Form TSA Form 1604 TSA Form 1604 Pipeline Security Critical Facility Review

OMB control no.: 1652-0050 Expiration date: 04/30/2018

SENSITIVE SECURITY INFORMATION

DEPARTMENT OF HOMELAND SECURITY Transportation Security Administration PIPELINE SECURITY CRITICAL FACILITY SECURITY REVIEW (CFSR)
INSTRUCTIONS: This form will be used by TSA personnel and their representatives to collect information on critical pipeline infrastructure during a Critical Facility Security Review.
SECTION I. Facility Information
	Topic or Question		Answers		Comments
		General Facility Information
		Date of Review
		Pipeline Company
		Pipeline System
		Pipeline Facility
		Facility Street Address
		City
		State
		County
		Zip Code
		Latitude (N)
		Longitude (W)
		Primary Corporate Security Point of Contact
		Name
		Title
		Office Phone
		Mobile Phone
		E-mail
		Personnel Interviewed
		Name
		Title
		Office Phone
		Mobile Phone
		E-mail
		Name
		Title
		Office Phone
		Mobile Phone
		E-mail
		Name
		Title
		Office Phone
		Mobile Phone
		E-mail
		TSA Review Team
		Name
		Title
		Name
		Title
		Name
		Title
		Name
		Title
	Topic or Question		Answers		Comments
		Observers (e.g., DOT, law enforcement, other operators)
		Primary Commodity Category:		Crude Oil Refined Products Natural Gas/LNG NGL/LPG Toxic Inhalation Hazard (TIH)
		Primary Facility Function(s):		Gas Compressor Station Liquids Pump Station Natural Gas City Gate/Town Border Station Pipeline Interconnect Meter/Regulator Station Mainline Valve Site Bridge Span NGL/LPG Terminal Security Operations Center Pipeline Control Center Back-up Pipeline Control Center Marketing Terminal Underground Storage (note capacity) Above Ground Storage Tanks (note capacity) LNG Peak Shaving Facility Toxic Inhalation Hazard (TIH) Facility Other (describe)
		Note general operational characteristics such as number and diameter of inbound/outbound pipelines, volumes of gas or liquids transported and/or stored, and acreage inside perimeter fencing.
		Describe the most significant impact on downstream and upstream customers and interdependent infrastructure if the facility is inoperable.
		Is the facility staffed?		No Yes
		Staffing periods?		24/7 7 days/week (days only) Monday-Friday, days and nights Monday-Friday, days only Monday-Friday, partial N/A Other (describe) Varies with season Unknown
		Total number of personnel who are present at the critical facility during day shifts?		0 1-5 6-15 16-25 26-35 36+ N/A Unknown
	Topic or Question		Answers		Comments
		Total number of personnel who are present at the critical facility during night/weekend/holiday shifts?		0 1-5 6-15 16-25 26-35 36+ N/A Unknown
		Is the facility a shared site with another pipeline operator, utility, or commercial entity?		No Yes Unknown
		Is the facility located within the perimeter of another company’s or operator’s facility?		No Yes Unknown
		Is the facility located within the secured perimeter of a military base?		No Yes Unknown
		Is the facility regulated by the Maritime Transportation Security Act (MTSA)?		No Yes Unknown
		Is all or part of the facility regulated by the Chemical Facility Anti-Terrorism Standards (CFATS)?		No Yes Unknown
		Risk Analysis and Assessments
		Which components are most vital to the facility’s continued operations? Select all that apply.		Electrical power infrastructure (substation, switchgear, etc.) Computer/data infrastructure Manifold area Facility control room Dehydration units Pump motors Compressor units Wellheads (injection/withdrawal) Storage tanks Regulators/pressure control Other (describe)
		Are spare vital components available within 24 hours to support emergency restoration of service?		No Unknown Yes Partial N/A
		Estimated time to restore temporary/emergency service (i.e., minimally productive volumes) from a worst case scenario?		Unknown Less than one day 1-5 days 6-15 days 16-30 days 30 + days
		Estimated reconstruction cost if facility is destroyed:		Unknown $0 less than $10 million $10 million - $100 million $100 million - $500 million $500 million - $750 million Greater than $750 million
	Topic or Question		Answers		Comments
		Estimated daily loss of revenue if facility is temporarily inoperable:		Unknown Less than $50,000 $50,000 - $100,000 $100,000-$150,000 $150,000- $200,000 Greater than $200,000
