and be effective in protecting diverse asset types (see Figure 5 1.).

Diagram of transit system assets listing right of way, administrative facilities, construction sites; stations, stops, terminals and intermodal facilities; operational facilities and OCCs, systems and data, rolling stock, utilities; garages, yards, and maintenance facilities; and bridges and tunnels
Figure 5-1. Transit System Assets

Each asset has its own level of risk-attractiveness as a target, vulnerabilities, accessibility, and criticality to the system. However, transit agency managers should consider prioritizing risks through threat and vulnerability assessments and select sets of countermeasures that provide the best overall risk reduction for the system as a whole. Since funding for security efforts is limited, agents must strive to ensure that protective security measures for each asset are equal to the threats and vulnerabilities of that particular asset and the potential consequences of an attack.

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5.1.3 Access Management as Part of an Enterprise-wide Strategy

Access management-and security in general-is one concern within the broader operating environment of a transit agency. Agencies should consider balancing the desire for security against other objectives, such as operational efficiency, budgetary limitations, and passenger convenience. Access management strategies can be integrated into agency-wide planning efforts to ensure compatibility with other, non-security goals.

An agency's staff should consider ways in which access management systems can provide information that is useful to operational systems already in place. For example, agencies may integrate access management systems with a personnel system to track the presence of employees at restricted facilities. Security is the responsibility of all transit department staff; operational procedures and resources can be used to promote effective access management.

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5.1.4 Access Management as Part of a Comprehensive Security Plan

A transit agency's access management efforts are part of a larger, comprehensive security plan that reflects an accurate assessment of critical assets and potential threats and vulnerabilities, and establishes a methodology for addressing them. The goal is to protect the agency's assets. In addition, because many access management tools have multiple security roles, access management efforts can be tightly woven into an overall security strategy.

Agencies should consider preparing and implementing access management strategies that are consistent with their comprehensive security plan. The TVA can be used to help determine which access management strategies to implement.

For guidance on preparing a security plan, refer to The Public Transportation System Security and Emergency Preparedness Planning Guide 1 [FTA, 2003].


1http://transit-safety.volpe.dot.gov/publications#security


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5.1.5 Access Management Concepts

An effective access management strategy draws on several broad security concepts: CPTED, access control, intrusion detection/surveillance, layered security, and systems integration.

5.1.5.1 Crime Prevention Through Environmental Design (CPTED)

CPTED is a method of situational crime prevention that is based on the premise that the proper design and effective use of the built environment can lead to a reduction in crime and an improvement in the quality of life.

CPTED principles related to access management, such as natural surveillance, are considered a logical first step in improving security. Natural surveillance is a design strategy intended to facilitate observation of activities taking place on a site. Designing for natural surveillance involves providing ample opportunity for legitimate users, engaged in their normal activities, to observe the spaces around them.

To reduce the need for guards and technology, agencies should consider a CPTED strategy that takes advantage of as many architectural elements as possible, such as appropriate building layout and pedestrian flow, lighting, landscaping, and surveillance. Architectural design strategies are discussed in more detail in the Security-Oriented Design Considerations for Transit Infrastructure section of the FTA Transit Security Handbook.2


2Transit Security Handbook, Federal Transit Administration, FTA-MA-90-9007-98-1, Volpe Center, Cambridge, MA. March 2, 1998. http://transit-safety.volpe.dot.gov/Publications/Default.asp.


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5.1.5.2 Access Control

Access control is the ability to determine who can or cannot enter specific fields, areas or access particular assets or information. It is the fundamental principle of access management, and an important aspect of an effective security system.

Transit Employee Security Awareness

Frontline transit employees are the eyes and ears of every transit system. Bus and rail operators and maintenance employees, with the appropriate training, can be crucial in deterring, diffusing and responding to serious security incidents occurring on-board their vehicles and within transit stations or facilities.

FTA funds and supports a wide variety of safety and security training to transit agencies. Employee and public security awareness are two of FTA's focus areas.

FTA-sponsored training is developed in collaboration with transit industry professionals, industry experts, and professional training institutes. One course example is the National Transit Institute's (NTI's) System Security Awareness for Transit Employees.

Access control relies on a combination of physical elements (barriers, portals, credentials) and policies (asset classification, credentialing) to operate properly. For more details on individual access management tools, refer to Section 5.2.

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5.1.5.3 Intrusion Detection and Surveillance

Intrusion detection is the ability to know when someone has entered a secured area, and may include the ability to determine the identity of that person. This tracking of movement includes both authorized and unauthorized activity, and therefore can serve as both a staff management and a security tool.

Surveillance is the ability to monitor a specified area. This may occur through an on-site staff member or via remote technologies, such as closed-circuit television (CCTV). Surveillance systems vary in terms of detecting and recording capabilities. Individual surveillance components are discussed in Section 5.2.

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5.1.5.4 Layered Security

The concept of layered security allows multiple opportunities for thwarting or disrupting terrorist activities and is a key aspect of an effective access management strategy.

Some antiterrorist measures are active defense measures. Highly visible security forces and security countermeasures could convince terrorists they will be unable to carry out their "attack sequence" of Target, Surveille, Plan, Rehearse, Execute, Escape, and may reduce the likelihood of an attack. Use of these high-visibility measures may cause terrorists to change their methods or switch to a more lightly defended target, requiring agencies to frequently reassess total target vulnerability.

Counter-surveillance is also a fundamental part of layered security. The conduct of extensive target reconnaissance is a common procedure for most terrorist groups. Mitigation of these attacks involves detection of the intentions of the terrorist-recognizing and reporting pre-incident indicators of a pending attack. Employees and security forces must be aware that surveillance is possible, understand the need to counter it, and be able to detect and report it. For example, when entry point personnel are equipped with cameras they become a more effective countermeasure, and are able to photograph persons or vehicles suspected of surveilling a location.

Security measures implemented at several different levels ("layers") throughout a facility help provide redundancy. The concept of layered protection recommends placing the most critical or most vulnerable assets in the center of concentric levels of increasingly stringent security measures (refer to Figure 5-2). For example, a transit facility's operations control room should not be placed right next to the building's reception area. Instead, where feasible, it should be located deeper within the building so that, to reach the control room, an intruder would have to penetrate numerous rings of protection, such as a fence at the property line, a locked exterior door, an alert receptionist, an elevator with key-controlled floor buttons, and a locked door to the control room.

Diagram of levels of security measures throughout a facility, broken down by core assets, restricted area, interior, exterior, and perimeter
Figure 5-2. Layers of Security

 

Diagram of access management component integration for intrusion detection, surveillance, access control, and credentialing
Figure 5-3. Access Management Component Integration

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5.1.5.5 Systems Integration

Integrated access management systems allow transit agencies to monitor, detect, and respond to events more effectively. Systems integration streamlines management functions and improves the ability to secure assets by moving access management beyond the use of isolated security technologies to a setup in which the systems share information and act in concert.

