SOO Atch 7 UFC Part 4 - DoD Security Engineering Facilities Planning Manual.pdf

UFC 4-020-01

11 September 2008

UNIFIED FACILITIES CRITERIA (UFC)

DoD Security Engineering Facilities Planning Manual

DISTRIBUTION STATEMENT A: Approved for Public Release;

Distribution is unlimited.

UNIFIED FACILITIES CRITERIA (UFC)

DoD Security Engineering Facilities Planning Manual

Any copyrighted material included in this UFC is identified at its point of use.

Use of the copyrighted material apart from this UFC must have the permission of the copyright holder.

DEPUTY UNDER SECRETARY OF DEFENSE (INSTALLATIONS AND

ENVIRONMENT)

J3, DEPUTY DIRECTORATE FOR ANTITERRORISM AND FORCE PROTECTION,

JOINT CHIEFS OF STAFF

U.S. ARMY CORPS OF ENGINEERS (Preparing Activity)

NAVAL FACILITIES ENGINEERING COMMAND

AIR FORCE CIVIL ENGINEER SUPPORT AGENCY

Record of Changes (changes are indicated by \1\ ... /1/)

Change No. Date Location

FOREWORD

The Unified Facilities Criteria (UFC) system is prescribed by MIL-STD 3007 and provides planning, design, construction, sustainment, restoration, and modernization criteria, and applies to the Military Departments, the Defense Agencies, and the DoD Field Activities in accordance with USD(AT&L) Memorandum dated 29 May 2002. UFC will be used for all DoD projects and work for other customers where appropriate. All construction outside of the United States is also governed by Status of forces Agreements (SOFA), Host Nation Funded Construction Agreements (HNFA), and in some instances, Bilateral Infrastructure Agreements (BIA.)

Therefore, the acquisition team must ensure compliance with the more stringent of the UFC, the SOFA, the HNFA, and the BIA, as applicable.

UFC are living documents and will be periodically reviewed, updated, and made available to users as part of the Services’ responsibility for providing technical criteria for military construction. Headquarters, U.S. Army Corps of Engineers (HQUSACE), Naval Facilities Engineering Command (NAVFAC), and Air Force Civil Engineer Support Agency (AFCESA) are responsible for administration of the UFC system. Defense agencies should contact the preparing service for document interpretation and improvements. Technical content of UFC is the responsibility of the cognizant DoD working group. Recommended changes with supporting rationale should be sent to the respective service proponent office by the following electronic form: Criteria Change Request (CCR). The form is also accessible from the Internet sites listed below.

UFC are effective upon issuance and are distributed only in electronic media from the following source:

• Whole Building Design Guide web site http://dod.wbdg.org/.

Hard copies of UFC printed from electronic media should be checked against the current electronic version prior to use to ensure that they are current.

AUTHORIZED BY:

JAMES C. DALTON, P.E.

Chief, Engineering and Construction U.S. Army Corps of Engineers

JOSEPH E. GOTT, P.E.

Chief Engineer Naval Facilities Engineering Command

PAUL A. PARKER

The Deputy Civil Engineer DCS/Installations & Logistics Department of the Air Force

Dr. GET W. MOY, P.E.

Director, Installations Requirements and Management Office of the Deputy Under Secretary of Defense (Installations and Environment) http://www.wbdg.org/pdfs/ufc_implementation.pdf� http://www.projnet.org/projnet/cms/public.html� http://dod.wbdg.org/�

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Unified Facilities Criteria (UFC) New Document Summary Sheet

Subject: UFC 4-020-01, DoD Security Engineering Facilities Planning Manual

Cancels: UFC 4-020-01 FA, Security Engineering Project Development

Document Description and Need:

• Purpose: This UFC supports the planning of DoD facilities that include requirements for security and antiterrorism. It will be used in conjunction with UFC 4-010-01, DoD Minimum Antiterrorism Standards for Buildings, to establish the security and antiterrorism design criteria that will be the basis for DoD facility designs. Those criteria include the assets to be protected, the threats to those assets, the levels to which those assets are to be protected against those threats, and any design constraints imposed by facility users. This document also provides a means for identifying the costs for providing the applicable levels of protection and a risk management process for evaluating those costs and the protection options.

• Application and Use: Commanders, security and antiterrorism personnel, planners, and other members of project planning teams will use this UFC to establish project specific design criteria for DoD facilities, estimate the costs for implementing those criteria, and evaluating both the design criteria and the options for implementing it. The design criteria and costs will be incorporated into project programming documents. This UFC also provides guidance for incorporation of security and antiterrorism principles into installation master planning.

• Need: This UFC is one in a series of security engineering Unified Facilities Criteria that address minimum standards, planning, preliminary design, and detailed design for security and antiterrorism. This UFC provides the starting point for application of all of the manuals within the security engineering series. Without this UFC, there would be no standardized DoD-wide process for identifying and justifying design criteria for security and antiterrorism and no basis for applying the other manuals in the series.

Impact. The following direct benefits will result from publication of UFC 4-020-01:

• Creates a standardized approach for identifying and justifying security and antiterrorism design criteria for DoD facilities

• Creates standardized nomenclature and criteria for asset, threat, and level of protection definition.

