12/12/2012 1 Kentucky Surface Field Office Student Transportation Association of Kentucky (S.T.A.K.) 10 July 2019

TSA Surface Compliance Branch-Kentucky Field Office Introduction TSA Surface Compliance Branch-Kentucky Field Office Nine inspectors-duties include Title 49 federal regulatory compliance/enforcement and non-regulatory assessment, tabletop exercises, briefings/ trainings. Area of Responsibility (AOR)- The State of Kentucky, Southern Indiana and Southwest Ohio. MTSA of 2002 and SAFE Port Act of 2006 Delineates requirement for a card, but not specifically TWIC USCG responsible to write regulations for enforcement TSA responsible for writing regulations for issue and administration of program First enrollments in Oct 2007 All facilities compliant with requirements by 15 Apr 2009 All mariners and maritime workers are vetted through TWIC process Originally, mariners with appropriate Merchant Mariner identification not required to obtain TWIC STA is conducted by OLE FAMS Temporary Disqualifiers – Same requirements for conviction within seven years, or within five years of application No TWIC for ten years Unlawful use, sale, manufacture, purchase, distribution, receipt, transfer, shipping, transporting, delivery, import, export of or dealing in firearm or other weapon Extortion Dishonesty, fraud, or misrepresentation, including identity fraud and money laundering. Welfare fraud and passing bad checks don’t count Bribery Smuggling Immigration violations Distribution of, possession with intent to distribute or importation of controlled substance Arson Kidnapping or hostage taking Rape or aggravated sexual assault Robbery Fraudulent entry into a seaport RICO violations other than in a(10) Conspiracy or attempt to commit crimes in (b)

Core Mission Regulatory Inspections - 49CFR1580 Freight and Passenger Rail/Chemical Shippers and Receivers of rail security- sensitive materials (RSSM) /49CFR1570 and 72, Transportation Worker Identification Credential (TWIC) Baseline Assessment of Security Enhancements (BASE), Risk Mitigation Activity Surface Transportation (RMAST), Tabletop Development Assist and Exercise Information System (EXIS), Small Scale Tabletop Exercise (SSTX), Security Enhancement through Assessment (SETA) MTSA of 2002 and SAFE Port Act of 2006 Delineates requirement for a card, but not specifically TWIC USCG responsible to write regulations for enforcement TSA responsible for writing regulations for issue and administration of program First enrollments in Oct 2007 All facilities compliant with requirements by 15 Apr 2009 All mariners and maritime workers are vetted through TWIC process Originally, mariners with appropriate Merchant Mariner identification not required to obtain TWIC STA is conducted by OLE FAMS Temporary Disqualifiers – Same requirements for conviction within seven years, or within five years of application No TWIC for ten years Unlawful use, sale, manufacture, purchase, distribution, receipt, transfer, shipping, transporting, delivery, import, export of or dealing in firearm or other weapon Extortion Dishonesty, fraud, or misrepresentation, including identity fraud and money laundering. Welfare fraud and passing bad checks don’t count Bribery Smuggling Immigration violations Distribution of, possession with intent to distribute or importation of controlled substance Arson Kidnapping or hostage taking Rape or aggravated sexual assault Robbery Fraudulent entry into a seaport RICO violations other than in a(10) Conspiracy or attempt to commit crimes in (b)

Partnerships Department of Homeland Security United States Secret Service Cybersecurity and Infrastructure Security Agency Department of Transportation Federal Bureau of Investigations United States Coast Guard ODOT and KYDOT Greater Cincinnati Fusion Center Kentucky Fusion Center Local State and County Police for Ohio, Indiana, and Kentucky Kentucky Centers for School Safety

School District BASE Designed for highway based transportation (school bus, trucking, over the road bus). Review of security plans to assess the system security posture in relation to 20 Security and Emergency Preparedness Action Items (SAI) developed by DHS, TSA and industry. Produces executive summary of all items with options for consideration.

Targeted BASE Designed as a follow-up BASE in mass transit or highway, TSA/stakeholder partnership to enhance and produce an improved security plan. Stakeholder/TSA identify specific areas of existing security plan to work on and develop an approach to security sound planning and implementation using existing resources and responsible tracking.

Risk Mitigation Activities in Surface Transportation RMAST Stakeholder Briefing Designed and facilitated by TSA surface inspectors. Delivered to your transportation group employees at the location of your choice. Time required varies depending on subject module chosen and stakeholder needs.

RMAST Training Modules Security Awareness - suspicious behavior and action, ways to break the chain Active Shooter - tactics to survive, mitigate chance of injury or prevent further casualties Improvised Explosive Device (IED) - construction, recognition, mitigation and effects of explosion Cybersecurity - five simple ways to deter

What Is First Observer Plus? First Observer Plus is a Department of Homeland Security program, administered by the Transportation Security Administration (TSA) to promote surface transportation security within the United States by training transportation professionals to Observe, Assess, and Report potential terrorist activity. America’s surface transportation industry is a highly integrated system. This extensive and inter-connected surface transportation system presents a well-suited opportunity for terrorist activity without effective interventions.   The Mission of the First Observer Plus Program is to provide transportation professionals with the knowledge needed to recognize suspicious activity possibly related to terrorism, guidance in assessing what they see, and a method for reporting those observations. The goal is to assist in protecting the public while also promoting the security of critical infrastructure within the United States. First Observer Plus is a Department of Homeland Security program, administered by the Transportation Security Administration (TSA) to promote surface transportation security within the United States by training transportation professionals to Observe, Assess, and Report potential terrorist activity. Using the First Observer Plus program model, you will be enabled to Observe, Assess, and Report suspicious activity to help protect our nation’s critical infrastructure. The sheer number of transportation professionals within the industry who may be trained on identifying suspicious behavior represents a powerful force for good. With this effort, we will eventually have hundreds of thousands of us using our eyes and ears as instruments to Observe, Assess, and Report suspicious activities we see during the regular course of our daily professional duties. Through this collective focus, we in America can make a difference. PROGRAM MISSION: To provide transportation professionals with the knowledge needed to recognize suspicious activity possibly related to terrorism, guidance in assessing what they see, and a method for reporting those observations.

Exercise Information System (EXIS) Stakeholder focused, discussion based transportation security exercise to identify vulnerabilities and offer options for consideration.

EXIS EXIS is designed to examine a surface partner’s implementation of policies of: Prevention, Protection, Mitigation, Response, and Recovery from a major security incident. EXIS exercises are discussion based allowing for an in-depth exploration of security plans policies and procedures. Large or Small Tabletops are available. Kentucky surface inspectors will work with security partners to develop, implement, evaluate, and present options for consideration for security improvements.

Security Enhancement Through Assessment (SETA) SETA is voluntary and designed to meet the security needs of industry partners by Identifying, Assessing, Mitigating, Reassessing and Sustaining improved security posture. Three main types of SETA activities are security inspections: Pre-Trip In-Service Post-Trip

Todd Hershey, Inspector Michael Schulten, Inspector TSA Contacts Kentucky Surface Mailbox KYSurface@tsa.dhs.gov Todd Hershey, Inspector Michael Schulten, Inspector 859-488-0607 502-413-0912 Todd.Hershey@tsa.dhs.gov Michael.Schulten@tsa.dhs.gov