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CHAPTER 3. TECHNIQUES FOR SECURITY PLANNING

10\. WHY PLANNING? It would be misleading to attempt to prescribe a

standardized set of specific security measures for all of the

enormous variety of HUD-assisted multifamily housing projects

throughout the nation. For that very practical reason, this

Handbook eschews a simplistic \"how-to-do-it\" approach. In each

instance, the security program should be tailored to the unique

set of needs and constraints which pertain to the particular

project and its residents. This makes careful project-by-

project planning imperative and, as noted in Chapter 2 above,

such planning should be the primary responsibility of

Management. Although this imposes a heavy burden upon

Management, the time and effort invested in planning yields high

dividends, whereas action without thorough planning risks waste,

frustration,and even deterioration of project security.

11\. BASIC PLANNING PROCESS. While no standardized result, in terms

of specific security measures, can be recommended, a relatively

standardized methodology for the planning process itself can be

validly prescribed. The principles of security planning are

much like those which are familiar to Management from its

planning of other aspects of housing operations. Whatever the

circumstances, the same basic planning process is recommended:

Make a preliminary estimate; obtain and analyze the facts; build

alliances; make decisions; assemble resources; evaluate and

modify on a continuing basis. For the small project, this

process can be telescoped into a relatively simple and speedy

effort. For large projects, highly-structured planning may be

necessary. Subject to such adaptations, however, the process is

essentially the same for all projects.

12\. DETAILED STEPS IN THE PLANNING PROCESS. The following is a

step-by-step guide to the process of security planning, and can

be readily adapted to the circumstances of each particular

project:

a\. Preliminary Estimate. At the outset, Management (with the

assistance of other key participants) should make a

preliminary estimate of problems, constraints, goals,

remedial measures,and further planning tasks. This estimate

must be completed quickly, and will thus be merely in the

nature of a rough appraisal. It should, however, point a

definite direction for further planning. The following

procedure is recommended for preparing the preliminary

estimate:

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\(1\) Staff Estimate. First of all, Management staff should

prepare (in written format) its best estimate of

problems, constraints, goals, remedial measures, and

further planning tasks. This estimate should be based

upon such information as is readily available to

Management staff.

\(2\) Policy Input. The staff estimate should then be

submitted to appropriate policy-level Management

officials (LHA Board of Commissioners or executives of

the private owner and managing agent) for their

preliminary guidance. This can avoid unnecessary or

mistaken effort later in the planning process.

\(3\) Resident Input. Next, the staff estimate (as revised

after policy input) should be submitted to the

residents\' organization for its review and

suggestions. At the least, quick resident input at

this point will serve to indicate the major concerns

of residents and identify options which are clearly

unacceptable to residents. This step will also serve

to bring the residents\' organization into early

partnership with Management.

\(4\) Revised Estimate. After the foregoing steps are

completed, Management staff should attempt to

reconcile all inputs and prepare a revised estimate

which will include a detailed planning agenda. This

agenda should specify all remaining tasks, and persons

responsible for each. It should be recognized,

however, that changes in the agenda will probably be

necessary as further planning proceeds.

b\. Obtaining and Analyzing the Facts. Perhaps the most

common defect in residential security programs is the

implementation of protective measures without first

ascertaining the exact nature and degree of the project\'s

security problems. All too often, Managers have installed

expensive systems for hardware, lighting, electronic

surveillance, or security personnel without an accurate

assessment of the probable effectiveness of such measures

against particular types of offenses. Severe problems

sometimes dictate action before all of the facts can be

gathered and analyzed, but even quick response must be

based upon the best factual estimate which can be made in

the time available. See paragraph 14 below. The following

procedure is recommended here:

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\(1\) The fullest possible investigation should be made of the

facts bearing upon security problems, resources, and

constraints. See paragraph 13 below for suggestions as to

specific factual inquiries. Methods of conducting the

investigation may differ with circumstances. In a small

project, the task should be relatively simple. In a large

project, the use of qualified specialists and elaborate

investigative techniques (e.g., questionnaires, examination

of police statistics, in-depth interviews of residents and

project Management staff) may be necessary.