• Creates a standardized procedure for identifying costs for DoD facilities with security and antiterrorism requirements to a planning level of detail.

• Creates a standardized process for evaluating design criteria and protection options based on cost and risk management.

• Provides guidance for incorporating security and antiterrorism principles into installation master planning.

• Does not have any adverse impacts on environmental, sustainability, or constructability policies or practices.

i

CONTENTS

Page

CHAPTER 1 INTRODUCTION

Paragraph 1-1 BACKGROUND ................................................ 1-1

1-2 PURPOSE ............................................................. 1-1

1-3 SCOPE .................................................................. 1-1

1-3.1 Design Criteria Development ................................. 1-1 1-3.2 Cost Increase Identification.................................... 1-2 1-3.3 Cost Increase Justification ..................................... 1-2

1.4 APPLICABILITY..................................................... 1-2

1-5 REFERENCES ...................................................... 1-2

1-6 THE PLANNING TEAM.......................................... 1-3

1-6.1 Facility User ........................................................... 1-3 1-6.2 Antiterrorism........................................................... 1-3 1-6.3 Intelligence............................................................. 1-3 1-6.4 Operations ............................................................. 1-3 1-6.5 Security .................................................................. 1-3 1-6.6 Logistics ................................................................. 1-4 1-6.7 Engineering............................................................ 1-4 1-6.8 Resource Management.......................................... 1-4 1-6.9 Others .................................................................... 1-4

1-7 INTEGRATING WITH OTHER REQUIREMENTS . 1-4

1-7.1 Security Regulations .............................................. 1-4 1-7.2 Explosives Safety................................................... 1-4 1-7.3 Other DoD Component Standards ......................... 1-5 1-7.4 Historic Preservation .............................................. 1-5 1-7.5 Sustainable Design ................................................ 1-5 1-7.6 Other Facility Requirements................................... 1-5

1-8 SECURITY ENGINEERING UFC SERIES ............ 1-6

1-8.1 DoD Minimum Antiterrorism Standards for Buildings ................................................................ 1-6

1-8.2 Security Engineering Planning Manual .................. 1-6 1-8.3 Security Engineering Design Manual ..................... 1-6 1-8.4 Security Engineering Support Manuals .................. 1-6 1-9 Security Engineering UFC Application ................... 1-7

CHAPTER 2 AGGRESSOR THREATS AND TACTICS

Paragraph 2-1 INTRODUCTION.................................................... 2-1

2-2 AGGRESSORS...................................................... 2-1

2-2.1 Aggressor Objectives ............................................. 2-1 2-2.2 Aggressor Categories ............................................ 2-1

2-3 AGGRESSOR TACTICS........................................ 2-4

2-3.1 Moving Vehicle Bomb Tactic.................................. 2-4 2-3.2 Stationary Vehicle Bomb Tactic ............................. 2-4 2-3.3 Hand Delivered Device Tactic................................ 2-4 2-3.4 Indirect Fire Weapons Tactic ................................. 2-5 ii

2-3.5 Direct Fire Weapons Tactic.................................... 2-5 2-3.6 Forced Entry Tactic ................................................ 2-5 2-3.7 Covert Entry Tactic................................................. 2-5 2-3.8 Visual Surveillance Tactic ...................................... 2-5 2-3.9 Acoustic Eavesdropping Tactic .............................. 2-5 2-3.10 Electronic Emanations Eavesdropping Tactic ........ 2-5 2-3.11 Airborne Contamination Tactic............................... 2-6 2-3.12 Waterborne Contamination Tactic.......................... 2-6 2-3.13 Waterfront Attacks.................................................. 2-6 2-3.14 Tactics Not Addressed ........................................... 2-6

2-4 TOOLS, WEAPONS, EXPLOSIVES, AND

AGENTS ................................................................ 2-6

2-4.1 Tools ...................................................................... 2-7 2-4.2 Weapons................................................................ 2-8 2-4.3 Explosives.............................................................. 2-9 2-4.4 Chemical, Biological, and Radiological Agents ...... 2-10

CHAPTER 3 DESIGN CRITERIA DEVELOPMENT

Paragraph 3-1 INTRODUCTION.................................................... 3-1 3-1.1 Design Criteria ....................................................... 3-2 3-1.2 Other Standards..................................................... 3-2 3-1.3 Priority.................................................................... 3-2 3-1.4 Risk Management .................................................. 3-2

3-2 USING THIS PROCEDURE................................... 3-3

3-3 STEP 1: CONVENE THE PLANNING TEAM........ 3-7

3-4 STEP 2: IDENTIFY ASSETS ................................ 3-7

3-4.1 Determine Facility Types........................................ 3-7 3-4.2 Determine Default Assets ...................................... 3-7

3-5 STEP 3: DETERMINE ASSET VALUE ................. 3-9

3-5.1 Value Rating Factors.............................................. 3-9 3-5.2 Determine Asset Value Rating ............................... 3-21 3-5.3 Eliminate Assets with “Very Low” Value Ratings.... 3-21

3-6 STEP 4: IDENTIFY AGGRESSOR

LIKELIHOODS ....................................................... 3-21

3-6.1 Select Applicable Aggressors ................................ 3-21 3-6.2 Assess Aggressor Likelihood Ratings .................... 3-21 3-6.3 Determine Likelihood Ratings ................................ 3-34 3-6.4 Aggressors With “Very Low” Likelihood Ratings .... 3-34

