U.S. Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

Foreword

This *Handbook* provides policy and guidance to managers, supervisors,
and staff members on the measures to be taken to ensure the physical
security of HUD Regional and Field Offices nationwide. It acknowledges
the security levels and minimum security standards established for
federal office buildings in the United States in a report issued by the
Department of Justice, *Vulnerability Assessment of Federal Facilities*,
dated June 28, 1995, as well as modifications to those standards
specified in the Federal Interagency Security Committee Subcommittee
Final Report, *Security Standards for Leased Space*, dated May 16, 2003.

This *Handbook* lists and describes the security responsibilities of
designated HUD officials and HUD offices. It also provides guidelines
for conducting security and vulnerability assessments, coordinating
among specified offices and agencies, preparing Office Physical Security
Plans and Occupant Emergency Plans, and ensuring funding for the
physical security program at all levels of the Department. In addition,
the *Handbook* outlines a program of security training, education, and
awareness for field managers, supervisors, and employees.

The Office of Security and Emergency Planning (OSEP), in coordination
with the Office of Administrative and Management Services (OAMS) and the
Office of Field Administrative Resources (OFAR), is responsible for
ensuring the correctness and currency of the provisions of this
*Handbook*. Any questions or comments should be referred to the
Director, Physical Security Division, OSEP, at (202) 708-2914.

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

> Keith A. Nelson
>
> Assistant Secretary for Administration

Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

Record of Changes

U.S. Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

Contents

##### Foreword i

Record of Changes ii

Contents iii

# Chapter 1. Introduction

1.1 Purpose 1-1

1.2 Applicability and Scope 1-1

1.3 Authorities 1-1

1.4 References 1-1

1.5 Definition of Physical Security 1-2

1.6 Potential Threats/Vulnerabilities 1-2

1.7 Federal Security Design Philosophy 1-3

1.8 HUD Physical Security Policy 1-4

1.9 HUD Physical Security Advisory Group 1-4

Chapter 2. Physical Security Standards for HUD Field Activities

2.1 General 2-1

2.2 Federal Security Levels 2-1

> 2.2.1 Typical Level I Facility 2-1
>
> 2.2.2 Typical Level II Facility 2-2
>
> 2.2.3 Typical Level III Facility 2-2
>
> 2.2.4 Typical Level IV Facility 2-3
>
> 2.2.5 Typical Level V Facility 2-3

2.3 Recommended Minimum Security Standards for HUD Field Activities 2-4

Chapter 3. Responsibilities

3.1 General 3-1

3.2 Assistant Secretary for Administration 3-1

> 3.2.1 Office of Security and Emergency Planning 3-1

3.3 Deputy Assistant Secretary for Budget and Management Support 3-3

> 3.3.1 Office of Administrative and Management Services 3-3
>
> 3.3.2 Office of Budget and Administrative Services 3-3

Chapter 3. Responsibilities *(continued)*

3.4 General Deputy Assistant Secretary for Administration 3-3

> 3.4.1 Office of Field Administrative Resources 3-3

3.5 Assistant Deputy Secretary for Field Policy and Management 3-3

> 3.5.1 Regional Directors 3-4
>
> 3.5.2 Field Office Directors 3-4
>
> 3.5.3 Office Security Coordinators 3-4

Chapter 4. Implementation Guidelines

4.1 General 4-1

4.2 Risk Management Process 4-1

4.3 Facility Security Assessment 4-1

> 4.3.1 Security Assessment Concept 4-1
>
> 4.3.2 Security Assessment Process 4-2

4.4 Office Physical Security Plan 4-2

4.5 Occupant Emergency Program 4-6

> 4.5.1 Occupant Emergency Organization (OEO) 4-6
>
> 4.5.2 Occupant Emergency Plan (OEP) 4-7

4.6 Coordination 4-7

> 4.6.1 Lead Tenant 4-7
>
> 4.6.2 General Services Administration 4-7
>
> 4.6.3 Federal Protective Service 4-7
>
> 4.6.4 Other 4-8

4.7 Physical Security Status Tracking and Reporting 4-8

> 4.7.1 Physical Security Status Checklist 4-8
>
> 4.7.2 Physical Security Status Review 4-9
>
> 4.7.3 Physical Security Status Reporting 4-9

4.8 Physical Security Budgeting and Funding 4-10

4.9 Physical Security Status Reports Overview 4-10

Chapter 5. Training, Education, and Awareness

5.1 General 5-1

5.2 Training Objectives 5-1

5.3 New Employee Orientation 5-1

Chapter 5. Training, Education, and Awareness *(continued)*

5.4 Security Training 5-1

> 5.4.1 Functional Training 5-2
>
> 5.4.2 Specialized Training 5-3
>
> 5.4.3 Annual Update 5-3
>
> 5.4.4 Training Records 5-3

5.5 Tests, Drills, and Exercises 5-3

5.6 Security Awareness 5-4

Appendices

> Appendix A Security Standards for Leased Space
>
> Appendix B HUD Office Physical Security Plan
>
> Appendix C Occupant Emergency Program
>
> Appendix D Contract Security Force Standards
>
> Appendix E Facility Physical Security Status Checklist
>
> Appendix F Field Office Physical Security Status Report
>
> Appendix G Regional Physical Security Status Report
>
> Appendix H Urgent Physical Security Issue Report
>
> Appendix I Glossary of Acronyms and Terms

U.S. Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

> Chapter 1 - Introduction

1.1 Purpose

This *Handbook* delineates definitive policy and guidance for
establishing and maintaining effective physical security at HUD's
Regional and Field Offices.

1.2 Applicability and Scope

The provisions of this *Handbook* are applicable to all supervisors,
managers, and staff members assigned to HUD Regional and Field Offices.
The *Handbook* addresses: security standards for HUD field activities;
roles and responsibilities; security and vulnerability assessments;
preparation of Physical Security Plans and Occupant Emergency Plans
(OEPs); security program budgeting and funding; and security training,
education, and awareness.

1.3 Authorities

a.  The National Security Act of 1947, dated July 26, 1947, as amended.

b.  Executive Order 12656, *Assignment of Emergency Preparedness
    Responsibilities*, dated November 18, 1988, as amended.

c.  Presidential Decision Directive 39, *U.S. Policy on
    Counterterrorism*, dated

> June 21, 1995.

d.  Executive Order 12977, *Interagency Security Committee*, dated
    October 19, 1995.

e.  Presidential Decision Directive 62, *Protection Against
    Unconventional Threats to the Homeland and Americans Overseas*,
    dated May 22, 1998.

f.  Homeland Security Presidential Directive 7 (HSPD-7), *Critical
    Infrastructure Identification, Prioritization, and Protection*,
    dated December 17, 2003.

g.  Homeland Security Presidential Directive 12 (HSPD-12), *Policy for a
    Common Identification Standard for Federal Employees and
    Contractors*, dated August 27, 2004.

1.4 References

a.  Department of Justice, *Vulnerability Assessment of Federal
    Facilities*, dated

> June 28, 1995.

b.  Interagency Security Committee (ISC), *Security Design Criteria for
    New Federal Office Buildings and Major Modernization Projects*,
    dated May 28, 2001.

c.  U. S. General Accounting Office (GAO), *Key Elements of a Risk
    Management Approach*, dated October 12, 2001. (Note: Effective July
    7, 2004, the GAO was renamed the Government Accountability Office.)

d.  General Services Administration, *Occupant Emergency Program Guide*,
    dated

March 2002.

e.  HUD Deputy Secretary Memorandum, *Operating Protocols*, dated
    September 13, 2002.

f.  U. S. General Accounting Office, *Security Responsibilities for
    Federally Owned and Leased Facilities*, dated October 2002. (Note:
    Effective July 7, 2004, the GAO was renamed the Government
    Accountability Office.)

g.  Inter-Sec Group, *Report on Vulnerability Assessment of 25
    Designated HUD Facilities*, dated January 22, 2003.

h.  ISC Subcommittee Final Report, *Security Standards for Leased
    Space*, dated

May 16, 2003.

i.  Update of ISC, *Security Design Criteria for New Federal Office
    Buildings and Major Modernization Projects*, dated September 29,
    2004.

1.5 Definition of Physical Security

For the purposes of this *Handbook*, physical security is defined as
that part of security concerned with physical measures to:

-   Provide for the individual and collective safety and well-being of
    personnel, as well as visitors and clients;

-   Prevent unauthorized access to a designated facility; and

-   Protect and safeguard information, equipment, materials, and
    documents within the facility against espionage, sabotage, damage,
    theft, and/or unauthorized disclosure.

1.6 Potential Threats/Vulnerabilities

Shown in Figure 1-1 are descriptions of the potential
threats/vulnerabilities that may be applicable to any federal facility,
as well as an indication of the likelihood that a given
threat/vulnerability may present a problem for HUD Regional or Field
Offices.

It should be noted that, irrespective of the likelihood of each of the
potential

threats/vulnerabilities identified, the physical security program of a
given HUD facility must address each of these threats/vulnerabilities to
some extent---with due consideration given to risk, cost, adverse impact
due to loss, and other factors.

Figure 1-1. Potential Threats/Vulnerabilities

  ----------------------- ------------------------------ ----------------
  Potential               Description                    Likelihood
  Threat/Vulnerability                                   

  Security breaches       Deficiencies, inadequate       Likely, but can
                          training, and/or the absence   be minimized
                          of effective plans and         through proper
                          procedures relative to         corrective
                          controlling access to the      actions. (e.g.,
                          facility, installed equipment, implementation
                          files and records, and         of a
                          information systems.           comprehensive
                                                         Physical
                                                         Security Plan
                                                         and OEP).

  Non-hostile disruption  Disruption of utilities or     Depends on a
  of services             support services (e.g.,        number of
                          electrical power, water        variables
                          supply, environmental          (location,
                          controls) due to non-hostile   service
                          acts of nature or equipment    providers, age
                          failures or breakdowns.        or condition of
                                                         equipment,
                                                         etc.).

  Hostile attack          Hostile use of conventional    Unlikely, but
                          weapons or chemical,           depends on
                          biological, or radiological    location (some
                          agents to incapacitate or      areas are more
                          severely injure occupants of   likely than
                          the facility.                  others).

  Hostile intelligence    Penetration or compromise of   Unlikely, but
                          the facility's mission,        depends on
                          installed equipment, or        location (some
                          supporting infrastructures by  areas are more
                          hostile elements.              likely than
                                                         others).
  ----------------------- ------------------------------ ----------------

1.7 Federal Security Design Principles

Establishing and implementing an effective physical security program for
each HUD facility should be undertaken in accordance with security
design principles (as delineated by the ISC in reference 1.4b),
including:

-   Addressing the need to save lives and prevent injury, as well as
    protect the facility and its functions and assets.

-   Taking a flexible and reasonable approach to the reliability,
    safety, and security of the facility;

-   Considering cost effectiveness, geographic location, and urban
    design principles;

-   Acknowledging the acceptance of some risk; and

-   Recognizing that the facility must connect with the public in a
    reasonably open and accessible manner.

For construction of new office building space, and as appropriate, for
major modernizations, the principles delineated by the ISC in reference
1.4i should be applied. Regional and Field Office staff involved in the
project development, design and construction on behalf of HUD should
work with the agency in charge of the project (typically the General
Services Administration) to ensure that those principles are met with
respect to HUD facilities.

8.  HUD Physical Security Policy

Each HUD Regional and Field Office supervisor, manager, and individual
employee is responsible for ensuring the safety, protection, and
security of all information, resources, and property over which he/she
has knowledge and control, as well as providing for the safety and well
being of all occupants of the office. This policy will be put into
effect in accordance with the standards and procedures specified in this
*Handbook*.

1.9 HUD Physical Security Advisory Group

The HUD Physical Security Advisory Group (PSAG) provides a forum to
review, coordinate, and make recommendations on the processes and
procedures that ensure the physical security of each HUD Regional and
Field Office. The PSAG is chaired by the Director, Physical Security
Division, Office of Security and Emergency Planning (OSEP). Membership
consists of another staff member from OSEP; the Director, Office of
Administrative and Management Services (OAMS); the Director, Office of
Field Administrative Resources (OFAR), one representative of from the
Office of Field Policy and Management (FPM); one Regional Office; and
two Field Offices (one of which is located in a federal building and the
other in leased space).

The PSAG may be involved in or assist with:

a.  Implementing a strategy for maintaining an effective physical
    security program for HUD Regional and Field Offices;

b.  Defining a multi-year physical security program budget;

c.  Complying with Presidential guidance and applicable criteria and
    standards for the physical security of HUD Regional and Field
    Offices;

d.  Providing information and recommendations within HUD for policy and
    planning for the physical security of Regional and Field Offices;

e.  Coordinating among OSEP, OAMS, OFAR, and FPM, on the resolution of
    physical security issues relative to HUD's Regional and Field
    Offices;

f.  Providing advice and assistance in ensuring that individual HUD
    Regional and Field Office Physical Security Plans and OEPs comply
    with prescribed criteria and standards; and

g.  Implementing a Test, Training, and Exercise (TT&E) program to
    evaluate the effectiveness of Physical Security Plans, OEPs, and
    implementing procedures for each HUD Regional and Field Office.

Any requests for PSAG advice and assistance, or recommendations
concerning its activities, should be referred to the Director, Physical
Security Division, OSEP, 202-708-2914.

Chapter 2 - Physical Security Standards for HUD Field Activities

2.1 General

This Chapter presents the minimum physical security standards for HUD
Regional and Field Offices. These standards are based on guidelines
presented in:

-   Department of Justice (DOJ) Report, *Vulnerability Assessment of
    Federal Facilities*, dated June 28, 1995 (see reference 1.4a in
    Chapter 1); and

-   Interagency Security Committee (ISC) Subcommittee Final Report,
    *Security Standards for Leased Space*, dated May 16, 2003 (see
    reference 1.4h in Chapter 1) (see summary in Appendix A).

2.2 Federal Security Levels

Physical security standards for federal facilities are determined by
five Federal Security Levels, which are generally based on the number of
employees, size of the facility, use of the facility, and the need for
public access. These levels from lowest to highest were specified in the
Department of Justice (DOJ) report as Level I, Level II, Level III,
Level IV, and Level V.

Based on a security survey conducted by the DOJ working group, the
physical characteristics of typical facilities for each of the security
levels were summarized as shown below. In addition, based on the working
group's findings, the DOJ report provided the recommended security
features that should be provided at each level. Further details on
Governmentwide recommendations for Federal facilities are available in
the DOJ report (reference 1.4a).

2.2.1 Typical Level I Facility

A typical Level I facility has 10 or fewer federal employees (2,500 or
less square feet of office space) and was found to have security-related
physical characteristics such as:

-   The federal agency is a single tenant in a leased office;

-   The building has no set-back from the surrounding streets;

-   There are other offices or business establishments in the building;

-   There is metered and/or public parking immediately adjacent to the
    building;

-   It is usually a satellite or small field office;

-   The standard hours of operation are less than 12 hours a day;

-   The building may or may not have perimeter lighting;

-   The building may have rudimentary back-up power for emergency
    lighting and fire detection systems; and

-   The facility most likely has high-security locks on all exterior
    doors; these locks are probably the primary measure of security for
    this level facility.

> Recommended security features for a Level I facility (in addition to
> high-security locks if not present) include:

-   Employee security awareness training;

-   Perimeter lighting, with street lighting acceptable, and emergency
    power back-up desirable;

-   Emergency back-up power for interior lighting;

-   Occupant Emergency Organization officials assigned and trained; and

-   Background security checks conducted on contract service personnel.

> 2.2.2 Typical Level II Facility
>
> A typical Level II facility, most likely a multi-tenant,
> federally-owned or leased building, has between 11 and 150 federal
> employees (2,500 to 80,000 square feet of office space) and was found
> to have security-related physical characteristics such as:

-   The building is likely to be multi-story;

-   The building is likely to be older; there are many historical
    buildings in this category;

-   With the exception of a sidewalk, the building is likely to have no
    setback from the surrounding streets;

-   Only exterior parking is available, and it is adjacent to the
    building;

-   The building operates an average of 12 hours a day; and

-   As in a Level I facility, the primary security measure is
    high-security locks on all exterior doors.

> Recommended security features for a Level II facility (in addition to
> those recommended for Level I) include:

-   Perimeter lighting other than street lighting (again, emergency
    back-up power is desirable); and

-   A visitor control and/or screening system, such as identification
    badges or sign-in register

> 2.2.3 Typical Level III Facility
>
> A typical Level III facility, a multi-story, federally owned or leased
> building with several federal tenant organizations and 151 to 450
> federal employees (80,000 to 150,000 square feet of office space), was
> found to have security-related physical characteristics such as:

-   The building was constructed less than 25 years ago;

-   Although the building has a greater set-back than would be found at
    a Level I or II facility, it still has only a minimal set-back from
    surrounding streets;

-   It is likely to have an exterior parking lot;

-   The building is open to employees more than 12 hours per day.

-   As for Levels I and II, the primary security measure is
    high-security locks on all exterior doors; and

-   The building may also have a centrally monitored intrusion detection
    system (IDS).

> Recommended security features for a Level III facility (in addition to
> those recommended for Levels I and II) include:

-   As much control as possible over interior parking, where available;

-   Parking areas adjacent to federal space should be controlled when
    feasible;

-   Perimeter lighting (for federally controlled facilities, the
    perimeter should be attached to a back-up power system);

-   Magnetometer or x-ray screening at public entrances, as determined
    by local facility evaluations; and

-   A security force, the size and locations to be determined by local
    facility evaluation.

> 2.2.4 Typical Level IV Facility
>
> A typical Level IV facility, a large multi-tenant, federally owned or
> leased building with more than 450 federal employees (more than
> 150,000 square feet of office space), was found to have
> security-related physical characteristics such as:

-   The building may be set back from the surrounding streets;

-   Some interior underground parking as well as exterior parking is
    available;

-   The building is accessible to employees more than 12 hours a day,
    and may be open to employees 24 hours per day;

-   Public access is limited to less than 12 hours a day; and

-   The building may have security officers stationed at entrances.

> Recommended security features for a Level IV facility (in addition to
> those recommended for Levels I, II, and III) include:

-   Control adjacent parking as much as possible;

-   Use 24-hour closed circuit television (CCTV) with monitoring and
    videotape recording of the building's perimeter and with signs
    publicizing the presence of this equipment;

-   Require that agency photo identification cards be displayed at all
    times;

-   Have shatter-resistant exterior glass, or glass treated with a
    substance to resist shattering; and

-   Require x-ray screening of all mail and packages brought into the
    building.

> 2.2.5 Typical Level V Facility
>
> A typical Level V facility is a building such as the Pentagon or
> Central Intelligence Agency (CIA) Headquarters that is engaged in
> missions or functions critical to national security. A Level V
> facility is similar at a Level IV facility in terms of number of
> employees and square footage. (NOTE: There are no HUD Regional or
> Field Offices located in a facility categorized as Level V.)
>
> The above descriptions may not apply exactly to each HUD field
> activity for a given level, but generally indicate the distinctions
> between the levels that exist. Each HUD Regional and Field Office
> should have been assigned a Federal Security Level based on a facility
> security assessment by the Federal Protective Service (FPS). If such
> is not the case, the Office Director should request through
> appropriate channels that the FPS be contacted to officially validate
> the Federal Security Level of the office at the earliest opportunity.

2.3 Recommended Minimum Security Standards for HUD Field Activities

The following pages present recommended security standards for HUD
Regional and Field Offices for Federal Security Levels I through IV,
based on an analysis of the standards specified by DOJ for federal
facilities and those prescribed for leased space by the ISC. The
standards are delineated in the following charts:

> Figure 2-1. HUD Office Security Standards---Perimeter Security;
>
> Figure 2-2. HUD Office Security Standards---Interior Security;
>
> Figure 2-3. HUD Office Security Standards---Entry Security; and
>
> Figure 2-4. HUD Office Security Standards---Security Planning and
> Coordination.

The key to the symbols used in the charts is:

> M Minimum standard (i.e., mandatory);
>
> S Standard based on facility evaluation (i.e., standard will be met as
> practicable, but may vary from the minimum standard based on the local
> situation and/or conditions);
>
> D Desirable (i.e., should be considered to enhance the security of the
> office); and
>
> N/A Not applicable.

The recommended minimum security standards developed by the Department
of Justice for HUD field locations will be used to guide and coordinate
security planning for perimeter, entry, common area, and workspace
areas. Any waivers/variations to the standards will be handled in
accordance with the 2002 (Deputy Secretary Jackson, *Operating
Protocols*, September 13, 2002) and 2007 (Secretary Jackson,
*Strengthening Field Management Through Enhancement of Delegations of
Authority and Operating Protocols*, February 13, 2007) Memorandum
Delegations of Authority Protocols, as amended. All waivers in this
regard must be in writing fully describing the need and basis for a
variation. Waivers require the concurrence of OFAR or the Assistant
Secretary for Administration.

For those standards that address the physical layout of or ancillary
equipment provided at the host facility, the standard [must]{.underline}
be specified when negotiating new leases for HUD office space. In the
case of long-term existing leases, every effort should be made to come
as close to meeting each such standard as is reasonably possible.

Justification for or an explanation of not meeting a given security
standard at a given HUD office should be recorded and retained on file
as part of the Field Office Physical Security Status Report prepared
annually for each office (see Chapter 4, sub-section 4.7.1, and Appendix
F).

