TBD Standard IST Question Set - collection instruments

STANDARD SURVEY

When you only have core data elements, such as an address, in the notebook:
•

The information within the Notebook is sensitive and should be safeguarded as For Official Use
Only (FOUO). It should not be released to an unauthorized individual. It may enjoy some
disclosure protections. Any disclosure penalties will be handled at the FOUO level. No
submission identification number is needed on the Cover Sheet.

This document is not Protected Critical Infrastructure Information (PCII) until writing occurs:
•

Once you start writing in this notebook, please tear off this page to reveal the PCII Cover Sheet.
Thank you.

When you have answered some of the security-related questions, but not all of the parent questions
(topic-initiating questions):
•

PCII disclosure protections, dissemination restrictions, and safeguarding principles will apply to
this information, but the assessment is still considered incomplete, and a “ draft”. Disclosure
penalties would not be enforced. No submission identification number is needed on the Cover
Sheet.

•

Expiration of Incomplete Assessments Remaining On Notebook: The assessor is encouraged to
manually delete incomplete or working assessments remaining in the notebook that reach a 90day timeline, starting from the time core data elements are pre-populated into the notebook.

After online data entry is complete, or after Builder upload (with data check) is complete:
•

Please shred this notebook. Thank you.

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OMB Control Number: 1670-NEW
Expiration Date: XX/XX/XXXX
Privacy Act Statement:
Authority: 44 U.S.C. § 3101 and 44 U.S.C. § 3534 authorize the collection of this information.
Purpose: DHS will use this information to create and manage your user account and grant access to the Infrastructure Protection (IP) Gateway.
Routine Use: This information may be disclosed as generally permitted under 5 U.S.C. § 552a(b) of the Privacy Act of 1974. This includes using the
information, as necessary and authorized by the routine uses published in DHS/ALL-004 - General Information Technology Access Account Records System
(GITAARS) November 27, 2012, 77 Fed. Reg. 70,792.
Disclosure: Furnishing this information is voluntary; however failure to provide the information requested may delay or prevent DHS from processing your
access request.
Paperwork Reduction Act: The public reporting burden to complete this information collection is estimated at 7.5 hours per response, including the time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and the completing and reviewing the collected
information. An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid
OMB control number and expiration date. Send comments regarding this burden estimate or any other aspect of this collection of information, including
suggestions for reducing this burden to DHS/NPPD/IICD, Kimberly Sass, Kimberly.sass@hq.dhs.gov ATTN: PRA [OMB Control Number 1670-New].

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Requirements for Use

N o n d i s c l o s u r e
This document contains Protected Critical Infrastructure Information (PCII). In accordance with the provisions of 6 CFR Part 29, this
document is exempt from release under the Freedom of Information Act (5 U.S.C. 552(b)(3)) and similar laws requiring public disclosure.
Unauthorized release may result in criminal and administrative penalties. This document is to be safeguarded and disseminated in
accordance with the CII Act and the PCII Program requirements.

By reviewing this cover sheet and accepting the attached PCII you are agreeing not to disclose it to other individuals
without following the access requirements and to abide by the guidance contained herein. Your acceptance provides
immediate access only to the attached PCII.

Individuals eligible to access the attached PCII must be Federal, State or local government employees or contractors and must meet
the following requirements:

Handling

Assigned to homeland security duties related to this critical infrastructure; and Demonstrate a valid need-to-know.
The recipient must comply with the requirements stated in the CII Act and the Regulation.

Storage: When not in your possession, store in a secure environment such as in a locked desk drawer or locked container. Do not
leave this document unattended.
Transmission: You may transmit PCII by the following means to an eligible individual who meets the access requirements listed
above. In all cases, the recipient must accept the terms of the Non-Disclosure Agreement before being given access to PCII.
Hand Delivery: Authorized individuals may hand carry material as long as access to the material is controlled while in transit.
E-mail: Encryption should be used. However, when this is impractical or unavailable you may transmit PCII over regular e-mail
channels. If encryption is not available, send PCII as a password protected attachment and provide the password under separate
cover. Do not send PCII to personal, non-employment related e-mail accounts. Whenever the recipient forwards or
disseminates PCII via e-mail, place that information in an attachment.
Mail: USPS First Class mail or commercial equivalent. Place in an opaque envelope or container, sufficiently sealed to prevent
inadvertent opening and to show evidence of tampering, and then placed in a second envelope that has no marking on it to
identify the contents as PCII. Envelope or container must bear the complete name and address of the sender and addressee.
Envelope will have no outer markings that indicate the contents are PCII and must bear the following below the return address:
"POSTMASTER: DO NOT FORWARD. RETURN TO SENDER." Adhere to the aforementioned requirements for interoffice mail.
Fax: You are encouraged, but not required, to use a secure fax. When sending via non-secure fax, coordinate with the recipient to
ensure that the faxed materials will not be left unattended or subjected to unauthorized disclosure on the receiving end.
Telephone: You are encouraged to use a Secure Telephone Unit/Equipment. Use cellular phones only in exigent circumstances.
Reproduction: Ensure that a copy of this sheet is the first page of all reproductions containing PCII. Clear copy machine
malfunctions and ensure all paper paths are checked for PCII. Destroy all unusable pages immediately.
Destruction: Destroy (i.e., shred or burn) this document when no longer needed. For laptops or CPUs, delete file and empty recycle
bin.

Sanitized
Products

•
•

You may use PCII to create a work product. The product must not reveal any information that:
• Is proprietary, business sensitive, or trade secret;
• Relates specifically to, or identifies the submitting person or entity (explicitly or implicitly); and
• Is otherwise not appropriately in the public domain.

Derivative
Products

Access

If you have not completed PCII user training, you are required to send a request to pcii-assist@dhs.gov within 30 days
of receipt of this information. You will receive an e-mail containing the PCII user training. Follow the instructions
included in the e-mail.

Mark any newly created document containing PCII with "Protected Critical Infrastructure Information" on the top and bottom of
each page that contains PCII. Mark "(PCII)" beside each paragraph containing PCII. Place a copy of this page over all newly
created documents containing PCII. The PCII Tracking Number(s) of the source document(s) must be included on the
derivatively created document in the form of an endnote.
For more information about derivative products, see the PCII Work Products Guide or speak with your PCII Officer.

Su b m iss io n Id en tif icat io n Nu m b e r:

PROTECTED CRITICAL INFRASTRUCTURE INFORMATION

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TABLE OF CONTENTS
GENERAL ................................................................................................................................................................ 7
FACILITY INFORMATION ........................................................................................................................................ 9
FACILITY POC AND VISIT PARTICIPANTS ............................................................................................................... 15
SIGNIFICANT ASSET(S) AND AREA(S) .................................................................................................................... 17
FIRST PREVENTERS/RESPONDERS ........................................................................................................................ 21
CONSEQUENCES .................................................................................................................................................. 25
NATURAL HAZARDS ............................................................................................................................................. 33
INFORMATION SHARING ..................................................................................................................................... 42
SECURITY ACTIVITY HISTORY AND BACKGROUND................................................................................................ 51
SECURITY MANAGEMENT PROFILE ...................................................................................................................... 57
RESILIENCE MANAGEMENT PROFILE .................................................................................................................... 69
BUSINESS CONTINUITY PLAN ...........................................................................................................................................71
ALTERNATE SITE ...........................................................................................................................................................79
EMERGENCY OPERATION / EMERGENCY ACTION PLAN .........................................................................................................83
INCIDENT MANAGEMENT AND COMMAND CENTER (IMCC) .................................................................................................91
SECURITY FORCE PROFILE .................................................................................................................................... 95
PERIMETER SECURITY ........................................................................................................................................ 105
ENTRY CONTROLS .............................................................................................................................................. 119
PARKING/DELIVERY/STANDOFF ......................................................................................................................... 141
BARRIERS ........................................................................................................................................................... 149
BUILDING ENVELOPE ......................................................................................................................................... 153
ELECTRONIC SECURITY SYSTEMS ........................................................................................................................ 165
INTRUSTION DETECTION SYSTEMS (IDS) .........................................................................................................................165
CLOSED CIRCUIT TELEVISION (CCTV) .............................................................................................................................177
ILLUMINATION................................................................................................................................................... 183
DEPENDENCIES .................................................................................................................................................. 190
DEPENDENCIES – ELECTRIC POWER ................................................................................................................................193
DEPENDENCIES – NATURAL GAS ....................................................................................................................................205
DEPENDENCIES – WATER .............................................................................................................................................213
DEPENDENCIES – WASTEWATER ....................................................................................................................................221
DEPENDENCIES – COMMUNICATIONS .............................................................................................................................231
DEPENDENCIES – INFORMATION TECHNOLOGY .................................................................................................................239
DEPENDENCIES – TRANSPORTATION ...............................................................................................................................259
DEPENDENCIES – CRITICAL PRODUCTS ............................................................................................................................281
COMMENDABLES ............................................................................................................................................... 298
VULNERABILITIES AND OPTIONS FOR CONSIDERATION ..................................................................................... 300
POTENTIAL ADDITIONAL DHS PRODUCTS .......................................................................................................... 302

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GENERAL
What is a facility?
A basic question throughout the survey will be, “What is the ‘facility’.” For instance:
• A tall commercial building assigned to the commercial sector is the named asset; the whole
building is the facility.
• A securities transfer company, assigned to the banking and finance sector, located on Floors 1320 of a tall commercial building, is the named asset; only Floors 13-20 are the facility, with the
building access controls, if any, attributable as the perimeter controls for the facility and the
building utilities as the dependencies for the securities transfer company facility.
• A BSL-4 laboratory, assigned to the public health sector and located on a college campus is the
named asset; only the building housing the BSL-4 laboratory is the facility.
As a general rule, any part of the question set that talks about a plan or the area in general is assumed to
be the same at the SAA's. It would be unusual to have a different security plan or business continuity plan
for an S AA verses the facility. However, the sections that refer to the specific physical security (e.g.,
fences, gates, illumination, barriers) may be different between the facility and a given SAA. In the IST
process, if there is a difference between the facility level physical security and the SAA physical security,
the weaker of the processes should be selected. In the SAV, the differences can be identified by selecting
the SAA and then marking the specific physical security elements related to that SAA.
One exception is that for public venues (e.g., stadiums, arenas and theaters) the survey should be
completed as if it is “game day” or “event day”. Since the threat to these types of facilities is due to the
crowds in attendance, it is proper to complete the survey for the weakest protective measures for the
facility when it is full of people (with a few exceptions outlined in the appropriate section). The primary
focus should be the main or primary event that occurs at that facility that generates the largest crowd or
most interest.
Significant Areas or Assets
Once the definition of the facility has been determined, then significant areas or assets of concern (SAAs)
can be designated. For instance:
• The main lodging building in a large resort asset that covers 100s of acres.
• The HVAC system intakes, and lobby in a tall commercial building asset.
• In a BSL-4 laboratory asset, the clean room, and agent storage refrigerators.
In certain sections, if the answers apply to one or more SAAs, please so indicate in the appropriate
question. If the answers are for the facility in general, do not select any specific SAAs.
The multiple selection questions throughout the IST have been arranged such that typically the weakest
selection is the last selection in the list.
COMMENTS AND BRIEFING NOTES
Blank areas have been provided for general comments. Consider briefing notes internal use only and
comments will be available to all external users. Comment areas are for any comments that may be
useful in QA or to explain a checkbox answer more fully. Briefing note areas are for short bullets that the
outbriefer can use to quickly assemble the outbriefing and should only contain something that would be
outbriefed to the facility.

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Facility Information
Facility Name
Other facility
names/Aliases

Site Alias:

Visit Date(s)

Start Date:
End Date:
Resident PSA
Non-resident PSA
Name:

Who completed the
IST?

National Guard SAV Team
Team:
Other (e.g., SME)
Name:

Street Address, (City,
County, State, ZIP
Code, Country)
Congressional District
Latitude/Longitude
(Decimal format
preferred.)

Visit Motivation
(Check all that apply)

Why is this facility
important to another
PSA?
Why was this facility
identified for an SAV?
How was the interview
conducted?

Latitude:
Longitude:
ECIP/IST
SAV
RRAP
Facility Request
Law Enforcement Request
Direct Threats/Suspicious Incidents
Identify:
Special Event
Name of Event:
Other
Identify:
Explain:

Explain:

Interview Only
Partial site orientation
Full site orientation

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FACILITY INFORMATION
Who completed the IST?
This question captures when an IST is conducted by someone with responsibility for the facility but who is
not the Resident PSA. This may occur during an RRAP or special regional/system/cluster assessment
when the Resident PSA may be assisted by Non-Resident PSAs or when the IST is generated from data
gathered during an SAV. In the case of an SAV, select Other.
Why is this facility important to another PSA? For an SAV, Why was this facility selected for an
SAV?
These questions should be answered by the PSA for capturing the importance of this facility or critical
infrastructure.
Of all the questions within the IST, this one should probably have the most thought put into it. Try to
answer this question with something other than what has been filled in for site description. You can read
everything about market share or purpose of the site, but what would you really need to know about this
facility if you had never been there. Try to put the facility and related information in context so that a
reader fully understands why you visited the site, how it fits into the region or area and why it is important,
or in some cases, not so important. Provide insight and comment as to why this facility was even visited.
This information will be available to all viewers of the IST and will have particular interest to a PSA from
outside the area who is supporting an event or filling in for another PSA.
Good answers may address:
• Past interactions with law enforcement that causes them to think they would require special
consideration during an incident or event.
• What is important, why it is important, how the facility or system interconnects to other facilities
and systems, who is important to know at the faculty and if an event should occur in the region or
at the facility, when does the facility or system become so important that DHS HQ needs to know
about it.
• Notes if the facility has some symbolic/psychological importance (e.g., religious affiliation, political
affiliation, unique personnel, or children or other high-profile occupants).
Poor answer is:
• To repeat that the facility is a l arge commercial building or the road / bridge carries a l arge
amount of traffic.

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Facility Information
General Facility Description:

Describe:

Approximate size:
acres or
square footage
Tallest occupied structure:
stories or
feet
What are the operating hours of this
facility?

24 / 7 / 365
24 / 7 / closed for some days during the year
24 / less than 7 days a week
Less than 24 hours a day, 7 days per week
Less than 24 hours a d ay, less than 7 d ays per
week
Only for special events 180 days or more per year
Only for special events less than 180 days per year

Are you aware of the DHS "See Something
Say Something" campaign?

No (If No, PSA should provide flyer or information
on program)
Yes (If Yes, select all that apply)
Aware of program, but no action taken
Aware of program, but no materials available or
provided
See Something Say Something materials are
posted within the facility (select all that apply)
Flyers
Posters
PA Announcements
Daily, weekly or monthly email message
Suspicious activity has been reported at this
facility directly due to See Something Say
Something campaign
Employees have stated that there is a
heightened sense of security awareness due t o
See Something Say Something campaign

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General Facility Description
This section is to give a gener al overview of the facility. Think of how you would describe an aerial
photograph or map of the facility.
• How big is the facility – total acreage or square footage
• Is it a complex or simple facility – total number of buildings or other structures – a facility with one
building or a f acility with 30 buildings/structures? Structures are non-buildings such as process
units (e.g., storage tanks, process towers, large antenna/dishes).
• Are the buildings large or small –if there are multiple buildings, include the approximate square
footage of the largest building in the square footage block and then give short descriptions and
sizes of each of the main buildings with the approximate square footage.
• Is the building subject to certain types of attack – the tallest (highest) structure on the site and the
deepest structure (below ground basements, but not piping)?
• Developed (e.g., buildings, parking lots) or undeveloped (e.g., no structures or paving).

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Facility Information
Are you aware of the PS-Prep™
certification program?

No

Does your facility use some standard to
guide your risk management activities?

Do not utilize any type of standard

Yes (If Yes, select all that apply)
Aware of program, but no plan to obtain
certification
Aware of program, and plan to obtain
certification
Aware of program, and have already obtained
certification

Aware of standards, but do not currently use
Aware of and use standards
Which standards do you use?
ISO 22301
ISO 31000
ANSI/ASIS SPC. 1-2009
NFPA 1600
BSI 25999
Other _________

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In 2007, Congress directed the Department of Homeland Security (DHS) to establish and implement the
voluntary private sector preparedness accreditation and certification program (PS-Prep). The result of this
directive, PS-Prep™, is designed to improve the preparedness of private sector and not -profit
organizations through conformance to consensus-based preparedness standards and best practices. PSPrep™ will enable organizations to identify and implement the necessary steps for instituting and
maintaining a c omprehensive management system that addresses business continuity, organizational
resilience, emergency and disaster management. In addition, DHS will provide recognition for those
entities, which certify to the adopted preparedness standards. PS-Prep™ is a voluntary program, primarily
serving as a resource for private and non-profit entities interested in instituting a comprehensive business
continuity management system. Incorporating three industry standards, PS-Prep™ offers organizations
the opportunity to develop and maintain certification to nationally recognized and respected approaches
to resilience and preparedness.
See, http://www.fema.gov/ps-preptm-voluntary-private-sector-preparedness
ISO 22301:2012 specifies requirements to plan, establish, implement, operate, monitor, review, maintain
and continually improve a documented management system to protect against, reduce the likelihood of
occurrence, prepare for, respond to, and recover from disruptive incidents when they arise.
See, http://www.iso.org/iso/catalogue_detail?csnumber=50038
ISO 31000:2009 provides principles and generic guidelines on risk management. ISO 31000:2009 can be
applied to any type of risk, whatever its nature, whether having positive or negative consequences.
Although ISO 31000:2009 provides generic guidelines, it is not intended to promote uniformity of risk
management across organizations. The design and implementation of risk management plans and
frameworks will need to take into account the varying needs of a s pecific organization, its particular
objectives, context, structure, operations, processes, functions, projects, products, services, or assets and
specific practices employed.
See, http://www.iso.org/iso/catalogue_detail?csnumber=43170
ASIS SPC. 1-2009 - Organizational Resilience: Security, Preparedness, and Continuity Management
Systems – Requirements with Guidance for Use. This management system standard has applicability in
the private, not-for-profit, non-governmental and public sector environments. It is a m anagement
framework for action planning and decision making needed to anticipate, prevent if possible, and prepare
for and respond to a d isruptive incident (emergency, crisis, or disaster). It enhances an organiztion’s
capacity to manage and survive the event, and take all appropriate actions to help ensure the
organization’s continued viability. The body of the document provides generic auditable criteria to
establish check, maintain, and i mprove a m anagement system to enhance prevention, preparedness
(readiness), mitigation, response, continuity, and recovery from disruptive incidents.
See, www.asisonline.org/guidelines/ASIS_SPC.1-2009_Item_No._1842.pdf
National Fire Protection Association (NFPA) 1600 - Standard on Disaster/Emergency Management and
Business Continuity Programs. This standard provides disaster and emergency management and
business continuity programs, the criteria to assess current programs or to develop, implement, and
maintain aspects for prevention, mitigation, preparation, response, and recovery from emergencies.
See, http://www.nfpa.org/assets/files/pdf/nfpa16002010.pdf
BSI 25999 - Business Continuity. This standard is designed to keep business going during the most
challenging and unexpected circumstances protecting staff, preserving reputation and providing the ability
to continue to operate and trade. This standard has been replaced by ISO22301.
See, www.bsiamerica.com/en-us/Assessment-and-Certification-Services/Managementsystems/Standards-and-Schemes/BS-25999/

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Primary Facility Contact
First Name
Last Name
Title
Company / Agency
Office:
Phone

Cell:
Other:

24 Hour Contact
Email
Dashboard recipient
Participated in site visit
Owner Operator Contact (may be different than facility POC)
Same as Primary Facility POC
First Name
Last Name
Title
Company / Agency
Office:
Phone

Cell:
Other:

Email
Dashboard recipient
Participated in site visit
Other Facility Contacts, Visit Participant , First Responders (replicate as needed)
First Name
Last Name
Company / Agency
Title / Position
Office:
Phone

Cell:
Other:

Email
Participated in site visit

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FACILITY POC AND VISIT PARTICIPANTS
Include a single facility POC. Typically this may also be the primary POC for the company and the 24
hour contact and the person that will receive the dashboard. On occasion, the facility POC will not be be
the owner / operator.
Under other facility POC and visit participants, list all persons contacted during the visit or provided by the
owner. This includes any first responders. If the person participated in the site visit select the box
indicating participated in visit.
Facility contact that should receive primary access to the Infrastructure Survey Dashboard
Please identify the individual that will the primary user of the dashboard; if applicable, please select the
individual that has signed the E&C. This user will be able to create additional users for the site. If this is
an SAV, this individual will also receive the SAV report through the Infrastructure Survey Dashboard.
Other Facility Contacts, Visit Participant , First Responders
Please provide contact information concerning all people that participated to the visit as well as the first
preventers/responders. For the first preventers/responders, provide at a minimum the contact information
concerning Law Enforcement Agency, Fire Response Agency, and Emergency Medical Response.

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Significant Area(s) and Asset(s) (replicate as needed)
SAA Name/POC
SAA Name:
POC (if different from Facility):
Name:
Email:
Cell Phone:
Office Phone:
Description/Function
Type of SAA [check Sector SAA list]
Describe SAA:

Describe Function:

Location
Street Address (if significantly different from
Facility)
Lat:

/ Long:

(Degrees, Mins, Secs.)

Consequence of Loss
If this SAA is lost (without considering any backup or
alternative mode), how soon would the facility be
severely impacted (e.g., resulting in an unacceptable
loss of business function):
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
If this SAA is lost (without considering any backup
or alternative mode), what percentage of normal
business functions are lost or degraded:
1-33%
34-66%
67-99%
100%
If this SAA is lost, is there a backup or an alternative
mode?
No
Yes
Describe:
If this SAA is lost and any backup or alternative
mode is employed, what percentage of normal
business functions are lost or degraded:
None
1-33%
34-66%
67-99%
100%
Duration of backup:
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)

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SIGNIFICANT ASSET(S) AND AREA(S)
A Significant Asset / Area is:
• Something critical to operation/function of the facility
• Something critical to the physical vulnerability of the facility
• An aspect about the facility that may be important to intelligence or risk assessment analysis for
this type of facility
Critical to Physical Vulnerability
• Access Protective Measures
• Avenues of Approach
• Security Presence
• Recognizability
• Drop-off points
Important Characteristic
• Areas where special events take place or people gather
A Significant Asset/Area is NOT:
• A component already captured in the Dependencies section (e.g., emergency generators or water
connections)
• People or buildings while occupied. The exception is a pub lic venue such as an NFL stadium,
NASCAR track or other large public venue, such as a c onvention center which should be
assessed as “event day” since at other times it is less attractive as a target. It is understood that
many of these facilities operate year round (like a college stadium) or have many different events
like arenas that host different concerts. For NFL, NASCAR, NCAA type events, select the main
event. For concerts, convention centers, select the most common. For reference see HELP on
Suggested Significant Assets.
HINT: If the SAA is damaged, lost, stolen, destroyed, broken, flooded, blown into another county, or is
otherwise not available, not usable, or not operational and there is no discernible impact to the facility or
the function of the facility, then the asset might not be an SAA.
If this SAA is lost (without considering any backup or alternative mode), how soon would the
facility be severely impacted (e.g., resulting in an unacceptable loss of business function):
This is different from the consequence of loss of a dependency (e.g., loss of electric power or water
service). It is the loss of an S AA. This question captures the impact of the impact of the worst case
scenario: the fact that the SAA is lost and no alternate can be used.
If this SAA is lost (without considering any backup or alternative mode), what percentage of
normal business functions are lost or degraded:
This is different from the consequence of loss of a dependency (e.g., loss of electric power or water
service). It is the loss of an S AA. This question captures the impact of the impact of the worst case
scenario: the fact that the SAA is lost and no alternate can be used.

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Significant Area(s) and Asset(s) (replicate as needed)
If this SAA is lost, how long would it take to replace
the SAA and return to full operations?
hours (enter the number of hours) OR
days (enter the number of days) OR
months (enter the number of months)
Does the facility require specialized materials,
transport, and/or personnel to recover full
operations?
No
Yes
Describe:
If yes, does the facility have immediate access to
such specialized materials, transport, personnel
required to recover full operations?
No
Yes
Describe:

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If this SAA is lost, how long would it take to replace the SAA and return to full operations?
This is different than the consequence of loss of a depe ndency (e.g., loss of electric power or water
service). It is the loss of an SAA. The replacement can be through the repair or reconstruction of the SAA
or through the use of a temporary or permanent replacement process that provides the same capability.
Does the facility require specialized materials, transport, and/or personnel to recover full
operations?
This would include such things as specialized parts such as unique transformers or pumps, specialized
transport such as the large flatbed rail carriers needed for the very large transformers or barges for large
equipment, and specialized teams over and above normal employee. Some key elements include
extremely long lead time (3-6 months), or unique manufacturing that requires extensive design or it is a
"one of" type part that is made to order on demand. If something has to be ordered and will be on the
delivery truck and on its way the next day that is typically not the specialized material that is intended. It is
understood that almost every sector has some specialized equipment, but the key element here is the
delivery, manufacture, and time to install is of such extensive time and effort that there is a business
impact that is challenging to respond to. In isolated cases there are only select individuals or teams of
people that can fix or repair a particular "thing". Again the key element is long lead time, special skill or a
skill that is very rare. "Calling the repair guy" or contracting the IT person is normally not considered
specialized personnel for this definition.
If yes, does the facility have immediate access to such specialized materials, transport, personnel
required to recover full operations?
The facility has spare parts close, onsite, or within 24 hours. If specialized transport is required it is
immediately available and in full control of the facility.

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First Preventers/Responders Interaction (only primary agency required)
Law Enforcement
Agency
Service provided
by Agency or
supporting
agency (Check all
that apply):

Law Enforcement
SWAT or Tactical Team
Bomb Squad
Maritime support
Air support
Other:
Describe:

Is there a written
MOU/MOA with
this first
responder [not
just 911]?

No
Yes

Have there been
onsite visit(s)
with this first
responder?

No
Yes

Is there
Interoperable
Communication
with this first
responder [not
911]?

No
Yes
Describe:

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FIRST PREVENTERS/RESPONDERS
The questions for First Preventers/Responders are asked for each agency listed. Information concerning
offsite capabilities must be collected for the following:
• Primary Law enforcement Agency,
• Primary Fire Response Agency, and
• Primary Emergency medical Response Agency.
The intent here is to capture the public-private partnership between the facility and first responders such
as if the first responders are familiar with facility configuration and processes. As mentioned in the BCI
Good Practice Guidelines (2010), an organization should be f amiliar with the procedures of the local
emergency responders, and c ontact with these groups in advance may provide useful information to
assist in selecting tactical options.
If you want to provide further information concerning other first preventers/responders agencies, please
use the comments or briefing notes boxes.
First Preventers/Responders Interaction with Facility
Is there a written MOU/MOA with this first responder [not just 911]?
This should be a s pecial agreement that the facility has with first responders, not just dialing 911 or a
verbal agreement to drive by on a regular basis. In order to check that the facility has MOA or MOU with
law enforcement, the facility must have an agreement that the law enforcement agency will supply special
services to the facility in the event of a threat, attack or incident. It does not mean that the law
enforcement agency will answer a 9 -1-1 call in the normal course of business. For example, under an
MOA/MOU, the local law enforcement would send police officers to guard the facility in the face of a
specific threat or an MOA/MOU to park a police car at the facility during special events.
Have there been onsite visit(s) with this first responder?
Note that if the facility has specific training or exercises with first responders, this information should be
captured in the preparedness section under business continuity and emergency action procedures.
Is there Interoperable Communication with with this first responder [not 911]?
Interoperable communications is the ability of emergency responders to work seamlessly with other
systems or products without any special effort, including capability communications equipment and
bandwidth. Interoperable communications is a common platform for interoperability among sheriff’s
offices, local law enforcement, health departments, EMA/Homeland Security, fire/EMS agencies,
hospitals and other agencies having the capability of accessing the system (e.g., MARCS).
Wireless communications interoperability specifically refers to the ability of emergency response officials
to share information via voice and data signals on demand, in real time, when needed, and as authorized.
For example, when communications systems are interoperable, police and firefighters responding to a
routine incident can talk to each other to coordinate efforts.

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First Preventers/Responders Interaction (only primary agency required)
Fire Response
Agency
Service
provided by
Agency or
supporting
agency [Check
all that apply]:

Fire Response
Hazardous Materials Response
Maritime fire support
Airborne fire support
Other:
Describe:

Is there a written
MOU/MOA with
this first
responder [not
just 911]?

No
Yes

Have there been
onsite visit(s)
with this first
responder?

No
Yes

Is there
Interoperable
Communication
with this first
responder [not
911]?

No
Yes
Describe:

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First Preventers/Responders Interaction (only primary agency / company required)
Emergency
Medical
Response
Service
provided by
Agency or
supporting
agency [Check
all that apply]:

Emergency Medical Response
Hazardous Materials Response
Maritime medical response
Air Evac medical response
Other:
Describe:

Is there a written
MOU/MOA with
this first
responder [not
just 911]?

No
Yes

Have there been
onsite visit(s)
with this first
responder?

No
Yes

Is there
Interoperable
Communication
with this first
responder [not
911]?

No
Yes
Describe:

First Responder Briefing Notes:
Overall First Responder Overall Comments:

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Consequences
What is the function of this facility (e.g.,
produces, sells, stores, or transfers)?

Purpose:

Key Products/Services:
Is the facility a lifeline critical
infrastructure (e.g., a utility
provider/asset)?

No
Yes
Describe:

Who is the primary customer/user of this
facility’s product or service?

Describe:

Is this facility the only supplier of
products or services for this customer?

No
Yes
Explain:

If not the only supplier, does this facility
hold a large market share for its products
or services in the region or nation (e.g.,
over 33%)?

No
Yes
Explain:

Can other competitors or similar sister
companies/facilities provide the product
or service without major price impacts or
delivery delays?

No
Yes
If yes, explain:

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CONSEQUENCES
Answers to most of the questions in this section are prepopulated. However, you have the ability to
change this information if you think it is not accurate. If you decide to overwrite the information provided,
please justify your decision with an appropriate explanation in the description text boxes.
Is the facility a lifeline Critical Infrastructure (e.g., a utility provider/asset)?
A lifeline Critical Infrastructure is a f acility that provides an essential service to the population. These
include the basic utilities of electric, gas, water, and wastewater. Outside of those sectors there are only
rare and i solated incidents where something will be considered a l ifeline critical infrastructure in this
methodology.
Can other competitors or similar sister companies/facilities provide the product or service without
major price impacts or delivery delays?
These questions are to determine the cascading impacts of the loss of this facility (criticality). If the facility
has a sole-source contract with its customer(s) (i.e., at this time the customer does not receive the
product or service from anyone other than this facility), the loss of the facility will impact the customer. If
other competitors or similar companies can provide the product or service, then even if the facility is lost,
the customer could continue to receive the product or service. This could be another facility within the
same corporate owner or a c ompetitor’s facility. However, the customer may experience a price impact
(e.g., the facility was the lowest bidder in supplying chlorine to a City utility) or delivery delays (e.g., a new
contract must be negot iated with the competitor before deliveries may commence). For public service
facilities such as police stations, courthouses, EOCs, etc., the determination is more difficult. Just
because a county courthouse is the only facility in that county, in most cases another county nearby could
assist and pick up t he load or assist in some way until the facility or organization could become
operational.
Market share is the percentage of the total available market for the product or service supplied by the
facility. It can be expressed as a company's sales revenue compared to total nationwide sales revenues
for the same product/service or in units of volume produced by the facility divided by the total volume of
units sold in that market. For instance, there are only two US manufacturers of hydrogen fluoride. If there
are only two plants, each plant would have a 50% market share. Please note: these answers are for the
facility being visited, not the entire owner corporation or entity. So, if a c ompany has 50% of hydrogen
fluoride in the country, but the facility is one of five plants, it only has some lesser percentage of the
market (e.g., 10%) and the answer would be no, the facility itself does not hold a large market share. For
public service facilities such as police stations, courthouses, EOCs, etc., market share is simply not
required, so the best response is “No.”.
For profit companies usually know if they have a large market share (e.g., over 33%) even if not the exact
percentage. However, certain facilities, particularly those in the public service sector, where this is a
difficult question. For instance, a bridge does not have sales revenue; however, it may have volume of
regional traffic. If the bridge handles 50% of the traffic across the bay to San Francisco, then this is a
large market share. Also, in the public service sector, just because the water district is the sole source of
water to its customers, an individual water treatment plant may only serve some portion of that market
share. The answer should almost always be "No" for a stadium, arena, convention center, school, church
or similar facility. There are very few of these in the Nation that have a large market share.

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Consequences
Maximum facility population at any one
time (include special events, employees,
contractors and visitors)

Approximate Number (a single value with no text):

Describe:
Is the facility considered a Chemical,
Biological, Radiological, Nuclear, or
Explosive facility

Maximum offsite population that will be
impacted by a reasonable worst case
scenario at the facility (human impact
such as death or injury, not economic
impact)
Would an incident at the facility cause an
immediate mass evacuation of the facility
and a large population (over 20,000
people) within the surrounding area?

No
Describe:

Approximate Number (a single value with no text):

Describe:

No

Yes

Describe:

Is the facility located in a DHS UASI city?
(or metropolitan statistical area)

Is the facility part of a designated system
(e.g., electric grid, pipeline, railroad, or
mass transit system)?

Yes

No

Yes

No
Yes
Describe:

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Maximum facility population at any one time
This is the most important population number for the template. The intent of the question is to estimate
the largest potential population at a facility or node within a system at any one time. To some extent, this
is an attempt to estimate the potential loss of life should an attack occur at that location. For some types
of facilities, this is not easily determined, but if you just think of loss of life during an attack it may be
easier. The intent is to provide some reference to the maximum potential impact to population knowing
that in almost all cases the final number of people impacted will likely (and hopefully) be s ignificantly
smaller. For instance:
•

•

•

For a bridge you may know the number of cars that traverse the bridge every day; however that is
not the maximum population at any one time. So, you may have to be creative and determine the
maximum number of cars that could be on the bridge at any one time and multiply by the
estimated number of people per car and add that to the maximum number of pedestrians that
could be on the bridge to get that potential loss of life population number.
For a stadium, obviously, it would be the maximum capacity during an event and also consider
the people in the parking lots tailgating. We understand that in most cases a stadium or bridge or
most other facilities and all occupants and visitors to that location will not be immediately and
totally removed from the face of the earth.
For transportation, a good answer will identify the maximum capacity of a commuter rail train at a
busy stop, or, the typical maximum attendance at the Indianapolis 500, or the busiest location or
meeting area of a par ade route or a s hopping mall. A poor answer will identify car count on a
highway overpass with no reference to time.

Is the facility considered a Chemical, Biological, Radiological, Nuclear, or Explosive facility? For
chemical, under the authority of section 112(r) of the Clean Air Act, the Chemical Accident Prevention
Provisions require facilities that produce, handle, process, distribute, or store certain chemicals to develop
a Risk Management Program, prepare a R isk Management Plan (RMP), and submit the RMP to EPA.
The offsite consequences analysis of the RMP identifies the potential reach and effect of hypothetical
worst-case accidental releases from the facility for each regulated chemical. It is reasonable to ask a
facility if they are subject to and have an RMP. Biological would, for instance, include any of the Biological
Safety Laboratories (e.g., BSL-3) certificated by the National Institutes of Health or equivalent.
Radiological would include any facilities that have sufficient radiological sources to require licensing by
the Nuclear Regulatory Commission (NRC) and can include hospitals and nuclear reactors (commercial
or experimental). Explosive would include any facility that would have to comply with Occupational Safety
& Health Administration (OSHA) regulations for explosives and blasting agents or Department of
Transportation placarding requirements. CBRNE may not be a term a pr ivate sector recognizes or
utilizes, but the concept is the same. You are trying to determine if the facility has elements onsite that
could be weaponized or stolen thus making that facility more likely to be targeted or may cause harm
through accidental release.
Maximum offsite population that will be impacted by a reasonable worst-case scenario at the
facility [death and injury, not economic impact]
While this is related to maximum population, it is more subjective and is an attempt to capture the human
impact of the worst-case incident at the facility. As an example, a small chemical manufacturing facility
with high quantity of TIH, 50 employees in a rural area and no other population within 20 miles, the impact
would be t he employees, thus 50. The same company in an ur ban area, with a near by population of
15,000 within the offsite consequence calculation, the input value would be 15,000. The intent is that the
unfavorable event must occur at the facility and then create an offsite impact. If everything is confined to
the facility the entry for Maximum facility population at any one time meets the intent. Thus it is possible
that the response to the offsite question may be answered as zero.

