DHS
RISK LEXICON 2010 EDITION
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Risk Steer
ing Committee
DHS Risk
Lexicon
2010 E
dition
September 2010
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EXECUTIVE SUMMARY
This is the second edition of the Department of Homeland Security (DHS) Risk Lexicon and represents an
update of the version published in September 2008. More than seventy terms and definitions were
included in the first edition of the DHS Risk Lexicon. The 2010 edition includes fifty new terms and
definitions in addition to revised definitions for twenty-three of the original terms.
It was produced by the DHS Risk Steering Committee (RSC). The RSC, chaired by the Under Secretary for
the National Protection and Programs Directorate and administered by the Office of Risk Management and
Analysis (RMA), has produced a DHS Risk Lexicon with definitions for terms that are fundamental to the
practice of homeland security risk management and analysis.
The RSC is the risk governance structure for DHS, with membership from across the Department, formed to
leverage the risk management capabilities of the DHS Components and to advance Departmental efforts
toward integrated risk management. The DHS Risk Lexicon makes available a common, unambiguous set
of official terms and definitions to ease and improve the communication of risk-related issues for DHS and
its partners. It facilitates the clear exchange of structured and unstructured data that is essential to the
exchange of ideas and information amongst risk practitioners by fostering consistency and uniformity in
the usage of risk-related terminology for the Department.
The RSC created the Risk Lexicon Working Group (RLWG) to represent the DHS risk community of interest
(COI) in the development of a professional risk lexicon. The RLWG’s risk lexicon development and
management process is in accordance with the DHS Lexicon Program. Terms, definitions, extended
definitions, annotations, and examples are developed through a collaborative process that is open to all DHS
Components. Definitions are validated against glossaries used by other countries and professional
associations. Terms, definitions, extended definitions, annotations, and examples are then standardized
grammatically according to the conventions of the DHS Lexicon Program.
All terms in the DHS Risk Lexicon were completed using this process and represent the collective work of
the DHS risk COI. The DHS Risk Lexicon terms and definitions will be included as part of the DHS Lexicon,
and future additions and revisions will be coordinated by the RSC and RLWG in collaboration with the DHS
Lexicon Program.
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LIST OF TERMS
The following terms have been defined for the DHS Risk Lexicon:
1. Absolute Risk*, page 6
2. Absolute Risk (Unmitigated)*, page 6
3. Acceptable Risk*, page 7
4. Accidental Hazard, page 7
5. Adaptive Risk*, page 7
6. Adversary, page 7
7. Alternative Futures Analysis*, pages 7,8
8. Asset, page 8
9. Attack Method, page 8
10. Attack Path, page 8
11.
Baseline Risk*, page 8
12. Bayesian Probability*, page 9
13. Bayesian Probability (Subjective
Probability)*, page 9
14.
Break-Even Analysis*, pages 9
15. Capa bility, page 9
16. Conditional Probability*, page 10
17. Consequence, page 10
18. Co nsequence Assessment
Ω, pages 10
19. Co st-Effectiveness Analysis (CEA)*, page 10
20. Co st-Benefit Analysis (CBA)*, page 10
21. Co untermeasure
Ω, page 11
22. Cr iticality*, page 11
23. Cr iticality Assessment*, page 11
24.
Decision Analysis*, page 11
25.
Deterrent
Ω, page 11,12
26. Direct Consequence*, page 12
27. Economic Consequence, page 12
28. Enterprise Risk Management*, pages 12,13
29. Evaluation, page 13
30. Event Tree*, pages 13,14
31. Fault Tree*, pages 15,16
32. Frequency*, page 16
33. Frequentist Probability*, pages 16,17
34. Function
Ω, page
17
35. G ame Theory*, page
17
36.
Hazard, pages
17
37.
Horizon Scanning*, page
17
38.
Human Consequence (
Health)
Ω, page
18
39. Implementation, page
18
40.
Incident, pages
18
41.
Indirect Consequence*, page
18,19
42.
Integrated Risk Management
Ω, page 19
43.
Intent
Ω, pages 19
44.
Intentional Hazard, page 19
45. Joint Probability*, page 19
46. Likelihood
Ω, pages 20
47.
Likelihood (Statistical)*, page 20
48. Marginal P robability*, page 21
49. Mitigation*, pages 21
50. Mission Consequence, page 21
51. Mo del
Ω, page 21
52.
Natural Hazard, page 21
53.
Net Assessment*, page 22
54.
Network
Ω, page 22
55. Normalized Risk*, page 22
56.
Non-Adaptive Risk*, page 23
57.
Operational Risk*, page 23
58 Primary Consequence*, page 23
59.
Probabilistic Risk Assessment, page 23
60.