Figure 2-1. HUD Security Standards -- Perimeter Security

+-------------------------------------------+-----+-----+-----+-----+
| Standard                                  | Le  | Le  | Le  | Le  |
|                                           | vel | vel | vel | vel |
|                                           |     |     |     |     |
|                                           | I   | II  | III | IV  |
+-------------------------------------------+-----+-----+-----+-----+
| *Parking*                                 |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Access to facility parking is limited   | D   | D   | S   | S   |
| > to government or other designated       |     |     |     |     |
| > personnel and vehicles, and to          |     |     |     |     |
| > authorized visitors.                    |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Access controls to adjacent parking     | D   | D   | S   | S   |
| > areas are in place to minimize threats  |     |     |     |     |
| > to the facility and employee exposure   |     |     |     |     |
| > to criminal activity.                   |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Signs are posted to alert the public to | S   | S   | S   | S   |
| > parking restrictions, and arrangements  |     |     |     |     |
| > have been made for towing unauthorized  |     |     |     |     |
| > vehicles.                               |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > A system and procedures are in place    | D   | S   | S   | S   |
| > for identifying authorized vehicles and |     |     |     |     |
| > corresponding parking spaces (e.g.,     |     |     |     |     |
| > placards, decals, card keys, etc.).     |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Adequate lighting is provided in        | M   | M   | M   | M   |
| > parking areas to ensure the safety of   |     |     |     |     |
| > employees and authorized visitors, and  |     |     |     |     |
| > deter illegal or threatening            |     |     |     |     |
| > activities.                             |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| *Closed circuit television (CCTV)         |     |     |     |     |
| monitoring*                               |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Twenty-four hour CCTV surveillance      | S   | S   | S   | S   |
| > cameras with time-lapse video recording |     |     |     |     |
| > are used for monitoring exterior areas. |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Signs are posted advising of 24-hour    | S   | S   | S   | S   |
| > video surveillance.                     |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > *Exterior Lighting*                     |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Lighting with emergency back-up power   | M   | M   | M   | M   |
| > is provided along the building exterior |     |     |     |     |
| > and at entrances and exits.             |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > *Windows*                               |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Shatter-resistant material has been     | N/A | S   | S   | M   |
| > applied to all exterior windows.        |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > *Physical barriers*                     |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Physical barriers (concrete and/or      | N/A | D   | D   | S   |
| > steel composition) are in place along   |     |     |     |     |
| > the perimeter of the facility.          |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Parking barriers are in place to        | N/A | D   | D   | S   |
| > prevent unauthorized vehicle access.    |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+

> **M** Minimum standard **S** Standard based on facility evaluation
> **D** Desirable **N/A** Not applicable
>
> (mandatory)
>
> Figure 2-2. HUD Security Standards -- Entry Security

+---------------------------------------------+-----+-----+-----+----+
| Standard                                    | Le  | Le  | Le  | L  |
|                                             | vel | vel | vel | ev |
|                                             |     |     |     | el |
|                                             | I   | II  | III |    |
|                                             |     |     |     | IV |
+---------------------------------------------+-----+-----+-----+----+
| *Access Control*                            |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > Security officer is posted at entrance(s) | N/A | D   | S   | S  |
| > to control building access and/or access  |     |     |     |    |
| > to HUD office space.                      |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > An Intrusion Detection System (IDS) with  | S   | S   | S   | S  |
| > central monitoring capability is          |     |     |     |    |
| > installed at the building exterior.       |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > Entry control is accomplished through     | M   | M   | S   | S  |
| > installation of an automatic              |     |     |     |    |
| > locking/remote unlocking mechanism on the |     |     |     |    |
| > entrance door(s) to HUD office space.     |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > An internal IDS is installed within HUD   | D   | S   | S   | S  |
| > office space to preclude unauthorized     |     |     |     |    |
| > entry into specified sensitive areas.     |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > Life safety standards per General         | M   | M   | M   | M  |
| > Services Administration (GSA) design      |     |     |     |    |
| > standards (e.g., fire detection, fire     |     |     |     |    |
| > suppression systems, etc.) are installed  |     |     |     |    |
| > and operable.                             |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| *Entrances/Exits*                           |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > X-ray equipment and magnetometers (or     | N/A | S   | S   | S  |
| > comparable detection equipment) are       |     |     |     |    |
| > installed at public entrances to the      |     |     |     |    |
| > facility.                                 |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > All mail/packages hand-carried into the   | N/A | D   | S   | M  |
| > building are subject to screening by      |     |     |     |    |
| > x-ray machines and/or visual inspection.  |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > Glass door(s) is installed at the main    | M   | M   | M   | M  |
| > entrance to HUD office space that permits |     |     |     |    |
| > visibility from within the immediate area |     |     |     |    |
| > outside of the entrance.                  |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > HUD office space has at least two ways of | D   | S   | M   | M  |
| > egress, a front door and a back door.     |     |     |     |    |
| > Preferably, the doors will not be located |     |     |     |    |
| > near each other and will open out into    |     |     |     |    |
| > different hallways.                       |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > All exterior entrances/exits have high    | M   | M   | M   | M  |
| > security locks that meet GSA              |     |     |     |    |
| > specifications.                           |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| *Receiving/Shipping Areas*                  |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > Package entry and access to               | D   | S   | S   | M  |
| > receiving/shipping areas are controlled.  |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| *Posting of Government Rules and            |     |     |     |    |
| Regulations*                                |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+
| > Federal government rules and regulations  | M   | M   | M   | M  |
| > are posted at the entrance(s) to          |     |     |     |    |
| > HUD-occupied space relative to policies   |     |     |     |    |
| > such as prohibiting the unauthorized      |     |     |     |    |
| > possession of firearms and dangerous      |     |     |     |    |
| > weapons.                                  |     |     |     |    |
+---------------------------------------------+-----+-----+-----+----+

> M Minimum standard **S** Standard based on facility evaluation **D**
> Desirable **N/A** Not applicable
>
> (mandatory)

Figure 2-3. HUD Security Standards -- Interior Security

+-------------------------------------------+-----+-----+-----+-----+
| Standard                                  | Le  | Le  | Le  | Le  |
|                                           | vel | vel | vel | vel |
|                                           |     |     |     |     |
|                                           | I   | II  | III | IV  |
+-------------------------------------------+-----+-----+-----+-----+
| *Receptionist Areas/Duress Alarm*         |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > A receptionist area is established      | S   | S   | M   | M   |
| > facing the main entrance to HUD office  |     |     |     |     |
| > space.                                  |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > The receptionist area is clearly        | S   | S   | M   | M   |
| > visible from the interior of the        |     |     |     |     |
| > office.                                 |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > The receptionist area has a hidden      | M   | M   | M   | M   |
| > duress alarm that can be unobtrusively  |     |     |     |     |
| > activated by the receptionist or other  |     |     |     |     |
| > employee.                               |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > The duress alarm annunciates at a       | M   | M   | M   | M   |
| > monitoring station that is continuously |     |     |     |     |
| > staffed.                                |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Access to interior office space from    | S   | S   | S   | S   |
| > the receptionist area is controlled by  |     |     |     |     |
| > installation of card access mechanisms  |     |     |     |     |
| > or cipher locks on doors leading        |     |     |     |     |
| > inside.                                 |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| *Employee/Visitor Identification/Control* |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > All employees are issued a photo ID,    | N/A | D   | M   | M   |
| > which must be displayed at all times    |     |     |     |     |
| > while in the HUD office.                |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > All visitors sign in and out with a     | D   | D   | D   | M   |
| > receptionist or security officer.       |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > All visitors are screened and issued a  | N/A | D   | S   | S   |
| > visitor ID badge, which must be         |     |     |     |     |
| > displayed at all times while in the HUD |     |     |     |     |
| > office.                                 |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > All visitors are accompanied by an      | D   | D   | D   | D   |
| > escort while in the HUD office.         |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| *Mail and Package Handling*               |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > The mail and package handling and       | D   | S   | M   | M   |
| > sorting area is isolated from other     |     |     |     |     |
| > internal activities within the HUD      |     |     |     |     |
| > office.                                 |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Access to the mail and package handling | D   | S   | M   | M   |
| > area is restricted only to designated   |     |     |     |     |
| > personnel.                              |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Personnel assigned to mail and package  | M   | M   | M   | M   |
| > handling and sorting duties have been   |     |     |     |     |
| > provided security training.             |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Use of appropriate gloves is mandatory  | M   | M   | M   | M   |
| > for all personnel handling incoming     |     |     |     |     |
| > mail and packages.                      |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Procedures have been established for    | M   | M   | M   | M   |
| > handling suspicious mail and packages,  |     |     |     |     |
| > including provision of a repository for |     |     |     |     |
| > disposition of suspicious items.        |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| *Access to Sensitive Records and          |     |     |     |     |
| Equipment*                                |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > The configuration and layout of the     | M   | M   | M   | M   |
| > office precludes casual/unauthorized    |     |     |     |     |
| > access to sensitive records.            |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Access to computer workstations and     | M   | M   | M   | M   |
| > printers, copiers, fax machines, etc.,  |     |     |     |     |
| > is restricted to authorized users.      |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Access to telephone switching equipment | M   | M   | M   | M   |
| > is restricted to authorized users.      |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+

> **M** Minimum standard **S** Standard based on facility evaluation
> **D** Desirable **N/A** Not applicable
>
> (mandatory)

**Figure 2-3. HUD Security Standards -- Interior Security
*(continued)***

+-------------------------------------------+-----+-----+-----+-----+
| Standard                                  | Le  | Le  | Le  | Le  |
|                                           | vel | vel | vel | vel |
|                                           |     |     |     |     |
|                                           | I   | II  | III | IV  |
+-------------------------------------------+-----+-----+-----+-----+
| *Public Address System*                   |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > A public address system has been        | N/A | S   | S   | S   |
| > installed to permit emergency           |     |     |     |     |
| > announcements to all occupants of HUD   |     |     |     |     |
| > office space and/or the building in     |     |     |     |     |
| > which the HUD office is located.        |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| *Access to Public Restrooms*              |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Provisions have been made to restrict   | N/A | S   | S   | S   |
| > access to public restrooms to           |     |     |     |     |
| > authorized personnel only.              |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > *Utilities*                             |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Utility areas in the facility in which  | D   | S   | M   | M   |
| > the HUD office is located are secure    |     |     |     |     |
| > and only authorized personnel can gain  |     |     |     |     |
| > entry.                                  |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Emergency back-up power to critical     | M   | M   | M   | M   |
| > systems (e.g., alarm systems, radio     |     |     |     |     |
| > communications, computer facilities,    |     |     |     |     |
| > etc.) is available.                     |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Emergency lighting is provided          | M   | M   | M   | M   |
| > throughout HUD office space, including  |     |     |     |     |
| > illuminated exit signs powered by the   |     |     |     |     |
| > emergency lighting system.              |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > A fire detection and suppression        | M   | M   | M   | M   |
| > (sprinkler) system is installed that    |     |     |     |     |
| > provides 100 percent coverage of HUD    |     |     |     |     |
| > office space. \*\*\*\*\*                |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > *Protection from airborne chemical,     |     |     |     |     |
| > biological, or radiological (CBR)       |     |     |     |     |
| > attack*                                 |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Access to fresh air intakes, mechanical | S   | S   | S   | S   |
| > areas, and roof tops in the facility in |     |     |     |     |
| > which the HUD office is located is      |     |     |     |     |
| > strictly controlled.                    |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Access to building heating,             | S   | S   | S   | M   |
| > ventilation, and air conditioning       |     |     |     |     |
| > (HVAC) systems information is           |     |     |     |     |
| > restricted to authorized personnel      |     |     |     |     |
| > only.                                   |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+
| > Procedures are in place for             | M   | M   | M   | M   |
| > notification of the building manager,   |     |     |     |     |
| > security force desk, local emergency    |     |     |     |     |
| > personnel, and/or other key personnel   |     |     |     |     |
| > in the event that toxic airborne        |     |     |     |     |
| > hazards are suspected or detected.      |     |     |     |     |
+-------------------------------------------+-----+-----+-----+-----+

> \*\*\*\*\* - Desirable in leased space but will depend on local fire
> code standards.
>
> M Minimum standard **S** Standard based on facility evaluation **D**
> Desirable **N/A** Not applicable
>
> (mandatory)

Figure 2-4. HUD Security Standards -- Security Planning and Coordination

+--------------------------------------------+-----+-----+-----+-----+
| Standard                                   | Le  | Le  | Le  | Le  |
|                                            | vel | vel | vel | vel |
|                                            |     |     |     |     |
|                                            | I   | II  | III | IV  |
+--------------------------------------------+-----+-----+-----+-----+
| > *Physical Security Plan*                 |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > A comprehensive Physical Security Plan   | M   | M   | M   | M   |
| > for the HUD office exists and is kept    |     |     |     |     |
| > current.                                 |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > Copies of the Physical Security Plan are | M   | M   | M   | M   |
| > made available to all office employees.  |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > Provisions of the Physical Security Plan | M   | M   | M   | M   |
| > are made known to all employees through  |     |     |     |     |
| > a comprehensive security training,       |     |     |     |     |
| > education, and awareness program.        |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > *Occupant Emergency Program*             |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > An Occupant Emergency Organization (OEO) | M   | M   | M   | M   |
| > has been established and includes the    |     |     |     |     |
| > participation of all tenants in the      |     |     |     |     |
| > facility in which the HUD office is      |     |     |     |     |
| > located.                                 |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > An OEP is in place, updated annually,    | M   | M   | M   | M   |
| > and periodically tested.                 |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > Copies of the OEP are made available to  | M   | M   | M   | M   |
| > all office employees.                    |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > A formal OEP test, training, and         | M   | M   | M   | M   |
| > exercise program has been established.   |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > *Standardized Alert Levels and Threat    |     |     |     |     |
| > Conditions*                              |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > Standardized alert levels and threat     | M   | M   | M   | M   |
| > terminology have been established.       |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > Procedures are in place to disseminate   | M   | M   | M   | M   |
| > alert level and threat information to    |     |     |     |     |
| > all concerned in a timely manner.        |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > Provisions have been made to jointly     | M   | M   | M   | M   |
| > upgrade alert levels and security        |     |     |     |     |
| > procedures in the facility in which the  |     |     |     |     |
| > HUD office is located during emergency   |     |     |     |     |
| > situations such as terrorist attacks,    |     |     |     |     |
| > natural disasters, and/or civil unrest.  |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > *Security Training, Education, and       |     |     |     |     |
| > Awareness*                               |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > Security training and awareness          | M   | M   | M   | M   |
| > materials have been developed and        |     |     |     |     |
| > distributed, as appropriate, to provide  |     |     |     |     |
| > up-to-date information covering security |     |     |     |     |
| > practices, employee security awareness,  |     |     |     |     |
| > personal safety during emergencies, etc. |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > A formal security-training program has   | M   | M   | M   | M   |
| > been established, including a new        |     |     |     |     |
| > employee orientation and an annual       |     |     |     |     |
| > update for all HUD employees.            |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > *Background Security Checks for Contract |     |     |     |     |
| > Service Personnel*                       |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+
| > Background security checks and security  | M   | M   | M   | M   |
| > control procedures are required for all  |     |     |     |     |
| > contract service personnel within the    |     |     |     |     |
| > facility in which the HUD office is      |     |     |     |     |
| > located.                                 |     |     |     |     |
+--------------------------------------------+-----+-----+-----+-----+

> M Minimum standard **S** Standard based on facility evaluation **D**
> Desirable **N/A** Not applicable
>
> (mandatory)

Chapter 3 - Responsibilities

3.1 General

The Office of Field Administrative Resources (OFAR) will assist Regional
and Field Office Directors in the development and implementation of a
comprehensive physical security program for their respective offices
that complies with the objectives of this handbook. OFAR will coordinate
day-to-day operational support for the local physical security programs
including the provision of appropriate office space, and equipment
pursuant to applicable HUD, GSA and ISC security standards. OFAR will
also provide and/or arrange training for the Regional and Field Security
Coordinators to be selected by the Regional and Field Office Directors
in accordance with this handbook

The Director, Physical Security Division, OSEP, relies on the guidance
and assistance of the Physical Security Advisory Group (PSAG) (see
Section 1.9, Chapter 1) in developing and distributing standards and
policies governing HUD's physical security program in the field. Funding
to implement various physical security needs is provided through OFAR
based upon the recommendations of FPM and the RDs and FODs.

3.2 Assistant Secretary for Administration

The ASA is responsible for ensuring that physical security standards are
established for all HUD Regional and Field Offices and for providing
oversight of the adequacy of field security plans to protect HUD
personnel, assets, and functions. This responsibility is carried out
through the joint efforts and coordination among OSEP, the PSAG, FPM,
OAMS, the Office of Budget and Administrative Support (OBAS), the Office
of Field Administrative Resources (OFAR), RDs, and FODs. OBAS, through
OFAR, RDs, and FODs, provides funding for physical security services and
equipment in the field.

> 3.2.1 Office of Security and Emergency Planning

Within OSEP, the Director, Physical Security Division, relies on PSAG
guidance and advice in developing physical security standards and
systems for the field and monitors (in coordination with FPM and OFAR)
the effectiveness of their implementation. With respect to determining
appropriate solutions to significant physical security issues in
Regional or Field Offices, the Director, Physical Security Division,
will provide recommendations on corrective measures that could be taken
to address the problem. However, ultimate responsibility for a decision
on such matters rests with the RD or FOD of the office in question.
Thus, the RD or FOD, with additional input from FPM and OFAR, will make
the final decision on how to proceed to resolve the issue.

Specifically, the Director, Physical Security Division, is responsible
for:

a.  Ensuring that FPM through the Regional and Field Directors
    coordinate with OFAR, for the Federal Protective Service (FPS) to
    perform a Facility Security Assessment for each office. The Facility
    Security Assessment will provide a comprehensive, independent
    evaluation of the security status of each office (see Section 4.3 in
    Chapter 4);

b.  Chairing the PSAG, which has been established to assist OSEP in the
    development of a strategy and standards for maintaining an effective
    physical security program for HUD Regional and Field Offices;

c.  Coordinating with the PSAG in developing and promulgating physical
    security standards and procedures for all Regional and Field Offices
    based on the ISC report, *Security Standards for Leased Space* (see
    reference 1.4h in Chapter 1), and additional security enhancements
    established by HUD;

d.  Coordinating with FPM through the RDs, FODs, and OFAR to ensure that
    there is a designated Security Coordinator in each Regional and
    Field Office;

e.  Coordinating with the PSAG in providing OAMS and OFAR with HUD
    security standards that are to be included in GSA leases for new
    leased office space in the field. Follow up with OAMS and OFAR to
    ensure that such standards are included in new GSA leases negotiated
    for Regional and Field Offices;

f.  Coordinating with the PSAG, RDs, FODs and OFAR in developing and
    distributing to the Regional and Field Office Security Coordinators
    information concerning no-cost security measures that should be
    implemented immediately upon receipt. Such information includes:

    1.  Mandating that agency photo identification cards be displayed at
        all times by employees and contractors;

    2.  Implementing procedures regarding visitor access and escort
        within the office;

    3.  Issuing policy to ensure that office doors to staff space are
        locked at all times;

    4.  Issuing policy concerning handling of incoming mail and
        packages; and

    5.  In consultation with the OAMS Documents Division, issuing policy
        concerning protection and destruction of private and sensitive
        files;

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    g.  Developing, with input from the PSAG and in accordance with GSA
        certification guidelines, minimum standards for private
        non-federal contract security force services;

    h.  Ensuring that OFAR, in coordination with the RDs, and FODs,
        develop a

> multi-year physical security budget that reflects security equipment
> and services identified in the office's Physical Security Plan. The
> OFAR Director should prioritize items included in the physical
> security budget request, with input from FPM and RDs and FODs. The
> budget should be incorporated into the consolidated budget request
> submitted to Headquarters by OFAR;

i.  Establishing and distributing standards and criteria for OEPs all
    HUD offices in the field to ensure consistency. In coordination with
    FPM and OFAR, and the Regional and Field Office Coordinators,
    oversee field compliance with specified OEP requirements; and

j.  Developing a system for sharing lessons learned about problematic
    security practices, and exemplary security practices that illustrate
    highly effective or innovative ways to address security issues in
    Regional and Field Offices among Security Coordinators.

3.3 Deputy Assistant Secretary for Budget and Management Support

The Deputy Assistant Secretary for Budget and Management Support (BMS)
provides support to OFAR and FPM in preparing annual and multi-year
budget submissions to cover the cost of physical security equipment and
services in HUD facilities in Washington, DC, and in Regional and Field
Offices.

> 3.3.1 Office of Administrative and Management Services
>
> The OAMS Space Design Branch (SDB) is responsible for conveying to GSA
> the HUD physical security requirements that exceed the ISC leased
> space security standards (see reference 1.4h in Chapter 1). The SDB
> Branch Chief coordinates with GSA and OFAR to ensure that all proposed
> new Regional and Field Office leases include the additional HUD
> physical security standards.
>
> 3.3.2 Office of Budget and Administrative Services
>
> OBAS provides funds to the Regional and Field Offices for meeting
> their physical security equipment and services needs. Funding is
> provided through OFAR to work with the RDs and FODs in prioritizing
> funding needs within individual offices and across the region.

3.4 General Deputy Assistant Secretary for Administration

The General Deputy Assistant Secretary for Administration oversees the
operations of OFAR, which provides services to HUD field activities in
the areas of administrative support for facilities, equipment, and
supplies. This includes management oversight of the operations of OFAR
in fulfilling the Office's responsibilities for supporting the Regional
and Field Offices relative to physical security.

> 3.4.1 Director, Office of Field Administrative Resources
>
> The Director of the Office of Field Administrative Resources provides
> administrative support to the RDs and FODs within the respective field
> jurisdictions. OFAR is responsible for obtaining equipment and
> services required for the security of Regional and Field Offices. OFAR
> coordinates with the OAMS SDB and GSA to negotiate leases for office
> space that meet both the ISC leased space security standards and
> additional HUD physical security requirements. OFAR is responsible for
> assisting the RDs and FODs develop Regional and Field Office's
> Physical Security Plans and OEPs to determine compliance with Sections
> 4.4 and 4.5 of this *Handbook*, respectively and assisting in the
> coordination efforts of the Regional Coordinators.

3.5 Assistant Deputy Secretary for Field Policy and Management

The Secretary and Deputy Secretary of HUD, through the Assistant Deputy
Secretary for FPM, have delegated substantial Field Office management
and operational authority to the RDs, who in turn may re-delegate this
authority to the FODs. Included in this delegation is the management of
the work environment and key operational and administrative functions
for management, oversight and development of office security plans,
evacuation plans, and emergency procedures. FPM monitors field
compliance and performance of these functions with OSEP and OFAR.

> 3.5.1 Regional Directors
>
> Regional Directors (RDs) are responsible for ensuring the protection
> of HUD employees, visitors, and property in the Regional Office and in
> Field Offices in their jurisdiction. Specific responsibilities
> include:

a.  In consultation with OFAR, designating an individual to serve as the
    Regional Security Coordinator for the Regional Office. The Regional
    Security Coordinator should be a designated staff member in OFAR,
    when practicable, to ensure coordination and oversight of the
    program through Administration. In the absence of an OFAR staff
    person on site, the Regional Coordinator may be assigned to a member
    of the RD's staff or a Program staff in consultation with the OFAR
    Director.

b.  Likewise, ensuring that each FOD, in consultation with OFAR
    designates an individual to serve as the Security Coordinator for
    the Field Office. The Field Office Security Coordinator should be
    the on-site Administrative Officer (AO), if available. In the
    absence of an on-site AO, or a designated OFAR staff person, this
    position could be assigned to a member of the FOD's staff or a
    Program Area staff person;

c.  Ensuring that the Regional Office and all Field Offices have an OEP
    that meets the basic requirements outlined in Section 4.5 of this
    *Handbook*;

d.  Identifying and prioritizing required Regional and Field Office
    security equipment and services, and requesting funding from the
    OFAR budget allocation; and

e.  Directing all FODs to ensure that an independent HUD Facility
    Security Assessment is accomplished at least every five years, or
    whenever significant changes in the facility, or its surroundings,
    have occurred.

> 3.5.2 Field Office Directors
>
> FODs are responsible for ensuring the protection of HUD employees,
> visitors, and property in their respective offices. Specific
> responsibilities include:

a.  In consultation with the OFAR Director , designating an individual
    to serve as the Field Office Security Coordinator for the office;

b.  Ensuring that the Field Office has an OEP that meets the
    requirements outlined in Section 4.5 of this *Handbook*;

c.  Conducting staff training on the OEP and scheduling periodic tests
    of emergency evacuation and shelter-in-place procedures;

d.  Ensuring that the office has a Physical Security Plan that has been
    developed in coordination with OFAR and submitted through the
    Regional Security Coordinator and OSEP for approval; and

e.  Identifying and prioritizing required office security equipment and
    services, and, with the approval of the RD, request funding from the
    OFAR budget allocation.

    3.  Regional and Field Office Security Coordinators

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a.  Regional Security Coordinator responsibilities include:

    1.  Developing and testing the OEP for the Regional Office in leased
        facilities where HUD is the lead tenant;

    2.  Coordinating with GSA, FPS, and the lead federal agency tenant
        in federal buildings, and building management officials and
        tenants in privately leased space, on developing and testing the
        OEP;

    3.  Maintaining close communication with OSEP and OFAR on developing
        and implementing OEPs and Physical Security Plans and resolving
        physical security problems;

    4.  Providing technical assistance to the Field Office Security
        Coordinators on issues related to the OEPs and Physical Security
        Plans;

    5.  Reviewing Field Office OEPs and Physical Security Plans for
        compliance with prescribed standards, and of approved plans to
        the Director, Physical Security Division, OSEP and FPM;

    6.  Coordinating the scheduling of an independent Facility Security
        Assessment of the Regional Office at least every five years or
        whenever significant changes in the facility, or its
        surroundings, have occurred;

    7.  Developing a physical security briefing for all new employees
        and an ongoing security awareness program for all Regional
        Office employees; and

    8.  Implementing a system to ensure that procedures are in place to
        ensure the safety and security of the office when employees are
        working after normal business hours and on weekends.

b.  Field Office Security Coordinator responsibilities include:

    1.  Developing and testing the Field Office OEP in those cases where
        HUD is the lead tenant in leased space;

    2.  Coordinating with the Regional Security Coordinator, GSA, DHS,
        and lead federal agency tenant in federal buildings, and with
        building management officials and tenants in privately leased
        space, on developing and testing the OEP;

    3.  Preparing the Field Office Physical Security Plan, and upon
        approval by the FOD, submitting it through the Regional Security
        Coordinator for final approval;

    4.  Maintaining close communications with the Regional Security
        Coordinator for technical assistance and guidance on OEPs and
        Physical Security Plans and to resolve problems;

    5.  Coordinating the scheduling and preparation of an independent
        Facility Security Assessment of the Field Office at least every
        five years or whenever significant changes in the facility, or
        its surroundings, have occurred;

    6.  Developing a physical security briefing for all new employees
        and an ongoing security awareness program for all Field Office
        employees; and

    7.  Implementing a system to ensure that procedures are in place to
        ensure the safety and security of the office when employees are
        working after normal business hours and on weekends.