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Consequences
Would an incident at the facility cause an
immediate mass evacuation of the facility
and a large population (over 20,000
people) within the surrounding area?

No
Describe:

Is the facility located in a DHS UASI city?
(or metropolitan statistical area)

Is the facility part of a designated system
(e.g., electric grid, pipeline, railroad, or
mass transit system)?

Yes

No

Yes

No
Yes
Describe:

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Would an incident at the facility cause an immediate mass evacuation of a large population (over
20,000 people) within the surrounding area?
An immediate mass evacuation of over 20,000 people must have been caused by the incident at the
facility. The evacuation must be i mmediate, not that over time the loss of water, wastewater or electric
service would cause the eventual evacuation of an area (e.g., due to health concerns or convenience of
the population). There are very few facilities that have materials or processes on site that will cause an
immediate evacuation. A refinery, chemical plant, large water park with chlorine, a CDC-certified
Biosafety Level Laboratory (BSL) or nuclear facility may be s ome examples if they are located near
populate areas.
Is the facility located in a DHS UASI city?
Check against latest UASI City list. Only looking for current, not included if it was a UASI in the past.
Is the facility part of a designated system (e.g., electric grid, pipeline, railroad, or mass transit
system)?
This could include anything like electric substations, generating plants and control rooms; water treatment
plants, pump houses and surface water intakes; public transport stations, switch houses, control rooms,
and rolling stock; wastewater treatment plants, pump houses, outfalls; or natural gas pipeline segments,
compressor stations, controls rooms and treatment plants.

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Consequences
Civil Government Impact

No

Yes

Would there be a discernible civil
government impact due to the loss of the
facility or its operations?
Asset Replacement Value:

Give an approximate dollar amount and explanation.
$ 500,000,001 or greater
$ 100,000,001 to 500,000,000
$ 20,000,001 to 100,000,000
$ 5,000,001 to 20,000,000
Less than $5,000,000
Describe:

Business Interruption

Give an approximate dollar amount and explanation.
$ 1,000,000,001 or greater
$ 500,000,001 to 1,000,000,000
$ 100,000,001 to 500,000,000
$ 10,000,001 to 100,000,000
Less than $10,000,000
Describe:

Consequences Briefing Notes:

Overall Consequences Comments:

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Civil Government Impact
The type of information to include here is not just that loss of life or injuries from an event at the facility
would overcome any hospital in the area; it should be that the facility supplies something that is
necessary for emergency response or provides some product or service needed for these activities –
more of a cascading effect from loss of the facility operations/output. For example, the loss of a telecom
hotel shuts down the city-wide 911 system. The loss of a state capitol complex would have an impact to
the operation of the state government through loss of records, the ability to distribute welfare checks, or to
the ability of the state legislature to pass emergency bills and funding resolutions in the time of
emergency.
Asset Replacement Value:
Asset replacement costs apply to site equipment, units, or other onsite property damaged beyond repair
that would need to be replaced to restore the original functionality of the equipment or units to its design
productivity levels. This value is estimated whether the owner plans to rebuild or not. The adversarial
attack scenario which yields the highest damage should be used as the basis for the estimate.
Here are examples of the construction values for different assets:
• $ 500,000,001 or greater:
One World Trade Center (3800 million in 2013), Yankee Stadium: (1560 million in 2009), Trump
Tower Chicago (847 million in 2009), Soldier Field (800 million in 2003), and Marlins Park
(634 million in 2012)
• $ 100,000,001 to 500,000,000:
Pat Tillman Bridge in NV near Grand Canyon (240 million in 2010), I35 new bridge to replace one
that fell (230 million in 2007)
•
•
•

$ 20,000,001 to 100,000,000:
8-24 story Hotel (60 million in 2008), 4-8 story Hospital (50 million in 2008), 11-20 story office
building (35 million in 2008)
$ 5,000,001 to 20,000,000:
High school (18 million in 2008), 1-2 story courthouse (11 million in 2008)
Less than $5,000,000:
2 story Fire Station (2 million in 2008), Gas station (1 million)

These values must be used only as indicators.
You can find more information on the following link:
http://www.reedconstructiondata.com/rsmeans/models/
Business Interruption
Business Interruption costs include the total loss of sales or income for a 12-month period.

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Natural Hazards
Is the facility located in an
area that experiences any
of the following natural
hazards?
Check all that apply

Hurricane
Has the facility been constructed/modified/retrofitted to mitigate
impact of this natural hazard?
No
Yes
Describe:
Does the facility have specific plan/procedures for long term and
immediate mitigation measures concerning this hazard?
No
Yes
Describe:
Does the facility have deployable mitigation measures for this
specific hazard?
No
Yes
Describe:
Flood
Has the facility been constructed/modified/retrofitted to mitigate
impact of this natural hazard?
No
Yes
Describe:
Does the facility have specific plan/procedures for long term and
immediate mitigation measures concerning this hazard?
No
Yes
Describe:
Does the facility have deployable mitigation measures for this
specific hazard?
No
Yes
Describe:

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NATURAL HAZARDS
Is the facility located in an area that experiences any of the following natural hazards?
This initial question is to determine if the event occurs in the area. For example, in the State of Iowa,
Severe Winter Storm, Tornadoes, should be selected for almost every facility. Flood depends on specific
location within a f lood plain and will be more facility specific. The impact of such events is captured in
another question.
The answer to this initial question is prepopulated. However, you have the possibility to change this
information if you think the information provided is not accurate. Remember that the selection or notselection should be done regardless of previous or current impact. If you decide to overwrite the
information provided, please justify your decision with an appropriate explanation in the Natural Hazards
Briefing Notes.
Has the facility been constructed/modified/retrofitted to mitigate impact of this natural hazard?
Constructed, modified or retrofitted to mitigate the impact of a natural hazard would require that the facility
has purposefully built thefacility/asset or installed or upgraded/retrofitted the facility/asset to mitigate the
impact of the natural hazard. This could include things like permanent flood walls or dikes, specially
reinforced roofs for hurricanes, special earthquake resistant design and construction or raised platforms
for critical equipment to prevent flood damage. This type of construction, modification or retrofitting may
have been done to meet updated building standards put into place to mitigate this specific natural hazard
(e.g., California building codes for strengthened building construction pertaining to earthquakes or Florida
building codes for hurricanes) or may be o ver and above code requirements based on f acility-specific
hazard considerations.
Does the facility have specific plan/procedures for long term mitigation measures concerning this
hazard?
The facility may have plans or procedures to mitigate the effects of a nat ural hazard for the long-term
(e.g., hurricane season). This might include putting up snow fences for the winterstorm season or staging
equipment for fire suppression during wildfire season. This could also include temporary sump pumps for
critical areas, or sand/salt/snow removal equipment for winter storm response.
Does the facility have deployable mitigation measures for this specific hazard?
Deployable mitigation measures are measures that are not permanent, but can be put into place in
anticipation of a s pecific natural hazard to mitigate the effects. These could be deployable sandbags,
things like safe shut down of electric equipment before a hurricane or flood occurs to minimize damage,
procedures to move equipment (e.g., rail cars or tanker trucks) out of the area, or emptying tanks of
hazardous materials before a wildfire reaches the facility. In evaluating this question, only mark “Yes” if
the deployable mitigation measures are effective – five sandbags vs. a process for filling and deploying a
sufficient number of sandbags to protect critical areas and assets.

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Natural Hazards
Is the facility located in an
area that experiences any
of the following natural
hazards?
Check all that apply

Earthquake
Has the facility been constructed/modified/retrofitted to mitigate
impact of this natural hazard?
No
Yes
Describe:
Does the facility have specific plan/procedures for long term and
immediate mitigation measures concerning this hazard?
No
Yes
Describe:
Does the facility have deployable mitigation measures for this
specific hazard?
No
Yes
Describe:
Tornado
Has the facility been constructed/modified/retrofitted to mitigate
impact of this natural hazard?
No
Yes
Describe:
Does the facility have specific plan/procedures for long term and
immediate mitigation measures concerning this hazard?
No
Yes
Describe:
Does the facility have deployable mitigation measures for this
specific hazard?
No
Yes
Describe:

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Natural Hazards
Is the facility located in an
area that experiences any
of the following natural
hazards?
Check all that apply

Wildfire
Has the facility been constructed/modified/retrofitted to mitigate
impact of this natural hazard?
No
Yes
Describe:
Does the facility have specific plan/procedures for long term and
immediate mitigation measures concerning this hazard?
No
Yes
Describe:
Does the facility have deployable mitigation measures for this
specific hazard?
No
Yes
Describe:
Severe winter storms (snow/ice)
Has the facility been constructed/modified/retrofitted to mitigate
impact of this natural hazard?
No
Yes
Describe:
Does the facility have specific plan/procedures for long term and
immediate mitigation measures concerning this hazard?
No
Yes
Describe:
Does the facility have deployable mitigation measures for this
specific hazard?
No
Yes
Describe:

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Natural Hazards
Is the facility located in an
area that experiences any
of the following natural
hazards?
Check all that apply

Lightning strikes
Has the facility been constructed/modified/retrofitted to mitigate
impact of this natural hazard?
No
Yes
Describe:
Does the facility have specific plan/procedures for long term and
immediate mitigation measures concerning this hazard?
No
Yes
Describe:
Does the facility have deployable mitigation measures for this
specific hazard?
No
Yes
Describe:
High winds not associated with hurricanes/tornados
Has the facility been constructed/modified/retrofitted to mitigate
impact of this natural hazard?
No
Yes
Describe:
Does the facility have specific plan/procedures for long term and
immediate mitigation measures concerning this hazard?
No
Yes
Describe:
Does the facility have deployable mitigation measures for this
specific hazard?
No
Yes
Describe:

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Natural Hazards
Is the facility located in an
area that experiences any
of the following natural
hazards?
Check all that apply

Other natural hazard:
Has the facility been constructed/modified/retrofitted to mitigate
impact of this natural hazard?
No
Yes
Describe:
Does the facility have specific plan/procedures for long term and
immediate mitigation measures concerning this hazard?
No
Yes
Describe:
Does the facility have deployable mitigation measures for this
specific hazard?
No
Yes
Describe:

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Natural Hazards
Has a natural disaster ever caused an interruption to facility operations (e.g., resulting in an
unacceptable loss of business function)?
No
Yes (If yes check all that apply)
Hurricane

The last incident that caused
a business interruption
occurred:
less than1 year ago
1-5 years ago
More than 5 years ago

Estimate the duration of business interruption
following the last incident:
24 hours or less
25-72 hours
3-30 days
31-179 days
Greater than 180 days
Describe:

Flood

The last incident that caused
a business interruption
occurred:
less than1 year ago
1-5 years ago
More than 5 years ago

Estimate the duration of business interruption
following the last incident:
24 hours or less
25-72 hours
3-30 days
31-179 days
Greater than 180 days
Describe:

Earthquake

The last incident that caused
a business interruption
occurred:
less than1 year ago
1-5 years ago
More than 5 years ago

Estimate the duration of business interruption
following the last incident:
24 hours or less
25-72 hours
3-30 days
31-179 days
Greater than 180 days
Describe:

Tornado:

The last incident that caused
a business interruption
occurred:
less than1 year ago
1-5 years ago
More than 5 years ago

Estimate the duration of business interruption
following the last incident:
24 hours or less
25-72 hours
3-30 days
31-179 days
Greater than 180 days
Describe:

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Has a natural disaster ever caused an interruption to facility operations (e.g. resulting in an
unacceptable loss of business function)?
An unacceptable loss of business function may vary from facility to facility. It could be that a 75%
reduction in production is acceptable to a facility during a natural disaster because there is no one that
needs that service until after recovery is completed (e.g., pool cleaning service). However, it might be that
a 10% reduction in production is unacceptable to a facility because it is a vital service or may become
even more important during a natural disaster (e.g., chlorine for water treatment or the manufacturer of
firefighting foam during wildfire season).

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Natural Hazards
The last incident that caused
a business interruption
occurred:
less than1 year ago
1-5 years ago
More than 5 years ago

Estimate the duration of business interruption
following the last incident:
24 hours or less
25-72 hours
3-30 days
31-179 days
Greater than 180 days
Describe:

The last incident that caused
a business interruption
occurred:
less than1 year ago
1-5 years ago
More than 5 years ago

Estimate the duration of business interruption
following the last incident:
24 hours or less
25-72 hours
3-30 days
31-179 days
Greater than 180 days
Describe:

The last incident that caused
a business interruption
occurred:
less than1 year ago
1-5 years ago
More than 5 years ago

Estimate the duration of business interruption
following the last incident:
24 hours or less
25-72 hours
3-30 days
31-179 days
Greater than 180 days
Describe:

High winds not
associated with
hurricane or tornado

The last incident that caused
a business interruption
occurred:
less than1 year ago
1-5 years ago
More than 5 years ago

Estimate the duration of business interruption
following the last incident:
24 hours or less
25-72 hours
3-30 days
31-179 days
Greater than 180 days
Describe:

Other Natural
hazard – As
described above

The last incident that caused
a business interruption
occurred:
less than1 year ago
1-5 years ago
More than 5 years ago

Estimate the duration of business interruption
following the last incident:
24 hours or less
25-72 hours
3-30 days
31-179 days
Greater than 180 days
Describe:

Wildfire

Severe Winter
Storms (snow/ice)

Lightning strikes

Natural Hazards Briefing Notes:
Overall Natural Hazards Comments:

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Information Sharing
Are you aware of any of
the following agencies
with which you can
exchange information?
(check all that apply)

Federal

State/Local

FBI
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

Fusion Center
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

Other Federal Law
Enforcement (FPS, TSA, ICE,
etc.)
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

State CIP Coordinator
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

JTTF
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

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State Homeland Security
Advisor
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

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INFORMATION SHARING
Are you aware of any of the following agencies with which you can exchange information? (check
all that apply)
For each of the agencies selected, indicate if you exchange hazard and threat information. “Exchange”
can mean “receive from,” “provide to,” or both. Then characterize the information received.
It is possible that no information is either provided by the facility or shared with the facility from another
organization.
ATAC: Ant-Terrorism Advisor Council
ATF: Bureau of Alcohol, Tobacco, Firearms and Explosives
CDC: Centers for Disease Control
CIP: Critical Infrastructure Protection
DHS: Department of Homeland Security
FPS: Federal Protective Service
EMA: Emergency Management Agency
FBI: Federal Bureau of Investigation
HSIN: Homeland Security Information Network
ICE: Immigration and Customs Enforcement
InfraGard: FBI program for public / private partnership
ISAC: Information Sharing Analysis Center
JTTF: Joint Terrorism Task Force (or equivalent in some areas)
NOAA: National Oceanic and Atmospheric Administration
TSA: Transportation Security Administration
USGS: United States Geological Survey

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Information Sharing
Are you aware of any of
the following agencies
with which you can
exchange information?
(check all that apply)
For each of the
agencies selected,
indicate if you receive
or provide hazard or
threat information, then
characterize the
information received.

Federal

State/Local

ATF
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

State EMA
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

ISAC (Section:
)
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

State Law Enforcement
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

HSIN portal
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

Local EMA
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

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Information Sharing
Are you aware of any of
the following agencies
with which you can
exchange information?
(check all that apply)
For each of the
agencies selected,
indicate if you receive
or provide hazard or
threat information, then
characterize the
information received.

Federal

State/Local

InfraGard
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

Local Law Enforcement
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

US Attorney’s Office ATAC
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

Industry Group
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

DHS (Agency:
)
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

Public Health
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

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Information Sharing
Are you aware of any of
the following agencies
with which you can
exchange information?
(check all that apply)
For each of the
agencies selected,
indicate if you receive
or provide hazard or
threat information, then
characterize the
information received.

Federal
NOAA
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information
USGS
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information
CDC
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information

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State/Local
Corporate Law Enforcement
or security
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information
Other
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information
None

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Information Sharing
Are you aware of any of
the following agencies
with which you can
exchange information?
(check all that apply)
For each of the
agencies selected,
indicate if you receive
or provide hazard or
threat information, then
characterize the
information received.

Federal

State/Local

Other
Facility has not exchanged
information
Facility has exchanged
information
Facility has received
information
Information received is
accurate
Information received is
timely
Information received is
relevant
None of the Above
Facility has provided
information
None

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Information Sharing
Is there a written MOU/MOA
with entities other than
emergency responders (e.g.,
neighboring facilities, other
companies, contract
response companies, water
and wastewater agency
response networks)?

Does any employee have a
national security clearance?

No

Yes

Have the written MOU/MOA's with other entities been previously
activated (either as an exercise or during a real incident)?
No
Yes
If yes,
Following the activation was an after action report completed?
No
Yes
No
Yes
If yes,
Corporate level
Facility level

Information Sharing Briefing Notes:

Overall Information Sharing Comments:

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Is there a written MOU/MOA with entities other than emergency responders (e.g., neighboring
facilities, other companies, contract response companies, water and wastewater agency response
networks)?
This is different than the MOU/MOA with emergency responders and may include Mutual Aid Agreements
with neighboring facilities, contract chemical response companies, or private cleanup contractors.
Does any employee have a national security clearance?
This means that is related to the facility’s security. It does not include employees that may have security
for other purposes (e.g., they are National Guard members with clearance to use in that position, but not
for the facility being assessed).

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Security Activity History and Background
Prior Vulnerability
Assessments
Conducted?

No
Yes
If yes, Assessment Type: (Check all that apply)
Industry-approved
Government Agency/Regulatory
Contract
LLEA
Internal
Assessment Date(s):
VA Type
_________________
_________________
_________________
_________________

Date conducted
______________
______________
______________
______________

Follow-up VA Date
______________
______________
______________
______________

Is the VA shared with DHS?
No
Yes
Have any new
protective/resilience
measures or
enhancements been
put into place within
the past year?
If yes, what new
protective/resilience
measures or
enhancements have
been put in place
within the past year?

No
Yes

Type of protective measure
(Check all that apply)

In response to a Vulnerability
Assessment recommendation
or regulatory/mandatory
standard?

Access control

No

Yes

Barriers

No

Yes

Communications and notification

No

Yes

Cybersecurity

No

Yes

Infrastructure upgrades/redundancy

No

Yes

Incident response

No

Yes

Monitoring and surveillance detection

No

Yes

Personnel

No

Yes

Planning and preparedness

No

Yes

Security force

No

Yes

New Protective Measures Briefing Notes:

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SECURITY ACTIVITY HISTORY AND BACKGROUND
New Protective/Resilience Measures must be completed; items such as starting to create a plan,
submitting requests, reviewing documentation are all good things, but only represent planned activities or
projects underway.
New Protective/Resilience Measures must be permanent changes in procedures, policies, equipment or
personnel, e.g., new cameras, developed a security plan, conducted an exercise, hired additional security
force, conducted an internal assessment or cleaned out the clear zone.
If yes, what new protective/resilience measures or enhancements have been put in place within
the past year?
This question is used for the calculation of both PMI and RMI.
In response to a Vulnerability Assessment recommendation or regulatory/mandatory standard?
Check yes only if the protective/resilience measures put into place in the last year in the indicated
category were done in response to a written, formal vulnerability assessment (not just some agreement
among the security heads that it would be a good idea) or in response to a regulatory requirement or
mandatory industry standard (e.g., NERC CIP requirements for protection of cyber assets or changes
required by companies that belong to the Petroleum Association, New York Stock Exchange requirement
for developing, maintaining, reviewing, and updating business continuity and contingency plans (NYSE
rule 446)).

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Security Activity History and Background
Does the facility security plan utilize
different threat levels?
No
Yes

DHS National Threat Advisory System (NTAS)
Maritime Security (MARSEC)
Industry
Reflects NTAS
Other:
Describe:

If yes, are different protective measures
employed/ implemented during elevated
threat situations?
No
Yes
(If yes, check all that apply)

Additional access control
Restrict access to essential personnel only
Conduct inspections/searches
Decrease the number of personnel authorized
to be onsite
Prevent onsite access by visitors
Prevent parking onsite
Minimize the number of gates in use
Require visitor escorts
Employ or enforce parking restrictions
Additional barriers
Add barriers at facility access points
Add barriers at significant assets
Increased communications and notification
Lock-down control or operation centers
Establish real-time communication between
security and decision-level executives
Coordinate security efforts with local
responders
Coordinate security efforts with State
responders
Coordinate security efforts with Federal
responders
Enhanced cybersecurity
Additional infrastructure upgrades/redundancy
Enhanced incident response (e.g., initiated MOU
with Local Law Enforcement or Fire Department)

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If the facility recognizes elevated threat levels, are different protective measures employed/
implemented during elevated threat situations?
Enhanced cybersecurity
This can be anything from sending out additional reminders on cybersecurity and password protections to
shutting down websites or remote access portals.
Additional infrastructure upgrades/redundancy
This could be an ything from bringing in additional emergency generators or portable lights to securing
additional water storage or supplies.
Enhanced incident response (e.g., initiated MOU with Local Law Enforcement or Fire Department)
This could be anything from implementing an existing MOU with local law enforcement or fire department
for extra services to activating a facility EOC.

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Security Activity History and Background
Additional monitoring and surveillance detection
Perimeter patrols
Increase frequency
Increase to continuous
Security Force Staffing
Increase security force staffing
Maximize security force staffing
Increased vehicle inspections
100%
Random
Increased personnel inspections
100%
Random
Hire/contract for additional security force
Provide additional illumination for remote
areas
Add counter surveillance teams
Distribute night vision devices to security
personnel
Initiate Planning and preparedness
Pre-assign Personnel (on-call)
Assign emergency response personnel to preplanned positions/roles
Prepare to execute contingency procedures
Execute contingency procedures
None of the above
Protective Measures during Elevated Threat Briefing Notes:

Given the opportunity what is the next
security measure that the facility would
like to put in place?

Describe:

To date, what is the best security
investment the facility has
installed/implemented?

Describe:

What best practices does the facility
recommend to your peers?

Describe:

Has the facility found any security
measures/practices that it would have
liked to implement/install and were
prohibited by regulation/ordinance?

Describe:

Overall Security Activity History and Background Comments:

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Additional monitoring and surveillance detection
Perimeter Controls: Increase frequency/Increase to continuous
If there were no perimeter controls previously, any new controls would be an increase in frequency. In
addition, if they were once a da y, increasing them to twice a da y is an increase in frequency.
Continuous patrols would be a team or individuals whose sole mission is a continuous ongoing patrol
of the perimeter where at any given time over 75% of the perimeter is under observation.
Facility Security Force Staffing: Increase staffing/ Maximize staffing
This applies to a facility that already has a security force staff. Maximizing staff would be to cover all
entry points, all SAAs, and the facility perimeter. Increasing staffing can be any increase in staffing
due to the elevated threat, even just one extra guard.
Hire/contract for additional security force
This is if the facility did not previously have a security force and would either hire or contract for one.
Add counter surveillance teams
This is going to be very unusual and rare. It will occur most often related to special events and high
profile events or as part of a pl an during an i ncreased threat level. This does not refer or include
security guards that may have training in surveillance detection. This question is designed to capture
a specialized, dedicated team or individuals assigned and trained as a duty to perform counter
surveillance.
Initiate planning and preparedness
Prepare to execute contingency procedures/Execute contingency procedures
Preparing to execute contingency procedures could be sending reminders to responsible employees
or distributing procedures to employees. Executing the contingency procedures would be to actually
activate response teams, activate the facility EOC, and implement procedures under the appropriate
plan.
Has the facility found any security measures/practices that it would have liked to implement/install
and were prohibited by regulation/ordinance?
The intent is to identify possible areas of opportunity for DHS to work with eth public sector or other
sectors to improve situations where a security improvement may be in conflict with a code, law, zoning
issue or other restriction.

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Security Management Profile

Is there a manager/department in charge of security
management?

Security Department

No
Yes

Iif yes, is this the primary function of that manager/department?
No
Yes
Security Department Briefing Notes:

Does the facility
have a written
security plan?

No
Yes
If yes,
The plan is developed at the:
Corporate-level
Facility-level
Has the plan been approved by senior management?
No
Yes
Is the plan required by a Federal, state, or local regulation?
No
Yes
Has the plan been coordinated with local law enforcement?
No
Yes
If yes,
Is it reviewed annually with local law enforcement?
No
Yes
Are key personnel aware of and do they have access to a copy of the plan?
No
Yes

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SECURITY MANAGEMENT PROFILE
Does the facility have a written Security Plan?
Normally, security planning includes those things that involve security issues, such as active shooter,
terrorism, hostage taking, or assassination.
The plan is developed at the: Corporate-level or Facility-level
Facility-level may include a corporate-level plan with an appendix or section for the facility being
assessed that addresses the special plan provisions or procedures as they apply to that facility. If it is just
a general plan that does not specifically address the facility being assessed, then select corporate-level.

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Security Management Profile
Does the facility
have a written
security plan?

Are personnel trained on the plan?
No
Yes
If yes,
Key personnel only are trained on the plan (Check all that apply)
At initial employment
At least once a year
OR
All personnel are trained on the plan (Check all that apply)
At initial employment
At least once year
Is the plan exercised at least once a year?

No

Yes

If yes, these exercises are:
Tabletop (practical or simulated exercise)
Includes external responders
Functional (walk-through or specialized exercise)
Includes external responders
Full scale (simulated or actual event)
Includes external responders
Are exercise results documented, approved and reported to executive
management?
No
Yes

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Security Management Profile
The security plan has procedures for (check all that apply):
Assessment of possible security risks
Review of threats to and vulnerability of facility operations/activities
An up-to-date point of contact roster for:
Key personnel responsible for security (e.g., Security Manager or
designated representative)
First Responders
Identification of critical assets or areas
Physical security
Management and utilization of physical security systems
Perimeter security
Parking / delivery / standoff
Electronic security systems
Locks and technologies
CCTV system
Intrusion detection or alarm system
Illumination
Key control program
Physical security inspection program
Security force
Staffing
Static posts
Roving patrols
Equipment
Training
Access control Procedures
Employees
Visitors
Contractors
Customers
Security awareness training program
Terrorist incidents
Active shooter
Internal disturbances (e.g., workplace violence)
Security communications policy or procedures
Information protection/Operations Security (OPSEC)
Personnel security
Criminal activities (e.g., break-ins)
Hostage situations
Liaison with response agencies
Exercising the plan

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The security plan has procedures for (check all that apply):
Identification of pertinent risks
The plan has a discussion of pertinent risks addressed in the plan; these could include natural hazards
such as hurricanes or man-made events such as cyber attacks or an irate employee/customer.
Review of threats to and vulnerability of facility operations/activities
The plan should identify pertinent threats and the gaps in security related to such threats to determine the
vulnerability of the facility.
Identification of critical assets or areas
The plan should identify what areas or assets require additional security to ensure the facility continues to
operate and its employees and customers are safe. These may or may not match the facility SAAs.
Exercising the plan
This section outlines how essential equipment or a process is tested, how employees and key personnel
are trained and / or evaluated on the plan and the regimen for exercising the plan.

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Security Management Profile
Plan maintenance (e.g., review and revision)
Executive Protection (if applicable)
None of the Above
Does the facility
have procedures
for suspicious
packages
Characterize
security
information
communication

No
Yes

Does the facility notify or communicate security information to personnel?
No
Yes
If yes, what type of information? (Check all that apply)
Specific security incident information
Recurring security awareness meetings
Describe:
How does the employee report a security concern?
Call-in number
Phone / Radio call to security operations
Phone / Radio call to security guard
911
No reporting

Does the facility
participate in any
security working
groups?

No
Yes
If yes,
Federal-level security working group (e.g., InfraGard, Sector Coordinating
Committee)
State-level security working group (e.g., Fusion Center)
Local-level security working group
Private Sector /Industry security working group
Describe:

Security Plan Briefing Notes:

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Executive Protection (if applicable)
Since this is a security management question, even if there are no key organization (corporate)
executives located at the facility, the corporation may have an executive protection program, which would
cover an executive should he or she visit the particular facility being assessed. If that is the case, check
the box. Executive protection is when the facility security force provides personal protection for any VIP,
including corporate executives or prominent visitors or performers. It does not include when visitors or
performers supply their own personal protection service, unless the plan has specific provisions for
accommodating such personal protection service (e.g., special quarters or security activities such as
bomb sweeps).
Does the facility notify or communicate security information to personnel?
“No” means no security information is communicated to company personnel (e.g., only emergency plan
information such as evacuation or fire drill information).
Specific security incident information is for an actual security incident (e.g., suspicious people have been
observed around the facility back doors, a c hange in NTAS level, or how to thwart known attempts at
hacking the company IT servers).
Recurring security awareness information is communicated regularly to personnel through some means
(posters, emails, security announcements).

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Security Management Profile
Are
background
checks
conducted?

No
Yes
If yes, Background checks are conducted on [check all that apply]:
Employees (except security)
All employees (including critical employees, temporary employees)
Not all employees
Are recurring background checks conducted?
No
Yes
Employee Security Personnel
N/A
No
Yes
Are recurring background checks conducted?
No
Yes
Contract Security Personnel
N/A
No
Yes
Are recurring background checks conducted?
No
Yes
Contractors
N/A
No
Yes
Are recurring background checks conducted?
No
Yes
Vendors
N/A
No
Yes
Are recurring background checks conducted?
No
Yes

Background Checks Briefing Notes:

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Are background checks conducted?
It is understood that there may be limitations to background checks in some states or for foreign
contractors. The intent of the question is to determine if there is a process for background checks. Often
background checks are a r easonable action to dissuade insider threats or to ensure effective hiring
practices. If foreign contractors do n ot have background checks, but are allowed to be in the facility
without restrictions, then do not select Contractors/support functions.
For the types of people that are required to have background checks, check all that apply. If you check All
Employees, you do not have to check Critical Employees or Employee security personnel; they are
included in all personnel. However, if only the employee security personnel have background checks and
no all personnel, just check that. Security personnel, however, may be employees or contractors;
therefore, they are listed separately. Since contract security personnel usually have some kind of
background checks through their company, it is listed separately from general contractors.
N/A means the people of that particular sub group do not visit or enter the facility. No contractors,
or security personnel, or vendors.

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Security Management Profile
Does the facility utilize
sensitive internal company
information?

No
Yes
If yes, is sensitive internal company information identified?
No
Yes
If yes, is sensitive information protected, stored, accessed,
transmitted, and destroyed?
No
Yes
If yes: (Check all that apply)
Secure Storage
Locked file cabinets
Locked room
Limited access (password protected)
Adequately Destroyed (e.g., shredding, burning)
Protective Markings
Secure transmission
Security review of information disseminated to the public (e.g.,
internet postings)
If yes, does the facility have security containers?
No
Yes
If combinations are used:
Combinations are changed on schedule
Combinations are changed when personnel are terminated or
moved
Combinations are recorded and secured
Security containers are located where they can be observed by
guards making rounds

Sensitive Information Briefing Notes:

Security Management Profile Overall Comments:

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Sensitive information is protected, stored, accessed, transmitted, and destroyed
First ascertain if the company identifies certain corporate information as sensitive (e.g., critical asset
maps and s ecurity/business continuity planning documents). In order to answer yes the information is
protected and to select any of the types of protection, it is understood that such protections are formal
plans or policies and appropriate training/implementation has been completed.
Does the facility have security containers?
Security containers are more than a k ey-lock file cabinet or a locked room indicated in the previous
question. A security container would have a special combination or a file cabinet with an outside bar
attachment with a s pecial lock. If they have a c ombination, answer the follow-up questions concerning
combinations.

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Resilience Management Profile

Is there a manager/department in charge of business continuity?

Resilience
Operations

No
Yes

if yes, is this the primary function of that manager/department?
No
Yes

Does the facility
participate in
any emergency
preparedness
working groups?

Does the facility
have a written
business
continuity plan?

No
Yes
If yes,
Federal-level emergency preparedness working group
State-level emergency preparedness working group
Local-level emergency preparedness working group
Private Sector /Industry emergency preparedness working group
Describe:
No
Yes
If yes,
The plan is developed at the:
Corporate-level
Facility-level
Has the plan been approved by senior management?
No
Yes
Is the plan required by a Federal, state, or local regulation?
No
Yes

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RESILIENCE MANAGEMENT PROFILE
Is there a person and/or a group ensuring collaboration/coordination of resilience related
activities (i.e., business continuity, emergency management, security management)?
A business continuity manager creates and executes plans to keep a company functioning after disruptive
events such as natural disasters, terrorism, crime and computer and human error. They conduct business
impact analysis and r isk assessment that includes critical assets, functions (e.g., IT systems), building
facilities, personnel and supply chain. They may be called a c ontinuity coordinator or disaster recovery
manager, a c ertified business continuity professional or specialist, project manager, crisis manager,
emergency manager, or other title, but, the function is to implement business continuity management
within the organization or enterprise of which the facility or asset is a part.
Resilience activities may fall under different functions performed by different people and/or groups in the
organization. The intent of this question is to characterize if resilience, in general, is one of the elements
considered in the management organization.
Does the facility have a business continuity plan?
Does the facility have a written emergency action/emergency operation plan?
It may be that the facility has an integrated crisis management plan, which includes all emergency
response functions. If this is the case, still answer the questions for the appropriate section of that
integrated plan. Emergency Action Plan would normally address things like weather, fire related
responses such as evacuation or shelter-in-place activities, and bomb threats or checklist type items.

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Resilience Management Profile
Does the facility
have a written
business
continuity plan?

Has the plan been coordinated with stakeholders (e.g., customers or regulatory
agencies)?
No
Yes
If yes,
Is the plan reviewed annually with stakeholders
No
Yes
Are key personnel aware of and do they have access to a copy of the plan?
No
Yes
Are personnel trained on the plan?
No
Yes
If yes,
Key personnel only are trained on the plan [check all that apply]
At initial employment
At least once a year.
OR
All personnel are trained on the plan [check all that apply]
At initial employment
At least once year
Is the plan exercised at least once a year:
No
Yes
If yes, these exercises are:
Tabletop (practical or simulated exercise)
Includes external responders
Functional (walk-through or specialized exercise)
Includes external responders
Full scale (simulated or actual event)
Includes external responders
Are exercise results documented, approved and reported to executive
management?
No
Yes

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BUSINESS CONTINUITY PLAN
The development and implementation of a business continuity plan is vital to the overall resilience of any
organization. Business continuity is formally defined as a “comprehensive managed effort to prioritize key
business processes, identify [hazards] to normal operation, and plan mitigation strategies to ensure
effective and efficient organizational response to challenges that surface during and after a crisis”
(ASIS 2005). A business continuity plan contributes to reducing organizational consequences and
enhancing an or ganization’s ability to continue essential operations after an incident. This document
provides an overview regarding the core components of effective business continuity plans and a
framework for the development of tailored, organization-specific plans.
The purpose of a business continuity plan (BCP) is to enable an organization to recover or maintain its
activities in the event of a di sruption to normal business operations (BS25999-1:2006). A BCP plans
against any event that could impact critical operations or could have a negative impact on the company
and/or facility. For example, NATO planning would be part of business continuity plan.
This process should address large-scale incidents – such as natural disasters or terrorist attacks – as well
as smaller disruptions such as supply chain partner problems or the absence of key staffers.
Additional Information:
• British Standards Institute (BSI) 25999 Standard on Business Continuity
•

NFPA 1600 Standard on Disaster/Emergency Management and Business Continuity Programs

•

ANSI/ASIS SPC.1-2009 Standard on Organizational Resilience

•

ISO 22301 Societal Security – Business Continuity Management Systems – Requirements 06-152012

In this section, we want to capture procedures necessary for the continuation of facility’s functions
(e.g., critical suppliers/materials, key personnel with special skills, alternate site of business, or employee
communications for relocation).
If the facility has written documentation of any of the procedure presented under business continuity plan,
it should be c aptured here even if the facility does not have a plan specifically named “Business
Continuity Plan”.
Note: Cyber service continuity and disaster planning is presented under Dependencies Information
Technology.
Does the facility participate in any emergency preparedness working groups?
The intent of this question is to capture if the facility, or one of its representatives, meets on a regular
basis with other people to share expertise and prepare to better respond to an emergency.
ISO 22301 and ASIS SPC.1-2009. Under the general heading of warning and communication, does the
facility have structured communication with emergency responders. In addition, participation in working
groups provides the facility access to other organization’s procedures and processes, to better prepare
for emergencies. Other groups may include regional resilience programs or groups, regional or even local
risk management or business continuity groups or organizations.
Does the facility have a written business continuity plan?
ISO 22301, 8.4.4. Establish documented procedures for responding to a disruptive incident and how it will
continue or recover its activities within a predetermined timeframe.
Best practices based on BS 25999 and ASIS SPC.1-2009 suggest the plan should be supported at the
senior management level. If required by some regulation is informational but helps explain why or why not
a plan may exist.