Probability
Ω, pages 23-25
* New terms for 2010
DHS RISK LEXICON – 2010 EDITION
Ω Definitions revised from 2008
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61. Psychological Consequence, page 25
62. Qualitative Risk Assessment Methodology,
page 25
63. Quantitative Risk Assessment Methodology,
page 25
64. Redundancy, page 26
65. Relative Risk*, page 26
66. Residual Risk, page 26
67. Resilience
Ω, page 26,27
68. Return on Investment (Risk), page 27
69. Risk
Ω, page 27
70. Risk Acceptance, page 27
71. Risk Analysis, page 27,28
72. Risk Assessment, page 28
73. Risk Assessment Methodology, page 28
74. Risk Assessment Tool, page 28
75. Risk Avoidance, page 28
76. Risk Communication, page 29
77. Risk Control, pages 29
78. Risk Data*, page 29
79. Risk Exposure*, page 29
80. Risk Governance*, page 29
81. Risk Identification, page 29
82. Risk Indicator*, page 30
83. Risk Management Ω, pages 30
84. Risk Management Alternatives
Development, page 30
85. Risk Management Cycle, page 30
86. Risk Management Methodology Ω, page 30
87. Risk Management Plan, page 30
88. Risk Management Strategy, pages 31
89. Risk Matrix, page 31
90. Risk Mitigation
Ω, page 31
91. Risk Mitigation Option, page 31
92. Risk Perception, page 31
93. Risk Profile
Ω, pages 32
94. Risk Reduction
Ω, page 32
95. Risk Score, page 32
96. Risk Tolerance
Ω, page 32
97. Risk Transfer, pages 32
98. Risk-Based Decision Making, page 33
99. Risk-Informed Decision Making, page 33
100. Scenario (Risk), page 33
101. Secondary Consequence*, pages 33
102. Semi-Quantitative Risk Assessment
Methodology, page 34
103. Sensitivity Analysis, page 34
104. Simulation
Ω, page 34
105. Social Amplification of Risk*, pages 34
106.
Strategic Foresight*, page 35
107. Strategic Risk*, page 35
108. Subject Matter Expert
Ω, page 35
109. Subjective Probability*, page 35,36
110. System, pages 36
111. Target, page 36
112. Threat, page 36
113. Threat Assessment
Ω, page 37
114. Threat Shifting*, pages 37
115. Unacceptable Risk*, page 37
116. Uncertainty, page 38
117. Unmitigated Risk (Residual Risk)*, page 38
118. Value of Statistical Life (VSL)*, page 38
119. Vulnerability
Ω, page 38
120. Vulnerability (Degree)*, page 39
121. Vulnerability Assessment
Ω, page 39
122. Willingness-To-Accept*, page 39
123. Willingness-To-Pay*, page 39
* New terms for 2010
DHS RISK LEXICON – 2010 EDITION
Ω Definitions revised from 2008
PG. x
TABLE OF CONTENTS
Preface v
Executive Summary vii
List of Terms ix
Introduction 1
A. Project Goals and Objectives 2
B. Project Governance 2
I. Lexicon Process Phases 3
A. Collection 3
B. Harmonization Process 4
C. Validation, Review and Normalization 4
II. Definitions 6
III. DHS Lexicon Governance Structure 40
A. The DHS Executive Secretariat 40
B. Risk Steering Committee 40
IV. Maintenance of the DHS Risk Lexicon 41
A. Maintenance of Existing Terms 41
B. Addition of New Terms 42
C. Consistency with Related Federal/Interagency Efforts 42
D. Availability 42
E. Notification of Updates 42
V. Use of the DHS Risk Lexicon 43
VI. Appendices 44
Appendix A: Revised Definitions from 2008 Publication 44
Appendix B: Comment/Revision Form 49
Appendix C: Common DHS Acronyms for Risk Methodologies and Programs 50
Appendix D: DHS Lexicon Contact Information 59
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INTRODUCTION
Risk is a key organizing principle for homeland security strategies, programs, efforts, and activities. The
Department’s risk management process, by which risk information is gathered, aggregated, analyzed, and
communicated, must be supported by precise and unambiguous language. The Department of Homeland
Security (DHS) Risk Steering Committee (RSC) initiated the DHS Risk Lexicon Project and in September
2008 published the first DHS Risk Lexicon. The DHS Risk Lexicon provides a set of terms for use by the
homeland security risk community of interest (COI) and represents an important and ongoing effort to
enable integrated risk management (IRM) across the Department.
The DHS Policy for Integrated Risk Management, signed by Secretary Napolitano in May 27, 2010, states
that IRM is achieved, in part, by:
Building a common understanding of risk management through development
of a risk lexicon, risk-informed planning process, training, and standards of
practice.
Risk management and analysis supports specific h omeland security missions and determines how homeland
security functions can be best used to prevent, protect, mitigate, respond to, and recover from hazards to
the Nation. The ability to communicate precise concepts and meanings is essential for effective risk-
informed decision making. Clear communication allows information to be used consistently to support
decisions about the nature, cause, and severity of risks. This ability to communicate homeland security risk
information with precision is critical to support decision making at all levels throughout the Department.
The DHS Risk Lexicon Project has identified and defined the terms that are essential to the practice of
homeland security risk management. The DHS Risk Lexicon is intended to improve the internal
management of DHS and facilitate commonplace discussions among the departmental risk community. The
DHS Risk Lexicon establishes a common vocabulary and language that will improve risk-related
communications between DHS Components. However, it must be noted that other definitions may be
found in guidance, regulations, or statutes that will be specifically applicable in those regulatory or legal
contexts. The DHS Risk Lexicon is not intended to create any right or benefit, substantive or procedural,
enforceable at law or in equity, against the United States, its departments, agencies, or other entities, its
officers or employees, or any other person.
This publication represents the most recent collection of terms and definitions of the DHS Risk Lexicon.
Additionally, it describes the governance process for generating additional terms and maintaining the DHS
Risk Lexicon. Finally, it lays out expectations for the adoption and use of the DHS Risk Lexicon within the
homeland security risk COI.