3-7 STEP 5: IDENTIFY TACTICS AND THREAT

SEVERITY LEVELS............................................... 3-35

3-7.1 Select Applicable Tactics Based on Assets ........... 3-35 3-7.2 Select Applicable Tactics Based on Aggressors .... 3-35 3-7.3 Identify Threat Severity Levels............................... 3-35

3-8 STEP 6: CONSOLIDATE INTO INITIAL DESIGN

BASIS THREAT ..................................................... 3-40

3-8.1 Initial Design Basis Threat ..................................... 3-40 3-8.2 Modifying the Initial Design Basis Threat ............... 3-40 iii

3-9 STEP 7: DETERMINE INITIAL LEVEL OF

PROTECTION ....................................................... 3-42

3-9.1 Initial Level of Protection ........................................ 3-43 3-9.2 Example ................................................................. 3-43 3-9.3 Modifying the Initial Level of Protection.................. 3-43

3-10 STEP 8: DETERMINE PLANNING RISK

LEVELS ................................................................. 3-43

3-10.1 Determine Threat Effectiveness Ratings................ 3-43 3-10.2 Select Initial Protection Factors.............................. 3-45 3-10.3 Calculate Average Initial Protection Factors .......... 3-47 3-10.4 Adjust Initial Protection Factors.............................. 3-47 3-10.5 Determine Risk Level ............................................. 3-47

3-11 STEP 9: ASSESS ACCEPTIBILITY OF RISK

LEVELS ................................................................. 3-48

3-11.1 Cost and Risk Evaluation ....................................... 3-48 3-11.2 Cost and Risk Analysis .......................................... 3-49

3-12 STEP 10: IDENTIFY USER CONSTRAINTS........ 3-51

3-12.1 Political Considerations.......................................... 3-51 3-12.2 Financial Considerations........................................ 3-51 3-12.3 Regulations ............................................................ 3-51 3-12.4 Procedural or Operational Considerations ............. 3-51 3-12.5 Facility and Site Constraints................................... 3-52 3-12.6 Response Force..................................................... 3-53 3-12.7 Response Time...................................................... 3-53 3-12.8 Manpower Allocation.............................................. 3-53

3-13 INFORMATION SENSITIVITY ............................... 3-54

3-13.1 Derivative Classification ......................................... 3-54 3-13.2 Classification Guides.............................................. 3-54 3-13.3 Original Classification............................................. 3-54

CHAPTER 4 DESIGN STRATEGIES

Paragraph 4-1 INTRODUCTION.................................................... 4-1 4-1.1 General Design Strategy........................................ 4-1 4-1.2 Specific Design Strategy ........................................ 4-1 4-1.3 Project Scope Implications..................................... 4-1

4-2 VEHICLE BOMB TACTICS.................................... 4-2

4-2.1 General Design Strategy........................................ 4-2 4-2.2 Specific Design Strategies ..................................... 4-3 4-2.3 Project Scope Implications..................................... 4-6

4-3 HAND DELIVERED DEVICES............................... 4-11

4-3.1 General Design Strategy........................................ 4-11 4-3.2 Specific Design Strategies ..................................... 4-11 4-3.3 Project Scope Implications..................................... 4-12

4-4 INDIRECT FIRE WEAPONS.................................. 4-16

4-4.1 General Design Strategy........................................ 4-16 4-4.2 Specific Design Strategies ..................................... 4-16 4-4.3 Project Scope Implications..................................... 4-18 iv

4-5 DIRECT FIRE WEAPONS ..................................... 4-21

4-5.1 General Design Strategy........................................ 4-21 4-5.2 Specific Design Strategy ........................................ 4-21 4-5.3 Project Scope Implications..................................... 4-22

4-6 AIRBORNE CONTAMINATION TACTIC ............... 4-24

4-6.1 General Design Strategy........................................ 4-24 4-6.2 Specific Design Strategies ..................................... 4-24 4-6.3 Project Scope Implications..................................... 4-25

4-7 WATERBORNE CONTAMINATION TACTIC ........ 4.26

4-7.1 General Design Strategy........................................ 4-27 4-7.2 Specific Design Strategies ..................................... 4-27 4-7.3 Project Scope Implications..................................... 4-28

4-8 WATERFRONT ATTACK TACTIC......................... 4-30

4-8.1 General Design Strategy........................................ 4-30 4-8.2 Specific Design Strategies ..................................... 4-30 4-8.3 Project Scope Implications..................................... 4-31

4-9 FORCED ENTRY TACTIC..................................... 4-31

4-9.1 General Design Strategy........................................ 4-31 4-9.2 Specific Design Strategy ........................................ 4-32 4-9.3 Project Scope Implication....................................... 4-33

4-10 COVERT ENTRY TACTIC ..................................... 4-34

4-10.1 General Design Strategy........................................ 4-34 4-10.2 Specific Design Strategy ........................................ 4-35 4-10.3 Project Scope Implications..................................... 4-35

4-11 VISUAL SURVEILLANCE TACTIC ........................ 4-37

4-11.1 General Design Strategy........................................ 4-37 4-11.2 Specific Design Strategy ........................................ 4-37 4-11.3 Project Scope Implications..................................... 4-37