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Are personnel trained on the plan?
The intent of this question is to capture if facility personnel know the plan and its content (procedures), in
addition to their role in the case of an incident. ISO 22301 indicates that exercises can validate training
provided.
Are exercise results documented, approved and reported to executive management?
Documentation of training and exercises: Part of the process of creating an auditable trail is to document
the exercise or training results.

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Resilience Management Profile
Does the facility
have a written
business
continuity plan?

Does the business continuity plan include (check all that apply):
Business continuity plan activation
Immediate (operational) mitigation measures/strategies for responding to the
disruption and prevent further loss
Interim (tactical) mitigation measures/strategies for responding to the
disruption and prevent further loss
Long-term (strategic) mitigation measures/strategies for responding to the
disruption and prevent further loss
Identification of pertinent risks and hazards
Does the business continuity plan identify critical processes and as sets
necessary for core operations?
No
Yes
For these processes and assets, has the facility conducted an impact
evaluation that considers the following:
Financial
Customer service
Work backlog
Third party relationships and interdependencies
Regional, national and international considerations (e.g., cascading
effects)
Health and safety of persons in the affected area
Regulatory and contractual obligations
Reputation or consumer confidence
Recovery Point Objectives
Recovery time objectives for each key product or service identified

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Does the business continuity plan include:
This list of items is based on ISO 22301, ASIS SPC.1-2009, NFPA 1600 and BS 25999 and is part of the
Plan, Do Check Act model used in the standards.
Immediate (operational) mitigation measures/strategies for responding to the disruption and prevent
further loss, Interim (tactical) mitigation measures/strategies for responding to the disruption and prevent
further loss, Long-term (strategic) mitigation measures/strategies for responding to the disruption and
prevent further loss. These items are indicators of protection and mitigation but also lead to response and
the planning for recovery. Immediate actions may include a graceful shut down of a pr ocess, moving
items from rising water, or conducting data backups. Interim actions may include moving certain items,
people, or processes to another facility, calling in additional help from or assistance teams locally or from
within the region, or coordinating with responders to shore up a dike or flood wall. Long term activities
may include developing plans and obtaining funding for a permanent fix to a flood problem, establishing a
permanent backup facility, or construction to improve the structural soundness of a given asset or facility.
For these processes and assets, has the facility conducted an impact evaluation that considers
the following:
Based on the identified hazards, the team should conduct a business impact analysis to evaluate the
potential damage or loss to the organization resulting from a di sruption (ASIS 2009; BCI 2010;
NFPA 2010). To complete this phase, the planning team should (1) define the potential impacts of each of
the hazards identified as potentially affecting the critical functions of the organization; and (2) determine
the minimum resources needed to continue operations at the lowest acceptable level for a pr edicted
timeframe. The answers to these questions will impact how potential risk reduction measures are
prioritized in the plan. Although this step can be complex, conducting a thorough business impact
analysis is vital to an effective business continuity strategy. It will help define the recovery priority and the
Recovery Time Objective.
Work backlog
An accumulation of uncompleted work, unsold stock, etc. to be dealt with when business is resumed.
Third-party relationships
Commonly referred to as “outsourcing” it can include contract support for IT, auditing, insurance, etc.
Recovery Point Objectives
Recovery Point Objective (RPO) is the point at which processes or activities must be restored in order to
resume operations. For example, if left unheated a chemical will solidify and ruin the storage tanks or so
much data is lost for a cyber system that there is no recovery.
Recovery time objectives for each key product or service identified
Recovery Time Objective (RTO): Period of time following an incident within which the product must be
received (e.g., raw materials) or the service restored (e.g., internet) or the resource recovered (e.g., the
electric comes back on) before the RPO is reached.
The plan defines the recovery time objectives for each key product and service that is essential to
operations. For products, services and activities, the recovery time objective must be less than the time it
would take for the adverse impacts that would arise as a result of not providing a product/service or
performing an activity to become unacceptable (i.e., the RPO) .For example, for the healthcare sector,
continuation of patient care is a recovery point objective and 30 minutes is the recovery time objective
before patients must be moved.

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Resilience Management Profile
Does the facility
have a written
business
continuity plan?

Does the business continuity plan have procedures for (check all that apply):
Maximum Acceptable Outage (MAO)
Trigger points that identify activation of plans, notification, or other actions
An up-to-date point of contact roster for:
Key personnel responsible for continuity activities (e.g., organizational
resilience or crisis management teams)
Essential infrastructure contacts (e.g., utilities, suppliers, providers)
Alert and notification to employees
Identification of personnel with special skills, education or training
Identification of alternates
Location and relocation procedures
Safe close-down procedures
Adequate security / property protection if closed or relocated
Communication and coordination for continuity activities with other
stakeholders (e.g., customers, regulatory agencies, Local Law
Enforcement or response agencies)
Notification to suppliers/utility providers
Alternative work arrangements (e.g., telecommuting or assignment to
other corporate locations)/ Virtual office options
Designated crisis management center, emergency operations center or
an incident management and command center (IMCC)
Identification of key emergency personnel by position
Identification of alternates
IT recovery
Decision process for activation and relocation
Exercising of the plan
Alternate sources for customers (e.g., other corporate facilities or
contracts with competitors)
Plan maintenance (e.g., review and revision)
Pandemic response
Human resource procedures (e.g., employee counseling, financial
support, payroll)
Reconstitution of normal operations
Insurance program for acceptance/retention and transfer of risk
Devolution (e.g., closing the original facility)
None of the above

Business Continuity Plan Briefing Notes:
Overall Business Continuity Plan Comments:

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Does the business continuity plan have procedures for (check all that apply):
Maximum Acceptable Outage (MAO)
Maximum period of time that the critical business processes can operate before the loss of those critical
resources affect their operations. This is the time it would take for adverse impacts which might arise as
result of not providing a product/service or performing an activity to become acceptable.
Trigger points that identify activation of plans, notification, or other actions
Based on the facility characteristics and m issions, and the Maximum Acceptable Outage (MAO), the
trigger points are the criteria that define when specific business continuity actions and procedures should
be implemented for reducing the consequences of an event.
Alert and notification to employees
This could include call down lists, call-in numbers, emails, or electronic bulletin boards; anything that
would allow the employee to find out whether they should come in to work, stay home, or report to a
different location.
Identification of personnel with special skills, education or training
These would be people that would be essential to continuing the facility’s operations such as IT support,
repair personnel, or administration support.
Decision process for activation and relocation
This would be a written decision process for determining when to implement the plan and when to move
to each phase of the plan, including who makes this decision and what factors must be present to make
such a decision.
Exercising the plan
This section outlines how essential equipment or a process is tested, how employees and key personnel
are trained and or evaluated on the plan and the regimen for exercising the plan.
Alternate sources for customers (e.g., other corporate facilities or contracts with competitors)
Some facilities may have backup plans for providing customers with goods or services through other
contracts (e.g., hospitals may have a plan for transferring patients to other nearby facilities in the event of
a business interruption or a c hlorine repackager may have a s tanding contract with another sister
company or even a competitor to provide chlorine to an essential customer.
Pandemic response
These provisions may include several strategies discussed above, but specially established for a disease
scenario. For instance, during a pandemic situation, companies may have provisions for alternative work
arrangements or for identifying alternates for essential positions.

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Resilience Management Profile
Is there an
alternate site for
continuity of
business?

No
Yes
If yes, for any alternate site is there:
Full capability
Sufficient distance between the alternative facility and the original facility
(e.g., not in the same flood zone or explosion zone)
Capability to perform essential functions quickly and for an extended period
Reliable logistical support, services and infrastructure systems (e.g., utilities
and backup generator)
Adequate security systems
Communication support
Activation or use during exercises
Transportation support (e.g., sufficient parking)
Sufficient computer equipment and software
Access to vital files, records and databases
Sufficient space and equipment
Alternate modes of obtaining supplies (e.g., rerouting to alternate site or
finding other local suppliers – supplier contract issues)
Consideration for health, safety and emotional well-being of personnel
Limited or no dependencies in common with the primary site
None of the above

Alternate Site Briefing Notes:

Overall Alternate Site Comments:

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ALTERNATE SITE
Is there an alternate site for continuity of business?
Key features of an al ternate site include its characterization and the percent of the normal level of the
main facility’s production it can handle.
This would be the core operations are moved to an alternative site. For instance, the data control center
can operate from another data control center in another city; that is an alternative site. If a team can play
in another stadium (e.g., when the Bears played at the University of Illinois while their stadium was being
modified), that is another example of an al ternate site. However, the fact that people can shop at an
alternate mall is not an alternate site for the facility being assessed. The fact that there are other hotels in
the area is not an alternate site. Also, if the only thing that has an alternate site is the data center and all
other core functions cease, then perhaps it is not an alternate site. If the core mission is carried out
remotely from employee’s homes, for instance, that is not an alternate site. Facilities like manufacturing,
hospitals, hotels, malls, bridges, tunnels, stadiums, arenas, racetracks, casinos, most general office
buildings and similar facilities rarely have an alternate site. Data centers, government agencies /
functions, banking and c ommunication facilities often have an a lternate. For instance, redundant data
center where data is backed up but operating terminals would have to be programmed/updated (e.g., cold
site) or operational control center at corporate sister plant where operators can instantly log in as if they
were located at the original location (e.g., hot site).
For any alternate site is there:
Full capability
The alternative facility can carry on all essential business functions. There may be s ome loss of nonessential functions and s till be c onsidered full capability. For instance, a relocated data center may be
able to process all business essential IT functions, but cannot directly backup to the central servers or a
customer call center may be able to take care of everything, including dispatch, except setting up new
web-based accounts.
Sufficient distance between the alternative facility and the original facility
Sufficient distance can be defined as the alternate site does not rely on the same services as the original
facility (transportation, water, power) and is not in the same zone of hazard (e.g., two blocks from the
original site but in the same flood zone).
Capability to perform essential functions quickly and for an extended period
This is similar to full capability, but includes the ability to start up immediately, without installation of new
equipment or reloading underlying IT platforms/programs/applications (uploading updated data may be
necessary).
Communication support
This would include adequate telephone service, radio capability or fiber connections at the alternate
facility as necessary to conduct business.
Transportation support
This refers to the ability of employees to drive and park, commute via public transportation, or companyprovided transfer from the original location.
Access to vital files, records and databases
This access can be via backup tapes/discs or an alternative server system. It can also be paper copies
that allow the continuity of business in a r easonable fashion. For instance, loss of a c ustomer service
center may require the company to resort to paper dispatch forms that are faxed to the repair teams.
Alternate modes of obtaining supplies (e.g., rerouting to alternate site or finding other local
suppliers – supplier contract issues)
Existing contracts or supply modes may not be available in the new location if it is far from the original
facility, so new contracts or methods of obtaining regular supplies such as office supplies, repair parts, or
essential services (e.g., copier maintenance support) may be needed for the alternate location.
Consideration for health, safety and emotional well-being of personnel
This may include counselors, employee assistance programs for finding temporary housing,
transportation, and family accommodation.

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Limited or no dependencies in common with the primary site
Related to sufficient distance, does the alternate site depend on the same resources such as substations,
water and wastewater utilities (or utility zones), communication offices/towers, etc.

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Resilience Management Profile
Resilience
Management

Is there a manager/department in charge of emergency management?
No
Yes

if yes, is this the primary function of that manager/department?
No
Yes

Does the facility
have a written
Emergency
Operation/
Emergency
Action Plan?

No
Yes
If yes,The plan is developed for:
Corporate-level
Facility-level
Has the plan been approved by senior management?
No
Yes
Is the plan required by a Federal, state, or local regulation?
No
Yes
Has the plan been coordinated with emergency responders?
No
Yes
If yes, is it reviewed annually with emergency responders?
No
Yes
Are key personnel aware of and do they have access to a copy of the plan?
No
Yes

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EMERGENCY OPERATION / EMERGENCY ACTION PLAN
An emergency operation / emergency action plan (also called Incident Action Plan) reflects the overall
incident strategy, tactics, risk management, and member safety that are developed (NFPA1600).
In this section, we want to capture procedures for disaster/incident management (e.g., HAZMAT
cleanup, evacuation, shelter-in-place or medical emergencies).
If the facility has written documentation of any of the procedure presented under Emergency operation /
emergency action plan, it should be captured here even if the facility does not have a p lan specifically
named “Emergency Operation Plan or Emergency Action Plan”.
Has the plan been approved by senior management?
The intent of this question is to capture if the plan is supported by the management that is able to embed
the implementation of business continuity in the organization’s culture. “Senior management groups”
implies all management that relates to business continuity (e.g., building management, engineering
management)

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Resilience Management Profile
Does the facility
have a written
Emergency
Operation/
Emergency
Action Plan?

Are personnel trained on the plan?
No
Yes
If yes,
Key personnel only are trained on the plan [check all that apply]
At initial employmen
At least once a year.
OR
All personnel are trained on the plan [check all that apply]
At initial employment
At least once year
Is the plan exercised at least once a year?

No

Yes

If yes, these exercises are:
Drill (e.g., fire drill)
Includes external responders
Tabletop (practical or simulated exercise)
Includes external responders
Functional (walk-through or specialized exercise)
Includes external responders
Full scale (simulated or actual event)
Includes external responders
Are exercise results documented, approved and reported to executive
management?
No
Yes
Does the emergency action plan have procedures for (check all that apply):
Change in the hazard environment
Increased communications and notification
Establish real-time communication between emergency management and
decision-level executives
Additional infrastructure upgrades/redundancy
Enhanced incident response (e.g., initiated MOU with Local Law Enforcement
or Fire Department)
Initiate Planning and preparedness
Pre-assign emergency response Personnel (on-call)
Assign emergency response personnel to pre-planned positions/roles
Prepare to execute contingency procedures
Execute contingency procedures
HAZMAT spills/releases
Appropriate natural hazards for the region

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Initiate Planning and preparedness can be any or all of the following:
Prepare to execute contingency procedures.
An example is when a plan has phases, such as port hurricane condition declarations by the USCG
trigger different mitigation measures: Whiskey & X-Ray a m aritime transportation facility would
remove vessels from its docks out to open sea, at Yankee, the facility would move heavier
equipment around tanks and lighter containers in the staging area and shutter their office windows,
at Zulu, they would evacuate the premises except for selected response crews.

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Resilience Management Profile
Terrorist events
Active shooter
Internal disturbances (e.g., workplace violence)
Hostage situations
Shelter-in-place
Medical emergencies/Medical surge
Fire
Bomb threat
Chemical/Biological/Radiological attack
Incident in nearby facilities that would impact facility's operations
Cyber attack (may be a separate plan)
Extended utility loss (e.g., blackout)
Civil unrest/Riot
Strike/Lockout
Explosion
An up-to-date point of contact roster for:
Key personnel responsible for emergency activities (e.g., crisis
management teams)
First responders
Essential infrastructure contacts (e.g., utilities, suppliers, providers)
Emergency communications to employees and stakeholders (e.g.,
telecommunications service priority (TSP), Government Emergency
Telecommunications Service (GETS) and wireless priority service (WPS))
An emergency coordinator with specific duties assigned
Route(s) for evacuation
Exercising the plan
Plan maintenance (e.g., review and revision)
None of the above
Emergency Operation / Emergency Action Plan Briefing Notes:

Overall Emergency Operation / Emergency Action Plan Comments:

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Incident in nearby facilities that would impact facility's operations
The plan should include any mitigation measures for incidents at neighboring facilities if it can impact the
facility or its personnel. An example would be to have shelter-in-place kits with plastic and tape when the
facility is next to a chemical plant that has a public warning siren to warn of the release of a dangerous
air-borne chemical (e.g., hydrofluoric acid).
Routes for Evacuation
This could be building diagrams with evacuation routes or hurricane evacuation route directions.
Exercising the plan
This section outlines how essential equipment or a process is tested, how employees and key personnel
are trained and or evaluated on the plan and the regimen for exercising the plan.

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Resilience Management Profile
Does the Facility have
immediate onsite response
capability for?

Toxic industrial chemical/HAZMAT release
able to handle incident without the aid of external responders
Fire fighting
able to handle incident without the aid of external responders
Bomb Threat (e.g., render safe)
able to handle incident without the aid of external responders
Armed response
able to handle incident without the aid of external responders
Law enforcement (e.g., mass transit police)
able to handle incident without the aid of external responders
Medical Emergency
able to handle incident without the aid of external responders
None of the above

Onsite Capabilities Briefing Notes:

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Does the Facility have immediate onsite response capability for?
This initial question is looking for the basics and includes automated external defibrillators (AED), fire
extinguishers, people trained in cardiopulmonary resuscitation (CPR), etc.
Able to handle an incident without the aid of external responders?
Intent is to identify whether the facility can respond to a significant incident with its own onsite response
capability. For example, if a f acility has firefighting capability, the answer is YES if the facility has a
trained, equipped firefighting team for managing fires at the facility and NO if the only response capability
is the presence of fire extinguishers and awareness training. The answer will be YES only if the facility
does not need immediate external support. It is assumed that all facilities would contact and or notify the
appropriate agency (or 911) if a significant event occurred.

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Resilience Management Profile
Does the facility exchange
information with a local or
state Emergency Operation
Center?

No
Yes

Does the facility have an
Incident Management and
Command Center (IMCC)?

No
Yes
If yes,
Where is the primary IMCC located?
Onsite
Offsite
Has the primary IMCC been activated in the previous year
(whether through an exercise or event)?
No
Yes
Following the
completed?
No
Yes

activation

was

an af ter

action

report

Can the IMCC operate independently of all outside utilities for at
least 72 hours?
No
Yes
Does the IMCC contain the following elements?
Sleeping Quarters
Dining/Food Preparation Space
Briefing Areas
Portable Restrooms (Backup)
Communications Area
Adequate Parking
Proper Equipment and Backup

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INCIDENT MANAGEMENT AND COMMAND CENTER (IMCC)
Does the facility have an incident management and command center?
An Incident Management and C ommand Center (IMCC) is defined as any room or area specifically
designated by the facility as the central location from which the facility would manage emergency
operations. It is the place where decision makers and k ey facility emergency personnel or business
continuity personnel can gather during an emergency. It could be called something other than Incident
Management and Command Center, e.g., Security Control Center, Operations Control Center, or even
Break room.
Has the primary IMCC been activated in the previous year (whether through an exercise or event)?
Activation would include opening the facility, operating any emergency equipment or communications,
gathering key personnel, etc.
Can the IMCC operate independently of all outside utilities for at least 72 hours?
The intent of this question is to capture if the IMCC has everything needed (equipment, medical supplies,
food, water, etc.) to fulfill its mission for at least 72 hours.
Does the IMCC contain the following elements?
For the list of items (Sleeping Quarters, Dining/Food preparation Space Briefing Areas, Portable
Restrooms (Backup), Communications Area, Adequate Parking, Proper Equipment and Backup), there
are no specific values assigned or determined. While the list is more of a reminder checklist of items to
include, if provided the opportunity to view the area or discuss this area consider the type of facility, the
area being used, the number of people the company has indicated would occupy the area and the
communication needs. If this is a refinery, manufacturing facility or some other very large organization
and they use massive technology and communications and indicate they need 20 people to run the
IMCC, but the room is small office with a single phone, it may not meet the facility needs.

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Resilience Management Profile
Does the facility have an
Incident Management and
Command Center (IMCC)?

Is there a backup IMCC?
No
Yes
Is the backup IMCC site geographically separated from the
primary IMCC site?
No
Yes
Can the backup IMCC operate independently of all outside
utilities for at least 72 hours?
No
Yes

Incident Management and Command Center Characteristics Briefing Notes:

Overall Resilience Management Profile Comments:

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Is the backup IMCC site geographically separated from the primary IMCC site?
Geographically separated so as to not be in the same "zone of hazard". If they are in the same building,
the loss of the building would impact both IMCCs.
Can the backup IMCC operate independently of all outside utilities for at least 72 hours?
The intent of this question is to capture if the backup IMCC has everything needed (equipment, medical
supplies, food, water, etc.) to fulfill its mission for at least 72 hours.

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Security Force Profile
Does the facility have a security force?

No
If yes,

Yes

Onsite security force
No
Yes
Offsite security force only (no onsite force)
No
Yes
If yes to either onsite or offsite security force:
Is there a Surge Capacity Plan?
No
Yes
If yes, Surge Capacity Plan has the following
Personnel:
None
Law Enforcement [MOA/Contract/Off-duty]
Contracted Security
Other organization/corporate
Arrest Authority
No
Yes
Detain Authority
No
Yes

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SECURITY FORCE PROFILE
Does the facility have a security force?
A security force is a special group of employees or contractors with security duties. Security force does
not include general employees who are trained in security awareness to observe and report in addition to
their regular duties. Although there are many facilities that will indicate that a receptionist, ticket taker,
usher, or janitor are the security force, in the IST /SAV definition those personnel are not considered
security force personnel. This methodology defines security force as individuals with unique and sole
duties to provide security.
Whether a facility has a security force may depend on the definition of the “facility.” For instance, a facility
may be a banking facility occupying several floors in an urban high-rise. The “facility” does not have its
own security force for just those floors; however, the building provides security guards that control access
to the upper floors of the building, including the facility. In this case, the facility may have a security force
protecting their perimeter through a c ontractual relationship (its lease) with the building owner. It is
important to determine if these security guards actually provide access control or if they are simply lobby
attendants that provide direction.
Onsite security force is one that is stationed at the facility. This requires an onsite presence, assigned to
and responsible for a gi ven facility location. Examples include a s ecurity guard at a c hemical plant,
guards in an office building lobby, the security guards at a museum.
An offsite security force is one that may patrol the facility occasionally, but are not stationed there. For
example, railroad and transit police forces may cover a large area with a number of facilities and will only
visit the facility periodically (e.g., once per shift, daily, or weekly). This also includes situations where a
main office may be at a given facility, but the security force only "checks in" or conducts role at that
location, and the rest of their duties are conducted at other locations.
Surge Capacity Plan
This is a plan to provide additional security force during a s pecial circumstance or elevated threat. An
example may be a chemical plant or refinery that has a surge plan to bring in 10 off duty police officers in
times of increased threat. Or a facility has a pl an to bring in a c ontract security force during a na tural
disaster when the normal employees cannot get to work or have been provided time to recover. Identify
the types of personnel used to staff this plan. For most facilities, continue to answer the security force
questions for the usual onsite or offsite security force.
Public venues such as such as stadiums, arenas, and racetracks should be assessed or viewed as if it is
“event day” or “game day". Typically this type of facility has a small security force or guard force day to
day, but a large contingent of security during the specific event. This surge of security personnel may vary
in number and type depending on the specific event occurring. A concert may have more or less security
than a N FL football game at the same venue. Ticket takers, ushers, volunteers and o thers that have
observe and report responsibility in addition to other duties during the event are not considered security
force personnel. When answering the remaining security force questions for a public venue select the
responses based on the most capable force indicated by the selections in the surge capacity plan. This
will normally be local law enforcement as most capable, followed by contract and then other organizations
/ corporate. As an example, an NFL stadium day to day has 5 security guards that secure the facility from
7 AM to 6 PM and then they lock the doors and leave. However leading up to and during the event 100
law enforcement agents from 6 agenc ies, 120 contract guards from 3 di fferent companies and 20 NFL
security specialists are added to the security force for the duration of the game and a f ew hours after.
Base your answers on the 100 law enforcement agents.

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Law Enforcement [MOA/Contract/Off-duty]
A security force could include off-duty police officers hired by the facility to augment their own contract or
employee guard force. However, the fact that there is a police station across the street, a city police
substation within a mall, or even police permanently stationed by the City in a hospital emergency room
due to crime issues, would not be considered a facility security force. Those police are not in control of
the facility and have no contractual or other responsibility to defend the facility other than their sworn
duties.
Contracted Security
If this is not checked, it is assumed the surge security force is proprietary (e.g., made up of company
employees)
Other organization/corporate
Sometimes, particularly for special events, a facility may establish agreements with a volunteer team of
off duty officers or non-security personnel. Sometimes a facility may establish agreements with a nearby
or adjacent facility. The other area this may cover is if corporate headquarters for the facility sends in an
additional security force from elsewhere in the country.
Arrest Authority
Authority granted by federal or state statute or regulation to sworn officers to execute a l egal arrest.
Usually, security officers do not have arrest authority unless they are sworn officers. It may be that offduty police officers retain their arrest authority even working as a security guard. Otherwise, it is simple
common law citizen’s arrest and not arrest authority.
Detain Authority
A Detention is a n on-consensual temporary denial of liberty. In order to detain an i ndividual, a police
officer must have "reasonable suspicion" that:
•
•
•

They are about to commit a crime
They are in the act of committing a crime, or
They have committed a crime

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Security Force Profile
Security Force Staffing
Security staffing at different types of posts (select types of posts covered by security staff at the
facility/SAA)
Static Posts

Static Post Coverage
What percentage of SAAs are covered by security force
personnel?
1-25%
26-50%
51-75%
76-99%
100 %
Check the least number of hours any static post is covered by
a security personnel:
8 hours or less
8-12 hours
12-18 hours
18-24 hours

Roving Patrols (e.g., Mobile Posts)
Select all that apply
Predetermined sequence
Random

SAA Coverage
What percentage of SAAs are covered by roving patrols?
1-25%
26-50%
51-75%
76-99%
100 %
Of those SAAs covered by roving patrols, provide the one with
the least frequent patrol:
At least once every hour
Once every 1-8 hours
Once every 8-24 hours
Less frequently than every 24 hours

Security Force Staffing Briefing Notes:

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Security staffing at different types of posts (select types of posts covered by security staff at the
facility/SAA)
Security Force Staffing captures whether the facility has sufficient security force to cover all of the facility
or SAA's either through static posts, or roving patrols. Staff should be answered for normal facility
operations. The only exception would be for public venues when the threat is against the patrons
attending an event and, therefore, the IST is being completed for the event day.
For public venues (e.g., stadiums, arenas and racetracks, convention centers), security could be provided
by law enforcement, contract or corporate personnel. Volunteers, ticket takers and ushers are not
considered security force in this methodology.
Static Posts
Static posts are positions manned by stationary personnel for entry control, monitoring and/or protection.
Static posts may be located at a s ignificant area or asset, but also could be at other areas where the
facility has determined an attendant is necessary to monitor the security of the area, such as a loading
dock, casino floor, hospital waiting room or lobby. This also includes personnel stationed at an
entry/access control point, such as a gate or door, to control entry. Static posts also include personnel
designated to monitor facility command and c ontrol centers. It does not however include positions that
monitor CCTV or an IDS. That is captured in the respective sections.
Roving Patrols
Security personnel that move around the facility or cover a large area to check that security has not been
breached or to watch for potential indicators of trouble. In some cases a facility may have both, especially
if it is a public venue.
For each type of post:
Static Posts
First determine the number of static posts that have been established by the facility. Then determine who
is stationed at each of these static posts. For instance, there may be two entry control points to the facility
(e.g., a front door and a back door) and one static post for monitoring the cameras in the control center,
however, the entry control points are staffed by non-security personnel, such as a receptionist and only
the control center is staffed by security force personnel. In this case, only one-third of the three static
posts are staffed by the security force (i.e., 33.3%) and one would select the 26-50% box. If there are no
security personnel stationed at static posts established at the facility, do not check the box for static post.
If there are three static posts, as described in the example above, and none are staffed by security
personnel, such that the percentage of coverage is 0, then do not check the box for static posts since
there is no security force coverage for static posts and do not complete any of the questions about
coverage or hours.
For a public venue it may be determined that there are 300 static posts. Some could be at entry points,
some could be on the playing field, and some may be at strategic locations near SAA's. If 200 of these
300 static posts are staffed by ushers or other with observe and report responsibility, they are not security
force, thus only one third (33%) are covered by a security force.
Determine the number of hours these static posts are covered. If the entry control points are staffed only
during business hours (e.g., a 12-hour shift) but the control room monitoring post, which is the only static
post monitored by security personnel, is staffed 24/7. Therefore, since this section is addressing security
personnel staffing the least number of hours that any static post is staffed by security personnel is 24/7,
select the box for 18-24 hours.
For a pu blic venue, answer the percentage coverage and number of hours of coverage for the most
capable surge security force present on event day. For instance, if the public venue has local law
enforcement as some part of its surge capacity plan and there are local law enforcement personnel at
each static post, then mark 100% of static posts are covered. However, if only non-security personnel,
with just “observe and r eport” authority, occupy the 16 pub lic entry/access control points (e.g., ticket
takers), and there are six other static posts staffed by the local law enforcement personnel that make up
the surge security force (e.g., the locker room door and five podiums that monitor the public areas), then
select the box for 26-50% (22 static posts – 16+6 – divided by 6 security personnel = 27.3%).

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Security Force Profile
Specify the equipment available to
the security force

Uniformed
No
Yes
Armed (i.e., gun)
No
Yes
Less than Lethal Weapons
No
Yes
If yes, complete the following
Taser
Chemical Repellant
Collapsible Baton/Baton
Stun Gun
Restraints
No
Yes
Body Armor
No
Yes
Canine Patrols
No
Yes
Communications:
No
Yes
If yes, complete the following
Radio
Cell Phone with Walkie-Talkie Capability
Duress Alarms / “Panic” Buttons: Portable
Cell Phone
Duress Alarms / “Panic” Buttons: Fixed

Security Force Equipment Briefing Notes:

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Security Force Profile
Does security force receive training?

No
Yes, if yes continue
Training Programs:
Federal/State recognized certificatio
Formal
In-house/Informal
Video
Web-based
OJT (on-the-job training)
None of the above
Continuation/In-service training:
Weekly
Monthly
Quarterly
Semi-Annually
Annually
None

If yes, security force receives training in the following topics:
Emergency Response
Bomb Threat
Break-in
Hostage/Barricade
Fire
Chemical HAZMAT release
Natural Disaster
CPR/First aid
Active shooter
All of the above
None of the above

Standard Operating Procedures
Facility-specific SOPS
Communications
ICS/NIMS
Public Relations
Legal Implications
NTAS Increase
Threat Awareness
All of the above
None of the above

Weapons and self defense
Weapons
Less Than Lethal Response
Force Continuum
Self Defense
Use of restraints
All of the above
None of the above

Screening and Access
Screening
Search Procedures
IDS
IED recognition
Surveillance Detection
All of the above
None of the above

Overall Security Force Training Briefing Notes:
Do comprehensive post orders exist?
Is there a dedicated command and control or operation center
for guard force?

No

Yes

No
Yes
If yes, specify location:

Overall Security Force Comments:

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Training Programs:
Formal
Formal training is defined as professional, contract, classroom training.
Continuation/in-service training:
Mark the most frequent training, even though different types of training may have different time
schedules.
Security training topics
This section is broken into groups of like type training. You can select individual training items, or select
the entire grouping by selecting “All of the Above” in one of the groupings.
Comprehensive post orders exist:
Post orders describe the duties to be performed by the guard assigned to a particular post (e.g., the
guard at the front desk will check badges, conduct searches). Some may call them Standard Operating
Procedures for the guard.

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Perimeter Security
Does the
facility/SAA(s)
have fencing?

No
Yes
If yes, score the rest of section for the weakest section of fence.

Fraction Enclosed

Fence
Characterization
(Check all that
apply)
(Weakest portion of
fence, if type varies)

100% of the facility enclosed AND 100% SAA(s) are enclosed
Less than 100% of the facility enclosed, BUT 100% SAA(s) are enclosed
100% of the facility enclosed, BUT less than 100% SAA(s) are enclosed
Less than 100% of the facility enclosed AND less than 100% SAA(s) are
enclosed
Type

Height

Chain link
Anti-Climb
Aluminum or steel
Standard Aluminum
or steel
Other – not chain link
Concrete
Brick and Mortar
Steel
Wrought Iron
Wood
Plastic

Less than or equal to
5 ft.
5+ ft. – 6 ft.
6+ ft. – 7 ft.
7+ ft. – 15 ft.
Greater than 15 ft.
Base of fence
Anchored
Not anchored
N/A (e.g., concrete or
brick/mortar wall)

Characteristics
Outriggers (e.g.,
barbed wire or razor
wire)
45 degrees
“Y” style
Straight up
None
Enhancements
K-rated for vehicle
penetration
Second Fence
Electric Fence
Aircraft
Cable/Vehicle
restraint cable
with reinforced
anchor points
Coiled razor wire
Coiled barbed
wire
Spikes
Privacy screening
None

Perimeter Security – Fence Briefing Notes:

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PERIMETER SECURITY
Solid
Building
Wall

Figure A

Figure C

Figure B

Figure D

Does the facility have fencing?
100% of the facility enclosed AND 100% SAA(s) are enclosed (Figure A)
Less than 100% of the facility enclosed, BUT 100% SAA(s) are enclosed (Figure B)
100% of the facility enclosed, BUT less than 100% SAA(s) are enclosed (Figure C)
Less than 100% of the facility enclosed AND less than 100% SAA(s) are enclosed (Figure D)
A fence could be a wall or any structure or natural barrier that would prevent entry (e.g., cliff or solid
building). Here critical assets are defined as the significant areas or assets (SAAs) (represented by a star
below). On rare occasions an SAA can be outside the facility perimeter. For example, a substation that is
on facility property, but outside the defined perimeter.

