ufc_4_021_02_2013_c1.pdf

UFC 4-021-02

1 October 2013

Change 1, 11 September 2019

UNIFIED FACILITIES CRITERIA (UFC)

APPROVED FOR PUBLIC RELEASE; DISTRIBUTION UNLIMITED

ELECTRONIC SECURITY SYSTEMS

ELECTRONIC SECURITY SYSTEMS

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.

U.S. ARMY CORPS OF ENGINEERS

NAVAL FACILITIES ENGINEERING COMMAND (Preparing Activity)

AIR FORCE CIVIL ENGINEER CENTER

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

Change No. Date Location 1 09/11/2019 3.4.6 Deleted unsupported Card technologies

Appendix C: Updated Notional drawings and text for SCIF, Secure Rooms and Magazines

This UFC supersedes UFC 4-021-02, dated 1 October 2013

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 most 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 Center (AFCEC) 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. 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/.

Refer to UFC 1-200-01, General Building Requirements, for implementation of new issuances on projects.

AUTHORIZED BY:

JAMES C. DALTON, P.E. JOSEPH E. GOTT, P.E.

Chief, Engineering and Construction Chief Engineer U.S. Army Corps of Engineers Naval Facilities Engineering Command

JOE SCIABICA, SES MICHAEL McANDREW Director Director, Facilities Investment and Management Air Force Civil Engineer Center Office of the Deputy Under Secretary of Defense

(Installations and Environment) http://dod.wbdg.org/

DOCUMENT SUMMARY SHEET

Document: UFC 4-021-02, Electronic Security Systems Change 1

Superseding: UFC 4-012-02, dated 01 October 2013.

Description: This UFC (Unified Facilities Criteria) document provides design requirements and guidance on how to design electronic security systems required by the current antiterrorism/force-protection and physical security environment. Electronic security systems consist of access control systems (card reader systems), closed-circuit television (CCTV) system, intrusion detection systems, data transmission media systems (a means to communicate information internally and externally to DoD sites), and provision of local or regional dispatch centers (also known as security command centers). Electronic security systems are one part of an overall physical security plan.

This document provides guidance to commanders, architects and engineers on how to design electronic security systems for projects to include new construction, additions, renovations, expeditionary, or temporary construction.

Reasons for Document:

• The design of physical security measures is a specialized technical area that does not fall in the normal skill record and resume of commanders, architects, engineers, and project managers. This document provides guidance to those parties tasked with implementing existing and emerging physical protection system requirements for the protection of DoD assets.

Impact:

• Reduced project costs are achieved by a better understanding of baseline requirements in the specialized technical area of electronic security systems.

Unification Issues There are no unification issues.