Chapter 4 - Implementation Guidelines

4.1 General

This Chapter provides guidelines for implementing an effective physical
security program for each HUD Regional and Field Office.

4.2 Risk Management Process

Because of the vast differences in the types of facilities occupied by
HUD field activities and the variety of risks associated with each of
them, there is no single approach to security that will work ideally for
all buildings. Thus, it would be prudent to adopt a risk management
process that has been followed by the federal intelligence and defense
communities for many years (as cited by the GAO in numerous reports to
the Congress, including references 1.4c and 1.4f in Chapter 1). This
process entails the five basic steps described below.

-   Identify assets---what are we protecting?

-   Determine the threat---who are the adversaries?

-   Analyze the vulnerabilities---how are we vulnerable?

-   Assess risk---what are our priorities?

-   Apply countermeasures---what can we do?

In this regard, risk management is defined as a systematic and
analytical process that considers the likelihood that a threat will
endanger assets, individuals, or functions at a given location and
identifies actions that will reduce the risk and mitigate the
consequences of an incident intended to harm, disrupt, or destroy a
facility and its occupants. An effective risk management approach
includes the following three primary elements listed below.

-   Threat assessment is a process that identifies and evaluates the
    impact of conditions or potential adversaries that may cause injury,
    illness, or death of personnel, damage to or loss of equipment or
    property, or mission degradation.

-   Vulnerability assessment is a process that identifies systemic
    weaknesses or shortcomings that may be exploited by potential
    adversaries or others and suggests options to eliminate or mitigate
    those weaknesses or shortcomings.

-   Criticality assessment is a process designed to systematically
    identify and evaluate an organization's assets based on the
    importance of its mission or functions, the group of people at risk,
    and/or the overall significance of a given facility in which a HUD
    activity is located.

4.3 Facility Security Assessment

The first step and principal product associated with application of the
risk management process is developing an independent Facility Security
Assessment for each HUD Regional and Field Office.

> 4.3.1 Security Assessment Concept
>
> A Facility Security Assessment for each HUD Regional and Field Office
> will be prepared every five years, or whenever significant changes in
> the facility or its environs have occurred. It is important that the
> Assessment is conducted by a qualified representative(s) of an
> [independent office or agency]{.underline} that does not have direct
> responsibility for the physical security of the office to be surveyed.
> Candidate agencies for conducting the Assessment include FPS, GSA, or
> a reputable security/vulnerability assessment contractor.
>
> The most recent Assessment of a given HUD Regional or Field Office
> will serve as an official record of the security posture of a given
> office and will provide justification for instituting and funding any
> security enhancements deemed necessary.
>
> 4.3.2 Security Assessment Process
>
> The Office Security Coordinator will arrange for and coordinate the
> scheduling and conduct of the security survey on which the Assessment
> will be based. Coordination and scheduling will be accomplished with
> the OFAR, Regional Office (for Field Offices), OSEP, FPM, and others,
> as appropriate.
>
> The proposed format and contents for recording the results of a HUD
> Office Security Assessment are illustrated in Figure 4-1. The
> introductory descriptive information and parts 1 through 9 of the
> Assessment form will be completed by the office or agency conducting
> the security survey. Part 10 will be completed by the applicable HUD
> Regional Security Coordinator and, upon approval by the RD, will
> present the official HUD affirmation of the Assessment and/or any
> exception(s) to or amplification of information contained therein.
>
> Copies of the Assessment will be provided to FPM and OSEP in HUD
> Headquarters.

4.4 Office Physical Security Plan

Each HUD Regional and Field Office will have a current Physical Security
Plan that delineates the procedures to be followed and systems and
equipment to be employed to provide for the safety and well being of
personnel, protect and safeguard information, equipment, and materials
within the office, and preclude unauthorized access to the facility.

An outline of the organization and content of an Office Physical
Security Plan is illustrated in Figure 4-2. More detailed information is
presented in Appendix B.

Figure 4-1 - HUD Facility Security Assessment

+-----------------------------------------------------------------------+
| Security Assessment of                                                |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_    |
| (Regional or Field Office)                                            |
|                                                                       |
| Date:                                                                 |
|                                                                       |
| Survey conducted by (Name):                                           |
|                                                                       |
| Organization:                                                         |
+-----------------------------------------------------------------------+
| Description:                                                          |
|                                                                       |
| HUD Region: \_\_\_\_\_\_\_\_                                          |
|                                                                       |
| Address:                                                              |
| \_\_\_\_\_\_\_\_\_\_\_                                                |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\ |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
|                                                                       |
| Space Ownership: Leased\_\_\_ Federal \_\_\_                          |
|                                                                       |
| Number of Employees:                                                  |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\ |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
|                                                                       |
| Gross Square Footage of the HUD Facility:                             |
| \_\_\_\_\_                                                            |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\ |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
+-----------------------------------------------------------------------+
| Federal Security Level:                                               |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (see Chapter 2.2 for |
| criteria of Level I, II, III, IV, V)                                  |
+-----------------------------------------------------------------------+
| Name, Phone Number and E-Mail Address of On-Site Office Security      |
| Coordinator:                                                          |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_  |
|                                                                       |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_  |
|                                                                       |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_  |
+-----------------------------------------------------------------------+
| Threat Level: Low \_\_\_ Medium \_\_\_ High \_\_\_                    |
|                                                                       |
| Risk Level: Low \_\_\_ Medium \_\_\_ High \_\_\_                      |
|                                                                       |
| Comments:                                                             |
+-----------------------------------------------------------------------+
| Nature of Surrounding Area:                                           |
|                                                                       |
| Commercial \_\_\_ Industrial \_\_\_ Residential \_\_\_ Other          |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                                  |
|                                                                       |
| Urban \_\_\_ Suburban ­­­\_\_\_ Rural \_\_\_                             |
|                                                                       |
| Comments:                                                             |
+-----------------------------------------------------------------------+
| > Type of Facility:                                                   |
| > \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_      |
| >                                                                     |
| > *\[Indicate whether office building, warehouse, storefront,         |
| > commercial building, school building, etc.\]*                       |
+-----------------------------------------------------------------------+
| 1\. Perimeter Security                                                |
|                                                                       |
| > *\[Scope: Parking controls; signage; exterior lighting with back-up |
| > power; CCTV monitoring; physical barriers; setback distance;        |
| > security patrols; shatter-resistant windows; etc.\]*                |
+-----------------------------------------------------------------------+
| 2\. Entry Security                                                    |
|                                                                       |
| > *\[Scope: Access control; number of entrances/exits; security       |
| > officers; ID/pass control; mail and package handling; intrusion     |
| > detection system; magnetometers; peep holes; intercom system; entry |
| > control CCTV; high security locks; etc.\]*                          |
+-----------------------------------------------------------------------+
| 3\. Interior Security                                                 |
|                                                                       |
| > *\[Scope*: *Employee/visitor ID; access to utility areas; HVAC      |
| > location, controls, and accessibility; intrusion detection          |
| > system(s); emergency back-up power for critical systems;            |
| > receptionist duress alarms; public address system; mail handling    |
| > areas and procedures; threat monitoring; etc.\]*                    |
+-----------------------------------------------------------------------+
| 4\. Security Planning and Coordination                                |
|                                                                       |
| > *\[Scope: Availability and currency of Office Physical Security     |
| > Plan; availability and currency of the OEP, facility physical       |
| > security force organization and qualifications; administrative      |
| > policies/procedures; proximity to local law enforcement and fire    |
| > and rescue activities; security training, education, and awareness  |
| > program; etc.\]*                                                    |
+-----------------------------------------------------------------------+

**Figure 4-1 - HUD Facility Security Assessment *(continued)***

+-----------------------------------------------------------------------+
| Security Assessment of                                                |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_    |
|                                                                       |
| (Regional or Field Office)                                            |
|                                                                       |
| Date:                                                                 |
|                                                                       |
| Survey conducted by (Name):                                           |
|                                                                       |
| Organization:                                                         |
+-----------------------------------------------------------------------+
| 5\. Perceived Threats                                                 |
|                                                                       |
| > *\[Identification and evaluation of conditions or potential         |
| > adversaries that may cause injuries to occupants, damage to         |
| > equipment or property, or mission degradation.\]*                   |
+-----------------------------------------------------------------------+
| 6\. Perceived Vulnerabilities                                         |
|                                                                       |
| > *\[Identification of weaknesses or shortcomings that may adversely  |
| > affect the ability of the office to accomplish its mission and      |
| > ensure the safety and security of its employees and the public.\]*  |
+-----------------------------------------------------------------------+
| 7\. Criticality Assessment                                            |
|                                                                       |
| > *\[Assessment of the entire complex in which the office is located  |
| > to determine its criticality as a potential target for hostile      |
| > elements.\]*                                                        |
+-----------------------------------------------------------------------+
| 8\. General Comments Not Covered Above                                |
|                                                                       |
| > *\[Any other information concerning the facility that may have an   |
| > impact on the security of the HUD office.\]*                        |
+-----------------------------------------------------------------------+
| 9\. Recommendations                                                   |
|                                                                       |
| > *\[Based on the above findings, validate the Federal Security Level |
| > for the facility. If a change is recommended, provide               |
| > justification. Also, identify any security enhancements deemed      |
| > necessary, including estimated cost.\]*                             |
+-----------------------------------------------------------------------+
| 10\. HUD Comments                                                     |
|                                                                       |
| > *\[Indicate agreement with the findings of the security assessment; |
| > or identify any exceptions, stating the reason(s) why.\]*           |
+-----------------------------------------------------------------------+

Figure 4-2. Outline -- HUD Office Physical Security Plan

+-----------------------------------------------------------------------+
| > PART 1. INTRODUCTION                                                |
| >                                                                     |
| > PART 2. PERTINENT INFORMATION                                       |
| >                                                                     |
| > 2.1 DESCRIPTION OF FACILITY                                         |
| >                                                                     |
| > 2.2 DESCRIPTION OF SURROUNDING AREA                                 |
| >                                                                     |
| > 2.3 PROXIMITY TO EMERGENCY SERVICES                                 |
| >                                                                     |
| > 2.4 FACILITY/OFFICE PHYSICAL SECURITY ORGANIZATION                  |
| >                                                                     |
| > 2.5 KEY TELEPHONE NUMBERS                                           |
| >                                                                     |
| > PART 3. PERIMETER SECURITY                                          |
| >                                                                     |
| > PART 4. ENTRY SECURITY                                              |
| >                                                                     |
| > PART 5. INTERIOR SECURITY                                           |
| >                                                                     |
| > PART 6. COORDINATING INSTRUCTIONS                                   |
+-----------------------------------------------------------------------+

A brief summary of the contents of a HUD Office Physical Security Plan
(Plan) is provided below.

-   Part 1, Introduction, will describe the purpose of the Plan, plus
    applicability and scope, authorities, and security responsibilities
    of all occupants of the office.

-   Part 2, Pertinent Information, will contain the pertinent
    security-related information concerning the facility and environs
    shown in Figure 4-2. In addition, this part of the Plan should also
    include the Federal Security Level of the facility, whether the
    facility is leased space or federally owned and other information
    such as office population and physical characteristics of the
    building.

-   Part 3, Perimeter Security, will address security measures taken for
    the protection and safeguarding of personnel, vehicles, and
    equipment in the external areas of the facility in which the HUD
    office is located. This will include parking areas and controls,
    exterior lighting, surveillance systems, and security control posts
    and patrols.

-   Part 4, Entry Security, will address security measures taken for the
    protection of occupants and imposition of controls relative to the
    entry of persons, equipment, mail, and packages into the building in
    which the HUD office is located and into the HUD office itself.

-   Part 5, Interior Security, will address security measures taken for
    the protection and safeguarding of occupants, information,
    equipment, and materials within the building in which the HUD office
    is located and within the HUD office itself against espionage,
    sabotage, damage, theft, and/or unauthorized access.

-   Part 6, Coordinating Instructions, of the Plan will address
    essential across-the-board relevant matters such as security-related
    administrative policies and procedures, communications/computer
    systems security, contingency readiness and reporting, coordination
    with other local federal agencies, and security education, training,
    and awareness.

HUD Regional and Field Offices should develop their individual Plans at
the earliest opportunity in accordance with the guidance contained in
this *Handbook*. To facilitate this process, the Physical Security
Division, OSEP, has developed a HUD Office Physical Security Plan
template that provides specific, detailed guidance and assistance for
Plan development. You may request a copy of the template via e-mail at
physical security office@hud.gov or by calling OSEP on 202-708-2914.

4.5 Occupant Emergency Program

All federal facilities must have an Occupant Emergency Program
encompassing procedures for safeguarding and protecting lives and
property in and around the facility during emergencies. Key elements of
an Occupant Emergency Program are an Occupant Emergency Organization and
an OEP. A description and details of such a program are presented in the
GSA *Occupant Emergency Program Guide* (see reference 1.4d in Chapter
1).

> 4.5.1 Occupant Emergency Organization (OEO)
>
> An OEO consists of a group of employees who are responsible for
> carrying out the Occupant Emergency Program. In offices where there is
> an existing Health and Safety Committee, the Office Director could
> designate this committee as the OEO, with additional members appointed
> as needed to perform specific OEO functions. In a multi-agency
> facility, the employees who make up the OEO are primarily selected
> from the lead tenant, with representation from other agencies added as
> necessary to ensure a unified approach to dealing with an emergency.
>
> Details concerning the composition and responsibilities of an OEO are
> presented in Appendix D.
>
> 4.5.2 Occupant Emergency Plan (OEP)
>
> An OEP is a set of procedures designed to protect life and property in
> federally-occupied space under defined emergency conditions. The
> emergency may include a fire, explosion, discovery of an explosive
> device, actual or potential exposure to hazardous substances, severe
> weather, a natural disaster, such as a hurricane or earthquake,
> chemical, biological, or radiological threat or exposure, workplace
> violence, hostage takeover, or physical threat to the building,
> occupants, or visitors. Details concerning the format and contents of
> an OEP are presented in Appendix D.

4.6 Coordination

Regardless of the type or location of the HUD Regional or Field Office
facility, it is imperative that there be coordination and cooperation
among all of the tenants within the facility. This should include the
sharing of information and resources, if need be, to ensure the
safeguarding and protection of all of the occupants and assets located
in the facility.

> 4.6.1 Lead Tenant
>
> Based on security standards and guidance for federally-owned
> facilities (presented in reference 1.4a in Chapter 1), the lead
> ("largest") tenant will maintain OEP responsibility. Per reference
> 1.4h, this is also true for leased space (which in this case is
> construed to mean the lead [federal]{.underline} tenant). In the event
> that the HUD office within a given facility is the lead tenant, this
> means that the HUD office has the responsibility for preparation of
> the local OEP, staffing the OEO, and arranging for the participation
> of other tenants in the facility. In the case that the HUD office
> within a facility is not the lead tenant, action should be taken to
> establish close relations with the lead tenant to ensure the safety
> and well being of HUD employees in the event of an emergency situation
> requiring implementation of the local OEP.
>
> 4.6.2 General Services Administration (GSA)
>
> GSA is responsible for administering programs to manage and operate
> government-owned and leased property. In this capacity, GSA executes
> leases for office and other space to be used by federal departments
> and agencies. Thus, it is essential that OFAR project management staff
> in coordination with the Regional and/or Field Office Director, work
> closely with GSA to ensure that physical security is adequately
> addressed in the space requirements package provided to GSA prior to
> negotiating and executing (or re-negotiating) a lease for space to be
> used by HUD activities. In addition, GSA should be contacted any time
> there is need for security enhancements in response to new or changing
> threat conditions.

3.  Federal Protective Service (FPS)

> FPS (formerly part of GSA, now part of the Department of Homeland
> Security) provides law enforcement and security services to tenants of
> federally owned and leased facilities nationwide. FPS provides
> security officers and other security support at some, but not all,
> facilities at which HUD field activities are located. FPS, where
> present, may assist in the development and implementation of local
> OEPs through activities such as:

-   Providing advice and assistance concerning emergency planning and
    organization;

-   Helping train employees and other personnel on workplace safety and
    security-related emergency procedures;

-   Providing technical support to operate utilities, such as
    generators;

-   Providing protective equipment and materials; and

-   Chairing the Building Security Committee (if one has been
    established).

> HUD Regional and Field Offices should avail themselves of FPS
> expertise and services in accordance with local or regional policies
> and agreements. OFAR may request or coordinate a request that FPS
> conduct a physical security survey of the office as part of the
> Facility Security Assessment process (see section 4.3 above).
>
> 4.6.4 Other
>
> Liaison should be established with local emergency response
> organizations, such as law enforcement, and fire and rescue. Phone
> numbers should be prominently displayed and included in the local
> Physical Security Plan and OEP.
>
> In Regional and Field Offices where there are outstationed Office of
> the Inspector General (OIG) personnel, the IG agents could be
> requested to assist in resolving any immediate threats to the safety
> or security of HUD employees or visitors during emergencies.
>
> If a bona fide need exists, OFAR may contract directly with the
> private sector for security force support in a Regional or field
> office, provided that such security force personnel are fully trained
> and qualified based on the federal standards established by FPS for
> its security force personnel (see Appendix E, Contract Security Force
> Standards).

4.7 Physical Security Status Tracking and Reporting

It is essential that an orderly process be established for the periodic
determination of the security status of each HUD Regional and Field
Office, as described in the following sub-sections.

> **4.7.1 Physical Security Status Checklist**

Appendix F presents a Checklist that contains key security-related
requirements that should be periodically reviewed and evaluated in each
Regional and Field Office. This Checklist is an internal document to be
filled in by Regional and Field Office Security Coordinators as a means
for assessing the security posture of the respective HUD Regional or
Field Offices

vis-à-vis the minimum physical security standards specified for HUD
field activities (presented in Chapter 2 of this *Handbook*).
Information contained in a completed Checklist will serve to augment or
update the independent Facility Security Assessment conducted on a
five-year cycle (see Section 4.3 above).

This Checklist will be retained on file and updated annually.
Specifically, information derived from the Checklist will provide input
for preparation of the annual Regional and Field Office Physical
Security Status Report, described in Sub-sections 4.7.3 a and b,
respectively, below.

**4.7.2 Physical Security Status Review**

In addition, the physical security status of each Regional and Field
Office will be reviewed on a regular basis by outside entities. This
review may take place:

a.  As part of the scheduled Quality Management Review (QMR) of the
    office;

b.  During routine operational visits by OFAR personnel;

c.  During routine operational visits by FPM Desk Officers; or

d.  During unannounced visits by staff members from the Physical
    Security Division, OSEP, to designated Regional or Field Offices
    deemed to have potentially serious security threats or
    vulnerabilities.

Among other elements of office security that may be examined by the
above entities, portions of the completed Physical Security Status
Checklist retained on file in each office may be used as the basis for
expediting follow-up action(s) relative to perceived problem areas or
issues.

Regional and Field Office Security Coordinators are responsible for
taking and/or coordinating appropriate corrective action(s) to address
deficiencies identified during scheduled or unannounced security
reviews.

**4.7.3 Physical Security Status Reporting**

Formal reporting of security status will be conducted as described
below.

a.  [Field Offices]{.underline}. Annually, each Field Office
    Director/Security Coordinator will submit to the Regional
    Director/Security Coordinator a *Field Office* *Physical Security
    Status Report* that: describes security problems and improvements;
    lists unmet security needs; and provides an overall assessment of
    the physical security status in the Field Office. Once reviewed and
    approved by the Field Office Director, each Field Office will submit
    the Report by October 15 of each year. For the format and content of
    this report, see Appendix G.

b.  [Regions]{.underline}. Annually the Regional Director/Security
    Coordinator will prepare a *Regional Physical Security Status
    Report*. This Regional Report will include the security status of
    the Regional Office, plus copies of all Field Office reports. Once
    reviewed/approved by the Regional Director, the report will be
    submitted to the Director, Physical Security Division, OSEP, no
    later than October 31 of each year, with copies to the HUD
    Headquarters office of FPM. For the format and content of this
    report, see Appendix H.

c.  [Urgent Physical Security Issues]{.underline}. Reports concerning
    urgent physical security issues in Regional or Field Offices
    requiring immediate attention should be submitted via e-mail at any
    time to the Regional Director/Security Coordinator (for Field
    Offices), the Director of OFAR, and FPM. The Regional
    Director/Security Coordinator and FPM should forward their comments
    and/or recommendations along with the report to the Director,
    Physical Security Division, OSEP. For the format and content of such
    reports, see Appendix I.

4.8 Physical Security Budgeting and Funding

HUD's comprehensive physical security program for Regional and Field
Offices will identify recommended enhancements needed to ensure a safe
and secure workplace environment. The annual Physical Security Status
Report to be developed for each office, as well as the periodic Facility
Security Assessment (see Section 4.3 above), will provide detailed
information on the various security measures, including priorities that
are recommended to be implemented over a period of time. OFAR, in
coordination with FPM, OSEP, RDs, and FODs, will develop a HUD Field
Activities Physical Security Multi-Year Strategy and Program Management
Plan that will include the prioritized funding needs for physical
security in the respective RDs and FODs. Upon approval by the ASA,
physical security budgetary line items for each Regional and Field
Office will be incorporated into the field administration fiscal year
budget.

4.9 Physical Security Status Reports Overview

An overview of the physical security status reporting process for HUD
Regional and Field Offices is presented in Figure 4-3.