Figure 5-3 shows potential integration opportunities for access management components. A transit agency with integrated access management systems for such functions as intrusion detection, surveillance, access control, and credentialing can monitor individuals' movements within restricted areas, and through points of entry and exit.

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5.1.6 Implementation Challenges

Transit agencies face many challenges when implementing access management systems. Key areas to consider include:

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Cross Institutional Issues

Access management cuts across many disciplines: engineering and design, construction and maintenance, traffic engineering, law, right-of-way, real estate, disability access, and transportation and land use planning. It is important that all the individuals responsible for each of these functions are involved at the program and/or the project level. Access management also brings significant political and institutional issues to the surface.

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Designing System Security

Designing security into the system is easier and cheaper than patching it on later-security managers should be involved in the planning for all new construction and retrofit projects
Incorporating Security Considerations Early

The ability to manage access effectively is often a function of the extent to which access management is considered in the planning stages, when agencies have the greatest opportunity to get results that are most in line with the recommended standards and guidelines established in their programs. The bigger challenge occurs when there has been little or no consideration given to managing access, requiring the retrofit of access controls, which is typically a long and challenging process.

Institutional Issues and Philosophical Differences

Access management initiatives, like all efforts to strengthen transportation security, face several long-term institutional challenges that include: (1) developing a comprehensive risk management approach; (2) ensuring that funding needs are identified and prioritized and that costs are controlled; (3) establishing effective coordination among the many responsible public and private entities; (4) ensuring adequate workforce competence and staffing levels; and (5) implementing security standards for transportation facilities, workers, and security equipment.3


3GAO. Post September 11th Initiatives and Long-Term Challenges. GAO-03-616T. March 31, 2001. Available at: http://www.gao.gov/new.items/d03616t.pdf


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Funding

Two key funding and accountability challenges for agencies include: (1) paying for increased access management; and (2) ensuring that these costs are controlled. The costs associated with acquiring equipment and personnel for improving transit security are significant. Many of the planned security improvements for transit facilities require costly outlays for infrastructure, technology, and personnel at a time when weakening local economies have reduced local transportation agencies' abilities to fund security improvements. Most of the technologies and policies associated with access management are scalable, however, making it possible for transit agencies to design individual access management programs that meet their own needs and available resources.

Legal Issues

Legal issues abound in the access management arena. Transit agencies and other organizations are increasingly concerned about the threat of being found liable as a result of security negligence. For example, any agency that installs CCTV without an effective policy for monitoring, recording, and managing the captured images could be held responsible for negligence. Likewise, an agency that uses vehicle barrier devices without providing proper employee training runs the risk that an individual or automobile will be injured by one of the barriers. Furthermore, organizations that do not implement or enforce existing security policies may find these policies to be a liability. For these reasons, efforts to avoid liability due to security negligence must be at the forefront of any security strategy.

Agencies must also consider how to respond to requests for information that may compromise security, whether such requests are a result of freedom of information requests or of competitive bidding processes. Legal and policy staff should consider which documents should be released at various stages of such processes, and how to ensure that the requesting party understands the sensitivity of the information.

Agencies that outsource components or processes of their security program to security-service providers should consider a close read of their service contracts to fully understand the liability implications. Comprehensive integrated security systems can be the best "liability insurance" money can buy:


4Cunningham, William C., Taylor, Todd H. The Hallcrest Report I: Private Security and Police In America. National Institute of Justice. June 1985.


Many security suits relate to:

Other legal issues to consider include the growth of privacy as a global issue, and the possible illegality of many access management countermeasure devices in some geographic areas.

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5.2 Tools/Techniques

This section provides an overview of tools and techniques transit agencies can use to manage access. These include:

When used effectively, these tools and techniques create an adaptable network of security measures, with a high degree of interaction among subsystems, and the ability to evolve over time in response to changing security requirements and technologies. Refer to Section 5.3 for sample access management guidelines, with details on specifications and deployment strategies.

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5.2.1 Policies and Procedures

What kinds of procedures are necessary?

Agencies should consider an up-to-date access management plan that lists the functional requirements for access management systems, as well as standard operating procedures that address contingencies for security issues that may arise.

A crucial aspect of access management and of security systems in general, is the need for an effective set of administrative policies and procedures establishing the various system elements and security functions. The policies establish the relationship between groups of users and sets of assets, and permit or deny different users' access to certain assets.

Agencies must have an up-to-date access management plan that lists the functional requirements for access management systems, as well as standard operating procedures that address contingencies for security issues that may arise. Security personnel must have clear, effective procedures to perform their duties well. Access management policies and procedures should be based on the results of a system-wide TVA. Refer to the FTA's Public Transportation System Security and Emergency Preparedness Planning Guide for a step-by-step description of conducting a TVA.5


5The FTA's Public Transportation System Security and Emergency Preparedness Planning Guide (2003) describes the steps in conducting a TVA.http://transit-safety.volpe.dot.gov/publications#security


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5.2.2 Perimeter Protection and Barriers

Barriers can be used to define property boundaries and to enclose secured areas. Physical barriers include any objects that prevent access into a restricted area or through an entry portal, including fences, doors, turnstiles, gates, and walls.

There are two categories of physical barriers: admission control and perimeter control.

A common and effective type of physical barrier for perimeter control is chain-link fencing with barbed wire. It is flexible and easy to erect around any size and shape of structure and along rights-of-way and bridges and is also relatively inexpensive to install. Agencies should consider inspecting fence line regularly for integrity and repairing any damage promptly. Fences and other simple barriers, such as walls, can be enhanced with intrusion-detection or CCTV systems, to improve their effectiveness at preventing unauthorized access (see Sections 5.3.5 and 5.3.6).

Shrubbery and landscaping decisions along a perimeter should be based on maintaining visibility for surveillance purposes. Building walls, floors, and roofs may form part of the barrier and should be designed to provide security equivalent to that of the security barrier. Details on perimeter designs and strategies are covered in Chapter 6: Infrastructure. Sections 6.2.1 and 6.2.2 describe the design of the site and interior layout. 6.3 describes design-related security strategies for perimeter security at fixed sites and facilities (the transit infrastructure) within a system, organized by type of asset, such as transit stations and tunnels, with subsections on perimeter security for each asset. "The Security-Oriented Design Considerations for Transit Infrastructure" chapter of the FTA Handbook also has additional information about perimeter designs and strategies.6


6Ibid


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5.2.3 Entry-Point Screening

A critical part of the access control function is entry-point screening; a method for enforcing selective admission at entrances and other access points. Entry-point screening typically involves secure/non-public areas within a transit system, and can entail verification of identity, a physical search of belongings or a vehicle, x-ray search of bags and packages, weapons detection of both belongings and people, explosives detection, or chemical/biological agent screening. Although high ridership volume, limited space, and the limited throughput of current metal detection screening technologies would not allow mass screening of all passengers in transit stations without severely impacting service, transit agencies may use screening at key high-security facilities/areas, or may selectively screen for high-risk individuals, locations, and events.