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Perimeter Security
Fence
Characterization
(Check all that
apply)
(Weakest portion of
fence, if type varies)

Type

Height

Chain link
Anti-Climb
Aluminum or steel
Standard Aluminum
or steel
Other – not chain link
Concrete
Brick and Mortar
Steel
Wrought Iron
Wood
Plastic

Less than or equal to
5 ft.
5+ ft. – 6 ft.
6+ ft. – 7 ft.
7+ ft. – 15 ft.
Greater than 15 ft.
Base of fence
Anchored
Not anchored
N/A (e.g., concrete or
brick/mortar wall)

Characteristics
Outriggers (e.g.,
barbed wire or razor
wire)
45 degrees
“Y” style
Straight up
None
Enhancements
K-rated for vehicle
penetration
Second Fence
Electric Fence
Aircraft
Cable/Vehicle
restraint cable
with reinforced
anchor points
Coiled razor wire
Coiled barbed
wire
Spikes
Privacy screening
None

Perimeter Security – Fence Briefing Notes:

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Fence Characterization
The focus should be on the weakest area of the fence that protects the facility or SAA or entry to
pertinent parts of the facility. For example, the facility may have 8-foot chain link fence with razor wire
topper on 99% of the perimeter. However, in one small section the fence is broken or overrun by trees or
shrubs and is only 2 f eet tall. In this example, although the vast majority of the fence is excellent, the
section that is broken creates vulnerability and therefore is the section of fence on which the questions
should focus and will be used for scoring purposes. However, consider the location of all SAAs and
whether the particular vulnerability in the fence creates a problem. If someone coming through that weak
section of fence would be immediately detected, stopped, caught in a mantrap or otherwise prevented
from accessing a SAA, then look for another weak section of fence.
It would be unusual for a bridge or tunnel to be 100% fenced. For example, The Golden Gate Bridge may
have fence along the side of the roadway for the entire length of the bridge on both sides of the road and
other areas such as anchorages and pilings may have fence. The roadway itself is not fenced thus it
cannot be 100% fenced. It would also be unusual for a railroad, rail yard, bus route or pipeline to have
100% fencing. If the facility is within a larger complex that is 100% fenced, then the facility has 100%
fence coverage. If a facility has a significant asset or area outside of the perimeter fence of the facility,
estimate the percentage of that SAA is fenced.
Type:
Anti-Climb Aluminum or steel
Anti-climb includes mesh chain link or any type of aluminum or steel fence that has a very small opening
that makes it more difficult to climb or cut. Often this fence has openings in the mesh of 1 inch or less as
compared to standard chain link that normally has openings of about 2 inches.
Base of fence: Anchoring is not that just that the fence posts are anchored in the ground, but that there
is some additional fixture that prevents crawling under the fence. This can be anchoring the bottom of the
fence into concrete, placing anchoring spikes that penetrate the ground at reasonable intervals to prevent
the fence from being accessed.
Characteristics:
Outriggers (e.g., barbed wire or razor wire)
It is assumed that the outriggers are equipped with a connecting wire such as barbed wire or razor wire. If
they are not, they are not outriggers, but simply extra extensions on the end of the fence posts.
Enhancements:
K-rated for vehicle penetration
To select this option, the fence must have a verified DOS K-rating (4, 8, or 12).
Second Fence
This means that in addition to the fence being described, there is another fence inside that fence
protecting the facility or SAA. Think of a prison with a fence, a no-man zone and another fence.
Coiled razor wire or coiled barbed wire
This can be additional razor or barbed wire coiled at the top of the fence within the regular outrigger or
coiled at the bottom of the fence to prevent gaining proximity to the bottom of the fence.
Spikes
The spikes would be in the top of a fence or wall to prevent scaling.
Privacy screening
Privacy screening can be slats or mesh fabric. It is used to limit visibility of any SAAs that may be on the
other side of the fence.

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Perimeter Security
Other fence characteristics

Is there a clear zone?

No
Yes

(An area inside or outside the perimeter
that allows for clear sight of fence
perimeter, e.g., no vegetation or
objects, no privacy slats)
Is the area free of objects / structures
that would aid in traversing the fence
(trees, sheds, barrels, etc.)

No
Yes
Describe:

Fence is clearly marked with visible,
well-placed “warning” signs.

No
Yes

Perimeter Security - Fence Characteristics Comments:

Overall Fence Comments:

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Other fence characteristics:
Is there a clear zone?
A clear zone should be an area both outside and inside the fence. It should be clear of vegetation.
Fence is clearly marked with visible, well-placed “warning” signs
Well-placed means that the signs are placed at intervals on t he fence to clearly warn, not just at the
entrance.

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Perimeter Security
Do Gates Exist?
Gate
Characterization
(weakest of each
type of gate)

Vehicle

No
Yes
Style
Hydraulic wedge
Hydraulic Drop Arm
Roller or Slide gate
Swing gate
Drop arm (not hydraulic)
Moveable bollards
Open/No gate
Additional Controls
Sally Port (dual gates with
entrapment area)
Single Lane
None
Characteristics
Outriggers (e.g. barbed
wire/razor wire)
45 degrees
“Y” style
Straight up
None

Construction
Chain link
Anti-climb Aluminum or Steel
Standard Aluminum or Steel
Other – not chain link
Steel
Wrought Iron
Wood
Plastic
Height
Less than or equal to 5 ft.
5+ ft. - 6 ft.
6+ ft. – 7 ft.
7+1 ft. – 15 ft.
Greater than 15 ft.
Gate is clearly marked with visible wellplaced “warning” signs
No
Yes

Enhancements
K-rated for vehicle penetration
Privacy screening
Coiled barbed wire
Spikes
Coiled razor wire
None
Describe:
Vehicle Gate Briefing Notes:

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Gate Characterization:
Select the types of gates that exist at the facility (vehicle, pedestrian and/or rail). You can select all three
if applicable. Then select the style of gate for each type of gate, focusing on the weakest or least effective
gate for each type. Similar to fencing, the focus should be on the weakest gate that protects an SAA or
entry to pertinent parts of the facility. For example, the facility has four vehicle gates; however, one
protects only the company baseball diamond, focus on t he weakest of the other three. For instance,
choosing between a wooden drop arm and a steel sliding gate, typically, the wooden drop arm is the
weaker gate. Select the style for that weakest gate. Do the same for pedestrian and rail gates if it applies.
In another example, perhaps an emergency gate is really not accessible and breaching the gate on foot
or with vehicle is not practical; then focus on the next weakest gate. You can add comments about all the
other gates if desired.
Style – Vehicle:

Swing gate

Hydraulic wedge

Drop arm (not hydraulic)
Hydraulic Drop Arm

Moveable bollards

Roller or Slide gate

Sally Port (dual gates with entrapment area)

Open/No gate

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Additional Controls
Single Lane
A gate where the road is narrowed down to allow only one lane of traffic at a time.
Characteristics:
Outriggers (e.g., barbed wire or razor wire)
It is assumed that the outriggers are equipped with a connecting wire such as barbed wire or razor wire. If
they are not, they are not outriggers, but simply extra extensions on the end of the fence posts.
Enhancements:
K-rated for vehicle penetration

To select this option, the fence must have a verified DOS K-rating (4, 8, or 12).
Privacy screening
Privacy screening can be slats or mesh fabric. It is used to limit visibility of any SAAs that may be on the
other side of the fence.
Coiled razor wire or coiled barbed wire
This can be additional razor or barbed wire coiled at the top of the fence within the regular outrigger or
coiled at the bottom of the fence to prevent gaining proximity to the bottom of the fence.
Spikes
The spikes would be in the top of a fence or wall to prevent scaling.
Anti-Climb Aluminum or steel
Anti-climb includes mesh chain link or any type of aluminum or steel fence that has a very small opening
that makes it more difficult to climb or cut. Often this fence has openings in the mesh of 1 inch or less as
compared to standard chain link that normally has openings of about 2 inches.
Characteristics:
Outriggers (e.g., barbed wire or razor wire)
It is assumed that the outriggers are equipped with a connecting wire such as barbed wire or razor wire. If
they are not, they are not outriggers, but simply extra extensions on the end of the fence posts.
Enhancements:
K-rated for vehicle penetration

To select this option, the fence must have a verified DOS K-rating (4, 8, or 12).
Privacy screening
Privacy screening can be slats or mesh fabric. It is used to limit visibility of any SAAs or facility that may
be on the other side of the gate.
Anti-Climb Aluminum or steel
Anti-climb includes mesh chain link or any type of aluminum or steel chain link that has a v ery small
opening that makes it more difficult to climb or cut. Often this fence has openings in the mesh of 1 inch or
less as compared to standard chain link that normally has openings of about 2 inches.
Coiled razor wire or coiled barbed wire
This can be add itional razor or barbed wire coiled at the top of the gate within the regular outrigger or
coiled at the bottom of the gate (very unusual) to prevent access to the bottom of the gate.
Spikes
The spikes would be in the top of a gate to prevent scaling of the gate by a person.

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Perimeter Security
Pedestrian

Style
Full Height turnstile
Swing gate
Open turnstile
Open/No gate
Characterization
Outriggers (e.g., barbed
wire/razor wire)
45 degrees
“Y” style
Straight up
None
Enhancements
Reinforced anchor points
Coiled razor wire
Coiled barbed wire
Spikes
None
Describe:

Construction
Chain link
Anti-climb Aluminum or Steel
Standard Aluminum or Steel
Other – not chain link
Steel
Wrought Iron
Wood
Plastic
Height
Less than or equal to 5 ft.
5+ ft. - 6 ft.
6+ ft. – 7 ft.
7+ ft. – 15 ft.
Greater than 15 ft.
Gate is clearly marked with visible
well-placed “warning” signs
No
Yes

Pedestrian Gate Briefing Notes:

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Style – Pedestrian
Full Height turnstile

Swing gate

Open turnstile

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Perimeter Security
Style
Moveable bollard/jersey
Roller or Slide gate
Swing gate
Drop arm
Open/No gate

Rail

Additional Controls
Sally Port (dual gates with
entrapment area)
Single Track
None
Characterization
Outriggers (e.g., barbed wire
or razor wire)
45 degrees
“Y” style
Straight up
None
Enhancements
Train derailer
Coiled razor wire
Coiled barbed wire
Spikes
None

Construction
Chain link
Anti-climb Aluminum or Steel
Standard Aluminum or Steel
Other – not chain link
Steel
Wrought Iron
Wood
Height
Less than or equal to 5 ft.
5+ ft. 6 ft.
6+ ft. – 7 ft.
7+ ft. – 15 ft.
Greater than 15 ft.
Gate is clearly marked with visible
well-placed “warning” signs
No
Yes

Describe:
Rail Gate Briefing Notes:

Overall Gate Comments:

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Rail Gates
Sally Port (dual gates with entrapment area)

Characteristics:
Outriggers (e.g., barbed wire or razor wire)
It is assumed that the outriggers are equipped with a connecting wire such as barbed wire or razor wire. If
they are not, they are not outriggers, but simply extra extensions on the end of the fence posts.
Enhancements
Train derailer

Coiled razor wire or coiled barbed wire
This can be additional razor or barbed wire coiled at the top of the fence within the regular outrigger or
coiled at the bottom of the fence to prevent gaining proximity to the bottom of the fence.
Spikes
The spikes would be in the top of a fence or wall to prevent scaling.
Anti-Climb Aluminum or steel
Anti-climb includes mesh chain link or any type of aluminum or steel fence that has a very small opening
that makes it more difficult to climb or cut. Often this fence has openings in the mesh of 1 inch or less as
compared to standard chain link that normally has openings of about 2 inches.

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Entry Controls
ENTRY CONTROL DURING OPERATING HOURS
How is access to the facility or SAA controlled when the facility is open such as during normal business
hours, fully operational, normal staffed, or during event hours?
Contractor /
Customer / Patron /
Employee
Visitor
Vendor
Public
Facility or SAA does not allow
or does not receive these
individuals or groups (not
open to the public, no
customers, no visitors)
Unattended, no personnel
involved in access to the
facility or SAA (go to locks
and technology)
Entry Control Personnel During Operating Hours Briefing Notes:

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ENTRY CONTROLS
There are several entry control help videos available on IST Help.
For Entry Controls, consider the entry controls in place during operating hours and then again for offbusiness hours. Operating hours is for the facility during regular facility operations, including when the
facility is open to the public (including during game day/incident day at a sports/event venue), carrying on
full operations or for unmanned facilities when employees, contractors or visitors would normally enter the
facility. Off-business hours are the times when the facility is either closed with no operations or operating
in a reduced mode that changes the security posture. If the facility is a 365/24/7 facility, you may indicate
that the entry controls are the same for both business hours and non-operating hours to cover all 24
hours of the day. It is often helpful to consider the entry control elements as statements that either apply
or do not apply. It is also best to answer by column, verses row. Others have discovered it is best just to
ask about the process without displaying the actual section (for those who tend to display the question
set).
Next determine the types of individuals that are allowed into the facility. Each type of individual may have
different entry controls. For each type of individual entering the facility, select the weakest controls
imposed by the facility. So, if one gat e has a s wipe card only and one gate has an ar med guard that
checks the employee ID, complete the entry controls at the weakest employee entrance. Similarly
complete the controls for the weakest visitor entrance, weakest contractor entrance and weakest
patron/customer entrance. Include all entry controls that must be utilized to get to the actual facility or
SAAs. For instance, if a visitor must first enter the lobby and receive a badge, go up in the elevator and
then be admitted by an unarmed guard and then be escorted while within the facility, all of these entry
controls should be selected not just the first “hurdle” the visitor must pass. During an SAV, some SAAs
may have more layers of entry control than others. For an SAV select the weakest entry control layers to
enter the facility or SAA.
There are four categories of facility entry control: Employee, Visitor, Contractor/Vendor, and Customer /
Patron / Public.
Employee is defined as individuals that work for that particular facility. If you were to look at their pay
statement it would clearly state they are employed directly by company XYZ. This does not include
contractor/vendor regardless of how integrated the contractor is into the company. All facilities will have
employees there at some point in time and entry controls should always be completed for employees.
Visitor is defined as an individual that is normally not employed by the facility and is visiting the facility to
conduct business, attend meetings, go on a f acility tour or has some reason to see an em ployee or
employees at the facility. It is possible, yet very rare, that a visitor could be an employee of the facility, but
is from a different location. For example, a Company ABC employee that is assigned to a Seattle office
visits the Chicago office. The only reason this example would apply is if the visiting employee (from
Seattle) has to go through a different access control process at the Chicago office than the employees
assigned to the Chicago office.
Contractor / Vendor is defined as anyone who comes to the facility for the purposes of conducting work
such as maintenance, construction, security, refill candy machines, soda machines, deliver materials or a
host of other reasons. This category also includes contractors that are employed by the facility directly
and may work side by side with the regular employees of the facility. For example, a Company ABC
employee that is contracted by Company XYZ and works at the Chicago office. The access control
process of the contractor may be identical to the regular employee, or may be slightly different. This also
includes a s ecurity force that is contracted such as Wackenhut or Securitas who may provide various
levels of security for a facility. However, the contractor/vendor that is given access to the facility/SAA with
the weakest control should be the focus of the answers for this section (e.g., the candy machine vendor).

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Customer / Patron / Public is limited to any situation where the facility/SAA is open to the public and
individuals are invited into the facility. Shopping malls, museums, arenas, stadiums, parks, theaters, and
retail facilities are all examples where a c ustomer or patron is likely to be found. This also applies to
facilities such as a State driver license facility that people must visit to get a license and similar types of
facilities. A road bridge is typically open to the public, since the public may drive their cars across the
bridge. (However, be sure to identify under contractor the access control for the person conducting
preventive maintenance on the bridge). A railroad bridge is normally not open to the public. Even though
people can access the bridge, since the rail lines must be kept clear for trains, in most cases, people on
rail lines or tracks would be considered trespassing.
It is assumed trespassing can occur anywhere, but these individuals are not visitors or
customers/patrons/public. The entry controls in place are assumed to be the facility’s attempt to prevent
trespassers.
If the facility is open to the public, the column for patrons/customers will apply. Open to the public is a
facility that invites the public to enter, e.g., stadiums, museums, shopping malls, or hotels. If the facility is
not open to the public, select “Facility or SAA does not allow or does not receive these individuals or
groups (not open to the public, no customers, no visitors)” and no entry controls need to be selected for
that type of individual.
If facilities do not allow visitors or contractors, select “Facility or SAA does not allow or does not receive
these individuals or groups (not open to the public, no c ustomers, no v isitors). This selection is not
allowed for employees (grayed out or no checkbox). There are some facilities that do not receive visitors
at all. Only facilities open to the public will probably have customers or patrons. There are very few
facilities that do not receive contractors or vendors. If this selection applies, no entry controls need to be
selected for that type of individual. In the electronic version, this column will blank out once this selection
is checked. This selection must be checked once for business hours section and again for entry controls
during off-business hours. For instance, patrons/customers/public or contractor/vendors may be allowed
during business hours, but not at all during off-business hours.
If entry does not involve getting past a person, e.g., an employee door with a swipe card or a perimeter
gate with a padlock, indicate that entry is “Unattended, no personnel involved in access to the facility or
SAA and go directly to the locks and technology section.
Entry controlled by personnel has two sections, face-to-face contact/control and through a remote control
device. If the facility has both types of entry control, complete both sections.

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Entry Controls
ENTRY CONTROL DURING OPERATING HOURS
How is access to the facility or SAA controlled when the facility is open such as during normal business
hours, fully operational, normal staffed, or during event hours?
People (face to face interaction, not remote camera or call box)
Contractor /
Customer / Patron /
Employee
Visitor
Vendor
Public
Guard (armed)
Guard (unarmed)
Employee that is not a
security guard but controls
access
Ticket or toll collection agent
Entry Control Personnel During Operating Hours Briefing Notes:

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People (face to face interaction, not remote camera or call box)
Employee that is not a security guard but controls access can be a r eceptionist if his/her job is to
implement any of the controls listed below. This can include casual recognition in that the receptionist
would report someone entering that is not recognized. If it is a person that has no entry control duties and
is simply there to point people in the correct direction or answer questions, do not select this type of faceto-face entry.
Ticket or toll collection agent would only apply to patrons/customers at a f acility open to the public.
Even though this is not a strict type of entry control, it is something that would allow the personnel
controlling entry to stop someone from entering without taking some action and thus allowing entry control
personnel to report improper entry to the facility or SAA.

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Entry Controls
ENTRY CONTROL DURING OPERATING HOURS
How is access to the facility or SAA controlled when the facility is open such as during normal business
hours, fully operational, normal staffed, or during event hours?
Contractor /
Customer / Patron /
Employee
Visitor
Vendor
Public
People (remote camera or call box of some type)
Guard (security force, armed
or unarmed) with validation
(e.g., visitor list)
Employee that is not a
security guard with validation
(e.g., visitor list)
Call button or camera that is
acknowledged without
validation. (Buzz them in
without knowing who it is)
Entry Control Personnel During Operating Hours Briefing Notes:

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People (remote camera or call box of some type)
Guard (security force, armed or unarmed) with remote camera and validation (e.g., visitor list)
Guard with remote camera and validation means the guard looks through the camera and validates the
visitor (e.g., checks some list or documentation) before remotely allowing the visitor/contractor/employee
to enter the facility.
Guard (security force, armed or unarmed) without remote camera but with validation (e.g., visitor
list)
Guard does not have a remote camera, but through the call box validates the visitor (e.g., checks some
list or documentation) before remotely allowing the visitor/contractor/employee to enter the facility.
Employee that is not a security guard granting access with remote camera and validation (e.g.,
visitor list)
Employee with remote camera and v alidation means that the person activating the entry control device
checks some list or documentation before remotely allowing the visitor/contractor/employee to enter the
facility. This could be a receptionist or an employee being visited. For instance, a call box that allows a
visitor or contractor to dial a number of the person they are there to see and be admitted after identifying
themselves through the device.
Employee that is not a security guard granting access without remote camera but with validation
(e.g., visitor list)
Employee does not have a remote camera, but through the call box validates the visitor (e.g., checks
some list or documentation) before remotely allowing the visitor/contractor/employee to enter the facility.
This could be a receptionist or an employee being visited. For instance, a call box that allows a visitor or
contractor to dial a number of the person they are there to see and be a dmitted after identifying
themselves through the device.
Call button or camera that is acknowledged without validation. (Buzz them in without knowing
who it is)
This is the weakest entry control and would allow anyone, without any validation as to identity or purpose
to enter the facility with the simple activation of the remote device.

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Entry Controls
ENTRY CONTROL DURING OPERATING HOURS
How is access to the facility or SAA controlled when the facility is open such as during normal business
hours, fully operational, normal staffed, or during event hours?
Process that requires a person be present to implement
Contractor /
Customer / Patron /
Employee
Visitor
Vendor
Public
X-Ray Scanner
Escort required at all times
Escort required only in
sensitive areas
Metal Detectors
(Magnetometer)
Vapor Detectors
Chemical Detectors
Ion Mobility Spectrometer
Radiation Detection
Exchange badge
Credential check (Facility
issued photo ID)
Credential displayed while
onsite
Credential designates access
to specific areas
Canine Olfaction (K-9)
Package Searches
Physical Searches
Credential check (Facility
issued non-photo ID)
Credential check (Gov.
issued ID)
Sign in / out
Casual Recognition
Entry Control Process During Operating Hours Briefing Notes:

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Process that requires a person be present to implement
The following entry controls can only be selected if it is indicated that a person is present to implement
those controls. For instance you cannot have a metal detector or vapor detector without a person to
monitor the procedure.
X-Ray Backscatter Scanner
Low-dose scanning devices that safely examine people for hidden items, providing an image of the body
beneath clothes.
Metal Detectors (Magnetometer)
People or packages are made to pass through metal detector/magnetometer.
Vapor Detectors
A swipe sample can be collected and heated to vaporize particles from the sample or an air sample can
be collected. The vapor is then analyzed to detect trace explosives vapors.
Chemical Detectors
These devices may be electric or non-electric. They range from air samplers to wipes of some type to
sophisticated electronic devices that identify particulates.
Ion Mobility Spectrometer
A spectrometer capable of detecting and identifying very low concentrations of chemicals based upon the
differential migration of gas phase ions through a homogeneous electric field.
Radiation Detection
A device that can detect radiation (e.g., Geiger counters, dosimeters)
Exchange badge
This is where the personnel badge is not taken home, but something must be provided before the badge
is re-issued to the employee each day (e.g., a driver’s license).
Credential check (Facility issued photo ID)
This is where the Guard/entry personnel require a facility-issued photo ID be presented prior to entry.
Credential designates access to specific areas
This would require that the badge has some distinguishing attribute (e.g., color or words) to indicate the
areas where the person wearing the badge is to have access
Canine Olfaction (K-9)
This is the use of dogs to detect contraband on persons or in packages.
Package Searches
Incoming packages are passed through an X-ray technology device that produces an image for an
operator to inspect.
Physical Searches
Guards/personnel search people entering the building for contraband
Credential check (Facility issued non-photo ID)
This is where the Guard/entry personnel require a facility-issued ID with no photo be presented prior to
entry.
Credential check (Gov. issued ID)
This is where the guard/entry personnel require a g overnment-issued ID (e.g., driver’s license) prior to
entry.
Sign in / out
Individuals entering the facility/SAA are required to sign in upon entry and sign out when leaving.
Casual Recognition
This is where the guard/entry personnel simply recognize employees or vendors to allow entry to the
facility.

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Entry Controls
ENTRY CONTROL DURING OPERATING HOURS
How is access to the facility or SAA controlled when the facility is open such as during normal business
hours, fully operational, normal staffed, or during event hours?
Locks and Technology
Identify the locks and technology in place to control access.
Contractor /
Customer / Patron /
Employee
Visitor
Vendor
Public
Biometric (hand, eye,
signature, voice, face)
ID actuated (coded
credential, proximity card,
swipe card)
Electronically coded (PIN)
Mechanically coded (PIN)
Key cylinder lock (door
mounted)
Combination lock (door
mounted)
Padlock/chain or hasp
No locks or technology
controls at any time

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Identify the locks and technology in place to control access
The answers below should reflect the weakest entry control point at the facility/SAA. It may reflect layers
of security in that it should include each type of lock that is necessary to get into the facility. So, if all
employees use a swipe card to enter the facility, but there are additional locks to access specific SAAs,
for the facility only ID actuated would be selected. However, if entry to the SAA, which is the data control
room, entry control locks and technology may include a lock at the lobby of the building, the lock (swipe
card) in the elevator (facility controls), and the lock on the data center door (SAA only).
Biometric (hand, eye, signature, voice, face)
Where entry depends on personnel identity verification systems that corroborate claimed identifies on the
basis of some unique physical biometric characteristic, including hand or finger geometry, handwriting,
eye pattern, fingerprints, speech, fact and v arious other physical characteristics. Biometric devices can
differentiate between verification and recognition. In verification mode, a person initiates a c laim of
identity, presents the specific biometric feature for authorization and the equipment agrees. In recognition
mode, the person does not initiate the claim, the biometric devices attempts to identify the person and the
biometric information is compared with a database.
ID actuated (coded credential, proximity card, swipe card)
This is typically considered some type of lock that requires other identification before the lock is activated.
This may be some type of swipe card, badge activation. If this option is selected, please provide
information on additional access control activities.
Electronically coded (PIN)
This is a random generated keypad attached to the door/gate.
Mechanically coded (PIN)
This is a cipher lock keypad attached to the door/gate.
Key cylinder lock (door mounted)
This is a normal door lock activated with a key.
Combination lock (door mounted)
This is a c ombination lock mounted on t he door/gate. This does not include padlocks activated with a
combination. If this option is selected, please provide information on additional access control activities.
Padlock/chain or hasp
This is a t ypical padlock that can be activated by a key or combination that is latched through a h asp
attached to the door or gate or through a chain that secures the door/gate to the accompanying fence or
wall so that the door/gate cannot be opened sufficiently to allow entry. If this option is selected, please
provide information on additional access control activities.
No locks or technology controls at any time
This may be an appropriate selection for a contractor, vendor, visitor or customer if it has been selected
that the person is always escorted, since they will not be provided their own technology control or keys,
but will rely on the escort to activate any locks or technology controls.

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Entry Controls
ENTRY CONTROL DURING OPERATING HOURS
How is access to the facility or SAA controlled when the facility is open such as during normal business
hours, fully operational, normal staffed, or during event hours?
Locks and Technology
Identify the locks and technology in place to control access.
If key-actuated lock (door mounted) or Padlock/chain or hasp is selected, additional access control
activities for systems
Contractor /
Customer / Patron /
Employee
Visitor
Vendor
Public
System exists for retrieving
keys from terminated
employees and contractors
Formal key control inventory
are in place (who has what
key)
Keys cannot be easily
duplicated
Master keys are not used
outside of the security force
None (Facility uses keys, no
key control system)

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If key-actuated lock is selected, additional access control activities for systems
This section would be completed ONLY IF the facility uses key-cylinder locks for its weakest doors/gates
or Padlock/chain or hasp.
System exists for retrieving keys from terminated employees and contractors
This is a s ystem that uses the key inventory to determine which terminated employees or contractors
have critical keys and identifies a process for retrieving those keys before the terminated individual leaves
the facility. Termination can be either voluntary or involuntary.
Formal key control inventory are in place (who has what key)
A formal key control inventory must have procedures to determine what keys are to critical areas or
assets; determine who has each such key, including a process for periodically auditing key assignment to
make sure each key is accounted for.
Keys cannot be easily duplicated
These are usually keys that have unusual key blanks such that the local True Value will not have a
convenient blank for duplication. In addition, it is prudent to mark such keys with “Do Not Duplicate.”
Master keys are not used outside of the security force
It may be that maintenance and housekeeping has master keys to areas that are not secured or critical,
however, to answer yes for this question, master keys to secure areas would be l imited to security
force/management.

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Entry Controls
ENTRY CONTROL DURING OPERATING HOURS
How is access to the facility or SAA controlled when the facility is open such as during normal business
hours, fully operational, normal staffed, or during event hours?
Locks and Technology
Identify the locks and technology in place to control access.
If ID actuated lock is selected, additional access control activities for systems
Employee

Visitor

Contractor /
Vendor

Customer / Patron /
Public

System exists for removing
termed or terminated
employees from database
Multiple access levels are in
place based on need
Entry control alarm and event
activity is continuously
monitored by a person
Required to badge in and out
Anti-passback
No "piggy backing" policy
Access card database is
regularly reviewed for
accuracy
Access activity reports are
reviewed regularly
Fail secure
Fail safe
Entry Control Locks and Technology During Operating Hours Briefing Notes:

Overall Entry Control During Operating Hours Comments:

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If ID actuated lock is selected, additional access control activities for systems
This section would be completed ONLY IF the facility uses ID-actuated locks for its weakest door/gate.
ID-actuated may include swipe cards, proximity cards, and ot her items that electronically control entry
using a device based on employee identity.
System exists for removing termed or terminated employees from database
This is a system that uses the ID card database to determine which terminated employees or contractors
have ID-actuated swipe cards/keys and identifies a pr ocess for retrieving those keys before the
terminated individual leaves the facility. Termination can be either voluntary or involuntary.
Multiple access levels are in place based on need
This is a pr ocess that allows the ID-actuated card/key to be activated only for certain zones or areas
within the facility. For instance some employees can swipe only into the main gate, while others can swipe
into secure areas and some into even more secure rooms.

Entry control alarm and event activity is continuously monitored by a person
Required to badge in and out
A card swipe in the device is needed to entry and to exit the facility.
Anti-passback
The goal or process in place should prevent a cardholder from passing back their pass or swipe card to
gain entry to an access controlled area. There should be a physical barrier or person that prevents an
individual from handing a pass or swipe card back to another person.
No "piggy backing" policy
Piggybacking is when one person uses their card in the device to access the facility and allows others to
come in without using a card in the device. A “No piggybacking” policy requires each person to use their
card in the device to gain access to the facility.
Access card database is regularly reviewed for accuracy
This is the process where ID-actuated cards are matched to employees and any discrepancies are
corrected such that each card is correctly inventoried to a particular employee.
Access activity reports are reviewed regularly
This is a process where database reports of who is using which card where is reviewed to determine that
the systems is correctly allowing entry only to properly issued cards and to ensure the system correctly
limits access to areas with limited card access controls.
Fail secure

This is the situation where the door locks when power is removed and unlocks when power is
restored.
Fail safe

This is the situation where if the electrical power fails, the door unlocks.

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Entry Controls
ENTRY CONTROL DURING OFF-BUSINESS HOURS
How is access to the Facility or SAA controlled when the facility is closed, such as times when it has
minimal staff, weekends, non-business hours or non-event hours
Contractor /
Customer / Patron /
Employee
Visitor
Vendor
Public
No change from ENTRY
CONTROL DURING
OPERATING HOURS.
Access control process and
procedures are the same
regardless of operational
status, operating hours,
staffing or event
Facility or SAA does not allow
or does not receive these
individuals or groups during
off-business hours
If the process changes, identify the differences by selecting the appropriate areas below
Unattended, no personnel
involved in access to the
facility or SAA (move to locks
and technology)
People (face to face interaction, not remote camera or call box)
Guard (armed)
Guard (unarmed)
Employee that is not a
security guard but controls
access
Ticket or toll collection agent
People (remote camera or call box of some type)
Guard (security force, armed
or unarmed) with validation
(e.g., visitor list)
Employee that is not a
security guard with validation
(e.g., visitor list)
Call button or camera that is
acknowledged without
validation. (Buzz them in
without knowing who it is)
Entry Control Personnel During Off-business Hours Briefing Notes:

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No change from ENTRY CONTROL DURING OPERATING HOURS. Access control process and
procedures are the same regardless of operational status, operating hours, staffing or event.
If the facility is open 365/24/7, and if there is no change to the control process and procedures for a type
of individual gaining entry to the facility, just check this selection for each type of individual that enters the
facility and no further selections need be r eviewed (it will gray out in the web-based version, but just
ignore them in the hard-copy version).
If, however, the control process or procedures changes during off-hours for any of the different types of
individuals entering the facility, do not check this selection, but instead go through and select those
control items that apply to that type of individual during this time of day for the facility. For instance, during
the day employees go through the front gate and show their ID at the door, however, during off-business
hours, employees would use a swipe card to enter through another door (perhaps not all employees, but
those provided with this special access control device). Another example is a railroad station that is
completely open during the busy hours of the day, but controls access during the night hours to allow only
people with tickets for late-night train departures.

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Entry Controls
Process that requires people be present to implement
Contractor /
Employee
Visitor
Vendor

Customer / Patron /
Public

X-Ray Scanner
Escort required at all times
Escort required only in
sensitive areas
Metal Detectors
(Magnetometer)
Vapor Detectors
Chemical Detectors
Ion Mobility Spectrometer
Radiation Detection
Exchange badge
Credential check (Facility
issued photo ID)
Credential displayed while
onsite
Credential designates access
to specific areas
Canine Olfaction (K-9)
Package Searches
Physical Searches
Credential check (Facility
issued non-photo ID)
Credential check (Gov.
issued ID)
Sign in / out
Casual Recognition
Entry Control Process During Off-Business Briefing Notes:

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Entry Controls
Identify the locks and technology in place to control access.
Employee
Biometric (hand, eye,
signature, voice, face)
ID actuated (coded
credential, proximity card,
swipe card)
Electronically coded (PIN)

Visitor

Contractor /
Vendor

Customer / Patron /
Public
[Open to the public]

Mechanically coded (PIN)
Key cylinder lock (door
mounted)
Combination lock (door
mounted)
Padlock/chain or hasp
No locks or technology
controls at any time
If key-actuated lock (door mounted) or Padlock/chain or hasp is selected, additional access control
activities for systems
System exists for retrieving
keys from terminated
employees and contractors
Formal key control inventory
are in place (who has what
key)
Keys cannot be easily
duplicated
Master keys are not used
outside of the security force
None (Facility uses keys, no
key control system)

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Entry Controls
If yes to ID-actuated lock, additional access control activities or systems
Employee

Visitor

System exists for removing
termed or terminated
employees from database
Multiple access levels are in
place based on need
Entry control alarm and event
activity is continuously
monitored by a person
Required to badge in and out

Contractor /
Vendor

Customer / Patron /
Public
[Open to the public]

Anti-passback
No "piggy backing" policy
Access card database is
regularly reviewed for
accuracy
Access activity reports are
reviewed regularly
Fail secure
Fail safe
Entry Control Locks and Technology During Operating Hours Briefing Notes:

Overall Entry Control During Operating Hours Comments:

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Parking/Delivery/Standoff
Can any vehicle be placed
(legally or illegally) within
400 feet of the facility or
any SAA?

No
Yes
If yes, is parking:
Uncontrolled
Controlled

If yes, complete the following for parking controlled and/or uncontrolled. If there is no controlled
parking, just complete for uncontrolled.
Controlled
Uncontrolled
Select the closest
Company vehicle
Company vehicle
vehicle/vessel placement to
parking/Employee vehicle
parking/delivery/docking
the facility or SAA
Legal public parking
Legal public parking
Delivery vehicle
Delivery vehicle
Illegally placed vehicle
Select the largest-size of
Car
Car
vehicle at this closest
Van
Van
placement area to the
Truck
(up
to
26
feet)
Truck (up to 26 feet)
facility or SAA.
Truck (26 feet or more)
Truck (26 feet or more)
Rail car
Rail car
Boat (30 feet or more)
Boat (30 feet or more)
Ship/Barge
Ship/Barge
Select the type of
placement

Is parking/vehicle
placement monitored?

Type
Adjacent multi-level garage
Adjacent on street
Adjacent open lot
Adjacent loading dock or pier
Under building or structure
Above building or structure
(roof or similar situation)
No
Yes
If Yes, parking is monitored by
(check all that apply):
CCTV
24/7
Security personnel
24/7
Other than security personnel
24/7

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Type
Adjacent multi-level garage
Adjacent on street
Adjacent open lot
Adjacent loading dock or pier
Under building or structure
Above building or structure
(roof or similar situation)
No
Yes
If Yes, parking is monitored by
(check all that apply):
CCTV
24/7
Security personnel
24/7
Other than security personnel
24/7

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PARKING/DELIVERY/STANDOFF
The concept for data collection in this section is to capture the largest vehicle that can get closest to the
facility/SAA with the least controls. Therefore, a c ar within 10 f eet with reasonable controls is less of a
vulnerability to the facility than a car within 20 feet with no controls, even though it is closer. Conversely, a
car within 10 feet within only minimal control (e.g., casual recognition) will be more vulnerability than a car
within 20 feet with no controls. This section also addresses illegally-placed vehicles, not just legal parking.
This question determines whether the consequence of an explosion from a VBIED can be mitigated by
increasing the distance a VBIED can be placed from the facility. This is also captured in calculation of the
Protective Measures Index to capture preventing a VBIED from approaching the facility.
Can any vehicle be placed (legally or illegally) within 400 feet of the facility or any SAA?
If the only parking allowed is more than 400 f eet from the facility or an SAA, it can be c onsidered no
parking is allowed at the facility.
Uncontrolled
This is parking that can be accessed by anyone without passing through any entry control point.
Controlled
Controlled parking is where the vehicle must get past some entry control point, attended or unattended.
Company vehicle parking
A company vehicle is a vehicle owned or leased by the facility owner/operator and operated by company
personnel. It is usually placarded with the name of the company.
Employee vehicle parking
This refers to onsite employee parking (privately-owned vehicles).
Legal public parking
Legal parking can be on or off facility property, including employee parking, third-party parking (e.g.,
visitors or customers), nearby/adjacent public parking lots, and on-street parking.
Delivery vehicle
This can be any third-party (non-company) delivery vehicle making a delivery to the facility, including a
facility dock, the building lobby, a chemical tank, or to the front door.
Illegally placed vehicle
An illegally-placed vehicle is one that can be parked on or off facility property, even though parking is not
allowed (e.g., under a bridge with no-trespassing signs or in an alley with no-parking signs). It does not
include ramming a fence to place the vehicle.
Parking/vehicle placement is monitored
Monitoring can include viewing the parking area (legal or illegal) on CCTV, via security personnel onsite
or via other non-security personnel (e.g., parking attendants or onsite operations personnel)

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Parking/Delivery/Standoff
Is there a procedure/policy
to identify and act on
unauthorized extended-stay
vehicles (e.g., reporting to
security,
LLE
or
tow
company)?
What is the minimum
standoff between vehicle
and the facility or the
nearest SAA?

