Command and Control: Electronic Security Systems Integration Post-9/11

TRANSPORTATION & LOGISTICS PETROCHEMICAL COMMERCIAL INDUSTRIAL RETAIL FEDERAL SYSTEMS BANKING WHITE PAPER Command and Control: Electronic Security Systems Integration Post-9/11 Michael Massott ADT Security Services Fort Washington, Pennsylvania

ABSTRACT This paper provides information on the application and installation of integrated intrusion detection, fire detection, access control and video surveillance solutions into a Command and Control Center for the rail transit environment. Using our industry experience and insights, information is provided on how the use of common security technologies in an integrated manner can cost-effectively meet the needs of rail transit operations post-september 11, 2001, in New York City and Washington, D.C., and March 11, 2004, in Madrid. The discussion focuses on: The need for rail security to be an integrated part of a command and control center, and methods to make this an achievable goal of all transit authorities. How to design an affordable, full-featured and centrally managed security system. Adapting security solutions to your system s size and budget. Solution scalability for meeting the needs of any size transit system. Using intelligent and thorough up-front design to address the uniqueness of each transit environment, while ensuring that best practices from other installations enable cost savings. Instituting cultural changes simultaneously with design changes to make the new electronic infrastructure more effective. Leveraging existing infrastructure and equipment in your security system design to maximize benefit and minimize cost. Creating a one-stop-shop approach, through a security systems integrator, to satisfy your design, management and project coordination needs. Key findings from the evaluation, selection, design, installation and management of security solutions are applicable to all transit authorities. Background To provide a baseline for the discussion to follow, it is important to understand the differences in the role of electronic security in the transit environment pre- and post-september 11, 2001. For clarity s sake, the reference to pre-9/11 and post-9/11 will apply to the terrorist attacks of 9/11 and 3/11. While safety and security has always been top of mind for transit authorities, generally security had a different role prior to 9/11. Typically, pre-9/11 electronic security was a blend of varying technologies to accomplish specific needs for a specific area. While the common security technologies addressing intrusion detection, fire protection, access control and video surveillance were all employed in one manner or another, they were seldom used as a cohesive unit to provide valuable data feedback. For instance, video surveillance took on more of the role of public viewing capabilities and the primary access control solution was lock and key. As stated, most often these solutions were not designed to provide information back to the central command and control center. Or, if they did, it took a specially trained person to review the data that was returned and formulate conclusions and actions to be taken. Pre-9/11 security did not focus on ease of use and the idea that security information could be a valuable resource to virtually all transit authority entities. This isn t to say that the design and/or use of electronic security in the transit environment pre-9/11 were faulty. Security in the transit environment is unique. Thoughts of additional security measures, or even visible security, often conjure up images of too many restrictions. This is especially so when the threat is unknown. With an unknown threat, there wasn t a reason or support given for increasing security measures. Combine that with the fact that the success of transit is based on freedom of movement, anonymity and limited restrictions and the security decisions pre-9/11 are understandable. 2

Once the events of 9/11 and 3/11 occurred, everyone began changing the way they looked at critical infrastructure in the United States. Over the past two to three years, the Department of Homeland Security s Information Analysis and Infrastructure Protection division, ODP, TSA and DOT s Federal Railroad Administration and Federal Transit Administration, have all conducted comprehensive vulnerability assessments of rail and transit networks that operate in high-density urban areas. As a result of these assessments, transit authorities are developing robust security plans and many are still waiting for funding. According to a survey by the American Public Transportation Association (APTA), transit systems need $6 billion to maintain, modernize and expand transit system security functions to meet increased security demands as well as personnel, training, technical support and research. With adequate funding still not readily available to mitigate risks on the ground in the U.S. mass transit system, how can transit authorities continue to meet new security requirements now and for future expansion on their own budgets? While it can be challenging to bring the two together, it is possible. In September 2002, ADT was awarded a contract with one of the largest transit authorities in the United States and asked to meet this challenge. The comprehensive design-build project entailed evaluation, design and installation of an integrated electronic security solution to enhance security measures that were already in place, in addition to meeting new requirements by all stakeholders to be able to evacuate the metropolitan region in any type of emergency. It was the most comprehensive electronic security solution project undertaken for a transit authority in the United States. The following is a discussion regarding how a full-featured security system can be designed, built and integrated into serving a larger purpose in today s transit command and control environment, regardless of transit system size or resources. Electronic Security: An Integral Function of Command and Control The command and control center for transit operations integrates diverse information into a central hub. Proper design is about data management and communication and security implementation is no different. In fact, security data can run on the same infrastructure as all other transit communications. And, importantly, the function of an integrated security solution goes beyond meeting the challenge of heading off terrorist threats. It can meet daily operational challenges perhaps even more important to the operating budget. An integrated electronic security solution can build operating intelligence about the entire transit system. That information can be used in the event of daily challenges delays from peak ridership, vandalism, burglary, robbery, loitering or not-so-frequent challenges perhaps inclement weather events or power outages. Rather than bits and pieces of information, electronic security can be designed to provide a total picture and allow drill down to more detail when appropriate to any group within a transit authority. Command and control is about understanding what is happening, at any given time, anywhere in the transit system. When designed to work with the specific needs of command and control operations, an integrated electronic security system becomes a valuable component that integrates diverse and disparate security equipment and relieves operational burdens from personnel. A single cohesive security network enables information to be retrieved, decisions to be made and the investment to be leveraged to the fullest. 3