For transit agencies, entry control, i.e., allowing or denying entry, may have more immediate relevance and success in non-public facilities and areas, such as operations centers, maintenance facilities, and special equipment rooms in stations, when combined with an automated admission-control device. Entry-point screening is particularly beneficial with temporary or occasional workers and visitors.

Transit agencies can utilize variable levels of entry control:

Each approach offers different level of security, has different labor requirements and uses different technologies (see Figure 5-4).

Diagram of access control entry technique levels: ID card and badge, password or PIN, and biometric ID
Figure 5-4. Entry Control Techniques

Access control technology is advancing rapidly; many of the biometric devices currently in use were not available until recently. When used in conjunction with physical barriers and CCTV (see Section 5.2.5), access control systems enable security personnel to monitor and protect vital assets, such as power facilities, control centers, and computers, more effectively. Electronic access control systems, such as key card systems, have the advantage over conventional key systems in that lost or revoked credentials can be immediately deactivated with minimal cost. In addition, automated entry-point screening systems can sometimes replace guards at some entrances.

Material screening systems complement access control measures. Access control limits who enters a facility or a secured area, while screening systems limit what enters those areas. Screening systems can detect the presence of prohibited items, such as weapons, explosives, or chemical/ biological/nuclear/radiological (CBNR) materials. They utilize a range of technologies (such as x-ray machines and metal detectors), and can be deployed at entry points or throughout a facility.

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5.2.4 Credentials and Credentialing

TSA's Transportation Worker Identification Credential (TWIC)

The TWIC is a uniform identification credential for all transportation workers requiring unescorted access to secure areas at transportation facilities including mass transit.

The TWIC works with multiple types off access control points (vehicle gates, building, and door access) as well as multiple access control technologies (smart chips and barcodes).

Credentialing covers physical and logical access for individuals. Access management-related steps include establishing a secure ID, background checks and credentialing, enrollment, data management and procedures.

Credentials and credentialing are key components for an agency's access control system.

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5.2.4.1 Credentials

Credentials are physical objects used to gain admission at entrances or other access points, such as identification cards, badges, card keys or physical attributes.

A credential signifies that an individual's qualifications have been assessed and validated. Whether the credential is a simple badge with a picture presented for sight identification or a "smart" card that can be used to gain physical access to secure areas or to gain virtual access to computer networks, it is the key to the access control system.

A credential can work on several levels. Security workers may visually inspect credentials using graphics, colors, pictures, and text to help identify personnel and their access to restricted areas. The credential may electronically identify the holder to the security system, which checks a data base to ensure the credential holder has the required clearance. There may also be additional personal information about the cardholder on the credential or in a central database, including biometric data or a Personal Identification Number (PIN) that must be entered at a reader. Examples of biometric technologies are fingerprint, iris scan, retinal scan, hand geometry, face scan, voiceprint, and signature.

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5.2.4.2 Credentialing

Credentialing is the issue and management of credentials, as well as the procedures used to make decisions about granting credentials to particular individuals.

Credentialing typically includes the process of reviewing individuals' qualifications, to assess whether they should be granted access to buildings, facilities, secured areas, or computer networks. Agencies should consider assigning a security classification to each part of the system, and identifying the types of users accessing each part. Many agencies also perform some form of background check before the credentials are issued, ranging from viewing a photo ID, to performing a criminal wants and warrants check, or even an intense background check with interviews. The more important the areas to which an individual will have access, the more stringent and periodic the background check may have to be. Figure 5-5 illustrates the credentialing process for access control.

Diagram of five step credentialing process for access control: 1) authenticate user, 2) determine user privileges, 3) enroll user, 4) issue token, 5) track user
Figure 5-5. Credentialing and Access Control

Credentialing is an important access management tool. In the transit environment, its use is limited to individuals employed or contracted (including concessionaires) by the agency, and to some visitors at administrative facilities. Permanent employees, temporary employees, visitors requiring escort, and visitors not requiring escort are examples of users for whom different types of credentials may be needed.

A Transit TWIC Secure Area is an area of a public transportation operation where the local operator:
  • Has determined that the risk of intrusion and subsequent risk of damage requires all workers and unescorted contractors in that area to obtain and carry a TWIC.
  • Has determined a TWIC requirement would effectively reduce the risk of intrusion (i.e., a train platform carries the risk of intrusion and subsequent damage but a TWIC would not be an effective component of access control because a platform is a public area
  • Have the authority, intent and the means to maintain the characteristics of a Transit TWIC Secure Area.

Secure areas may include: Dispatch/Control Facility; Bus Engine Compartment/Mechanical Areas; Maintenance Facility/Garage/Yard; Central Control Facility; Law Enforcement Facilities; Revenue Rooms; Revenue Transport Train/Truck, Power Cabinets, Switch/Signal Cabinets; HVAC systems; Fuel Storage Facilities; Confidential Records Repositories; Agency Chief Operating Officer's Offices

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5.2.5 Surveillance Systems

Surveillance

Observation methods either carried out by humans or with the assistance of technology

By deploying remote CCTV surveillance systems, agencies can expand the areas in and around transit facilities monitored by security personnel. CCTV surveillance systems may include fixed cameras and pan/tilt/zoom cameras that security personnel can remotely control, and often include video-recording systems. In addition, the visible presence of surveillance cameras in an area can serve as a deterrent to potential intruders who believe they are being observed.

Agencies should be aware of the labor intensity of watching banks of monitors, be cautious about relying on CCTV beyond their ability to monitor activities, and should consider the use of event triggered surveillance. For example, pairing remote-surveillance with intrusion-detection systems (see Section 5.2.6) results in event-triggered surveillance, which may be particularly useful for vulnerable areas that might not otherwise require constant observation, such as tunnel portals or power substations.

When combined with a videotape or digital recording system, a surveillance system can provide vital information about security events. Responders can use the video information to apprehend intruders or to communicate descriptions of intruders to law enforcement agencies. In addition, the video record can potentially be used as evidence in a trial, provide investigators with information about the causes of events, and discourage future occurrences. Videotape evidence can improve the likelihood that an alleged criminal is convicted in a court of law. Agencies must follow local and state requirements for the auditing, handling, storage, and retention of such materials. Some jurisdictions require that it be possible to trace any recorded images to a specific date, time, recording device and recording medium and operator. New rules being introduced relating to the submission of CCTV video recordings as evidence state that it must be proven that a videotape has been completely erased before being reused. Failure to comply with data protection requirements may affect the police's ability to use CCTV images to investigate a crime and may hamper the prosecution of offenders.