4-12 ACOUSTIC EAVESDROPPING TACTIC............... 4-38

4-12.1 General Design Strategy........................................ 4-38 4-12.2 Specific Design Strategy ........................................ 4-38 4-12.3 Project Scope Implications..................................... 4-39

4-13 ELECTRONIC EMANATIONS

EAVESDROPPING TACTIC .................................. 4-40

4-13.1 General Design Strategy........................................ 4-40 4-13.2 Specific Design Strategy ........................................ 4-40 4-13.3 Project Scope Implications..................................... 4-40

CHAPTER 5 MASTER PLANNING CONSIDERATIONS

Paragraph 5-1 INTRODUCTION.................................................... 5-1

5-2 SECURITY AND ANTITERRORISM PLANNING... 5-1

5-3 ISSUES IN MASTER PLANNING .......................... 5-2

5-3.1 Land Use Planning................................................. 5-2 5-3.2 Site Planning and Space Management .................. 5-3 5-3.3 Vehicle Access and Circulation.............................. 5-4

CHAPTER 6 PROJECT COST DEVELOPMENT

v

Paragraph 6-1 INTRODUCTION.................................................... 6-1

6-2 BUILDING TYPES ................................................. 6-1

6-3 BASELINE COSTS ................................................ 6-1

6-4 NEW BUILDING CONSTRUCTION....................... 6-1

6-5 EXISTING BUILDING CONSTRUCTION............... 6-2

6-6 SITEWORK COSTS............................................... 6-2

6-7 DETERMINING NEW CONSTRUCTION COST

INCREASES .......................................................... 6-2

6-7.1 Determine Representative Building Types ............. 6-2 6-7.2 Determine Facility Baseline Cost ........................... 6-3 6-7.3 Find Applicable Cost Tables .................................. 6-3 6-7.4 Find the Cost Increase ........................................... 6-3 6-7.5 Resolve Construction Components........................ 6-3 6-7.6 Determine Facility Cost Increase ........................... 6-3 6-7.7 Record the Cost Increase ...................................... 6-3

6-8 DETERMINING RETROFIT CONSTRUCTION

COST INCREASES ............................................... 6-3

6-8.1 Determine Representative Building Type............... 6-3 6-8.2 Determine Facility Baseline Cost ........................... 6-4 6-8.3 Find Applicable Cost Tables .................................. 6-4 6-8.4 Find the Cost Increase ........................................... 6-4 6-8.5 Resolve Construction Components........................ 6-4 6-8.6 Determine Facility Cost Increase ........................... 6-4 6-8.7 Record the Cost Increase ...................................... 6-4

6-9 DETERMINING SITEWORK COSTS..................... 6-4

6-9.1 Identify Applicable Tactic and Threat Severity Level ...................................................................... 6-5 6-9.2 Identify Costs of Baseline Barriers ......................... 6-5

6.9.3 Find Applicable Barrier Multiplier............................ 6-5

6.9.4 Identify the Applicable Quantities........................... 6-5 6-9.5 Determine Barrier Costs......................................... 6-5 6-9.6 Record Barrier Costs.............................................. 6-5

6-10 EXAMPLE PROBLEM............................................ 6-5

6-10.1 Building Cost Increase ........................................... 6-6 6-10.2 Barrier Costs .......................................................... 6-9

GLOSSARY .....................................................................................G-1

APPENDIX A NEW CONSTRUCTION COST TABLES .....................A-1

APPENDIX B RETROFIT CONSTRUCTION COST TABLES............B-1

APPENDIX C CONSOLIDATED CONSTRUCTION COMPONENT

TABLES .......................................................................C-1

APPENDIX D EXPEDITIONARY CONSTRUCTION COSTS .............D-1

APPENDIX E BLANK WORKSHEETS ...............................................E-1

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FIGURES

Figure Title

1-1 Security Engineering UFC Application....................................1-8 3-1 Design Criteria ........................................................................3-1 3-2 The Design Criteria Development Procedure .........................3-4 3-3 Sample Design Criteria Summary Worksheet.........................3-11 3-4 Sample Asset Value/Aggressor Likelihood Worksheet ...........3-22 3-5 Sample Tactic and Threat Severity Level Worksheet .............3-36 3-6 Sample Risk Level Calculation Worksheet .............................3-46 3-7 Sample Building Cost and Risk Evaluation Worksheet ...........3-50 4-1 Standoff Zones .......................................................................4-7 4-2 Passive Perimeter Barriers for Stationary Vehicle Bombs ......4-8 4-3 Passive Perimeter Barriers for Moving Vehicle Bombs...........4-8 4-4 Active Vehicle Barriers for Stationary Vehicle.........................4-9 4-5 Active Vehicle Barriers for Moving Vehicle Tactic...................4-9 4-6 Entry Foyer to Reduce Door Hazards.....................................4-10 4-7 Site Design Example for High Level of Protection ..................4-13 4-8 Entry and Delivery Points........................................................4-15 4-9 Narrow Windows.....................................................................4-19 4-10 Sacrificial Roof and Exterior Foyers........................................4-20 4-11 Shielded SEA Hut Cluster.......................................................4-21 4-12 Modular TEMPEST Enclosure ................................................4-41 5-1 Consolidated vs. Separated Facilities .....................................5-5 5-2 Opportunities for Observation from Adjacent Facilities ...........5-5 5-3 Road Modifications to Reduce Speed.....................................5-7 5-4 Installation Vehicle Circulation Modifications ..........................5-7 5-5 Road Closure to Create Standoff............................................5-8 5-6 Parking and Roadway Modifications.......................................5-8