A. Project Goals and Objectives
The purpose of the DHS Risk Lexicon Project is to establish and make available a comprehensive list of
terms and definitions relevant to the practice of homeland security risk management and analysis. To
support IRM for the Department, the DHS Risk Lexicon:
Promulgates a common language to ease and improve communications for DHS and its partners.
DHS
RISK LEXICON – 2010 EDITION
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Facilitates the clear exchange of structured and unstructured data, essential to interoperability amongst
risk practitioners.
Garners credibility and grows relationships by providing consistency and clear understanding with
regard to the usage of terms by the risk community across DHS and its components.
Project Governance
This DHS Risk Lexicon was created by the DHS RSC. The RSC provides strategic direction for integrating
risk management approaches across DHS. Working groups are created by the RSC to execute initiatives.
One of these groups is the Risk Lexicon Working Group (RLWG). The RLWG includes representatives
from DHS Components and serves as the homeland security risk COI in the development of a professional
risk lexicon. RLWG members collectively provide the subject matter expertise necessary for the collection,
normalization, and harmonization of terms and meanings in the lexicon.
The RMA coordinates regular meetings of the RLWG and supports a variety of collection, documentation,
and workshop activities to develop the DHS Risk Lexicon. RMA, in coordination with the DHS Lexicon
Program, also supports the RSC in developing governance processes and procedures for the maintenance
and growth of the DHS Risk Lexicon.
D
efinitions are developed through a three-phase process:
Collection: Terms are collected from across DHS
and the risk community.
Harmonization: Multiple, often conflicting,
definitions are harmonized to produce a single
meaning for each term.
Validation, Review, and Normalization:
Harmonized definitions are validated against a
number of non-DHS sources to ensure that the
definitions produced for use in DHS are consistent
with those used by the larger risk community.
Proposed definitions are provided to the entire
RLWG for comment. Comments are adjudicated
and definitions are standardized for grammar and format.
DHS RISK LEXICON – 2010 EDITION
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I. LEXICON PROCESS PHASES
A. Collection
The collection of terms for the DHS Risk Lexicon is coordinated through the RLWG, representing DHS
Components, RLWG members collect terms that are relevant to the practice of homeland security risk
management from within their respective Components. Data sources include directives, glossaries, and
other procedural or guidance documents. In addition, RMA staff review foundational homeland security
policy and doctrine to identify and collect relevant definitions, including the following documents:
Unclassified Presidential Policy and Homeland Security Presidential Directive
National Security Strategy
Quadrennial Homeland Security Review (QHSR)
National Strategy for Physical Protection of Critical Infrastructure and Key Assets
National Strategy to Secure Cyberspace
DHS Strategic Plan, ―Securing Our Homeland‖
National Response Framework
National Incident Management System
National Infrastructure Protection Plan
DHS Bottom-Up Review
Grant Guidance for the Homeland Security Grant Program, Port Security Grant Program, Transit
Security Grant Program, and other homeland security grants
Homeland Security Exercise and Evaluation Program Policy and Guidance
Federal Emergency Management Agency (FEMA) Comprehensive Preparedness Guide 101
FEMA State and Local Mitigation Planning (386) Series
This is the second edition of the DHS Risk Lexicon and represents an update of the version published in
September 2008. Seventy-three terms were recommended for inclusion in the first edition. The 2010
Edition includes fifty new terms and revised definitions for twenty-three of the original terms. Each of
these terms represent a fundamental concept of risk and meets the majority of the following criteria:
Relevant to all DHS Components with a role in risk management (i.e., broadly used terms).
Previously used differently or inconsistently across the homeland security risk community.
Have specialized meaning in a homeland security context that is not captured by common usage or
dictionary definition.
Necessary for applying IRM.
DHS RISK LEXICON – 2010 EDITION
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B. Harmonization Process
The most critical phase in the lexicon development process is the synthesis or ―harmonization‖ of
definitions received during the initial phase to arrive at a single unified definition.
RLWG members utilize a protocol for harmonization that is consistent with DHS Lexicon Program
procedures. This protocol allows for a thorough examination of relevant sources to ensure that the
harmonized definitions produced by the RLWG are appropriate for DHS and the external homeland security
risk community. During a series of Harmonization workshops, RLWG members discuss the available
definitions and reach consensus on harmonized definitions for the core terms.
The RLWG members execute the following process to harmonize definitions:
1) Examine dictionary definitions to ensure that the eventual harmonized definition is compatible with
dictionary definitions and common usage.
2) Examine definitions submitted during the collection phase, as well as DHS Lexicon submissions and
homeland security policy, to determine key concepts and requirements for term definition. Consult
RLWG members for additional key concepts and requirements.
3) Determine if any submitted definitions contain all of the key concepts or if multiple definitions can be
modified or combined to create a definition that captures the key concepts.
4) Create a definition, based on key concepts and requirements, which is consistent with current usage.
C. Validation, Review and Normalization
Definitions contained in this Lexicon have been validated against other lexicons, reviewed by members of
the RLWG, and standardized for grammar and format with the assistance of the DHS Lexicographer.
1. Validation:
Each of the proposed definitions is validated against non-DHS professional sources (glossaries from other
countries, professional communities, and standards organizations) to ensure that the proposed DHS Risk
Lexicon definitions are compatible with those used in the larger risk management community.
Validation sources include:
Intelligence Experts Group All Hazards Risk Assessment Lexicon; Defense R&D Canada, Centre for
Security Science; November, 2007.
Australia / New Zealand Risk Management Standard 4360; prepared by Joint Technical Committee OB-
007, Risk Management; August 2004.