i

TABLE OF CONTENTS

CHAPTER 1 INTRODUCTION

1-1 PURPOSE

1-2 SCOPE

1-3 VULNERABILITY AND RISK ASSESSMENT

1-4 APPLICABILITY

1-5 GENERAL BUILDING REQUIREMENTS

1-6 REFERENCES

1-7 GLOSSARY

1-8 SECURITY ENGINEERING UFC SERIES

1-8.1 DoD Minimum Antiterrorism Standards for Buildings

1-8.2 DoD Security Engineering Facilities Planning Manual

1-8.3 DoD Security Engineering Facilities Design Manual

1-8.4 Security Engineering Support Manuals

1-8.5 Security Engineering UFC Application

CHAPTER 2 ELECTRONIC SECURITY SYSTEM OVERVIEW

2-1 OVERVIEW

2-2 DETECT, DELAY, AND RESPOND

2-2.1 Detect, Delay and Respond Example

2-2.2 Alerting a Response Force

2-3 ESTABLISH REQUIREMENTS

2-3.1 Planning Process

2-3.2 Existing Facilities

2-4 SYSTEM COMPLEXITY

2-4.1 General

2-4.2 Simple System

2-4.3 Intermediate System

2-4.4 Complex System

2-4.5 Networked System

2-5 MONITORING METHODS

2-5.1 General

2-5.2 Proprietary Station ii

2-5.3 Local Alarm

2-5.4 Central Station

2-5.5 Police Connection

2-5.6 Summary

CHAPTER 3 ACCESS CONTROL SYSTEMS

3-1 OVERVIEW

3-1.1 Elements

3-1.2 Methodology

3-2 ACS ENTRY-AUTHORIZATION IDENTIFIERS

3-2.1 Credential Devices

3-2.2 Coded Devices

3-2.3 Biometric Devices

3-2.4 Combining Entry Authorization Identifiers

3-2.5 Selecting Entry Authorization Identifiers

3-3 OTHER ACS FEATURES

3-3.1 Anti-Passback

3-3.2 Anti-Tailgating

3-3.3 Two-Man Rule

3-3.4 Event Tracking/Event Logs

3-4 ACS EQUIPMENT

3-4.1 Badging Equipment

3-4.2 ACS Central Computer

3-4.3 ACS Workstation

3-4.4 ACS Local Processor

3-4.5 Card Readers

3-4.6 Card Types

3-4.7 Keypads and PIN Codes

3-4.8 Biometric Readers

3-4.9 Request-to-Exit (REX) Devices

3-5 ACS DESIGN CONSIDERATIONS

CHAPTER 4 CLOSED CIRCUIT TELEVISION SYSTEMS

4-1 OVERVIEW

iii

4-1.1 Alarm Assessment

4-1.2 Access Control

4-1.3 Surveillance

4-1.4 Evidentiary Archives

4-2 CAMERAS

4-2.1 Color Versus Black and White

4-2.2 Indoor Cameras

4-2.3 Outdoor Cameras

4-2.4 Fixed Position Cameras

4-2.5 Pan/Tilt/Zoom (PTZ) Cameras

4-2.6 Dome Cameras

4-2.7 IP and Analog Cameras

4-3 ILLUMINATION

4-3.1 Illuminance

4-3.2 Uniformity

4-3.3 Glare Reduction

4-3.4 Interior Lighting

4-4 VIEWING IN LOW-LIGHT CONDITIONS

4-4.1 Black/White Switching

4-4.2 Infrared Illuminators

4-4.3 Thermal Imagers

4-5 ANGLE OF VIEW AND FIELD OF VIEW

4-6 CAMERA RESOLUTION

4-7 VIDEO FRAME RATE

4-8 DIGITAL VIDEO BANDWIDTH

4-9 DIGITAL VIDEO RECORDING

4-9.1 Memory Card

4-9.2 Digital Video Recorder (DVR)

4-9.3 Network Video Recorder (NVR)

4-9.4 Hybrid Video Recorder (HVR)

4-9.5 Required Storage Capacity

4-10 CCTV WORKSTATION

iv

4-11 VIDEO ANALYTICS

4-12 CCTV DESIGN PROCESS SUMMARY

4-12.1 Define Security Objectives for the CCTV System

4-12.2 Develop a Camera Layout to Meet the Security Objectives

4-12.3 Verify That Illumination Is Sufficient For Each Scene Of Interest

4-12.4 Specify Workstation Locations

4-12.5 Specify Recording Locations and Capacity

4-12.6 Define Network Architecture

4-12.7 Define Power Requirements

4-12.8 Describe Software and Integration Requirements

CHAPTER 5 INTRUSION DETECTION SYSTEM

5-1 OVERVIEW

5-2 SYSTEM CONFIGURATION

5-2.1 Policy Compliance

5-2.2 Alarm Monitoring Location(s)

5-2.3 Zone Definition

5-2.4 IDS/ACS Integration

5-3 INTERIOR SENSORS

5-3.1 Interior Point Sensors

5-3.2 Interior Volumetric Sensors

5-3.3 Acoustic Sensors

5-3.4 Passive Infrared (PIR) Sensors

5-3.5 Ultrasonic Sensors

5-3.6 Dual-Technology Sensors

5-4 EXTERIOR SENSORS

5-4.1 Open Terrain

5-4.2 Property/Fence Line Detection

5-4.3 Other Exterior Sensors

5-4.4 Double Fence Concept

5-4.5 False Alarm Causes for Exterior Sensors

5-5 VIDEO ANALYTICS FOR IDS

5-6 “AND/OR” CONFIGURATION OPTIONS

v

5-7 IDS DESIGN GUIDANCE

5-7.1 Critical Asset Case Study

5-7.2 Additional IDS Design Guidance

5-8 SUMMARY

CHAPTER 6 DATA TRANSMISSION MEDIA (DTM)

6-1 INTRODUCTION

6-2 BANDWIDTH ANALYSIS

6-3 SECURE COMMUNICATIONS

6-4 NETWORK TOPOLOGY

6-4.1 General Network Topologies

6-5 COMMUNICATION REDUNDANCY

6-6 TRANSMISSION MODES/PROTOCOLS

6-7 TRANSMISSION MEDIA

6-7.1 Hardwired

6-7.2 Direct Subscriber Lines (T 1 Lines)

6-7.3 Wireless

6-7.4 Free-Space Optics (FSO)

6-8 TECHNOLOGY COMPARISION

6-9 ENCRYPTION

CHAPTER 7 DISPATCH CENTER

7-1 INTRODUCTION

7-1.1 Dispatch Center

7-1.2 Regional Dispatch Center (RDC)

7-1.3 Small Facility Options

7-2 SPACE

7-2.1 Space Programming

7-3 LIGHTING

7-4 CONSOLES

7-5 MONITORS

7-6 GROUNDING/POWER CONDITIONING

7-7 HEATING, VENTILATION AND AIR CONDITIONING

7-7.1 Environmental Considerations vi

7-7.2 Load Calculation Considerations

7-7.3 Components Considerations

7-8 SUPPORT ROOMS

CHAPTER 8 ESS SUBSYSTEM INTEGRATION

8-1 OVERVIEW

8-2 COMMUNICATION FROM THE IDS TO THE ACS

8-3 COMMUNICATION FROM THE IDS TO THE CCTV SYSTEM

8-3.1 Hardwired Conductors

8-3.2 Serial Communications

8-3.3 Software-Based Integration for Networked ESS

8-4 COMMUNICATION FROM THE CCTV SYSTEM TO THE ACS

8-5 COMMUNICATION FROM THE ACS TO THE DISPATCH CENTER

8-6 DESIGN GUIDANCE ON IT SYSTEM COORDINATION

CHAPTER 9 GENERAL CONSIDERATIONS AND CROSS-DISCIPLINE

COORDINATION

9-1 GENERAL CONSIDERATIONS

9-1.1 General

9-1.2 System Acceptance Testing

9-1.3 Operation and Maintenance

9-2 GENERAL COORDINATION

9-3 CIVIL COORDINATION

9-3.1 Gate Control (Vehicle Gates and Sally Ports)