\(2\) Analysis of the raw factual data will then enable Management

to determine the relative importance of the various factual

elements discovered, and the relationships among those

elements. Much of this can be done as investigation

proceeds, but some overall analysis should be reserved until

the factual picture is virtually complete.

c\. Building Alliances. Early in the planning process, Management

should begin to build working alliances with the other three key

participants, plus any other parties whose assistance and support

are desired. Since the fact-finding phase involves considerable

interaction with other participants, it provides excellent

opportunities to cement these alliances. Each participant\'s

role, and the resources needed from each, should be discussed

fully.

d\. Making Decisions. Factual analysis merges automatically into

decisions on the final content of the security program. With a

thorough factual base, Management can make well-reasoned

decisions as to the set of specific security measures which best

meet the needs and constraints identified. It is recommended

that, even in the small project, the security program finally

adopted be put into written format, and copies distributed to

appropriate Management personnel and to each of the other key

participants. The following matters should be considered at this

point in the planning process:

\(1\) Policy-Level Ratifications. The final security program

should be ratified by appropriate policy-level Management

officials (e.g., the LHA Board of Commissioners or

executives of the owner and managing agent). In addition to

the procedural necessity for obtaining proper authorization,

this step serves to sharpen such officials\' awareness of,

and involvement in, the program.

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\(2\) Concurrence of Other Key Participants. While

Management is entitled to insist upon its due

prerogatives as to decisions affecting project

security, as a practical matter other key participants

must have a strong voice in major decisions. Most

protective measures will prove ineffective without the

support of residents and the Police Department. It may

be wise to have the residents\' organization give its

formal endorsement of the plan. To the extent that

outside resources are needed to implement the plan,

concurrence must, of course, be obtained from the

organizations controlling those resources.

\(3\) Goals. The plan should set forth realistic goals, with

order of priority and reasonable target dates. Short-

term goals are the most amenable to detailed definition

at the outset, but longer-term goals should be projected

as far in the future and with as much specificity as is

consistent with realism.

e\. Assembling Resources. To the extent that desired security

measures depend upon non-Management resources, definite

commitments must be obtained before final decisions can be

made on the security plan. It is preferable to complete this

task during the fact-gathering step. However, where major

funding is to be requested, it is ordinarily necessary to

prepare a detailed proposal before a commitment can be

obtained. If phased action over a long period of time is

planned, it may be possible to postpone assemblage of

resources necessary for later phases. In any event,

Management should be prepared to make changes dictated by the

actual availability of resources.

f\. Evaluation and Modification. Management\'s planning function

should not stop when implementation of the security program

begins. On the contrary, no program should be regarded as

indefinitely fixed. Throughout the implementation phase,

Management (again with the assistance of other key

participants) should carry on continued evaluation and

modification of the security program, in order to keep

abreast of changing conditions.

13\. FACTUAL INQUIRIES. For the full factual investigation

described in subparagraph 12b(1) above, the following are

questions which should ordinarily be answered in as much detail

as possible (this list is not necessarily exhaustive):

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a\. What Is the History of Crime in the Project? The fullest

possible information should be obtained on specific types of

offenses (completed and attempted) over the recent past. See

subparagraph 5b(1) above. The Police Department and/or the local

Criminal Justice Coordinating Council (CJCC) may be able to

assist in compiling these data.

b\. What Are the Relevant Characteristics of Offenders and Victims?

Factors bearing on motivation of offenders and vulnerability of

victims, in regard to specific types of offenses, should be

explored. The ages of both offenders and victims are important

here. In addition, the extent to which offenses are the work of

residents or nonresidents should be determined.

c\. What Are the Probable Future Trends of Crime and Vandalism Within

the Project? Opinions of law enforcement, correctional and

social services professionals are especially valuable here, but

Management should give independent weight to indications from the

data produced by its other inquiries. This projection should be

broken down by specific types of offenses. See subparagraph

5b(1) above.

d\. What Are the Relevant Characteristics of the Surrounding

Neighborhood? Of primary interest here is identification of the

nature, incidence, and trends of crime in the immediate

neighborhood, as these data affect the project and its residents.

