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WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (xx/12)
OMB Control Number 1652-xxxx; Expiration Date xx/xx/20xx
PAGE 1 of 54
SENSITIVE SECURITY INFORMATION
THIS PAGE INTENTIONALLY LEFT BLANK
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 2 of 54
SENSITIVE SECURITY INFORMATION
DEPARTMENT OF HOMELAND SECURITY
Transportation Security Administration
PIPELINE SECURITY
CORPORATE SECURITY REVIEW (CSR)
SECTION I. Instructions
PURPOSE
The Corporate Security Review (CSR) is one of TSA’s core programs designed to better understand pipeline-operator
security planning and implementation. The CSR meeting is designed to help TSA learn more about your company’s pipeline system(s) and security and to establish a relationship that will be helpful for your company during any security-related
event or emergency. It is also an opportunity to review your company’s list of critical facilities and understand the details
of your company’s security program and plans. If this is a return visit, we will discuss how your company has changed or
evolved since our previous visit and also discuss how your company has reduced it’s risk through evolution, mitigation,
and preparation. Please note, the CSR is not a compliance review, audit, or inspection.
ADVANCED PREPARATIONS
Advanced preparations make the meeting much more efficient.
•
•
Please review this question set and fill in your answers before the CSR visit.
Please be prepared to discuss what your company does to protect its pipeline system(s).
Consider both physical and cyber asset-protection measures.
HINTS FOR FILLING OUT THE QUESTION SET
The question set is broken up into several parts. Each part has between 3 and 27 questions.
•
•
•
There are two basic types of questions:
– Those that can be answered with a “yes” or “no”
– Those with a short list of answers where multiple choices may be selected
Each question has a comment box that can be used to supply supplemental or explanatory information.
Supplemental information has been provided to help answer the questions. To view this help, hover–do not
click–over the small question mark to the left of the question number.
INFORMATION SECURITY
Any information your company provides TSA is considered Sensitive Security Information (SSI) under 5 U.S.C. 552 and
49 CFR parts 15 and 1520. The protections of the rule cover any discussions, observations, and disclosure of records
during the course of the review. TSA protects all information shared and will provide your company a non-disclosure
agreement on TSA letterhead.
To invoke the protection of the rule, SENSITIVE SECURITY INFORMATION is established in every header and the SSI
rule is established in every footer.
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 3 of 54
SENSITIVE SECURITY INFORMATION
THIS PAGE INTENTIONALLY LEFT BLANK
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 4 of 54
SENSITIVE SECURITY INFORMATION
Report Date:
Visit Date:
SECTION II. Company Contact Information
1. Name Of Corporation/Company
2. Meeting Street Address
3. City
4. County
5. State
6. Zip
7. Corporate Mailing Address
8. City
9. County
10. State
11. Zip
14. Ext
15. Pager
12. Name Of Primary Security Coordinator
13. Office Phone
17. Fax
16. Mobile Phone
18. Email
19. Name Of Alternate Security Coordinator
20. Office Phone
21. Ext
23. Mobile Phone
22. Pager
24. Fax
25. Email
26. 24-Hour Emergency Contact Phone Number
1.
2.
3.
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 5 of 54
SENSITIVE SECURITY INFORMATION
SECTION III. Company-Wide Description
27. List the states in which you are operating
45. Number of LNG facilities
46. Number of NGL facilities
47. Number of marine terminals
48. Number of SCADA control rooms
28. Total pipeline mileage
29. Cross-border operations
YES
NO
49. Number of backup SCADA control rooms
50. Number of emergency operations centers
30. Products carried:
Refined product
51. Number of Delivery Points
Crude oil
Natural Gas
52. Company Profile Comments
Liquefied Natural Gases
Chemicals (List below)
31. Number of pipeline systems operated
32. Pipeline size(s)
33. Maximum daily flow capacity
34. Average daily flow capacity
35. Annual deliveries
36. Storage capacity
37. Total number of corporate employees
38. Total number of pipeline operations employees
39. Number of pipelines on bridges
40. Number of standalone pipeline bridges
41. Number of storage facilities
42. Number of breakout tank facilities
43. Number of pumping stations
44. Number of compressor stations
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 6 of 54
SENSITIVE SECURITY INFORMATION
SECTION IV. Corporate Security Program Management
1.
Have you established a Corporate Security Program?
2.
Does your corporation have a written corporate security plan or other documented security
procedures or policies?
3.
Which of the following corporate plans are directly included or incorporated by reference in the
corporate security plan?
Business continuity plan
Emergency recovery plan
SCADA plan
Site-specific security measures for each critical facility
Emergency response plan
Other (if checked, elaborate in comment field)
4.
Is the corporate security plan reviewed on a regular basis and updated as required?