No
Yes

Number of feet:

No
Yes

Number of feet:

Parking/Delivery/Standoff Briefing Notes:

Overall Parking/Delivery/Standoff Comments:

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What is the minimum standoff between vehicle and the facility or the nearest SAA?
Consider where the main facility or any SAAs are located and the closest area where this closest
uncontrolled parking is located. If you have on-street parking at a hi gh-rise and no parking structure
associated with the high-rise, the width of the sidewalk is your minimum standoff. When considering
commercial buildings and the “facility” or the SAA is on an upper floor, if a VBIED within a parked vehicle
can cause the destruction of the building, and thus the SAA or “facility,” then the closest point for
calculating minimum stand-off, should be the closest point parking is allowed next to the building.
Enter a single number to answer the minimum standoff question, even if it is 0. For instance, if there is
under-building parking, the minimum standoff from the building is 0 feet.

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Parking/Delivery/Standoff
COMPLETE ONLY FOR CONTROLLED PARKING
During
Business/Operating
Hours

During Off-Business/Operating
Hours
Facility or SAA does not allow
controlled parking during offbusiness/operating hours
Yes
No
If No, stop.
If yes, is there a change in parking
access control for off-business
hours?
Yes
No
If No, stop.

If the facility allows controlled
parking during these hours,

Unattended, no
personnel involved in
the vehicle access to
the facility or SAA (go
to locks and
technology)
Attended

Unattended, no personnel
involved in the vehicle access to
the facility or SAA (go to locks
and technology)
Attended

If attended, personnel-controls at the weakest parking access control point:
Access controlled by face-to-face personnel interaction:
Guard (armed)
Guard (unarmed)
Employee that is not a security
guard but controls access
Ticket or toll collection agent
Access controlled by person but via remote CCTV or call box of some type
Guard (security force, armed or
unarmed) with validation (e.g.,
visitor list)
Employee that is not a security
guard with validation (e.g., visitor
list)
Call button or camera that is
acknowledged without validation.
(Buzz them in without knowing
who it is)
If attended, weakest parking access vehicle search
Vehicle Search
100%
Random

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Is there a change in parking/delivery access control for off-business hours?
For Facility Entry Controls, consider the entry controls in place during operating hours and then again for offbusiness hours. Operating hours is for the facility during regular facility operations, including when the facility
is open to the public (including during game day/incident day at a sports/event venue), carrying on full
operations or for unmanned facilities when employees, contractors or visitors would normally enter the
facility. Off-business hours are the times when the facility is either closed with no operations or operating in a
reduced mode that changes the security posture. If the facility is a 365/24/7 facility, you may indicate that the
entry controls are the same for both business hours and n on-operating hours to cover all 24 hours of the
day.
Entry controlled by personnel has two sections, face-to-face contact/control and through a remote
control device.
Access controlled by face-to-face personnel interaction:
Employee that is not a security guard can be a parking attendant or other type of employee if his/her job
is to implement any of the controls listed below. If it is a person that has no entry control duties and is simply
there to point people in the correct direction or answer questions, do not select this type of face-to-face
vehicle control.
Ticket or parking fee collection agent would only apply to patrons/customers at a f acility open to the
public. Even though this is not a s trict type of vehicle entry control, it is something that would allow the
personnel controlling entry to stop someone from entering without taking some action and thus allowing
vehicle entry control personnel to report improper vehicle entry to the facility or SAA.
Access controlled by person but via remote CCTV or call box of some type:
Guard (security force, armed or unarmed) with validation (e.g., visitor list): Guard with validation
means the guard validates the driver (e.g., checks some list or documentation) before remotely allowing the
vehicle to enter the facility.
Employee that is not a security guard granting access with validation (e.g., visitor list): Employee
with validation means that the person activating the entry control device checks some list or documentation
before remotely allowing the vehicle to enter the facility. This could be a receptionist or an employee being
visited. For instance, a call box that allows a driver to dial a number of the person they are there to see and
be admitted after identifying themselves through the device.
Call button or camera that is acknowledged without validation. (Buzz them in without knowing who it
is): This is the weakest entry control and would allow any vehicle, without any validation as to identity or
purpose to enter the facility with the simple activation of the remote device.
If attended, weakest parking access vehicle search
The following entry controls can only be selected if it is indicated that a person is present to implement those
controls. For instance you cannot have a metal detector or vapor detector without a person to monitor the
procedure.
Vehicle Searches
Vehicle search may be simple visual surveillance of the vehicle interior, use of mirrors to check the
underside of the vehicle, or other any other type surveillance to detect weapons, explosives or contraband
inside a vehicle. The searches are either 100% or random. Random is when only certain vehicles are
selected for search. This can be based on a criteria or a percentage (less than 100%).

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Parking/Delivery/Standoff
COMPLETE ONLY FOR CONTROLLED PARKING
Type of Vehicle Search
X-Ray Scanner
Metal Detectors
(Magnetometer)
Vapor Detectors
Chemical Detectors
Radiation Detection
Canine Olfaction (K-9)
Visual
Locks and Technology
Identify the locks and technology in place to control access to the parking area.
Biometric (hand, eye, signature,
voice, face)
ID actuated (coded credential,
proximity card, swipe card)
Electronically coded (PIN)
Mechanically coded (PIN)
Key cylinder lock (door mounted)
Combination lock (door mounted)
Padlock/chain or hasp
No locks or technology controls at
any time
Parking/Delivery Controls Briefing Notes:

Overall Parking/Delivery Controls Comments:

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X-Ray Scanner
Low-dose scanning devices that safely examine people for hidden items, providing an image of the body
beneath clothes.
Radiation Detection
A device that can detect radiation (e.g., Geiger counters, dosimeters)
Canine Olfaction (K-9)
This is the use of dogs to detect contraband on persons or in packages.
Metal Detectors (Magnetometer)
People or packages are made to pass through metal detector/magnetometer.
Chemical Detectors
These devices may be electric or non-electric. They range from air samplers to wipes of some type to
sophisticated electronic devices that identify particulates.
Locks and Technology
Identify the locks and technology in place to control access
The answers below should reflect the weakest entry control point at the facility/SAA. It may reflect layers
of security in that it should include each type of lock that is necessary to get to the facility/SAA. For
instance, if entry to the facility, which is floors 7-10 of a tall building, may include a lock at the lobby of the
building, the lock (swipe card) in the elevator, and the lock on the facility floor door.
Biometric (hand, eye, signature, voice, face)
Where entry depends on personnel identity verification systems that corroborate claimed identifies on the
basis of some unique physical biometric characteristic, including hand or finger geometry, handwriting,
eye pattern, fingerprints, speech, fact and v arious other physical characteristics. Biometric devices can
differentiate between verification and recognition. In verification mode, a person initiates a c laim of
identity, presents the specific biometric feature for authorization and the equipment agrees. In recognition
mode, the person does not initiate the claim, the biometric devices attempts to identify the person and the
biometric information is compared with a database.
ID actuated (coded credential, proximity card, swipe card)
This is typically considered some type of lock that requires other identification before the lock is activated.
This may be some type of swipe card, badge activation.
Electronically coded (PIN)
This is a random generated keypad attached to the door/gate.
Mechanically coded (PIN)
This is a cipher lock keypad attached to the door/gate.
Key cylinder lock (door mounted)
This is a normal door lock activated with a key.
Combination lock (door mounted)
This is a c ombination lock mounted on t he door/gate. This does not include padlocks activated with a
combination.
Padlock/chain or hasp
This is a t ypical padlock that can be activated by a key or combination that is latched through a h asp
attached to the door or gate or through a chain that secures the door/gate to the accompanying fence or
wall so that the door/gate cannot be opened sufficiently to allow entry.

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Barriers
Does the facility or
SAA have a highspeed avenue(s) of
approach?
If yes, does the facility
or SAA use barriers to
mitigate a high-speed
avenue of approach?
Barriers
Characterization

No

Yes

No

Yes

Type

Characterization

Bollards, planters or rocks
Jersey barrier/wall
Earthen berm
Spike system/tire shredders
Guard rails
Natural barriers (e.g., trees)
Maritime or water deployed
(e.g., floating or boat
barrier)

(Weakest barrier type at
the facility/SAA to
mitigate a high-speed
avenue of approach)

K-rated
Not K-rated

High-speed Avenue of Approach Barrier Briefing Notes:

Does the facility use
barriers to enforce
standoff from the
facility or SAA?
Barriers
Characterization

No

Yes

Type

(Weakest barrier type at
the facility/SAA used to
provide standoff)

Bollards, planters or rocks
Jersey barrier/wall
Earthen berm
Spike system/tire shredders
Guard rails
Natural barriers (e.g., trees)
Maritime or water deployed (e.g., floating or boat barrier)

Standoff Barrier Briefing Notes:

Overall Barrier Comments:

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BARRIERS
Does the facility or SAA have a high-speed avenue(s) of approach?
A high-speed avenue of approach is any road or flat area that would allow a vehicle to gain sufficient
speed to enter or reach the facility/SAA before the attack can be det ected, deterred or interdicted. If a
facility has installed traffic calming, road redirection, berms, or jersey barriers, to the extent that a highspeed avenue of approach is now mitigated, select "No". This indicates that while the facility or SAA may
have once had that vulnerability, it is mitigated and no longer exists due to specific actions the facility has
taken to solve that vulnerability. High-speed avenue of approach does not apply only to roads. For
example: A high-speed avenue of approach still exists if an SAA is near the perimeter of a fenced facility.
The fence is typical 6-foot chain link with no reinforcement or anchoring and is located at the end of a T
intersection or easily traversed open area where it is common for vehicles to travel. A high speed avenue
of approach may also still exists if a facility has installed barriers to create a serpentine or traffic calming,
but they devices are placed in such a m anner that the barriers can be avoided, are too far apart, are
lightweight plastic barrels or cones that will not impede vehicle travel.
If yes, does the facility or SAA use barriers to mitigate a high-speed avenue of approach?
Barriers are fixed or movable objects of some type placed to mitigate or reduce the impact of a vehicle
ramming an o bject (SAA), building, or going through a c heckpoint, gate or other control point at high
speed. A barrier in this case does not include jersey barriers installed to create a serpentine approach to
an entrance or gate. If that traffic calming is in place, then the high-speed avenue of approach should not
exist.
Type
Bollards, planters or rocks
Bollards are rigid posts that can be arranged in a line to close a road or path to vehicles. They can be
made of concrete, metal, or wood. Planters are usually concrete “bowls” with flowers or plants in the
center. They are heavy enough to stop or delay a high-speed vehicle. Rocks are large stones of sufficient
weight to stop or delay a vehicle.
Jersey barrier/wall
Jersey barriers are usually made of concrete or plastic filled with an inert substance that were originally
developed to ensure vehicles do not cross lanes of traffic, usually stand about three feet tall with sloping
sides.
Earthen berm
An earthen berm is a mound of dirt of sufficient slope and height to slow or prevent a vehicle from making
a high-speed approach to the facility or SAA.
Spike system/tire shredders
Spike system/Tire shredders puncture the tires of an intruding vehicle, while allowing passage of vehicles
in the opposite direction.
Guard rails
Guard rails are effectively one strong band that transfers the force of the vehicle to multiple posts beyond
the impact area or into a ground anchor at the end of the guardrail.
Natural barriers (e.g., trees)
This could be closely spaced large trees, river banks or other barriers that would not allow a vehicle to
drive over or through it at high speed.
Maritime or water deployed (e.g., floating or boat barrier)
Usually this is an anchored, floating barrier that can encircle a vessel to prevent other vessels from
coming within a specified distance.

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K-rated
The Department of State has issued standards for vehicle barriers. If a vehicle barrier must have been
tested by an independent crash test facility to meet DOS standards.
These standards incorporate speed (K) and penetration. The test specifies perpendicular barrier impact
by a 15,000 lb. (6810 kg.) vehicle. The standards have different certification classes based on speed. K12
is a 15,000 lb. vehicle at 50 mph; K8 is that vehicle at 40 mph and K4 is at 30 mph. To become certified
with a D epartment of State "K" rating the 15,000 vehicle must achieve one of the K rating speeds (50
mph, 40 mph, or 30 mph) and the bed of the truck must not penetrate the barrier by more than 36 inches.
Generally, if a f acility has paid to have a K-rated barrier installed, it will know the K-rating since the
certification is reflected in the price and installation.
Does the facility use barriers to enforce standoff from the facility or SAA?
This is when the facility uses barriers to prevent vehicles from parking closer to the facility than the
location of the barriers. They may not be as robust as those installed at a high-speed avenue of approach
to prevent a vehicle from ramming through a fence or gate.

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Building Envelope
Is the facility/SAA in a building?

No

Yes

Does the facility/SAA have windows?

No

Yes

Are there ground floor windows (less than 18 feet
from the ground) in the facility or the SAA?

No

Yes

If yes, are there protective measures on the ground
floor windows for the facility or the SAA?

No

Yes

Windows

Characterize the protective measures
weakest facility or SAA window(s)

on

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If yes,
Blast curtains
Blast/safety film
Bullet-proof glass
Laminated glass
Wire-reinforced glass
Thermally-tempered glass (TTG)

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BUILDING ENVELOPE
Is the facility/SAA in a building?
Remember the definition of the facility and the SAAs that have been selected. If a facility, such as a
bridge, has enclosed spaces, but are not specifically buildings, select “No” to this question, however, you
can discuss the entrances thereto later. Often an I ST is conducted on a f acility that has both buildings
and areas in the open (e.g., wastewater treatment, open roof NFL stadium, refinery). When conducting
the SAV, each SAA can be identified individually as being in a building or not. For the ECIP Survey, the
facility must be t aken as a w hole and do not focus on a gi ven SAA. The most common example is a
wastewater facility where there are some buildings (considered as SAA's) that house the SCADA system
and there are facilities (considered as SAA's) not in a building (ponds or tanks). In this case the ECIP
Survey should answer that there is a building since it would make no sense to have a SCADA system (at
least the process control unit) exposed to the environment. Use this same logic for the windows, doors,
walls and ceiling.
Does the facility/SAA have windows?
The focus should be on the weakest windows found in buildings that are the primary facility or that
house an SAA. For example, the facility may have impact resistant windows on m ost ground-floor
windows, but in the building housing a SAA they have plain single pane glass. In this example, although
the vast majority of the windows are excellent, the SAA protected by single pane windows creates a
vulnerability and therefore are the windows on which the questions should focus and will be used for
scoring purposes. If the facility/SAA is made of glass “walls” indicate that the building has windows. The
purpose of this section is to determine whether the facility is vulnerable to the impact of a bomb explosion
on glass.
Are there ground floor windows (less than 18 feet from the ground) in the facility or the SAA?
Although it is understood that windows above the ground floor are also susceptible to a bomb explosion,
the section is concerned with the immediate effect on ground floor windows.
Characterize the protective measures on the weakest facility or SAA window(s)
Blast curtains
Protective apparatus including a plurality of spaced, slender tensile elements installed in a room inwards
of a glass panel of a curtain wall of the room, wherein when the glass panel is destroyed by an explosive
blast, the tensile elements generally prevent fragments from the glass panel from flying inwards past the
tensile elements.
Blast/safety film
Fragment retention window films are designed to increase the shatter resistance of glass and are similar
to regular window films in that they are polyester laminates. The difference, however, is that these
products are usually thicker – offered in thicknesses ranging from 4 to 14mils – and use a heavier and
more aggressive adhesive system.
Bullet-proof glass
Bullet-resistant glass (colloquially known as bulletproof glass) is a type of strong but optically transparent
material that is particularly resistant to being penetrated when struck by bullets. Bullet-resistant glass is
usually constructed using polycarbonate thermoplastic or layers of laminated glass. The aim is to make a
material with the appearance and clarity of standard glass but with effective protection from small arms.
Polycarbonate designs usually consist of products such as ArmorMax, Makroclear, Cyrolon, Lexan or
Tuffak, which are often sandwiched between layers of regular glass.

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Laminated glass
Laminated glass is a type of safety glass that holds together when shattered. In the event of breaking, it is
held in place by an interlayer, typically of polyvinyl butyral (PVB), between its two or more layers of glass.
The interlayer keeps the layers of glass bonded even when broken, and i ts high strength prevents the
glass from breaking up into large sharp pieces. This produces a characteristic "spider web" cracking
pattern when the impact is not enough to completely pierce the glass.
Wire-reinforced glass
Wire-reinforced glass is glass that has been reinforced with wire. Certain building codes require safety
glass in specific situations. The wire within the pane keeps the glass shatterproof even at very high
temperatures.
Thermally-tempered glass (TTG)
Tempered glass is glass that has been processed by controlled thermal or chemical treatments to
increase its strength compared with normal glass

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Building Envelope
Doors
Does the facility/SAA have doors?
Characterize the construction of the weakest door
that provides access to the facility or SAA

No

Yes

Blast resistant
Metal-clad
Hollow-steel
Fire-rated door
Wood, hollow core
Wood, solid core
Metal or wooded framed glass (at least
50% of the door is glass)
If present:
Interior or concealed hinges
Reinforced strike plate

Window and Doors Briefing Notes:

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Characterize the construction of the weakest door that provides access to the facility or SAA
Blast resistant
A door that is designed, built and installed (to include the jamb or frame and hinges) to withstand some
level of a bl ast. This would be a t ype of door that is obviously overbuilt and not a t ypical door at most
facilities. Will normally not have a window. There should be some rating that indicates blast resistant.
Metal-clad
A metal clad door is typically a wood or fiberglass door that is enclosed in a thin sheet of sheet metal,
aluminum, or steel. The door may appear to look like a typical solid front door to a home, but will have a
rather tinny or metal sound when you knock on it with your hand. Should not have a window.
Hollow-steel
Very common commercial metal door. May or may not have a window. Generally made of light steel or
aluminum. Will sound hollow when you knock on it with your hand.
Fire-rated door
Almost always made of steel or heavy gauge aluminum. Will normally have a sign attached that indicates
the door must be c losed at all times. Should not have a window, although some may have a s mall
tempered wire encased glass window.
Wood, hollow core
Very typical interior commercial office door. Light, sounds hollow when you knock on it.
Wood, solid core
Typical interior office door. Slightly heavier than hollow door.
Metal or wooded framed glass (at least 50% of the door is glass)
Probably the most common door at most offices, buildings and arenas. This also applies to the rare door
that is all glass and has no frame.
If present:
Interior or concealed hinges
Look for hinges that are on the interior of the building or built into the door jamb and prevent or hinder the
ability to remove the door by removing the hinges.
Reinforced strike plate
This is often seen at high security facilities. It is normally a combination of a protected or shielded strike
plate that inhibits the door from being opened by forcing the strike with a screwdriver combined with a
metal or aluminum plate that surrounds the strike area and typically 3-6 inches of the door near the strike.

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Building Envelope
Wall
Characterize weakest exterior/perimeter wall at
the facility or SAA

Poured Concrete
Concrete masonry unit
Brick
Blast Panels
Metal panels
Stucco covered wood frame
Wood frame
Metal framed glass [all glass building]

Ceiling/Roof
Characterize the weakest ceiling/roof for the
facility or SAA

Are there skylights or openings that would allow
entry (e.g., greater than 96 square inches)?
No
Yes
If Yes,
Are such openings protected with grates or other
barriers?
No
Yes

Wall and Ceiling/Roof Briefing notes:

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Characterize weakest exterior/perimeter wall at the facility or SAA
Poured Concrete: Refers to any concrete structure that appears poured or framed verses concrete
block. This also refers to prefabricated concrete that is typically built in as large slabs or some large
shape of poured concrete. Many tall buildings and commercial facilities use poured or prefabricated
concrete.
Concrete masonry units: Very simply, cement block. Typically 8" x 8" x 16" in size. Some refer to this as
cinder block.
Brick: Come in various sizes, colors and shapes, but most common size in the U.S. is 8" x 4" x 2.5"
Blast Panels: Typically found in manufacturing facilities. May be found in museums, pharmaceutical
companies, and chemical facilities, rarely in a h ospital. Normally found in areas where some large
quantity of flammable or explosive is used. Normally made of light sheet metal or fiberglass and are
integrated seamlessly into the framework of a building. Typically can be identified by the type of fastening
device to the framework, which will look different than other panels. Normally only located in one section
of a facility or building near an area of explosives or highly volatile gases, liquids or solids. It is uncommon
for an entire facility to be built with blast panels, but it is possible.
Metal panels
This and poured concrete are the most common building products for most of the facilities that receive
SAV or IST visits. These range from sheet metal to fiberglass and are normally found on the exterior of a
metal-framed building. They will be attached more securely and appear heavier and more durable than a
blast panel.
Stucco covered wood frame
Unusual construction for commercial facilities. Typically found in the Western States. Normally used on
smaller structures similar to a large home.
Wood frame
Unusual construction for most of the facilities that receive SAV or IST. Will typically be found on o lder
construction and smaller facilities.
Metal framed glass [all glass building]
Modern and common material for tall buildings in urban areas.

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Air Handling Systems
Characterize the building air
handling system for the facility or
SAA

Does the facility/SAA have an air handling system?
No
Yes
Does the system have outside air intakes?
No
Yes
If yes,
Location of the weakest external air intake to the facility or
SAA (check only one):
Greater than 30 feet above ground or roof mounted
Greater than 10 f eet but less than or equal to 30 f eet
(above ground level)
From ground level to less than or equal to 10 feet or
below grade (with restricted access to deter CBR
contaminant)
From ground level to less than or equal to 10 feet or
below grade (with unrestricted access)
Is the air handling controlled by a building control or SCADA
system?
No
Yes
If yes,
Air handling can be controlled (shut off) by zones
System has chemical/radiological/biological detection
sensors
System has chemical/radiological/biological effective
filters
System is able to provide both positive and negative
pressure

Air Handling System Briefing Notes:

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Does the facility/SAA have an air handling system?
If it is an enclosed building, there is a good chance that there is an air handling system of some type. This
definition or section does not typically want to identify a small window air conditioner. This is referring to
the heating, ventilation and air conditioning system within a facility.
Does the system have outside air intakes?
It is unusual, though not impossible to have an HVAC system with internal intakes. The intent of this
question is to identify the location of the intakes. The less accessible; the better.
Is the air handling controlled by a building control or SCADA system?
Most large facilities have some type of process control system that operates the HVAC. Rarely, the HVAC
is attached to a SCADA system. Many of these large systems are designed that a third party (e.g.
Johnson Controls) can monitor and control the system remotely.
If yes,
Air handling can be controlled (shut off) by zones
This allows various sections of the HVAC to be shut off in case of a dispersant. This also refers to reverse
flow. In some cases a system is designed to exhaust and intake (very rare).
System has chemical/radiological/biological detection sensors
These are rare but can be found in some locations.
System has chemical/radiological/biological effective filters
These are rare but can be found in some locations. They are more common than sensors. Some filters
have HEPA filters. Generally this section is looking for filters that go beyond HEPA, though many HEPA
filters may be somewhat effective on some agents.
System is able to provide both positive and negative pressure
Another technique for isolating odors and c ontaminants is to design and operate the HVAC system so
that pressure relationships between rooms are controlled. This control is accomplished by adjusting the
air quantities that are supplied to and removed from each room. If more air is supplied to a room than is
exhausted, the excess air leaks out of the space and the room is said to be under positive pressure. If
less air is supplied than is exhausted, air is pulled into the space and the room is said to be under
negative pressure. Control of pressure relationships is critically important in mixed use buildings or
buildings with special use areas. Lobbies and buildings in general are often designed to operate under
positive pressure to prevent or minimize the infiltration of unconditioned air, with its potential to cause
drafts and introduce dust, dirt, and thermal discomfort. Without proper operation and maintenance, these
pressure differences are not likely to remain as originally designed (see, Building Air Quality, A Guide for
Building Owners and F acility Managers, Chapter 2 Factors Affecting Indoor Air Quality available at
www.epa.gov/iaq/largebldgs/baq_page.htm.

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Building Envelope
Does facility/SAA have access ports to SAAs - other than
a building (e.g.; hatches to bridge gear boxes, hatches to
under bridge structural components, or secreted
doors/hatches to outdoor concert stages)?

No
Yes
If yes, the access port is
protected/monitored by:
Lock
IDS
CCTV
Visual surveillance
None
Describe:

The facility/SAA sits above underground facilities not
within the facility’s control (e.g., utility tunnel, pedestrian
tunnel, subway tunnel)

No
Yes
If yes, facility or SAA can be
accessed from the underground
facility
No
Yes
If yes, the access point is
protected/monitored by:
Lock
IDS
CCTV
Visual surveillance
None

Building Access Briefing Notes:

Overall Building Envelope Comments:

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Does facility/SAA have access ports to SAAs - other than a building (e.g.; hatches to bridge gear
boxes, hatches to under bridge structural components, or secreted doors/hatches to outdoor
concert stages)? The intent here is to capture the access ports on a bridge, dam, or other structure that
is not normally considered a building. This refers to maintenance hatches, access doors to catwalks or
other areas that may be seldom used but are necessary for the routine or emergency maintenance and
inspection of the structure. In some arenas there may be access hatches on stages that allow for
stagehands or performers to enter during a performance and these may have limited access.
The facility/SAA sits above underground facilities not within the facility’s control (e.g., utility
tunnel, pedestrian tunnel, subway tunnel)
This section is trying to capture the unique access control areas that are typically out of control of the
facility. Examples may be a subway or mass transit system that runs under a facility and has access to
the facility in some manner. Pedways are another example. Also look for utility tunnels that may have
openings or entrances to the facility.

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Electronic Security Systems
Exterior IDS
Does the facility/SAA utilize an
exterior intrusion detection system
(IDS)?
No
Yes
If yes, characterize the exterior
intrusion sensors (check all that
apply)

Buried Line
Fiber-optic cable
Seismic pressure
Magnetic field
Ported coaxial cable
None
Fence Associated
Electric Field
Sensor Fence
Fence disturbance (taut wire)
None
Free-Standing
Active infrared
Passive infrared
Bistatic microwave
Video motion detection
None

Exterior IDS monitoring and
assessment by facility:

Characterize the facility’s monitoring of the external IDS:
Continuously monitored: onsite
Continuously monitored: offsite
Interface Software (if activated)
Backup power provided
Tamper and system problem indicators provided
Positioned to prevent gaps in coverage
Detection zone kept clear of obstructions (e.g., dips,
equipment, snow, ice, grass, debris)
Compensatory measures employed when alarms are not
Operating
Linked to Emergency Services
None
Describe:
Characterize the facility’s assessment of exterior IDS alarms:
Not assessed by facility
Assessed
If assessed, check all that apply:
Notifies local response agencies
Automatic Deployment of Security Force
CCTV
Deployment of employee/personnel other than security
force
Describe:

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ELECTRONIC SECURITY SYSTEMS
INTRUSTION DETECTION SYSTEMS (IDS)
All IDS questions apply only to the primary facility or facilities that house significant assets or areas
(SAAs). Do not answer questions on t he types of IDS in buildings that do not house SAAs. Exterior
sensors are used in an outdoor environment (e.g., fence, exterior windows or exterior doors) and interior
sensors are those used inside buildings (e.g., doors into a critical IT server room). It is possible to have a
local door or window alarm that is not part of an IDS and there is no need to answer the questions in this
section if that is the case. If the facility is not within a building, do not answer the questions for internal
IDS.
Does the facility utilize an external detection system?
Seismic pressure – Passive, covert terrain-following sensors that are buried in the ground. They
respond to disturbances of the soil caused by an intruder walking, running, jumping, or crawling on the
ground.
Magnetic field – Passive, covert, terrain-following sensors that are buried in the ground. They respond to
a change in the local magnetic field caused by the movement of nearby ferromagnetic material. It is
effective at detecting vehicles or intruders with weapons.
Ported coaxial cable – Active, covert, terrain-following sensors that are buried in the ground. They are
also known as leaky coax or radiating cable sensors.
Fiber-optic cable – Optical fibers are long, hair-like strands of transparent glass or plastic. A single
strand of fiber-optic cable, buried in the ground at the depth of a few centimeters, can very effectively give
an alarm when an intruder steps on the ground above the fiber.
Fence Associated
Fence Disturbance – passive, visible, terrain-following sensors that are designed to be installed on a
security fence, typically constructed with chain-link mesh.
Sensor Fence – Passive, visible, terrain-following sensors that make use of the transducer elements to
form a fence itself.
Electric Field (also known as Capacitance) are active, visible, terrain-following sensors that are designed
to detect a change in capacitive coupling among a set of wires attached to, but electrically isolated from, a
fence.
Free Standing
Active Infrared – A sensor that detects the loss of the received infrared energy when an opaque object
blocks the beam.
Passive Infrared – A sensor that detects the presence of human thermal energy emissions and causes
an alarm to be generated.
Bistatic microwave – Active, visible, line-of-sight, freestanding sensors. Two microwave antennas are
installed on opposite ends. One is connected to a microwave transmitter, the other to a microwave
receiver that detects the received microwave energy. Usually installed to detect a hum an crawling or
rolling on the ground across the microwave beam, keeping the body parallel to the beam.
Dual technology – The concept is to place both a passive infrared and a monostatic microwave in the
same housing. The theory is that the sensors will not alarm until both have been activated, thus avoiding
nuisance alarms.
Video motion detection – Passive, covert, line-of-sight sensors that process the video signal from
closed-circuit television cameras. They sense a change in the video signal level for some defined portion
of the viewed scene.

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Electronic Security Systems
Characterize the external IDS alarm enunciators:
Ultrasonic sound alarm
Multiple linked technologies (e.g., Sonitrol Technology)
Audible Remote
Visual Remote
Visual Local
Audible Local
Silent
None
Is the exterior IDS maintained according to recommended specifications?
Unknown
No
Yes
Is the exterior IDS tested periodically?
Unknown
No
Yes
Exterior IDS Briefing Notes:

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Characterize the intrusion alarm enunciators
Audible Local is where the alarm simply sounds audibly at the area affected by the alarm.
Audible Remote is where the alarm sounds audibly at a panel in a command center or security area not
located at the area affected by the alarm.
Visual Local is a flashing light or other visual indicator that the alarm has been triggered, but can only be
seen from at the area affected by the alarm.
Visual Remote is a flashing light or other visual indicator that the alarm has been triggered, but can be
seen at a panel in a command center or security area not located at the area affected by the alarm.
Ultrasonic sound alarm is where a detection field is established using energy in the acoustic spectrum
and detection is based on the frequency shift between the transmitted and received signals caused by the
Doppler effect from a moving object in the beam.
Multiple Linked Technology is when the IDS alarm enunciator is tied other technologies such as verified
audio detection, digital video surveillance, access control systems, and even fire detection (e.g., Sonitrol
or motion alarmed cameras).
Silent is where the alarm does not sound at the area affected by the alarm, but results in some indicator
(e.g., sound or visual) at a remote location.
None is where there are no alarm enunciators.
Intrusion Alarm Assessment: System maintained according to recommended specifications
Mark unknown if facility personnel do not know. (Although, if the appropriate personnel do not know if the
system is maintained; it probably is not.)
Is the external IDS tested periodically?
Testing could include running the IDS system on t he backup generator, checking that alarms correctly
work when the sensor is activated, or other methods of ensuring the IDS work properly and are viewing
and recording as required.

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Electronic Security Systems
Interior IDS
Does the facility/SAA
utilize an interior
intrusion detection
system?
No
Yes
Characterize the
interior motion
sensors. (check all
that apply)

Boundary Penetration Sensors
Fiber Optic Cable
Capacitance
Infrared
Electromechanical
Vibration
Photoelectric
None
Interior Motion Sensors
Ultrasonic noise detection
Microwave
Sonic
Passive Infrared
None
Proximity sensors
Capacitance
Pressure
None
Door Sensors
Glass Breakage Sensor
Grid Mesh
Vibration Sensor
Balanced magnetic contacts
Conducting tape
None
Window Sensors
Glass Breakage Sensor
Grid Mesh
Vibration Sensor
Magnetic contact
Conducting Tape
None

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Does the facility utilize an interior detection system?
Boundary Penetration Sensors
Electromechanical – Passive, visible, line sensors. The most common type is a relatively simple switch
generally used on doors and windows. Most switches are magnetic.
Infrared – Visible line sensors. These sensors establish a beam of infrared light using an infrared light
source as the transmitters and photo detectors for receivers.
Vibration – Passive sensors that can be visible or covert. They detect the movement of the surface to
which they are fastened. They may be as simple as jiggle switches or as complex as internal switches or
piezoelectric sensors.
Capacitance – They establish a resonant electrical circuit between a protected metal object and a control
unit, making them active sensors.
Fiber Optic Cable - Passive line detectors that can be visible or covert. Optical fibers are long, hair-like
strands of transparent glass or plastic. A single strand of fiber-optic cable, buried in the ground at the
depth of a f ew centimeters, can very effectively give an alarm when an intruder steps on the ground
above the fiber.
Interior Motion Sensors
Microwave – Active, visible, and volumetric sensors. They establish an energy field using energy in the
electromagnetic spectrum, usually at frequencies on the order of 10GHz. They can be used in monostatic
operation.
Ultrasonic noise detection – Active, visible, volumetric sensors. They establish a detection field using
energy in the acoustic spectrum typically in the frequency range between 19 and 40 kHz. They can be
used in monostatic operation.
Sonic - Active, visible, and volumetric sensors. They establish a detection field using energy in the
acoustic spectrum at frequencies between 500 and 1000 Hz. They can be used in monostatic, bistatic, or
multistatic modes of operation.
Passive Infrared - A sensor that does not transmit a signal for an intruder and senses the radiation from
a human body.
Proximity sensors
Capacitance – Active, covert line sensors. They can detect anyone either approaching or touching metal
items or containers that the sensors are protecting. They establish a resonant electrical circuit between a
protected metal object and a control unit.
Pressure – Often in the form of mats, placed around or underneath an object. They are passive, covert,
line detectors. Constructed so that when an adequate amount of pressure, depending on the application,
is exerted anywhere along the ribbon, the metal strips make electrical contact and initiate an alarm.
Door Sensors
Vibration sensors detect the movement of the door.
Glass Breakage Sensor, mounted directly on the glass, are vibration sensors designed to generate an
alarm when the frequencies more nearly associated with breaking glass are present.
Conducting Tape is typically some type of copper tape that carries a weak signal to a sensor of some
type. When the contact of the tape is broken, the signal is broken and the sensor sets off some type of
alarm

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Grid Mesh is a type of vibration sensor that uses mesh within a window that both prevents glass from
shattering as well as sets off the alarm.
Magnetic contact is similar to conducting tape. In this case the magnetic field is the sensor and when
that field is interrupted an alarm of some type is activated.
Window Sensors
Vibration sensors detect the movement of the window.
Glass Breakage Sensor, mounted directly on the glass, are vibration sensors designed to generate an
alarm when the frequencies more nearly associated with breaking glass are present.
Conducting Tape is typically some type of copper tape that carries a weak signal to a sensor of some
type. When the contact of the tape is broken, the signal is broken and the sensor sets off some type of
alarm.
Grid Mesh is a type of vibration sensor that uses mesh within a window that both prevents glass from
shattering as well as sets off the alarm.
Magnetic contact is similar to conducting tape. In this case the magnetic field is the sensor and w hen
that field is interrupted an alarm of some type is activated.