It is important to note with the installation of a surveillance system, particularly one including CCTV technology, the agency may have to consider developing a privacy policy to manage the use of any images or sounds recorded by the system.

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5.2.6 Intrusion Detection

Intrusion-Detection Systems

Integrated electronic components for detecting intrusion into a protected area and alerting response forces

An IDS is a combination of integrated electronic components, including sensors, control units, transmission lines, and monitoring units, that detect one or more types of intrusion into an area protected by the IDS. An IDS includes both interior and exterior systems, and may also include electronic entry control devices and CCTV for alarm assessment.

IDSs can be useful throughout transit system operations, allowing security personnel to monitor the movements of authorized people in restricted-access areas and to alert security personnel of potential breaches by unauthorized persons. At perimeters IDSs provide improved security-response time. Pairing intrusion-detection systems with remote surveillance technology enables event-triggered surveillance. For more information on intrusion detection for tunnels, refer to Section 6.3.6.

There are numerous types of interior and exterior sensors that agencies can deploy to signal security personnel when an intruder crosses a threshold, opens a door, or breaks a window. These include area sensors, barrier sensors, point sensors, and volumetric sensors. Intrusion sensors may be buried in the ground or mounted to a fence, wall, ceiling, floor, door, or window. Sensing technologies include magnetic or mechanical switches, pressure sensors, infrared sensors, acoustic sensors, and video cameras.7


7The TCRP program has prepared a detailed report on intrusion-detection systems that offers a detailed review of the advantages and disadvantages of many technologies. Intrusion Detection for Public Transportation Facilities Handbook, Transit Cooperative Research Program, March 2003.


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5.2.7 Security Personnel

Security Personnel

... security force roles have (shifted) from crime-prevention and safety to ensuring the security of the transit system and riders against terrorist attacks.

Many transit agencies, particularly the larger ones, deploy their own security forces to patrol facilities. Since the September 11, 2001 attacks, roles of security forces have been shifting from prior focus on crime-prevention and safety to also ensuring the security of the transit system and riders against terrorist attacks.

Security personnel are responsible for carrying out access management policies and procedures and for overseeing and operating the access control systems used. Functions performed by security personnel can include:


8Balog, Bromley, et al. K9 Units in Public Transportation: A Guide for Decision Makers. TRB TCRP Report 86: Public Transportation Security. Transportation Research Board National Research Council Volume 2: 2002.


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Communication Systems

Enable person-to-person communications and can link various access management subsystems into a networked security system.

Information Processing Systems

Coordinate activities, record incident data, provide audit trails, and generate reports.

5.2.8 Communication and Information Processing Systems

Communication systems are vital because they ensure that information about incidents can be sent to appropriate persons. These systems enable person-to-person communications and can link various access management subsystems into a networked security system.

Communications links can be established using any number of modes or combinations of modes, including telephone, cell phone, fax, e-mail, Web site, radio, intercom, wired, wireless, fiber optic, PDA or pager to transmit voice, data, and/or video. On-site security personnel can use communications systems to summon police or other appropriate emergency response organizations when necessary. Reliability, redundancy, and security of communications links are important to the overall success of a security system. Refer to the chapter on "Security-Oriented Design Considerations for Transit Communications" in the FTA Handbook for additional information.9

Information processing systems are also an integral part of many security systems. Consisting of a combination of hardware and software, including computers, data bases, and workstations, they are used by security personnel to coordinate activities, record incident data, provide audit trails, and generate reports. Information systems make possible central control and maintenance of user access, authorization, and authentication. They are also used within systems for signal processing and monitoring, and for managing many control systems.


9Ibid. http://transit-safety.volpe.dot.gov/Publications/Default.asp


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5.2.9 Lighting

Lighting increases visibility in and around transit facilities, and makes it more difficult for intruders to enter a facility undetected. It is beneficial in almost all environments, especially those that receive little natural light or are used at night. Agencies should consider lighting when installing and updating other access management subsystems, particularly those that utilize surveillance and intrusion detection. In accordance with CPTED principles, lighting can also be used to create greater levels of comfort for passengers and staff present in transit facilities. See Section 5.3.2 for additional information about lighting systems and standards.

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5.3 Sample Access Management Guidelines

Transit system operators have the primary responsibility for ensuring their systems and facilities are secure. This section presents sample guidelines for various access management security measures. The intent is to provide information that will assist transit facility operators in understanding and managing risks to their facilities and other assets. These guidelines are also intended to make transit agency managers aware of the major areas that should be addressed in an access management policy and plan, and which standards and procedures should be established.

The guidelines are not exhaustive; they are an outline of general approaches to access management and are a useful resource, but each agency must identify its particular security needs and determine which access management measures are appropriate. Agencies also should consider the differences in threat levels and/or particular circumstances among various geographic areas or facilities. Some guidelines are more appropriate for non-public transit facilities - administrative offices, maintenance yards, and operations control centers; others could be effectively implemented in stations, parking lots and garages, and other facilities open to and used by the public. Some guidelines are best implemented in new transit infrastructure; others can be easily included as part of a retrofit or reconstruction. The bottom line is that agencies should make access management decisions on a case-by-case basis to meet the needs and available resources of their individual transit agency.

Guidelines are summarized for the following access management areas:

The guidelines outline general approaches to access management and are a useful resource, but each agency must identify its particular security needs and determine which access management measures are appropriate.

Note that details on asset management design and strategies are beyond the scope of this chapter and are covered in Chapter 6: Infrastructure. 6.2 is an overview of design considerations for fixed sites and facilities (the transit infrastructure) within a system. 6.3 describes design-related security strategies.

 

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5.3.1 Fencing and Gates

Agencies should consider these guidelines when installing, maintaining, and controlling perimeter fences, clear zones, fence fabric, posts and hardware, openings, and gates.

Gray arrow - image used for emphasis.
Design considerations - refer to Section 6.2.1

Security strategies - refer Perimeter Security subsections in Section 6.3

 

5.3.1.1 Perimeter Fences

Perimeter fences define the physical limits of a facility or controlled area; provide a physical and psychological deterrent to unauthorized entry; channel and control the flow of personnel and vehicles through designated portals; facilitate effective utilization of the security force; provide control capability for persons and vehicles through designated entrances; and enhance detection and apprehension of intruders. Fencing can be used as a barrier in various locations:

Fencing can range from high-security grill type fencing to cost-effective chain-link fencing. If the security threat is lower or if aesthetics are a high priority, ornamental fencing can also be used if it is properly designed to prevent scaling. Typical fence requirements include:

Although low-level risks may be controlled with a perimeter fence, fences alone will not stop a determined intruder or a moving vehicle attack, and will resist impact only if reinforcements are added. To control identified risks, agencies should enhance the effectiveness of fencing with lighting, CCTV, fence sensors to detect climbers or cutting actions, and/or augmented by security force personnel. A fence that is not protected with intrusion-detection equipment may be vulnerable to attack and unauthorized access if it is not under constant surveillance by security personnel.