5.
Does the corporate security plan describe the responsibilities and duties of personnel assigned to
security functions?
6.
Is the corporate security plan readily available for those persons responsible for security actions?
7.
Does your corporation provide all employees with a redacted version of your corporate security plan?
YES
NO
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 7 of 54
SENSITIVE SECURITY INFORMATION
SECTION IV. Corporate Security Program Management continued
8.
YES
NO
Which of the following elements are addressed in the corporate security plan?
System description
Security-threat and incident-response procedures
Security administration and management structure
National Terrorism Advisory System (NTAS) measures
Risk analysis and assessments
Security plan reviews and updates
Physical security and access control
Recordkeeping
Equipment maintenance and testing
Supervisory Control and Data Acquisition (SCADA) system security
Design and construction security measures
Essential security contacts
Personnel screening
Security testing and audits
Communications
Resilience or business continuity
Personnel training
Other (if checked, elaborate in comment field)
Drills and exercises
9.
Do you have sufficient resources including trained staff and equipment to effectively execute your
corporate security program?
10. Have you designated one primary individual by position or name to manage the corporate
security program?
11.
Have you designated one alternate individual by position or name to manage the corporate security
program in the absence of the primary individual?
12. Does your corporate security manager work 100 percent on security as opposed to being tasked with safety, environmental
health and safety, compliance, and so forth?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 8 of 54
SENSITIVE SECURITY INFORMATION
SECTION IV. Corporate Security Program Management continued
YES
NO
13. Does your corporation’s security manager or equivalent position have a direct reporting relationship to the
senior leadership in the corporation?
14. Does the corporation have a cross-departmental security committee?
15. Which of the following departments are represented on the security committee?
Corporate management
Engineering
Human resources
Operations and/or maintenance
Security
Information technology
Legal
Other (if checked, elaborate in comment field)
16. Do you have executive-level support for implementing security enhancements?
17. Does your corporation have a dedicated funding mechanism—capital, operating, and/or maintenance
budget—for security?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 9 of 54
SENSITIVE SECURITY INFORMATION
SECTION IV. Corporate Security Program Management continued
YES
NO
18. How much operations and/or maintenance money did your corporation spend on security in the previous
fiscal year?
< $99,999
$500,000 - $999,999
$100,000 - $249,999
$1,000,000 - $4,999,999
$250,000 - $499,999
>$5,000,000
19. How much capital money did your corporation spend on security in the previous fiscal year?
< $99,999
$500,000 - $999,999
$100,000 - $249,999
$1,000,000 - $4,999,999
$250,000 - $499,999
>$5,000,000
Record the total corporate and corporate security budgets in the comment field
20. Does your corporation integrate security measures during the design, construction, renovation, or
retrofit of a facility?
21.
Does your corporation allocate security resources based on facility criticality?
22. Does your corporation have an ongoing relationship with the following entities/departments/
agencies/organizations?
Local emergency responders
Local homeowners
Tribal emergency responders
Neighboring corporations
State emergency responders
Trade association security committees
Federal emergency responders
Sector coordinating councils
Federal Bureau of Investigation (FBI)
ASIS International
Department of Homeland Security (DHS)
Other (if checked, elaborate in comment field)
Transportation Security Administration (TSA)
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 10 of 54
SENSITIVE SECURITY INFORMATION
SECTION IV. Corporate Security Program Management continued
YES
NO
23. Does your corporation actively verify and update external contact lists annually?
24. Does your corporation utilize any of the following security standards or methodologies?
National Fire Protection Association (NFPA)
International Organization for Standardization (ISO)
ASIS International
American Petroleum Institute/National Petrochemical and Refiners Association (API/NPRA)
Interstate Natural Gas Association of America (INGAA)
American Gas Association (AGA)
Other (if checked, elaborate in comment field)
25. Has your corporation established security metrics and/or internal reporting?
26. Are security incidents at your corporation managed centrally?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 11 of 54
SENSITIVE SECURITY INFORMATION
SECTION IV. Corporate Security Program Management continued
Corporate Security Program Management general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 12 of 54
SENSITIVE SECURITY INFORMATION
SECTION V. Risk Analysis — Critical Facility Determination
1.
Does your corporation utilize a documented process to determine which facilities are critical within
your pipeline systems?
2.
Does your corporation conduct criticality determinations at least every eighteen months?
3.
Does your corporation protect and limit access to criticality assessments and critical-facility lists?
4.
Who has access to the list of critical facilities?
Corporate management
Other facility managers
Security manager
All employees
Assistant security manager
Outside entity who assisted in criticality assessment
Security staff
Other (if checked, elaborate in comment field)
YES
NO
Critical facility managers
5.