Rail Transit Security Deployment Challenges Before reviewing the key success factors in deploying an integrated electronic security system into the transit environment, it is important to note some of the primary challenges. These challenges in no way curtail the effectiveness of the system but do require additional specialization on the part of the electronic security systems integrator contracted to manage and complete the project. Electronic security deployment challenges in the rail transit environment have less to do with the technologies themselves than with the uniqueness of the transit environment. The security technologies utilized are typically a standard part of a systems integrator s core competency intrusion detection, fire protection, video surveillance, access control and even biological/chemical detection. Unlike most other entities, a transit system is virtually always open and, by its very nature, has to be mindful of providing uninterrupted service to its patrons. This contributes to a number of key challenges. How these challenges are met is part of the discussion later in this document. Environment The size and open nature of a transit system means more demands on personnel, time and equipment. More access to knowledgeable personnel must be available from both the security integrator s standpoint as well as the transit authority. Simultaneous installations at multiple stations and ancillary facilities require more resources, escorts and materials. It also means coordinating the movement of individuals and equipment to get them where they need to be without disrupting the operations of the rail system. Operations Many entities influence the operations of the transit system it is a conglomeration of numerous groups, each with ownership of a specific responsibility in the operations. These entities must each be consulted and their input coordinated to ensure a comprehensive solution meeting all needs is developed or, at the very least, concessions agreed upon. This process is integral to keeping operations running smoothly during evaluation, design, installation and cultural integration. Funding While the Department of Homeland Security s grant program for improving rail and transit security in urban areas has awarded or allocated over $115 million since May 2003, many times that funding isn t immediately available or has been directed elsewhere. As a result, funding is often viewed as an obstacle. However, the right security solution can be selected and installed in such a way as to be consistent with both current security needs as well as available funding. It can meet immediate baseline security goals, have the ability to grow as funding becomes available and be mindful of future expansion needs. It is important to know that there are opportunities to assist transit authorities in getting where they need to be in their security program even without immediate or full governmental funding. Future Expansion A transit system is typically always undergoing some sort of transformation. New stations may be being built, older stations may be being remodeled, train cars may be being overhauled and if it isn t occurring immediately, there are likely plans for it, in order to keep up with demand. A security solution must be able to keep pace with the changes meeting the needs of today as well as the growth of tomorrow. 4

