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

2. 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)

3. 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)

4. 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

5. 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.

6. 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.

7. 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.

8. 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

9. 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.

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

11. 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.

12. 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

13. Todd Hershey, Inspector Michael Schulten, Inspector
TSA Contacts
Kentucky Surface Mailbox
Todd Hershey, Inspector
Michael Schulten, Inspector