Did you utilize the criteria from the 2011 TSA Pipeline Security Guidelines to determine your list of
critical facilities?
6.
During the criticality assessment of your facilities, which of the following criteria were met?
Critical to national defense
National landmarks or monuments
Key infrastructure
Major rivers, lakes, or waterways
Mass casualty or significant health effects
Deliverability to significant number of customers
Disruption to state or local government public
or emergency services
Business critical
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 13 of 54
SENSITIVE SECURITY INFORMATION
SECTION V. Risk Analysis — Security Vulnerability Assessment (SVA)
7.
Does your corporation conduct documented threat assessments?
8.
Does your corporate threat-assessment process assess the following potential threats?
9.
Trespassing
Terrorism
Bomb threat
Active shooter
Arson
Chemical, biological, radiological, or nuclear incident
Riot
Cyber attack on SCADA system(s)
Suspicious incident
Insider threat
Crime or vandalism
Hostage
Surveillance
Other (if checked, elaborate in the comment field)
YES
NO
From whom does your corporation receive threat information to assist in your SVA?
Transportation Security Operations Center (TSOC)
Local law enforcement
DHS Protective Security Advisor (DHS PSA)
Coast Guard
Joint Terrorism Task Force (JTTF)
Broadcast news media
Federal Bureau of Investigation (FBI)
Corporate affiliations
Homeland Security Information Network (HSIN)
Other (if checked, elaborate in comment field)
State fusion center(s)
10. Does your corporation conduct an SVA of your critical facilities periodically not to exceed 36 months?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 14 of 54
SENSITIVE SECURITY INFORMATION
SECTION V. Risk Analysis — Security Vulnerability Assessment (SVA) continued
11.
YES
NO
When conducting an SVA, which of the following documented methodologies are you using?
Criticality, Accessibility, Recuperability, Vulnerability, Effect, Recognizability (CARVER)
American Petroleum Institute/National Petrochemical and Refiners Association (API/NPRA)
Mission, Symbolism, History, Accessibility, Recognizability, Population, Proximity (MSHARPP)
Third-party or corporate proprietary
Other (if checked, elaborate in comment field)
12. Does your corporation conduct an SVA of your critical facilities after completing any significant
enhancement or modification not exceeding twelve months?
13. Upon completion of an SVA, are corrective actions implemented within eighteen months?
14. Does your corporation conduct SVAs on your noncritical facilities?
15. Are facility support infrastructure such as water, electrical power, and telecommunications considered
during the SVA?
16. Are the findings and recommendations from SVAs reviewed at the executive level?
17. Does your corporation protect and limit access to SVAs?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 15 of 54
SENSITIVE SECURITY INFORMATION
SECTION V. Risk Analysis — Security Vulnerability Assessment (SVA) continued
18. Who in your corporation has access to completed SVAs?
Corporate management
Other facility managers
Security manager
All employees
Assistant security manager
Outside entity who assisted in the SVAs
Other security personnel
Other (if checked, elaborate in comment field)
Critical facility managers
Risk Analysis general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 16 of 54
SENSITIVE SECURITY INFORMATION
SECTION VI. Operational Security
1.
Is there at least one individual within your corporation who holds a current federal security clearance?
2.
What is the highest level of clearance that is held within your corporation?
Top Secret
Confidential
Secret
Other (if checked elaborate in comment field)
3.
Does your corporation have a process to receive, store, and disseminate restricted or
classified information?
4.
Does your corporate policy stipulate that external communications such as press releases, marketing
information, and other publicly available information be reviewed for security concerns prior to release?
5.
Does your corporation regularly review your corporate website to ensure potentially sensitive, excessive
detail, or confidential information that could pose a security risk is not publicly available?
6.
Does your corporation have a process to control documents that, taken together, may provide an
adversary with operational or security information that could harm the company?
7.
Does your corporation have a document-marking policy or procedure?
YES
NO
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 17 of 54
SENSITIVE SECURITY INFORMATION
SECTION VI. Operational Security continued
8.
Has your corporation taken any of the following steps to apply operations security (OPSEC) in daily activities?
Mark documents
Hold conversations in appropriate locations
Report undue interest in pipeline security or operations
Secure sensitive documents outside of office areas
such as in vehicles or in transport
Dispose of documents properly
Dispose of computer equipment and
associated media securely
Create strong passwords
Change passwords periodically
Vary patterns of behavior
Remove badges in public
Other (if checked, elaborate in comment field)
Operational Security general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 18 of 54
SENSITIVE SECURITY INFORMATION
SECTION VII. Personnel and Contractor Security
YES
1.
Does your corporation conduct preemployment background checks on all your potential employees?
2.