### Figure 4-3 - HUD Regional/Field Office Physical Security Status Reports Overview

+-------+----------------+-------------+---------+---------+----------+
| **R   | **Purpose**    | **Prepared  | **A     | **      | **Ti     |
| eport |                | by**        | pproved | Distrib | meline** |
| or    |                |             | by**    | ution** |          |
| Docum |                |             |         |         |          |
| ent** |                |             |         |         |          |
+-------+----------------+-------------+---------+---------+----------+
| *     | Provides a     | An          | R       | -       | Will be  |
| **Fac | comprehensive  | independent | egional |    OFAR | c        |
| ility | summary of the | office or   | D       |         | onducted |
| Sec   | security       | agency such | irector | -   FPM | every    |
| urity | status of a    | as the FPS, |         |         | five     |
| Ass   | HUD Regional   | GSA, or a   |         | -       | years,   |
| essme | or Field       | reputable   |         |    OSEP | or       |
| nt*** | Office in      | security/   |         |         | whenever |
|       | terms of       | vu          |         |         | sig      |
| (Se   | measures that  | lnerability |         |         | nificant |
| ction | exist or are   | assessment  |         |         | changes  |
| 4.3)  | recommended to | contractor. |         |         | in the   |
|       | protect and    |             |         |         | facility |
|       | safeguard      |             |         |         | or its   |
|       | personnel,     |             |         |         | environs |
|       | information,   |             |         |         | have     |
|       | and property   |             |         |         | o        |
|       | commensurate   |             |         |         | ccurred. |
|       | with perceived |             |         |         |          |
|       | threats and    |             |         |         |          |
|       | vu             |             |         |         |          |
|       | lnerabilities. |             |         |         |          |
|       |                |             |         |         |          |
|       | Will be        |             |         |         |          |
|       | retained on    |             |         |         |          |
|       | file as the    |             |         |         |          |
|       | baseline       |             |         |         |          |
|       | document       |             |         |         |          |
|       | reflecting the |             |         |         |          |
|       | physical       |             |         |         |          |
|       | security       |             |         |         |          |
|       | status of the  |             |         |         |          |
|       | office, unless |             |         |         |          |
|       | made obsolete  |             |         |         |          |
|       | by a           |             |         |         |          |
|       | subsequent     |             |         |         |          |
|       | assessment or  |             |         |         |          |
|       | physical       |             |         |         |          |
|       | security       |             |         |         |          |
|       | status report. |             |         |         |          |
+-------+----------------+-------------+---------+---------+----------+
| *     | This is an     | Regional    | Regiona | Upon    | Will be  |
| **Phy | internal       | and/or      | l/Field | r       | c        |
| sical | document that  | Field       | Office  | equest, | ompleted |
| Sec   | provides a     | Office      | D       | copies  | annually |
| urity | means for      | Security    | irector | may be  | in       |
| S     | assessing the  | Coordinator |         | dist    | pre      |
| tatus | security       |             |         | ributed | paration |
| Ch    | posture of a   |             |         | to:     | for      |
| eckli | HUD Regional   |             |         |         | co       |
| st*** | or Field       |             |         | -       | mpleting |
|       | Office         |             |         |    OFAR | and      |
| (S    | vis-à-vis the  |             |         |         | su       |
| ub-se | minimum        |             |         | -   FPM | bmitting |
| ction | physical       |             |         |         | the      |
| 4.7.1 | security       |             |         | -       | *        |
| and   | standards      |             |         |    OSEP | Physical |
| App   | specified for  |             |         |         | Security |
| endix | HUD field      |             |         |         | Status   |
| F)    | activities     |             |         |         | Report*  |
|       | (presented in  |             |         |         | for the  |
|       | Chapter 2 of   |             |         |         | office.  |
|       | this           |             |         |         |          |
|       | *Handbook*).   |             |         |         | See next |
|       |                |             |         |         | two      |
|       | Serves to      |             |         |         | items    |
|       | augment or     |             |         |         | below.   |
|       | update the     |             |         |         |          |
|       | *Facility      |             |         |         |          |
|       | Security       |             |         |         |          |
|       | Assessment*.   |             |         |         |          |
|       | Provides input |             |         |         |          |
|       | for            |             |         |         |          |
|       | preparation of |             |         |         |          |
|       | the annual     |             |         |         |          |
|       | *Office        |             |         |         |          |
|       | Physical       |             |         |         |          |
|       | Security       |             |         |         |          |
|       | Status         |             |         |         |          |
|       | Report*.       |             |         |         |          |
|       |                |             |         |         |          |
|       | OFAR, FPM, or  |             |         |         |          |
|       | OSEP personnel |             |         |         |          |
|       | may use        |             |         |         |          |
|       | portions of a  |             |         |         |          |
|       | completed      |             |         |         |          |
|       | checklist, or  |             |         |         |          |
|       | Headquarters   |             |         |         |          |
|       | QMR teams for  |             |         |         |          |
|       | expediting     |             |         |         |          |
|       | follow-up      |             |         |         |          |
|       | action(s)      |             |         |         |          |
|       | relative to    |             |         |         |          |
|       | perceived      |             |         |         |          |
|       | problem areas  |             |         |         |          |
|       | or issues.     |             |         |         |          |
+-------+----------------+-------------+---------+---------+----------+
| ***   | A two-part     | Part I:     | Part I: | Part I: | Field    |
| Field | report that    | Field       | Field   | By each | Office   |
| O     | summarizes     | Office      | Office  | Field   | reports  |
| ffice | se             | Security    | D       | Office  | (Part I) |
| Phy   | curity-related | Coordinator | irector | to the  | will be  |
| sical | training       |             |         | appr    | s        |
| Sec   | activities,    | Part II:    | Part    | opriate | ubmitted |
| urity | etc.,          | Regional    | II:     | R       | to the   |
| S     | conducted      | Security    | R       | egional | app      |
| tatus | during the     | Coordinator | egional | Office. | ropriate |
| Repo  | year;          |             | D       |         | Regional |
| rt*** | describes      |             | irector | Part    | Office   |
|       | security       |             |         | II: See | by       |
| (S    | problems and   |             |         | next    | October  |
| ub-se | actions taken; |             |         | item,   | 15 of    |
| ction | provides an    |             |         | *R      | each     |
| 4     | overall        |             |         | egional | year.    |
| .7.3a | assessment of  |             |         | P       |          |
| and   | the security   |             |         | hysical | Part II: |
| App   | posture of the |             |         | S       | See next |
| endix | office; and    |             |         | ecurity | item,    |
| G)    | summarizes     |             |         | Status  | *        |
|       | recommended    |             |         | R       | Regional |
|       | corrective     |             |         | eport*. | Physical |
|       | actions.       |             |         |         | Security |
|       |                |             |         |         | Status   |
|       | Part I is the  |             |         |         | Report*. |
|       | basic report   |             |         |         |          |
|       | prepared by    |             |         |         |          |
|       | the Field      |             |         |         |          |
|       | Office, and    |             |         |         |          |
|       | Part II        |             |         |         |          |
|       | presents       |             |         |         |          |
|       | Regional       |             |         |         |          |
|       | Office         |             |         |         |          |
|       | comments.      |             |         |         |          |
+-------+----------------+-------------+---------+---------+----------+

### Figure 4-3. HUD Regional/Field Office Physical Security Status Reports Overview *(continued)*

+-------+----------------+-------------+---------+----------+---------+
| **R   | **Purpose**    | **Prepared  | **A     | **Distri | **Tim   |
| eport |                | by**        | pproved | bution** | eline** |
| or    |                |             | by**    |          |         |
| Docum |                |             |         |          |         |
| ent** |                |             |         |          |         |
+-------+----------------+-------------+---------+----------+---------+
| *     | A composite    | Regional    | R       | S        | Co      |
| **Reg | Regional       | Security    | egional | ubmitted | mpleted |
| ional | report that    | Coordinator | D       | to       | and     |
| Phy   | summarizes     |             | irector | D        | su      |
| sical | highlights of  |             |         | irector, | bmitted |
| Sec   | region-wide    |             |         | Physical | by      |
| urity | areas of       |             |         | Security |         |
| S     | concern,       |             |         | D        | October |
| tatus | se             |             |         | ivision, | 31 of   |
| Repo  | curity-related |             |         | OSEP,    | each    |
| rt*** | incidents,     |             |         | with     | year.   |
|       | security       |             |         | copies   |         |
| (S    | issues,        |             |         | to FPM   |         |
| ub-se | lessons        |             |         |          |         |
| ction | learned,       |             |         |          |         |
| 4     | initiatives    |             |         |          |         |
| .7.3b | undertaken,    |             |         |          |         |
| and   | overall        |             |         |          |         |
| App   | security       |             |         |          |         |
| endix | posture,       |             |         |          |         |
| H)    | re             |             |         |          |         |
|       | commendations, |             |         |          |         |
|       | etc.           |             |         |          |         |
|       |                |             |         |          |         |
|       | Includes as    |             |         |          |         |
|       | enclosures:    |             |         |          |         |
|       | (1) a physical |             |         |          |         |
|       | security       |             |         |          |         |
|       | status report  |             |         |          |         |
|       | on the         |             |         |          |         |
|       | Regional       |             |         |          |         |
|       | Office itself; |             |         |          |         |
|       | and (2) copies |             |         |          |         |
|       | of the         |             |         |          |         |
|       | individual     |             |         |          |         |
|       | *Field Office  |             |         |          |         |
|       | Physical       |             |         |          |         |
|       | Security       |             |         |          |         |
|       | Status         |             |         |          |         |
|       | Reports* with  |             |         |          |         |
|       | Part II,       |             |         |          |         |
|       | Regional       |             |         |          |         |
|       | Comments, of   |             |         |          |         |
|       | those reports  |             |         |          |         |
|       | completed by   |             |         |          |         |
|       | the region.    |             |         |          |         |
+-------+----------------+-------------+---------+----------+---------+
| ***U  | Provides a     | Regional    | R       | -   Ap   | Su      |
| rgent | means for a    | and/or      | egional | plicable | bmitted |
| Phy   | HUD Regional   | Field       | and/or  |          | as soon |
| sical | or Field       | Office      | Field   |   Region | as      |
| Sec   | Office to      | Security    | Office  |     (for | p       |
| urity | report to all  | Coordinator | D       |     a    | ossible |
| Issue | concerned a    |             | irector |          | after   |
| Repo  | physical       |             |         |   report | an      |
| rt*** | security       |             |         |     s    | i       |
|       | issue(s) that  |             |         | ubmitted | ssue(s) |
| (S    | requires       |             |         |     by a | is      |
| ub-se | immediate      |             |         |          | reco    |
| ction | attention.     |             |         |    Field | gnized. |
| 4     |                |             |         |          |         |
| .7.3c |                |             |         |  Office) |         |
| and   |                |             |         |          |         |
| App   |                |             |         | -   FPM  |         |
| endix |                |             |         |          |         |
| I)    |                |             |         | -   D    |         |
|       |                |             |         | irector, |         |
|       |                |             |         |          |         |
|       |                |             |         | Physical |         |
|       |                |             |         |          |         |
|       |                |             |         | Security |         |
|       |                |             |         |     D    |         |
|       |                |             |         | ivision, |         |
|       |                |             |         |     OSEP |         |
+-------+----------------+-------------+---------+----------+---------+
| *     | Provides a     | OFAR in     | ASA     | -        | A       |
| **Phy | mechanism for  | c           |         |   Deputy | pproved |
| sical | incorporating  | oordination |         |     A    | p       |
| S     | and            | with FPM,   |         | ssistant | hysical |
| ecuri | prioritizing   | OSEP, RDs,  |         |     S    | s       |
| ty*** | recommended    | and FODs    |         | ecretary | ecurity |
|       | HUD Regional   |             |         |     for  | bu      |
| ***   | and Field      |             |         |     Op   | dgetary |
| Multi | Office         |             |         | erations | line    |
| -year | physical       |             |         |          | items   |
| Str   | security       |             |         | -   A    | are     |
| ategy | projects and   |             |         | ssistant | incor   |
| and   | enhancements   |             |         |          | porated |
| Pr    | into the       |             |         |   Deputy | into    |
| ogram | overall HUD    |             |         |     S    | the     |
| M     | budgeting and  |             |         | ecretary | Field   |
| anage | funding        |             |         |     for  | Adminis |
| ment* | process.       |             |         |     FPM  | trative |
| *Pl   |                |             |         |          | fiscal  |
| an*** | Source data    |             |         | -   D    | year    |
|       | for            |             |         | irector, | budget. |
| (Se   | compilation of |             |         |     OBAS |         |
| ction | this Plan are  |             |         |          |         |
| 4.8)  | derived from   |             |         | -   D    |         |
|       | each *Facility |             |         | irector, |         |
|       | Security       |             |         |     OSEP |         |
|       | Assessment*,   |             |         |          |         |
|       | and *Regional  |             |         | -   D    |         |
|       | and Field      |             |         | irector, |         |
|       | Office         |             |         |     OFAR |         |
|       | Physical       |             |         |          |         |
|       | Security       |             |         | -        |         |
|       | Status         |             |         | Regional |         |
|       | Reports*.      |             |         |     D    |         |
|       |                |             |         | irectors |         |
|       |                |             |         |          |         |
|       |                |             |         | -        |         |
|       |                |             |         |    Field |         |
|       |                |             |         |          |         |
|       |                |             |         |   Office |         |
|       |                |             |         |     D    |         |
|       |                |             |         | irectors |         |
+-------+----------------+-------------+---------+----------+---------+

Chapter 5 - Security Training, Education, and Awareness

5.1 General

All occupants of HUD Regional and Field Offices will be trained to
understand and comply with the policy and procedures enunciated in this
*Handbook* through a program of continuing education and training
covering all facets of the security measures in effect within the
respective offices. Such education and training will be accomplished on
an individual, small group, or "all hands" basis. The scope of the
education and training program will be based on the provisions of the
local Physical Security Plan and OEP and will entail: a new employee
security orientation; functional training; specialized training; an
annual update; and tests, drills, and exercises.

5.2 Training Objectives

Security education and training for HUD Regional and Field Office
managers, supervisors, and staff members will be tailored to accomplish
the following objectives:

-   Ensuring that physical security considerations are an integral part
    of all office mission and support activities;

-   Establishing and maintaining an attitude of individual and
    collective safety and security awareness within the office at all
    times;

-   Ensuring that all employees understand their individual and
    collective responsibilities for implementation of the office
    Physical Security Plan and the OEP; and

-   Providing a means for resolving any issues or questions that may
    arise concerning the physical security measures in effect within the
    office and its environs.

**5.3** **New Employee Orientation**

Each new Regional or Field Office employee will receive an initial
orientation on office security procedures and the responsibilities of
each individual for maintaining security. It is anticipated that
"security" will be only one portion of a comprehensive new employee
orientation that will cover all aspects of office operations, including
local managerial, administrative, and logistical policy and procedures.
The topics to be included in the security portion of the new employee
orientation briefing, which should be presented by the Office Security
Coordinator, are shown in Figure 5-1. This briefing may be augmented by
a handout (fact sheet) that summarizes key aspects of the office
security measures covered in the briefing.

**5.4 Security Training**

In addition to the new employee orientation described above and
summarized in Figure 5-1, the Office Security Coordinator will oversee
and implement a comprehensive security training program for the office
that covers functional training, specialized training, and an annual
update. Each of these training activities is briefly described in the
following sub-sections.

The actual conduct of the training may take the form of a briefing,
group discussion, and/or workshop. A comprehensive security training,
education, and awareness program of instruction, plus applicable
training materials as appropriate, will be developed and distributed to
all concerned by the Physical Security Division, OSEP. Field training
will be provided by the Department of Homeland Security, Federal
Protective Service.

> **Figure 5-1 - Contents** of New Employee Security Orientation
> Briefing

+-----------------------------------------------------------------------+
| -   **Definition and importance of physical security**                |
|                                                                       |
| -   **Site orientation, including available communications and local  |
|     support services available**                                      |
|                                                                       |
| -   **Highlights of Office Physical Security Plan**                   |
|                                                                       |
| -   **Pertinent information concerning facility and environs**        |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   **Perimeter security**                                            |
|                                                                       |
| -   **Entry security**                                                |
|                                                                       |
| -   **Interior security**                                             |
|                                                                       |
| -   **Coordinating instructions**                                     |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   **Highlights of Occupant Emergency Plan**                         |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   **Occupant Emergency Organization**                               |
|                                                                       |
| -   **Building information**                                          |
|                                                                       |
| -   **Procedures for specific emergencies (e.g., workplace            |
|     violence)**                                                       |
|                                                                       |
| -   **Emergency evacuation procedures**                               |
|                                                                       |
| -   **Shelter-in-place procedures**                                   |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   **Individual and collective responsibilities**                    |
|                                                                       |
| -   **Key contacts and telephone numbers**                            |
+-----------------------------------------------------------------------+

> **5.4.1 Functional Training**
>
> It is essential that the HUD Regional and Field Office physical
> security training and education program includes each of the major
> functions that must be addressed in order to ensure that each employee
> has the understanding and knowledge to assure a safe and secure
> working environment. Such functions, which should be covered in the
> local Physical Security Plan and OEP, include:

-   Provisions for facility security---external, at entrances and
    exterior doors, and internal;

-   Provisions for individual and collective workplace safety;

-   Local security procedures such as access control and display of
    individual ID badges;

-   Protection and safeguarding of key assets, such as personnel files
    and information systems;

-   Visitor control;

-   Responsibilities of and interactions with the local security force,
    if applicable;

-   Emergency evacuation procedures;

-   Emergency and/or disaster response procedures (e.g., a bomb threat
    or actual attack with hazardous agents);

-   Shelter-in-place conditions and procedures; and

-   Emergency reporting and notification procedures, including key
    telephone numbers.

> Functional training may be accomplished either in blocks of one or
> several related functions or in an omnibus session covering all of the
> functions, as determined to be most beneficial by the Office Security
> Coordinator. Participation in physical security functional training is
> mandatory for all HUD Regional and Field Office employees. If
> individuals are unable to attend the training session(s) at the time
> it is presented, the Office Security Coordinator must schedule and
> conduct a make-up session(s) within three months.
>
> **5.4.2 Specialized Training**
>
> Any time a new system, program, operating procedure, or item of
> equipment is introduced into the office, the Security Coordinator will
> determine the extent to which a modification in existing security
> procedures is necessary, or whether new, added security procedures
> need to be established. If a significant modification or addition to
> office security procedures is required, the Security Coordinator will
> take steps to modify the Office Physical Security Plan and/or the OEP,
> as appropriate, develop and/or arrange for the development of the
> requisite training materials, and schedule the conduct of the training
> for those occupants who are affected or involved. Depending on the
> nature or complexity of the material to be covered, specialized
> training may be conducted by subject-matter experts under the
> direction of and/or in coordination with the Office Security
> Coordinator.
>
> **5.4.3 Annual Update**
>
> An update on office physical security measures and emergency
> evacuation procedures in effect will be conducted for all employees on
> an annual basis. The scope of such training will cover the same topics
> as listed in Figure 5-1 for the new employee orientation briefing and
> will include any changes that may have occurred during the year since
> the previous annual training session(s). The training may be conducted
> for all employees at one time, or it may be scheduled, depending on
> availability or conflicting requirements, in several sessions to
> ensure that all personnel may avail themselves of the training
> commensurate with individual work schedules. The Office Security
> Coordinator will develop and publish the training schedule and present
> the training.
>
> **5.4.4 Training Records**
>
> The Security Coordinator will prepare a sign-in (i.e., attendance)
> sheet for each security training activity conducted in the office.
> These sheets will be retained on file to constitute a record of
> security training participation. Since training of all employees on
> security procedures is an important indicator of proper office
> security practices, these sign-in sheets will be made available to
> visiting physical security status assessment teams (e.g., QMR teams
> (see Section 4.7 in Chapter 4)) to validate the existence of a
> comprehensive local security-training program.

**5.5 Tests, Drills, and Exercises**

As an adjunct to the training activities described, tests, drills, and
exercises provide a means for evaluating the effectiveness of the
training and support systems, as well as to test new concepts or
operational procedures. Types of events to be considered are listed
below.

-   [Communication tests]{.underline}*.* These events focus on the
    operational capabilities of communications and information systems
    that support mission operations. They should be conducted
    periodically (monthly as a goal) to ensure that all required systems
    are available and operational in response to an emergency situation.

-   [Emergency response, evacuation and shelter-in-place
    drills]{.underline}*.* These events enable staff members to practice
    the actual performance of emergency functions and provide an
    opportunity to evaluate the effectiveness of prescribed procedures
    in response to a simulated emergency situation.

-   [Tabletop exercises]{.underline}*.* Tabletop exercises provide
    participants an opportunity to analyze and discuss how best to deal
    with a simulated emergency in an informal, stress-free setting. They
    are designed to elicit constructive discussions concerning potential
    problem resolution based on implementation of existing plans. There
    are minimal equipment requirements, no deployment of resources, and
    no time pressures.

-   [Functional exercises]{.underline}. Functional exercises are fully
    simulated interactive events. They are intended to validate the
    capability of the office to respond to a simulated emergency in one
    or more of the functional areas identified above. These exercises
    may focus on policies, procedures, roles, and responsibilities of
    various entities before, during, and/or after an emergency event.

-   [Full-scale exercises]{.underline}*.* Full-scale exercises simulate,
    to the extent possible, actual emergency conditions. Such exercises
    are designed to evaluate the emergency response capabilities of the
    entire office staff in a highly stressful environment. This will
    generally include the full-time commitment for a prescribed period
    of time of office personnel, equipment, and resources to dealing
    with the simulated emergency at hand.

Each of the above events will be reviewed to determine the most
beneficial in achieving an effective security posture for a given
office, and how often they are conducted will be determined on a
case-by-case basis. However, it is [mandatory]{.underline} that each
Regional and Field Office conduct [at least one shelter-in-place
drill]{.underline} and [two building evacuation drills]{.underline}
annually.

For advice and assistance, the Office Security Coordinator should
consult with the Physical Security Division, OSEP.

5.6 Security Awareness

Security awareness on the part of occupants of each Regional or Field
Office is critical to establishing a secure workplace to conduct
business and ensure the safety of personnel and physical assets. The
Office Director and Security Coordinator will work with all HUD
employees to incorporate security awareness and reminders on a routine
basis into the conduct of office staff meetings and briefings.

Many federal agencies have found it beneficial to periodically send out
security-related messages with each message concentrating on a specific
issue, such as reminders on how to identify and handle suspicious
packages. In some cases, posters may be used to reinforce such reminders
(e.g., the U.S. Postal Service poster on suspicious mail). While much
information can be distributed via e-mail, this may result in e-mail
"overload," which could have a negative effect. An alternative might be
desk-to-desk distribution of brightly colored fact sheets (using the
same color for all security-related material), along with the use of
in-house newsletters and publications. OSEP will periodically provide,
on the hud@work Intranet website, security information and reminders for
HUD staff members both in Headquarters and in the field. Regional and
Field Offices with similar internal web pages are encouraged to do the
same.

Office Security Coordinators should look for a variety of means to
foster security awareness throughout the office. For example, extracts
from the office's OEP and Physical Security Plan could be posted
prominently in the office's reception area, the employees' lounge/lunch
room, or in other areas where employees/visitors congregate. These
documents in their entirety might also be posted on the hud@work
Intranet website and/or a similar local intranet web page. For advice
and assistance concerning this matter, Office Security Coordinators
should contact the Physical Security Division, OSEP.

Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

# Appendix A - Security Standards for Leased Space

A.1 Leased Space Security Standards Overview

The standards established by the Department of Justice (DOJ) report,
*Vulnerability Assessment of Federal Facilities*, dated June 28, 1995
(reference 1.4a in Chapter 1) were intended to provide guidelines to be
followed for all federally occupied facilities. However, it became
apparent that these standards were not readily applicable to most leased
locations. Therefore, the Interagency Security Subcommittee (ISC),
created by Executive Order 12977, established a subcommittee to develop
a distinct set of standards specifically for leased facilities.

These standards are presented in the ISC Subcommittee Final Report,
*Security Standards for Leased Space*, dated May 16, 2003 (see reference
1.4h in Chapter 1).

Physical security standards for HUD facilities, in both leased and
Federal facilities, are provided in Chapters 2 and 3. This Appendix
provides information on administrative procedures and new construction
in leased space, because the procedures differ from those in Federal
facilities.

A.2 Leased Space Administrative and New Construction Security Standards
-- Level I or II Facility

Following are leased space administrative procedures and new
construction details concerning security standards for leased space in a
Level I or II federal facility

LEASED SPACE ADMINISTRATIVE PROCEDURES -- LEVELS I AND II

  ---------------- ------------------------------------------------------
  **Elements**     **Standards**

  **a. Occupant    Building managers and owners are required to cooperate
  Emergency Plans  with and participate in the development and
  (OEPs)**         implementation of government OEPs.

  **b. Background  Conduct background security checks and/or establish
  security         security control procedures for contract service
  checks**         personnel as deemed necessary.

  **c. Security    The government reserves the right, at its own expense
  upgrade          and with its own manpower, to temporarily upgrade
  provisions**     security during heightened alert conditions due to
                   emergency situations such as terrorist attacks,
                   natural disasters, and/or civil unrest. The measures
                   shall be in accordance with the latest version of the
                   HSAS.
  ---------------- ------------------------------------------------------

LEASED SPACE NEW CONSTRUCTION -- LEVELS I AND II

  ---------------- ------------------------------------------------------
  **Type of        **Blast/Setback Standards**
  Facility**       

  **A. Any Level I 20-foot setback, which is the distance from the face
  federal          of the building's exterior to the protected/defended
  facility**       perimeter (i.e., any potential point of explosion),
                   with appropriate window glazing**.** For this level,
                   there is no blast load standard, glazing performance
                   condition, nor facade protection level requirement.

  **B. Any Level   20-foot setback, which is the distance from the face
  II federal       of the building's exterior to the protected/defended
  facility**       perimeter (i.e., any potential point of explosion),
                   with appropriate window glazing. Glazing performance
                   should provide for a "high" protection level and "low"
                   hazard level (i.e., glazing cracks and fragments may
                   enter interior space and land on the floor not farther
                   than 10 feet from the window). Facade protection would
                   be "medium," which would result in moderate damage,
                   but repairable. Some casualties may occur and assets
                   may be damaged.
  ---------------- ------------------------------------------------------

**A.3 Leased Space Administrative and New Construction** **Security
Standards -- Level III Facility**

Following are leased space administrative procedures and new
construction details concerning security standards for leased space in a
Level III federal facility.

LEASED SPACE ADMINISTRATIVE PROCEDURES -- LEVEL III

  ---------------- ------------------------------------------------------
  **Elements**     **Standards**

  **a. Occupant    Building managers and owners are required to cooperate
  Emergency Plans  with and participate in the development and
  (OEPs)**         implementation of government OEPs.

  **b. Background  Conduct background security checks and/or establish
  security         security control procedures for contract service
  checks**         personnel as deemed necessary.