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Electronic Security Systems
Interior IDS
monitoring and
assessment by
facility:

Characterize the facility’s monitoring of the interior IDS
Continuously monitored: onsite
Continuously monitored: offsite
Interface Software (if activated)
Backup power provided
Tamper and system problem indicators provided
Positioned to prevent gaps in coverage
Detection zone kept clear of obstructions (e.g., dips, equipment, snow, ice, grass,
debris)
Compensatory measures employed when alarms are not operating
Linked to Emergency Services
None
Characterize the facility’s assessment of interior IDS alarms.
Not assessed by facility
Assessed
If assessed, check all that apply:
Notifies local response agencies
Automatic Deployment of Security Force
Automatic deployment of employee/personnel other than security force
CCTV
Characterize the interior IDS alarm enunciators:
Ultrasonic sound alarm
Multiple linked technologies (e.g., Sonitrol Technology)
Visual Remote
Audible Remote
Visual Local
Audible Local
Silent
None
Interior IDS is maintained according to recommended specifications
Unknown
No
Yes

Interior IDS is
tested
periodically

Unknown
No
Yes

Interior IDS Briefing Notes:

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Characterize the facility’s monitoring of the interior IDS
Continuously monitored: onsite is where the alarm panel is monitored at an onsite security command
center or area.
Continuously monitored: offsite is where the alarm panel is monitored at an offsite contract or
centralized company security command center or area.
Positioned to prevent gaps in coverage is to ensure that the sensors are placed to spaces that are not
covered by the IDS.
Characterize the facility’s assessment of interior IDS alarms.
Not assessed by facility means facility personnel do not conduct an as sessment or evaluate why the
alarm was activated. If there is an assessment when the alarm is activated, characterize that assessment.
If assessed,
Notifies local response agencies is when the alarm is monitored at the local police department or fire
department.
Automatic Deployment of Security Force is when the alarm results in security personnel making a
physical visit to the area affected by the alarm.
Automatic deployment of employee/personnel other than security force is when the alarm results in
personnel other than security personnel are deployed such as receptionist, desk clerk, operations
personnel.
CCTV is that personnel consult the appropriate CCTV console to view the area affected by the alarm.
Characterize the interior IDS alarm enunciators:
Audible Local is where the alarm simply sounds audibly at the area affected by the alarm.
Audible Remote is where the alarm sounds audibly at a panel in a command center or security area not
located at the area affected by the alarm.
Visual Local is a flashing light or other visual indicator that the alarm has been triggered, but can only be
seen from at the area affected by the alarm.
Visual Remote is a flashing light or other visual indicator that the alarm has been triggered, but can be
seen at a panel in a command center or security area not located at the area affected by the alarm.
Ultrasonic sound alarm is where a detection field is established using energy in the acoustic spectrum
and detection is based on the frequency shift between the transmitted and received signals caused by the
Doppler effect from a moving object in the beam.
Multiple Linked Technology is when the IDS alarm enunciator is tied other technologies such as verified
audio detection, digital video surveillance, access control systems, and even fire detection (e.g., Sonitrol
or motion alarmed cameras).
Silent is where the alarm does not sound at the area affected by the alarm, but results in some indicator
(e.g., sound or visual) at a remote location.
None is where there are no alarm enunciators.

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Intrusion Alarm Assessment: System maintained according to recommended specifications
Mark unknown if facility personnel do not know. (Although, if the appropriate personnel do not know if the
system is maintained; it probably is not.)
Is IDS tested periodically?
Testing could include running the IDS system on t he backup generator, checking that alarms correctly
work when the sensor is activated, or other methods of ensuring the IDS work properly and are viewing
and recording as required

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Electronic Security Systems
Closed Circuit Television (CCTV)
Does the facility utilize
CCTV?

No

(Go to next section)

Yes

(% of area covered)
(0, 1-25%, 26-50%, 51-75% or 76-100%)
Perimeter
Area of concern (e.g., gate, entry way)
Critical areas/SAA (e.g., control stations)

Characterize the technology.

Type
Digital
Analog
Capability
Image intensification (low-light)
Infrared
Color
Black & White
Functionality
Pan-Tilt-Zoom
Panoramic Lens or software
Fixed

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%
%

%

Transmission Media
Fiber cable
Wire line (twisted pair)
Coaxial
Telephone wire
Wireless
Emergency Backup Power
No
Yes
Video analytics or Anomaly
Detection
No
Yes

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CLOSED CIRCUIT TELEVISION (CCTV)
Does the facility utilize CCTV? For percentage of coverage, select either: 0, 1-25%, 26-50%, 51-75%
and 76-100% for each area covered. If 0 is selected, it means that no part of this area is covered.
Characterize the technology.
Type
Digital Almost all systems put in place within the last 5 years are likely digital. This refers to the record
and display system along with the cameras. If there is a DVR, there is a really good chance the system is
digital.
Analog This is almost always an older system. This refers to the record and display system along with
the cameras. If the record system is VCR tape, the system is analog.
Capability
Image intensification (low-light) (sometimes called "Day/Night Cameras") are regular cameras with a
highly sensitive CCD chip with the ability to capture quality imagery with very little light present.
Infrared is an illuminator camera creates light in no-light situations.
Functionality
Pan-Tilt-Zoom cameras allow you to adjust the position ('pan' is side-to-side, 'tilt' is up-and-down) and
focus ('zoom') of the camera using a remote controller.
Panoramic Lens or software allows cameras to see a wider-range of view (360°) without moving.
Fixed cameras have a straight view that does not change.
Transmission Media
Fiber Cable is a cable made up of super-thin filaments of glass or other transparent materials that can
carry beams of light.
Wire line (twisted pair) is a cable with multiple pairs of twisted insulated copper conductors in a single
sheath.
Coaxial is a cable transmission, which may be base-band video or video-modulated radio frequency.
Wireless is either a microwave or IP network to send information with sufficient bandwidth.
Video analytics or Anomaly Detection
Video analytics refers to any software program that aids in eth determination of suspicious activity. This
can be through dwell time, package recognition or any other process where some type of software adds
to the process. Anomaly detection is where a video motion processor establishes localized features in the
live image that are distinct enough to be tracked from frame to frame. The system builds up a statistical
history of how such features normally move through the image, tracking their speed and direction. Then
when the CCTV image changes, the system can check against what it has established as normal to
decide whether the new event is so unusual that it should be brought to an operator's attention.

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Electronic Security Systems
Who monitors the CCTV cameras

Dedicated, 24/7 trained security staff
For dedicated, 24/7 staff:
CCTV monitoring shift rotates at least
every hour
No more than 16 cameras are monitored
by each staff member
None of the above
Trained, but not dedicated, security staff
Non-security personnel (e.g., receptionist)
No real-time monitoring (only review recorded
information)
Law enforcement monitoring in addition to
facility staff

Is the CCTV recorded?

No
Yes
If yes, mode of recording:
Digital
Analog
If yes, is there a policy for review of recorded
information
No
Yes
If yes, is review
Periodic
Only after an incident

How long is the recorded information stored?

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More than a month
More than a week to a month
More than 72 hours to a week
24 – 72 hours
Less than 24 hours
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Who monitors the CCTV cameras?
Can check more than one, as applicable. If the staff is dedicated 24/7/365 with sole purpose to watch,
monitor and coordinate response and is also trained to recognize potential indicators, etc., check both. If
the CCTV is monitored by an untrained receptionist or administrative person as a casual assignment, do
not check either trained or dedicated; there it is assumed to be n o CCTV monitoring. If none of the
selections are chosen, it will be assumed there is no monitoring of the CCTV camera system.
Dedicated Staff is defined as 24/7/365 staff that has the sole purpose to watch, monitor and coordinate
response to activity on video. The individuals are trained on surveillance detection.
Trained Staff is defined as less than 24/7/365 coverage, trained in potential indicators; however have
other duties in addition to watching CCTV display.
Non-security personnel (e.g., receptionist) is anyone other than dedicated staff or trained staff.
No real-time monitoring (only review recorded information) is when no one is monitoring the CCTV
Law Enforcement monitoring in addition is defined as an outside public agency monitoring the facility
via camera. This could include:
• DHS Webcam
• Live feed to 911 center
• Direct Feed to Police Station
This would not include public camera systems where the facility just happens to be within the coverage of
cameras for monitoring stoplights or speeding.

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Electronic Security Systems

Closed Circuit Television (CCTV)
Is CCTV system maintained
according to recommended
specifications?

Unknown
No
Yes
If Yes,
Maintenance or repair done by "in-house" personnel
Maintenance or repair done by contracted personnel

Most recent update to CCTV
system

Within 1 year
1-3 years
3-5 years
More than 5 years

Is the CCTV system tested
periodically?

Unknown
No
Yes

CCTV Briefing Notes:

Overall CCTV Comments:

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Is CCTV system maintained according to recommended specifications?
Maintenance should be in accordance with industry practice or equipment manufacturer
recommendations. In addition, the maintenance or repair may be d one by "in-house" personnel (e.g.,
employee IT teams) or by contracted personnel (e.g., a contract with the manufacturer for
maintenance/repair or with an outside contractor that provides service on this type of equipment).
Is the CCTV system tested periodically?
Testing could include running the CCTV system on the backup generator, checking camera vies by using
well-placed vehicles or people to ensure the camera is properly aligned with the focus area, or other
methods of ensuring the cameras work properly and are viewing and recording as required.

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Illumination
Fences,
Gates,
Parking
areas

Building
entrance
and delivery
areas

Waterside
Facilities

Not applicable: Illumination does not apply since facility or
SAA does not include these areas (for areas selected do
not answer any other Illumination questions)
Not Illuminated: Area is not illuminated in any manner,
but reasonably should be illuminated. (there is no
illumination installed specifically designed to cover this
area)
Not Illuminated On Purpose: Facility has made a security
decision to not illuminate this area; Illuminating the area
increases the vulnerability.
Illumination Type and Operation Briefing Notes:

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ILLUMINATION
General information: Illumination is broken into areas that likely would have similar illumination. When
looking at fences, gates and parking areas, consider all exterior areas on the perimeter of the facility or
exterior of the buildings or SAA's. It is expected that not all facilities will have each of the specific items of
fence, gate and parking. If a facility does not have a fence and gate but has parking, select the responses
based on p arking alone. For building entrance and delivery areas the concept is to look at the exterior
areas. It is expected that not all facilities will have a delivery dock. It may be that the entrance and
delivery area is the same. Waterside facilities is not applicable unless the facility is along or on the water.
The water may be a lake, river, ocean or similar type of body of water. It generally does not include
retention ponds or some type of drainage ditch. Facilities that typically fall into this category are locks,
dams, power plants, water treat, wastewater treatment, fertilizer or chemical manufacturing, refineries,
and marinas. Regardless of the area being evaluated, the focus should be on the weakest or most
vulnerable area.
Not Applicable: If a facility does not have any fences, gates or parking then not applicable should be
selected. The most common selection for not applicable will be waterside facilities. Once not applicable is
selected, no other selections are required in that column.
Not Illuminated: This selection would apply if there is no illumination covering one of the areas, but you
as a professional security person would expect the area to have some illumination. For example, it would
be unusual to have a par king lot in a m all without some illumination. If you have gates, fences and
parking at a gi ven facility and parking and gates are illuminated, but the fence is not and t he fence
logically should be illuminated, then the best answer is "Not Illuminated" in the fences, gates and parking
areas column. If you have multiple gates but only some of the gates are illuminated, then you as a
security professional must determine if the non-illuminated gates are significant enough to operations that
they should be illuminated. If the gate leads to a corporate ball diamond, it would probably not be
significant. If the gate leads to the facility and once inside a person has access to the entire facility
operations, it is likely significant enough to include the illumination factor. Once not illuminated is
selected, no other selections are required in that column.
Not Illuminated On Purpose: This will be us ed rarely, but is possible. In some cases a facility has
determined that illuminating an ar ea showcases or highlights a vulnerability. This is more likely at a
particular SAA verses an ent ire facility. There may be l ights at a gi ven SAA or facility, but the owner
operator has made a conscious and reasoned decision to not turn the lights on or disabled them for the
explicit purpose of increasing security. This is sometimes referred to as security through obscurity. Some
facilities that may use this type of security include dams, chemical plants, manufacturing facilities and
telecomm hotels. This selection should be used sparingly and only applies in isolated cases. Once not
illuminated on purpose is selected, no other selections are required in that column.

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Illumination
Fences,
Gates,
Parking
areas

Building
entrance
and delivery
areas

Waterside
Facilities

Uniformity
Illumination appears to be similar and uniform in type with
overlapping light pattern coverage in most areas
Illumination appears to be of different types causing
shadows or glare, however there is an overlapping light
pattern coverage in most areas
Illumination appears to be similar and c onsistent in type,
however light pattern coverage does not overlap causing
shadows or dark areas
Illumination appears to be uneven and dissimilar in type
causing glare and shadows with inconsistent coverage in
most areas creating dark areas and shadows
Illumination Type and Operation Briefing Notes:

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Uniformity: Uniformity refers to a combination of type and coverage. It is understood that most visits will
be in the daytime and lights may not be illuminated. While the best situation is that a visit also occurs at
night or a drive by of the facility at night occurs, it is also understood that this is often not practical or even
reasonable.
An approximate determination of uniformity can be made by looking at the type of light and the spacing of
the light fixtures.
Similar and uniform in type
Type of illumination takes into consideration the type of bulb or light emitted. Look for similar type bulbs
whether that is incandescent, halogen, low-pressure sodium, LED or one of the many other types. If the
bulbs appear similar, it can be assumed that illumination is uniform. If you see several different types of
bulbs, then it is unlikely to be uniform. Concerning coverage, obviously in the daytime this is a challenge.
One approximation can be made by looking at the spacing of the fixtures, the height and locations of the
fixtures, items that might block light or create shadows, and then combine that information with the type of
illumination to make an approximation.
Overlapping light pattern coverage
Uniform and o verlapping illumination would indicate that lights are of the same type bulb, fixtures are
spaced to allow overlap without creating significant shadows, and blocked areas are illuminated by the
same type of bulb and sufficient fixtures. Overlapping coverage with different types of lights will create
shadows or glare.
Similar type illumination that does not overlap allows for shadows and dark areas. Dissimilar illumination
with inconsistent coverage creates glare, shadows, and dark areas and would be unacceptable by most
security professional.

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Illumination
Fences,
Gates,
Parking
areas

Building
entrance
and delivery
areas

Waterside
Facilities

Operation
Illumination is constant. Is turned on m anually and / or
automatically through photo cell or time switch and stays on
during hours of darkness or is on all the time.
Illumination is triggered by motion detectors or is part of an
alarm system.
Lights appear to be in good repair in most areas, and there
are no burned out bulbs in critical locations.
Lights appear to be in need of repair or maintenance in
most areas, however there are no burned out bulbs in
critical locations.
Lights appear to be in good repair in most areas, however,
there are burned out bulbs in critical locations.
Illumination Type and Operation Briefing Notes:

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Operation: Operation incorporates the basic function of the lights and addresses the maintenance.
Constant illumination is turned on manually or by photo cell or some type of timing device. It is expected
that this type of illumination is either on during all hours of darkness or is on all the time. It is normal for
some bulbs to intermittently shut off and recover as part of their normal process. That is understood and
should not be c onsidered intermittent illumination. It is expected that many facilities would be a ble to
select constant illumination.
Illumination triggered by motion detectors or as part of an alarm system generally add to security by
illuminating areas as needed when triggered.
Maintenance of lights is obviously best determined at night, but that is not always practical or
reasonable. A reasonable approximation can be made by looking at the condition of the luminaries. If the
luminaries appear to be in good repair and there does not appear to be any burned out bulbs in critical
locations that is generally considered positive. In some cases luminaries may appear in need of repair but
there are no burned or broken bulbs. That is not the best situation, but the area is illuminated. Finally if
broken or burned out bulbs are identified, that may become an option for consideration.

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Illumination
Fences,
Gates,
Parking
areas

Building
entrance
and delivery
areas

Waterside
Facilities

Backup power
Illumination backup power supply covers most of existing
lights and critical locations
Illumination backup power supply does not cover most of
existing lights, however it does cover critical locations
Illumination backup power supply covers emergency
lighting, however it does not cover most critical locations
Illumination has no backup power supply, or does not
provide coverage to critical locations.
Special Situations
Portable lighting available onsite for emergencies or
heightened threat levels
Searchlights or high intensity lights in use
Illumination Backup Power and Special Situations Briefing Notes:

Overall Illumination Section Comments:

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Backup: Backup power should be answered specific to illumination; however, this does not mean that
illumination requires a separate and unique generator or UPS. It is sufficient if the facility or SAA backup
power supply includes illumination. Of course, if for some reason the illumination has its own backup
generator that is fine, but not required. In the best case, most if not all of existing luminaries have some
type of backup power. This may be an UPS or generator. Most important is that illumination in critical
areas is covered. The other selections available range from not covering critical areas, covers only
emergency lighting (escape or exit lights) to not having any backup coverage at all.
Special Situations: These items are found in select areas and are typically not found at all facilities.
Portable lighting is defined as generator or battery driven high intensity light, much like is seen on
highway road construction. The idea is to have this additional illumination available for emergencies or
increased threat levels. Searchlights or high intensity lights are most commonly seen at waterside
facilities. Typically this refers to lights on docks used for illumination of loading and unloading ships. This
type of additional lighting is normally portable, but may be at a fixed location (e.g., prison turret). It is used
in addition to normal illumination in the area to enhance visibility or illumination of a significant asset or
feature of a facility.

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DEPENDENCIES
Dependencies are a f undamental consideration when assessing the resilience of critical infrastructure
assets and, ultimately, the resilience of a region. Critical infrastructure assets support the functioning of a
region by providing essential resources used by other critical infrastructure, government entities, or the
population. Dependencies are the linkages between two critical infrastructure assets, through which the
state of one infrastructure influences or is correlated to the state of the other. It is important to thoroughly
characterize dependencies when seeking to reduce the extent to which the facility is directly affected by
the missions, functions, and operations of other critical infrastructure assets.
The general concept for addressing each critical resource is to determine the use for the resource,
whether there are redundant services (e.g., internal production or alternative fuels), what protections are
in place to maintain service (e.g., the electric transformers at a facility are protected by fencing, locked
gates, privacy slats and crash bars) and backup (e.g., emergency generator or UPS). Lastly, the criticality
of the resource is determined by estimating the time it will take for the facility to experience a s evere
impact once primary service is lost, what percentage of facility operations can be m aintained with and
without backup service in place (e.g., a backup electric generator may only provide power to run a plant
at 50 percent production) and if any external regulations/policies are in place that require shut down of the
facility due to service disruption of a c ritical resource (e.g., a f ire code that requires evacuation of a
building if water service is lost or production/operations specifications for a c onstant temperature for
chemical manufacturing).
Information collected with these questions directly addresses an important element of the following PSPrep standards:
NFPA1600: "Operational impact, including upstream and downstream operations and dependencies or
cascading impact, or both, both internal and external to the entity". "Global dependencies, which are the
dependencies between an organization’s multiple facilities and external entities and are assessed to
determine the propagation of interruptions."
ASIS SPC.1-2009: “Consider its dependencies on others and others dependencies on the organization,
including critical infrastructure and supply chain dependencies and obligations”
The term “dependency,” as used in the IST, is defined as the reliance of a facility on a specific resource to
carry out its “core operations.”
Does the facility use this resource for its Core Operations?
Core Operations include any critical function that is necessary for the facility to fulfill its mission. For
instance, clearly natural gas used for process operations is a core function. Natural gas used for cooking
in the executive cafeteria is not a core function; however, natural gas used for cooking at a restaurant
would be a core function. Natural gas used for cooking at a hospital could support a core function (i.e.,
providing food to patients – but not to the visitor cafeteria)
Answer the following sections only if “Yes” is selected. The questions focus on the primary external
source, but will also address the capacity of any secondary internal sources. If for a given resource (e.g.,
electric power, natural gas, communications, etc.), the facility is not dependent on an external supplier,
the facility, it is considered that the facility is not dependent on the resource.

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Note:
As an ex ample a water treatment plant often uses electric power, supplied by an external provider, for
equipment and n ormal office functions, communications for dispatching repair crews, IT service for
process controls, and critical chemicals such as chlorine. However, even if it needs raw water (obviously
the facility has no treatment function without the raw water), this raw water is not provided by an outside
organization, unless the facility is buying the water from an outside source and in that the case, it would
be a c ritical product/raw material. In conclusion, a water treatment plant does not use wastewater.
Similarly, a wastewater treatment plant is not dependent on t he incoming wastewater nor is an e lectric
substation dependent on the electricity running through it as part of the grid; that is the facility’s function.
However, if the substation has a control house or electric switches, it will need what is often referred to as
“station power” from an external source (usually a drop line from the local distribution grid).

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Dependencies – Electric Power
Electric Power

Is external electric power required for Facility core operations (e.g., produce key
services/goods)?
No
Yes
If yes, complete this section.
Primary use for Electric Power: (Check all that apply)
On-site heat / hot water
Core Operations (including lighting, IT, telecom, etc.)
Security Operations (e.g., CCTV, scanners, sensors, etc.)
Describe:

External Sources

Is the external source the primary source?
No
Yes
What is the name of the Provider/Supplier:
Provider Facilities serving the facility:
Provider/supplier substation(s) servicing facility:
Unknown
Name or location:
Describe:
(if multiple substations)
nd
Name or location (2 substation):

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DEPENDENCIES – ELECTRIC POWER
For Electric Power, the question set captures both external and internal sources of power. However, if the
facility does not receive any electric power from an external source (all electric power is generated
internally), please check NO below and go to the next section: Dependencies – Natural Gas
If part or all the electric power needed for the facility core operations originates from an external provider,
please provide the information requested in this section.
Is the external source the primary source?
Answer to this question is yes if at least 51% of the electric power needed for the facility core operations
is provided by an external source.

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Dependencies – Electric Power
External Sources

Entrances to Facility:
How many electric service connections are there for the facility?
One service connection
More than one service connections
If more than one, can each service connection handle entire facility
load?
No
Yes
Describe:
If there are multiple service connections, where do t he lines enter the
facility?
Same location
Different geographic locations
Describe:
Service connections into the facility are located
Aboveground (power poles)
Buried
Mixed (both aboveground and buried)
Are the service connections co-located with other utilities (e.g., utility
corridors for natural gas, communications, fiber, water)?
No
Yes
Describe:
Are there protective measures in place inside the building supporting the
electrical system (e.g., locked electrical cabinet or room)?
No
Yes
Describe:
Are there protective measures in place outside the building supporting the
electrical system (but still within control of facility, e.g., bollards or box
around facility-owned transformer)?
No
Yes
Describe:

Electric Power External Sources Briefing Notes:

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Service Connections into the facility are located
To determine the location of service connections, consider everything between where the service enters
the facility’s property line until it terminates at the facility’s system (e.g., the meter in the basement or the
electric box outside the barn).
Are there protective Measures in place inside the facility supporting the electrical system
This question ascertains if the supporting electric components are protected from accidental or purposeful
damage. For example, if the electric transformers for the facility are within the facility line but are located
in the parking lot (without protection) where trucks can back into them, the answer would be NO.
Conversely, if facility step-down transformers are located outside the facility fencing (but on the facility
property within the facility’s control), and have adequate fencing, locked gates, privacy slats and crash
bars so the answer would be YES. Buried service lines are considered protected, so the answer would be
YES.

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Dependencies – Electric Power
Internal Sources

Does the facility have an internal electric power source?
No
Yes
If yes, is the internal source the primary source?
No
Yes
Internal power provided by (select one)
Power Plant onsite
Cogeneration unit onsite
Which fuel(s) are used by the Power Plant/Cogeneration Unit:
Natural Gas
Petroleum
Other
Does Power Plant/Cogeneration unit generate enough electricity to handle
full facility load?
Yes
No
If no, estimate the percent of peak facility demand the plant can supply:
%

Electric Power Internal Source Briefing Notes:

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Is the internal source the primary source?
Answer to this question is yes if at least 51% of the electric power needed for the facility core operations
is generated internally by the facility.
Cogeneration unit onsite
Cogeneration is a ge nerating facility that sequentially produces electricity and another form of useful
thermal energy (such as heat or steam or useful mechanical work such as shaft power) used for
industrial, commercial, residential or institutional purposes.
These questions inform us whether a co-generation unit is an ade quate backup or redundant electric
source. An example of an inadequate backup is when plant processes requiring electricity stop when
electric power is lost and the bottoming cycle unit cannot make electricity because it requires the fuel
generated by the plant processes’ byproduct (e.g., a generation plant that uses byproduct/waste methane
generated as part of a process as its fuel to make electricity). Conversely, if the cogeneration unit is
fueled directly by an outside source of natural gas and the external electricity source is lost, the
cogeneration unit will be able to function.

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Dependencies – Electric Power
Electric Power Loss of
External Source

Has the facility experienced electric service outages within the last
year?
No
Yes
Is there a c ontingency/business continuity plan with provider for
restoration?
No
Yes
Explain:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If external electric service is lost (without considering any backup or
alternative mode), how soon would the facility be severely impacted?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once external electric service is lost (without considering any
backup or alternative mode), what percentage of normal business
functions are lost or degraded?
1-33%
34-66%
67-99%
100% (Offline)
Are there external regulations/policies that mandate the facility shut
down after total loss of electric service including backup?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once external service is restored, how long would it take before full
resumption of operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:

Electric Power Loss of External Source Briefing Notes:

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Is there a contingency/business continuity plan with provider for restoration
The intent of this question is to define if specific service level agreements exist between the facility and
the provider of electric power.
Does the facility participate in provider priority plan for restoration
A priority plan is a “list” of facilities or types of facilities that will be restored before other types of facilities.
For instance, most utilities will prioritize human health facilities such as hospitals, water treatment system
assets, and nursing homes and restore service to them before other customers.
If external electric service is lost (without considering any backup or alternative mode), how soon
would the facility be severely impacted (e.g., more than 50% reduction in facility operations)?
This question captures the impact of the worst case scenario: the fact that the facility loses electric power
and is unable to operate its backup.
Once electric service is lost (without considering any backup or alternative mode)
This question captures the impact of the worst case scenario: the fact that the facility loses electric power
and is unable to operate its backup.
External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down if
facilities functions are degraded after loss of the main source of electric power. The answer is YES if the
facility has specific procedures defining that the facility must shut down due to loss of electric power. The
answer is YES if the facility owner/operator determines that it would be too dangerous or expensive to
operate on backup (without the primary source of electric power) after a c ertain time. This question
relates directly to the facility’s tolerable level of degradation, i.e., the amount of degradation they can
tolerate before losing their ability to maintain core functions safely and effectively.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the external electric power supply is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements or
preparations for re-energizing sensitive equipment (i.e., lag time). The restoration time can vary based on
the duration of the interruption. Answer to this question should be bas ed on t he Maximum Acceptable
Outage (MAO) defined when considering the loss of external sources of electric power. If the MAO has
not been defined, consider a maximum outage duration of 7 days: if the external source of electric
power is lost during 7 days, what time will be needed for full resumption of core operations when the
external sources of electric power is restored.

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Dependencies – Electric Power
Alternates and Backup
Generation

Does the facility have an alternate or backup that can be used in case
of loss of external source?
No
Yes
If yes, please provide the following information
Once external electric service is lost (and considering your backup or
alternative), what percentage of normal business functions are lost or
degraded?
None
1-33%
34-66%
67-99%
100%
Does the facility have a Backup generator?
No
Yes
Type of backup generator (diesel generator, natural gas)
Diesel Generator
Natural Gas (pipeline)
Propane

Other

Is refueling necessary
No
Yes
If yes,
Fuel Supplier Name:
Contracts or procedure in place for refuel in emergency
Duration of backup generation without refueling
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Purpose of the backup generator (check one):
Life Safety
Graceful shutdown
Core Operations
Entire Facility Load

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Alternates and Backup Generation
The intent of this section is to capture alternates and backups (backup generator and U ninterrupted
Power System) in place in the facility that can provide electric power in case of loss of the external source
of electric power.
Once external electric service is lost (and considering your backup or alternative mode)
This question captures the facility capability to operate in case of disruption in the external supply of
electric power. This information should take into account UPS batteries, backup generators, internal
sources or any other alternatives at the disposal of the facility for supplying electric power in case of
failure of the primary external source.

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Dependencies – Electric Power
Alternates and Backup
Generation

Is backup routinely tested under load (e.g., with facility functions being
served off of the generator in real-time, not just tested to see if it turns
on)?
No
Yes
If yes:
Weekly
Monthly
Quarterly
Semi-Annually
Annually
Describe:
Does the facility have Uninterrupted Power System (UPS)/Battery
backup?
No
Yes
Purpose of UPS/Battery backup (check one):
Life Safety
Graceful shutdown
Core Operations
Entire Facility Load
Duration of UPS/Battery backup
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
UPS/Battery backup configuration
In addition to backup generator(s)
To accommodate switch from external supply to backup
generator(s)
Sole backup for loss of external supply

Backup Generation Briefing Notes:

Overall Electric Power Comments:

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UPS/Battery backup
Uninterruptible power supply or uninterruptible power source provides emergency power to a load when
the main power source fails. Normally this equipment is used to bridge the time for the switch from the
main electric power supply to an alternative source of electricity (usually diesel generators). Facilities that
have very sensitive technologies may use battery rooms or banks that actually take the external power
(whether from the utility or the backup generator) convert it from alternating current to direct current and
then back to alternating current; sometimes called double-conversion systems. These can also serve as
uninterruptible backup power.
UPS/Battery backup configuration
UPS can be central and stand-alone devices. This difference is not critical. However, central UPS
provides a more integrated solution.
In addition to backup generator(s)
As an ex ample, the UPS could keep cyber and communication systems operational, while the backup
generator maintains lights and other building functions.
To accommodate switch from external supply to backup generator(s)
As an ex ample, the UPS could maintain cyber and building systems for 1-15 minutes until the backup
generator can be brought online and then would no longer be needed.
Sole backup for loss of external supply
As an example, core operations of the facility could be maintained on a UPS or battery system.

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Dependencies – Natural Gas
Natural Gas

Is external natural gas required for Facility core operations (e.g., produce key
services/goods)?
No
Yes
If yes, complete this section.
Primary use for natural gas: (Check all that apply)
On-site heat / hot water
Food preparation
Facility power
Steam generation (cogeneration)
Heat/Energy for Core Operations
Used as a raw material (e.g., to produce ammonia, hydrogen, etc.
Other, Describe:

Natural Gas External
Sources

What is the name of the Natural Gas supplier:
How many natural gas service connections are there for the facility?
One
More Than One
If more than one, can each service connection handle entire facility load?
No
Yes
If there are multiple service lines, where do the lines enter the facility?
Same location
Different geographic locations
Describe:
Service connections into the facility are located
Aboveground
Buried
Mixed (both aboveground and buried)

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DEPENDENCIES – NATURAL GAS
For natural gas, the question set captures only the external source. If the facility does not receive any
natural gas from an external source, please check NO and go to the next section: Dependencies –
Water
Service Connections
To determine the location of service connections, consider everything between where the service enters
the facility’s property line until it terminates at the facility’s system (e.g., the meter on the outer wall of an
office building or the internal manifold where external service ends and the facility’s natural gas system
begins).

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Dependencies – Natural Gas
Natural Gas External
Sources

Are the main service lines collocated with other utilities (e.g., utility corridors
with electric, Communications, fiber, water)?
No
Yes
Components of the natural gas supply located inside the building (within
control of facility) are protected from vandalism or accidental damage
No
Yes
Components of the natural gas supply located outside of the building (but still
within control of facility) are protected from vandalism or accidental damage
No
Yes

Natural Gas External Sources Briefing Notes:

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Dependencies – Natural Gas
Natural Gas Loss of
Service

Has the facility experienced natural gas service outages within the last 5
years?
No

Yes

Is there a contingency/business continuity plan with provider for restoration?
No
Yes
Explain:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If external natural gas service is lost (without considering any backup or
alternative mode), how soon would the facility be severely impacted?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once external natural gas is lost (without considering any backup or
alternative mode), what percentage of normal business functions are lost or
degraded?
1-33%
34-66%
67-99%
100% (Offline)
Are there external regulations/policies that mandate the facility shut down after
loss of natural gas including backup?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once service is restored, how long would it take before full resumption of
operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:
Natural Gas Loss of Service Briefing Notes:

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Is there a contingency/business continuity plan with provider for restoration
The intent of this question is to identify and describe specific service level or rate agreements that exist
between the facility and the provider of natural gas.
Does the facility participate in provider priority plan for restoration
A priority plan is a “list” of facilities or types of facilities that will be restored before other types of facilities.
For instance, most utilities will prioritize human health facilities such as hospitals, water treatment system
assets, and nursing homes and restore service to them before other customers.
If external natural gas service is lost (without considering any backup or alternative mode), how
soon would the facility be severely impacted?
This question captures the impact of the worst case scenario, the fact that the facility loses natural gas
and is unable to operate its backup.
Once external natural gas is lost (without considering any backup or alternative mode), what
percentage of normal business functions would be lost or degraded?
This question captures impact of the worst case scenario, the fact that the facility losses natural gas and
is unable to operate its backup.
External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of natural gas. The answer is YES if the facility has specific procedures
defining that the facility must shut down. The answer is YES if the facility owner/operator determines that
it would be too dangerous or expensive to operate on backup (without the primary source of natural gas)
after a certain time. This question relates directly to the facility’s tolerable level of degradation, i.e., the
amount of degradation they can tolerate before losing their ability to maintain core functions safely and
effectively.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the external natural gas supply is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes such as relighting pilot lights (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of external sources of natural gas. If the MAO has not been
defined, consider a maximum outage duration of 7 days: if the external source of natural gas is lost
during 7 days, what time will be needed for full resumption of core operations when the external sources
of natural gas is restored.

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Dependencies – Natural Gas
Natural Gas Backup

Is there an internal natural gas source or an alternative fuel source (e.g., diesel
fuel, propane or electricity) that can serve as a backup upon the loss of the
primary natural gas source?
No
Yes
If yes, describe:
Duration of backup:
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once external natural gas service is lost (and your backup or alternative
fuel is employed), what percentage of normal business functions are lost
or degraded?
None
1-33%
34-66%
67-99%
100%

Natural Gas Backup Briefing Notes:
Overall Natural Gas Comments:

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Backup Gas or alternative source
If the facility has an internal source of natural gas (e.g., natural gas compressor uses natural gas directly
from the pipe for fueling pumps) it should be captured as backup to the loss of external natural gas
service. This could also be when something is dual-fueled (e.g., a boiler) and if natural gas service is lost,
the equipment can quickly switch to diesel fuel.
Duration of Backup
The amount of time the facility can operate the backup gas supply or alternate source, e.g., backup
propane supply runs out. However, if the facility processes can be operated continuously using electricity
(e.g., heating system), then duration can be 365 days.