Does your corporation conduct preemployment background checks based on the nature of
the position?
3.
Which of the following types of preemployment background checks and screening does your corporation conduct?
NO
Criminal
Employment verification
Alcohol/drug screening
Department of Motor Vehicles (DMV)
E-Verify
Other (if checked elaborate in comment field)
Credit
Education verification
4.
Does your corporation conduct recurring background checks every ten years or less for employees
occupying security positions or who have access to sensitive information or areas?
5.
Do your corporate contracts require background checks for all contractor personnel who have unescorted
or unsupervised access to company critical facilities?
6.
Does your corporation verify that background checks of at least the same degree of rigor as corporate
checks are performed for persons with unescorted or unsupervised access to company critical facilities?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 19 of 54
SENSITIVE SECURITY INFORMATION
SECTION VII. Personnel and Contractor Security continued
7.
YES
NO
Which of the following persons have unescorted or unsupervised access to company critical facilities?
Contractors
Tenants
Vendors
Other (if checked, elaborate in comment field)
Other colocated facility personnel
8.
Does your corporation have a policy and/or procedure in place for secure employee termination?
9.
Which of the following are conducted during termination activities?
Retrieve badge or identification card
Block computer-system access
Disable passwords
Discharged employee signs nondisclosure agreement
Retrieve keys
Other (if checked elaborate in comment field)
Retrieve operational and/or security manuals
Personnel and Contractor Security general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 20 of 54
SENSITIVE SECURITY INFORMATION
SECTION VIII. Physical Asset Protection — Physical Security Measures
1.
Does your corporation use a layered, defense-in-depth system of physical security measures?
2.
Which of the following features or processes are in use at your critical facilities?
YES
NO
Fences
Patrols
Gates equivalent to attached barrier
Lighting
Signage such as No Trespassing, Do Not Enter,
Authorized Personnel Only, CCTV in Use, etc.
Crime Prevention Through Environmental Design (CPTED)
Closed circuit television (CCTV)
Intrusion sensors
Unarmed guards
Armed guards
Video-analytic systems
Alarms
Clear zones around fence lines
Locks
Barriers such as bollards, planters, or Jersey barriers
Video recording
Intrusion-detection systems
Other (if checked, elaborate in comment field)
Tamper devices
3.
Which of the following features are in use at your noncritical facilities?
Fences
Patrols
Gates equivalent to attached barrier
Lighting
Signage such as No Trespassing, Do Not Enter,
Authorized Personnel Only, CCTV in Use, etc.
Crime Prevention Through Environmental Design (CPTED)
Closed circuit television (CCTV)
Intrusion sensors
Unarmed guards
Armed guards
Video–analytic systems
Alarms
Clear zones around fence lines
Locks
Barriers such as bollards, planters, or Jersey barriers
Video recording
Intrusion detection systems
Other (if checked, elaborate in comment field)
Tamper devices
4.
Does your corporate policy stipulate that doors, gates, windows, or entrances be closed and locked
when not in use?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 21 of 54
SENSITIVE SECURITY INFORMATION
SECTION VIII. Physical Asset Protection — Physical Security Measures continued
5.
Does your corporation have 24/7 security monitoring at your critical facilities to detect and assess
unauthorized access?
6.
Does your corporate policy stipulate that any facility lighting must provide sufficient illumination for
human or technological recognition of an intrusion?
YES
NO
Physical Asset Protection — Physical Security Measures general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 22 of 54
SENSITIVE SECURITY INFORMATION
SECTION IX. Physical Asset Protection — Access
1.
Does your corporation have an access-control policy?
2.
To what areas does your corporation’s access-control policy apply?
3.
YES
Critical field facilities
Security offices
Noncritical field facilities
Server rooms
Headquarters facility
Specific operational areas
SCADA Control Center
Other (If checked, elaborate in comment field)
NO
How does your corporation physically control normal access to controlled-access areas?
Lock and key
Proximity card
Biometric reader
Radio remote control
Digital keycard
Other (if checked elaborate in comment field)
4.
Does your corporate access-control policy address access to controlled-access areas for visitors, transient
visitors, and emergency responders?
5.
Do corporate personnel escort visitors while at controlled-access areas or critical facilities?
6.
To whom does your corporation allow unescorted access to controlled-access areas?
Company employees not assigned to the facility
Visitors
Contractors assigned to the facility
Emergency responders in emergency situations
Contractors not assigned to the facility
Other (if checked, elaborate in comment field)
Transient visitors such as UPS®, Fed-Ex®, USPS workers, vending-machine suppliers, landscapers, etc.
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 23 of 54
SENSITIVE SECURITY INFORMATION
SECTION IX. Physical Asset Protection — Access continued
YES
7.