  **c. Security    The government reserves the right, at its own expense
  upgrade          and with its own manpower, to temporarily upgrade
  provisions**     security during heightened alert conditions due to
                   emergency situations such as terrorist attacks,
                   natural disasters, and/or civil unrest. The measures
                   shall be in accordance with the latest version of the
                   HSAS.
  ---------------- ------------------------------------------------------

LEASED SPACE NEW CONSTRUCTION -- LEVEL III

  ---------------- ------------------------------------------------------
  **Type of        **Blast/Setback Standards**
  Facility**       

  **Any Level III  20-foot setback, which is the distance from the face
  federal          of the building's exterior to the protected/defended
  facility**       perimeter (i.e., any potential point of explosion),
                   with appropriate window glazing. Glazing performance
                   should provide for a "high" protection level and "low"
                   hazard level, (i.e., glazing cracks and fragments may
                   enter interior space and land on the floor not farther
                   than 10 feet from the window). Facade protection would
                   be "medium," which would result in moderate damage,
                   but repairable. Some casualties may occur and assets
                   may be damaged.
  ---------------- ------------------------------------------------------

**A.4 Leased Space Administrative and New Construction** **Security
Standards -- Level IV Facility**

Following are leased space administrative procedures and new
construction details concerning security standards for leased space in a
Level IV federal facility.

LEASED SPACE ADMINISTRATIVE PROCEDURES -- LEVEL IV

  ---------------- ------------------------------------------------------
  **Elements**     **Standards**

  **a. Occupant    Building managers and owners are required to cooperate
  Emergency Plans  with and participate in the development and
  (OEPs)**         implementation of government OEPs.

  **b. Background  Conduct background security checks and/or establish
  security         security control procedures for contract service
  checks**         personnel as deemed necessary.

  **c. Security    The government reserves the right, at its own expense
  upgrade          and with its own manpower, to temporarily upgrade
  provisions**     security during heightened alert conditions due to
                   emergency situations such as terrorist attacks,
                   natural disasters, and/or civil unrest. The measures
                   shall be in accordance with the latest version of the
                   HSAS.
  ---------------- ------------------------------------------------------

LEASED SPACE NEW CONSTRUCTION -- LEVEL IV

  ---------------- ------------------------------------------------------
  **Type of        **Blast/Setback Standards**
  Facility**       

  **a. Non-law     50-foot setback, which is the distance from the face
  enforcement      of the building's exterior to the protected/defended
  agencies**       perimeter (i.e., any potential point of explosion),
                   with appropriate window glazing. Glazing performance
                   should provide for a "high" protection level and "low"
                   hazard level, (i.e., glazing cracks and fragments may
                   enter interior space and land on the floor not farther
                   than 10 feet from the window). Facade protection would
                   be "medium," which would result in moderate damage,
                   but repairable. Some casualties may occur and assets
                   may be damaged.

  **b. Child care  50-foot setback, which is the distance from the face
  facilities**     of the building's exterior to the protected/defended
                   perimeter (i.e., any potential point of explosion),
                   with appropriate window glazing. Glazing performance
                   should provide for a "very high" protection level and
                   hazard level of "none," (i.e., glazing is cracked but
                   is retained by the frame, and dusting or very small
                   fragments may occur near the window sill or on the
                   floor). Facade protection would be "higher," which
                   would result in minor damage, but repairable.
                   Occupants may incur some injury, and assets may
                   receive minor damage.

  **c. Law         100-foot setback, which is the distance from the face
  enforcement      of the building's exterior to the protected/defended
  agencies**       perimeter (i.e., any potential point of explosion),
                   with appropriate window glazing. Glazing performance
                   should provide for a "very high" protection level and
                   hazard level of "none," (i.e., glazing is cracked but
                   is retained by the frame, and dusting or very small
                   fragments may occur near the window sill or on the
                   floor). Facade protection would be "higher," which
                   would result in minor damage, but repairable.
                   Occupants may incur some injury, and assets may
                   receive minor damage.
  ---------------- ------------------------------------------------------

**A.5 Leased Space Security Standards -- Level V Facility**

HUD does not currently occupy leased space in any Level V facility.

Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

# Appendix B - HUD Office Physical Security Plan

The suggested organization and content of a HUD Office Physical Security
Plan are illustrated in Figure B-1. The overall objective of the Plan is
to **fully delineate the procedures to be followed and systems and
equipment employed** to ensure the safety and protection of the
personnel, information, equipment, and materials located in the office
and to preclude unauthorized access to the facility. Only those portions
of the outline in Figure B-1 that apply to a given facility should be
included in the Office Physical Security Plan.

Each Office Physical Security Plan will be tailored to the Federal
Security Level of the office, the minimum HUD security standards that
apply, the characteristics of the facility (i.e., either federal or
leased space), and the environment in which the office is located. A
brief description of the contents of the Plan is as follows:

### Part 1. Introduction

Delineate the purpose of the Plan, plus applicability and scope,
authorities, references, and security responsibilities of key officials
and other occupants of the office.

####### Part 2. Pertinent Information

### 2.1 Description of Facility

#### Describe all aspects of the facility that clearly portray the setting and environment in which the office is located, including other occupants of the building, proximity of parking areas, number and location of entrances/exits, etc.

######## 2.2 Description of Surrounding Area

Identify the nature of external activities that adjoin the boundaries of
the facility in each direction. Include any potential areas of concern
relative to the facility and its occupants.

######## 2.3 Proximity to Emergency Services

Identify and indicate the location and estimated response times of local
law enforcement, fire and rescue, hazardous materials (HAZMAT) response,
and emergency medical service facilities and organizations.

######## 2.4 Facility/Office Physical Security Organization

##### Describe the physical security organization of the office and the facility as a whole, including location of security force posts, duty hours, and emergency equipment available.

######## 2.5 Key Telephone Numbers

######### Provide a list of key telephone numbers, both internal and external. 

######### Part 3. Perimeter Security

Describe the measures taken to provide perimeter security, including
physical barriers, parking area access and controls, exterior lighting,
video surveillance, security control posts, shatter-resistant windows,
etc.

####### Part 4. Entry Security

Describe the procedures and equipment/systems employed to control and
monitor the entry of personnel, mail/packages, and other items into the
building in which the HUD office is located and into HUD office space
itself.

### Part 5. Interior Security

Describe the measures taken to provide interior security within the
building in which the HUD office is located and within HUD office space
itself, including controlling access to critical or sensitive areas,
designated mail/package handling areas and procedures, mandatory display
of ID badges/visitor passes, etc.

### Part 6. Coordinating Instructions

Describe the general policies and procedures in effect to ensure the
safeguarding and protection of all personnel, information, equipment,
and materials within the HUD office, including trash disposal
procedures, key/combination controls, communications/ computer systems
security, incident reporting, coordination with other local federal
agencies, and security training, education, and awareness for all
employees.

**Figure B-1. Outline of HUD Office Physical Security Plan**

+-----------------------------------------------------------------------+
| > **\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ OFFICE PHYSICAL SECURITY PLAN**    |
|                                                                       |
| **Part 1. Introduction**                                              |
|                                                                       |
| > **1.1 Purpose**                                                     |
| >                                                                     |
| > **1.2 Applicability**                                               |
| >                                                                     |
| > **1.3 Scope**                                                       |
| >                                                                     |
| > **1.4 Authorities**                                                 |
| >                                                                     |
| > **1.5 References**                                                  |
| >                                                                     |
| > **1.6 Security Responsibilities**                                   |
|                                                                       |
| **Part 2. Pertinent Information**                                     |
|                                                                       |
| > **2.1 Description of Facility**                                     |
| >                                                                     |
| > **2.1.1 General**                                                   |
| >                                                                     |
| > **a. Federal Security Level**                                       |
| >                                                                     |
| > **b. Leased or Federal**                                            |
| >                                                                     |
| > **c. Office Population**                                            |
| >                                                                     |
| > **d. HUD Office Space (square feet)**                               |
| >                                                                     |
| > **2.1.2 Building Occupants (other than HUD)**                       |
| >                                                                     |
| > **2.1.3 Parking Areas**                                             |
| >                                                                     |
| > **2.1.4 Entrances/Exits**                                           |
| >                                                                     |
| > **2.1.5 Elevators/Stairwells**                                      |
| >                                                                     |
| > **2.1.6 Alarm and Public Address Systems**                          |
| >                                                                     |
| > **2.1.7 Normal Duty Hours**                                         |
| >                                                                     |
| > **2.2 Description of Surrounding Area**                             |
| >                                                                     |
| > **2.2.1 Activities/Structures Immediately Adjacent to Facility**    |
| >                                                                     |
| > **2.2.2 Potential Areas of Concern**                                |
| >                                                                     |
| > **2.3 Proximity to Emergency Services**                             |
| >                                                                     |
| > **2.3.1 Law Enforcement**                                           |
| >                                                                     |
| > **2.3.2 Fire Department**                                           |
| >                                                                     |
| > **2.3.3 Hazardous Materials Response**                              |
| >                                                                     |
| > **2.3.4 Emergency Medical Services**                                |
+-----------------------------------------------------------------------+

**Figure B-1. Outline of HUD Office Physical Security Plan
*(continued)***

+-----------------------------------------------------------------------+
| **Part 2. Pertinent Information *(continued)***                       |
|                                                                       |
| > **2.4 Facility/Office Physical Security Organization**              |
| >                                                                     |
| > **2.4.1 Size and Composition of Security Force**                    |
| >                                                                     |
| > **2.4.2 Post Locations and Duty Hours**                             |
| >                                                                     |
| > **2.4.3 Equipment Available (e.g., radios, firearms, riot gear,     |
| > handcuffs, emergency medical equipment, etc.)**                     |
| >                                                                     |
| > **2.5 Key Telephone Numbers**                                       |
| >                                                                     |
| > **2.5.1 Internal**                                                  |
| >                                                                     |
| > **2.5.2 External**                                                  |
|                                                                       |
| **Part 3. Perimeter Security**                                        |
|                                                                       |
| > **3.1 General**                                                     |
| >                                                                     |
| > **3.2 Physical Barriers**                                           |
| >                                                                     |
| > **3.3 Parking Area Access and Controls**                            |
| >                                                                     |
| > **3.4 Exterior Lighting**                                           |
| >                                                                     |
| > **3.5 Signage**                                                     |
| >                                                                     |
| > **3.6 Closed Circuit Television (CCTV) Surveillance and             |
| > Monitoring**                                                        |
| >                                                                     |
| > **3.7 Perimeter Security Control Post(s)**                          |
| >                                                                     |
| > **3.8 Security Patrols**                                            |
| >                                                                     |
| > **3.9 Shatter-resistant Windows**                                   |
|                                                                       |
| **Part 4. Entry Security**                                            |
|                                                                       |
| > **4.1 General**                                                     |
| >                                                                     |
| > **4.2 Building Access Control and Monitoring**                      |
| >                                                                     |
| > **4.2.1 Main Entrance**                                             |
| >                                                                     |
| > **4.2.2 Other Entrances/Exits**                                     |
| >                                                                     |
| > **4.2.3 Shipping/Receiving Areas**                                  |
| >                                                                     |
| > **4.2.4 CCTV**                                                      |
| >                                                                     |
| > **4.2 5 After Hours Procedures**                                    |
| >                                                                     |
| > **4.3 HUD Office Space Access Control and Monitoring**              |
| >                                                                     |
| > **4.3.1 Entry Control**                                             |
| >                                                                     |
| > **4.3.2 Government Rules and Regulations**                          |
| >                                                                     |
| > **4.3.3 Mail and Package Handling**                                 |
| >                                                                     |
| > **4.3.4 Entry Area CCTV Surveillance**                              |
+-----------------------------------------------------------------------+

**Figure B-1. Outline of HUD Office Physical Security Plan
*(continued)***

+-----------------------------------------------------------------------+
| **Part 4. Entry Security *(continued)***                              |
|                                                                       |
| > **4.3.5 High Security Locks**                                       |
| >                                                                     |
| > **4.3.6 Unauthorized Entry Intrusion Detection System(s)**          |
|                                                                       |
| **Part 5. Interior Security**                                         |
|                                                                       |
| > **5.1 General**                                                     |
| >                                                                     |
| > **5.2 Building Interior Security**                                  |
| >                                                                     |
| > **5.2.1 Access to Utility Areas**                                   |
| >                                                                     |
| > **5.2.2 Heating, Ventilation, and Air Conditioning (HVAC)**         |
| >                                                                     |
| > **5.2.3 Emergency Back-up Power for Critical Systems**              |
| >                                                                     |
| > **5.2.4 Public Restroom Access and Security**                       |
| >                                                                     |
| > **5.3 HUD Office Space Interior Security**                          |
| >                                                                     |
| > **5.3.1 Reception Area**                                            |
| >                                                                     |
| > **a. Configuration**                                                |
| >                                                                     |
| > **b. Duress Alarm**                                                 |
| >                                                                     |
| > **5.3.2 Employee ID Display and Control**                           |
| >                                                                     |
| > **5.3.3 Visitor ID/Pass Display and Control**                       |
| >                                                                     |
| > **5.3.4 Mail and Package Handling Procedures**                      |
| >                                                                     |
| > **5.3.5 Shipping/Receiving Area(s)**                                |
| >                                                                     |
| > **5.3.6 Access to Sensitive or Controlled Access Area(s)**          |
| >                                                                     |
| > **5.3.7 Internal Intrusion Detection System(s)**                    |
|                                                                       |
| **Part 6. Coordinating Instructions**                                 |
|                                                                       |
| > **6.1 Administrative Policies/Procedures**                          |
| >                                                                     |
| > **6.1.1 Information Security**                                      |
| >                                                                     |
| > **6.1.2 Trash Disposal**                                            |
| >                                                                     |
| > **6.1.3 Authorized Personnel Access List**                          |
| >                                                                     |
| > **6.1.4 Keys/Key Cards/Combination Controls**                       |
| >                                                                     |
| > **6.1.5 Security Provisions in Lease Agreements**                   |
| >                                                                     |
| > **6.1.6 Building Security Committee**                               |
| >                                                                     |
| > **6.2 Communications /Computer Systems Security**                   |
| >                                                                     |
| > **6.3 Background Security Checks of Maintenance/Custodial           |
| > Personnel**                                                         |
+-----------------------------------------------------------------------+

**Figure B-1. Outline of HUD Office Physical Security Plan
*(continued)***

+-----------------------------------------------------------------------+
| **Part 6. Coordinating Instructions *(continued)***                   |
|                                                                       |
| > **6.4 Contingency Readiness and Reporting**                         |
| >                                                                     |
| > **6.4.1 Malfunctioning Systems or Equipment**                       |
| >                                                                     |
| > **6.4.2 Incident Reporting**                                        |
| >                                                                     |
| > **6.4 3 Threat Monitoring**                                         |
| >                                                                     |
| > **6.5 Security Measures---Occupant Emergency Plan (OEP)**           |
| >                                                                     |
| > **6.6 Coordination with Other Local Federal Agencies**              |
| >                                                                     |
| > **6.7 Security Training, Education, and Awareness**                 |
+-----------------------------------------------------------------------+

Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

# Appendix C - Occupant Emergency Program

**C.1 General**

An **Occupant Emergency Program** that establishes procedures for
safeguarding lives and property in and around a facility during an
emergency is mandatory for all HUD field activities. The emergency may
include: a fire; explosion; discovery of an explosive device; actual or
potential exposure to hazardous substances; severe weather; a natural
disaster, such as a hurricane or earthquake; chemical, biological, or
radiological threat or exposure; hostage takeover; or physical threat to
the building, occupants, or visitors.

An effective Occupant Emergency Program for HUD field activities will
include the following essential elements:

-   Assignment and delineation of **emergency responsibilities** to
    individuals who have been designated to undertake certain
    responsibilities and perform specific tasks in response to an
    incident or event that threatens a facility and/or its occupants.
    This will be achieved by establishment of an **Occupant Emergency
    Organization (OEO)**, which is described in Section C.2 below;

-   Provision to all occupants of specific **information about the
    building's construction and layout**, as well as identification of
    all tenants in the building. This can be accomplished through a
    "Building Information Sheet" and "Occupant Information Sheet." Floor
    plans, entrances/exits, and evacuation routes should be clearly
    marked. This information should be included in the **Occupant
    Emergency Plan** **(OEP)** (see Section C.3 below) for the facility;

-   A listing of key **emergency telephone numbers** that is available
    to every occupant in the building. One way to ensure that everyone
    has and keeps a copy is to publish the list in the local federal
    telephone directory, preferably on the inside of the front cover or
    on the first page. Also, the listing can be posted on the Intranet
    (HUD@work) site for the HUD office employees. The list should also
    be published in the **OEP**;

-   Designation of an **Emergency Command Center (ECC)**, which will be
    activated to provide direction and control of emergency response
    personnel and activities. The ECC should be centrally located and
    easily accessible, with sufficient communications, including, if
    possible, portable radios and pagers, to enable timely contact with
    all concerned in response to the emergency. Messengers should be
    available to augment communications systems. Planning should provide
    for an alternate ECC in the event that the main one is incapacitated
    or otherwise unavailable;

-   Delineation of **response procedures for different types of
    emergencies** that may typically be encountered in or in the
    vicinity of the facility. Such emergency situations may include a
    fire, power outage, exposure or potential exposure to hazardous
    substances, presence of a suspicious object or explosive device, a
    medical emergency, etc. For each of these situations, it is
    desirable that a checklist be prepared that delineates proper
    response procedures such as: immediate action(s) to be taken; alarm
    activation, if applicable; reporting and notification requirements;
    key telephone numbers; and location of emergency response personnel
    or expertise (e.g., HAZMAT teams); and

-   Assignment of duties and responsibilities to designated individuals
    for assisting mobility-impaired persons or persons with disabilities
    during building evacuations or

> shelter-in-place procedures in connection with drills, exercises, or
> actual emergencies. Recommended support equipment and systems for all
> Regional and Field Offices include:

-   Telecommunications Devices for the Deaf (TDD);

-   Strobe lights;

-   Emergency evacuation chairs; and

-   Notification protocol via a "Direct Alert" message to all employee
    computers.

**C.2 Occupant Emergency Organization (OEO)**

An **OEO** is a group of employees assigned to undertake certain
responsibilities and perform specific tasks in preparation for and
response to an emergency that threatens a facility and/or its occupants.
The OEO operates under the direction of an individual identified as the
**Designated Official (DO)**. The DO is the highest-ranking federal
official in the facility, or another person agreed on by all tenant
agencies.

The OEO generally consists of an **Emergency Command Center Team
(ECCT)**, **Floor Teams**, and a **Damage Control Team**. Guidelines for
setting up the organization include:

-   The organization should be limited in size, with only the number of
    positions required to deal with the emergencies anticipated and
    clearly defined duties for each position. It is important to have
    enough help in any emergency, but too many people could get in the
    way and inhibit rapid, efficient response;

-   To the extent possible, the organization should consist of and use
    the existing hierarchy of the occupant agencies. Ideally, the same
    officials who run the agencies on a day-to-day basis should assume
    leadership positions during an emergency; and

-   Emergency organization members should be identified by position, not
    by name. This will allow for continuity since someone normally is
    designated to fill a position when the incumbent is absent. Thus,
    the acting official will assume the incumbent's role when an
    emergency occurs.

> **C.2.1 Emergency Command Center Team (ECCT)**
>
> The ECCT will prepare, plan for and direct all emergency operations
> from the centrally located ECC. In a large facility, composition of
> the ECCT will include: the Designated Official (DO), an Occupant
> Emergency Coordinator (OEC), a Floor Team Coordinator (FTC), a Damage
> Control Team Coordinator (DCTC), a Medical Coordinator, an
> Administrative Officer, and Technical Advisors. In a small facility,
> some positions, such as an FTC, Medical Coordinator, and
> Administrative Officer, may not be needed, or one person could perform
> several functions.
>
> Special consideration should be given to timely notification of ECCT
> members of an emergency and rapid deployment of Team members from
> their workstations to the ECC.
>
> A description of the duties and responsibilities of individual ECCT
> members is shown in Figure C-1.
>
> **Figure C-1. Duties and Responsibilities of Emergency Command Center
> Team (ECCT)** Members

+-----------------------------------------------------------------------+
| **Designated Official (DO)**                                          |
|                                                                       |
| -   Coordinates with all tenants and develops an OEP.                 |
|                                                                       |
| -   Selects and trains OEO members.                                   |
|                                                                       |
| -   Ensures that appropriate procedures are followed during           |
|     emergencies.                                                      |
|                                                                       |
| -   Identifies and establishes working relationships with federal,    |
|     state, and local agencies that might respond to an emergency in   |
|     the facility.                                                     |
|                                                                       |
| -   Initiates activities to prepare occupants for emergencies and     |
|     inform them of response procedures.                               |
|                                                                       |
| **Occupant Emergency Coordinator (OEC)**                              |
|                                                                       |
| -   Acts for the DO during absences.                                  |
|                                                                       |
| -   Performs delegated duties of the DO.                              |
|                                                                       |
| -   Serves as liaison between the DO and other members of the ECCT.   |
|                                                                       |
| **Floor Team Coordinator (FTC)**                                      |
|                                                                       |
| -   Coordinates the planning of occupant movement between floors      |
|     during an emergency.                                              |
|                                                                       |
| -   Coordinates floor, wing, stairwell, elevator, and other monitor   |
|     activities within the facility.                                   |
|                                                                       |
| **Damage Control Team Coordinator (DCTC)**                            |
|                                                                       |
| -   Identifies and monitors the operation and condition of utilities, |
|     alarm systems, communications equipment, and other pertinent      |
|     systems and equipment in the facility.                            |
|                                                                       |
| -   Makes recommendations on the use of available equipment and       |
|     systems during an emergency.                                      |
|                                                                       |
| -   Maintains emergency call list for malfunction of utilities and    |
|     presence of hazardous substances.                                 |
|                                                                       |
| -   Directs Damage Control Team activities.                           |
|                                                                       |
| **Medical Coordinator (MC)**                                          |
|                                                                       |
| -   Identifies and maintains a list of available medical emergency    |
|     services.                                                         |
|                                                                       |
| -   Maintains first aid equipment.                                    |
|                                                                       |
| -   Arranges for cardiopulmonary resuscitation (CPR), first aid, and  |
|     other paramedical training.                                       |
|                                                                       |
| -   Maintains a list of personnel with CPR, first aid, and            |
|     paramedical training within the facility.                         |
|                                                                       |
| **Administrative Officer (AO)**                                       |
|                                                                       |
| -   Provides required administrative services (phones, faxes, radios, |
|     pagers, etc.) and prepares reports.                               |
|                                                                       |
| -   Prepares and maintains OEO records and updates them monthly.      |
|                                                                       |
| **Technical Advisors**                                                |
|                                                                       |
| > **Building Manager (BM)**                                           |
|                                                                       |
| -   Maintains and provides to the DO, OEC, and DCTC information about |
|     the building and the operation of its mechanical systems.         |
|                                                                       |
| > **Physical Security Specialist (PSS)**                              |
|                                                                       |
| -   Provides advice on building security and law enforcement matters. |
|                                                                       |
| -   Serves as liaison with federal and local law enforcement          |
|     agencies.                                                         |
|                                                                       |
| **Other Tenants**                                                     |
|                                                                       |
| > Maintain liaison with the DO; provide information, advice, and/or   |
| > assistance, as appropriate, concerning unique emergency response    |
| > capabilities or requirements.                                       |
+-----------------------------------------------------------------------+

> **C.2.2 Floor Teams (FTs)**
>
> Emergency response actions in accordance with the local OEP are, for
> the most part, carried out by Floor Teams (FTs) assigned to (and in
> between) each floor of a facility. A typical FT in a large facility
> would include: a Floor Monitor (FM); Wing or Area Monitors (one for
> each major area on a floor); Stairwell Monitors; Elevator Monitors;
> Monitors for Persons with Disabilities; and Exit Monitors (at street
> and ground level). All monitors will work with and cooperate with each
> other, particularly in the evacuation of persons with disabilities.
> (Small or single-story facilities will probably not need separate
> persons for all of these monitoring functions. In this case, duties
> and responsibilities will be combined and apportioned out to a smaller
> number of Floor Team members.)
>
> Duties and responsibilities of Floor Team members are described in
> Figure C-2.
>
> **Figure C**-2. Duties and Responsibilities of Floor Team Members