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5.3.1.2 Clear Zones

Clear zones for security fences should meet the following requirements:

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5.3.1.3 Fence Fabric

The most common type of physical barrier for perimeter control is chain-link fencing, often installed with barbed-wire outriggers. It is flexible, relatively inexpensive, and easy to install around any size and shape of structure/security zone. These guidelines focus on chain-link fencing, but agencies should look at alternatives, such as expanded metal fencing in areas of greater risk, e.g., where vandalism is high.

Fencing fabric should meet the following requirements designed to increase fence performance:

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5.3.1.4 Posts and Hardware

All fence posts, supports, and hardware for security fences should meet the following requirements:

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5.3.1.5 Openings

Agencies should consider the following requirements for maintaining the fence's integrity when traversing culverts, troughs, ditches, or other openings:

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5.3.1.6 Gates

Perimeter Gates

The number of perimeter gates designated for active use should be kept to the absolute minimum required for operations. Agencies should take into account sufficient entrances to accommodate the peak flow of both pedestrian and vehicular traffic, as well as adequate lighting at egress and ingress points (refer to Section 5.3.2.2).

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Unattended/Inactive Gates

Agencies should consider the following requirements for unattended/inactive gates:

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5.3.2 Security Lighting

Security lighting increases visibility around perimeters, buildings, storage tanks, and storage areas, loading docks, as well as in buildings, hallways, and parking lots. It is a security management tool that is applicable in almost all environments within a transit system, and should be considered when agencies are installing and updating other access management sub-systems, particularly those focusing on surveillance. Security lighting allows the security force to visually monitor the lighted areas, making it difficult for someone to enter the facility undetected, and facilitating the apprehension of offenders. Determining which system is appropriate for a given application depends on the identified risk control requirements of the facility. For a description of types of security lighting, refer to Section 5.3.2.3.

At a minimum, all access points, the perimeter, restricted areas, and designated parking areas should be illuminated from sunset to sunrise or during periods of low visibility. In some circumstances, lighting may not be required, but these circumstances must be addressed in the facility security plan. The plan must show that the absence of lighting will not adversely impact risk and should include the alternative measures being used. Agencies should understand that undesirable shadowing will exist, and the total elimination of shadowing is not practical in all areas.

However, lighting need also be appropriate to the operating environment. Agencies should consider the environment where stations and other infrastructure are located, so as to make lighting appropriate to the area. More residential environments may be less receptive to bright, consistent lighting. Agencies should consider methods of making lighting safe, attractive and neighborhood-friendly, such as high-level, indirect lighting, multiple low-level lights, or some combination of both.

Gray arrow - image used for emphasis.
Design considerations - refer to Section 6.2.5.5.

Security strategies - refer to 6.3.1. transit stations, 6.3.2 transit stops, 6.3.3.
administrative buildings/OCCs, 6.3.5 elevated structures, 6.3.6 tunnels

In general, agencies should consider these guidelines when installing security lighting:

Agencies should consider these lighting guidelines for perimeter lighting and for entry, guardhouse, and parking lot lighting.

 

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5.3.2.1 Perimeter Lighting

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5.3.2.2 Entry, Guardhouse, and Parking Lot Lighting

Entry/Guardhouse

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Parking Lot Areas

In addition to the security hazard of providing hiding places, unlit parking areas are vulnerable to thieves and can pose a risk of physical attack to employees and patrons.

Emergency Power

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5.3.2.3 Types of Lighting

There are four general types of security lighting systems: continuous, standby, moveable, and emergency. Determining which system is appropriate for a given application depends on the identified risk control requirements of the facility.

Continuous Lighting

Continuous lighting is the most commonly used form of security lighting systems, consisting of a series of fixed luminaries arranged to illuminate a given area on a continuous basis with overlapping cones of light during the hours of darkness. There are two primary types of continuous lighting:

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Standby Lighting

The arrangement of this lighting system is similar to continuous lighting and meets the same security lighting specifications, but is used only in certain circumstances. When a possible intruder is detected, the security system or guard force can activate the standby lighting system for extra illumination. It can also be deployed at unattended/attended gates for extra lighting. Standby lighting differs from the continuous lighting in that only security personnel or the security system software have control over the system.

Moveable Lighting

This lighting system consists of manually operated movable light sources and luminaries such as searchlights, which can be lighted during hours of darkness to cover specific areas as needed. Moveable lights are normally used to supplement continuous or standby systems.

Emergency Lighting

This lighting system may duplicate the other three systems in whole or in part. Its use is normally limited to periods of main power failure or other emergencies. While security lighting should be connected to an uninterruptible power system when possible, emergency lighting should depend on a separate, alternate power source, such as portable generators or batteries. Table 5-1 lists the standard illuminance in foot-candles for several security lighting targets.

Table 5-1. llluminance Specification

Lighting Target Illuminance
Lux Foot-candles
LARGE OPEN AREAS (Standard System)
Average minimum illuminance 2 0.2
Absolute minimum illuminance 0.5 0.05
LARGE OPEN AREAS (Glare System)
Average minimum illuminance 2 0.2
Absolute minimum illuminance 0.5 0.05
SURVEILLANCE OF CONFINED (low ceiling / interior) AREAS
Average minimum illuminance 5 0.5
Absolute minimum illuminance 1 0.1
SURVEILLANCE OF VEHICLE OR PEDESTRIAN ENTRANCES
Average minimum illuminance 10 1
Absolute minimum illuminance 2.5 0.25
CCTV SURVEILLANCE Varies with individual systems
(Consult CCTV manufacturer)

 

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5.3.3 Admission Control

Admission control to non-public/secure areas of a transit system is essential. The most common admission control barriers are swing doors, revolving doors, slam gates, turnstiles, and portals. These may be operated mechanically or electronically in conjunction with electromagnetic door locks, keyboard and memorized codes, encoded cards and card readers, video comparators (with or without guard assistance) and biometric identifiers. Automated access control systems can sometimes reduce the number of security staff by replacing them at entrance points.

In addition to physical countermeasures, admission control relies heavily on following procedures. Agencies should follow these admission control guidelines for facility employees, contractors, and visitors; and pick-ups and deliveries.