Does your corporation track, document, or digitally record access to controlled-access areas?
8.
Does your corporation have a badging or identification-card policy?
9.
To whom does your corporation issue badges or identification cards?
All employees
Contractors not assigned to the facility
Company employees assigned to the facility
Visitors
Company employees not assigned to the facility
Other (if checked, elaborate in comment field)
NO
Contractors assigned to the facility
10. Does your corporation ensure company or vendor identification is visibly displayed by employees and contractors while on-site?
11.
Does your corporation have policies and procedures to address lost or stolen badges or identification cards?
12. Does your corporation have a corporate key-control program?
13. Does your corporation conduct a key inventory at least every 24 months?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 24 of 54
SENSITIVE SECURITY INFORMATION
SECTION IX. Physical Asset Protection — Access continued
YES
NO
14. Does your corporation use patent keys to prevent unauthorized duplication?
Physical Asset Protection — Access general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 25 of 54
SENSITIVE SECURITY INFORMATION
SECTION X. SCADA Security
YES
1.
Does your corporation have a written SCADA security plan or other documented security procedures
or policies?
2.
Does your corporation have policies and/or procedures in place to track changes made to the
SCADA system(s)?
3.
Does your corporation review and assess all its SCADA security procedures annually?
4.
Does your corporation have procedures in place to prevent unauthorized access to your SCADA system(s)?
5.
Does your corporation conduct penetration testing on your SCADA network?
6.
Does your corporation have a backup control center?
7.
Does your corporation have a designated individual responsible for SCADA security?
NO
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 26 of 54
SENSITIVE SECURITY INFORMATION
SECTION X. SCADA Security continued
YES
8.
Do you restrict any remote operation of your SCADA system from portable electronic devices other than the
pipeline control center?
9.
Does your corporation perform a criticality assessment on your SCADA system(s) at least every eighteen months?
NO
10. Does your corporation perform a vulnerability assessment on your SCADA system(s) at least every
36 months?
11.
Does your corporation utilize a layered, defense-in-depth approach to SCADA system(s) access?
12. Is your corporation’s SCADA system(s) housed on an isolated/segregated secure network?
13. Does your corporation monitor and periodically review SCADA system(s) network connections including
remote and third-party connections?
14. Prior to deployment, does your corporation evaluate the security risks of using wireless networking in your
environment?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 27 of 54
SENSITIVE SECURITY INFORMATION
SECTION X. SCADA Security continued
YES
NO
15. Which of the following features does your corporation use to secure your SCADA system(s)?
Locked facilities
Access lists
Strong passwords
Entry logs
Communication gateways
Firewalls
Access-control lists
Demilitarized zone (DMZ)
Authenticators
Intrusion-detection system
Separation of duties
Intrusion-prevention system
Invocation of least privilege—only able to access
information and resources that are necessary
Maintain patches
Keycards
Other (if checked, elaborate in comment field)
16. Has your corporation developed a cross-functional cyber-security team for information security between your
SCADA system(s) and enterprise networks?
17. Which of the following groups are represented on your corporate cyber-security team?
Operations and/or maintenance
Third-party contractors or vendors
Information technology (IT)
Other (if checked elaborate in comment field)
18. Has your corporation established security standards for evaluating the acquisition of SCADA-system
devices and equipment?
19. Does your corporation only use SCADA workstations for approved control-system activities?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 28 of 54
SENSITIVE SECURITY INFORMATION
SECTION X. SCADA Security continued
YES
NO
20. Does your corporation securely dispose of the hardware used to run your SCADA system(s)?
21. Does your corporation incorporate restoration and recovery of your SCADA system(s) in your
resiliency plans?
SCADA Security general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 29 of 54
SENSITIVE SECURITY INFORMATION
SECTION XI. Security Training
YES
1.
Does your corporation establish guidance for security training in your corporate security plan?
2.
Does your corporation require and conduct security-awareness training upon hire for all employees
and contractors?
3.
Does your corporation require and conduct biennial refresher security-awareness training for all
employees and contractors?
4.
Does your corporation require and conduct job-specific security training for all employees assigned
security duties?
5.
Does your corporation require and conduct annual refresher job-specific security training for all
employees assigned security duties?
6.
Does your corporation maintain security-related training records?
7.
Does your corporation conduct security orientations for visitors and vendors?
NO
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 30 of 54
SENSITIVE SECURITY INFORMATION
SECTION XI. Security Training continued
YES
8.
Does your corporation conduct SCADA-system(s) security training?
9.
Does your corporation conduct annual refresher training for SCADA-system(s) security?
NO
10. To maintain security domain awareness, do your corporation’s security personnel attend conferences, forums,
or other advanced security training?
11.