Personnel Training Fully integrating the security function into command and control operations and being able to leverage the data it can provide requires transit personnel at all levels to accurately utilize the system. For personnel accustomed to entering nonrevenue operations rooms with a set of keys, changing the behavior toward the appropriate use of access control badging systems may take time. A security system needs to be used properly in order for accurate data to be reported and, in turn, the correct decisions made. A comprehensive and ongoing training program typically mitigates this challenge over time. Knowledge of these challenges is the first step to managing them. Virtually any project with the scope of security solution integration would run up against most of these challenges in the transit environment. The ability to navigate these challenges is important in the development of security plans and the selecting of a security solutions provider. Meeting the Challenges: Deploying the Transit Security System In this section, five key factors for successful security system integration in the transit environment are presented. 1. Evaluate Needs and Establish a Baseline The best place to begin in developing the deployment strategy is establishing a baseline. In fact, one of the goals of the Department of Homeland Security (DHS) is to engage industry and state and local authorities to establish baseline security measures. DHS has required all major state and local mass transit and rail commuter operators to have completed vulnerability assessments. With that information, transit authority entities are armed with the first part of the safety and security evaluation. However, typically each entity has only its own information regarding vulnerabilities and knows intimately the goals it needs to achieve with security implementation. Therefore, the critical next part of the assessment is for the security provider to engage each entity to begin to form the big picture. This is followed by detailed analysis of existing security equipment/infrastructure and evaluation of additional security needs. Solicit and integrate stakeholder input In order to appropriately configure the correct system for meeting command and control needs, each transit authority stakeholder s needs must be taken into account. The information must be gathered, sifted, discussed and, finally, a baseline security goal established. For its project, ADT representatives solicited and coordinated input from transit police, communications, IT, maintenance, train control, capital and procurement. Approximately one-half of total implementation time was spent on the evaluation and design phases in order to accurately meet command and control needs. Assess stations/infrastructure In order to uncover the exact needs of a transit system, surveys of each of the stations and ancillary facilities as well as control/operations centers must be conducted down to minute details. It is the only way to discover what equipment and infrastructure exists and can be leveraged in an upgrade as well as to accurately understand what needs to be added. Under a design-build contract, ADT conducted surveys on all underground stations, aboveground stations and ancillary facilities. Each survey included drawings, notes and photographs so that the infrastructure could be recreated at ADT s engineering offices. Detail down to the number and color of wiring was included. The result: more than 900 engineered CAD drawings, over 9,300 drawings plotted (five miles of paper). The survey process is particularly important in the transit environment since oftentimes existing equipment has been installed piece by piece over several years. There is a high likelihood of no one having a clear picture of all the pieces as a whole. Not only does a survey at this detailed level allow for effective design of the system, it also provides the transit authority with updated information on the entire transit system. 5

Lessons learned Each entity has specific goals to meet regarding their security as well as operations to protect. Every effort must be made to secure a common baseline that meets the needs of all entities. Even though security is a core competency of the provider, how each transit authority needs the system to operate as a whole varies. Best practices can be gleaned from other security implementations from our nation s critical infrastructure. It is important to observe how each of the entities will use the system. The evaluation process shows that because the communications infrastructure is critical to command and control of the transit system and if it is in good condition, it can be utilized for security communications as well. This results in a significant cost savings. Transit systems typically have some security equipment in place that can be adapted to be utilized in the new design. Scale and scope are expanded upon but it usually does not require a completely new installation again resulting in significant cost savings. 2. Review and Prioritize Technology and Benefits Following the evaluation process, the next step in integrating security into the command and control center is to present various solutions along with their strengths and weaknesses. Each entity must review the solutions, prioritize the capabilities of each to meet needs and come to a consensus on final product selection. As mentioned previously, the emphasis is not on the technologies themselves but on how the system is configured to work with command and control operations. The following are common security solutions typically implemented in the transit environment along with how they are integrated to meet security needs post-9/11. Redundant command, control and communications centers The first and most important lesson toward integration is to ensure survivability and redundancy in the event of an attack upon the transit system or the metropolitan region. Prior to 9/11 and 3/11, security integration into command, control and communication was not a priority, let alone redundancy to a multiple command center. Today it is considered prudent management and design to have multiple redundant command, control and communications locations in the event there is an incident, whether it is terrorist related, weather related or a geological event. Intrusion detection Most intrusion detection, prior to 9/11 and 3/11 was designed to mitigate risk to loss of fare revenue or, at the very most, offer very fundamental perimeter protection. Now intrusion detection has been added for door position status to ensure critical infrastructures have an additional layer of protection, as well as coverage for ventilation shafts, emergency egress and other access points deemed critical by an authority. In addition, intrusion detection can be used for bridge and tunnel protection, yard and fence protection, and integration to intelligent video and access control for better operational efficiency and reporting. Fire protection Life safety has always been a major priority for transit agencies. Integration into the new command and control center is important if only to carry secondary signal to the existing monitoring system. The key opportunities to consider in upgrading the fire alarm system are the transition of modern systems from zone systems with large areas covered by single alarms to addressable intelligent signal paths. Additionally, updating programmable fan control for fan shutdown during biological, chemical or nuclear attacks is another focus, as the use of fan controls for these incidents will be different from that for smoke exhaust and pressurization. 6