		Based on the criteria presented in the TSA Pipeline Security Guidelines, why is the facility designated “critical?” Select all that apply.		Criterion 1 Criterion 2 Criterion 3 Criterion 4 Criterion 5 Criterion 6 Criterion 7 Criterion 8 Other (describe)		See definitions in Section VI.
		Have security vulnerability assessments (SVA) been conducted at the facility?		No Unknown Yes Partial; not all SVA steps addressed Partial; not all pipeline assets addressed Other (describe)		See definitions in Section VI.
		Are SVAs conducted on an established schedule?		No Unknown Yes, every three years or more frequently Yes, every four years Yes, every five years Yes, less frequently than every five years N/A
		Are appropriate findings implemented within 18 months of the completion of each SVA?		No Unknown Yes N/A
		Have security audits been conducted at the facility?		No Unknown Yes, with internal non-security personnel Yes, with internal security professionals Yes, with external government agencies Yes, with external security professionals Other (describe)		See definitions in Section VI.
		Are security audits conducted on an established schedule?		No Unknown Yes, annually or more frequently Yes, every two years Yes, every three years or less frequently N/A
		Site-Specific Measures
		Are security measures and procedures correlated to the DHS National Terrorism Advisory System (NTAS)?		No Unknown Yes N/A
	Topic or Question		Answers		Comments
		Have site-specific security measures and procedures been developed for the facility?		No Unknown Yes N/A		See definitions in Section VI.
		Are site-specific security measures and procedures reviewed and updated as necessary on a periodic basis not to exceed 18 months?		No Unknown Yes N/A
		Public Awareness
		Do the operator’s public awareness outreach efforts near this facility include security topics?		No Unknown Yes N/A
		Which public awareness outreach efforts include security topics? Select all that apply.		Public awareness mailings Operator’s corporate web site Local public meetings Direct contact at residences and commercial facilities Other (describe) N/A
		Equipment Maintenance and Testing
		Are scheduled inspections of security measures conducted in order to detect damage, disrepair, tampering, etc.?		No Unknown Yes N/A		See definitions in Section VI.
		Does the operator have a maintenance program to ensure that the facility’s security equipment and systems are in good working order?		No Unknown Yes N/A
		Does the operator verify the proper operation and/or condition of all security equipment on a quarterly basis?		No Unknown Yes Partial, not all security equipment and/or not on a quarterly basis N/A
		Does the operator conduct annual inventories of security equipment?		No Unknown Yes N/A
		Does the facility maintain alternate power sources (for example, generators or battery back-up) or equivalent equipment to minimize interruption of security equipment operation?		No, alternate power sources are not available No, alternate power sources are available but do not support security systems Unknown Partial Yes N/A, there are no electronic security systems at the facility
		How often are alternate power sources tested?		Monthly or more frequently Quarterly Twice per year Annually or less frequently No established schedule N/A Unknown
	Topic or Question		Answers		Comments
		Security Incident Response
		Note security incidents or suspicious activity at the facility in the previous five years.
		Note names of nearby law enforcement agencies (LEA).
		Has the facility maintained ongoing coordination/interaction with nearby law enforcement agencies on security topics?		No Unknown Yes N/A
		Has the facility maintained ongoing coordination/interaction with neighboring pipeline facilities, refineries, and similar facilities on security topics such as coordinated responses to various threat conditions?		No Unknown Yes N/A
		Does the facility document and periodically update contact and communication information for Federal, state, and local homeland security/law enforcement agencies?		No Unknown Yes N/A
		Does the facility maintain primary and alternate communication capabilities for internal and external reporting of all appropriate security events and information?		No Unknown Yes N/A
		Are bomb threat response checklists printed and readily accessible near facility telephones?		No Unknown Yes N/A