Society of Risk Analysis (SRA) Glossary; produced by the Committee for Definitions; estimated date,
2008.
International Risk Governance Committee (IRGC) definitions from the white paper ―Risk Governance,
Towards an Integrated Approach‖; authored by Ortwin Renn with annexes by Peter Graham; January,
2006.
DHS RISK LEXICON – 2010 EDITION
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―International Standards Organization (ISO) Risk Management Vocabulary‖ ISO/ICE CD Guide 73;
produced by Secretariat of ISO TMB WG on Risk Management; June, 2009.
RMA
staff, in support of
the RLWG, cross-referenced
each of
the proposed core
definitions
with each
validation source.
Fifty of
the 123
terms
included in the DHS
Risk Lexicon are
found in at least one of
the
validation sources.
In the
majority of cases,
definitions
for
the DHS
Risk Lexicon are
consistent with
definitions
being used in the larger
international risk
community.
When the definitions
differ, it can
usually be attributed to differences
in the communities that the definitions
are
intended to serve
(For
example, the Society for
Risk Analysis serves a much broader community of
risk practitioners who may deal
with financial or
health
risks, in
contrast to the DHS
Risk Lexicon,
which is
focused on homeland security
risk.).
In other
cases, differences
are
due to the use
of
common words
that
have
taken on a
specific
meaning in
the domestic homeland security
context
(For
example, Canada’s
Centre
for
Security Science
definition for
―critical infrastructure‖
focuses
on interdependent
networks, while the term
is
used more
broadly in the United States homeland security paradigm.).
This
validation
effort
demonstrates
that the definitions
in the DHS
Risk
Lexicon are
consistent
with
the
use
of
similar
terms
in related communities.
DHS
Risk Lexicon definitions
are
broad enough to accommodate
communication with communities outside the domestic risk homeland
security
paradigm, but specific
enough to be useful for practitioners within the DHS risk COI.
2.
Review:
Validated DHS
Risk Lexicon definitions
are
circulated
to all members
of
the RLWG
for
comment before
being submitted to the RSC for
review.
RLWG
members
review definitions
and examples
and make
revisions or comments as necessary.
3.
Normalization:
As a final step in
producing
official
definitions
for the DHS Risk Lexicon, the
definitions are vetted by the
DHS Lexicographer to ensure format and grammatical consistency with the larger DHS Lexicon.
They are
then submitted for
publication.
DHS RISK LEXICON – 2010 EDITION
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II. DEFINITIONS
ABSOLUT E R I SK *:
Definition: level of risk expressed with standard units of measurement that allows for independent
interpretation without comparison to estimates of other risks
Sample Usage: Analysts used the absolute risk estimate for a particular scenario to determine if a
mitigation measure was cost effective.
Annotation:
1) The absolute risk value of a scenario has a meaningful independent interpretation in contrast to
relative risk that is meaningful only in comparison to other similarly constructed risk values.
2) Can be measured using annualized lives lost, expected economic impact, or other metrics but it
is not a ratio of risks.
3) Can measure absolute level of risk pre- or post-risk reduction measures.
See Also: relative risk
ABSOLUT E R I SK (UN M I T IGAT E D )*:
Definition: level of risk that exists without risk controls
Sample Usage: An absolute risk value for the facility, assuming no security measures, was
determined at the outset of the analysis.
Extended Definition: a hypothetical condition that would exist if risk mitigation measures were
absent
Annotation:
1) The application of absolute risk to natural hazards is straightforward. It is a reasonable
approximation of what the risk would be if all countermeasures were actually removed. It is
commonly used as a step in calculating the risk-reduction value of existing or prospective
countermeasures.
2) The use of absolute risk for crime and terrorism involves limitations. In this context, absolute
risk involves imagining that no countermeasures are in place. However, it does not involve
imagining the response of adaptive intelligent adversaries in this absence of countermeasures. As a
result, it is a poor approximation of what the actual risk would be if the countermeasures were
removed.
3) It is critical to be transparent about these assumptions when comparing any crime- or terrorism-
related absolute risk (or calculation derived therein) to any other absolute risk-derived calculation.
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ACCEPTA B L E RISK *:
Definition: level of risk at which, given costs and benefits associated with risk reduction measures,
no action is deemed to be warranted at a given point in time
Sample Usage: Extremely low levels of water-borne contaminants can be deemed an acceptable
risk.
ACCIDENT AL H AZARD :
Definition: source of harm or difficulty created by negligence, error, or unintended failure
Sample Usage: The chemical storage tank in the loading area without a concrete barrier may
present an accidental hazard.
ADAP TIV E R I SK *:
Definition: category of risk that includes threats intentionally caused by humans
Sample Usage: A terrorist plot to attack a public transportation system can be categorized as an
adaptive risk.
Annotation: Adaptive risks can include insider threats, civil disturbances, terrorism, or
transnational crime. Those threats are caused by people that can change their behavior or
characteristics in reaction to prevention, protection, response, or recovery measures taken.
ADVERSA RY :
Definition: individual, group, organization, or government that conducts or has the intent to
conduct detrimental activities
Sample Usage: Al-Qaeda is an adversary of the United States.
Annotation:
1) An adversary can be hypothetical for the purposes of training, exercises, red teaming, and other
activities.
2) An adversary differs from a threat in that an adversary may have the intent, but not the
capability, to conduct detrimental activities, while a threat possesses both intent and capability.