+-----------------------------------------------------------------------+
| **Floor Monitors (FMs)**                                              |
|                                                                       |
| -   Maintain communication with the FTC during an emergency; provide  |
|     progress reports on evacuation or shelter-in-place activities;    |
|     for evacuation, notify the FTC when a floor is completely         |
|     cleared.                                                          |
|                                                                       |
| -   Designate exact boundaries of floor areas and assign              |
|     responsibility for these areas.                                   |
|                                                                       |
| -   Coordinate necessary changes in floor organization with the FTC   |
|     and OEC.                                                          |
|                                                                       |
| -   Ensure that evacuation routes are known to occupants and are      |
|     clearly identified and posted on bulletin boards, corridor        |
|     intersections, and office exits.                                  |
|                                                                       |
| **Wing or Area Monitors**                                             |
|                                                                       |
| -   Notify the FM when an area has been completely cleared, or when   |
|     shelter-in-place actions have been completed.                     |
|                                                                       |
| -   Ensure that evacuation routes are made known to occupants and are |
|     clearly identified.                                               |
|                                                                       |
| -   During drills and emergencies, direct the orderly flow of persons |
|     along prescribed evacuation routes or shelter-in-place routes, as |
|     applicable.                                                       |
|                                                                       |
| -   When required, ensure the complete evacuation of the wing or      |
|     area.                                                             |
|                                                                       |
| -   During fire evacuations, ensure that windows and doors are left   |
|     closed, lights are on, and electrical appliances are off.         |
|                                                                       |
| -   During bomb threat evacuations, leave windows and doors open and  |
|     lights on.                                                        |
|                                                                       |
| -   Supervise Stairwell Monitors and Monitors for Persons with        |
|     Disabilities.                                                     |
|                                                                       |
| -   Maintain and provide to the FM a current list of persons with     |
|     disabilities (including name, telephone number, room number, and  |
|     type of disability).                                              |
|                                                                       |
| -   Assign Monitors for persons with disabilities, one per disabled   |
|     person.                                                           |
|                                                                       |
| **Stairwell Monitors**                                                |
|                                                                       |
| -   If evacuation is required because of a bomb threat, search        |
|     assigned stairwell; and report findings to the Wing or Area       |
|     Monitor.                                                          |
|                                                                       |
| -   Control movement of personnel in assigned stairwell, keeping them |
|     in a single file and moving steadily at a walking pace; instruct  |
|     personnel to grasp handrails.                                     |
|                                                                       |
| -   Keep door to the stairwell open until the wing or area is clear.  |
|                                                                       |
| -   Restrict and monitor use of assigned stairwell (and escalator, if |
|     present), as necessary.                                           |
|                                                                       |
| -   Know the locations and telephone numbers of persons with          |
|     disabilities who will require assistance, types of disabilities,  |
|     and location of crutches, wheelchairs, and other support devices. |
|                                                                       |
| -   Know the location and telephone number of the Monitor for Persons |
|     with Disabilities who has been assigned to each disabled person.  |
|                                                                       |
| -   With the designated Monitors for Persons with Disabilities,       |
|     assist disabled persons in evacuating the building using the      |
|     assigned stairwell.                                               |
|                                                                       |
| **Elevator Monitors**                                                 |
|                                                                       |
| -   Be familiar with the provisions of GSA bulletins covering         |
|     emergency plans for using elevators to evacuate persons with      |
|     disabilities.                                                     |
|                                                                       |
| -   Be familiar with the manual operation of elevators.               |
|                                                                       |
| -   Take charge of the use of assigned elevator(s), and permit use    |
|     only as directed by the FM.                                       |
|                                                                       |
| -   During fire evacuation, direct personnel attempting to use the    |
|     assigned elevator(s) to the appropriate stairwell; relinquish     |
|     control of the elevator(s) to firefighting personnel when they    |
|     arrive.                                                           |
|                                                                       |
| -   If emergency response personnel are arriving by elevator, meet    |
|     them and direct them to the scene of the emergency.               |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   Know the location and telephone number of the Monitor for Persons |
|     with Disabilities who has been assigned to each disabled person.  |
|                                                                       |
| -   With the designated Monitors for Persons with Disabilities,       |
|     assist disabled persons in evacuating the building by elevator,   |
|     [if the elevator has been approved for use]{.underline}.          |
+-----------------------------------------------------------------------+
|                                                                       |
+-----------------------------------------------------------------------+
| > **Figure C-2. Duties and Responsibilities of Floor Team Members     |
| > *(continued)***                                                     |
+-----------------------------------------------------------------------+
| > **Elevator Monitors *(continued)***                                 |
|                                                                       |
| -   If the elevator cannot be used for evacuation help the Monitor    |
|     for Persons with Disabilities assist his/her assigned disabled    |
|     person to the vicinity of the nearest safe stairwell.             |
|                                                                       |
| **Monitors for Persons with Disabilities**                            |
|                                                                       |
| -   Know the location and telephone number of the disabled person to  |
|     whom assigned, type of disability, and location of crutches,      |
|     wheelchairs, and other support devices.                           |
|                                                                       |
| -   With the designated Stairwell or Elevator Monitor, assist the     |
|     disabled person in evacuating the building using either the       |
|     assigned stairwell or elevator.                                   |
|                                                                       |
| **Exit Monitors**                                                     |
|                                                                       |
| -   Ensure that exits are open and free of hindrances.                |
|                                                                       |
| -   Deny unauthorized access to the building.                         |
|                                                                       |
| -   Direct orderly movement of evacuating personnel to designated     |
|     safe areas.                                                       |
|                                                                       |
| -   Assist in the evacuation of persons with disabilities, as         |
|     necessary.                                                        |
+-----------------------------------------------------------------------+

> **C.2.3 Damage Control Team**
>
> The Damage Control Team consists of the Building Manager and other
> people familiar with the facility's construction, equipment, and
> operating systems. Team members will report to and carry out emergency
> functions under the direction of the DCTC. Generally, their job is to
> control dangerous conditions until further help arrives and to assess
> potential and real danger. This involves preparing and planning for
> dangerous conditions, especially those most likely and/or most
> harmful. This may include duties such as:

-   Ensuring that the appropriate response organization(s) (e.g., fire
    and rescue, law enforcement, medical, hazardous materials) has been
    notified;

-   Assisting emergency response personnel;

-   Disconnecting utilities or equipment;

-   Conducting a bomb search;

-   Performing initial rescue and first aid;

-   Making emergency repairs; and

-   Protecting records and equipment, and removing or isolating
    hazardous substances.

> **C.2.4 EO Special Considerations**
>
> Establishment of an effective OEO must take into consideration
> designation of an alternate DO, timely and responsive communications,
> and actions concerning child care centers if present.
>
> **C.2.4.1 Alternate DO**
>
> In the absence of the designated DO, it is imperative that someone be
> in charge of the ECCT in the event of an emergency. Thus, an alternate
> DO must be identified -- this may be more than one senior official who
> should be prepared to assume the duties of the DO should he/she be
> absent or unavailable.
>
> A special case may be an emergency that occurs at night, over the
> weekend, or on a holiday. For this situation, the senior federal
> official present or most readily available should act as the DO and
> initiate appropriate response actions. Considerations include
> coordination with on-site Federal Protective Service personnel, if
> applicable, or contract security officers and after-hours maintenance
> personnel.
>
> **C.2.4.2 Communications**
>
> Of high priority concern to members of the OEO are the primary and
> alternate means of communication that will be used to:

-   Activate the ECCT;

-   Inform building occupants of the nature of the emergency and what
    actions to take; and

-   Coordinate response activities during the emergency.

> All occupants must know the location of fire alarm boxes and how and
> when to use the alarm in the event of a fire. Occupants should also
> know whom they should notify after turning in an alarm so that the ECC
> can be activated. For other emergencies, telephones, public address
> systems, and/or messengers should be employed to notify and contact
> members of the OEO and other building occupants.
>
> If telephones are to be used, the AO should act as "communications
> coordinator," or appoint someone else to do so, so that all members of
> the OEO and other occupants may be contacted in a timely manner. For
> this eventuality, the AO should prepare in advance, and keep current,
> a comprehensive list of key telephone numbers.
>
> Some multilevel buildings may have emergency telephone systems (e.g.,
> "red" telephones) for coordinating emergency response activities. In
> their absence, however, OEO members should be prepared to rely on the
> normal telephone system, public address system, and/or messengers.
>
> **C.2.4.3 Child Care Centers**
>
> If a child care center is collocated in a facility where a HUD office
> is located, the DO and Physical Security Specialist should work with
> the director of the child care center to develop and display emergency
> response procedures. Staff personnel assigned to the child care center
> should know whom to contact in the event of a medical emergency, how
> the center will be notified of a fire or other hazard that may require
> evacuation, the location of fire alarm boxes and fire extinguishers,
> primary and secondary evacuation routes, and the location of safe
> areas.
>
> Child care center staff management and personnel should be encouraged
> to develop a system for accountability of all children and staff in
> the center at all times and to conduct practice evacuation and
> shelter-in-place drills so that children will not be unprepared or
> unduly alarmed should a real emergency occur.

**C.3 Occupant Emergency Plan (OEP)**

An **OEP** is a set of procedures designed to protect life and property
in federally-occupied space under emergency conditions. The primary
objectives of an OEP are to:

-   Minimize the impact of emergencies upon the safety and well-being of
    personnel;

-   Protect government assets against loss or damage;

-   Provide for the timely, orderly, and safe evacuation of the
    building; and

-   Provide instructions for shelter-in-place situations.

The OEP will be published as an attachment to a directive entitled
"Occupant Emergency Plan for (Name of Facility)" addressed and
distributed to all tenant agencies in the facility in which the HUD
office is located. Affixed to the directive will be a Responsible
Officials' Sign-Off Sheet that contains the date and signature of the:

-   Designated Official who heads the OEO for the facility;

-   Building Manager;

-   Senior Ranking Official of each of the tenant agencies located in
    the facility; and

-   Designated Occupant Emergency Coordinator for the facility.

The heading of the sign-off sheet will contain a paragraph reading:

> "By their signatures below, the following officials certify that they
> have participated in the development of the attached Occupant
> Emergency Plan and fully understand the procedures to be followed in
> an emergency affecting the facility and employees for which they are
> responsible."

A suggested outline of an OEP is shown in Figure C-3.

Following is a description of the contents of each of the major portions
of the HUD office OEP shown in Figure C-3.

1.  **Introduction.** This section of the OEP will clearly state its
    purpose and its applicability and scope (i.e., a description of the
    facility(ies) and agency(ies) to which it applies).

2.  **Preparatory Actions.** This section of the OEP will summarize
    general information concerning the actions taken prior to an
    emergency to ensure that all concerned understand key elements of
    OEP implementation and are prepared to fulfill their respective
    responsibilities.

> **2.1 Occupant Emergency Organization (OEO).** This section of the OEP
> summarizes the organization, composition, and responsibilities of the
> OEO (as described in Section F.2 above) established to deal with
> various emergency situations that may threaten or have an adverse
> impact on the facility and/or its occupants. This should include the
> location of the ECC.

2.  **Availability of OEP to all concerned.** The provisions of the OEP
    should be publicized and made available to all building occupants.
    In this regard, the OEP should be augmented by prominently-displayed
    visual aids (e.g., placards, signs, etc.) designed to assist
    occupants in dealing with emergencies within the facility. Ideally,
    an electronic version of the OEP should be available on each
    computer located at workstations throughout the facility.

3.  **Local emergency response agencies.** The OEP should identify and
    how to contact local emergency response agencies, such as law
    enforcement, fire and rescue, emergency medical services, and
    hazardous materials (HAZMAT) response teams (if separate from the
    local fire department). Prior coordination should be made with such
    agencies to ensure that up-to-date and accurate phone numbers and
    realistic response times are reflected in the OEP.

4.  **Training and drills.** The OEP should describe the types of
    training events and drills to be conducted to ensure the
    understanding of all concerned of their responsibilities in
    emergency situations. Local emergency response agencies should be
    included in the training and drills to the extent feasible. Further,
    the OEP should stipulate that participation by all building
    occupants in such events is mandatory.

Figure C-3. Outline -- HUD Office Occupant Emergency Plan (OEP)

+-----------------------------------------------------------------------+
| > 1.0 Introduction.                                                   |
| >                                                                     |
| > Purpose, applicability, and scope                                   |
| >                                                                     |
| > 2.0 Preparatory Actions                                             |
| >                                                                     |
| > Occupant Emergency Organization (OEO)                               |
| >                                                                     |
| > Availability of OEP to all concerned                                |
| >                                                                     |
| > Local emergency response agencies                                   |
| >                                                                     |
| > Training and drills                                                 |
| >                                                                     |
| > 3.0 Building Information                                            |
| >                                                                     |
| > Layout and configuration Sprinkler system                           |
| >                                                                     |
| > Floor plans Emergency lighting                                      |
| >                                                                     |
| > Equipment Elevators                                                 |
| >                                                                     |
| > Utilities Stairwells                                                |
| >                                                                     |
| > Systems Entrances/exits/evacuation    routes                        |
| >                                                                     |
| > Alarms Public address system                                        |
| >                                                                     |
| > 4.0 Emergency Telephone Numbers                                     |
| >                                                                     |
| > 5.0 Emergency Response Actions                                      |
| >                                                                     |
| > Bomb threat Fire Suspicious package                                 |
| >                                                                     |
| > Power outage Severe weather Medical emergency                       |
| >                                                                     |
| > Workplace violence Civil disturbance Other                          |
| >                                                                     |
| > 6.0 Emergency Evacuation Procedures                                 |
| >                                                                     |
| > Before evacuation                                                   |
| >                                                                     |
| > During evacuation                                                   |
| >                                                                     |
| > Evacuation assembly area(s)                                         |
| >                                                                     |
| > 7.0 Shelter-in-Place                                                |
| >                                                                     |
| > Shelter-in-place scenarios                                          |
| >                                                                     |
| > Shelter-in-place guidelines                                         |
| >                                                                     |
| > Shelter-in-place caveat                                             |
| >                                                                     |
| > Appendix A. Emergency Response Checklists                           |
| >                                                                     |
| > Appendix B. Evacuation Routes                                       |
| >                                                                     |
| > Appendix C. Evacuation Assembly Area(s)                             |
| >                                                                     |
| > Appendix D. Recommended Personal Emergency Kit                      |
+-----------------------------------------------------------------------+

3.  **Building Information.** The OEP should describe the layout and
    configuration of the building, including installed equipment,
    utilities, and systems. Floor plans and evacuation routes should be
    clearly marked. Specific information to be presented includes:

> **Alarms.** Types of alarms and how activated;
>
> **Sprinkler system.** Location(s) and how activated;
>
> **Emergency lighting.** Location(s) and how activated;
>
> **Back-up power.** Location(s) and how activated;
>
> **Elevators.** Location(s) and restrictions on use, if any, during
> specific types of emergencies;
>
> **Stairwells.** Location(s) and restrictions on use, if any, during
> specific types of emergencies;
>
> **Entrances/exits.** Location(s) and restrictions on use, if any,
> during specific types of emergencies; and
>
> **Public address system.** Who operates it, and when and how
> messages/information is injected.

4.  **Emergency Telephone Numbers.** The OEP should include a listing of
    both internal and external telephone numbers to be used to:

-   notify designated officials and/or key personnel of a specific type
    of emergency; and

-   request specific assistance or support (e.g., fire department, law
    enforcement, medical/ambulance, etc).

> Where applicable, the listing should indicate numbers to be used
> during normal duty hours and those that should be used after hours.

5.  **Emergency Response Actions.** The OEP should identify specific
    types of emergencies (such as those listed in Figure C-3) that could
    occur in a federal facility and would require rapid, coordinated
    response. Detailed checklists for each type of emergency should be
    provided in Appendix A of the OEP (including who does what). General
    response actions and/or applicable services, equipment, or systems
    that are germane for each type of emergency are described below.

> **5.1 Bomb threat.**

a.  Record time of receipt and exact wording of threat and (by separate
    phone, if required) report the threat to facility security force,
    chain of command, and 911.

b.  Conduct inspection of facility.

c.  Restrict access to facility.

d.  Evacuation, as determined to be necessary.

e.  Liaison with local law enforcement/fire department.

> **5.2 Fire.**

a.  Report to chain of command and local fire department.

b.  Activation and use of fire alarm system.

c.  Location and use of fire extinguishers.

d.  Local fire suppression system controls (e.g., sprinkler system).

e.  Evacuation, as determined to be necessary.

f.  Liaison with local fire department.

> **5.3 Suspicious package.**

a.  Upon initial sighting, report to chain of command.

b.  Public announcement to avoid designated area.

c.  Cordon off and restrict access to designated area.

d.  Evacuation, as determined to be necessary.

e.  Liaison with local fire department/HAZMAT team.

> **5.4 Power outage.**

a.  Automatic activation of uninterruptible power supply (UPS) for
    automated information systems and networks, if available.

b.  Within allotted time, turn off computers and shut down networks to
    salvage data.

c.  Activate emergency lighting and/or back-up power, as appropriate.

d.  Report to chain of command.

e.  If back-up power is not available, depending on the heating,
    ventilation, and air conditioning (HVAC) environment, consider
    evacuation, as appropriate.

f.  Liaison with local power company regarding the restoration of power.

> **5.5 Severe weather.**

a.  Differentiate between prior-warning and no-warning scenarios.

b.  Report to chain of command (may occur after public announcement in
    no-warning scenarios).

c.  Public announcement that occupants should avoid windows, doorways,
    and outer walls.

d.  Monitor local radio stations and TV weather channel.

e.  Employees and visitors should move to pre-designated areas of the
    building that offer the greatest protection (i.e., inner office
    spaces, and hallways and stairwells on the first floor).

f.  Consider evacuation to a hardened shelter, if available.

g.  Be prepared for power outage.

> **5.6 Medical emergency.**

a.  Dispatch local trained first aid provider(s) to the scene.

    b.  Administer first aid/CPR.

    c.  Contact nearest emergency medical/health unit.

    d.  Notify chain of command.

    e.  Meet and brief responding medical unit.

    f.  Arrange for ambulance and medical evacuation to health care
        facility, as necessary.

> **5.7 Workplace violence.**

a.  May be caused by various circumstances, such as a disgruntled
    employee, jilted partner, or unhappy customer. Individual
    precautions include:

-   Staying out of the way;

-   Locking yourself in your office if you hear a commotion and/or gun
    shots and immediately calling 911 for law enforcement assistance;

-   Staying away from windows and doors; and

-   Waiting for an "all-clear" announcement before leaving your office.

    b.  Permit the senior official present or member of the ECCT to deal
        with the situation, in accordance with local standard operating
        procedures.

> **5.8 Civil disturbance.**

a.  Public announcement that occupants should remain within the building
    and avoid windows, doorways, and outer walls.

b.  Notification to chain of command, facility security force and local
    law enforcement.

c.  Remain in place until "all clear" announcement.

> **5.9 Other.**
>
> The location of the HUD office or local conditions may require that
> response actions for other emergencies (e.g., a hurricane, earthquake,
> etc.) also be stipulated in the OEP. A determination concerning the
> inclusion of information concerning the proper response to other
> emergencies of local concern should be made on a case-by-case basis.

6.  **Emergency Evacuation Procedures.**

    1.  **Before evacuation.**

> Preparations should be made to ensure that each occupant knows exactly
> what to do once an evacuation order is given. Information that should
> be prominently posted on each floor includes:

-   By what means and by whom an order to evacuate the building is
    given;

-   The location of and route(s) to the nearest exit for designated
    areas;

-   Designated stairwells and/or elevators to be used;

-   A reminder to all occupants to keep their individual ID badges on
    their person at all times; and

-   Identification, location, and phone numbers of Floor Team members
    (see duties and responsibilities in Figure C-2 above).

> Of particular importance is ensuring that Monitors for Persons with
> Disabilities and assigned disabled persons have gotten together in
> advance and understand the procedures to be followed in evacuating the
> building.

1.  **During evacuation.**

> The OEP should include instructions to:

-   Promptly respond to evacuation alarm/announcement;

-   Remain calm;

-   Vacate the building immediately, following the instructions of Floor
    Monitors, Wing or Area Monitors, Stairwell Monitors, Elevator
    Monitors, Security Officers, and other emergency response personnel;

-   Be aware of and assist persons who may need help in evacuating the
    building;

-   Ensure that evacuation of childcare center, if present, is carried
    out in a timely and orderly manner;

-   Ensure accountability for and participation by all contractor
    personnel and visitors to the office in the evacuation process;

-   Ensure proper use of stairwells and elevators (generally, stairs
    will be used by able-bodied personnel and elevators will be used by
    individuals with disabilities); and

-   Once outside of the building, occupants should proceed directly to a
    designated evacuation assembly area. There may be more than one
    evacuation assembly area depending on the nature of the emergency or
    local situation.

    1.  **Evacuation assembly area(s).**

> The OEP should include the guidelines to:

-   Designate the evacuation assembly area(s) and establish procedures
    to account for all personnel, in advance of need.

-   Follow established procedures to account for all personnel,
    including contractors and visitors, who are in the designated
    evacuation assembly area(s) to ensure that the building has been
    completely evacuated; and

-   Keep all personnel in the evacuation assembly area until the
    Designated Official, Floor Monitor, or other ECCT staff person has
    given an "all clear."

7.  **Shelter-in-Place.**

> Based on the nature of the threat, it may be safer in some instances
> for occupants to remain in the building rather than evacuate (i.e., to
> employ shelter-in-place).
>
> **7.1 Shelter-in-Place scenarios.**
>
> Provisions should be made in the OEP for shelter-in-place as a
> protective action to minimize the chance of injury when an emergency
> situation such as one of the following occurs outside the building:

-   Severe weather (high winds, tornado, hailstorm, etc.);

-   Civil disturbance;

-   Accidental chemical release due to an industrial/vehicle accident;
    and/or

-   Chemical, biological, or radiological (CBR) event.

    2.  **Shelter-in-Place guidelines.**

> The duration of shelter-in-place can be as short as 15 minutes or in
> excess of 12 hours, depending on the situation. Shelter-in-place
> guidelines include:

-   Employees should remain in their shelter-in-place location as
    designated in the OEP until information concerning the hazard or
    danger has been assessed and ECCT personnel have determined that it
    is safe for employees to exit the building;

-   Occupants with workstations located next to a window should move to
    an inner corridor or office;

-   Depending on the exterior hazard, building exterior entrances/exits
    may be secured and sealed, and HVAC air handlers and dampers shut
    down; and

-   Public address announcements, or other means, will be used to
    periodically apprise occupants of the emergency situation and when
    it is safe to leave the building.

-   Shelter-in-place drills should be conducted at least annually.

-   Additional information on shelter-in-place guidelines can be found
    on the Centers for Disease Control website at
    http://www.cdc.gov/niosh/topics/prepared/.

> **7.3 Shelter-in-Place caveat.**
>
> The OEP should indicate that shelter-in-place is a voluntary action,
> unless mandated otherwise by law enforcement or public health
> officials. Personnel who ask to leave the building before it has been
> determined to be safe to do so should be directed to the ECC where
> they will be informed of any civil restrictions. If no restrictions
> are in place, such personnel will be permitted to leave and escorted
> to a designated exit point. However, any persons leaving the building
> under such circumstances should be apprised of their individual
> responsibilities for any adverse effects resulting from their so
> doing.

**Appendices.**

Following is a brief description of the information to be provided in
each of the Appendices to the OEP.

**Appendix A. Emergency Response Checklists**

For each of the emergency situations identified, Appendix A of the OEP
should provide a detailed checklist that delineates actions to be taken
by members of the ECCT and building occupants. The checklists should be
used in planning and preparing for emergencies, and in drills and
training exercises. An example of the information to be presented in
such a checklist, in this case for a fire emergency, is shown in Figure
C-4.