		Personnel Identification and Badging
		Are identification badges that include the individual’s photograph and name issued to company employees who are assigned to the facility?		No Unknown Yes N/A
		Which of the following groups are issued identification badges when at the facility? Select all that apply.		None Company employees not assigned to the facility Long-term, trusted contractors Other contractors Visitors Others (describe) Unknown N/A
		Which of the following groups are required to display identification badges when at the facility? Select all that apply.		None Company employees assigned to the facility Company employees not assigned to the facility Long-term, trusted contractors Other contractors Visitors Others (describe) Unknown N/A
	Topic or Question		Answers		Comments
		Access Control Procedures
		Are any contractors given the same access privileges as employees?		No Unknown Yes N/A
		What procedures are implemented to authenticate those without authorized access? Select all that apply.		None Verbal screening Visual screening Validate identification at access control point Scheduled appointments Verification with visitor’s employer Other (describe) Unknown
		Which of the following groups are required to sign a facility log that documents the date/time/purpose of their visit? Select all that apply.		None Company employees assigned to the facility Company employees not assigned to the facility Long-term, trusted contractors Other contractors Visitors Others (describe) Unknown N/A
		Which of the following groups are escorted or monitored while at the facility? Select all that apply.		None Company employees not assigned to the facility Long-term, trusted contractors Other contractors Visitors Others (describe) Unknown N/A
		Personnel Training
		Do facility employees receive initial security awareness training?		No Unknown Yes N/A
		Does the security awareness training include information from TSA developed training materials?		No Unknown Yes N/A
		Are all facility personnel required to complete security awareness refresher training every two years or more frequently?		No Unknown Yes N/A
		Are personnel with security duties required to complete security awareness refresher training annually or more frequently?		No Unknown Yes N/A
		Does the operator maintain security training records?		No Unknown Yes N/A
	Topic or Question		Answers		Comments
		Exercises and Drills
		Do facility personnel conduct or participate in periodic security drills or exercises?		No Unknown Yes N/A
		How often do facility personnel conduct or participate in security drills or exercises?		N/A Unknown Annually or more frequently Every two years Every three years or less frequently Not on an established schedule Other (describe)
		Does the operator develop and implement a written post-exercise report assessing security exercises and documenting corrective actions?		No Unknown Yes N/A
		Does the operator invite representatives from law enforcement agencies to participate in security drills and exercises?		No Unknown Yes, representatives invited but did not attend Yes, representatives invited and attended N/A
		Guard Force
		Are security personnel deployed at the facility? For example, is a guard posted at the main gate to support access control and monitoring?		No Unknown Yes, but not 24/7 Yes, 24/7
		Describe security personnel. Select all that apply.		Company employees Contractors (Securitas, Wackenhut, etc.) Off-duty law enforcement personnel Other (describe) Unknown N/A
		Do any security personnel carry a firearm?		No Unknown Yes N/A
		Does the operator or facility maintain a contract with a commercial guard company that ensures rapid availability of security personnel in a crisis?		No Unknown Yes N/A
		Information Protection
		Are printed copies of sensitive security documents protected from unauthorized access?		No Unknown Yes N/A
	Topic or Question		Answers		Comments
		Barriers – Perimeter Fencing
		Is perimeter fencing installed at the facility?		No Unknown Yes N/A
		Select the type(s) of perimeter fencing material(s). Select all that apply.		Chain-link Wood Cinder block or brick Sheet metal No-climb mesh Combination of above Other (describe) N/A
		Is a barbed wire or razor wire topper installed on perimeter fencing?		No Unknown Yes Partial N/A