ALTERN A T I V E FUTU R E S ANALYS I S *:
Definition: set of techniques used to explore different future states developed by varying a set of
key trends, drivers, and/or conditions
Sample Usage: Strategic analysts used alternative futures analysis to investigate the effectiveness of
a proposed policy in different possible futures.
Extended Definition: includes forecasts, scenario analysis, and visioning
Annotation:
1) This type of analysis can be used to test assumptions about future conditions, as well as identify
―weak signals‖ of trends that could be significant in the future and ―wildcard events‖ that – while
unlikely – would have high impact should they occur.
DHS RISK LEXICON – 2010 EDITION
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2) Alternative futures analysis can also test the robustness of alternative strategies, policies, or
capabilities by evaluating the effectiveness of each, and evaluating trade-offs or complementarities
among them, in a variety of potential future states ranging from the highly challenging to the
visionary.
3) Similar methods can be used to develop a statement of vision to motivate an organization to
create the future it prefers in light of changes taking place in the environment.
ASSET :
Definition: person, structure, facility, information, material, or process that has value
Sample Usage: Some organizations use an asset inventory to plan protective security activities.
Extended Definition: includes contracts, facilities, property, records, unobligated or unexpended
balances of appropriations, and other funds or resources, personnel, intelligence, technology, or
physical infrastructure, or anything useful that contributes to the success of something, such as an
organizational mission; assets are things of value or properties to which value can be assigned;
from an intelligence standpoint, includes any resource – person, group, relationship, instrument,
installation, or supply – at the disposal of an intelligence organization for use in an operational or
support role
Annotation: In some domains, capabilities and activities may be considered assets as well. In the
context of the National Infrastructure Protection Plan, people are not considered assets.
ATTACK METHO D :
Definition: manner and means, including the weapon and delivery method, an adversary may use
to cause harm on a target
Sample Usage: Analysts have identified weaponization of an aircraft as an attack method that
terrorists may use.
Annotation: Attack method and attack mode are synonymous.
ATTACK PAT H :
Definition: steps that an adversary takes or may take to plan, prepare for, and execute an attack
Sample Usage: Part of the attack path for the car bombing involved dozens of individuals moving
money, arms and operatives from the terrorist safe haven to the target area.
Annotation: An attack path may include recruitment, radicalization, and training of operatives,
selection and surveillance of the target, construction or procurement of weapons, funding,
deployment of operatives to the target, execution of the attack, and related post-attack activities.
BASELINE R I S K *:
Definition: current level of risk that takes into account existing risk mitigation measures
Sample Usage: Risk analysts for the locality calculated a baseline risk value before analyzing the risk
reduction potential of two alternative strategies.
Annotation: Often, the word ―risk‖ is used to imply ―baseline risk‖ with the unstated
understanding that the reference is the current circumstances. It should not be confused with risk
as a measurement, which can change with the substitution of different variables.
DHS RISK LEXICON – 2010 EDITION
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BAYESIAN P R OBAB IL IT Y *:
Definition: the process of evaluating the probability of a hypothesis through 1) the specification of
a prior probability and 2) modification of the prior probability by incorporation of observed
information to create an updated posterior probability
Sample Usage: The analyst applied Bayesian probability techniques to incorporate new evidence
and update her estimate of the threat probability.
Annotation: This concept is also referred to as Bayesian probabilistic inference. Bayesian
probability evaluates likelihoods as probabilities rather than frequencies.
See Also: subjective probability, probability, and frequentist probability
BAYESIAN P R OBAB IL IT Y (SU B JECT IV E P ROBAB IL I TY)*:
Definition: see subjective probability (synonym)
Sample Usage: An analyst may use Bayesian probability to estimate likelihood based on a degree of
belief.
BRE AK -EVEN ANAL YSIS *:
Definition: variant of cost-benefit analysis that estimates the threshold value at which a policy
alternative's costs equal its benefits
Sample Usage: Break-even analysis showed that the proposed security policy would have to reduce
the probability of attack by two orders of magnitude for its benefits to equal its costs; since this
was judged unlikely, the proposed security policy was rejected.
Annotation: Analysts have applied this technique to homeland security by calculating the
minimum threat probability required for the risk reduction benefits of a security policy to exceed
the costs. If decision makers believe the actual threat is greater than the calculated break-even
threat level, then the expected benefits of the policy exceed the costs. The technique also may be
applied to other uncertain parameters in the analysis.
See Also: return on investment (risk)
CAPABIL I T Y :
Definition: means to accomplish a mission, function, or objective
Sample Usage: Counterterrorism operations are intended to reduce the capability of terrorist
groups.
Annotation: Adversary capability is one of two elements, the other being adversary intent, that are
commonly considered when estimating the likelihood of terrorist attacks. Adversary capability is
the ability of an adversary to attack with a particular attack method. Other COIs may use capability
to refer to any organization's ability to perform its mission, activities, and functions.
DHS RISK LEXICON – 2010 EDITION
PG. 9
CONDIT ION AL PROB A B ILITY *:
Definition: see probability (annotation, 7)
Sample Usage: An individual has a higher conditional probability of developing a fever if they
contract influenza.
CONSEQU E N C E :
Definition: effect of an event, incident, or occurrence
Sample Usage: One consequence of the explosion was the loss of over 50 lives.
Annotation: Consequence is commonly measured in four ways: human, economic, mission, and
psychological, but may also include other factors such as impact on the environment.