Gray arrow - image used for emphasis.
Design considerations - refer to Section 6.2.1

Security strategies - refer to Human Access subsections in Section 6.3

 

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5.3.3.1 Facility Employees, Contractors, and Visitors

Requirements for identification of facility employees, contractors, and visitors can include:

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5.3.3.2 Pick-Ups and Deliveries

Security procedures for pick-ups and deliveries can include:

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5.3.4 Vehicle Access Control and Parking

Vehicle controls can most appropriately be applied at those transit facilities that are not typically open to the public-such as administrative offices, maintenance facilities, operation control centers-as a way to deter unauthorized or illegal access. Some of the methods listed here may also be applied around suburban transit stations or other public facilities with significant available parking and a steady flow of pick-up/drop-off traffic.

Agencies should follow these vehicle control and parking guidelines for vehicle inspection, facility parking/traffic control, adjacent parking, parking registration/vehicle ID, unauthorized vehicles, vehicle access points, high-speed vehicle approaches, drive-up/drop-off locations, and electronic vehicle access control.

Gray arrow - image used for emphasis.
Design considerations - refer to Section 6.2.1

Security strategies - refer to Vehicle Access subsection in Section 6.3

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5.3.4.1 Vehicle Inspection

Vehicle inspections ensure that incendiary devices, explosives, or other items that pose a threat to security are not present.

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5.3.4.2 Facility Parking/Traffic Control

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5.3.4.3 Adjacent Parking

5.3.4.4 Parking Registration / Vehicular Identification Systems

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5.3.4.5 Towing of Unauthorized Vehicles

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5.3.4.6 Vehicle Access Points

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5.3.4.7 High-Speed Vehicle Approaches

Traffic calming can be used on inbound and outbound roadways to control vehicle speed and slow incoming vehicles before they reach the facility gate/active barrier so that security personnel have adequate time to respond to unauthorized activities (see Figure 5-6).

Appropriate traffic calming measures include:

Since the energy of a moving vehicle increases with the square of its velocity, minimizing a vehicle's speed allows vehicle barriers to be lighter and less expensive. To facilitate reductions in vehicle speeds, ensure there are no unobstructed vehicle approaches perpendicular to inhabited buildings at the required parking and roadway standoff distances.

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5.3.4.8 Drive-Up / Drop Off Locations

Diagram of speed reduction approach to high-speed vehicles using concrete obstacles
Figure 5-6. Speed Reduction Approach

 

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5.3.4.9 Electronic Vehicle Access Control Systems

An electronic vehicle access control system regulates inbound and outbound traffic using an electronic device to activate a barrier or gate. Vehicle drivers display or insert the appropriate entry control device into an access card/badge reader.

Remotely operated monitoring and access control systems can give the operator full control over the remote security system and access to all data that the security system may collect. In a typical remote system, video from closed circuit television cameras, data from sensors, card readers, or biometric devices is delivered to an operator at a monitoring site in near real-time for review. In turn, data from the operator, such as the request to open a gate or a request for information, is sent to the remote site to be processed by the remote components of the system. In the case of a person wishing to access the remote site the monitor reviews the credentials of the person requesting access and grants or denies access based on its assessment. The system then logs the transaction and returns to its original state. The remote system generally has some mechanism to alert the monitor when an alarm condition occurs. When an alarm does occur, the monitor should take appropriate action.

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5.3.5 Vehicle Barriers

The possibilities for preventing unauthorized vehicle access to non-public facilities consist of human intervention, in which members of a security force are posted to prohibit passage, or physical barrier placement in which a mechanical system is placed to prevent unauthorized vehicle passage. Vehicle barriers should be considered when necessary to control identified risks (e.g., car or truck intrusions). To reduce the risk to facilities and people, vehicle barriers may be constructed/installed in conjunction with perimeter barriers in front of stations, in personnel access areas, and along avenues of vehicle access.

Note that many perimeter barriers in use today can be forcefully penetrated by common road vehicles: a car or light truck can easily crash through most fences and gates with minimal delay or damage to the vehicle. When necessary to control identified risks, reinforced or heavy-duty barriers should be used.

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5.3.5.1 Barrier Use

Uses of vehicle barriers include: safety, theft deterrence, asset protection, pedestrian vs. vehicle traffic separation/delineation; pedestrian control; vehicle control; and traffic control. Barriers protect facilities, critical infrastructure, and people from both errant and terrorist vehicle attacks. It is important to note there are often conflicts between limiting access for unauthorized vehicles and allowing access to authorized vehicles.

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5.3.5.2 Applications in a Transit Environment

Vehicle barriers are most appropriate for protecting those transit facilities that are not typically open to the public; administrative offices, maintenance facilities, operation control centers, etc.; as a way to deter unauthorized or illegal automobile access. In addition, some of the methods listed here may be applied around suburban transit stations or other public facilities, to isolate structures from pick-up and drop-off lanes. As shown in Table 5-2, vehicle barriers can be effective countermeasures at various locations within the transit environment, including construction sites, entrance/road closures, building/work site, pedestrian walkways, parking lots/garages, or in any emergency.

Table 5-2. Vehicle Barrier Usage

USAGE LOCATION
Entrances, Exits, Perimeters of Administrative / Control Facilities Entrances / Exits to Parking Garages, Parking Lots Entrances to Stations / Terminals Entrances to Storage / Maintenance Facilities / Yards Construction Sites
Create Standoff Distance x x x x  
Protect Assets / Pedestrians x x x x  
Slow Vehicles (speed control)   x   x  
Stop Vehicles   x x x  
Restrict Vehicle Entry   x x x x
Direct Traffic x x x x x
Revenue Collection   x      
Theft Deterrent   x   x  

 

Gray arrow - image used for emphasis.
Design considerations - refer to Section 6.2.1

Security strategies - refer to Vehicle Access subsection in Section 6.3

 

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Standoff Distance

Barriers can be used to create a standoff distance providing a measurable blast-effect mitigation zone (a buffer zone between a potential bomb and the asset/facility). The intent is to keep unauthorized vehicles a sufficient distance away from the facility/asset, so the nearest distance at which a vehicle-based bomb can be detonated limits the amount of damage from an explosion (refer to 6.2.1.2 for further information on standoff distances).

Barriers can be placed to establish a standoff distance at a particular location or around the entire perimeter of a facility. Agencies should determine the minimum standoff distance necessary to provide a reasonable blast-effect mitigation zone that provides a survivable structure. This should be based on the results of a structural analysis.

There are several sources that provide guidance as to the proper setbacks for a variety of structure types. The Department of Defense Security Engineering Manual and the TSWG Terrorist Bomb Threat Standoff Card are two examples. Figure 5-7 shows blast overpressures at various distances for a 5,000 lb TNT equivalent blast.