Have your corporation’s security personnel availed themselves of any of the following training
opportunities or affiliations?
Security forums or conferences
Government sector committee(s)
Pipeline forums or conferences
Industry security collaboration
Advanced security training
Other (if checked elaborate in comment field)
Security committee(s) participation
12. Does your corporation use any of the TSA security-training material?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 31 of 54
SENSITIVE SECURITY INFORMATION
SECTION XI. Security Training continued
Security Training general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 32 of 54
SENSITIVE SECURITY INFORMATION
SECTION XII. Drill, Exercise, and Program Validation
1.
Does your corporation conduct annual security-related drills and exercises?
2.
Over the past three (3) years, what types of facilities in your corporation have you exercised?
Critical facility
Security operations center
Noncritical facility
Maritime Transportation Security Act (MTSA) facility
SCADA center
Other (if checked elaborate in comment field)
YES
NO
Emergency operations center
3.
Over the past three (3) years, with whom has your corporation exercised?
Local emergency responders
Department of Homeland Security (DHS)
Tribal emergency responders
Transportation Security Administration (TSA)
State emergency responders
Neighboring corporations
Federal emergency responders
Other (if checked elaborate in comment field)
Federal Bureau of Investigation (FBI)
4.
Does your corporation conduct unannounced security-related drills or exercises?
5.
Does your corporation document and maintain the results of all security-related drills and exercises?
6.
Does your corporation document and complete corrective actions identified during security-related drills
and exercises?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 33 of 54
SENSITIVE SECURITY INFORMATION
SECTION XII. Drill, Exercise, and Program Validation continued
7.
Does your corporation validate its security contact list periodically?
8.
Does your corporation’s security plan include a documented process for conducting periodic security
audits of your facilities?
YES
NO
Drill, Exercise, and Program Validation general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 34 of 54
SENSITIVE SECURITY INFORMATION
SECTION XIII. Maintenance
YES
1.
Does your corporation have a security-equipment maintenance program?
2.
Which of the following methods does your corporate security maintenance program use?
Corrective maintenance
Testing
Preventive maintenance
Inspection
3.
Does your corporation conduct quarterly security-equipment inspections?
4.
Does your corporation conduct an annual security-equipment inventory?
5.
Does your corporation have alternate power sources for security equipment at critical facilities?
6.
Does your corporation test and evaluate communication equipment annually?
7.
Does your corporation retain security-equipment maintenance and testing records?
NO
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 35 of 54
SENSITIVE SECURITY INFORMATION
SECTION XIII. Maintenance continued
Maintenance general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 36 of 54
SENSITIVE SECURITY INFORMATION
SECTION XIV. Communications Devices and Mechanisms
1.
YES
NO
Which of the following devices does your corporation use to accomplish emergency/security
communication or notification?
Email
Low band radio
Telephone
High band radio
Cellular telephone
Company band radio
Satellite telephone
Pager
Video conferencing
Other (if checked elaborate in comment box)
2.
Does your corporation have a mechanism, computer-driven process, or vendor services for automatic
security notifications?
3.
Does your corporation use Government Emergency Telecommunications Service (GETS) cards?
Communications Devices and Mechanisms general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 37 of 54
SENSITIVE SECURITY INFORMATION
SECTION XV. Security Incident Management
YES
1.
Does your corporation maintain a list of internal contact information for reporting and responding to a
security incident, threat, or suspicious activity?
2.
Which of the following internal contacts is on the corporation security incident, threat, or suspicious
activity notification list?
3.
Corporate management
All employees
Security management
Contractors
Critical facility employees
Other (if checked, elaborate in the comment field)
NO
Which of the following external agencies/organizations is on the corporation security incident, threat or
suspicious activity notification list?
National Response Center (NRC)
Other federal agencies
Local emergency responders/911
Federal Bureau of Investigation (FBI)
Transportation Security Administration/Transportation
Security Operations Center (TSA/TSOC)
Department of Homeland Security (DHS)
Tribal emergency responders
State emergency responders
Neighboring corporations
Other (if checked, elaborate in the comment field)
4.
Does your corporation have an enterprise-wide system of security measures intended to be implemented
based on credible threat information?
5.
Does your corporation have site-specific security measures intended to be implemented based on credible threat
information?
6.
Are your corporation’s site-specific security measures reviewed at least every eighteen months?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 38 of 54
SENSITIVE SECURITY INFORMATION
SECTION XV. Security Incident Management continued
YES
7.
Does your corporation have a policy and/or procedure for internally disseminating security threat or
incident information?
8.
To whom in your corporation is security threat or incident information disseminated?
Corporate management
Engineering
Security management
Operations and/or maintenance
Regional operations management
Union representative
Site management
Tenants
Internal security committee
Contractors
Human resources
Other (if checked, elaborate in the comment field)
NO
Legal
9.