Facts about neighborhood facilities and services are also

pertinent here.

e\. What are the Relevant Social Forces at Work in the Larger

Community? Such factors as economic trends, illegal drug

traffic, migration patterns, racial tensions, land development,

and general public attitudes should be considered for their

implications for project security.

f\. What Characteristics of the Project\'s Residents Contribute to the

Encouragement or Deterrence of Crime and Vandalism? Both

positive and negative factors (e.g., those related to family

stability, age, income, employment, racial discrimination, and

social attitudes) should be assessed. See especially paragraphs

38 and 39 below.

g\. What are the Nature and Degree of Resident\'s Fear of Crime? See

subparagraph 5b(4) above.

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h\. What Specific Physical Characteristics of the Project\'s

Buildings and Grounds Contribute to the Encouragement or

Deterrence of Crime and Vandalism? Site layout, landscaping,

structural design, equipment, lighting,and hardware are among

the elements which should be studied. On this point, there

is no substitute for a thorough inspection of the property by

a qualified expert on the architectural aspects of security.

See Chapter 4 below.

i\. What Are the Nature and Quality of Police Department

Services to the Project and its Residents? In addition to

information from the Police Department itself, residents\'

views and independent Management evaluation should be

considered. See paragraphs 27 through 30 below.

j\. What Are the Nature and Quality of Other Protective Services

Within the Project? Existing security personnel (e.g.,

Management and tenant patrols, lobby monitors, contract

guards) and other \"software\" measures already in operation

should be evaluated in terms of cost-effectiveness. See

paragraphs 31 through 35 and Chapters 6 through 8 below.

k\. How Do General Management Policies and Practices Affect

Security? Among matters for exploration here are existing

conditions regarding organization, staffing, training,

administration, maintenance, occupancy policies,and

Management-resident relations. See especially Chapter 6

below.

l\. What is the Potential of the Residents\' Organization for

Assisting with a Security Program? See Chapter 6 below.

m\. To What Extent Does Management Have In-House Technical

Capabilities in Security?

n\. What Additional Technical Assistance Is Needed and How Can It

Be Obtained? See paragraphs 59 and 60 below.

o\. What Are the Options for Additional Hardware and Software

Measures? As many reasonable options as possible should be

identified and evaluated for cost-effectiveness. See

Chapters 4 through 8 below.

p\. What Are the Residents\' Views on Various Security Measures?

This inquiry should cover hardware and software measures

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which have actually been employed and the additional options

identified under subparagraph 13o above. Care should be

taken to ascertain whether or not specific measures are

acceptable to residents.

q\. How Does Security Relate to the Project\'s Financial

Condition? The effect of security problems and remedies on

both the capital investment in the property and the

operating budget should be studied.

r\. To What Extent Can New Security Measures be Financed from

Sources Other Than the Regular Operating Budget? See

paragraphs 57 and 58 below.

s\. What Social Services Are Needed in Connection with Project

Security? Existing social services should be evaluated, and

an estimate made of additional needs. Specific sources for

meeting those additional needs should be identified. See

Chapter 7 below.

t\. How Do Federal, State and Local Laws and Regulations Affect

Project Security? See paragraph 8 above and subparagraph

16e below.

14\. EMERGENCY MEASURES. While thorough planning of the type

indicated indicated in paragraphs 12 and 13 above will require

considerable time, and is designed to produce a comprehensive

program extending over the long term, such planning by no means

precludes short-term or even emergency action. Intrinsic to

this process is the setting of priorities and target dates for

phased actions. It should normally be possible to launch some

short-term actions (particularly of the \"Check\" type) before

preparation for longer-term actions (particularly of the \"Cure\"

type) is complete. Where critical security problems create a

need for emergency measures, it will be necessary to modify the

steps outlined in paragraphs 12 and 13 above. Nevertheless,

blind action is never justifiable, and some advance planning is

always both necessary and possible, even in emergencies.