Diagram showing blast overpressures of a 5,000 lb TNT blast at 50 ft, 100 ft, 200 ft. and 300 ft.
Figure 5-7. Blast Overpressures as a Function of Distance (For a Bomb Equivalent to 5,000 Pounds of TNT)

 

Blast overpressures can cause damage to structures and humans. Human blast injuries are primary (direct effect of blast); secondary (injuries caused by flying debris); tertiary (when people are thrown by the blast and strike other objects); and quaternary (all other injuries caused by explosions, e.g., burns or crush injuries). Although damages depend on the type/duration of the blast, Table 5-3 provides estimated damage thresholds:

Table 5-3. Blast Damage

Pressure
(PSI)
Damage
.05 - 1 Window breakage
> 1 Knock down person
1 - 2 Damage to corrugated panels / wood siding
2 - 3 Collapse of non-reinforced cinder blocks
5 - 6 Push over wooden telephone poles
> 5 Rupture eardrums
> 15 Lung damage
> 35 Threshold for fatal injuries
> 50 About 50% fatality rate
> 65 About 99% fatality rate

Source: [White, 1968], [DOD 1997], [Montgomery 1993], [Kinney 1985]

 

As seen in Table 5-4, a blast of approximately this size could be delivered in a box truck.

Table 5-4. Blast Charge and Damage Distance

Table 5-4 showing Charge Weight (TNT Equiv. lbs) for a list of devices.  Listed as follows: a pipe bomb has a charge weight of 5 TNT Equiv. lbs; a suitcase has a charge weight of 50 TNT Equiv. lbs; a compact sedan has a charge weight of 220 TNT Equiv. lbs; a full size sedan has a charge weight of 500 TNT Equiv. lbs; a passenger / cargo van has a charge weight of 1,000 TNT Equiv. lbs; a box truck has a charge weight of 4,000 TNT Equiv. lbs; and a semi-trailer has a charge weight of 40,000 TNT Equiv. lbs.  The distance for specified damage and injury for each device is not listed due to security reasons.

 

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Asset Protection

Barriers can protect assets from intentional or unintentional ramming by vehicles. For example, bollards can be used around fueling stations, around guardhouse entrances to protect guards and entrance equipment, or at station entrances to protect pedestrians.

Vehicle Speed

Barriers can limit vehicle speeds on facility approaches using speed controls.

Vehicle Stops

Barriers can stop unauthorized vehicles from proceeding through vehicle checkpoints/entryways.

Vehicle Restriction

Barriers can be used to restrict vehicle entry, limiting access to agency vehicles only.

Traffic Direction

Barriers can channel traffic at an approach or within a facility.

Revenue Collection

Barriers can enforce revenue collection at parking lots and garages.

Theft Deterrence

Barriers can deter theft at parking lots and garages.

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5.3.5.3 Barrier Types

Barriers are grouped into two general categories:

Properly designed and installed barriers are effective in controlling both pedestrian and vehicular movement inside of a facility, or within a facility's perimeter. Refer to Appendix D, "Vehicle Barrier Types," for a list of all barrier types and a description of their effectiveness and use. For details on costs, advantages and disadvantages of vehicle barrier types, refer to the TCRP Intrusion Detection for Public Transportation Facilities Handbook10 [TCRP 2003].


10Intrusion Detection for Public Transportation Facilities Handbook, Transit Cooperative Research Program (TCRP). March 2003.


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5.3.5.4 Barrier Selection and Implementation

Vehicle barrier functions range from those used to provide positional control of vehicles to those used to create a physical barrier designed to resist the head-on attack of a ramming vehicle. A much more resistant barrier would obviously be required for the latter use.

There are many issues to consider in developing requirements for barriers at a specific location and selecting the appropriate barrier. Refer to Appendix E, "Vehicle Barrier Selection and Implementation Considerations." This list can be helpful in selecting the appropriate barrier type and developing requirements for barriers.

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5.3.6 Critical and Restricted Area Access

Restricted areas are those portions of a facility with access limited to authorized persons, typically because the areas are identified as essential to the security of the operations, control, or safety of a facility. Examples include, but are not limited to, communications or control centers, mechanical/utility areas, hazardous material handling and storage areas, and CCTV display rooms. As an alternative, an entire facility may be designated as a restricted area.

Mechanical areas may exist at one or more locations within a building. These areas house centralized mechanical systems (heating, ventilation, and air conditioning, elevator, water, etc.), including filters, air handling units, and exhaust systems. Such equipment is susceptible to tampering and could be used in a chemical, biological, or radiological attack. Access to mechanical areas should be strictly controlled by keyed locks, keycards, or similar security measures. Additional controls for access to keys, keycards, and key codes should be strictly maintained.

Agencies should follow these guidelines for critical operation areas and hazardous and security operating areas.

Gray arrow - image used for emphasis.
Design considerations - refer to Sections 6.2.2 and 6.2.5

Security strategies - refer to Critical Access subsections in Section 6.3

 

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5.3.6.1 Critical Operating Areas

To control unauthorized access to critical operating areas, transit agencies should establish restricted areas and consider implementing appropriate measures such as:

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5.3.6.2 Hazardous Areas and Security Areas

When a potentially hazardous area is also a security area, follow these guidelines.

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5.3.7 Windows

Window openings can be used to access transit agency facilities and/or remove transit agency property and documents from a facility. Any part of a window that is 18 feet (5 meters) or less above ground, or 18 feet (5 meters) or less from a potential access point, such as an adjoining building or tree, is considered vulnerable to inappropriate or illegal access.

When planning security safeguards for windows, include the impact of window placement on security, in accordance with CPTED principles, since facility occupants can observe who is approaching the facility and outsiders can observe crimes being committed inside. Fire and safety concerns should also be included.

Agencies should follow these window security guidelines for construction, steel bars and grills, glass brick, glass and steel framework, and security glazing.

Gray arrow - image used for emphasis.
Design considerations - refer to Sections 6.2.3 and 6.2.4.3

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5.3.7.1 Construction

5.3.7.2 Steel Bars and Grills

Window glass can be broken or cut to enable an intruder to reach inside and release the lock. When necessary to provide the required degree of safeguarding, bars or steel grills may be used to protect vulnerable window openings. Prior coordination with fire and safety officials is necessary before placing bars or any other type of obstruction across window openings that might impede evacuation efforts.

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5.3.7.3 Glass Brick

5.3.7.4 Glass and Steel Framework

5.3.7.5 Security Glazing

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5.3.8 Wall Safeguards

Wall structures and masonry barriers present potential vulnerabilities for restricting access at a facility, particularly where light construction or improper securing of structural elements would enable an intruder to gain access. A common example is a shared wall between adjacent rooms, one of which is a restricted area.