From whom does your corporation receive current security threat information?
Transportation Security Operations Center (TSOC)
Coast Guard
DHS Protective Security Advisor (DHS PSA)
Broadcast news media
Joint Terrorism Task Force (JTTF)
Corporate affiliations
Federal Bureau of Investigation (FBI)
Department of Energy
Homeland Security Information Network (HSIN)
State fusion center(s)
Homeland Infrastructure Threat and
Risk Analysis Center (HITRAC)
Local law enforcement
Other (if checked, elaborate in comment field)
10. Does your corporation have a policy and/or procedure to record security threat information received?
11.
Does your corporation have a policy and/or procedure to evaluate security threat information as it
is received?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 39 of 54
SENSITIVE SECURITY INFORMATION
SECTION XV. Security Incident Management continued
YES
NO
12. Does your corporation have adequate staffing to implement security measures in response to security
threat information?
13. Does your corporation have contracts in place with private security providers to augment existing security
staff during times of heightened alert?
14. During times of heightened alert, would your corporation limit physical access to critical facilities?
15. During times of heightened alert, would your corporation limit physical access to noncritical facilities?
16. During times of Elevated Alert, would your corporation enact the following physical access
controls at your critical facilities?
Limit facility access to essential personnel
Limit facility access to essential visitors
Limit facility access to essential vehicles
Limit facility access to essential contractors
Increase surveillance of critical areas and facilities
Restrict deliveries to those essential to continued operations
Delay or reschedule nonvital capital project work
that could affect facility security
Increase lighting of facility buffer zones
Verify operating conditions of security systems—
intrusion detection, cameras, or lighting
Request additional police patrols around the facility
Other (if checked, elaborate in the comment field)
Conduct random inspections of vehicles
Delay or reschedule nonvital maintenance activities that could
affect facility security
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 40 of 54
SENSITIVE SECURITY INFORMATION
SECTION XV. Security Incident Management continued
17. During times of Imminent Alert, would your corporation enact the following physical access controls at your
critical facilities?
Cancel or delay contractor work and services
Allow deliveries by appointment only
Inspect all briefcases, bags, purses, or backpacks
Inspect all vehicles prior to entering the facility
Erect barriers and/or obstacles to control vehicular
traffic flow
Restrict vehicle parking to 150 feet from all critical
areas and assets
Inspect all deliveries including packages and cargo
Coordinate with local authorities regarding closing
nearby public roads and facilities
Close nonessential entrances and facility access points 24/7
Other (if checked, elaborate in the comment field)
Staff and monitor active facility entrances and access
points 24/7
18. During times of Elevated Alert, would your corporation enact any of the following measures on your
SCADA system(s)?
Increase monitoring of intrusion-detection systems on
your SCADA network?
Remind personnel to be vigilant regarding suspicious
electronic mail
Report any unusual SCADA-system network activity
Other (if checked elaborate in comment field)
19. During times of Imminent Alert, would your corporation enact any of the following measures on your
SCADA system(s)?
Limit network communications links to essential sites/users
Review and revoke any credentials that are not current and necessary
Other (if checked elaborate in comment field)
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 41 of 54
SENSITIVE SECURITY INFORMATION
SECTION XV. Security Incident Management continued
YES
NO
20. During times of Elevated Alert, would your corporation enact any of the following
communication-related measures?
Inform all employees and on-site contractors of the
increase or decrease to Elevated Alert
Liaison with local law enforcement to inform them
of the change to Elevated Alert
Conduct security awareness briefings to all employees
and on-site contractors
Liaison with local law enforcement to advise them
of your Elevated Alert security measures
Brief employees and contractors on indicators of
suspicious packages or mail
Verify operational capability of intelligence and
emergency communications networks
Review response procedures for suspicious packages or mail
Monitor intelligence and emergency communications
networks
Other (if checked, elaborate in the comment field)
21. During times of Imminent Alert, would your corporation enact any of the following
communication-related measures?