Electronic access control Electronic access control, along with video surveillance, are the two most impactful integration elements for transit security post-9/11 and 3/11. Access control integration begins with photo ID badging. By requiring a visible badge for all employees and contractors, the transit employees are culturally empowered to restrict access or question access to critical areas. The second area where photo ID badging helps integrate security is by allowing fewer keys to be handed out to physical locks and fewer changes to the locks necessary to control access. The next level of integrated access control is to allow intrusion alarms to be constantly armed in critical areas and only temporarily shunted by authorized employees and contractors. This level requires command and control to ensure proper use by the supervisor level and transit security. Another key integration into the command and control center is the ability to run reports and alarms for invalid or improper request for access to critical areas by employees or contractors. Finally, proper integration into command and control should include the use of access control data to develop reporting and retrieval of video for incident review and muster logs. Video surveillance The single largest opportunity to protect our critical infrastructures into an integrated command and control center is video surveillance. A properly integrated video surveillance solution can offer the most cost-effective method for gathering information by helping manage the overwhelming amount of information in a transit environment. Once integration into the operating command and control center is established, continued design criteria is necessary to add intelligent layers to the video processing, so that only events defined as of interest or alarm events such as object left behind, object in the critical areas, or actionable alarms are selected out for immediate response from the remainder of the recorded video. Selection of the solutions to be integrated is based on the specific needs of each transit authority, their determined vulnerabilities and how they desire the system to be customized to meet their specific command and control needs. The following section addresses how these solutions are designed to integrate into the operations of the transit system. Lessons learned Security system solutions in the transit environment are not within the core competency of all security systems integrators. The real value a qualified integrator brings is in helping to present strengths and weaknesses, understanding both in product and design, technical expertise to integrate existing infrastructure and equipment when and where necessary, and to understand each transit entity s unique needs, along with the knowledge to configure the system to meet those needs. Scalability of solutions is based on meeting the immediate minimum requirements both in security needs as well as budget, with a long-term plan in mind. Selecting the right solutions ones that are modular enables a transit authority to meet current needs within budget as well as accommodate future needs, regardless of the size of the authority. 7

3. Design the Transit Security Solution Designing the transit security solution is perhaps the most intricate step in the process of integrating security into command and control operations. Not only is the work environment unique in that operations are nearly around the clock, but there is already a complete communications structure in place that must be kept intact as well as utilized. In order to meet the challenges of the environment, every step of the installation has to be designed before any installations even begin. For large security integration projects, this means thousands of hours of up-front engineering and surveying. The key factors that contribute to design work at this level are the following: Establish baseline criteria Rather than designing and installing to all of the wants of each of the transit entities, a baseline needs to be established. This not only makes the project more manageable, it results in the ability to obtain short-term benefits as well as cost efficiencies. A baseline system meets the common needs of all entities while using funding that is immediately available. And, at the same time, it provides the foundation for supplementing the system once additional funding is available and also for meeting future growth needs. Leverage current infrastructure to create affordability and scalability The advantage to implementing integrated security in the transit environment is that the communications infrastructure is typically very strong. This is true because it is necessary to support all of the functions of the transit operation command and control center, such as train control and information technology. The same communications infrastructure that is utilized for transit operations can be utilized for security system communications. The evaluation process must be so precise as to note such things as the number of wires and their types along with the existing infrastructure. With this information, the design team is able to leverage existing wiring and equipment resulting in a system that could leverage these for future expansion as well as provide a cost savings. Importantly, it is critical to engage a security provider early in the process in order to ensure effective use of existing infrastructure. Customize the solution In developing the baseline criteria, it is important to create a system that can accommodate features that customize the system to the transit entities needs using commercial off-the-shelf products wherever possible. That is the advantage of the design-build process. To correctly integrate the security function into the command and control center, it must work with the way the transit authority operates. For instance, in one transit authority project, emphasis was placed on the system interface at the command and control center. Security information can be very detailed, yet not everyone needs to see that level of detail. In this instance, the transit authority wanted an interface that would allow virtually anyone to view the information and immediately understand what the alarm was and how to act upon it with very little training. It was important for them to be able to route alarm information to anyone even if reacting to the information was not part of their primary responsibilities. ADT was able to design a solution that provided graphical alarm information, dropped onto detailed maps of the transit system to which the responders were already accustomed. Alarm information is presented through icons on the screen that could be clicked on for more detailed information and instructions understandable to even casual users. 8