		What type of barbed wire and/or razor wire is installed on perimeter fencing? Select all that apply.		Outward facing barbed wire Inward facing barbed wire Y-shaped barbed wire Vertical barbed wire Razor wire Other (describe) N/A
		Including the barbed wire or razor wire topper, what is the approximate overall height of perimeter fencing (as measured when standing on the outside of the fence)? If fencing varies in height, select the height of the shortest section.		under 5-feet 6-feet 7-feet 8-feet over 8-feet N/A
		Does perimeter fencing fully enclose the facility’s vital components?		No Unknown Yes N/A
		Are two layers of fencing installed around the facility’s vital component(s)?		No Unknown Yes Partial N/A
		Is there a clear zone of several feet on either side of the fence that is free of obstructions, vegetation, or objects that could be used by an intruder to scale the fence?		No Unknown Yes N/A
		Does vegetation growth degrade the security effectiveness of the perimeter fence?		No Unknown Yes N/A
		Does damage or disrepair degrade the security effectiveness of the perimeter fence?		No Unknown Yes N/A
		Does erosion, drainage areas, or gaps under the fence degrade the security effectiveness of the perimeter fence?		No Unknown Yes N/A
	Topic or Question		Answers		Comments
		Barriers - Perimeter Gates
		How many perimeter vehicle gates are motorized?		0 1 2-3 4-6 7+ N/A Unknown
		Do personnel monitor motorized gates until they close?		No Unknown Yes Other (describe) N/A
		Do large gaps between gate panels and/or posts degrade the security effectiveness of the barrier?		No Unknown Yes N/A
		Does erosion, drainage areas, or gaps under gates degrade the security effectiveness of the barrier?		No Unknown Yes N/A
		Does damaged or substandard barbed wire or razor wire on perimeter gates degrade the security effectiveness of the barriers?		No Unknown Yes N/A
		Can emergency egress gates be manipulated and opened from outside the fence?		No Unknown Yes N/A
		Are all perimeter gates secured when not in active use?		No Unknown Yes N/A
		Which groups have keys to padlocks on perimeter gates? Select all that apply.		Company employees Long-term, trusted contractors Other contractors Pipeline operators or utilities that share the site Visitors Emergency responders Others (describe) Unknown Key distribution is not tracked N/A
		Are padlocks from other entities daisy-chained with company padlocks on perimeter gates?		No Unknown Yes N/A
		Are keys to padlocks on perimeter gates stamped "Do Not Duplicate" or does the facility utilize restricted key blanks to prevent or deter unauthorized duplication?		No Unknown Yes N/A
		Are key control procedures established and documented for key tracking, issuance, collection, and loss?		No Unknown Yes N/A
	Topic or Question		Answers		Comments
		Are periodic key inventories conducted?		No Yes, annually or more frequently Yes, every 24 months Yes every 36 months or less frequently Yes, but not on an established schedule N/A Unknown
		Barriers - Vehicle Barriers
		Are there vehicle barriers on the facility’s perimeter, near access control points, and/or near vital components?		No Unknown Yes No, but barriers are stored on-site and can be rapidly deployed N/A
		Select all types of vehicle barriers.		Jersey barriers Bollards Natural barriers (ditch, large rocks, trees) Guard rails Heavy equipment Steel cable Other (describe) N/A
		Are barriers crash-rated per the standards of the U.S. Department of State?		No Yes, K-12 Yes, K-8 Yes, K-4 N/A Unknown
		Electronic Access Controls
		Are electronic access control systems installed at the facility?		No Unknown Yes N/A
		Other than employees who are assigned to the facility, which groups have authorized access to perimeter gates that utilize electronic access controls? Select all that apply.		Company employees not assigned to the facility Long-term, trusted contractors Other contractors Pipeline operators or utilities that share the site Visitors Emergency responders Others (describe) Unknown N/A None
		Which access points are controlled by the electronic access control system? Select all that apply.		Perimeter vehicle gates Interior vehicle gates Pedestrian gates Exterior doors to facility buildings Interior doors at facility buildings that lead to sensitive areas Other (describe) N/A Unknown
	Topic or Question		Answers		Comments