Accordingly, the following points should be observed in

emergency situations:

a\. The maximum planning permitted by the circumstances should

be undertaken in emergencies. At the least, a deliberate

though rapid Management estimate of the facts should be

made. Such planning steps as quick physical inspection of

the

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property and consultation with the residents\' organization

and the Police Department should ordinarily not result in

unacceptable delay.

b\. To minimize the risks of hasty action, emergency measures

should be limited to those which appear necessary to meet

critical problems. Special caution should be taken in

regard to measures which involve heavy expense, which are

likely to be difficult to modify or which might cause

undesirable \"side effects.\" While this Handbook generally

advises against a piecemeal approach, minimal \"stopgap\"

measures may be the best interim approach to emergency

problems.

c\. Options should be preserved for different or additional

measures after further planning. Limited emergency measures

can be made consistent with orderly phasing of actions, as

part of a well-planned comprehensive security program over

the long term.

15\. SPECIAL PLANNING CONSIDERATIONS FOR NEW OR RENOVATED

HOUSING.

Where new construction or renovation of multifamily housing is

contemplated, security planning takes on a special dimension.

Here Management is not constrained by fixed physical conditions,

but has many options to build in major security features at

acceptable cost. In these situations, the following elements

must be considered in adapting the planning process previously

outlined:

a\. Site Selection. For new construction, security planning

should begin with site selection. HUD Site Selection

Criteria include provision for management analysis which

would include security concerns. The site itself has major

and sometimes irreversible consequences for long-term

security. Subparagraphs 13d and 13e above are particularly

relevant here.

b\. Residents\' Characteristics. In planning for new

construction or renovation, Management is afforded unique

opportunities concerning the selection of a new generation

of residents. The first choice relates to the types of

households to be accommodated\--family or elderly, large or

small. Unit size will affect the number of resident

children, with probable consequences for security. After

targeting the general market, Management should cause

security concerns to be reflected in its tenant selection

policy. See paragraph 44 below. Even if Management does not

fully

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exercise its options in these respects, a thorough knowledge

of the targeted market will at least let Management know

what to expect as to security-related characteristics of

prospective residents.

c\. Design and Hardware. One of the most important security

options for new or renovated housing lies in the area of

architectural design and hardware. See Chapter 4 below.

Preplanning offers unique opportunities to build in good

security features at feasible cost, and the architects

should have a thorough knowledge of specific security

problems anticipated and the state of the art of

architectural planning for security. See paragraph 19

below.

16\. ALLOCATION OF RESPONSIBILITIES FOR SPECIFIC PLANNING TASKS.

Subject to the overall responsibility of Management,

responsibilities for specific planning tasks should be clearly

assigned to particular persons or organizations. For the small

project, this will probably be a simple matter, but in all

instances responsibilities should be clearly fixed and

incorporated in the planning agenda suggested in subparagraph

12a(4) above. The following guidelines should be observed in

this connection:

a\. Central Responsibility. One specific person on Management\'s

staff should be assigned central responsibility for security

planning, even if an outside consultant is also retained to

conduct the planning effort and regardless of what

subsidiary responsibilities are assigned to non-Management

participants. If Management has a Staff Security

Specialist, that person would be the logical choice, but in

any event the designated staff member should be an

executive-level employee who is well-qualified to oversee a

comprehensive planning effort.

b\. Planning Consultants. Particularly for a large project, it

may be advisable to retain a qualified outside consultant to

conduct all or a part of the planning effort.

c\. Resident Representatives. The residents\' organization

should be requested to appoint one or more of its members to

take responsibility for that organization\'s planning input.

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d\. Committees of Key Participants. Where an extensive planning

effort is required, consideration should be given to use of

a planning committee made up of representatives of the four

key participants\--Management, the residents\' organization,

the local Police Department,and local social services

agencies. Representatives of other community organizations

may be included if that promises practical advantages, but

the committee should be kept small enough to function as an

effective working body. The committee should begin its

work after the preliminary estimate is written, and should

continue to meet regularly, at least until a comprehensive

plan is ready for implementation. If the committee proves

valuable, consideration should be given to its continuation

after the implementation phase begins, in order to assist

Management with ongoing coordination and evaluation.

e\. Legal Counsel. Management\'s attorney should become involved

in the security planning process as early as possible \--

ideally, before decisions are made rather than after legal

problems arise. The attorney\'s involvement should ensure

that all legal problems are avoided or minimized.

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