TABLES

3-1 Common Facility Types ..........................................................3-8 3-2 Default Assets.........................................................................3-10 3-3 Value Rating Factor Applicability ............................................3-12 3-4 Criticality to User / Mission Impact/ Population Type ..............3-13 3-5 Impact on the National Defense..............................................3-14 3-6 Asset Replacement.................................................................3-15 3-7 Perceived Political Sensitivity .................................................3-15 3-8 Relative Value to User ............................................................3-18 3-9 Potential Aggressors and Default Goals .................................3-23 3-10 Installation Location ................................................................3-24 3-11 Installation or Facility Publicity Profile .....................................3-24 3-12 Asset Accessibility ..................................................................3-25 3-13 Asset Availability.....................................................................3-25 3-14 Asset Dynamics ......................................................................3-26 vii

3-15 Recognizability........................................................................3-26 3-16 Relative Value to Aggressors..................................................3-28 3-17 Law Enforcement Personnel Visibility .....................................3-30 3-18 Aggressors’ Perception of Success ........................................3-31 3-19 Threat Level............................................................................3-32 3-20 History of Acts Against Like Assets / Terrorist Intentions........3-33 3-21 Terrorist Operational Capability ..............................................3-33 3-22 Terrorist Operating Environment.............................................3-34 3-23 Terrorist Activity ......................................................................3-34 3-24 Applicable Asset / Tactic Selection .........................................3-37 3-25 Applicable Aggressor / Tactic Selection..................................3-38 3-26 Threat Severity Selection........................................................3-39 3-27 Threat Parameters..................................................................3-41 3-28 Applicable Levels of Protection...............................................3-44 3-29 Threat Effectiveness Ratings ..................................................3-45 3-30 Initial Protection Factors .........................................................3-45 4-1 Levels of Protection-New and Existing Buildings ....................4-4 4-2 Levels of Protection-Expeditionary and Temporary

Structures ...............................................................................4-5 4-3 Manpower and Procedures Goals for Vehicle Bomb Tactics ..4-5 4-4 STC Ratings for Levels of Protection......................................4-39 6-1 Example Problem Building Components……………………….6-8 6-2 Illustrative DD Form 1391 Front Page Cost Presentation .......6-10 viii

1-1

CHAPTER 1

INTRODUCTION

1-1 BACKGROUND. In December 1999 DoD published the Interim Department of Defense Antiterrorism / Force Protection Construction Standards, which was the first attempt by DoD to ensure that antiterrorism standards were incorporated into the planning, programming, and budgeting for the design and construction of military facilities. Those standards were replaced by UFC 4-010-01, the DoD Minimum Antiterrorism Standards for Buildings. The development of minimum standards for protecting DoD personnel against terrorist acts was required by Title 10 U.S. Code, Subtitle A, PART IV, CHAPTER 169, SUBCHAPTER III, §2859 and implemented by DoD Instruction 2000.16.

The minimum standards provide baseline minimum levels of protection with which all DoD inhabited buildings must comply as long as they meet specific “triggers”. Those levels of protection can be achieved using conventional construction if certain minimum standoff distances are provided. There needed to be guidance for how to design buildings where the minimum standoff distances were not available. In addition, there needed to be guidance for providing higher levels of protection where users could justify them, for addressing threats other than terrorist threats, and for addressing protection of assets other than people.

Up until the development of the security engineering series of UFC, there was no DoD-wide standardized process for identifying and justifying design criteria beyond the minimum standards, which resulted in a wide range of solutions. Some of those solutions provided unjustifiably high levels of protection or protection to unrealistic threats. Some resulted in unreasonably low levels of protection. Design and planning guidance was spread among multiple service specific documents that were neither coordinated nor uniform. This UFC is intended to provide the uniformity and consistency in planning for security and antiterrorism that were not previously available.

1-2 PURPOSE. The purpose of this UFC is to support planning of projects that include requirements for security and antiterrorism. Those requirements come from the DoD Minimum Antiterrorism Standards for Buildings, combatant command standards, standards from other DoD components or commands, regulations, or installation or user requirements. Projects include new construction, existing construction or expeditionary and temporary construction. The intended users of this UFC are engineering planners responsible for project development and planning teams responsible for developing design criteria for projects. The ultimate purpose of this guidance is to develop appropriate, effective, unobtrusive, and economical protective designs to a level appropriate for project programming and to provide commanders with the information they need to allocate resources.

1-3 SCOPE. The scope of this UFC includes the following:

1-3.1 Design Criteria Development. This UFC includes a process for defining the design criteria for a protective system that protects important assets associated with

1-2 a permanent facility or one in an expeditionary environment. The design criteria will consist of the assets to be protected, the threats to those assets, the degree to which those assets will be protected against the threat, and any constraints that might be imposed on a design. The design criteria may be limited to that defined in minimum standards or it may go beyond those requirements.