		Select the type(s) of authentication required by the system(s). Select all that apply.		Proximity card reader Keypad/PIN Code Wireless/remote gate opener Physical key Biometric Other (describe) N/A Unknown
		Does the system log access by authorized personnel?		No Unknown Yes N/A
		Does the system record access attempts by unauthorized personnel?		No Unknown Yes N/A
		Does the system alert employees to access attempts by unauthorized personnel?		No Unknown Yes N/A
		Are access control records periodically audited to ensure compliance with policies and procedures?		No Unknown Yes N/A
		Intrusion Detection and Monitoring – Video Camera System
		Is a CCTV system installed at the facility?		No Unknown Yes N/A
		Is the CCTV system fully functional?		No Unknown Yes N/A
		How many total cameras are installed?		1 2-3 4-6 7+ N/A Unknown
		How many of the installed cameras offer pan-tilt-zoom (PTZ) capability?		1 2-3 4-6 7+ N/A Unknown None
		Where are video images displayed?		At the facility Remotely at pipeline control center Remotely at a security control center Remotely at a third party monitoring service Remotely at another Company facility At other location (describe) Not displayed N/A Unknown
	Topic or Question		Answers		Comments
		Is the system designed and managed in a manner that provides a 24/7 capability to detect and assess unauthorized access to critical areas?		No Unknown Yes N/A
		To support incident response, can real-time video feeds be monitored off-site by those with valid log-in credentials?		No Unknown Yes N/A
		Does the CCTV system enable personnel to screen visitors prior to granting entry?		No Unknown Yes N/A
		Does the CCTV system monitor or record activity around one or more vital components?		No Unknown Yes N/A
		Select all enhanced capabilities of the camera system.		Motion-activated alerts Motion-activated recording Video analytics IR illumination Other (describe) None N/A Unknown
		Where are video images recorded? Select all that apply.		Not recorded Unknown At the facility Off-site pipeline control Off-site security control center Other location (describe) N/A
		How many days of video imagery are stored before they are deleted or recorded over?		0 Unknown 1-14 15-30 31-45 45-60 61+ N/A
		Did the review team review image quality from the CCTV cameras?		No Yes, imagery was generally excellent Yes, imagery was acceptable Yes, imagery was generally poor N/A
		Intrusion Detection and Monitoring - Intrusion Detection System (IDS)
		Is an intrusion detection system (IDS) installed at the facility?		No Unknown Yes N/A
		Is the IDS fully functional?		No Unknown Yes N/A
	Topic or Question		Answers		Comments
		Is the system designed and managed in a manner that provides a 24/7 capability to detect and assess unauthorized access to critical areas?		No Unknown Yes N/A
		What types of sensors are installed and operational? Select all that apply.		Microwave Magnetic contacts Passive infrared (PIR) Fence disturbance sensors Mechanical switches Other (describe) N/A Unknown
		Does a siren, horn, or similar device broadcast IDS alarms across the facility in a manner that alerts personnel of a potential security event?		No Unknown Yes N/A
		Does the frequency of false or nuisance alarms impact the effectiveness of the IDS system?		No Unknown Yes N/A
		Facility Lighting
		Is exterior lighting installed at the facility?		No Unknown Yes N/A
		How is the lighting activated? Select all that apply.		photo cell sensors timer manual motion other (describe) N/A Unknown
		Are primary access control points sufficiently illuminated?		No Unknown Yes Partial N/A
		Are vital components sufficiently illuminated?		No Unknown Yes Partial N/A
		Does the lighting provide sufficient illumination for the CCTV cameras (if installed)?		No Unknown Yes Partial N/A
	Topic or Question		Answers		Comments
		Security Signage
		Are “No Trespassing,” “Authorized Personnel Only,” or signs of similar meaning posted at intervals that are visible from any point of potential entry?		No Yes, in a manner that is visible from all approaches Partial, only at access control points Partial, not in a manner that is visible from all approaches Other (describe) N/A Unknown
		If a CCTV system is installed, are signs posted warning that the premises are under video surveillance?		No Unknown Yes N/A