See Also: human consequence (health), economic consequence, mission consequence,
psychological consequence, indirect consequence, and direct consequence
CONSEQU E N C E ASSE S S ME NT Ω:
Definition: product or process of identifying or evaluating the potential or actual effects of an
event, incident, or occurrence
Sample Usage: The consequence assessment for the hurricane included estimates for human
casualties and property damage caused by the landfall of the hurricane and cascading effects.
See: Appendix A for 2008 definition
COST -EFFECT I V ENES S AN ALYS IS (CEA )*:
Definition: analytic technique that compares the cost of two or more alternatives with the same
outcome. Alternatively: analytic technique that evaluates an alternative by how much it delivers
per unit cost, or how much has to be spent per unit benefit
Sample Usage: Cost-effectiveness analysis supported selection of a new screening technology for
detecting contraband items because its cost per item detected is less than that of the current
screening method.
COST -BENEFIT A N A L YSIS (CB A )*:
Definition: analytic technique used to compare alternatives according to the relative costs incurred
and the relative benefits gained
Sample Usage: Cost-benefit analysis allowed risk practitioners to make recommendations between
two different screening systems.
Extended Definition: typically measured in monetary terms
Annotation: The analysis can incorporate discounting calculations to take into account the time
value of money.
DHS RISK LEXICON – 2010 EDITION
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COUNTER M E ASURE Ω:
Definition: action, measure, or device
intended to reduce an identified risk
Sample Usage: Some facilities employ surveillance cameras as a countermeasure.
Annotation: A countermeasure can reduce any component of risk - threat, vulnerability, or
consequence.
See: Appendix A for 2008 definition
CRIT IC A L IT Y *:
Definition: importance to a mission or function, or continuity of operations
Sample Usage: The criticality of the asset was determined based upon the number of people to
whom it provided service.
CRIT IC A L IT Y ASS E S SME NT *:
Definition: product or process of systematically identifying, evaluating, and prioritizing based on
the importance of an impact to mission(s), function(s), or continuity of operations
Sample Usage: A criticality assessment determined that the county's chemical plants required
greater attention than previously determined.
DECIS ION A N A L YS IS *:
Definition: techniques, body of knowledge, and professional practice used to provide analytical
support for making decisions through a formalized structure
Sample Usage: Decision analysis can be used to more effectively allocate resources to various risk
reduction measures.
Annotation: Decision analysis can be used in the context of risk analysis to evaluate complex risk
management decisions. Decision analysis can be applied to strategic, operational, and tactical
decisions.
DETERRENT Ω :
Definition: measure that discourages, complicates, or delays an adversary’s action or occurrence by
instilling fear, doubt, or anxiety
Sample Usage: Robust countermeasures can serve as a deterrent to some adversaries, causing them
to change, delay, or abandon their plans.
Annotation:
1) A deterrent reduces threat by decreasing the likelihood that an attack (or illegal entry, etc.) will
be attempted.
2) One form of deterrent is a prospective punitive action intended to discourage the adversary
from acting (e.g., massive nuclear retaliation, Mutual Assured Destruction during the Cold War, or
prison for conventional crimes). Another form of deterrent is a measure or set of measures that
affects the adversary's confidence of success (e.g., fences, border patrols, checkpoints).
DHS RISK LEXICON – 2010 EDITION
PG. 11
3) A deterrent may cause an adversary to abandon plans to attempt an attack (or illegal entry, etc).
4) A deterrent may cause the adversary to react by "threat shifting" in any of several domains: shift
in time (delay); shift in target; shift in resources (additional resources); and/or a shift in plan or
method of attack.
5) Resilience, in terms of both critical economic systems and infrastructure and in societal
resilience (e.g., the famed British ―stiff upper lip‖ of WWII, advance preparation for effective
consequence reduction response operations, etc.), also has a potential deterrent value achieved
when terrorist groups perceive that the strategic impact they seek through a particular attack or
type of attack will not be achieved.
See Also: threat shifting
DIRECT CON S E QUENCE *:
Definition: effect that is an immediate result of an event, incident, or occurrence
Sample Usage: Property damage and loss of life were among the direct consequences resulting
from the hurricane.
Annotation:
1) Direct consequences can include injuries, loss of life, on-site business interruption, immediate
remediation costs, and damage to property and infrastructure as well as to the environment.
2) The distinction between direct and indirect consequences is not always clear, but what matters
in risk analysis is a) capturing the likely effects – be they designated as direct or indirect – that
should be part of the analysis, b) clearly defining what is contained as part of direct consequences
and what is part of indirect consequences, and c) being consistent across the entire analysis. Such
consistency and clarity is important for comparability across scenarios and risk analyses.
See: primary consequence
See Also: indirect consequence
ECONO MI C CO N SEQUENC E :
Definition: effect of an incident, event, or occurrence on the value of property or on the
production, trade, distribution, or use of income, wealth, or commodities
Sample Usage: The loss of the company's trucking fleet was an economic consequence of the
tornado.
Annotation: When measuring economic consequence in the context of homeland security risk,
consequences are usually assessed as negative and measured in monetary units.
ENTERP R IS E RIS K MAN AG EME N T *:
Definition: comprehensive approach to risk management that engages organizational systems and
processes together to improve the quality of decision making for managing risks that may hinder
an organization’s ability to achieve its objectives
Sample Usage: An organization uses enterprise risk management processes to holistically consider
the risks associated with personnel turnover.