9-3.2 Underground Site Work

9-3.3 Outdoor Perimeter Security Features

9-4 ARCHITECTURAL COORDINATION

9-4.1 Balance of Security with Convenience

9-5 LIFE SAFETY CODE COORDINATION

9-6 ELECTRICAL COORDINATION

9-6.1 Power

9-6.2 Backup Power

9-6.3 Grounding, Bonding, and Lightning Protection

9-6.4 Cable Type

9-6.5 Surge Protection vii

9-6.6 Electromagnetic Interference (EMI)

9-6.7 Tamper Protection

9-6.8 Radio Frequencies

9-6.9 Voltage Drop Considerations

9-6.10 Harmonics

9-6.11 Raceway

9-6.12 Labeling

9-6.13 Shielding

9-6.14 Fire Alarm System

9-6.15 Intercom System

9-6.16 Lighting

9-7 MATERIAL ENTRY CONTROL

CHAPTER 10 MODEL DESIGN APPROACH

10-1 INTRODUCTION

10-2 PROJECT PLANNING

10-2.1 Balance Project Funding and Project Scope

10-2.2 Existing Site and Building Plans

10-2.3 Site Surveys

10-2.4 Dispatch Center

10-2.5 Multi-Organizational Interfaces

10-2.6 Space Planning

10-3 INITIAL DRAWING PREPARATION

10-3.1 Cable Schedule

10-3.2 Functional Matrix

10-4 BASIS OF DESIGN

10-5 SCHEMATIC DESIGN PHASE

10-6 DESIGN DEVELOPMENT PHASE

10-7 BIDDING

APPENDIX A REFERENCES

APPENDIX B GLOSSARY

B-1 ACRONYMS AND ABBREVIATIONS

B-2 DEFINITION OF TERMS

viii

APPENDIX C NOTIONAL INTERIOR IDS CONFIGURATIONS

C-1 SENSITIVE COMPARTMENTED INFORMATION FACILITY (SCIF). .. 128

C-1.1 DoD Criteria Document

C-1.2 Policy Baseline

C-1.3 Baseline Intrusion Detection System (IDS) Requirements

C-1.4 Cameras

C-1.5 Tamper Protection

C-1.6 External Transmission Line Security

C-1.7 Emergency Backup Electrical Power

C-1.8 Optional Equipment

C-2 SECURE ROOM (TOP SECRET OR SECRET OPEN STORAGE)

C-2.1 Policy Baseline

C-2.2 Baseline Intrusion Detection System (IDS) Requirements

C-2.3 Cameras

C-2.4 Tamper Protection

C-2.5 External Transmission Line Security

C-2.6 Emergency Backup Electrical Power

C-3 ARMS STORAGE AREA (ARMORY, ARMS ROOM, READY ISSUE

ROOM)

C-3.1 Policy Baseline

C-3.2 Baseline Intrusion Detection System (IDS) Requirements

C-3.3 Tamper Protection

C-3.4 Emergency Backup Electrical Power

C-4 MAGAZINE

C-4.1 Policy Baseline

C-4.2 Baseline Intrusion Detection System (IDS) Requirements

C-4.3 Tamper Protection

C-4.4 Emergency Backup Electrical Power

FIGURES

Figure 1-1 Security Engineering UFC Application Figure 2-1. ESS as a Part of a Physical Security System Figure 2-2. Example Detect and Delay Options ix

Figure 2-3. Timeline Showing Two Cases of Breach and Detection Figure 2-4. Project Process Figure 2-5. Intermediate System with Separate ACS and IDS Figure 2-6. Complex System With Separate ACS, IDS, and CCTV Subsystems Figure 2-7. Networked System Figure 2-8. Proprietary Station Monitoring Figure 2-9. Local Alarm Monitoring Figure 2-10. Central Station Monitoring Figure 2-11. Police Connection Monitoring Figure 3-1. Example Access Control System (ACS) Figure 3-2. Advantages and Disadvantages of Using Credential Devices Figure 3-3. Advantages and Disadvantages of Using Coded Devices Figure 3-4. Advantages and Disadvantages of Using Biometric Devices Figure 3-5. Sample Card Reader Door Configuration Figure 3-6. ACS Design Process Figure 4-1. Example Block Diagram for a Networked CCTV System Figure 4-2. Scene Illuminance and Faceplate Illuminance Figure 4-3. Effect of Glare on CCTV Camera Image Quality Figure 4-4. Angle of View and Field of View Figure 5-1. Example Intrusion Detection System (IDS) Figure 5-2. Example Exterior IDS Zone Layout Figure 5-3. Separate ACS and IDS Figure 5-4. Sample Door Configuration Figure 5-5. Sample Window Configuration Figure 5-6. Sample Roof Hatch Configuration Figure 5-7. Active Infrared IDS Figure 5-8. Monostatic Microwave Sensor and Associated Footprints Figure 5-9. Bistatic Microwave Sensor Operation Figure 5-10. Typical Bistatic Microwave Layout and Guidance Figure 5-11. Typical Fiber Optic Fence Detection System Figure 5-12. Double Fence Example Figure 5-13. Zoned Detection System Figure 6-1 Star Topologies Figure 6-2. Ring Topologies Figure 6-3. Fully-Meshed Topologies Figure 7-1. Dispatch Center Centrally Located Figure 7-2. Example RDC Figure 7-3. Sample Simple Dispatch Center Console Layout Figure 7-4. Sample Small-Medium Dispatch Center Space Layout Figure 9-1. Elements of a Fire Alarm System Figure 10-1 Cable Counts on Riser Diagrams Figure 10-2. Sample Cable Schedule Figure 10-3. Functional Matrix x