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Dependencies – Water
Water

Is external water required for the Facility Core Operations (Produce Key
Services, Goods)?
No
Yes
If yes, complete this section.
What is the purpose of water usage: (Check all that apply)
Domestic (e.g., potable water)
Core Operations (e.g., rinse waters, process water, fire protection for
special areas)
Cooling (e.g., cooling towers, HVAC)
Other
Describe:

External Sources

What is the name of the Water Provider:
How many water service connections are there for the facility?
One
More Than One
If more than one, can each service connection handle entire facility load?
No
Yes
If there are multiple service lines, where do the lines enter the facility?
Same location
Different geographic locations
Describe:
Are the main service lines collocated with other utilities (e.g., utility corridors
with electric, Communications, fiber)?
No
Yes

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DEPENDENCIES – WATER
For Water, the question set captures both external and internal sources. However, the primary focus is on
external source. Information about internal source is only collected because a f acility that has both
internal and external sources of water is more robust and t hus theoretically more resilient. This also
makes the facility less susceptible to cascading failures.
By definition for the IST/SAV methodology, if the facility does not have any external source of water, the
facility is determined not dependent on water. The calculation of the Resilience Measurement Index
incorporates this concept into the relative value system.
If the facility does not receive any water from an external source (all water is obtained internally),
please check NO below and go to the next section: Dependencies – Wastewater
If part or all the water needed for the facility core operations is furnished by an external source, please
provide the information requested in this section. This section is also used when a f acility has both an
external dependency and an internal source of water.

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Dependencies – Water
External Sources

Are components of the water service located inside of the building (but still
within control of facility) protected from vandalism or accidental damage?
No
Yes
Describe:
Are components of the water supply located outside of the building (but still
within control of facility) are protected from vandalism or accidental damage?
No
Yes
Describe:

Water External Source Briefing Notes:

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Dependencies – Water
Internal Sources:

Does the facility have an internal source of water?
No
Yes
If yes, complete this section.
What is the type of Internal sources?
Onsite wells
Surface water
Describe:
Do onsite sources produce enough water to handle full facility load?
Yes
No
Percent of Demand:
Duration:
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)

Water Internal Source Briefing Notes:

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Dependencies – Water
Water Loss of External
Service

Has the facility experienced external water service outages within the last 5
years?
No
Yes
Is there a c ontingency/business continuity plan with provider(s) for
restoration?
No
Yes
Explain:
Does the facility participate in provider priority plan for restoration/
No
Yes
Explain:
If the external water service is lost (without considering any backup or
alternative mode), how soon would the facility be severely impacted?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once external water service is lost (without considering any backup or
alternative mode) what percentage of normal business functions are lost or
degraded?
1-33%
34-66%
67-99%
100% (Offline)
Are there external regulations/policies that mandate the facility shut down
after loss of water including backup?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once external service is restored, how long would it take before full
resumption of operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:

Water Loss of External Service Briefing Notes:

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Contingency/business continuity plan with provider for restoration
The intent of this question is to define if specific service level agreements exist between the facility and
the provider of water.
Does the facility participate in provider priority plan for restoration
A priority plan is a “list” of facilities or types of facilities that will be restored before other types of facilities.
For instance, most utilities will prioritize human health facilities such as hospitals, water treatment system
assets, and nursing homes and restore service to them before other customers.
If the external water service is lost (without considering any backup or alternative mode), how
soon would the facility be severely impacted?
This question captures the impact of the worst case scenario, the fact that the facility loses water and is
unable to operate its backup.
Once external water service is lost (without considering any backup or alternative mode), what
percentage of normal business functions would be lost or degraded?
This question captures the impact of the worst case scenario, the fact that the facility loses water and is
unable to operate its backup.
External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of water. The answer is YES if the facility has specific procedures defining
that the facility must shut down. The answer is YES if the facility owner/operator determines that it would
be too dangerous or expensive to operate on backup (without the primary source of water) after a certain
time. This question relates directly to the facility’s tolerable level of degradation, i.e., the amount of
degradation they can tolerate before losing their ability to maintain core functions safely and effectively.
For example, a building could be closed if water is not available for fire suppression systems.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the external water supply is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or security verifications (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of external sources of water. If the MAO has not been defined,
consider a maximum outage duration of 7 days: if the external source of water is lost during 7 days,
what time will be ne eded for full resumption of core operations when the external sources of water is
restored.

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Dependencies – Water
Water Alternates and
Backup

Is there an alternate to the external source of water?
No
Yes
Describe:
Can this alternative support full core operations?
Yes
No
percentage:
What is the duration of this alternative?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once water service is lost (and considering your backup or alternative
mode) what percentage of normal business functions are lost or
degraded?
None
1-33%
34-66%
67-99%
100% (Offline)
Is there onsite water storage?

No

Yes

If yes,
Quantity:

(circle: Gallons or Acre-Feet)

Water Alternate and Backup Briefing Notes:
Overall Water Comments:

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Water Alternatives and Backup
This section captures alternatives and backups in place at the facility than can provide water in case of
loss of the external source of water.
If water service is lost (and considering your backup or alternative mode) what percentage of
normal business functions would be lost or degraded?
This question captures the facility’s capability to operate in case of disruption in the external supply of
water. This information should take into account internal sources or any other alternatives at the disposal
of the facility for supplying water in case of failure of the primary external source.

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Dependencies – Wastewater
Wastewater

Does the facility require external wastewater discharge services for Core
Operations (Produce Key Services, Goods)?
No
Yes
If yes, complete this section.
What is the primary use for wastewater discharge services: (Check all that
apply)
Domestic
Industrial Wastewater
Livestock
Other
Describe:

External Discharge
Services:

What is the name of the Wastewater Receiver (e.g., Collection system or
treatment plant):
How many wastewater laterals are there for the facility?
One
More than one
If more than one, can each lateral handle entire facility load?
No
Yes
If there are multiple laterals, where do the lines exit the facility?
Same location
Different geographic locations
Describe:

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DEPENDENCIES – WASTEWATER
For Wastewater, the question set captures both external and i nternal wastewater discharge services.
However, the primary focus is on ex ternal service. Information about internal source is only collected
because a facility that has both internal and external wastewater discharge services is more robust and
thus theoretically more resilient. This also makes the facility less susceptible to cascading failures.
By definition for the IST/SAV methodology, if the facility does not have any external wastewater discharge
service for wastewater, the facility is determined not dependent on wastewater service. The
calculation of the Resilience Measurement Index incorporates this concept into the relative value system.
Then, if the facility does not use an external wastewater discharge service (all wastewater is treated
internally), please check No below and go to the next section: Dependencies – Communications
If part or all the wastewater discharge service needed for the facility core operations is furnished by an
external provider, please provide the information requested in this section. Also use this section when a
facility has both an external dependency and an internal wastewater discharge service.
Check all primary wastewater discharge services that apply
In order to be a redundant wastewater system, the onsite treatment would have to be discharged via the
facility’s own discharge pipes directly to the ultimate receiving waters without needing the local
wastewater provider (e.g., they have an individual EPA-issued National Pollutant Discharge Elimination
System [NPDES] permit). If the internal water collection/treatment components discharge offsite to the
local municipal or regional wastewater authority, then that type of internal system is not a r edundant
system because it cannot operate upon loss of the wastewater service provider. It may be that domestic
sewage is discharged to the local or regional wastewater authority; however, industrial wastewater is
treated onsite and d ischarged directly to a water body. Few facilities will have onsite domestic sewage
treatment and discharge.

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Dependencies – Wastewater
External Discharge
Services:

Are the main laterals collocated with other utilities (e.g., utility corridors with
electric, Communications, fiber, water)?
No
Yes
Components of the wastewater service located inside of the building (but still
within control of facility) are protected from vandalism or accidental damage
No
Yes
If Yes, describe:
Components of the wastewater service located outside of the building (but still
within control of facility) are protected from vandalism or accidental damage
No
Yes
If Yes, describe:

Wastewater External Discharge Services Briefing Notes:

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Dependencies – Wastewater
Internal Discharge
Services:

Does the facility have an internal wastewater discharge service?
No
Yes
What are the types of Internal discharge services?
Onsite sewage treatment
Industrial Wastewater treatment plant
Describe:
Are onsite services sufficient to handle full facility wastewater load?
Yes
No
If no, Percent of discharges:
%
Duration:
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)

Wastewater Internal Discharge Services Briefing Notes:

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What are the types of Internal discharge services
Consider the service that can fully treat most of the wastewater load produced by the facility. If the
internal service is only used for a pr e-treatment, it should not be considered the primary wastewater
discharge service.
In order to be a redundant wastewater removal system, the onsite treatment would have to be
discharged via the facility’s own discharge pipes directly to the ultimate receiving waters without needing
the local wastewater provider (e.g., they have an individual EPA-issued National Pollutant Discharge
Elimination System [NPDES] permit). If the internal wastewater collection/treatment components
discharge offsite to the local or regional wastewater authority, then that type of internal system is not a
redundant system because it cannot operate upon loss of the wastewater service provider. It may be that
domestic sewage is discharged to the local or regional wastewater authority, however, industrial
wastewater is treated onsite and discharged directly to a water body. Few facilities will have onsite
domestic sewage treatment and discharge.

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Dependencies – Wastewater
Loss of External
Wastewater Discharge
Service

Has the facility experienced external wastewater service outages within the
last year?
No
Yes
Is there a contingency/business continuity plan with provider for restoration?
No
Yes
Explain:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If the external wastewater service is lost (without considering any backup
or alternative mode), how soon would the facility be severely impacted?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once external wastewater service is lost (without considering any backup
or alternative) what percentage of normal business functions are lost or
degraded?
1-33%
34-66%
67-99%
100% (Offline)
Are there external regulations/policies that mandate the facility shut down
after loss of wastewater discharge service including backup?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once external service is restored, how long would it take before full
resumption of operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:

Wastewater Loss of External Service Briefing Notes:

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Is there a contingency/business continuity plan with provider for restoration?
The intent of this question is to define if specific service level agreements exist between the facility and
the provider of wastewater removal service.
Does the facility participate in provider priority plan for restoration
A priority plan is a “list” of facilities or types of facilities that will be restored before other types of facilities.
For instance, most utilities will prioritize human health facilities such as hospitals, water treatment system
assets, and nursing homes and restore service to them before other customers.
If the external wastewater service is lost (without considering any backup or alternative mode),
how soon would the facility be severely impacted?
This question captures the impact of the worst case scenario: the fact that the facility loses wastewater
discharge service and is unable to operate its backup.
Once external wastewater service is lost (without considering any backup or alternative) what
percentage of normal business functions would be lost or degraded?
This question captures the impact of the worst case scenario: the fact that the facility loses wastewater
discharge service and is unable to operate its backup.
External regulation policy
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of wastewater discharge services. The answer is YES if the facility has
specific procedures defining that the facility must shut down. The answer is YES if the facility
owner/operator determines that it would be too dangerous or expensive to operate on backup (without the
primary source of wastewater treatment) after a certain time. This question relates directly to the facility’s
tolerable level of degradation, i.e., the amount of degradation they can tolerate before losing their ability
to maintain core functions safely and effectively.
For example, a building could be closed if connections to a wastewater removal/treatment system are not
available for the disposal of sanitary water or the disposal of industrial wastewater.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the external wastewater system is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or security verifications (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of external wastewater discharge service. If the MAO has not
been defined, consider a maximum outage duration of 7 days: if the external wastewater discharge
service is lost during 7 days, what time will be nee ded for full resumption of core operations when the
external wastewater discharge service is restored.

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Dependencies – Wastewater
Wastewater Alternate

Is there an alternate to the external wastewater discharge service?
No
Yes
Describe:
Can this alternative support full core operations?
Yes
No
If no, Percent of Discharges:
%
Once external wastewater service is lost (and considering your backup
or alternative mode) what percentage of normal business functions are
lost or degraded?
None
1-33%
34-66%
67-99%
100% (Offline)
What is the duration of this alternative
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)

Wastewater Alternate Briefing Notes:

Overall Wastewater Comments:

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Wastewater Alternate
This section captures alternatives and backups in place at the facility that can provide wastewater
discharge services in case of loss of the external source of service.
If the external wastewater discharge service is lost (and your backup or alternative is
implemented) what percentage of normal business functions are lost or degraded?
This question captures the facility’s capability to operate in case of disruption in the external supply of
wastewater discharge service. This information should take into account internal sources or any other
alternatives at the disposal of the facility for dealing with wastewater discharge in case of failure of the
primary external source.

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Dependencies – Communications
Communications
(Focus on the
infrastructure
that supports
voice and data
communications
for the facility)

Are external communications required for Facility core operations (e.g., produce key
services/goods)?
No
Yes
If yes, complete this section.
Which of these communication services is critical to facility operations?
(Check all that apply)
Telephone
Data (Includes networking and Voice-over IP)
Radio Link
Select one primary critical communications mode [mode the loss of which would
result in the most severe impact to facility functions –only check one]
Telephone
Data (Includes networking and Voice-over IP)
Radio Link
Complete the follow-on questions only
communications mode/service selected above.

for

the

primary

critical

Telephone Mode
Primary Critical
Telephone Usage

General business or administration or customer services function (General)
Command, control, interrogation & monitoring of equipment and processes
(SCADA/PCS)
Dispatch functions (Dispatch)
Data Mode (e.g., fiber cable)

Primary Critical
Data Services
Usage

General business or administration or customer services function (General)
Command, control, interrogation & monitoring of equipment and processes
(SCADA/PCS)
Dispatch functions (Dispatch)
Radio Mode (e.g., microwave or radio tower)

Primary Critical
Radio Usage

General business or administration or customer services function (General)
Command, control, interrogation & monitoring of equipment and processes
(SCADA)
Dispatch functions (Dispatch)

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DEPENDENCIES – COMMUNICATIONS
For Communications, the questions set capture only the external source. If the facility does not receive
any communications service from an external source, please check No below and go to the next
section: Dependencies – Information Technology.
Communication Modes
Telephone: Telephone service includes hard-wired (e.g., landline) or fixed location desktop or wall
telephone. It can include a portable phone that uses a base that is hard-wired. IT DOES NOT INCLUDE
CELL PHONES.
Data: Data service includes hard-wired (e.g., fiber) or fixed locations that enter the facility at
communication rooms, closets or the initial connection to facility IT equipment. It does not include mobile
or wireless laptops or remote units. It does include voice-over-IP. For data, the Communications
Dependency section covers the link for the both SCADA and business system to the outside carrier (e.g.,
Comcast or AT&T).
The IT Dependency section will cover the policies and protections of the IT data system once the link has
been made.
Radio Link: Radio Link includes any voice or data transmission from a dev ice that is NOT hard-wired
(e.g., transmission over radio frequencies, including cell phones, 800 MHz radios, Blackberries, walkietalkie and microwave units).
Complete the follow-on questions only for the primary critical communications mode/service selected above.
Work with the Owner/Operator to determine which of the communication modes and w hich of the
communication services is most important to the operation of the facility. This may be difficult to decide if the
control system or the business system is more important, however try to think of what will cause facility
operations/function to cease or be degr aded rather than impacts to a facility’s ability to carry on
administrative functions. Also, it may be that they rely on multiple modes to carry out this communication
service (e.g., cell phones and radios), but only one can be the primary critical communication mode.

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Dependencies – Communications
Protective
Measures For
Primary Critical
Communications
Mode and
Service
[For example,
Telephone is the
Mode and
General
Business is the
Service; or Data
is the Mode and
Control is the
Service]

What protective measures are employed for the primary communication service?
(Check all that apply)
More than one service connection (e.g., telephone line, data cable or radio
tower) at the facility
If more than one service connection, they are in different geo-locations
More than one inside terminal/Communications room
Service connections are located underground
Service connections terminate in a protected facility/building
Service connections are not located in a joint, co-located utility corridor
None

Communications Service Briefing Notes:

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Dependencies – Communications
Impact of loss of
Primary
Communication
Mode and
Service (cont’d)

Has the facility experienced communication service outages within the last year?
No
Yes
Is there a contingency/business continuity plan with provider for restoration?
No
Yes
Explain:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If external communication service is lost (without considering any backup or
alternative mode), how soon would the facility be severely impacted?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once the facility has lost external communication service mode (without
considering any backup or alternative mode), what percentage of normal
business functions are lost or degraded?
1-33%
34-66%
67-99%
100% (Offline)
Are there external regulations/policies that mandate the facility shut down after loss
of communications including backup?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once service is restored, how long would it take before full resumption of
operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:

Communications Impact of Loss of Service Briefing Notes:

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Is there a contingency/business continuity plan with provider for restoration
The intent of this question is to identify and describe specific service level or rate agreements that exist
between the facility and the utility/service/product provider.
Does the facility participate in provider priority plan for restoration
A priority plan is a “list” of facilities or types of facilities that will be restored before other types of facilities.
For instance, most utilities will prioritize human health facilities such as hospitals, water treatment system
assets, and nursing homes and restore services to them before other customers.
If external communication service is lost (without considering any backup or alternative mode),
how soon would the facility be severely impacted:
This question captures the impact of the worst-case scenario: the fact that the facility loses
communications provided by an external supplier and is unable to operate its backup.
Once the facility has lost communication service mode (without considering any backup or
alternative mode), what percentage of normal business functions are lost or degraded?
This question captures impact of the worst-case scenario, the fact that the facility losses communications
provided by an external supplier and is unable to operate its backup.
External regulation policy
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of communications. The answer is YES if the facility has specific procedures
defining that the facility must shut down. The answer is YES if the facility owner/operator determines that
it would be too dangerous or expensive to operate on backup (without the primary source of
communication) after a c ertain time. This question relates directly to the facility’s tolerable level of
degradation, i.e., the amount of degradation they can tolerate before losing their ability to maintain core
functions safely and effectively. For example, a building may need to shut down if it is impossible to have
access to 911 services. In fact this question relates directly to the Maximum Tolerable Time of
Degradation as well as the tolerable level of degradation.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the external communication supply is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or security verifications (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of communications. If the MAO has not been defined, consider
a maximum outage duration of 7 days: if the external source of communications is lost during 7 days,
what time will be needed for full resumption of core operations when communications are restored.

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Dependencies – Communications
Communications
Alternate and
Backup

If primary mode of communication service is lost, is there a backup mode of
communication?
No
Yes
Duration of backup:
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once the facility has lost external communication service mode (and your
backup or alternative is implemented) what percentage of normal business
functions are lost or degraded?
None
1-33%
34-66%
67-99%
100%

Communications Alternate and Backup Briefing Notes:
Overall Communications Comments:

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Communications Alternate and Backup
Backup Communications should be a different mode than the primary mode. For instance, if the facility’s
primary mode was telephone; they would normally have a different mode (e.g., radio) for
communications. However, for instance, if the facility possesses its own communication system, it can be
captured as backup to the primary, outside system. The capability to operate manually is another
example of alternate to the loss of communications.
Duration of Backup
The amount of time the facility can operate the backup mode of communication, e.g., radios. If the facility
can be fully operational continuously using this backup mode, then duration can be 365 days.

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Dependencies – Information Technology
Is Information Technology required for Facility core operations (e.g., produce key services/goods)?
No
Yes
If yes, complete the following section.
Information Technology Management
Resilience Operations

Is there a manager/department in charge of IT security
management?
No
Yes

If yes, is this the primary function of that
manager/department?
No
Yes

IT Sources

What type of IT do you use? (check all that apply)
Internet
Internal IT
What is the name of the IT provider/supplier:
Critical Uses for IT Service:
(Check all that apply)
Business Network
General business or administration or customer services
function (e.g., taking/filling orders, patient records) (Business
Network)
Describe:
Control Network
Supervisory Control and Data Acquisition (SCADA)
Describe:
Process Control Systems (PCS)
Describe:

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DEPENDENCIES – INFORMATION TECHNOLOGY
The Communications Dependencies section covers the linkage for the both SCADA and business
systems to the outside carrier. The Information Technology (IT) Dependencies section covers the policies
and protections of the IT data system once the linkage has been made.
Note: Questions have been developed and added in collaboration with the Cyber Resilience Review
(CRR) team of the DHS National Cybersecurity Division. Answer to these questions provide information
that will be used “to understand whether the organization (interviewed) participates in cybersecurity
information sharing, has critical cyber dependencies, and uses community resources for cybersecurity
management.
Is Information Technology required for Facility core operations (e.g., produce key
services/goods)?
Answer to this question is YES is the facility primary mission(s) depend(s) on i nformation technology
assets to be functioning and in good working order.
If the facility does not need IT for supporting its core operations, please check No and go to the next
section: Dependencies – Transportation.
Critical Uses for IT Service
Business Network
A business network includes email, billing, file storage, etc. It may perform general business,
administration, or customer service (e.g., taking/filling orders, patient records) functions.
Control Network
Control networks relate to systems that are used to manage the control of operations, e.g., opening
valves to control gas flow, measuring water flow at a water treatment facility, controlling package sorting
at a shipping facility, etc.
Complete the follow-on questions only for the primary critical IT mode/service selected (Internet or Internal
IT). Work with the Owner/Operator to determine which of the IT modes and which of the IT services is most
important to the operation of the facility. This may be difficult to decide or even determine if the control
system or the business system is more important, however try to think of what will cause facility
operations/function to cease or be degr aded rather than impacts to a facility’s ability to carry on
administrative functions. Also, it may be that they rely on multiple modes to carry out this IT service, but only
one can be the primary critical IT mode. If both are critical, simply pick one of them and answer accordingly.

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Dependencies – Information Technology
Does the facility report
cybersecurity incidents to outside
organizations?

No
Yes
If yes, for what purpose do you make such reports:
Request technical assistance (U.S. CERT, IRT teams, etc.)
Request incident management support
Regulatory (e.g., NERC CIP)?
Information sharing (e.g., U.S. Cert, state computer security
incident response teams, fusion centers)
Law enforcement (e.g., FBI, USSS, state/local police)
Describe:

Does anyone from the facility
actively participate in local or
regional cybersecurity forums (e.g.,
exchange lessons learned, best
practices, training)?

No
Yes
If yes, please list and describe.
Sector-specific information sharing and analysis center.
Which one(s)?
Sector-related associations/partnerships
Which one(s)?
Federal or State-led partnerships (e.g., FBI InfraGard
chapter(s))
Which ones?
Fusion center(s)
Which one(s)?
State or local law enforcement department(s)
Which one(s)?
State or local IT office(s)
Which one(s)?
Other(s)
Describe:

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Does the facility report cybersecurity incidents to outside organization?
Organizations have varying criteria for declaring a cyber security incident. However, in general terms, a
cybersecurity incident is an event that violates written or implied security policies. Depending on t he
organization, examples might include spear phishing campaigns, stolen data, and denial service attacks.

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Dependencies – Information Technology
Does the facility receive threat and
vulnerability information,
cybersecurity-related bulletins,
advisories, and alerts from an
external source?

No
Yes
If yes,
DHS US-CERT
DHS ICS-CERT
DHS Open Source Enterprise (OSE) Daily Cyber Report
DHS Daily Open Source Infrastructure Report
DHS Homeland Security Information Network (HSIN)
SANS Internet Storm Center
Vendors
State or local law enforcement departments(s)
Other
Which one(s)?
How often do you receive this information?
Daily
Weekly
Monthly

Does the facility utilize formal,
external cybersecurity guidance
and standards for identifying and
implementing cybersecurity
controls (management, operational,
and technical) (e.g., NIST Special
Publications 800-series, ISO/IEC
27001, CoBIT, ITIL)?

No
Yes

Does the facility perform threat
monitoring and/or threat
management/remediation?

No
Yes

Which guidance or standard?

Is this function performed by a third-party contractor?
No
Yes
What is the name of the contractor:
Describe:

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Does the facility utilize formal, external cybersecurity guidance and standards for identifying and
implementing cybersecurity controls (management, operational, and technical) (e.g., NIST Special
Publications 800-series, ISO/IEC 27001, CoBIT, ITIL)?
This question captures if the facility utilizes stantards to develop policies regarding cyber security. This
includes policies that affect people, processes, and equipment.
Does the facility perform or utilize threat monitoring and/or threat management/remediation?
Is this function performed by a third-party contractor?
Some organizations will hire a third party to provide them with cyber threat and vulnerability information
as well as real-time system monitoring services. Some examples include Dell Secure works, Symantec,
NEC, IBM and many others.

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Dependencies – Information Technology
Does the facility have an IT
service provider or an internal
cyber team responsible for
immediately responding to,
coordinating, and/or managing
cyber incidents?

No
Yes
Is this service provider or team capable of initiating response
and managing a cyber emergency?
No
Yes
Without external partners?
No
Yes

Does the facility rely upon a local
or regional partner – such as
fusion center, law enforcement
department, private sector
partner, and state or local
government offices - for IT
business continuity, IT disaster
recovery, event management,
regional catastrophic recovery, or
operational response?

No
Yes
Sector-specific information sharing and analysis center.
Which one(s)?
Sector-related associations/partnerships
Which one(s)?
Federal or State-led partnerships (e.g., FBI InfraGard
chapter(s))
Which ones?
Fusion center(s)
Which one(s)?
State or local law enforcement department(s)
Which one(s)?
State or local IT office(s)
Which one(s)?
Other(s)
Describe

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Does the facility have an IT service provider or an internal cyber team responsible for immediately
responding to, coordinating, and/or managing cyber incidents?
Some facilities hire an external third party to monitor their IT networks and r espond to cyber security
threats and incidents. Alternatively, larger organizations may opt to build an internal team comprised of IT
and IT security professionals trained to perform this function. Some responsibilities of these providers and
teams include Intrusion Detection / Prevention (IDS/IPS), virus/malware detection, and incident response.
Does the facility rely upon a local or regional partner – such as fusion center, law enforcement
department, private sector partner, and state or local government offices - for IT business
continuity, IT disaster recovery, event management, regional catastrophic recovery, or operational
response?
The organization has relationships with regional partners to provide assistance in the form of information,
technical expertise, emergency coordination, potential relocation and/or restoration resources.

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Dependencies – Information Technology
Does the organization have a
Cybersecurity Plan?

Yes
No
If yes,
The plan is developed at the:
Corporate-level
Facility-level
IT Service-level
Has the plan been approved by senior management?
Yes
No
Is the plan required by a Federal, state, or local regulation?
No
Yes
Is the plan reviewed at least annually?
Yes
No
Are key personnel aware of and do they have access to a copy
of the plan?
Yes
No
Are personnel trained on the plan?
No
Yes
If yes,
Key personnel only are trained on the plan (Check all
that apply)
At initial employment
At least once a year
Or,
All personnel are trained on t he plan (Check all that
apply)
At initial employment
At least once a year

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Does the organization have a Cybersecurity Plan?
The answer to this question should be “ YES” if the facility has documentation that addresses
cybersecurity or IT service continuity. IT service involves addressing continuity of operations, business
continuity, IT disaster recovery, etc. These plans may exist separately or could be included in the
organizations overall plans but should address IT specifically.
Are personnel trained on the plan?
The intent of this question is to capture if the personnel know the plan and its content (procedures), and
their role in the case of an incident.

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Dependencies – Information Technology
Does the organization have a
Cybersecurity Plan?

Does the Cybersecurity Plan address:
Identification and classification of cyber critical assets
Access control policies
IT security roles and responsibilities
IT security training
Audit Trails
Disposal of protected assets
Incident Response/Management
Unauthorized Access
Denial of Service
Malicious Code
Improper Usage
Scan/Probes/Attempted Access
Security testing
Physical security of critical IT assets
Fire walls
Electronic communications
Remote access
Is not allowed
Is allowed only when needed, then access disabled
(physically or electronically)
Is allowed at all times
user controls are in place
Is remote access allowed to continue operations during
circumstances that may preclude access to the facility
(e.g., hurricane aftermath or pandemic situations)?
Yes
No
Wireless
Is not allowed
Is allowed on private network space (requires
authentication / WEPkey, etc. to gain access)
Is allowed on guest network only
Is allowed, open to all, with access to company
network
Security patches or updates
None of the above

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Incident Response/Management
This element captures the means of the facility to detect and respond to five categories of cyber incidents:
Unauthorized Access, Denial of Service (DOS), Malicious Code, Improper Usage and
Scans/Probes/Attempted Access. The incidents listed can be detected by multiple technical means
including Intrusion Detection/Prevention systems (IDS/IPS), firewalls, anti-virus tools, and vulnerability
detection/assessment tools.
Unauthorized access: an individual gains logical or physical access without permission to a network,
system, application, data, or other resource.
Denial of Service (DOS): An attack that successfully prevents or impairs the normal authorized
functionality of networks, systems, or applications by exhausting resources. This activity includes
being the victim or participating in the DOS.
Malicious code: successful installation of malicious software (e.g., virus, worm, Trojan horse, or other
code-based malicious entity) that infects an operating system or application.
Improper usage: a person violates acceptable computing use policies.
Scans/Probes/Attempted Access: any activity that seeks to access or identify a c omputer, open
parts, protocols, service, or any combination for later exploit. This activity does not directly result in a
compromise or denial of service.
Remote Access
Remote Access allows connectivity to the internal network from the outside. User controls can include
only allowing designated users to connect remotely, vs. all users; use of secure tokens; changing default
passwords on remote devices; etc.
Wireless
Wireless connectivity introduces additional security concerns. A best-case scenario would be for wireless
to not be used at all, especially on control networks. Other scenarios may have a separate visitor network
space, such that a visitor would not be able to scan traffic on the internal network. Employees would need
to VPN or authenticate in some manner to gain access. A worst-case scenario would be that wireless is
open to all, and exists on the same network as the internal systems.

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Dependencies – Information Technology
Does the organization have a
Cybersecurity Plan?

Does the facility conduct cybersecurity exercises for purposes
of training, system testing, continuity planning, or disaster
recovery?
No
Yes
When:
The plan is exercised at least once a year
No
Yes
If yes, these exercises are:
Tabletop (practical or simulated exercise)
Functional (specialized exercise)
Full scale (simulated or actual event))
Are exercise results documented, approved and reported to
executive management?
No
Yes

Administration Policy

Has a cybersecurity assessment been completed?
No
Yes
Internal Assessment
How often?
6 months
Annually
Less frequently than annually
External Assessment
How often?
6 months
Annually
Less frequently than annually
Describe:
Are security scans performed?
No
Yes
If yes, How often?
Continuously via active system /IDS (to detect and
isolate threats)
Every 3-6 months
Annually
Less frequently than annually

Information Technology Management Briefing Notes:
Overall IT Management Comments:

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Has a cyber assessment been completed?
An assessment of a cybersecurity stature involves auditing the systems, policies, and procedures within
an organization, in addition to performing a risk assessment. This allows an organization to identify their
critical systems, develop a plan for disaster recovery, establish policies for user controls, and create short
and long term direction for the computing environment. A cybersecurity plan can be the resulting
document of this assessment. The following site can provide further information.
http://www.sans.org/reading_room/whitepapers/auditing/an_overview_of_threat_and_risk_assessment_7
6.pdf.
Security scans are performed for vulnerabilities
Vulnerabilities include software holes that a hacker might take advantage of, out of date virus definition
files, default passwords set by a vendor, or accounts that are not password protected. Software designed
for scanning, such as ISS or Nessus, is commonly used, as is active scan systems, which detect
vulnerabilities as soon as a system joins the network.

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Dependencies – Information Technology
Does the facility have a control and business network?
No
Yes
If yes, is there network segmentation between control networks and business networks?
No
Yes
Are there redundant separated critical servers or network components?
No
Yes
Does the facility use Backup Data Storage?
No
Yes
How often are backups performed?
Daily
Weekly
Monthly
Are data restores performed and verified (e.g., backup data is restored and checked to see if it
works)?
No
Yes
Is access to control/computer rooms and remote equipment controlled?
No
Yes
If yes, describe:

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Are there redundant, separated critical servers or network components?
This will occur when systems are redundant and are in different rooms or buildings or are a reasonably
significant distance apart.
Does the facility use Backup Data Storage?
This question captures if the facility has procedures for data backup and the storage of those data. This is
different from the information captured in the business continuity plan section, and it is not intended to
capture if the facility has an alternative data center. That information should be captured in the alternative
site section. For example, this section will capture a hospital’s capability to store electronic medical
records at another location for later restoration of the original database/system.

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Dependencies – Information Technology
Information Technology
Loss of Service

Is there a contingency/business continuity agreement with the provider for
restoration?
No
Yes
Explain:
Does the facility participate in a provider priority plan for restoration?
No
Yes
If the information technology system is lost completely (and no backup is
employed), within what time period would the facility be severely
impacted?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once the information technology system is lost (without considering
any redundant or alternative mode), what percentage of normal
business functions are lost or degraded?
1-33%
34-66%
67-99%
100% (Offline)
Are there external regulations/policies that mandate the facility shut down
after loss of information technology service including backup?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once service is restored, how long would it take before full resumption of
operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:

Information Loss of Service Briefing Notes:

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Contingency/business continuity plan with provider for restoration
The intent of this question is to identify and describe specific service level or special rate agreements that
exist between the facility and the utility/service/product provider.
Does the facility participate in provider priority plan for restoration
A priority plan is a “list” of facilities or types of facilities that will be restored before other types of facilities.
For instance, most utilities will prioritize human health facilities such as hospitals, water treatment system
assets, and nursing homes and restore service to them before other customers.
If the information technology system is lost completely (and no backup is employed), how soon
would the facility be severely impacted?
This question captures the impact of the worst case scenario: the fact that the facility completely loses its
IT system and is unable to operate its backup.
Once the information technology system is lost (without considering any redundant or alternative
mode), what percentage of normal business functions are lost or degraded?
This question captures the impact of the worst case scenario: the fact that the facility completely loses its
IT system and is unable to operate its backup.
External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of information technology service. The answer is YES if the facility has specific procedures
defining that the facility must shut down. The answer is YES if the facility owner/operator determines that
it would be too dangerous or expensive to operate on backup (without the primary source of information
technology) after a certain time. This question relates directly to the facility’s tolerable level of
degradation, i.e., the amount of degradation they can tolerate before losing their ability to maintain core
functions safely and effectively. In fact this question relates directly to the Maximum Tolerable Time of
Degradation as well as the tolerable level of degradation.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the information technology service is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or security verifications (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of information technology. If the MAO has not been defined,
consider a maximum outage duration of 7 days: if the external source of information technology is lost
during 7 days, what time will be needed for full resumption of core operations when information
technology service is restored.

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Dependencies – Information Technology
Information Technology
Alternate

If information technology service is lost, is there an alternative or
backup mode?
No
Yes
If yes, describe:
Duration of alternative:
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once the information technology system is lost (and
considering your backup or alternative mode) what
percentage of normal business functions are lost or degraded?
None
1-33%
34-66%
67-99%
100%

Information Technology Alternate and backup Briefing Notes:

Overall Information Technology Comments:

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IT Alternate and Backup
Several types of alternative or backup can be in place (e.g., telephone, radio/satellite link. alternate site).
A Secondary Site could take over functionality, either automatically or by flipping a s witch, from the
primary site should there be a m ajor loss at the primary. The capability to operate manually is another
example of alternate to the loss of IT services (e.g., paper order forms).
Duration of alternative
The amount of time the facility can operate the backup to internet, e.g., DSL connection. If the facility can
be fully operational continuously using this backup mode, then duration can be 365 days.
Once the facility is on backup mode, what percentage of normal functions are lost or degraded?
This question must be answered only if the facility has a backup mode for Internet.

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Dependencies – Transportation
Is Transportation
required for the
Facility Core
Operations (Produce
Key Services,
Goods)?