1-3.2 Cost Increase Identification. This UFC includes a process for identifying the increases in cost associated with protecting the identified assets to the applicable threat and to the appropriate level of protection over that of conventional construction.

1-3.3 Cost Increase Justification. The processes in this UFC provide a basis for justifying increased project costs related to security and antiterrorism in programming documents using relative risk to ensure the added costs are not deleted in the budgetary process.

1-4 APPLICABILITY. This UFC applies to all DoD components and to all DoD assets and facilities that are owned, leased, privatized, or otherwise occupied, managed, or controlled by or for DoD.

1-5 REFERENCES

• Interim Department of Defense Antiterrorism / Force Protection Construction Standards, December 16, 1999 (cancelled by UFC 4-010-01)

• DoD Instruction 2000.16, DoD Antiterrorism Standards, 14 June 2001.

• DoD O-2000.12-H, DoD Antiterrorism Handbook, 9 February 2004

• DoD Manual 5100.76-M, Physical Security of Sensitive Conventional Arms, Ammunition, and Explosives, 12 August 2000

• Unified Facilities Criteria (UFC ) 3-701-05, DoD Facilities Pricing Guide, March 2005

• Unified Facilities Criteria (UFC) 4-010-01, DoD Minimum Antiterrorism Standards for Buildings, 8 October 2003

• Unified Facilities Criteria (UFC) 4-010-02, DoD Minimum Antiterrorism Standoff Distances for Buildings; (For Official Use Only (FOUO)) 8 October 2003

• Unified Facilities Criteria (UFC) 4-020-02, DoD Security Engineering Facilities Design Manual, (Draft)

• DoD 6055.9-STD, DoD Ammunition and Explosive Safety Standards, 5 October 2004

1-3

• United States European Command (USEUCOM) Antiterrorism Operations Order 08-01, January, 2008 (For Official Use Only (FOUO))

• United States Central Command (USCENTCOM) Operations Order 05- 01, Antiterrorism, 10 August 2005

• Army Field Manual 3-9, Navy Publication P-467, Air Force Manual 355-7, Potential Military Chemical/Biological Agents and Compounds, 12 December 1990

• Army Field Manual 3-6, Air Force Manual 105-7, Fleet Marine Field Manual 7-11-H, Field Behavior of NBC Agents (Including Smoke and Incendiaries), 3 November 1986

1-6 THE PLANNING TEAM. Establishing the design criteria for security and antiterrorism is not something that can be done effectively by any one person. It requires a team of people to ensure that the varied interests relating to a project are considered appropriately. The specific membership of a planning team will be based on local considerations, but in general, the following functions should be represented.

1-6.1 Facility User. The ultimate users of the planned facility identify the assets within the facility that will require protection and establish their relative value. The users also identify any special operational or logistical design constraints for the facility.

1-6.2 Antiterrorism. DoD Instruction 2000.16 requires every installation or base to have an antiterrorism officer. The role of the antiterrorism officer is to orchestrate the development of comprehensive antiterrorism plans and to coordinate the efforts of all organizations on the installations with respect to antiterrorism preparation and response. As such, the antiterrorism officer is a critical member of the planning team.

1-6.3 Intelligence. Representatives of this function are responsible for providing input for the identification of threats to identified assets including information on potential aggressors, their likely targets, and their likely tactics. Because the scope of security engineering potentially includes criminals, terrorists, subversives, and foreign intelligence agents, the intelligence role might not be represented by one person or organization. Criminal intelligence and terrorist intelligence may be in different organizations, for example. This varies by DoD component and location.

1-6.4 Operations. Representatives of this function may be considered to serve as installation level user representatives or representatives of the senior tactical commander on an installation. The installation antiterrorism office and the responsibility for antiterrorism commonly reside in operations.

1-6.5 Security. Representatives of the security and law enforcement function are responsible for detecting and defeating acts of aggression against assets.

Therefore, these representatives supply information about the response capabilities of military police, contract or security guards, local police, or other applicable security

1-4 forces. They may also provide information on general security requirements and on criminal threats.

1-6.6 Logistics. Representatives of this function are commonly responsible for maintenance of installed equipment in facilities. They provide input on equipment maintenance and on integrating with existing systems.

1-6.7 Engineering. Representatives of this function are responsible for facility planning, design, construction, maintenance, and repair. The Director of Public Works (DPW) or Base Civil Engineer (BCE) (or equivalent) organizations commonly include the master planner or project programmer. The programmer organizes and leads the planning team; consolidates all facility requirements, design criteria, and project cost information into the appropriate programming documents; and establishes the project cost estimate or budget.

1-6.8 Resource Management. The resource manager will be responsible for obtaining the funds necessary to implement whatever projects are formulated as part of this process. They are also familiar with what funds sources are available and with the requirements for programming those funds.

1-6.9 Others. Based on local considerations, there may be others who should be consulted for input into the design criteria. They might include Fire Marshals, communications people, environmental people, and historic preservation officers.

1-7 INTEGRATING WITH OTHER REQUIREMENTS. Security and antiterrorism requirements will never be the only requirements associated with a project.