TABLES

Table 2-1. Example Breach Events and Delay Time Table 2-2. Sample Detect, Delay, and Respond Measures Table 2-3 Pros and Cons of Monitoring Methods Table 4-1. Fixed versus PTZ Cameras Table 4-2. Reflectivity Factors for Various Surface Conditions Table 4-3. Characteristics of Thermal Imagers Table 4-4. Typical Faceplate Sizes Table 4-5. Typical Camera Resolution Specifications Table 4-6. Object Discrimination Levels Based on Johnson Criteria Table 4-7. Single-frame File Size for Various Resolution Values and Compression

Schemes Table 5-1. Application Notes – Interior IDS Sensors Table 5-2. False Alarm Causes—Exterior IDS Sensors Table 5-3. Advantages and Disadvantages of “AND” and “OR” Configurations Table 5-4. Sample Probability of Detection Factors Table 5-5. IDS Design Guidance Table 5-6. Exterior IDS Applications Table Table 6-1. Bandwidth Usage Values Table 6-2. Data Transmission Table 6-3. DTM Technologies for ESS

CHAPTER 1 INTRODUCTION

1-1 PURPOSE.

The purpose of this UFC is to provide guidance for designing Electronic Security Systems (ESS) in support of the Department of Defense (DoD) physical security program requirements. An ESS is one of many physical security measures that must be considered when addressing the physical security posture of a facility. This UFC is intended to provide uniformity and consistency in the design of an ESS.

1-2 SCOPE.

This UFC provides design requirements and guidance for the design of ESS. It is not intended to create the requirement for an ESS, but rather to assist in designing systems that meet an established requirement and to give guidance to commanders, architects, and engineers on designing an ESS for new projects. Headquarters, Major Command, and installation physical security personnel should be consulted for DoD and Service directives outlining ESS requirements for asset protection. The ESS requirement may come from DoD policy, service policy, installation requirements, or user requirements.

Projects may include new construction, additions, renovations, expeditionary, or temporary construction.

1-3 VULNERABILITY AND RISK ASSESSMENT.

In accordance with DOD O-2000.12H Antiterrorism handbook, a vulnerability and risk assessment must be conducted prior to beginning any security project. Upon identifying facility or asset vulnerabilities to threats, physical security measures such as ESS may be deployed to reduce vulnerabilities. In summary, this document assumes the pre-design phases, including the risk analysis, are complete prior to beginning design. For information on Security Engineering Planning and Design process, refer to UFC 4-020- 01 and UFC 4-020-02 (described in the section “Security Engineering UFC Series” in this chapter). The engineering risk analysis conducted as part of UFC 4-020-01 should be consistent with the terrorism risk analysis conducted by the installation security/AT staff.

1-4 APPLICABILITY.

This UFC provides planning and design criteria for DoD components and participating organizations. This UFC applies to all construction, renovation, or repair projects that include an Electronic Security System.

1-5 GENERAL BUILDING REQUIREMENTS.

UFC 1-200-01, "General Building Requirements", provides applicability of model building codes and government-unique criteria for typical design disciplines and building systems, as well as for accessibility, antiterrorism, security, sustainability, and safety.

Use this UFC in addition to UFC 1-200-01 and the UFCs and government criteria referenced therein.

1-6 REFERENCES.

Appendix A contains a list of references used in this document. The publication date of the code or standard is not included in this document. The most recent edition of referenced publications applies, unless otherwise specified.

1-7 GLOSSARY.

Appendix B contains acronyms, abbreviations, and terms.

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 for 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 UFC 4-010-02 establish standards that provide minimum levels of protection against terrorist attacks for the occupants of all DoD inhabited buildings.

These UFCs 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 DoD Security Engineering Facilities Planning Manual.

UFC 4-020-01 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 DoD 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 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.

1-8.5 Security Engineering UFC Application.

The application of the security engineering series of UFCs is illustrated in Figure 1-1.

UFC 4-020-01 is intended to be the starting point for any project that is likely to have security or antiterrorism requirements. By beginning with UFC 4-020-01, 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.

Figure 1-1 Security Engineering UFC Application.

CHAPTER 2 ELECTRONIC SECURITY SYSTEM OVERVIEW

2-1 OVERVIEW.

ESS is the integrated electronic system that encompasses the ACS, interior and exterior IDS, CCTV systems for assessment of alarm conditions, the DTM, alarm reporting systems for monitor, control, and display, and the policies, procedures, and response times that ensure that all elements of the ESS work effectively. It is part of an overall physical protection system. As shown in Figure 2-1, the overall physical protection system consists of civil engineering features of fences, gates, entry points, clear zones, and standoff distances; architectural issues of construction materials, barriers, doors, windows, and door hardware; structural issues of blast resistant protection; mechanical issues of HVAC protection and redundancy, electrical engineering issues of power redundancy and lighting systems, ESS, and operational considerations such as policy, procedures, and response times. In summary, the ESS is one component of a bigger physical protection scheme. This chapter describes the ESS in general as a lead-in to subsequent detailed chapters on each of the ESS subsystems.