No

Yes

If yes, please answer the following questions

Dependencies – Rail Transportation
Mode: Rail (including
bridges and tunnels)

Disruption of rail transport would cause a significant disruption to facility
operations?
No
Yes
List critical transportation asset(s):
Why is rail transportation critical to facility operations?
Work force arrival/departure
Explain:
Receipt of critical materials/services
Shipment of products
Disposal of byproducts/wastes
What is the name of the company that provides this service:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If all rail service is lost (without considering any redundant or alternative
mode), how soon would the facility be severely impacted?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once rail service is lost (without considering any redundant or alternative
mode), what percentage of normal business functions are lost or degraded?
1-33%
34-66%
67-99%
100% (Offline)

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DEPENDENCIES – TRANSPORTATION
For each critical transportation mode, list transportation assets critical to providing that particular
transportation mode. For instance, if the facility is dependent on rail transportation for receipt of critical
materials, the CSX siding running into the facility clearly would be a critical asset, however, if the siding is
dependent in turn on a nearby CSX rail bridge that, too, could be listed as a critical asset. You may list as
many critical transportation assets per transportation mode as you wish; however, the questions on
criticality and redundancy (alternative mode) are answered only for the transportation mode as a whole.
Whether the siding or the bridge is lost, the facility still has no rail service; so, answer those questions as
if the facility has no rail service.
The transportation section is designed to find a s ingle point of failure that essentially isolates a given
facility; it is not used to address all roads leading to the facility. transportation is only considered a
dependency if a transportation asset or mode is essentially a single point of failure (e.g., a bridge leading
to a site would be considered a dependency if there is no alternative route to the site and loss of the
bridge would impact the site’s core business functions; or, freight rail would be considered a dependency
if, without this service, a site was not able to continue core business functions because of a l ack of
alternative transportation modes).
Examples of transportation dependencies:
•
A large power generating facility that receives coal via a rail spur (replacing that much coal by
truck is not practical).
•
Any island facility will likely have a maritime dependency if the raw products are brought in by
ship.
•
A petroleum refinery that receives crude oil as a raw material may rely on one maritime channel.
The question set considers five types of transportation dependencies
• Rail Transportation,
• Air Transportation,
• Road Transportation,
• Maritime Transportation, and
• Pipeline Transportation.
If one of these modes of transportation constitutes a single point of failure for the facility core operations,
please provide the information requested in this section. If this is not the case, please check No below
and go to the next section: Dependencies – Critical Products.
Is Transportation required for the facility core operations (production of key services, goods)?
A dependency on a mode of transportation is identifies single points of failure in the transportation system
that would severely impact the operability of the facility. For instance, this section does not address all
roads leading to the facility; if there are multiple public road routes to reach the facility, the facility is not
dependent on a single road, so select NO. Facilities that would be dependent on the road mode of
transportation would be those where access is limited to one or two bridges/tunnels, the loss of which
would isolate the facility. In urban areas, this would be rare. In rural areas, a long private-access road
could create a de pendency on road mode of transportation; such a de pendency road mode of
transportation could be for commuting personnel, as well as delivery or shipment of products or wastes.
This applies to all transportation modes. Occasionally, but rarely, a facility is dependent upon a particular
transportation mode, and there may be a single point of failure. An example is a power-generating plant
that receives all its coal via rail only. It would be impossible to ship the necessary amount of coal via road
or other transportation mode. There is a single siding that comes into the facility, and one mile away there
is a rail bridge that, if lost, isolates the facility. In this case, the facility does have a rail dependency. Very
few places are dependent on air, however, some facilities on islands or a location like Juneau, Alaska,
may have a dependency on air and/or maritime.

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Mode: Rail (including bridges and tunnels)
Does the facility participate in a provider priority plan for restoration?
A priority plan is a list of facilities or types of facilities at which service will be restored before other types
of facilities. For instance, most utilities will prioritize human health facilities such as hospitals, water
treatment system assets, and nursing homes and restore service to them before other customers.
If all rail service is lost (without considering any redundant or alternative mode), how soon would
the facility be severely impacted?
This question captures the impact of the worst case scenario, the fact that the facility loses essential rail
service and is unable to use a redundant or alternative mode.
Once rail service is lost (without considering any redundant or alternative mode), what percentage
of normal business functions would be lost or degraded?
This question captures the impact of the worst case scenario, the fact that the facility loses essential rail
service and is unable to use a redundant or alternative mode.

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Dependencies – Rail Transportation
Mode: Rail (including
bridges and tunnels)

Are there external regulations/policies that mandate the facility shut down after
loss of rail service?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once rail service is restored, how long would it take before full resumption of
operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:
Are there alternative modes of transportation in case of loss of rail
transportation?
No
Yes
Describe alternative mode of transportation:
What is the duration of this alternative?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once rail service is lost (and your redundant or alternative mode is
employed), what percentage of normal business functions are lost or
degraded:
None
1-33%
34-66%
67-99%
100%

Rail Transportation Briefing Notes:

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External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of rail transportation. The answer is YES if the facility has specific
procedures defining that the facility must shut down. The answer is YES if the facility owner/operator
determines that it would be too dangerous or expensive to use its alternative to rail transportation after a
certain time. This question relates directly to the facility’s tolerable level of degradation, i.e., the amount of
degradation they can tolerate before losing their ability to maintain core functions safely and effectively.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the rail transportation is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or security verifications (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of rail transportation. If the MAO has not been defined, consider
a maximum outage duration of 7 days: if rail transportation is lost during 7 days, what time will be
needed for full resumption of core operations when rail transportation is restored.
What is the duration of this alternative?
In most cases, alternatives implemented for transportation can last indefinitely. For example, road
transportation can be used as alternative to rail transportation. However, it is possible that a facility has
an alternative that would not be efficient for a long period of time. If the facility can be fully operational

continuously using this backup mode, then duration can be 365 days.

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Dependencies – Air Transportation
Mode: Air

Disruption of air transport would cause a significant disruption to facility
operations?
No
Yes
List critical transportation asset(s):
Why is air transportation critical to facility operations?
Work force arrival/departure
Explain:
Receipt of critical materials/services
Shipment of products
Disposal of byproducts/wastes
What is the name of the company that provides this service:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If all air service is lost (without considering any redundant or alternative
mode), how soon would the facility be severely impacted?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once air service is lost (without considering any redundant or alternative
mode), what percentage of normal business functions are lost or degraded?
1-33%
34-66%
67-99%
100% (Offline)

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Mode: Air
Does the facility participate in a provider priority plan for restoration?
A priority plan is a list of facilities or types of facilities at which service will be restored before other types
of facilities. For instance, most utilities will prioritize human health facilities such as hospitals, water
treatment system assets, and nursing homes and restore service to them before other customers.
If all air service is lost (without considering any redundant or alternative mode), how soon would
the facility be severely impacted?
This question captures the impact of the worst case scenario, the fact that the facility loses essential air
service and is unable to use a redundant or alternative mode.
Once air service is lost (without considering any redundant or alternative mode), what percentage
of normal business functions would be lost or degraded?
This question captures the impact of the worst case scenario, the fact that the facility loses essential air
service and is unable to use a redundant or alternative mode.

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Dependencies – Air Transportation
Mode: Air

Are there external regulations/policies that mandate the facility shut down after
loss of air service?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once air service is restored, how long would it take before full resumption of
operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:
Are there alternative modes of transportation in case of loss of air
transportation?
No
Yes
Describe alternative mode of transportation:
What is the duration of this alternative?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once air service is lost (and your redundant or alternative mode is
employed), what percentage of normal business functions are lost or
degraded:
None
1-33%
34-66%
67-99%
100%

Air Transportation Briefing Notes:

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External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of air transportation. The answer is YES if the facility has specific procedures
defining that the facility must shut down. The answer is YES if the facility owner/operator determines that
it would be too dangerous or expensive to use its alternative to air transportation after a certain time. This
question relates directly to the facility’s tolerable level of degradation, i.e., the amount of degradation they
can tolerate before losing their ability to maintain core functions safely and effectively.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the air transportation is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or security verifications (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of air transportation. If the MAO has not been defined, consider
a maximum outage duration of 7 days: if air transportation is lost during 7 days, what time will be
needed for full resumption of core operations when air transportation is restored.
What is the duration of this alternative?
In most cases, alternatives implemented for transportation can last indefinitely. For example, ground
transportation can be used as alternative to air transportation. However, it is possible that this alternative
would not be efficient in term of business for a long period of time. If the facility can be fully operational

continuously using this backup mode, then duration can be 365 days.

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Dependencies – Road Transportation
Mode: Road
(including bridges
and tunnels)

Disruption of road transport would cause a s ignificant disruption to facility
operations?
No
Yes
List critical transportation asset(s):
Why is road transportation critical to facility operations?
Work force arrival/departure (other than mass transit):
Explain:
Receipt of critical materials/services
Shipment of products/services
Disposal of byproducts/wastes
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If all road service is lost (without considering any redundant or alternative
mode), how soon would the facility be severely impacted?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once road service is lost (without considering any redundant or alternative
mode), what percentage of normal business functions are lost or degraded?
1-33%
34-66%
67-99%
100% (Offline)

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Mode: Road (including bridges and tunnels)
Does the facility participate in a provider priority plan for restoration?
A priority plan is a list of facilities or types of facilities at which service will be restored before other types
of facilities. For instance, most utilities will prioritize human health facilities such as hospitals, water
treatment system assets, and nursing homes and restore service to them before other customers.
If all road service is lost (without considering any redundant or alternative mode), how soon
would the facility be severely impacted?
This question captures the impact of the worst case scenario, the fact that the facility loses essential road
service and is unable to use a redundant or alternative mode.
Once road service is lost (without considering any redundant or alternative mode), what
percentage of normal business functions would be lost or degraded?
This question captures the impact of the worst case scenario, the fact that the facility loses essential road
service and is unable to use a redundant or alternative mode.

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Dependencies – Transportation
Mode: Road
(including bridges
and tunnels)

Are there external regulations/policies that mandate the facility shut down after
loss of access road?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once road service is restored, how long would it take before full resumption of
operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:
Are there alternative modes of transportation in case of loss of road
transportation?
No
Yes
Describe alternative mode of transportation:
What is the duration of this alternative?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once road access is lost (and your redundant or alternative mode is
employed), what percentage of normal business functions are lost or
degraded:
None
1-33%
34-66%
67-99%
100%

Road Transportation Briefing Notes:

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External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of road transportation. The answer is YES if the facility has specific
procedures defining that the facility must shut down. The answer is YES if the facility owner/operator
determines that it would be too dangerous or expensive to use its alternative to road transportation after a
certain time. This question relates directly to the facility’s tolerable level of degradation, i.e., the amount of
degradation they can tolerate before losing their ability to maintain core functions safely and effectively.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the road transportation is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or security verifications (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of road transportation. If the MAO has not been defined,
consider a maximum outage duration of 7 days: if road transportation is lost during 7 days, what time
will be needed for full resumption of core operations when road transportation is restored.
What is the duration of this alternative?
In most cases, alternatives implemented for transportation can last indefinitely. However, it is possible
that this alternative would not be efficient in term of business for a long period of time. If the facility can be

fully operational continuously using this backup mode, then duration can be 365 days.

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Dependencies – Maritime Transportation
Mode: Maritime

Disruption of maritime transport would cause a significant disruption to facility
operations?
No
Yes
List critical transportation asset(s):
Why is maritime transportation critical to facility operations:
Work force arrival/departure (e.g., ferry)
Explain:
Receipt of critical materials/services
Shipment of products/services
Disposal of byproducts/wastes
What is the name of the company that provides this service:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If all maritime service is lost (without considering any redundant or
alternative mode), how soon would the facility be severely impacted?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once maritime service is lost (without considering any redundant or
alternative mode), what percentage of normal business functions are lost or
degraded?
1-33%
34-66%
67-99%
100% (Offline)

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Mode: Maritime
Does the facility participate in a provider priority plan for restoration?
A priority plan is a list of facilities or types of facilities at which service will be restored before other types
of facilities. For instance, most utilities will prioritize human health facilities such as hospitals, water
treatment system assets, and nursing homes and restore service to them before other customers.
If all maritime service is lost (without considering any redundant or alternative mode), how soon
would the facility be severely impacted?
This question captures the impact of the worst case scenario, the fact that the facility loses essential
maritime service and is unable to use a redundant or alternative mode.
Once maritime service is lost (without considering any redundant or alternative mode), what
percentage of normal business functions would be lost or degraded?
This question captures the impact of the worst case scenario, the fact that the facility loses essential
maritime service and is unable to use a redundant or alternative mode.

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Dependencies – Maritime Transportation
Mode: Maritime

Are there external regulations/policies that mandate the facility shut down after
loss of maritime service?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once maritime service is restored, how long would it take before full
resumption of operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:
Are there alternative modes of transportation in case of loss of maritime
transportation?
No
Yes
Describe alternative mode of transportation:
What is the duration of this alternative?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once maritime service is lost (and your redundant or alternative mode
is employed), what percentage of normal business functions are lost or
degraded:
None
1-33%
34-66%
67-99%
100%

Maritime Transportation Briefing Notes:

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External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of maritime transportation. The answer is YES if the facility has specific
procedures defining that the facility must shut down. The answer is YES if the facility owner/operator
determines that it would be too dangerous or expensive to use its alternative to maritime transportation
after a certain time. This question relates directly to the facility’s tolerable level of degradation, i.e., the
amount of degradation they can tolerate before losing their ability to maintain core functions safely and
effectively.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the maritime transportation is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or security verifications (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of maritime transportation. If the MAO has not been defined,
consider a maximum outage duration of 7 days: if maritime transportation is lost during 7 days, what
time will be needed for full resumption of core operations when maritime transportation is restored.
What is the duration of this alternative?
In most cases, alternatives implemented for transportation can last indefinitely. However, it is possible
that this alternative would not be efficient in term of business for a long period of time. If the facility can be

fully operational continuously using this backup mode, then duration can be 365 days.

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Dependencies – Pipeline Transportation
Mode: Pipeline

Disruption of pipeline transport would cause a s ignificant disruption to facility
operations?
No
Yes
List critical transportation asset(s):
Why is pipeline transport critical to facility operations?
Receipt of critical materials/services
Shipment of products/services
Disposal of byproducts/wastes
What is the name of the company that provides this service:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If all pipeline transport is lost (without considering any redundant or
alternative mode), how soon would the facility be severely impacted?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once pipeline service is lost (without considering any redundant or
alternative mode), what percentage of normal business functions are lost or
degraded?
1-33%
34-66%
67-99%
100% (Offline)

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Mode: Pipeline
Pipeline mode of transportation is only for pipelines that directly serve the facility and that are not
captured in other dependency sections (e.g., natural gas or water). This section would not cover the
pipelines that deliver natural gas from the local natural gas provider to the facility (that is covered in
Natural Gas dependency). This would cover delivery of critical products and shipment of outgoing
products by pipeline (e.g., crude oil in, refined product out, hydrogen as a raw material).
Does the facility participate in a provider priority plan for restoration?
A priority plan is a list of facilities or types of facilities at which service will be restored before other types
of facilities. For instance, most utilities will prioritize human health facilities such as hospitals, water
treatment system assets, and nursing homes and restore service to them before other customers.
If all pipeline transport is lost (without considering any redundant or alternative mode), how soon
would the facility be severely impacted?
This question captures the impact of the worst case scenario, the fact that the facility loses essential
pipeline service and is unable to use a redundant or alternative mode.
Once pipeline service is lost (without considering any redundant or alternative mode), what
percentage of normal business functions would be lost or degraded?
This question captures the impact of the worst case scenario, the fact that the facility loses essential
pipeline service and is unable to use a redundant or alternative mode.

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Dependencies – Pipeline Transportation
Mode: Pipeline

Are there external regulations/policies that mandate the facility shut down
after loss of pipeline service?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once pipeline service is restored, how long would it take before full
resumption of operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:
Are there alternative modes of transport in case of loss of pipeline
transportation?
No
Yes
Describe alternative mode of transportation:
What is the duration of this alternative?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once pipeline service is lost (and your redundant or alternative mode
is employed), what percentage of normal business functions are lost or
degraded:
None
1-33%
34-66%
67-99%
100% (Offline)

Pipeline Transportation Briefing Notes:

Overall Transportation Comments:

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External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of pipeline transportation. The answer is YES if the facility has specific
procedures defining that the facility must shut down. The answer is YES if the facility owner/operator
determines that it would be too dangerous or expensive to use its alternative to pipeline transportation
after a certain time. This question relates directly to the facility’s tolerable level of degradation, i.e., the
amount of degradation they can tolerate before losing their ability to maintain core functions safely and
effectively.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the pipeline transportation is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or testing requirements (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of pipeline transportation. If the MAO has not been d efined,
consider a maximum outage duration of 7 days: if pipeline transportation is lost during 7 da ys, what
time will be needed for full resumption of core operations when pipeline transportation is restored.
What is the duration of this alternative?
In most cases, alternatives implemented for transportation can last indefinitely. For example, ground
transportation can be us ed as alternative to pipeline transportation. Crude oil and h ydrogen can be
transported via trucks or rail. However, it is possible that this alternative would not be efficient over a long
period of time. If the facility can be fully operational continuously using this backup mode, then duration

can be 365 days.

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Dependencies – Critical Products
Are Critical Products
required for the
Facility Core
Operations (Produce
Key Services,
Goods)?

No

Yes

If yes, please answer the following questions

Dependencies – Critical Products - Chemicals
Chemicals

Does the facility use Chemicals (e.g., nitrogen, hydrogen, chlorine) for its core
operations?
No
Yes
List:
What chemical is the most critical to core operations?
For the most critical chemical answer the following:
Is the most critical chemical available from multiple suppliers?

No

Yes

Is there a contingency/business continuity plan with provider(s)?
No
Yes
Explain:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If critical chemical source(s) is lost (without considering any backup or
alternative mode), how soon would the facility be severely impacted (e.g.,
more than 50% reduction in facility operations)?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once critical chemical source(s) is lost (without considering any backup or
alternative mode), what percentage of normal business functions are lost or
degraded:
1-33%
34-66%
67-99%
100% (Offline)

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DEPENDENCIES – CRITICAL PRODUCTS
General
The question set considers four types of Critical Products
• Chemicals,
• Fuels,
• Byproducts/wastes, and
• Raw materials.
If one of these products is critical for the facility core operations, please provide the information asked in
this section. If this is not the case, please check NO and go to the next section: Commendables.
For Critical Products in each category, list only those that are absolutely necessary for the functioning of
the facility. You may list as many as you like, however, the redundancy and consequence questions are
to be answered for the category in general. For instance, the company may have five chemicals that are
critical to operations, three are sole source.
For deciding if a product comes from a sole source supplier, determine if the facility has a sole-source
contract with one supplier (i.e., at this time the facility does not receive the product or service from anyone
other supplier) such that the loss of the supplier will impact the facility, then mark “Yes”. If other
competitors or similar companies can provide the product or service then even if the supplier is lost the
facility could continue to receive the product or service, but may experience a price impact (e.g., the
supplier was the lowest bidder in supplying chlorine to the facility) or delivery delays (e.g., a new contract
must be negotiated with the suppliers competitor before deliveries may commence), then mark “No”.
When answering if there are contingency/business continuity plans with the providers of all the chemicals,
consider only those for which such a plan would be necessary. For instance, they use small quantities of
a commonly available chemical for which there are many sources and no contract is in place, then a plan
may not be necessary. If all chemicals for which a plan is necessary/prudent are in place, mark yes. If not,
mark no.
For onsite storage, consider all critical chemicals listed when deciding if they have onsite storage and
whether it is sufficient to support full core operations. To determine the duration of onsite storage support,
consider the product with the shortest duration.
For the consequence questions (i.e., how soon would the facility be severely impacted and what
percentage of normal business functions are lost or degraded), consider the product with the quickest and
most severe consequence.
Critical Products – Chemicals
Please, do not fill in this section if chemicals are not provided by an external provider.
Is there a contingency/business continuity plan with provider for restoration
The intent of this question is to define if specific service level agreements exist between the facility and
the provider of Chemicals.

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Does the facility participate in a provider priority plan for restoration?
A priority plan is a list of facilities or types of facilities at which service will be restored before other types
of facilities. For instance, most utilities will prioritize human health facilities such as hospitals, water
treatment system assets, and nursing homes and restore service to them before other customers.
If critical chemical source(s) is lost (without considering any backup or alternative source), how
soon would the facility be severely impacted?
This question captures the impact of the worst case scenario, the fact that the facility loses access to
critical chemical source(s) and is unable to use a backup or alternative source.
Once critical chemical source(s) is lost (without considering any backup or alternative source),
what percentage of normal business functions would be lost or degraded?
This question captures the impact of the worst case scenario, the fact that the facility loses access to
critical chemical source(s) and is unable to use a backup or alternative source.

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Dependencies – Critical Products - Chemicals
Chemicals

Are there external regulations/policies that mandate the facility shut down after
loss of main chemicals supply including alternate?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once service is restored, how long would it take before full resumption of
operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:
Is there an alternate (e.g., onsite storage) to the source of chemicals?
No
Yes
Describe:
Can this alternative support full core operations?
Yes
No
percentage:
What is the duration of this alternative
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once critical chemical source(s) is lost (and considering your backup or
alternative mode (including the storage)), what percentage of normal
business functions are lost or degraded:
None
1-33%
34-66%
67-99%
100% (Offline)

Critical Products Chemical Briefing Notes:

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External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of critical chemicals. The answer is YES if the facility has specific
procedures defining that the facility must shut down. The answer is YES if the facility owner/operator
determines that it would be too dangerous or expensive to operate on backup (without the primary source
of chemicals) after a certain time. This question relates directly to the facility’s tolerable level of
degradation, i.e., the amount of degradation they can tolerate before losing their ability to maintain core
functions safely and effectively.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the external chemicals supply is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or testing requirements (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of external sources of chemicals. If the MAO has not been
defined, consider a maximum outage duration of 7 days: if the external source of chemicals is lost
during 7 days, what time will be needed for full resumption of core operations when the external sources
of chemicals is restored.
What is the duration of this alternative?
If the alternative considered is a s torage, please consider the duration of this storage without
replenishing.

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Dependencies – Critical Products - Fuels
Fuels not including
fuel for backup
generators (e.g.,
diesel, gasoline,
Aviation fuel)

Does the facility use fuels (e.g., diesel, gasoline, aviation fuel) other than for
backup generators for core operations?
No
Yes
List:
What type of fuel is the most critical to core operations?
For the most critical fuel answer the following:
Is the most critical fuel available from multiple suppliers?

No

Yes

Is there a contingency/business continuity plan with provider(s)?
No
Yes
Explain:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If critical fuel source(s) is lost (without considering any backup or
alternative mode), how soon would the facility be severely impacted (e.g.,
more than 50% reduction in facility operations)?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once critical fuel source(s) is lost (without considering any backup or
alternative mode), what percentage of normal business functions are lost or
degraded:?
1-33%
34-66%
67- 99%
100% (Offline)

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Critical Products – Fuels not including fuel for backup generators (e.g., diesel, gasoline, Aviation
fuel)
Fuel for emergency electric generators is addressed in the Electric Dependencies section and should not
be repeated in this section.
Natural gas for electric generation is addressed in Natural Gas Dependencies section and should not be
repeated here. However, diesel fuel-fired electric generation plants would address diesel as its fuel for
this section.
Please, do not fill in this section if fuels are not provided by an external provider.
Is there a contingency/business continuity plan with provider for restoration
The intent of this question is to define if specific service level agreements exist between the facility and
the provider of Fuels.
Does the facility participate in a provider priority plan for restoration?
A priority plan is a list of facilities or types of facilities at which service will be restored before other types
of facilities. For instance, most utilities will prioritize human health facilities such as hospitals, water
treatment system assets, and nursing homes and restore service to them before other customers.
If critical fuel source(s) is lost (without considering any backup or alternative source), how soon
would the facility be severely impacted?
This question captures the impact of the worst case scenario, the fact that the facility loses access to
critical fuel source(s) and is unable to use a backup or alternative source.
Once critical fuel source(s) is lost (without considering any backup or alternative source), what
percentage of normal business functions would be lost or degraded?
This question captures the impact of the worst case scenario, the fact that the facility loses access to
critical fuel source(s) and is unable to use a backup or alternative source.

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Dependencies – Critical Products - Fuels
Fuels not including
fuel for backup
generators (e.g.,
diesel, gasoline,
Aviation fuel)

Are there external regulations/policies that mandate the facility shut down after
loss of main fuels supply including alternate?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once service is restored, how long would it take before full resumption of
operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:
Is there an alternate (e.g., onsite storage) to the source of fuels?
No
Yes
Describe:
Can this alternative support full core operations?
Yes
No
percentage:
What is the duration of this alternative
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
If there is onsite storage, what is the capacity?

Gallons

Once critical fuel source(s) is lost (and considering your backup or
alternative mode), what percentage of normal business functions are lost
or degraded:
None
1-33%
34-66%
67-99%
100% (Offline)
Critical Products Fuel Briefing Notes:

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External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of fuels. The answer is YES if the facility has specific procedures defining
that the facility must shut down. The answer is YES if the facility owner/operator determines that it would
be too dangerous or expensive to operate on backup after a certain time. This question relates directly to
the facility’s tolerable level of degradation, i.e., the amount of degradation they can tolerate before losing
their ability to maintain core functions safely and effectively.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the fuel is restored. While in many cases the restoration time will be automatic/immediate, it is
possible that a d elay could occur due t o the unique restoration requirements of certain processes or
testing requirements (i.e., lag time). The restoration time can vary based on the duration of the
interruption. Answer to this question should be based on the Maximum Acceptable Outage (MAO) defined
when considering the loss of external sources of fuels. If the MAO has not been defined, consider a
maximum outage duration of 7 days: if the external source of fuels is lost during 7 days, what time will
be needed for full resumption of core operations when the external sources of fuels is restored.
What is the duration of this alternative?
If the alternative considered is a s torage, please consider the duration of this storage without
replenishing.

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Dependencies – Critical Products - Fuels
Byproducts/wastes
(e.g., sulfur, garbage)

Does the facility use byproducts/wastes (e.g., sulfur, garbage)
removal/disposal services for core operations?
No
Yes
List:
What byproduct/waste is the most critical to core operations?
For the most critical byproducts/wastes answer the following:
Is the most critical byproduct/waste removal service available from multiple
suppliers?
No
Yes
Is there a contingency/business continuity plan with provider(s)?
No
Yes
Explain:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If critical waste disposal service(s) is lost (without considering any backup
or alternative mode), how soon would the facility be severely impacted
(e.g., more than 50% reduction in facility operations)?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once critical waste disposal service(s) is lost (without considering any
backup or alternative mode), what percentage of normal business functions
are lost or degraded:?
1-33%
34-66%
67-99%
100% (Offline)

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Critical Products – Byproducts/wastes
If the facility has byproducts/wastes the disposal of which is a critical function to the continued operations
of the facility, complete this section. For instance, the accumulation and storage of hazardous waste and
medical waste are regulated and i f offsite disposal options are not available, a facility must either stop
processes that produce the waste or seek an exemption from the environmental regulatory body.
Please, do not fill in this section if byproducts/wastes are not removed by an external organization.
Contingency/business continuity plan with provider for restoration
The intent of this question is to define if specific service level agreements exist between the facility and
the provider of byproducts/wastes removal service.
Does the facility participate in a provider priority plan for restoration?
A priority plan is a list of facilities or types of facilities at which service will be restored before other types
of facilities. For instance, most utilities will prioritize human health facilities such as hospitals, water
treatment system assets, and nursing homes and restore service to them before other customers.
If critical waste disposal service(s) is lost (without considering any backup or alternative mode),
how soon would the facility be severely impacted (e.g., more than 50% reduction in facility
operations):
This question captures the impact of the worst case scenario, the fact that the facility loses access to
critical byproducts/wastes removal/disposal service(s) and is unable to use a backup or alternative
source.
Once critical waste disposal service(s) is lost (without considering any backup or alternative
mode), what percentage of normal business functions are lost or degraded:
This question captures the impact of the worst case scenario, the fact that the facility loses access to
critical byproducts/wastes removal/disposal service(s) and is unable to use a backup or alternative
source.

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Dependencies – Critical Products – Byproducts/wastes
Byproducts/wastes
(e.g., sulfur, garbage)

Are there external regulations/policies that mandate the facility shut down
after loss of waste removal service including alternate?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once service is restored, how long would it take before full resumption of
operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:
Is there an alternate (e.g., onsite storage) for byproducts/wastes disposal?
No
Yes
Describe:
Can this alternative support full core operations?
Yes
No
percentage:
What is the duration of this alternative
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once critical waste disposal service(s) is lost (and your backup or
alternative mode is employed), what percentage of normal business
functions are lost or degraded:
None
1-33%
34-66%
67-99%
100% (Offline)

Critical Products Byproduct/Waste Briefing Notes:

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External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of byproduct/waste disposal service. The answer is YES if the facility has
specific procedures defining that the facility must shut down. The answer is YES if the facility
owner/operator determines that it would be t oo dangerous or expensive to operate on bac kup after a
certain time. This question relates directly to the facility’s tolerable level of degradation, i.e., the amount of
degradation they can tolerate before losing their ability to maintain core functions safely and effectively.
For example, a facility could be in the obligation, for a question of hygiene or security, to shut down if
dangerous materials or garbage are not picked up. However, a delay could exist before the shutdown.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the byproducts/wastes disposal service is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or regulatory requirements (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of external byproducts/wastes disposal service. If the MAO has
not been defined, consider a maximum outage duration of 7 days: if the external byproducts/wastes
disposal service is lost during 7 d ays, what time will be needed for full resumption of core operations
when the external byproducts/wastes disposal service is restored.
What is the duration of this alternative?
If the alternative source is storage, consider the duration of this storage without replenishment.

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Dependencies – Critical Products – Byproducts/wastes
Raw Materials (e.g.,
metals, plastic, lumber)

Does the facility use Raw Materials critical for its core operations?
No
Yes
List:
What raw material is the most critical to core operations?
For the most critical raw materials answer the following:
Is the most critical raw material available from multiple suppliers?
No
Yes
Is there a contingency/business continuity plan with provider(s)?
No
Yes
Explain:
Does the facility participate in provider priority plan for restoration?
No
Yes
Explain:
If critical raw materials source(s) is lost (without considering any backup or
alternative mode), how soon would the facility be severely impacted (e.g.,
more than 50% reduction in facility operations)?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once critical raw materials source(s) is lost (without considering any backup
or alternative mode), what percentage of normal business functions are lost
or degraded:?
1-33%
34-66%
67-99%
100% (Offline)

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Critical Products – Raw Materials
Raw materials can be an y critical products that the facility uses but does not manufacture onsite. This
could include lumber, spark plugs, or other items but should not include materials covered in other
categories (e.g., fuel, chemicals, packaging). Critical elements such as st eam distribution, chilled
water distribution, livestock feeds, and medical supplies should be captured in this section.
Please, do not fill in this section if raw materials are not provided by an external provider.
Contingency/business continuity plan with provider for restoration
The intent of this question is to define if specific service level agreements exist between the facility and
the provider of raw materials.
Does the facility participate in a provider priority plan for restoration?
A priority plan is a list of facilities or types of facilities at which service will be restored before other types
of facilities. For instance, most utilities will prioritize human health facilities such as hospitals, water
treatment system assets, and nursing homes and restore service to them before other customers.
If the critical raw materials source(s) is lost (without considering any backup or alternative
source), how soon would the facility be severely impacted (e.g., more than 50% reduction in
facility operations)?
This question captures the impact of the worst case scenario, the fact that the facility loses access to
critical raw materials source(s) and is unable to use a backup or alternative source.
Once critical raw materials source(s) is lost (without considering any backup or alternative mode),
what percentage of normal business functions would be lost or degraded?
This question captures the impact of the worst case scenario, the fact that the facility loses access to
critical raw materials source(s) and is unable to use a backup or alternative source.

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Dependencies – Critical Products – Raw Materials
Raw Materials (e.g.,
metals, plastic, lumber)

Are there external regulations/policies that mandate the facility shut down after
loss of raw material supply including alternate?
No
Yes
Describe:
After how long?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once service is restored, how long would it take before full resumption of
operations?
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Describe:
Is there an alternate (e.g., onsite storage) for raw materials?
No
Yes
Describe:
Can this alternative support full core operations?
Yes
No
percentage:
What is the duration of this alternative
minutes (enter the number of minutes) OR
hours (enter the number of hours) OR
days (enter the number of days)
Once critical raw materials source(s) is lost (and considering your
backup or alternative mode), what percentage of normal business
functions are lost or degraded:
None
1-33%
34-66%
67-99%
100% (Offline)

Critical Products Raw Material Briefing Notes:
Overall Critical Product Comments:

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External regulations/policies
The intent of this question is to determine if external regulations/policies mandate the facility shut down
after loss of the main source of raw materials. The answer is YES if the facility has specific procedures
defining that the facility must shut down. The answer is YES if the facility owner/operator determines that
it would be too dangerous or expensive to operate on backup after a certain time. This question relates
directly to the facility’s tolerable level of degradation, i.e., the amount of degradation they can tolerate
before losing their ability to maintain core functions safely and effectively.
Restoration time
The intent of this question is to determine the time needed for the facility to resume normal operations
after the byproducts/wastes disposal service is restored. While in many cases the restoration time will be
automatic/immediate, it is possible that a delay could occur due to the unique restoration requirements of
certain processes or regulatory requirements (i.e., lag time). The restoration time can vary based on the
duration of the interruption. Answer to this question should be based on the Maximum Acceptable Outage
(MAO) defined when considering the loss of external byproducts/wastes disposal service. If the MAO has
not been defined, consider a maximum outage duration of 7 days: if the external byproducts/wastes
disposal service is lost during 7 d ays, what time will be needed for full resumption of core operations
when the external byproducts/wastes disposal service is restored.
What is the duration of this alternative?
If the alternative source is storage, consider the duration of this storage without replenishment.

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COMMENDABLES
PMI and RMI - Commendables
Information Sharing

Describe:

Security Activity History
and Background

Describe:

Parking - Delivery Standoff

Describe:

Overall Commendables Comments:

PMI - Commendables
Security Management
Profile

Describe:

Security Force Profile

Describe:

Perimeter Security

Describe:

Entry Controls

Describe:

Barriers

Describe:

Building Envelope

Describe:

Electronic Security
Systems

Describe:

Illumination

Describe:

Overall Commendables Comments:

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RMI - Commendables
First Preventers/Responders

Describe:

Natural Hazards

Describe:

Resilience Management
profile

Describe:
Dependencies

Electric Power:

Describe:

Natural Gas:

Describe:

Communications:

Describe:

Information Technology:

Describe:

Transportation:

Describe:

Critical Products:

Describe:

Water:

Describe:

Wastewater:

Describe:

Overall Commendables Comments:

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VULNERABILITIES AND OPTIONS FOR CONSIDERATION
PMI and RMI – Vulnerabilities and Options for Consideration
Information Sharing

Describe:

Describe:

Security Activity History
and Background

Describe:

Describe:

Parking - Delivery Standoff

Describe:

Describe:

Overall Vulnerability Comments:

PMI - Vulnerabilities and Options for Consideration
Security Management
Profile

Describe:

Describe:

Security Force Profile

Describe:

Describe:

Perimeter Security

Describe:

Describe:

Entry Controls

Describe:

Describe:

Barriers

Describe:

Describe:

Building Envelope

Describe:

Describe:

Electronic Security
Systems

Describe:

Describe:

Illumination

Describe:

Describe:

Overall Vulnerability Comments:

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RMI - Vulnerabilities and Options for Consideration
First Preventers/Responders

Describe:

Describe:

Natural Hazards

Describe:

Describe:

Resilience Management
profile

Describe:

Describe:

Dependencies - Vulnerabilities and Options for Consideration
Electric Power:

Describe:

Describe:

Natural Gas:

Describe:

Describe:

Water:

Describe:

Describe:

Wastewater:

Describe:

Describe:

Communications:

Describe:

Describe:

Information Technology:

Describe:

Describe:

Transportation:

Describe:

Describe:

Critical Products:

Describe:

Describe:

Overall Vulnerability Comments:

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POTENTIAL ADDITIONAL DHS PRODUCTS
Potential Additional DHS Products/Services to Discuss
Additional Assessments:
BZPP
Cyber/SCADA
Dependencies/Interdependencies
Threat
Blast Effects
Self-Assessment Tools
Additional Information Available:
Common Vulnerability, Potential Indicator, Protective Measure papers
Background Package
Grant information
HSIN Access
GETS Cards
GIS Products
Training Opportunities
Exercises
Tripwire
Special Request
Identify:
Miscellaneous:
Coordination request
DHS Private Sector Security Clearance Program (Facility)
State-Homeland Security Clearance Program (Public-sector)
Other:
Identify:
Comments:

Overall Comments:

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