Even where a project is specifically for security and antiterrorism upgrades, there will still be other requirements that must be considered. There will be times where one criterion is more stringent than another, in which case the more stringent one must be applied. In some cases, criteria may conflict. In those cases, those conflicts must be resolved, which may require compromise or adjustment to one or the other criteria. The following are examples of common criteria that must be integrated with security and antiterrorism requirements.

1-7.1 Security Regulations. Many security regulations specify protective measures, policies, and operations related to security. This UFC is intended to complement those existing regulations, not to contradict or supersede them. Regulatory requirements must be accommodated and coordinated.

1-7.2 Explosive Safety. Antiterrorism standards establish criteria to minimize the potential for mass casualties and progressive collapse from a terrorist attack. In addition, based on application of this UFC, planning teams may identify higher levels of protection against explosives threats than are mandated by the minimum standards.

DoD 6055.9-STD, DoD Ammunition and Explosive Safety Standards as implemented by Service component explosive safety standards, establish acceptable levels of protection for accidental explosions of DoD-titled munitions. The explosive safety and antiterrorism standards address hazards associated with unique events; therefore, they

1-5 may specify different levels of protection. Compliance with both standards is required.

Where conflicts arise, the more stringent criteria will govern.

1-7.3 Other DoD Component Standards. DoD components and Combatant Commanders are allowed to supplement the DoD Minimum Antiterrorism Standards for Buildings, but those supplemental requirements may not be less stringent. Examples of such supplemental requirements include USEUCOM Operations Order 08-01 and USCENTCOM Operations Order 05-01. Those operations orders establish additional construction standards for projects constructed in the European and Central Command areas of operations. In addition, DoD components may establish implementing instructions for applying the DoD Minimum Antiterrorism Standards for Buildings, which need to be taken into account in project planning.

1-7.4 Historic Preservation. Implementation of security and antiterrorism requirements cannot supersede the DoD obligation to comply with federal laws regarding cultural resources to include the National Historic Preservation Act and the Archaeological Resources Protection Act. The planning team needs to determine possible adverse effects upon an historic structure and/or archaeological resource in conjunction with establishing antiterrorism and security requirements to the greatest extent possible and to consult accordingly. Personnel at installations abroad should coordinate with the host nation regarding possible adverse effects to cultural resources.

Conversely, historic preservation compliance does not negate the requirement to implement security and antiterrorism standards and requirements. Federal agencies are always the decision-maker in the Section 106 process of the National Historic Preservation Act. An agency should not allow for prolonged consultations that conflict with the eminent need to implement security and antiterrorism standards and requirements. Preservation issues need to be quickly and effectively resolved to avoid obstructing security and antiterrorism efforts.

1-7.5 Sustainable Design. Sustainable design seeks to reduce negative impacts on the environment and on the health and comfort of building occupants, thereby improving building performance. The basic objectives of sustainability are to reduce consumption of non-renewable resources, minimize waste, and create healthy, productive environments. Requirements for security and antiterrorism may pose challenges for sustainable design, but the two goals are not mutually exclusive. Two of the most significant areas of conflict are in providing plantings close to buildings for shading and water conservation and in maximizing natural lighting. Issues such as those require careful coordination among design disciplines and may require tradeoffs.

1-7.6 Other Facility Requirements. Project programmers and designers also must consider issues such as life safety and fire protection, functional issues, energy conservation, seismic criteria, barrier-free handicapped access, and aesthetics.

Protective measures may enhance energy conservation or seismic survivability, but the objectives of life safety requirements or barrier-free access may conflict with the objectives of the protective system. The programmer and the planning team need to recognize conflicts and establish priorities in the programming phase to guide designers to appropriate and optimal solutions.

1-6

1-8 SECURITY ENGINEERING UFC SERIES. This UFC is one of a series of security engineering Unified Facilities Criteria documents that cover minimum standards, planning, preliminary design, and detailed design for security and antiterrorism. The manuals in this series are designed to be used sequentially by a diverse audience to facilitate development of projects throughout the design cycle. The manuals in this series include the following:

1-8.1 DoD Minimum Antiterrorism Standards for Buildings. UFC 4-010-01 and 4-010-02 establish standards that provide minimum levels of protection against terrorist attacks for the occupants of all DoD inhabited buildings. Those UFC are intended to be used by security and antiterrorism personnel and design teams to identify the minimum requirements that must be incorporated into the design of all new construction and major renovations of inhabited DoD buildings. They also include recommendations that should be, but are not required to be incorporated into all such buildings.

1-8.2 Security Engineering Facilities Planning Manual. This manual presents processes for developing the design criteria necessary to incorporate security and antiterrorism into DoD facilities and for identifying the cost implications of applying those design criteria. Those design criteria may be limited to the requirements of the minimum standards, or they may include protection of assets other than those addressed in the minimum standards (people), aggressor tactics that are not addressed in the minimum standards, or levels of protection beyond those required by the minimum standards. The cost implications for security and antiterrorism are addressed as cost increases over conventional construction for common construction types. The changes in construction represented by those cost increases are tabulated for reference, but they represent only representative construction that will meet the requirements of the design criteria. The manual also addresses the tradeoffs between cost and risk. The Security Engineering Facilities Planning Manual is intended to be used by planners as well as security and antiterrorism personnel with support from planning team members.