Service Exception, Marine Corps: Aboard Marine Corps Installations, Mass Notification Systems (MNS) are considered a component of the ESS. Design of Mass Notification Systems is not within the scope of this UFC. Refer to UFC 4-021-01 for Mass Notification System design guidance.

2-2 DETECT, DELAY, AND RESPOND.

For effective intrusion intervention, the ESS should operate on the Detect, Delay, and Respond principle that ensures the time between detection of an intrusion and response by security forces is less than the time it takes for damage or compromise of assets to occur. Refer to Figure 2-2. (Note: Some documents consider the additional specific steps of Annunciate, Classify, and Assess as part of the intrusion intervention process.

These additional steps are part of the process, but for this document are intrinsically included as part of the Detect step.)

2-2.1 Detect, Delay and Respond Example.

Table 2-1 provides an example of the times related to each detect and delay option in Figure 2-2. The cumulative delay times shown in this example are estimated at slightly over eight and a half minutes. Assuming a security forces response time of eleven minutes, the sequence of events shown in Table 2-1 allows sufficient time for an adversary to compromise and/or damage the targeted asset. Conversely, assuming a security forces response time of five minutes, the sequence of events shown in Table 2- 1 allows sufficient time to intervene on the intrusion efforts. Depending on the nature of the asset, there are some dictated response times. The ESS designer should work with the facility/base security officer to identify the response forces and reaction times.

Security and planning personnel should refer to DoD, agency, and service directives to identify response requirements.

Detect, Delay, and Respond Factors Samples. The above example is provided to illustrate the general principles of Detect, Delay, and Respond. Table 2-2 provides additional samples of Detect, Delay, and Respond factors. For additional information on delay times, refer to the book, The Design and Evaluation of Physical Protection Systems.

Figure 2-1. ESS as a Part of a Physical Security System.

Figure 2-2. Example Detect and Delay Options.

Table 2-1. Example Breach Events and Delay Time.

Delay Options Delay Time Detection Options 1 Climb fence 8-10 sec. Perimeter fence detection system 2 Cross open ground (for example 600 feet) 10 feet/sec. Microwave sensors

3 Breach building door or window or wall

1-2 min. Door contacts or glass breakage sensor

4 Breach interior hardened door

2-4 min. Door contacts

5 Work time in breached space 3 min. Motion sensor TOTAL DELAY TIME 8 min 39 sec nominal for this example

Table 2-2. Sample Detect, Delay, and Respond Measures.

Detect Measures Delay Measures Respond Measures Intrusion detection devices Fences Response force alerted Alarm notification Walls Response force travel Visual displays Doors Neutralization

2-2.2 Alerting a Response Force.

Figure 2-3 shows two cases of alerting a response force. In the first case, initial detection is not made until the interior wall of the critical asset has been breached. With initial detection nearly six minutes after the adversary climbs the perimeter fence, response forces do not arrive on the scene until after some compromise of the critical asset has been achieved. In the second case, initial detection is made at the fence line, thus allowing response forces to arrive and intervene before the asset is compromised.

The timeline in figure 2-3 illustrates two different security strategies - containment and denial. A containment strategy concedes that the adversary may gain physical access to the protected asset, but it ensures that the response force arrives soon thereafter, thus containing the degree to which the asset is compromised. However, the asset may be damaged or destroyed, depending on the objective and capabilities of the adversary.

A denial strategy, on the other hand, ensures that the protected asset is in no way compromised by the adversary. Denial generally requires early detection, long delay, and rapid response to ensure that the adversary is unable to gain physical access to the protected asset.

Figure 2-3. Timeline Showing Two Cases of Breach and Detection.

2-3 ESTABLISH REQUIREMENTS.

2-3.1 Planning Process.

Establish the requirement for ESS early in the planning process. Establishing the requirement necessitates an interdisciplinary planning team to ensure all interests related to a project are considered appropriately and to determine how security fits into the total project design. The specific membership of the planning team will be based on local considerations, but, in general, the following functions should be represented:

facility user, antiterrorism officer, operations officer, security, logistics, engineering, life safety, information assurance, and others as required. The interdisciplinary planning team will use the process in UFC 4-020-01 to identify the design criteria, which includes the assets to be protected, the threats to those assets (the Design Basis Threat), and the levels of protection to be provided for the assets against the identified threats. In addition to the above-listed criteria elements, the planning team may also identify user constraints such as appearance, operational considerations, manpower requirements or limitations, and sustaining costs. That design criteria will be the basis for establishing the requirements of the ESS and other elements of the overall security solution.

2-3.2 Existing Facilities.

For existing facilities, the design criteria are used to perform a vulnerability assessment, the results of which are used to establish the requirements for the ESS. For new facilities, the design criteria are used to establish the requirements directly. The levels of protection will be the most important criteria element in establishing the ESS requirements. The process outlined in UFC 4-020-01 establishes the planning requirements. It also provides a risk management process that can be used to evaluate the resulting requirement. Figure 2-4 depicts the life cycle of an ESS.

2-4 SYSTEM COMPLEXITY.

2-4.1 General.