SECTION II. Comments

(List general comments, strengths, and noteworthy practices of the facility’s security program)

SECTION III. Recommendations

(List recommendations to improve the facility’s security program)

(List option(s) for consideration to improve the facility’s security program)

SECTION IV. For Consideration

SECTION V. Aerial Photograph

SECTION VI. Definitions

Criteria for Critical Facilities

According to the TSA Pipeline Security Guidelines, pipeline facilities meeting one or more of the criteria below are considered to be critical:

A facility or combination of facilities that, if damaged or destroyed, would have the potential to:

1. Disrupt or significantly reduce required service or deliverability to installations identified as critical to national defense;

2. Disrupt or significantly reduce required service or deliverability to key infrastructure (such as power plants or major airports) resulting in major economic disruption;

3. Cause mass casualties or significant health effects;

4. Disrupt or significantly reduce required service or deliverability resulting in a state or local government’s inability to provide essential public services and emergency response for an extended period of time;

5. Significantly damage or destroy national landmarks or monuments;

6. Disrupt or significantly reduce the intended usage of major rivers, lakes, or waterways. (For example, public drinking water for large populations or disruption of major commerce or public transportation routes);

7. Disrupt or significantly reduce required service or deliverability to a significant number of customers or individuals for an extended period of time;

8. Significantly disrupt pipeline system operations for an extended period of time (i.e., business critical facilities).

Security Vulnerability Assessments (SVA)

A security vulnerability assessment (SVA) is one of the risk assessment methodologies pipeline operators may choose. The SVA serves as a planning and decision support tool to assist security managers with identifying, evaluating, and prioritizing risks; and determining effective security measures to mitigate threats and vulnerabilities to their critical facilities. Common steps performed while conducting an SVA include:

1. Asset Characterization - identification of hazards and consequences of concern for the facility, its surroundings, and its supporting infrastructure; and identification of existing layers of protection;

2. Threats Assessment - description of possible internal and external threats;

3. Security Vulnerability Analysis - identification of potential security vulnerabilities, existing security measures, and their level of effectiveness in reducing identified vulnerabilities;

4. Risk Assessment - determination of the relative degree of risk to the facility in terms of the expected effect on each asset and the likelihood of a success of an attack; and

5. Security Measures Analysis - strategies that reduce the probability of a successful attack or reduce the possible degree of success, strategies that enhance the degree of risk reduction, the capabilities and effectiveness of mitigation options, and the feasibility of the options.

Security Audits

A security audit is a structured assessment of the operator’s implementation of security policies and procedures at a specific facility. Audits typically include interviews with facility personnel, reviews of security-related documents and records, and a facility inspection.

Site-Specific Measures

Operators should develop, document, and implement site-specific security measures for each of their critical facilities. These measures should be tailored explicitly for each individual facility, with emphasis on specific procedures and actions to be taken at different threat levels. On a periodic basis, not to exceed 18 months, these facility specific measures should be reviewed and updated as necessary.

Security Inspections

Security inspections are the examination of physical and electronic security measures to ensure that they are delivering the designed security benefit to the facility. Additionally, security inspections should document signs of disrepair or damage to security measures, vandalism or theft of property, and indications of criminal, terrorist, or suspicious activity.

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 this collection is 4 hours.  You may submit any comments concerning the accuracy of this burden estimate or any suggestions for reducing the burden to:  TSA-11, Attention: PRA 1652-0050, 601 South 12th Street, Arlington, VA 20598.

WARNING: 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 USC 552 and 49 CFR parts 15 and 1520.

TSA Form 1604 (04/12) Page 15 of 15