When a vulnerable wall separating controlled space from an adjacent non-controlled space is identified, countermeasures to reduce risk to an acceptable level are needed. The objective is to secure the wall with a level of physical security to match the value of the assets being protected and the threats.

Agencies should follow these wall safeguard guidelines relating to interior wall extension, reinforced wall, and intrusion-detection sensors.

Gray arrow - image used for emphasis.
Design considerations - refer to Sections 6.2.3 and 6.2.4.1

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5.3.8.1 Extending Interior Wall Construction to Ceiling or Roof Deck

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5.3.8.2 Reinforced Wall

5.3.8.3 Intrusion-Detection Sensors

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5.3.9 Miscellaneous Openings

Preventing inappropriate access to a facility requires physically securing storage, roof, and mechanical areas, as well as outdoor air intakes of the building's HVAC system. Miscellaneous openings include fire escapes, utility manholes, sewer manholes, storm drainage manholes, catch basins, culverts, drains, steel grates and doors, rooftop access points, tunnels, and sidewalk elevators.

Agencies should follow these guidelines relating to fire escapes, manholes, accessible steel grates and doors, sewers and storm drains, rooftop access points and air intakes.

Gray arrow - image used for emphasis.
Design considerations - refer to Section 6.2.5.8 (water and sewer)

Security strategies - refer to Human Access subsections in Section 6.3

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5.3.9.1 Fire Escapes

Exterior fire escapes usually do not provide access directly into a building. If a fire escape is not properly designed it can provide a potential intruder with easy access to the roof or to openings high above ground level. Physical security safeguards must be coordinated with appropriate fire and safety officials to ensure they do not interfere with emergency systems, procedures, or equipment. In some instances, it may not be possible to reduce completely the physical security hazard posed by a fire escape or similar safety feature. In these cases, alternative security measures are necessary to control identified risks, such as CCTV, IDS, and guard patrols.

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5.3.9.2 Manholes

Manholes can provide entrances into buildings for service purposes, or provide access to utility tunnels containing pipes for heat, gas, water, telephone transmission conduits, cables, and other utilities.

5.3.9.3 Accessible Steel Grates and Doors

Grates and doors on ground level are other potential access points into a facility. These types of openings often serve as service entrances or exterior elevator entrances, or they may simply provide light and air to the basement level of the building.

5.3.9.4 Sewers and Storm Drains

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5.3.9.5 Rooftop Access Points

Rooftop structures can present readily available points of access to a potential intruder. Infrequently used access points, such as openings in elevator penthouses, rooftop hatchways, and trap doors should be addressed in a building's security plan. Rooftop access points may require security safeguards.

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5.3.9.6 Air Intakes

Ground-level air intakes to HVAC systems provide an opportunity for aggressors to easily introduce contaminants that could be drawn into the building. The security of outdoor air intakes is essential to protecting the indoor environment from an external attack.

A recent Centers for Disease Control (CDC) document identifies actions to enhance occupant protection from an airborne chemical, biological, or radiological (CBR) attack.11 [TCRP 2003].

These measures are not sufficiently secure for subway system tunnel, which require special considerations (refer to Section 6.3.6).


11Department of Health and Human Services, Centers for Disease Control and Prevention, National Institute for Occupational Safety and Health. "Guidance for Protecting Building Environments from Airborne Chemical, Biological, or Radiological Attacks." May 2002.


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5.3.10 Personnel Security

Since it is possible for threats to come from within an agency (such as disgruntled employees) as well as from outside, transit mangers should follow hiring and employment termination practices that contribute to the security of their facilities.

Agencies should follow these guidelines relating to pre-employment screening and levels of screening. However, agencies should consider also adopting a policy of periodic ongoing employee screening.

5.3.10.1 Pre-Employment Screening

Pre-employment background screening should be performed as a means of verifying applicant data prior to hiring. This may be included as part of the Transportation Worker Identification Credential (TWIC) program initiated by the Transportation Security Administration. Also note that background screening requires in-depth knowledge of the federal Fair Credit Reporting Act (FCRA) and the laws of all 50 states.

Suggested security measures include:

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5.3.10.2 Levels of Screening

Pre-employment screening can include many layers of investigation and types of screening.

Each transit agency should establish screening policies that specify the level of screening required of each position and employment circumstance. Table 5-5 shows a sample of a screening matrix that includes types of screening and the positions for which the screenings could apply. Agencies should consider whether the investigations will be done in-house or by a third-party vendor.

Table 5-5. Sample Pre-Employment Background Screening Matrix

  TYPE OF SCREENING
Identification Employment History Education Criminal Record Motor Vehicle Record Credit History Military Professional Accreditation Medical Assessment INS Form I-9
New Hires x x x x x x x x x x
Re-hires x x x x x x x x x x
Contractors and vendors x     x x x     x x
Other non-employee / non-contractor / non-vendor (e.g. street performer / concession worker) x     x           x

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5.3.11 Key Control

An effective lock and key issuance and control system is essential to the safeguarding of property and controlling access.

Agencies should follow these guidelines relating to control of locks and keys, key control official responsibilities, records requirements, issue and control procedures, and lost keys.

5.3.11.1 Control of Locks and Keys

For effective control, accurate records should be maintained and dated, and semi-annual physical inspections and inventories should be made. Keys should be stamped "DO NOT DUPLICATE" prior to being issued.

5.3.11.2 Key Control Official

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5.3.11.3 Records Requirements

The key control official should maintain a permanent, secured record of the following:

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5.3.11.4 Issue and Control Procedures

Issuance of keys should be kept to a minimum and take place under constant key control supervision. The following requirements apply:

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5.3.11.5 Lost and Unaccounted-for Keys and Electronic Access Cards

When the results of the key inventories and inspections reveal that there are lost keys or access cards, the key control custodian should:

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5.3.12 Security Force

A well-trained and equipped security force provides an effective means for implementing and monitoring the provisions of an agency's access management program. The guard force should be used as an extension of access management systems and represents a major opportunity for risk reduction through effective implementation of facility security policies and procedures.

There are many options for security forces including a sworn police department, guards employed by the transit agency, contract guards, or a combination of these arrangements. The type of force(s) employed, types of operations and the tactics utilized (uniformed/uninformed; patrol/fixed post/random; mounted/K-9/cycle) can be tailored to the specific transit agency.

Agencies should evaluate the need for contract security guard support for existing facilities where guards are not already required. For facilities that have contract security guard service, the facility manager should ensure that the security guards are being employed in the most effective manner to accomplish facility security goals.

Gray arrow - image used for emphasis.
Security strategies - refer to Perimeter Security, Human Access, and Protecting Critical Assets
subsections in Section 6.3

 

Contract guard requirements, responsibilities, and qualification criteria should be established and considered in the decision to employ a contract security guard force.

Such records should be maintained and must be available for inspection.

Security forces can include:

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