ESS can range from simple to complex systems. While there may be some different views or definitions of what constitutes a simple or a complex system, this guide will use the criteria described in this section. The definitions used are an academic basis for presenting different system configurations and integration needs rather than standardized industry terminology, which does not exist for defining system complexity.

2-4.2 Simple System.

The simplest ESS consists of a single ESS subsystem. For example, an IDS at a low value asset is a simple system. Other examples are an IDS with door contact, motion sensors, break-glass sensors and other digital input type sensors that do not require integration with another ESS subsystem. Another example of a simple system would be a basic CCTV system of two cameras going to a Digital Video Recorder (DVR).

2-4.3 Intermediate System.

An intermediate system contains elements of at least two ESS subsystems requiring integration. One example would be an ESS system requiring both an ACS and an IDS.

Virtually all ACS can accommodate digital input signals. Quite often it is possible to combine ACS and IDS when the IDS inputs are limited to simple digital input devices that do not require separate IDS controllers. Examples of these types of digital input IDS devices are door contacts, glass-break sensors, and motion sensors. A basic block diagram for this type of system reporting to a common Dispatch Center is shown in Figure 2-5.

Figure 2-4. Project Process.

Figure 2-5. Intermediate System with Separate ACS and IDS.

2-4.4 Complex System.

A complex system has a separate ACS and IDS system as well as a CCTV system communicating to a Dispatch Center through a DTM as shown in Figure 2-6.

Figure 2-6. Complex System With Separate ACS, IDS, and CCTV Subsystems.

In Figure 2-6, the lines from the ACS/IDS to the CCTV system represent the integration required to automatically display a user-specified camera scene when triggered by a corresponding intrusion or access control alarm. The integration can vary from hardwired contacts to intelligent data communications. System interfaces and integration are described further in Chapter 8, “ESS Subsystem Integration.”

2-4.5 Networked System.

The networked security system, illustrated in Figure 2-7, operates on a single network with drivers to the different discrete components of the subsystems. Responding to the proliferation of networks supporting Ethernet and Internet protocols, the security industry now offers many network-ready components such as local processors for ACS and IDS, intrusion panels, cameras, biometric devices, intercom stations, video recorders, central station receivers, file servers, and workstations. Application software and device drivers are also widely available to allow integration and management of all subsystems across the network. Refer to Chapter 8, “ESS Subsystem Integration” for more information.

Figure 2-7. Networked System.

Networked security systems are typically a Proprietary Security Network. A Proprietary Security network is a completely self-contained dedicated local area network (LAN) with security system software installed and run on a host server (computer). Proprietary Security Networks are dedicated to the ESS with no outside (Internet, LAN, or WAN) connections. All networks must meet the applicable DoD and service component information assurance policies and procedures. For example, the DoD Information Assurance Certification and Accreditation Process (DIACAP) is described in DoDI

8510.01. A unique user ID and password is required for each individual granted access to the host computer. Public Key Infrastructure (PKI) certificates may be used in lieu of User ID and password for positive authentication. Positive authentication methods must be in accordance with published DoD policy and procedures. The system must monitor and log all network and ESS component access attempts and all changes to ESS applications using auditing and network intrusion detection software or similar enhancements. If connection to an outside LAN/WAN is a system requirement, the system would not be considered a Proprietary Security Network and the following additional requirements would apply:

• Encrypt all host server communications to the LAN/WAN using a NIST-approved algorithm with a minimum of 128-bit encryption.

• Protect the system from compromise with firewalls, or similar enhancements that are configured to only allow data transfers between ESS components and authorized monitoring components.

2-5 MONITORING METHODS.

2-5.1 General.

The ESS designer must determine the alarm monitoring method early in the project planning process. This will ensure that issues related to alarm monitoring such as equipment compatibility, data transmission, space allocation, manpower, and standard operating procedures can be adequately addressed in the design phase. Four alarm monitoring methods are defined in DoD 0-2000.12-H - proprietary station, local alarm, central station, and police connection. These methods are described in the following paragraphs.

2-5.2 Proprietary Station.

A proprietary station is a method in which a property owner provides all facilities, equipment, and staffing necessary to monitor alarms. This is the preferred and most common method for a DoD installation where a Dispatch Center functions as a proprietary station and the installation security force responds to all ESS alarms. As a basic configuration, the Dispatch Center may be centrally located at an installation.

Two possible configurations of a Proprietary Station Dispatch Center are shown in Figure 2-8: a Dispatch Center centrally located at a base or a detached Regional Dispatch Center (RDC).

Figure 2-8. Proprietary Station Monitoring.

2-5.3 Local Alarm.

Local alarms actuate a visible and/or audible signal, usually located on the exterior of the facility. Refer to Figure 2-9. Alarm transmission lines do not leave the facility.

Response is generated from security forces located in the immediate area. Without security forces in the area, response may only be generated upon report from a person(s) passing through the area or during security checks. Local alarms may offer some deterrence value, but they cannot be relied upon to initiate the Detect, Delay, Respond sequence. Because of this limitation, a local audible/visible alarm should not be used as the sole means of annunciation. In some cases, however, it may be beneficial to provide a local alarm in addition to annunciation at a qualified monitoring station.

Figure 2-9. Local Alarm Monitoring.

2-5.4 Central Station.

Devices and circuits are automatically signaled to, recorded, maintained, and supervised from a central station owned and managed by a commercial firm with operators in attendance at all times. The Central Station personnel monitor the signals and provide the response force to any unauthorized entry into the protected area.