Inform all employees of the increase to Imminent Alert
Conduct daily security and awareness briefings for
each shift
Participate in scheduled situational briefings including
TSA, local law enforcement, and industry associations
Other (if checked elaborate in comment field)
22. Does your corporation utilize an incident-management system for security-related events?
23. Does your corporation use the National Incident Management System (NIMS)?
24. Does your corporation have procedures for the following types of incidents?
Incident reporting
Arson
Terrorist attack
Insider threat
National Terrorism Advisory
System (NTAS) levels
Riot
Active shooter
Hostage
Suspicious incident
Chemical, biological,
radiological, or
nuclear incident
Crime-scene management
Trespassing
Bomb threat
Pandemic
Crime or vandalism
Surveillance
Cyber attack on
SCADA system(s)
Other (if checked, elaborate
in the comment field)
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 42 of 54
SENSITIVE SECURITY INFORMATION
SECTION XV. Security Incident Management continued
YES
NO
25. Which organizations does your corporation work with during a security incident?
Local emergency responders
Department of Homeland Security (DHS)
Tribal emergency responders
Transportation Security Administration (TSA)
State emergency responders
Department of Transportation (DOT)
Federal emergency responders
Neighboring corporations
Federal Bureau of Investigation (FBI)
Other (if checked, elaborate in the comment field)
26. Does your corporation have a corporate emergency operations center for use during security incidents?
Security Incident Management general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 43 of 54
SENSITIVE SECURITY INFORMATION
SECTION XVI. Resilience
1.
YES
NO
Would damage to or destruction of a facility or a combination of facilities in your pipeline system have the
potential to significantly disrupt operations for greater than 72 hours for any of the following?
Your system
The nation
A region
Across an international border
A state
2.
Has your corporation identified any of the following as critical customers?
Installations identified as critical to national defense
State or local government infrastructure
Key infrastructure such as power plants or major airports
Other (if checked elaborate in comment field)
3.
Has your corporation established lines of delegated authority/succession of security responsibilities?
4.
Has your corporation established continuity-of-service plans to ensure continued product availability to
critical customers during a security-related event?
5.
Has your corporation procured or arranged in advance for any of the following to minimize response time for repair or replacement following a security-related event?
6.
Critical pipe
Essential utilities
Critical fittings
Uninterupted power source (UPS)/backup generators
Equipment for repair
Other (if checked, elaborate in comment field)
Does your corporation have adequate personnel to promptly repair and return systems to operation
following a security-related event?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 44 of 54
SENSITIVE SECURITY INFORMATION
SECTION XVI. Resilience continued
7.
Does your corporation have mutual aid agreements and/or alliances to assist in returning your systems to
operation following a security-related event?
8.
Does your corporation have standing contracts for emergency pipeline repair following a
security-related event?
9.
Does your corporation have alternate means of transporting your product if your systems were
compromised following a security-related event?
YES
NO
10. Does your corporation have adequate alternate supply to maintain the flow of product following a
security-related event?
11.
Does your corporation have adequate storage such as breakout tanks, caverns, or LNG tanks to
maintain the flow of product following a security-related event?
12. Is your pipline system considered widely-dispersed as opposed to a long-haul pipeline with limited
redundancy and resiliency?
13. Does your corporation have adequate financial reserves to redirect funds following a
security-related event?
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 45 of 54
SENSITIVE SECURITY INFORMATION
SECTION XVI. Resilience continued
Resilience general comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 46 of 54
SENSITIVE SECURITY INFORMATION
SECTION XVII. Final Comments
Site or Control Center Visit Notes comments
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 47 of 54
SENSITIVE SECURITY INFORMATION
SECTION XVII. Final Comments continued
Recommendations
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 48 of 54
SENSITIVE SECURITY INFORMATION
SECTION XVII. Final Comments continued
Considerations
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 49 of 54
SENSITIVE SECURITY INFORMATION
SECTION XVII. Final Comments continued
Smart Practices
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 50 of 54
SENSITIVE SECURITY INFORMATION
SECTION XVII. Final Comments continued
Critical Facilities List
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 51 of 54
SENSITIVE SECURITY INFORMATION
SECTION XVII. Final Comments continued
References and Other Miscellaneous Notes
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 52 of 54
SENSITIVE SECURITY INFORMATION
Visit Date:
Report Date:
SECTION XVIII. Meeting Attendees
1. TSA Pipeline Security Division CSR Meeting Attendees
2. Pipline Corporation CSR Meeting Attendees
3. Other CSR Meeting Attendees
4. CSR Form Filled Out by
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 53 of 54
SENSITIVE SECURITY INFORMATION
Paperwork Reduction Act Statement:
An agency may not conduct or sponsor, and a person is not required to respond to a collection of
information unless it displays a valid OMB control number. Transportation Security Administration
estimates that the average burden for collection is 8 hours per response. You may submit any
comments concerning the accuracy of this burden estimate or any suggestions for reducing the
burden to: TSA-11, Attention: PRA 1652-0056, 601 South 12th Street, Arlington, VA 20598.
WARNING: When filled in, this record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a need to know, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.
TSA Form 1604-1 (08/12)
OMB Control Number 1652-0056; Expiration Date 09/30/2016
PAGE 54 of 54
| File Type | application/pdf |
| File Modified | 2016-07-18 |
| File Created | 2009-09-30 |