Annotation: Enterprise risks may arise from internal and external sources. Examples of internal
sources include issues such as financial stewardship, personnel reliability, and systems reliability.
DHS RISK LEXICON – 2010 EDITION
PG. 12
Where internal risks threaten successful mission execution, enterprise risk management seeks to
ensure that internal systems and processes are tailored to minimize the potential for mission failure.
Examples of external factors include, but are not limited to, global, political, and societal trends.
An organization will modify its enterprise risk management approach to take these risks into
account.
EVALUAT I O N :
Definition: process of examining, measuring and/or judging how well an entity, procedure, or
action has met or is meeting stated objectives
Sample Usage: After increasing the number of sensors at the port, the team conducted an
evaluation to determine how the sensors reduced risks to the facility.
Annotation: Evaluation is the step in the risk management cycle that measures the effectiveness of
an implemented risk management option.
EVENT TREE *:
Definition: graphical tool used to illustrate the range and probabilities of possible outcomes that
arise from an initiating event
Sample Usage: Analysts used an event tree to diagram possible outcomes from a terrorist attack.
Annotation:
1) Event trees use forward logic; they begin with an initiating event and work forward in time to
determine the possible outcomes.
2) The probabilities used in event trees are conditional probabilities because they are based on the
assumption that the initiating event has already occurred. (See Probability annotation for a
description of conditional probability.)
3) As an example, consider Figure A. The initiating event is an Attack Attempted. From the initiating
event, the tree branches into a sequence of random variables, called events. The branching point at
which a new random event is introduced is called a node and is depicted by a circle.
The first of these random events is Personnel Action to Stop Attack. The Personnel Action to Stop Attack is
successful with probability 1-P
1
and fails to stop the attack with probability P
1
. If Personnel Action to
Stop Attack is successful, then the branch leads to the final outcome of Unsuccessful Attack, No
Damage (Scenario A). If Personnel Action to Stop Attack is not successful, then the branch leads to the
next node representing the random event of whether the Security Equipment to Stop Attack is successful
or not with probabilities of 1-P
2
and P
2
respectively. If the Security Equipment to Stop Attack is successful
then the branch leads to the final outcome of Unsuccessful Attack, No Damage (Scenario B). If
Security Equipment to Stop Attack fails then the branch leads to the final outcome of Successful Attack,
Damage to System (Scenario C).
Assuming that P
1
equals 10% or 0.1 and P
2
equals 30% or 0.3, then the conditional probabilities of
a Successful and Unsuccessful Attack, given that the initiating event occurs and an attack is
attempted, are calculated as follows:
Probability of Successful Attack given that an attack is attempted:
= Probability of Scenario C
= Probability that Personnel Action to Stop Attack fails and Security
Equipment to Stop Attack fails.
DHS RISK LEXICON – 2010 EDITION
PG. 13
= P
1
× P
2
= 0.1 × 0.3
= 0.03
Therefore, the conditional probability of a Successful Attack, given the attack is attempted, is 3%.
Probability of Unsuccessful Attack given that an attack is attempted:
= Probability of Scenario A or Scenario B occurring
= Probability that Personnel Action to Stop Attack is successful or
Security Equipment to Stop Attack is successful.
= (1 - P
1
) + [P
1
× (1 - P
2
)]
= 0.9 + (0.1 × 0.7)
= 0.97
Therefore, the conditional probability of an Unsuccessful Attack, given that the attack is attempted,
is 97%.
Notice that the Probability of Successful Attack plus the probability of Unsuccessful Attack equals
one because there are no alternative outcomes.
Attack Attempted Personnel Action Security Equipment Final Outcome
to Stop Attack to Stop Attack
Scenario A:
Success 1 -P
1
= 0.9
Unsuccessful
Attack, No
Damage
Scenario B:
Success 1 - P
2
= 0.7
Unsuccessful
Attack, No
Damage
Failure P
1
= 0.1
Scenario C:
Failure P
2
= 0.3
Successful Attack,
Damage to System
Figure A
Event trees differ from fault trees by starting with an initiating event and moving forward in time
to determine possible final outcomes. Fault trees start with an outcome and work backwards in
time to determine the range of events that may have caused the outcome.
See Also: fault tree, probability
DHS RISK LEXICON – 2010 EDITION
PG. 14
FAULT TRE E *:
Definition: graphical tool used to illustrate the range, probability, and interaction of causal
occurrences that lead to a final outcome
Sample Usage: A fault tree for machinery was used to diagram the possible points of failure.
Annotation:
1) Fault trees use inductive (backwards) logic; they begin with a final occurrence and work
backwards in time to determine the possible causes.
2) A fault tree can be used to quantitatively estimate the probability of a program or system failure
by visually displaying and evaluating failure paths.
3) Fault trees can identify system components that lack redundancy or are overly redundant.
4) As an example, consider Figure B. The final outcome, labelled here as Damage to System is shown
at the top of the fault tree. All of the events that could lead to Damage to System are diagrammed in
the tree beneath the final outcome. Each event either does or does not occur, and the events are
interconnected by logical functions OR and AND.
Notice that one event that could result in Damage to System is if a Successful Attack occurs. Successful Attack
is one of the final states depicted in the Event Tree example. The occurrence of a Successful Attack
depends on 1) an attack being attempted, 2) the failure of Personnel Action to Stop Attack, AND 3) the
failure of Security Equipment to Stop Attack. If the probability of an attack being attempted is P
0
, then the
probability of a Successful Attack is the probability that all three of these conditions are met, equal to
P
0
× P
1
× P
2
.