Connection of alarm equipment to the central station is usually over leased telephone company lines for systems of significance. Other connection options are dial-up modems with cellular backup and the Internet. Refer to Figure 2-10.

Figure 2-10. Central Station Monitoring.

2-5.5 Police Connection.

Police connection systems are transmitted to and annunciated at a local police agency dispatch center that records alarm annunciation. Connection to the police is primarily over leased telephone lines. Police personnel respond to alarms. A formal agreement with the police department is required to ensure monitoring and response requirements.

Often police departments impose a penalty after some quota of false alarms, thus the sensitivity is often turned down to minimize nuisance alarms and may result in missed indications. Police responders may be attending to other emergencies and unavailable to respond when needed. Police connection configurations may be used for highly valued assets not located on a DoD base or installation. Refer to Figure 2-11 for a diagram of a police station connection.

Figure 2-11. Police Connection Monitoring.

2-5.6 Summary.

Table 2-3 provides a summary of the pros and cons of each type of monitoring method.

Table 2-3 Pros and Cons of Monitoring Methods.

Pros Cons Proprietary Station

Not reliant on outside sources.

Can be equipped with CCTV monitoring capability for alarm assessment, video analytics, and general surveillance.

Requires 24/7 trained personnel;

possibly increased staffing.

Requires real estate space and fit-out hardware.

Increased recurring labor cost of Dispatch Center operators.

Local Alarm Easy to implement Cost effective Simple

No guaranteed response, relies on support forces being in audible/visual range

Central Station

Does not require any additional space or building Probably does not require any additional staffing

Requires an existing Central Station Some complexity in establishing connection May rely on non-DoD forces CCTV capability may be limited or non-existent

Police Connection

Direct communication with law enforcement/response forces without delay.

Requires a cooperating law enforcement station with space and equipment.

Must consider separate archiving resource Probably does not have CCTV assessment capability.

Ongoing fee may be required for monitoring Interface connection is required.

Systems often operate with reduced sensitivity to minimize the number of nuisance alarms.

CHAPTER 3 ACCESS CONTROL SYSTEMS

3-1 OVERVIEW.

The primary function of an ACS is to ensure that only authorized personnel are permitted ingress to a controlled area. The ACS should log and archive all transactions and alert authorities of unauthorized entry attempts. ACS can be interfaced with the CCTV system to assist security personnel in the assessment of unauthorized entry attempts.

3-1.1 Elements.

An ACS can have many elements, including electric locks, card readers, biometric readers, door contacts, and request-to-exit devices, all monitored and controlled by a distributed processing system and one or more workstations. ACS workstations allow security personnel to enroll authorized users in the system, set user access permissions, monitor events and alarms, and run reports on past system activity.

Figure 3-1 shows an example ACS configuration, and detailed descriptions of the various elements of an ACS are provided later in this chapter.

3-1.2 Methodology.

In general, an ACS compares an individual’s entry authorization identifier against a verified database. If an individual's identity is verified, the ACS sends output signals to allow that authorized individual entry through controlled portals such as gates or doors.

The system has the capability of logging entry attempts (authorized and unauthorized) that are archived. (Event and tracking logs are discussed in more detail in Paragraph 3-

3.4 Event Tracking/Event Logs.) Typically the ACS interfaces with the IDS for input of digital alarm signals at access portals controlled by the ACS. An example of this would be “door forced” alarms at a card reader controlled door. Similarly, the ACS interfaces with the CCTV system in that cameras could be placed at remote gates to verify identity of entrants before manually actuating the remote gate. Signals from the ACS are communicated to the Dispatch Center through the transmission lines of the DTM.

Further information on the specifics of how the ACS interfaces with the rest of the ESS is provided in Chapter 8, “ESS Subsystem Integration.”

3-2 ACS ENTRY-AUTHORIZATION IDENTIFIERS.

ACS entry-authorization identifiers are grouped into three categories:

• Credential devices

• Coded devices

• Biometric devices

Figure 3-1. Example Access Control System (ACS).

These devices operate on three basic techniques:

• Something a person has, such as a Common Access Card (CAC) \1\/1/

• Something a person knows, such as a personal identification number

(PIN)

• Something a person is or does, such as a biometric identifier 3-2.1 Credential Devices.

Credential devices allow a person possessing a recognized credential to enter a controlled area. A coded credential (such as a plastic card or key) contains a prerecorded, machine-readable code. When the card or key is read, an electric signal unlocks the door if the code stored on the credential matches the code stored in the system. A credential device only authenticates the credential; it assumes a user with a recognized credential is authorized to enter. Various technologies are used to store the code within a card or key. The most common types of cards are described in more detail in the section Card Types.

Advantages and disadvantages of using credential devices are shown in Figure 3-2.

Figure 3-2. Advantages and Disadvantages of Using Credential Devices.

Advantages

• Cards and card readers are reliable.

Disadvantages

• Cards can be lost or stolen.

• Some types of cards can easily be duplicated.

Each type of card and card reader has its own advantages and disadvantages. Refer to the subsections Card Readers and Card Types in the section ACS Equipment in this chapter for more on the advantages and disadvantages of each.

3-2.2 Coded Devices.

Coded devices such as keypads operate on the principle that a person has been issued a code or PIN to enter into the device that will verify the authenticity of the code entered.