> **Figure C**-4. Emergency Response Checklist -- Fire

+-----------------------------------------------------------------------+
| **Emergency Control Center Team (ECCT)**                              |
|                                                                       |
| > All EECT members proceed to the ECC upon sounding of fire alarm or  |
| > notification.                                                       |
| >                                                                     |
| > Individual response actions:                                        |
| >                                                                     |
| > **Designated Official (DO)/Occupant Emergency Coordinator (OEC)**   |
|                                                                       |
| -   Activate ECCT.                                                    |
|                                                                       |
| -   Verify fire department notification/response.                     |
|                                                                       |
| -   Verify FPS (if applicable) or security force                      |
|     notification/response.                                            |
|                                                                       |
| -   Brief responding personnel.                                       |
|                                                                       |
| -   Coordinate response activities.                                   |
|                                                                       |
| > **Floor Team Coordinator (FTC)**                                    |
|                                                                       |
| -   Activate Floor Teams.                                             |
|                                                                       |
| -   Verify occupant status.                                           |
|                                                                       |
| -   Coordinate Floor Team activities.                                 |
|                                                                       |
| > **Damage Control Team Coordinator (DCTC)**                          |
|                                                                       |
| -   Activate Damage Control Team.                                     |
|                                                                       |
| -   Determine building conditions (environmental/structural).         |
|                                                                       |
| -   Coordinate Damage Control Team activities.                        |
|                                                                       |
| > **Medical Coordinator (MC)**                                        |
|                                                                       |
| -   Determine requirements for medical assistance.                    |
|                                                                       |
| -   Coordinate medical assistance activities.                         |
|                                                                       |
| > **Administrative Officer (AO)**                                     |
|                                                                       |
| -   Monitor and record alarm and notifications sequence.              |
|                                                                       |
| -   Record response activities.                                       |
|                                                                       |
| **Floor Team (located on Fire Floor)**                                |
|                                                                       |
| > **Floor Monitor**                                                   |
|                                                                       |
| -   Activate fire alarm (if not already done).                        |
|                                                                       |
| -   Supervise evacuation of occupants, ensuring that persons with     |
|     disabilities are taken care of.                                   |
|                                                                       |
| -   Verify evacuation upon completion.                                |
|                                                                       |
| -   Maintain contact with and report to FTC.                          |
|                                                                       |
| > **Area Monitors**                                                   |
|                                                                       |
| -   Direct evacuation of area occupants.                              |
|                                                                       |
| -   Inspect area to ensure total evacuation.                          |
|                                                                       |
| -   Coordinate evacuation of persons with disabilities.               |
|                                                                       |
| -   Maintain contact with and report status to Floor Monitor.         |
|                                                                       |
| > **Elevator Monitors**                                               |
|                                                                       |
| -   Direct occupants attempting to use elevators to the nearest safe  |
|     stairwell.                                                        |
|                                                                       |
| -   Assist in elevator evacuation of persons with disabilities if     |
|     elevator use has been authorized.                                 |
|                                                                       |
| > **Stairwell Monitors**                                              |
|                                                                       |
| -   Inspect stairwell for smoke and other obstructions. If            |
|     obstructed, direct occupants to another stairwell.                |
|                                                                       |
| -   Keep occupants moving in a single file down the stairwell.        |
|                                                                       |
| -   Maintain contact with and report status to Floor/Area Monitor.    |
|                                                                       |
| > **Monitors for Persons with Disabilities**                          |
|                                                                       |
| -   Assist persons with disabilities in evacuating to designated      |
|     evacuation assembly area.                                         |
|                                                                       |
| -   Report status to Floor/Area Monitor.                              |
+-----------------------------------------------------------------------+

**Figure C-4. Emergency Response Checklist -- Fire *(continued)***

+-----------------------------------------------------------------------+
| **Floor Team (located on First Floor)**                               |
|                                                                       |
| > **Floor Monitor/Area Monitors**                                     |
|                                                                       |
| -   Coordinate with and direct fire department personnel to fire      |
|     floor.                                                            |
|                                                                       |
| -   Restrict building access.                                         |
|                                                                       |
| -   Assist with occupant evacuation.                                  |
|                                                                       |
| > **Elevator Monitors**                                               |
|                                                                       |
| -   Maintain contact with and report to First Floor Monitor.          |
|                                                                       |
| -   Capture assigned elevators (either automatically or by using a    |
|     special key, or by the regular call button).                      |
|                                                                       |
| -   After capture, deny use of assigned elevators, unless authorized  |
|     by the fire department, Designated Official, or Occupant          |
|     Emergency Coordinator.                                            |
|                                                                       |
| **Other Floor Teams**                                                 |
|                                                                       |
| > If floor is to be evacuated, follow Fire Floor Team instructions;   |
| > if not, stand by for instructions from the Designated Official or   |
| > Occupant Emergency Coordinator.                                     |
|                                                                       |
| **Damage Control Team**                                               |
|                                                                       |
| > Follow instructions from Damage Control Team Coordinator.           |
| >                                                                     |
| > Activate, as appropriate, alarm systems, smoke control, fire        |
| > extinguishers, and emergency power.                                 |
| >                                                                     |
| > Assist fire department and other emergency response personnel.      |
|                                                                       |
| **Building occupants**                                                |
|                                                                       |
| > Evacuate the building in a calm and orderly manner using the        |
| > prescribed evacuation routes and assemble with other occupants in   |
| > the designated assembly area.                                       |
| >                                                                     |
| > Remain in the assembly area until the fire department and           |
| > Designated Official have made an all-clear announcement.            |
+-----------------------------------------------------------------------+

> **Appendix B. Evacuation Routes**
>
> Appendix B of the OEP should show a map of the evacuation routes from
> each floor of the building, preferably color-coded. Also, this
> information should be prominently posted on office bulletin boards and
> in the vicinity of elevator lobbies and stairwells.
>
> **Appendix C. Evacuation Assembly Area(s)**
>
> Appendix C of the OEP should present a map showing the location of the
> prescribed evacuation assembly area(s), with directions on how to get
> there from building exits. This information should also be prominently
> posted on office bulletin boards and in the vicinity of building
> entrances/exits.
>
> **Appendix D. Recommended Personal Emergency Kit**
>
> A shelter-in-place situation is expected to last only a few hours.
> However, in anticipation that this condition might persist for an
> extended period of time, occupants should consider having a personal
> emergency kit containing items that would alleviate discomfort (see
> Figure C-5).
>
> **Figure C**-5. Contents of Recommended Personal Emergency Kit

+-----------------------------------------------------------------------+
| **Contents of Recommended Personal Emergency Kit**                    |
|                                                                       |
| -   A small tote bag, fanny pack, backpack, or soft-sided briefcase   |
|     to hold the contents of the kit.                                  |
|                                                                       |
| -   At least one gallon of bottled water or more if you are on        |
|     medications that require water.                                   |
|                                                                       |
| -   Non-perishable foil-wrapped food such as snacks and high protein  |
|     bars, canned meats and canned fruits that are light and easy to   |
|     carry.                                                            |
|                                                                       |
| -   Three-day supply of prescription medications.                     |
|                                                                       |
| -   Personal toiletries, including a toothbrush, toothpaste, hand     |
|     sanitizers or wipes, eye drops, toilet tissue, feminine supplies  |
|     etc.                                                              |
|                                                                       |
| -   A pen and small notebook with phone numbers and e-mail addresses  |
|     of family members, friends, and neighbors.                        |
|                                                                       |
| -   Small first aid kit.                                              |
|                                                                       |
| -   Small flashlight with extra batteries.                            |
|                                                                       |
| -   Battery-powered radio with extra batteries.                       |
|                                                                       |
| -   Emergency "space" blanket (mylar).                                |
|                                                                       |
| -   Non-electric can opener.                                          |
|                                                                       |
| -   Cellular telephone.                                               |
+-----------------------------------------------------------------------+

Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

# Appendix D - Contract Security Force Standards

D.1 General

This Appendix summarizes the performance requirements, personnel
qualifications, and other standards that must be met by a private
company engaged to provide security force support for a HUD Regional or
Field Office. Such a security force, if warranted, serves as an integral
part of the comprehensive physical security program for a facility. A
key determinant of whether a contract security force is required at a
HUD Regional or Field Office is the Federal Security Level of the office
(as discussed in Chapter 2 of this Handbook), as well as any unique
environmental or threat conditions in the vicinity of a given Regional
or Field Office. In most federal buildings, the Federal Protective
Service (FPS) provides the security force, if required, or the General
Services Administration (GSA) contracts with a private company for
security force services. The information in this Appendix is applicable
only for HUD-administered contracts for private non-federal security
force services in space occupied and/or leased by HUD field activities.
For HUD space for which GSA provides the security force, the Regional
and Field Office Security Coordinators should coordinate with GSA to
ensure that their contracts are implemented satisfactorily with respect
to the HUD space.

Each of the standards specified in this Appendix must be addressed in
all contracts for security force services. However, certain elements may
be modified to reflect differing physical security requirements based on
office size, location, and special circumstances. The Office of Field
Administrative Resources (OFAR), in consultation and coordination with
the Regional Director or Field Office Director, is responsible for: (1)
developing and issuing the Request for Proposal (RFP); (2) selecting the
contractor; and (3) executing and managing a contract that meets the
basic standards outlined in this Appendix. Prior to making any
significant modifications or changes to these standards for a given
Regional or Field Office, the OFAR Director should first consult with
the Director of the Physical Security Division, Headquarters Office of
Security and Emergency Planning (OSEP), indicating the need for a
specific modification or change.

D.2 Security Force Contract Provisions

Following a decision to issue a RFP and execute a contract for private
sector security services for a designated HUD Regional or Field Office,
the OFAR Director or his/her designee should: (1) advise the Director,
Physical Security Division, OSEP, of the decision; and (2) adhere to the
provisions of the Non-Federal Security Force Contract Guide (distributed
separately by OSEP) that is the basis for the standards presented in
this Appendix and provides other relevant information that should be
included in a contract with the private sector for security force
services.

The following pages outline the provisions and specifications that must
be included in each contract for private sector security force services
at a HUD Regional or Field Office.

1.  Scope of Work

-   Maintain security integrity by controlling access to the HUD
    property

-   Detect and deter security breaches

-   Respond to security, safety, and medical emergencies

-   Enforce relevant rules and regulations

2.  Performance Requirements (typical)

    -   Protect and safeguard personnel and property

    -   Operate line scan and X-ray system and magnetometers, as
        applicable

    -   Provide fixed guard posts and roving patrols

    -   Enforce building rules and regulations

    -   Perform traffic control; monitor parking lots, garage, and
        loading dock areas

    -   Control issuance, storage, and retrieval of keys

    -   Monitor security and fire systems

    -   Report hazardous conditions

    -   Provide injury and illness assistance

    -   Prepare incident reports

    -   Take immediate action in responding to emergencies

    -   Provide lost and found services

    -   Daily procedures and maintenance re: display of the flag of the
        United States, as applicable

3.  Contract Security Officer Certification

    -   Meet and comply with the FPS Contract Guard Certification
        requirements

4.  Personnel Qualifications and Requirements

    -   Must be a United States citizen

    -   No felony or misdemeanor convictions

    -   Stable employment history

    -   Superior references

    -   Ability to perform well under stress

    -   Ability to deal tactfully with the public

    -   Strong written and verbal communication skills

    -   Work with minimum supervision

    -   Ability to follow written and verbal instructions

    -   Preferably a graduate of an accredited law enforcement academy
        or have previous military experience related to security and/or
        law enforcement

    -   Meet criteria of Department of Labor, Employment Standards
        Administration, Wage and Hour Division, Standard 27102

5.  Health and Physical Proficiency Requirements

    -   Physical examination documented on Standard Form 78, Certificate
        of Medical Examination

    -   In good health and not have any physical conditions that would
        interfere with satisfactory performance of duties in normal or
        emergency situations

    -   Free of communicable diseases and any chronic illnesses that
        might impair full performance of duty

    -   Meet vision and hearing requirements

6.  Drug Screening

    -   Pass drug screening test prior to start of work

    -   Annual drug screening

7.  Age Requirements

    -   Minimum age for security officers

    -   No maximum age, but must be fully capable of performing all
        duties described in contract

8.  Project Manager/ Shift Supervisor Qualifications

-   Prescribed combination of work experience and educational
    credentials

9.  Government-Furnished Equipment (GFE)

-   Varies according to type of facility and contract requirements

-   Typical types of GFE include: office space; alarm and surveillance
    systems; hand wand metal detectors; line scan X-ray equipment and
    magnetometers; personal lockers for security officers; various
    office supplies and equipment, including telephones, fax machine,
    and computer(s)

10. Contractor-Furnished Equipment and Supplies

-   Firearms and ammunition, and safes or other secure storage for them

-   Uniforms

-   Supplemental equipment and supplies (e.g. flashlights,
    walkie-talkies, batteries, traffic control safety apparel, etc.)

11. Accountability for Government-Furnished Equipment

-   Periodic inventories of government-furnished equipment

-   Safeguard and secure government property

-   Government and contractor obligations related to the use and care of
    government-furnished equipment

12. Contractor-Furnished Security Officer Training

-   Seventy-two hours of Basic Training required for GSA certification

-   Supervisory training

-   Four-hour job orientation including site tour and post observation
    training

13. Contractor Furnished Supervisor Training

-   Eight hours of supervisor training, in addition to Basic Training
    and Firearms Training/Qualification

14. Firearms Training, Qualification, and Certification

-   Training that meets the relevant GSA regulations required for all
    security officers and supervisors

-   All personnel must be qualified to carry a .38 caliber firearm, and
    must have their credentials in their possession at all times on duty

-   All contract personnel must renew their Firearms Certification
    annually

15. Government Provided Special Training

-   Where applicable, HUD will arrange for eight hours of GSA line scan
    and magnetometer training for contract employees

16. Reporting Requirements

-   Contractor must provide incident report to HUD management within 24
    hours of the occurrence

-   Prepare special reports as requested

17. Work Schedule

-   Work schedule must provide for security services 24 hours a day, 7
    days a week

-   Copy of the work schedule and/or changes for all security force
    personnel shall be provided to HUD management at least 72 hours
    prior to the start of the scheduled work period

Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

# Appendix E - Physical Security Status Checklist

A five-part checklist that may be used for periodic evaluation of the
security posture of a HUD Regional or Field Office is presented on the
following pages. This checklist is a replication of the minimum physical
security standards specified for HUD field activities (see Chapter 2 of
the basic Handbook).

Parts 1 through 4 address key aspects of:

> **Part 1. Perimeter Security;**
>
> **Part 2. Entry Security;**
>
> **Part 3. Interior Security; and**
>
> **Part 4. Security Planning and Coordination.**

Each checklist contains a number of statements addressing configuration,
procedures, systems, or equipment that apply or may apply to various
aspects of facility or office security. For each statement, the
individual filling out the checklist should place an "x" in one of the
following four columns to the right of the statement:

> Yes The statement is true and accurate.
>
> No (not necessary) The statement is not true because the
> configuration, procedure, system, or item of equipment noted is not
> considered necessary.
>
> No (should be required) The statement is not true, but the
> configuration, procedure, system, or item of equipment is considered
> necessary to ensure the security of the office.
>
> Not applicable Based on the federal security level, office location,
> or other reason, the configuration, procedure, system, or item of
> equipment does not apply for this particular facility.

For any statement for which the response is other than "yes," an
explanation should be provided in the "comments" space at the bottom of
the checklist. In addition, if any "yes" response needs to be amplified
or explained, an appropriate comment should be made.

**Part 5**, **Security Checklist Narrative**, provides space to add any
comments other than those entered earlier and to highlight major
problems or concerns.

The final portion of Part 5 is an overall assessment of the security
posture of the office. As indicated, a reason(s) must be provided for a
"fair" or "poor" assessment.

Part 1. Perimeter Security Checklist

+------------------------------------+-------+-------+-------+-------+
| Description                        | Yes   | No    | No    | Not   |
|                                    |       |       |       | appli |
|                                    |       | (not  | (s    | cable |
|                                    |       | neces | hould |       |
|                                    |       | sary) | be    |       |
|                                    |       |       | requ  |       |
|                                    |       |       | ired) |       |
+------------------------------------+-------+-------+-------+-------+
| *Parking*                          |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Access to facility parking is      |       |       |       |       |
| limited to government or other     |       |       |       |       |
| designated personnel and vehicles, |       |       |       |       |
| and to authorized visitors         |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Access controls to adjacent        |       |       |       |       |
| parking areas are in place to      |       |       |       |       |
| minimize threats to the facility   |       |       |       |       |
| and employee exposure to criminal  |       |       |       |       |
| activity                           |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Signs are posted to alert the      |       |       |       |       |
| public to parking restrictions,    |       |       |       |       |
| and arrangements have been made    |       |       |       |       |
| for towing unauthorized vehicles   |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| A system and procedures are in     |       |       |       |       |
| place for identifying authorized   |       |       |       |       |
| vehicles and corresponding parking |       |       |       |       |
| spaces (through placards, decals,  |       |       |       |       |
| card keys, etc.)                   |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Adequate lighting is provided in   |       |       |       |       |
| parking areas to ensure the safety |       |       |       |       |
| of employees and authorized        |       |       |       |       |
| visitors, and deter illegal or     |       |       |       |       |
| threatening activities             |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Closed Circuit Television (CCTV)  |       |       |       |       |
| Monitoring*                        |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Twenty-four hour CCTV surveillance |       |       |       |       |
| cameras with time lapse video      |       |       |       |       |
| recording are used for monitoring  |       |       |       |       |
| exterior areas                     |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Signs are posted advising of       |       |       |       |       |
| 24-hour video surveillance         |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Exterior Lighting*                |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Lighting with emergency back-up    |       |       |       |       |
| power is provided along the        |       |       |       |       |
| building exterior and at entrances |       |       |       |       |
| and exits                          |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Windows*                          |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Shatter resistant material has     |       |       |       |       |
| been applied to all exterior       |       |       |       |       |
| windows                            |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Physical Barriers*                |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Physical barriers (concrete and/or |       |       |       |       |
| steel composition) are in place    |       |       |       |       |
| along the perimeter of the         |       |       |       |       |
| facility                           |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Parking barriers are in place to   |       |       |       |       |
| prevent unauthorized vehicle       |       |       |       |       |
| access                             |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+

**Comments:**

> Part 2. Entry Security Checklist

+------------------------------------+-------+-------+-------+-------+
| Description                        | Yes   | No    | No    | Not   |
|                                    |       |       |       | appli |
|                                    |       | (not  | (s    | cable |
|                                    |       | neces | hould |       |
|                                    |       | sary) | be    |       |
|                                    |       |       | requ  |       |
|                                    |       |       | ired) |       |
+------------------------------------+-------+-------+-------+-------+
| *Access Control*                   |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Security officer is posted at      |       |       |       |       |
| entrance(s) to control building    |       |       |       |       |
| access and/or access to HUD office |       |       |       |       |
| space                              |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| An intrusion detection system      |       |       |       |       |
| (IDS) with central monitoring      |       |       |       |       |
| capability is installed at the     |       |       |       |       |
| building exterior                  |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Entry control is accomplished      |       |       |       |       |
| through installation of an         |       |       |       |       |
| automatic locking/remote unlocking |       |       |       |       |
| mechanism on the entrance door(s)  |       |       |       |       |
| to HUD office space                |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| An internal IDS is installed to    |       |       |       |       |
| preclude unauthorized entry into   |       |       |       |       |
| specified sensitive areas          |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Life safety standards per GSA      |       |       |       |       |
| design standards (fire detection,  |       |       |       |       |
| fire suppression systems, etc.)    |       |       |       |       |
| are installed and operable         |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Entrances/Exits*                  |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| X-ray equipment and magnetometers  |       |       |       |       |
| are installed at public entrances  |       |       |       |       |
| to the facility                    |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| All mail/packages hand-carried     |       |       |       |       |
| into the building are subject to   |       |       |       |       |
| screening by x-ray machines and/or |       |       |       |       |
| visual inspection                  |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| A glass door(s) is installed at    |       |       |       |       |
| the main entrance to HUD office    |       |       |       |       |
| space that permits visibility from |       |       |       |       |
| within of the immediate area       |       |       |       |       |
| outside of the entrance            |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| HUD office space has two ways of   |       |       |       |       |
| egress, a front door and a back    |       |       |       |       |
| door. Preferably, the doors will   |       |       |       |       |
| not be located near each other and |       |       |       |       |
| will open out into different       |       |       |       |       |
| hallways.                          |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| All exterior entrances/exits have  |       |       |       |       |
| high security locks that meet GSA  |       |       |       |       |
| specifications                     |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Receiving/Shipping Areas*         |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Package entry and access to        |       |       |       |       |
| receiving/shipping areas is        |       |       |       |       |
| controlled                         |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Posting of Government Rules and   |       |       |       |       |
| Regulations*                       |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Federal government rules and       |       |       |       |       |
| regulations are posted at the      |       |       |       |       |
| entrance(s) to HUD-occupied space  |       |       |       |       |
| relative to policies such as       |       |       |       |       |
| prohibiting the unauthorized       |       |       |       |       |
| possession of firearms and         |       |       |       |       |
| dangerous weapons                  |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+

> **Comments:**

Part 3. Interior Security Checklist

+------------------------------------+-------+-------+-------+-------+
| Description                        | Yes   | No    | No    | Not   |
|                                    |       |       |       | appli |
|                                    |       | (not  | (s    | cable |
|                                    |       |       | hould |       |
|                                    |       | neces | be    |       |
|                                    |       | sary) | requ  |       |
|                                    |       |       | ired) |       |
+------------------------------------+-------+-------+-------+-------+
| *Receptionist Area/Duress Alarm*   |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| A receptionist area is established |       |       |       |       |
| facing the main entrance to HUD    |       |       |       |       |
| office space                       |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| The receptionist area is clearly   |       |       |       |       |
| visible from the interior of the   |       |       |       |       |
| office                             |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| The receptionist area has a hidden |       |       |       |       |
| duress alarm that can be           |       |       |       |       |
| unobtrusively activated by the     |       |       |       |       |
| receptionist or other employee     |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| The duress alarm annunciates at a  |       |       |       |       |
| monitoring station that is         |       |       |       |       |
| continuously staffed               |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Access to interior office space    |       |       |       |       |
| from the receptionist area is      |       |       |       |       |
| controlled by installation of card |       |       |       |       |
| access mechanisms or cipher locks  |       |       |       |       |
| on doors leading inside            |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Employee/Visitor                  |       |       |       |       |
| Identification/Control*            |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| All employees are issued a photo   |       |       |       |       |
| ID, which must be displayed at all |       |       |       |       |
| times while in the HUD office      |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| All visitors sign in and out with  |       |       |       |       |
| a receptionist or security officer |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| All visitors are screened and      |       |       |       |       |
| issued a visitor ID badge, which   |       |       |       |       |
| must be displayed at all times     |       |       |       |       |
| while in the HUD office            |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| All visitors are accompanied by an |       |       |       |       |
| escort while in the HUD office     |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Mail and Package Handling*        |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| The mail and package handling and  |       |       |       |       |
| sorting area is isolated from      |       |       |       |       |
| other internal activities within   |       |       |       |       |
| the HUD office                     |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Access to the mail and package     |       |       |       |       |
| handling area is restricted only   |       |       |       |       |
| to designated personnel            |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Personnel assigned to mail and     |       |       |       |       |
| package handling and sorting       |       |       |       |       |
| duties have been provided security |       |       |       |       |
| training                           |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Use of rubber gloves is mandatory  |       |       |       |       |
| for all personnel handling         |       |       |       |       |
| incoming mail and packages         |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Procedures have been established   |       |       |       |       |
| for handling suspicious mail and   |       |       |       |       |
| packages, including provision of a |       |       |       |       |
| repository for disposition of      |       |       |       |       |
| suspicious items                   |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Access to Sensitive Records and   |       |       |       |       |
| Equipment*                         |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| The configuration and layout of    |       |       |       |       |
| the office precludes               |       |       |       |       |
| casual/unauthorized access to      |       |       |       |       |
| sensitive records                  |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Access to computer workstations    |       |       |       |       |
| and printers, copiers, FAX         |       |       |       |       |
| machines, etc., is restricted to   |       |       |       |       |
| authorized users                   |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Access to telephone switching      |       |       |       |       |
| equipment is restricted to         |       |       |       |       |
| authorized users                   |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+

