1	Security Standards for Maritime Public Transportation Presentation for CERF 06 May 2002
2	Purpose I’ve recently had the opportunity to work with performance based safety and security standards, and have some observations and recommendations based on this experience As we move forward in this new era of heightened security, it is important to establish both prescriptive and performance based standards
3	Review: Prescriptive Standards Based on Scientific Analysis and Operational History Easy to understand and apply Negatives Compliance Culture Differing levels of Risk Restrict Innovation
4	Review: Performance Standards Based on qualitative goals “acceptable” and “reasonable” are used Innovation and Cost Benefits ---------------------------------------------------------- Requires a greater understanding of underlying processes at work Different Role for the Design Engineer
5	Role of the Design Engineer Prescriptive Security Standards: Identify system requirements Identify applicable standards Ensure that system meets or exceeds the minimum requirements
6	Role of the Design Engineer Performance Security Standards: Define Project Scope/ Boundaries Identify Goals Define Objectives Develop Performance Criteria Develop and Evaluate Design Document
7	Staten Island Ferries
8	46 CFR Subchapter W 2003 fully effective Result of ESTONIA (900) & HERALD OF FREE ENTERPRISE (200) Major Lifesaving Equipment Upgrade for Large Passenger Vessels Option for Risk Assessment in lieu of lifesaving equipment upgrades Opportunity to economize
9	46 CFR Subchapter W PERFORMANCE BASED REGULATORY ALTERNATIVE Risk Assessment The Risk Assessment alternative must address: The navigation and vessel safety conditions within the vessel’s planned operating area, including: (i) The scope and degree of risks or hazards (ii) The existing vessel traffic characteristics and trends (iii) The port and waterway configuration (iv) Environmental factors.
10	46 CFR Subchapter W A comprehensive shipboard safety management and contingency plan (i) catastrophic vessel damage. (ii) Procedures to mobilize emergency response teams. (iii) Procedures for moving passengers (iv) Lists of external organizations (v) Procedures for establishing and maintaining communications (vi) Guidance on theoretical, practical, and actual simulation training
11	Design Engineer PRESCRIPTIVE REQUIREMENTS Find approved manufacturer of equipment Purchase required equipment Identify Stowage Locations Install equipment
12	Design Engineer PERFORMANCE REQUIREMENTS Define Goals Define System - vessel & port Define Approach -structured approach to large problem Carry Out Plan
13	Risk Assessment For Performance Based Risk Assessment, a framework is needed to approach the problem in a rationale, repeatable way. Transparency & Documentation important since non-prescriptive decisions will likely be revisited during the life of the system
14	Assessment Framework 1. Hazard Identification. – databases, interviews, site visits 1.1. Define System. 1.2. Identify events. 2. Risk Assessment. 2.1. Identify causes. 2.2. Frequency/ Likelihood Analysis – qualitative 2.3. Consequence Analysis. 3. Risk Control Options. (web of safety) 3.1. Identify options for reducing likelihood or consequences. 4. Cost Benefit Analysis. 5. Recommendations.
15	Casualty Sequence
16	Risk Control
17	Terrorism
18	Staten Island Ferry Performed Risk Assessment in lieu of prescriptive requirements More work than prescriptive design Result is coordinated training/ exercise/ design package that addresses the most likely scenarios, determined by historical record and expert determination
19	Three Levels of Readiness · Level I –threat of an unlawful act is, though possible, not likely. · Level II –threat of an unlawful act is possible and intelligence indicates that terrorists are likely to be active · Level III - threat of an unlawful act against a vessel or terminal is probable or imminent and intelligence indicates that terrorists have chosen specific targets.
20	Specific Security Measures Restricted Areas Security Guards Vehicle Inspection Perimeter Security Fences Lighting
21	Specific Security Measures Alarms Video Surveillance Communications System Passenger Communications Escape Brow Personnel Training
22	Importance to Transportation Security Common Approach, with Design Flexibility Adaptable to local conditions Better tool for determining equivalency in security and safety and survivability functions when funding limits require hard choices
23	Issues to Address Standardization of approach Documentation – Lifetime Management Determining the adequacy of the result – is there truly an equivalent level of security?
24	Role of the Design Engineer What does it mean for engineers? Prescriptive standards – Design from my office Performance Standards – First principles, stakeholder interaction, “Pound the Pavement” Incorporation of training, operating procedures, and design in the performance-based security solution