Any person entering a correct code is authorized to enter the controlled area.

Advantages and disadvantages of using coded devices are shown in Figure 3-3. For information about the different types of coded devices see the section Keypads and PIN Codes, later in this chapter.

Figure 3-3. Advantages and Disadvantages of Using Coded Devices.

Advantages

• Keypads are compact and easily understood.

• Different codes may be used to give access to different points and doors.

• Maintenance is easy.

• Keypads are not expensive. They are reliable and easily replaced or repaired. Little complex hardware is needed.

• No cards or tokens need be carried so there is nothing to lose.

• A duress code, known only to the user, can be input covertly if a legitimate person is forced to enter under duress.

Disadvantages

• Codes are easily passed on to other unintended or unwelcome visitors.

• The code can possibly be viewed by others and thus used for unapproved entry.

• Hands-free operation is not an option.

• The number of allowable unique codes can be limited. For example, a four-digit PIN only provides 10,000 different possible codes.

3-2.3 Biometric Devices.

Biometric devices rely on the comparison of a specific biological characteristic to a stored template. Fingerprint, facial patterning, hand geometry and iris scanning are the predominant biometric modalities used within DoD. Selected individual characteristics are stored in a device’s memory or on a card, from which stored reference data can be analyzed and compared with the presented template. A one-to-many (identification) or a one-to-one (verification) comparison of the presented template with the stored template can be made, and access granted if a match is found (depending on the authorized security level). The verification mode generally provides faster transaction times but does require a user to present a credential or enter a code to cue a specific stored template for the one-to-one comparison. Verification is the preferred mode of operation for ACS biometric applications in DoD.

3-2.3.1 Biological Measurements.

Because of the potential differences in biological measurements made over time, the comparison of the current biological measurement with the stored template is not likely to result in a perfect match. Therefore, the algorithm allows for a small percentage of variation. While the allowed variation is small, it does raise the possibility of the two types of errors associated with ACS. The first is false reject (commonly referred to as a Type I error) where the difference between the current biological measurement and the stored template is beyond the level of acceptable variation. The second is false accept (commonly referred to as a Type II error) where an individual's biological characteristic is sufficiently close to that of another individual that access is incorrectly granted. While biometrics can introduce both types of errors, the most likely impact will be on the overall false reject rate of an ACS. All ACS have some percentage of false positive (accept) alarm signals, and ESS system designers must understand the issues and work to minimize the number of false positive (accept) events. From a logistics perspective, missions cannot be accomplished if false reject rates are high and authorized personnel are regularly unable to enter their workspace or facility.

3-2.3.2 Advantages and Disadvantages.

Advantages and disadvantages of using biometric devices to grant or deny access are shown in Figure 3-4. For information about the different types of biometric technologies, see the subsection Biometric Readers in the section ACS Equipment in this chapter.

Figure 3-4. Advantages and Disadvantages of Using Biometric Devices.

Advantages

• They provide automated verification that the person attempting to gain access is authentic.

• Biometric credentials are extremely difficult to duplicate.

Disadvantages

• The cost is slightly higher.

• Longer verification time.

• Require special housings.

• Some devices are not well-suited to outdoor use.

3-2.4 Combining Entry Authorization Identifiers.

A site’s security can be significantly enhanced by combining two or more entry authorization identifiers such as a biometric characteristic with a smart card \1\/1/ with a PIN code. However, combining identifiers results in increased verification time and will decrease throughput rate. Throughput time must be considered when making decisions about whether or not to use multiple identifiers. Another consideration in combining two identifiers is that a system can be required to use one identifier during lower risk times (such as during normally staffed times) and two identifiers during higher risk periods (such as nights and weekends). The same philosophy can be applied for access control enhancement during times of heightened force protection threat levels.

3-2.5 Selecting Entry Authorization Identifiers.

The type of identifier (credential, code, biometric attribute or a combination thereof) that will be used needs to be selected early in the project. This selection will drive the specifications for card readers, keypads, and biometric devices, and it will influence the layout of access control equipment at doors and other portals. The ESS designer must solicit user input concerning previously-issued credentials, such as the CAC, that may be appropriate for the ACS.

3-3 OTHER ACS FEATURES.

Other features to consider implementing as part of an ACS include anti-passback, anti-tailgating, two-man rule, and event tracking. These are described in the following sections.

3-3.1 Anti-Passback.

Anti-passback is a functional characteristic employed within ACS. It is used to eliminate/mitigate the risk of someone giving their credential (passing it back) to another person after that credential is used to access a secure area. Anti-passback requires that a person present a credential to enter an area or facility, and then again use the credential to “badge out.” This makes it possible to know how long a person is in an area, and to know who is in the area at any given time. This requirement also has the advantage of instant personnel accountability during an emergency or hazardous event.

In a rigid anti-passback configuration, a credential is used to enter an area and that same credential must be used to exit. If a credential holder fails to properly “badge-out”, entrance into the secured area can be denied. Anti-passback is a standard software feature for Commercial-Off-The-Shelf (COTS) access control systems, but enabling this feature requires that every portal be equipped with two credential readers, one on the entry side and the other on the exit side.

An alternative approach to “badging out,” which is not as rigid as the process described above, is use of a time delay on entrance readers. In this design, the credential (card or PIN) cannot be reused within a prescribed minimum time period.