1-8.3 Security Engineering Facilities Design Manual. UFC 4-020-02 provides interdisciplinary design guidance for developing preliminary systems of protective measures to implement the design criteria established using UFC 4-020-01.

Those protective measures include building and site elements, equipment, and the supporting manpower and procedures necessary to make them all work as a system.

The information in UFC 4-020-02 is in sufficient detail to support concept level project development, and as such can provide a good basis for a more detailed design. The manual also provides a process for assessing the impact of protective measures on risk. The primary audience for the Security Engineering Design Manual is the design team, but it can also be used by security and antiterrorism personnel.

1-8.4 Security Engineering Support Manuals. In addition to the standards, planning, and design UFCs mentioned above, there is a series of additional UFCs that provide detailed design guidance for developing final designs based on the preliminary

1-7 designs developed using UFC 4-020-02. These support manuals provide specialized, discipline specific design guidance. Some address specific tactics such as direct fire weapons, forced entry, or airborne contamination. Others address limited aspects of design such as resistance to progressive collapse or design of portions of buildings such as mail rooms. Still others address details of designs for specific protective measures such as vehicle barriers or fences. The Security Engineering Support Manuals are intended to be used by the design team during the development of final design packages.

1-9 Security Engineering UFC Application. The application of the security engineering series of UFCs is illustrated in Figure 1-1. This manual is intended to be the starting point for any project that is likely to have security or antiterrorism requirements. By beginning with this UFC, the design criteria will be developed that establishes which of the other UFCs in the series will need to be applied. The design criteria may indicate that only the minimum standards need to be incorporated, or it may include additional requirements, resulting in the need for application of additional UFCs.

Even if only the minimum standards are required other UFCs may need to be applied if sufficient standoff distances are unavailable. Applying this series of UFCs in the manner illustrated in Figure 1-1 will result in the most efficient use of resources for protecting assets against security and antiterrorism related threats.

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Figure 1-1. Security Engineering UFC Application

Only minimum standards required?

Define Design Criteria using DoD Security

Engineering Facilities Planning Manual

(UFC 4-020-01)

Apply DoD Minimum Antiterrorism Standards for Buildings

(UFC 4-010-01)

No

Yes

Establish strategies using DoD Security

Engineering Facilities Design Manual

(UFC 4-020-02)

Incorporate Design Requirements into

Planning Documents

Apply DoD Minimum Antiterrorism Standards for Buildings

(UFC 4-010-01)

Design Protective Measures using DoD Security Engineering

Support Manuals

Only minimum standards required?

Incorporate Design Measures into Design

Documents

No

Yes

2-1

CHAPTER 2

AGGRESSOR THREATS AND TACTICS

2-1 INTRODUCTION. Historical patterns and trends in aggressor activity indicate general categories of aggressors and the common tactics that they can be predicted to use against DoD assets. These aggressor tactics and their associated tools, weapons, explosives, and agents are the basis for the threat to assets.

Understanding the basis for the threat and the aggressors' objectives is essential to effective protective system design. This chapter describes aggressors, tactics, tools, weapons, explosives, and agents that are referred to throughout the security engineering series of UFC.

For the purposes of designing a protective system, the perpetrators of terrorist or criminal acts or acts of espionage are not important. To designers the important issue is how an aggressor attacks the asset and with what. Within this UFC aggressors will only be considered in determining the tactics that will be used against assets and the tools, weapons, explosives, and agents associated with those tactics.

The aggressors will not be carried into the design criteria.

This is by no means a comprehensive treatment of threat. The purpose of this chapter is to provide a common basis for defining threat for the purposes of facility design. Planning teams may add additional threat parameters as they find it necessary.

2-2 AGGRESSORS. Aggressors are people who perform hostile acts against assets such as equipment, personnel, and operations. The aggressor objectives and aggressor categories considered in this UFC are described below.

2-2.1 Aggressor Objectives. There are four major aggressor objectives that describe aggressor behavior. An explanation of how these objectives apply to each aggressor category is presented in subsequent paragraphs. Aggressors may use the first three objectives to accomplish the fourth. The four aggressor objectives include:

• Inflicting injury or death on people

• Destroying or damaging facilities, property, equipment, or resources

• Stealing equipment, materiel, or information

• Creating adverse publicity

2-2.2 Aggressor Categories. The four broad categories of aggressors considered in this manual are criminals, protesters, terrorists, and subversives. Hostile acts performed by these aggressors range from crimes such as burglary to low-intensity conflict such as unconventional warfare. Each of these aggressor categories describes predictable aggressors that pose threats to DoD assets and who share common objectives and tactics. This manual does not address the commonly referenced

2-2 aggressor category of disaffected persons, which includes disoriented persons and disgruntled employees. Those aggressors are not covered separately in this manual because they may exhibit similar characteristics to any of the four categories included or they generally do not present a predictable threat.

2-2.2.1 Criminals. Criminals are divided into one of three possible groups based on their degree of sophistication. These three groups are defined as unsophisticated criminals, sophisticated criminals, and organized criminal groups. The common objective for all three criminal groups is assumed to be theft of assets.

2-2.2.1.1 Unsophisticated Criminals. Unsophisticated criminals are unskilled in the use of tools and weapons and have no formal organization.