Summary
Terrorist incidents worldwide have highlighted the need for securing mass transit and passenger rail systems. The Department of Homeland Security's (DHS) Transportation Security Administration (TSA) is the primary federal entity responsible for securing these systems. GAO was asked to assess (1) the extent to which federal and industry stakeholders have assessed risks to these systems since 2004, and how TSA has used this information to inform its security strategy; (2) key actions federal and industry stakeholders have taken since 2004 and the extent to which federal actions are consistent with TSA's security strategy, and the challenges TSA faces in implementing them; and (3) TSA's reported status in implementing 9/11 Commission Act provisions for mass transit and passenger rail security. GAO reviewed documents including TSA's mass transit and passenger rail strategic plan, and interviewed federal officials and industry stakeholders from 30 systems and Amtrak--representing 75 percent of U.S. mass transit and passenger rail ridership.
Since 2004, federal and industry stakeholders have conducted assessments of individual elements of risk--threat, vulnerability and consequence--for mass transit and passenger rail systems and this information has informed TSA's security strategy; however, TSA has not combined information from these three elements to conduct a risk assessment of these transportation systems. By completing a risk assessment, TSA would have reasonable assurance that it is directing its resources toward the highest priority needs. Further, while TSA's mass transit and passenger rail security strategy contains some information, such as goals and objectives, that is consistent with GAO's prior work on characteristics of a successful national strategy, it could be strengthened by including performance measures to help TSA track progress in securing these systems, among other things. Federal and industry stakeholders have taken several key actions to strengthen the security of mass transit and passenger rail systems since 2004, and while federal actions have been generally consistent with TSA's security strategy, TSA faces coordination challenges, and opportunities exist to strengthen some programs. TSA has deployed surface inspectors to assess industry security programs and worked with DHS to develop security technologies, among other actions. Mass transit and passenger rail systems, including Amtrak, also reported taking actions to increase security, such as implementing passenger and baggage screening programs. Although TSA has taken steps to enhance its efforts, it can further strengthen security programs by, for example, expanding its efforts to obtain and share security technology information with industry. By improving information sharing with industry, TSA can help to ensure that its and industry's limited resources are used more productively to secure mass transit and passenger rail systems. As of March 2009, TSA reported implementing some of the 9/11 Commission Act provisions related to securing mass transit and passenger rail such as developing a strategy for securing transportation, but had missed deadlines, for example, for issuing new regulatory requirements for mass-transit and passenger-rail employee security training. In addition, TSA's progress reports that track its implementation of 9/11 Act provisions lack milestones to guide this effort as called for by project management best practices. Additionally, in some cases, TSA progress reports identify challenges to meeting 9/11 Act provisions, but these reports do not include a plan for addressing these challenges. Until TSA develops a plan with milestones, it will be difficult for TSA to provide reasonable assurance that the act's provisions are being implemented and that a plan is in place for overcoming challenges that arise. Additionally, officials from almost half of the mass transit and passenger rail systems GAO visited reported concerns with the potential costs and the feasibility of implementing pending employee security training requirements.
Recommendations
Our recommendations from this work are listed below with a Contact for more information. Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.
Director:
Team:
Phone:
Cathleen A. Berrick
Government Accountability Office: Homeland Security and Justice
(202) 512-3404
Recommendations for Executive Action
Recommendation: The Assistant Secretary for TSA should help ensure that the TSA is successfully prioritizing resources and collaborating with federal and industry stakeholders in implementing actions to secure the mass transit and passenger rail systems from acts of terrorism, and that its strategy is consistent with the characteristics of a successful national strategy. To help ensure that the federal strategy to secure the mass transit and passenger rail systems considers assessment information within the context of risk, TSA, as the sector-specific agency for mass transit and passenger rail, should conduct a risk assessment that integrates all three elements of risk--threat, vulnerability, and consequence. As part of this assessment, TSA should, to the extent feasible, fully leverage existing assessment information from its own sources as well as those provided by other federal and industry stakeholders, as appropriate, and use this information to inform its security strategy.
Agency Affected: Department of Homeland Security: Directorate of Border and Transportation Security: Transportation Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: The Assistant Secretary for TSA should help ensure that the TSA is successfully prioritizing resources and collaborating with federal and industry stakeholders in implementing actions to secure the mass transit and passenger rail systems from acts of terrorism, and that its strategy is consistent with the characteristics of a successful national strategy. To better achieve the security strategy laid out in its Mass Transit Modal Annex--TSA's security strategy for the mass transit and passenger rail systems--TSA should, to the extent feasible, incorporate into future updates of the Modal Annex the characteristics of a successful national strategy and the elements outlined in Executive Order 13416, including: (1) measuring the agency's and industry's performance in achieving the goals of preventing and deterring acts of terrorism and enhancing the resiliency of mass transit and passenger rail systems and (2) incorporating information on what the strategy will cost along with specifying the sources and types of resources and investments needed, and identifying where those resources and investments should be targeted.
Agency Affected: Department of Homeland Security: Directorate of Border and Transportation Security: Transportation Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: The Assistant Secretary for TSA should help ensure that the TSA is successfully prioritizing resources and collaborating with federal and industry stakeholders in implementing actions to secure the mass transit and passenger rail systems from acts of terrorism, and that its strategy is consistent with the characteristics of a successful national strategy. To help ensure that DHS security technology research and development efforts reflect the security technology needs of the nation's mass transit and passenger rail systems, TSA should expand its outreach to the mass transit and passenger rail industry in the planning and selection of related security technology research and development projects.
Agency Affected: Department of Homeland Security: Directorate of Border and Transportation Security: Transportation Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: The Assistant Secretary for TSA should help ensure that the TSA is successfully prioritizing resources and collaborating with federal and industry stakeholders in implementing actions to secure the mass transit and passenger rail systems from acts of terrorism, and that its strategy is consistent with the characteristics of a successful national strategy. To meet the needs of mass transit and passenger rail agencies regarding information on available security technologies, TSA should explore the feasibility of expanding the security technology product information on the Public Transit Portal of the Homeland Security Information Network, and consider including information such as product performance in a rail or bus venue, cost, maintenance needs, and other information to support mass transit and passenger rail agencies purchasing and deploying new security technologies.
Agency Affected: Department of Homeland Security: Directorate of Border and Transportation Security: Transportation Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: The Assistant Secretary for TSA should help ensure that the TSA is successfully prioritizing resources and collaborating with federal and industry stakeholders in implementing actions to secure the mass transit and passenger rail systems from acts of terrorism, and that its strategy is consistent with the characteristics of a successful national strategy. To better ensure that DHS consistently funds sound and valid security training delivery programs for mass transit and passenger rail employees, TSA should consider enhancing its criteria for evaluating whether security training vendors meet the performance standards of federally sponsored training providers and whether the criteria could be used by transit agencies for training under the transit security grant program. As part of this effort, TSA should consider coordinating with other federal agencies that have developed criteria for similar programs, such as the Federal Transit Administration.
Agency Affected: Department of Homeland Security: Directorate of Border and Transportation Security: Transportation Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: The Assistant Secretary for TSA should help ensure that the TSA is successfully prioritizing resources and collaborating with federal and industry stakeholders in implementing actions to secure the mass transit and passenger rail systems from acts of terrorism, and that its strategy is consistent with the characteristics of a successful national strategy. To better ensure DHS's ability to satisfy the provisions of the 9/11 Commission Act related to mass transit and passenger rail, DHS should develop a plan with milestones for implementing provisions of the 9/11 Commission Act related to mass transit and passenger rail security.
Agency Affected: Department of Homeland Security: Directorate of Border and Transportation Security: Transportation Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
