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Guideline
for Preparing a Vulnerability Analysis
for Correctional Facilities
March 14, 2000
Nick Nicholson, Ph.D.
Security Systems Analyst
Sandia National Laboratories
(505) 844-5235
lgnicho@sandia.gov
This document is a work-in-progress and should not be considered
complete by any correctional facility considering its use.
1.0 Introduction
A vulnerability analysis is a systematic approach used to
analyze the effectiveness of the overall (current or proposed)
security system at a particular facility. The vulnerability
analysis first determines the objectives of the facility's
physical protection system. Next, it identifies the physical
protection elements in place (or proposed) to prevent or mitigate
security concerns. Finally, it analyzes the system design
against the objectives in a systematic, quantitative manner
in order to determine if the physical protection system is
effective and acceptable for that facility. The following
guideline is provided for use during this process.
2.0 Scope of Current Draft
The primary purpose of a VA is to assess a facility's security
posture. The scope of this effort will include characterizing
the facility and its operation, defining the threat, identifying
security targets, determining security system objectives,
identifying existing physical protection system elements,
and analyzing the effectiveness of the security system, including
identifying any deficiencies. This will aid in determining
the need for equipment upgrades, or changes in policies and
procedures. When developing the vulnerability analysis, the
following process should be used. We recommend that a written
vulnerability analysis document be developed with the following
subheadings corresponding to report sections.
3.0 Elements of a Vulnerability Analysis
Introduction to the Facility
Identify:
-
facility name
- type of facility
- location
- number of inmates
- classification of inmates
- number of employees
- description of the community
- community relationship
- name of superintendent
- names of key staff
Characterizing the Facility
To perform a vulnerability analysis it is necessary to compile
a thorough description of the facility. This characterization
includes a description of building structures, high-traffic
areas, infrastructure, terrain, weather conditions, historical
data, and inmate characterizations to name a few. When characterizing
the facility, the first step is to compile information that
depicts everything that could affect the facility's vulnerabilities.
The type of documentation collected should include:
- policy and legal requirements
- manpower surveys
- extraordinary reports (facility-specific type of
report)
- federal, state, and local law enforcement threat
assessments
- security inspection results
- misconduct information
- historical reports
- building blueprints and plans for future structures
- site plans of detection/delay/assessment systems
- weapons inventory
- operational procedures
- other documents that facility management deems necessary
Once the documentation has been collected the following information
should be extracted to characterize the facility.
Site Plans
Identify:
- property borders
- egress and regress routes to the facility
- specific vulnerable areas in and around the facility,
including routes outside the areas such as railroads, waterways,
interstate highways, and airports
- adjacent parking lots and related surveillance or
other security measures, e.g., lock-vehicle policy
- building locations and characteristics, for example,
describe the purpose of the building, who is allowed access,
and its operational conditions or states
- existing means of physical protection
- location of inmate work details and the number and
classification of the inmates
Operational Conditions
Identify:
- length and number of day and night shifts
- activities typical to each shift and their security
implications
- numbers of COs available during each shift and holiday
- availability of special response teams
- meteorological conditions for the region and time
of the year
- description of the adjacent residential areas
Building Structures
Identify:
- type of materials that compose the roof, walls, windows
(bars), floors, foundation, ventilation ducts, sewage, and
water supply
- location and type of doors, gates, portals, tunnels,
windows, sewer holes, and auxiliary exits
Procedures
Identify:
- access control procedures to the facility for visitors,
delivery, contractors, and vendors
- inmate transfer procedures to locations inside and
outside of the facility, including inmate intake and release
- operational procedures dealing with inmate activities,
e.g., privileges, work, canteen, health care, class, library,
meals, religious services, visitors, and sports
- access control procedures for inspection of vehicles
and personnel
- accountability of inmate procedures, e.g., head counts
- CO post orders and operational instructions
- procedures on issuing of weapons and accountability
- policies related to alarm assessment and communication
to response forces
- procedures for control of industry tools, kitchen
knives, and other materials that could be used by inmates
during violence and escape
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