Ensure redundancy and survivability Designing for redundancy is critical in the command and control operations for all transit systems. Redundancy allows for duplication of key elements in the electronic equipment to provide for alternative communication channels in case of failure or interruption. Such an environment may occur as a result of an act of terrorism or to other factors such as earthquakes, tornadoes, hurricanes or snowstorms. Redundancy within the command and control system means that alarm information will continue to be sent to appropriate parties even if the communication network is operating at less than designed capability. A large integration company that has been accepting this level of command and control within its own organization for many years is well positioned to support redundancy and the resulting survivability of the system, as its own monitoring business is based on this same model. Design in familiarity, ease of use One of the most effective ways to enhance acceptance of a newly integrated security solution into command and control is to have a system based on familiarity to current procedures. The benefit of delivering a system for an authority that utilizes the same maps that the emergency responders were already using makes for less retraining of responders. It also eliminates the need for transit personnel to relearn a different way of looking at their system. Fire devices can be visually shown as icons that can be clicked on for more information about the alarm as well as instructions. Both the mapping and the icon display make the system easier to use, which lessens training requirements. Lessons learned Upfront design work is the cornerstone of success for transit electronic security deployment. Review of existing drawings and plans of the transit system layout is important; however, timeline needs to include revisions to these documents to improve accuracy. Field surveys must provide precise, finely detailed information to enhance engineering s ability to design the most cost-effective, scalable solution with the customer s desired features. Transit operation continuity is critical during the design phase. All notes, surveys, photographs and drawings have to be done in ways as to not disrupt transit services. This demands a very organized approach to project coordination. This also requires very strict document control, which means some level of security designated by the authority as to who should have access to the design documents. Well-documented processes and procedures mean the ability to transfer knowledge to future projects. Existing wire, conduit and equipment may be able to be utilized for significant cost savings. The ability to add customized features can significantly improve acceptance by personnel as well as improve operability. 4. Coordinate Transit Operations and the System Installation Due to the nature of transit system operations, it is necessary to finalize design of the system prior to beginning any installation. Detailed drawings and pictures are created regarding existing infrastructure so that exact plans can be made as to what wiring is needed to be run, which components need to be installed and at what exact location. This level of planning is required in transit security installation. Planning and coordination are the most important elements for a successful installation in the transit environment. Equipment must be delivered on time, which may depend on an internal supply train. The equipment must be present before an installation can begin, and in order for the installer to work, the appropriate escorts need to be present. The schedule must be strictly adhered to in order to minimize any disruption of transit operations (no stopping the trains). Lessons learned Having at least one person (program manager) from both the systems integrator and the authority dedicated to the scheduling of equipment, installers and escorts is critical. 9

5. Plan for Ongoing Management and Integration of the System into the Total Transit Culture Integration of command, control and communication into the culture of a transit authority is an ongoing process requiring support from all levels of the authority, the board members, management, employees, contractors and the riders. By establishing a baseline for design, a system for accountability, expansion, modification and communication with managers, employees and riders will help continue to improve the security level of the entire system. Lessons learned In order to have a successful implementation of a complete command, control and communication center, all levels of the authority must be involved in the design and installation. In order to be easy for emergency responders re-use of as much of the existing plan as practical is necessary. In order to not create technological dead ends, the design must start with the total design, despite short-term budget restrictions. Conclusion The uniqueness of the transit environment makes understanding the issues discussed in this paper critical to building a smart, cost-effective command and control system. As an integral part of today s transit command and control system, electronic security deployment must meet the inclusive needs of operations, personnel and budget. Best practices and lessons learned indicate that a design-build approach is the most cost-effective solution when total cost of owning and operating the system is considered. In summary: The Transit environment is unique but the security equipment does not have to be, just the design. Funding is a challenge, so smart design and procurement are essential. Designing command, control and communications requires cultural changes within the authority. Proper evaluation, planning and communication are essential to a successful command control and communications center. This paper was prepared for presentation at the American Public Transportation Association s (APTA) 2005 Rail Transit Conference. APTA, its officers and employees are in no way responsible for the contents of this paper. For more information regarding the information contained in this paper or ADT s capabilities in the transit environment, call 1-866-865-4728. About ADT Security Services ADT Security Services, Inc., a business unit of Tyco Fire & Security, is the largest single provider of electronic security services to nearly six million commercial, government and residential customers throughout the United States. ADT s total security solutions include intrusion, fire protection, closed-circuit television, access control, critical condition monitoring and integrated systems. 10

License information available at www.adt.com or by calling 1-800-ADT-ASAP. 2009 ADT Security Services, Inc. ADT, the ADT logo and 1-800-ADT-ASAP are registered trademarks of ADT Services AG and are used under license. L7915-00