**Part 3. Interior Security Checklist (*continued)***

+------------------------------------+-------+-------+-------+-------+
| Description                        | Yes   | No    | No    | Not   |
|                                    |       |       |       | appli |
|                                    |       | (not  | (s    | cable |
|                                    |       |       | hould |       |
|                                    |       | neces | be    |       |
|                                    |       | sary) | requ  |       |
|                                    |       |       | ired) |       |
+------------------------------------+-------+-------+-------+-------+
| *Public Address System*            |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| A public address system has been   |       |       |       |       |
| installed to permit emergency      |       |       |       |       |
| announcements to all occupants of  |       |       |       |       |
| HUD office space and/or the        |       |       |       |       |
| building in which the HUD office   |       |       |       |       |
| is located                         |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Access to Public Restrooms*       |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Provisions have been made to       |       |       |       |       |
| restrict access to public          |       |       |       |       |
| restrooms to authorized personnel  |       |       |       |       |
| only                               |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Utilities*                        |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Utility areas in the facility in   |       |       |       |       |
| which the HUD office is located    |       |       |       |       |
| are secure and only authorized     |       |       |       |       |
| personnel can gain entry           |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Emergency back-up power to         |       |       |       |       |
| critical systems (e.g., alarm      |       |       |       |       |
| systems, radio communications,     |       |       |       |       |
| computer facilities, etc.) is      |       |       |       |       |
| available                          |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Emergency lighting is provided     |       |       |       |       |
| throughout HUD office space,       |       |       |       |       |
| including illuminated exit signs   |       |       |       |       |
| powered by the emergency lighting  |       |       |       |       |
| system.                            |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| A fire detection and suppression   |       |       |       |       |
| (sprinkler) system is installed    |       |       |       |       |
| that provides 100 percent coverage |       |       |       |       |
| of HUD office space.               |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Protection from airborne          |       |       |       |       |
| chemical, biological, or           |       |       |       |       |
| radiological (CBR) attack*         |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Access to fresh air intakes,       |       |       |       |       |
| mechanical areas, and roof tops in |       |       |       |       |
| the facility in which the HUD      |       |       |       |       |
| office is located is strictly      |       |       |       |       |
| controlled                         |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Access to building heating,        |       |       |       |       |
| ventilation, and air conditioning  |       |       |       |       |
| (HVAC) systems information is      |       |       |       |       |
| restricted to authorized personnel |       |       |       |       |
| only                               |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Procedures are in place for        |       |       |       |       |
| notification of the building       |       |       |       |       |
| manager, security force desk,      |       |       |       |       |
| local emergency personnel, and/or  |       |       |       |       |
| other key personnel in the event   |       |       |       |       |
| that toxic airborne hazards are    |       |       |       |       |
| suspected or detected              |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+

> **Comments:**

Part 4. Security Planning and Coordination Checklist

+------------------------------------+-------+-------+-------+-------+
| Description                        | Yes   | No    | No    | Not   |
|                                    |       |       |       | appli |
|                                    |       | (not  | (s    | cable |
|                                    |       |       | hould |       |
|                                    |       | neces | be    |       |
|                                    |       | sary) | requ  |       |
|                                    |       |       | ired) |       |
+------------------------------------+-------+-------+-------+-------+
| *Physical Security Plan*           |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| A comprehensive Physical Security  |       |       |       |       |
| Plan for the HUD office exists and |       |       |       |       |
| is kept current                    |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Copies of the Physical Security    |       |       |       |       |
| Plan are made available to all     |       |       |       |       |
| office employees                   |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Provisions of the Physical         |       |       |       |       |
| Security Plan are made known to    |       |       |       |       |
| all employees through a            |       |       |       |       |
| comprehensive security training,   |       |       |       |       |
| education, and awareness program   |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Occupant Emergency Program*       |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| An Occupant Emergency Organization |       |       |       |       |
| (OEO) has been established and     |       |       |       |       |
| includes the participation of all  |       |       |       |       |
| tenants in the facility in which   |       |       |       |       |
| the HUD office is located          |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| An Occupant Emergency Plan (OEP)   |       |       |       |       |
| is in place, updated annually, and |       |       |       |       |
| periodically tested                |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Copies of the OEP are made         |       |       |       |       |
| available to all office employees  |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| A formal OEP test, training, and   |       |       |       |       |
| exercise program has been          |       |       |       |       |
| established                        |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Standardized Alert Levels and     |       |       |       |       |
| Threat Conditions*                 |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Standardized alert levels and      |       |       |       |       |
| threat terminology have been       |       |       |       |       |
| established                        |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Procedures are in place to         |       |       |       |       |
| disseminate alert level and threat |       |       |       |       |
| information to all concerned in a  |       |       |       |       |
| timely manner                      |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Provisions have been made to       |       |       |       |       |
| jointly upgrade alert levels and   |       |       |       |       |
| security procedures in the         |       |       |       |       |
| facility in which the HUD office   |       |       |       |       |
| is located during emergency        |       |       |       |       |
| situations such as terrorist       |       |       |       |       |
| attacks, natural disasters, and/or |       |       |       |       |
| civil unrest                       |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Security Training, Education, and |       |       |       |       |
| Awareness*                         |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Security training and awareness    |       |       |       |       |
| materials have been developed and  |       |       |       |       |
| distributed, as appropriate, to    |       |       |       |       |
| provide up-to-date information     |       |       |       |       |
| covering security practices,       |       |       |       |       |
| employee security awareness,       |       |       |       |       |
| personal safety during             |       |       |       |       |
| emergencies, etc.                  |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| A formal security training program |       |       |       |       |
| has been established, including a  |       |       |       |       |
| new employee orientation and an    |       |       |       |       |
| annual update for all HUD          |       |       |       |       |
| employees                          |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| *Background Security Checks for    |       |       |       |       |
| Contract Service Personnel*        |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+
| Background security checks and     |       |       |       |       |
| security control procedures are    |       |       |       |       |
| required for contract service      |       |       |       |       |
| personnel within the facility in   |       |       |       |       |
| which the HUD office is located    |       |       |       |       |
+------------------------------------+-------+-------+-------+-------+

> **Comments:**

Part 5. Security Checklist Narrative

+-----------------------------------------------------------------------+
| **Other comments concerning office security not covered above:**      |
|                                                                       |
| **Major problems or concerns:**                                       |
|                                                                       |
| **Overall assessment of security posture:**                           |
|                                                                       |
| > **\_\_\_\_ Excellent \_\_\_\_ Good \_\_\_\_ Fair \_\_\_\_ Poor**    |
| >                                                                     |
| > **If assessment is fair or poor, indicate reason(s) below.**        |
|                                                                       |
| **Approved:**                                                         |
+-----------------------------------------------------------------------+

Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

# Appendix F - Field Office Physical Security Status Report

An annual **Physical Security Status Report** (Report) will be prepared
by each HUD Field Office and submitted to the Security Coordinator of
the Regional Office under which the Field Office is located. The Report
will contain two parts:

-   **Part I** of the Report will be prepared by the Field Office
    Security Coordinator and approved by the Field Office Director. It
    will include an overall assessment of the security posture of the
    Field Office, including recommended corrective actions, based on a
    comprehensive survey using the checklist described in Appendix E;
    and

-   **Part II** of the Report will provide an opportunity for the
    Regional Office to comment on the information included in Part I and
    present any additional information that may be pertinent to the
    security status of the Field Office.

Part I of the Report will be submitted by each Field Office to its
Regional Office by October 15 of each year and will cover the period
October 1 through September 30 of the preceding fiscal year. The
Regional Office will complete Part II of each Field Office Report and
incorporate all Reports into a consolidated Regional Summary Report (see
Appendix G) for subsequent distribution to: the Director, Physical
Security Division, Office of Security and Emergency Planning (OSEP),
Headquarters, HUD, and the HUD Headquarters Office of Field Policy and
Management (FPM).

Completed Field Office Security Status Reports are an important source
of background information and justification for funding any improvements
in the security posture of each office. In addition, information
provided in any of the Reports may engender a follow-up visit(s) by a
Headquarters Quality Management Review (QMR) team or other outside
entity to validate the information provided in the Report.

A suggested organization and format for the Field Office Physical
Security Status Report are shown in Figure F-1 on the following two
pages.

**Figure F**-1. Format -- Field Office Physical Security Status Report

+-----------------------------------------------------------------------+
| **Field Office Physical Security Status Report**                      |
|                                                                       |
| **for period October 1, 20xx, through September 30, 20xx**            |
|                                                                       |
| (Date)                                                                |
|                                                                       |
| **Office: Region:**                                                   |
|                                                                       |
| **Leased or Federal: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Office  |
| Population: \_\_\_\_\_\_\_\_\_**                                      |
|                                                                       |
| **Federal Security Level: \_\_\_\_\_\_\_\_\_**                        |
|                                                                       |
| > **Part I. Basic Report**                                            |
| >                                                                     |
| > **1. Date of office *Physical Security Plan*:**                     |
|                                                                       |
| a.  **Website location:**                                             |
|                                                                       |
| b.  **Types and dates of security education, training, and awareness  |
|     activities conducted during the year:**                           |
|                                                                       |
| > **2. Date of office *Occupant Emergency Plan (OEP)*:**              |
|                                                                       |
| a.  **Website location:**                                             |
|                                                                       |
| b.  **Types and dates of OEP drills, training activities, and         |
|     exercises conducted during the year:**                            |
|                                                                       |
| > **3. Security-related incidents during reporting period, including  |
| > action(s) taken:**                                                  |
| >                                                                     |
| > **4. Other problems or areas of concern:**                          |
| >                                                                     |
| > **5. Overall assessment of security posture:**                      |
| >                                                                     |
| > **6. Recommended corrective actions in order of priority:**         |
|                                                                       |
| **Survey conducted by:**                                              |
|                                                                       |
| **Field Office Security Coordinator**                                 |
|                                                                       |
| **Approved:**                                                         |
|                                                                       |
| **Field Office Director**                                             |
+-----------------------------------------------------------------------+

**Figure F-1. Format -- Field Office Physical Security Status Report
(*continued)***

+-----------------------------------------------------------------------+
| **\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Field Office         |
| Physical Security Status Report**                                     |
|                                                                       |
| **for period October 1, 20xx, through September 30, 20xx**            |
|                                                                       |
| > **Part II. Regional Comments**                                      |
| >                                                                     |
| > **1. (Concur) (Do not concur) in overall assessment of security     |
| > posture.**                                                          |
| >                                                                     |
| > **Reason(s) for non-concurrence, if applicable:**                   |
| >                                                                     |
| > **2. (Agree) (Do not agree) with recommended corrective actions and |
| > order of priority.**                                                |
| >                                                                     |
| > **Reason(s) for non-agreement, if applicable:**                     |
| >                                                                     |
| > **3. Additional comments and/or suggestions.**                      |
|                                                                       |
| **Regional Office Security Coordinator**                              |
|                                                                       |
| **Regional Director**                                                 |
+-----------------------------------------------------------------------+

Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

# Appendix G. Regional Physical Security Status Report

An annual, consolidated **Regional Physical Security Status Report**
will be prepared by each HUD region and will consist of a **Summary
Report** (see outline of contents in Figure G-1) with:

> **Enclosure 1**. The **Regional Office Physical Security Status
> Report** (see organization and format in Figure G-2); and
>
> **Enclosures 2 through x**. The **Field Office Physical Security
> Status Reports** for each Field Office in the Region (as described in
> Appendix F).

The Regional Office Physical Security Status Report (Figure G-2) will
focus only on the Regional Office itself and will contain the same
information as Part I of a Field Office Physical Security Status Report.

The Regional Summary Report will summarize highlights from the Regional
Office Physical Security Status Report and the individual Field Office
Physical Security Status Reports. In general, the Summary Report should
address areas of concern, security issues, lessons learned, etc. from a
Region-wide perspective focusing on matters that are applicable
across-the-board. However, in the instance that a truly egregious
security problem or issue exists at only one or a few HUD facilities in
the Region, that should be duly noted in the Summary Report as a matter
requiring priority attention.

The Summary Report, with the enclosures as indicated, should be
submitted by October 31 of each year to the Director, Physical Security
Division, Office of Security and Emergency Planning (OSEP),
Headquarters, HUD, and the HUD Headquarters Office of Field Policy and
Management (FPM).

**Figure G**-1. Outline -- Regional Physical Security Status Summary
Report

+-----------------------------------------------------------------------+
| **Physical Security Status**                                          |
|                                                                       |
| **for period October 1, 20xx, through September 30, 20xx**            |
|                                                                       |
| **Region \_\_\_\_\_**                                                 |
|                                                                       |
| **Summary Report**                                                    |
|                                                                       |
| (date)                                                                |
|                                                                       |
| > **1. Security-related incidents during reporting period, including  |
| > action(s) taken.**                                                  |
| >                                                                     |
| > **2. Security reviews, including results, conducted during          |
| > reporting period.**                                                 |
| >                                                                     |
| > **3. Prevailing areas of concern and/or most pressing security      |
| > issues.**                                                           |
| >                                                                     |
| > **4. Lessons learned.**                                             |
| >                                                                     |
| > **5. Region-wide security-related initiatives undertaken during     |
| > reporting period.**                                                 |
| >                                                                     |
| > **6. Sufficiency of funding for security-related projects.**        |
| >                                                                     |
| > **7. Overall assessment of security posture.**                      |
| >                                                                     |
| > **8. Recommendations for enhancing security in order of priority.** |
|                                                                       |
| **Regional Director**                                                 |
|                                                                       |
| > **Enclosures: Regional Office and Field Office Physical Security    |
| > Status Reports**                                                    |
+-----------------------------------------------------------------------+

**Figure G**-2. Format -- Regional Office Physical Security Status
Report

+-----------------------------------------------------------------------+
| **Regional Office Physical Security Status Report**                   |
|                                                                       |
| **for period October 1, 20xx, through September 30, 20xx**            |
|                                                                       |
| (date)                                                                |
|                                                                       |
| **Region:**                                                           |
|                                                                       |
| **Leased or Federal: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Office  |
| Population: \_\_\_\_\_\_\_\_\_**                                      |
|                                                                       |
| **Federal Security Level: \_\_\_\_\_\_\_\_\_**                        |
|                                                                       |
| > **1. Date of Office *Physical Security Plan*:**                     |
|                                                                       |
| c.  **Website location:**                                             |
|                                                                       |
| d.  **Type and dates of security education, training, and awareness   |
|     activities conducted during the year:**                           |
|                                                                       |
| > **2. Date of Office *Occupant Emergency Plan (OEP)*:**              |
|                                                                       |
| c.  **Website location:**                                             |
|                                                                       |
| d.  **Type and dates of OEP drills, training activities, and          |
|     exercises conducted during the year:**                            |
|                                                                       |
| > **3. Security-related incidents during reporting period, including  |
| > action(s) taken:**                                                  |
| >                                                                     |
| > **4. Other problems or areas of concern:**                          |
| >                                                                     |
| > **5. Overall assessment of security posture:**                      |
| >                                                                     |
| > **6. Recommended corrective actions in order of priority:**         |
|                                                                       |
| **Survey conducted by:**                                              |
|                                                                       |
| **Regional Office Security Coordinator**                              |
|                                                                       |
| **Approved:**                                                         |
|                                                                       |
| **Regional Director**                                                 |
+-----------------------------------------------------------------------+

Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

# Appendix H - Urgent Physical Security Issue Report

An urgent physical security issue(s) requiring immediate attention may
arise in any HUD Regional or Field Office at any time. Such an issue may
involve physical damage to the facility, a situation that creates a
hazardous environment for occupants of the office, or some other
condition that has an adverse effect on the security of office
operations.

In such cases, a telephonic report should be made immediately, followed
up by e-mail as soon as practicable to:

-   The Regional Director (for Field Offices);

-   The Director of the Office of Field Administrative Resources (OFAR);

-   The HUD Headquarters office of Field Policy and Management (FPM);
    and

-   The Director, Physical Security Division, Office of Security and
    Emergency Planning (OSEP), HUD Headquarters.

The information to be provided in the report is indicated in Figure I-1.

**Figure H**-1. Contents of Urgent Physical Security Issue Report

+-----------------------------------------------------------------------+
| **From:**                                                             |
|                                                                       |
| **To:**                                                               |
|                                                                       |
| **Subject: Urgent Physical Security Issue**                           |
|                                                                       |
| 1.  **Briefly describe the nature of the urgent physical security     |
|     issue and the impact on personnel, property, and/or office        |
|     operations. If the issue was caused by a specific incident or     |
|     incidents, provide the time/date of the incident(s).**            |
|                                                                       |
| 2.  **Indicate actions taken locally in dealing with the issue and    |
|     the results. If applicable, identify any agencies outside of HUD  |
|     that are or have been involved (e.g., GSA, FPS, FBI, local law    |
|     enforcement, local fire department, etc.).**                      |
|                                                                       |
| 3.  **Indicate corrective action(s) deemed necessary to rectify the   |
|     situation and resolve the issue.**                                |
|                                                                       |
| 4.  **Describe the consequences if this issue is not dealt with in a  |
|     timely manner.**                                                  |
|                                                                       |
| 5.  **State whether or not the issue has been separately reported as  |
|     an incident under the HUD Incident Management System (HIMS) or    |
|     other communication; and cite the specific prior report or other  |
|     communication if applicable.**                                    |
|                                                                       |
| 6.  **Provide any additional comments and/or recommendations.**       |
+-----------------------------------------------------------------------+

Department of Housing and Urban Development

Physical Security Handbook for HUD Regional and Field Offices

# Appendix I. Glossary of Acronyms and Terms

**I.1 Acronyms**

> AO Administrative Officer
>
> BM Building Manager
>
> CBR Chemical, Biological, or Radiological
>
> CCTV Closed Circuit Television
>
> CIA Central Intelligence Agency
>
> COOP Continuity of Operations
>
> CPR Cardiopulmonary Resuscitation
>
> DCT Damage Control Team
>
> DCTC Damage Control Team Coordinator
>
> DOD Department of Defense
>
> DHS Department of Homeland Security
>
> DO Designated Official
>
> DOJ Department of Justice
>
> ECC Emergency Command Center
>
> ECCT Emergency Command Center Team
>
> FBI Federal Bureau of Investigation
>
> FM Floor Monitor
>
> FPM Office of Field Policy and Management
>
> FPS Federal Protective Service
>
> FT Floor Team
>
> FTC Floor Team Coordinator
>
> FOD Field Office Director
>
> GAO Government Accountability Office (formerly the General Accounting
> Office)
>
> GSA General Services Administration
>
> GFE Government Furnished Equipment
>
> HAZMAT Hazardous Materials
>
> HSAS Homeland Security Advisory System
>
> HUD Department of Housing and Urban Development
>
> HVAC Heating, Ventilation, and Air Conditioning
>
> HIMS HUD Incident Management System
>
> ID Identification \[badge or system\]
>
> IDS Intrusion Detection System
>
> ISC Interagency Security Committee
>
> MC Medical Coordinator
>
> OAMS Office of Administrative and Management Services (Office of
> Administration)
>
> OBAS Office of Budget and Administrative Support (Office of
> Administration)
>
> OEC Occupant Emergency Coordinator
>
> OEO Occupant Emergency Organization
>
> OEP Occupant Emergency Plan
>
> OFAR Office of Field Administrative Resources (Office of
> Administration)
>
> OSEP Office of Security and Emergency Planning (Office of
> Administration)
>
> PSAG Physical Security Advisory Group
>
> PSS Physical Security Specialist
>
> QMR Quality Management Review
>
> RD Regional Director
>
> SDB Space Design Branch (OAMS)
>
> TT&E Test, Training, and Exercises
>
> UPS Uninterrupted Power Supply

**I.2 Terms**

**Access Control.** An aspect of physical security that utilizes
hardware systems and/or specialized procedures to control and monitor
the movement of individuals, materials, or vehicles into, out of, or
within designated areas.

**Access Control System.** A combination of electronic,
electro-mechanical, mechanical, or physical means configured to identify
authorized personnel and admit them into a designated area.

**Closed Circuit Television (CCTV).** A television system, usually
hard-wired, used for observation and surveillance of designated areas
within a facility or office.

**Controlled Access Area.** A specifically designated area, such as a
room or office where sensitive or privileged information has been
authorized for handling, storage, discussion, or processing, and for
which supplemental controls have been established to monitor, control,
or limit access only to authorized personnel.

**Designated Official (DO).** The individual who is the highest-ranking
federal official in a given facility (or other person agreed upon by all
tenant agencies). The DO directs the activities of the local OEO in
implementation of the OEP.

**Duress Alarm.** A hidden alarm that can be unobtrusively activated by
a receptionist or other individual to warn of a threatening situation.

**Entry Security.** The application of security standards for the
protection of occupants and imposition of controls relative to the entry
of persons, equipment, and packages into a given facility.

**Facility.** A physical building, structure, or complex in which a HUD
Regional or Field Office is located.

**Federal Facility.** A facility that is owned or under the management
and control of the Federal Government.

**Federal Security Levels.** Five security levels (I, II, III, IV, and
V) established to determine minimum security standards for each level
based on factors such as size of a given facility, number of employees,
primary activity, the need for public access, and other factors such as
perceived threat, crime statistics in the local area, etc.

**Homeland Security Advisory System (HSAS).** A set of graduated threat
conditions used to alert federal departments and agencies to implement
specified protective measures in order to minimize vulnerability to
terrorist attacks. From lowest to highest, the threat conditions are
identified by color as: (1) green -- low risk; (2) blue -- guarded risk;
(3) yellow -- elevated risk; (4) orange -- high risk; and (5) red --
severe risk.

**Information Security.** The protection of information and information
systems against unauthorized access or modification of information,
whether in storage, processing, or transit, and against denial of
service to authorized users.

**Interagency Security Committee (ISC).** A permanent body established
by Executive Order 12977 that is chaired by GSA and consists of
representatives from the federal cabinet-level departments and other
federal agencies. The principal responsibilities of the ISC are to:
establish policies for the security and protection of federal
facilities; develop and evaluate security standards for federal
facilities; and develop a strategy for ensuring compliance with such
standards.

**Interior Security.** The application of security standards for the
protection and safeguarding of employees, information, equipment, and
materials within a given facility against espionage, sabotage, damage,
theft, and/or unauthorized access.

**Intrusion Detection System (IDS).** A system designed to detect and
monitor unauthorized entry or attempted entry into a facility or
designated area.

**Leased Space Facility.** A facility that has been leased by the
Federal Government for conducting government business and the level of
security that is attainable in a federal facility may not be possible.

**Monitor.** (1) A video display unit used with a CCTV system. (2) A
centrally-located alarm processing device that receives alarm signals
and displays system status.

**Occupant Emergency Organization (OEO).** A group of employees assigned
to undertake certain responsibilities and perform specific tasks in
response to an emergency that threatens a facility and/or its occupants.

**Occupant Emergency Plan (OEP).** A document that delineates a set of
procedures designed to protect life and property in federally-occupied
space under specified emergency conditions.

**Perimeter Security.** Application of security standards for the
protection and safeguarding of personnel, vehicles, and equipment in the
external areas of a given facility, which may include the outside walls
of a building, sidewalks, parking areas, and adjoining areas.

**Physical Security.** That part of security concerned with physical
measures to: provide for the individual and collective safety and
well-being of personnel; prevent unauthorized access to a designated
facility; and safeguard information, equipment, materials, and documents
within the facility against espionage, sabotage, damage, theft, and/or
unauthorized disclosure.

**Physical Security Advisory Group (PSAG).** An internal group within
HUD, chaired by the Director, Physical Security Division, OSEP,
established to oversee, review, coordinate, and make recommendations on
the processes and procedures employed to ensure the physical security of
each HUD Regional and Field Office.

**Physical Security Plan.** A document that delineates the procedures to
be followed and systems and equipment employed to ensure the safety and
protection of the personnel, information, equipment, and materials
located in a given facility and to preclude unauthorized access into the
facility.

**Physical Security Specialist.** A trained individual whose primary
duties include analytical, planning, advisory, operational, or
evaluative work that has as its principal purpose the development and
implementation of policies, procedures, standards, training, and methods
for safeguarding and protecting information, personnel, property,
facilities, operations, or materials from unauthorized disclosure,
misuse, theft, assault, vandalism, espionage, sabotage, or loss.

**Security Assessment.** A report containing a fundamental evaluation
and analysis of security-related devices, equipment, services, and
procedures in use at a given location, including development of
recommendations for security improvements or enhancements.

**Security Coordinator.** An individual designated by a HUD Regional or
Field Office Director as the principal point-of-contact on all matters
relating to ensuring the security of the office, including development
and coordination of all aspects of implementation and testing of a local
OEP and Physical Security Plan.

**Security Standards.** Standards applied to each Federal Security Level
for ensuring the proper protection and safeguarding of personnel and
property relative to security planning and to the perimeter, entry, and
interior security of federal facilities, whether leased or
government-owned.

**Security System.** A term applied to the totality of a facility's
security equipment, processes, and procedures (e.g., locks, surveillance
equipment, access controls, alarms, security officers, etc).

**Surveillance.** Involves the observation or inspection of persons or
premises for security purposes through alarm systems, CCTV, visual
scrutiny, and/or other means.