However, Damage to System can also occur if Natural Disaster occurs, which happens with probability of
P
3
. Assuming that P
0
equals 5% or .05, P
1
equals 10% or 0.1, P
2
equals 30% or 0.3, and P
3
equals
20% or 0.2, then the overall probability of Damage to System is calculated as follows:
Probability of Damage to System = Probability that Natural Disaster occurs OR Successful Attack occurs.
= 1 - [Probability that Natural Disaster does not occur
AND Successful Attack does not occur]
= 1 - [(1 - P
3
) × (1 – P
0
× P
1
× P
2
)]
= 1 - [0.8 × (1 - 0.0015)]
= 0.2012
Therefore, the probability of Damage to the System from all possible hazards is approximately 20%.
DHS RISK LEXICON – 2010 EDITION
PG. 15
Damage to System
OR
Natural disaster
occurs
P
3
= 0.2
Successful attack occurs
P
0
× P
1
× P
2
= 0.0015
AND
Attack is
Attempted
P
0
= 0.05
Failure of
Personnel
Action to Stop
Attack
P
1
= 0.1
Failure of
Security
Equipment to
Stop Attack
P
2
= 0.3
Figure B
See Also: event tree, probability
FREQUEN C Y *:
Definition: number of occurrences of an event per defined period of time or number of trials
Sample Usage:
1) The frequency of severe hurricanes in the Atlantic Ocean has been observed to be on average
four per year.
2) The frequency of the number three when Bob rolled a six-sided die was one time in six rolls.
FREQUEN T I ST PROB AB IL I TY *:
Definition: interpretation or estimate of probability as the long-run frequency of the occurrence of
an event as estimated by historical observation or experimental trials
Sample Usage:
1) Based on empirical evidence from repeated experimental trials, the frequentist probability of
getting a three when rolling a fair six-sided die is 1/6 or 16.7%.
2) Based on historical evidence, scientists can provide a frequentist probability of experiencing a
category 5 hurricane in a given year.
Annotation:
DHS RISK LEXICON – 2010 EDITION
PG. 16
1) Within the frequentist probability interpretation, precise estimation of new or rarely occuring
events, such as the probability of a catastrophic terrorist attack, is generally not possible.
2) Frequentist probabilities generally do not incorporate ―degree of belief‖ information, such as
certain types of intelligence information.
See Also: probability, Bayesian probability, and subjective probability
FUNCTION Ω :
Definition: service, process, capability, or operation performed by an entity, asset, system,
network, or geographic area
Sample Usage: A primary function of the aviation industry is the transportation of people and
cargo over long distances.
GAME THEOR Y *:
Definition: branch of applied mathematics that models interactions among agents where an agent’s
choice and subsequent success depend on the choices of other agents that are simultaneously acting
to maximize their own results or miminize their losses
Sample Usage: Analysts used game theory to model terrorist behavior in response to potential
security measures.
Annotation:
1) Game theory can be used in the context of risk analysis to model strategic decisions and
interactions of agents with conflicting interests to predict likely decision outcomes.
2) A basic application of game theory involves two players and two strategy alternatives.
HAZARD :
Definition: natural or man-made source or cause of harm or difficulty
Sample Usage: Improperly maintained or protected storage tanks present a potential hazard.
Annotation:
1) A hazard differs from a threat in that a threat is directed at an entity, asset, system, network, or
geographic area, while a hazard is not directed.
2) A hazard can be actual or potential.
HORIZON SC ANNING *:
Definition: process of identifying future trends, drivers, and/or conditions that may have an effect
on future events, incidents, or occurrences
Sample Usage: In alternative futures analysis of potential attacks on transportation systems, horizon
scanning indicated that future availability of technology for adversaries could provide more options
for carrying out an attack.
DHS RISK LEXICON – 2010 EDITION
PG. 17
HUMAN CONS E Q U ENC E (HEALT H ) Ω :
Definition: effect of an incident, event, or occurrence that results in injury, illness, or loss of life
Sample Usage: The human consequence of the attack was 20 fatalities and 50 injured persons.
Annotation: When measuring human consequence in the context of homeland security risk,
consequence is assessed as negative and can include loss of life or limb, or other short-term or
long-term bodily harm or illness.
IMPLE MEN T A T ION :
Definition: act of putting a procedure or course of action into effect to support goals or achieve
objectives
Sample Usage: The implementation of the emergency evacuation plan involved the activation of
additional response personnel.
Annotation: Implementation is one of the stages of the risk management cycle and involves the act
of executing a risk management strategy.
IN CIDENT :
Definition: occurrence, caused by either human action or natural phenomena, that may cause
harm and that may require action
Sample Usage: DHS plays a role in reducing the risk of a catastrophic incident in the United States.
Annotation:
1) Homeland security incidents can include major disasters, emergencies, terrorist attacks, terrorist
threats, wildland and urban fires, floods, hazardous materials spills, nuclear accidents, aircraft
accidents, earthquakes, hurricanes, tornadoes, tropical storms, war-related disasters, public health
and medical emergencies, law enforcement encounters and other occurrences requiring a
mitigating response.
2) Harm can include human casualties, destruction of property, adverse economic impact, and/or
damage to natural resources.
IN DIREC T C O N SEQU E N C E *:
Definition: effect that is not a direct consequence of an event, incident, or occurrence, but is
caused by a direct consequence, subsequent cascading effects, and/or related decisions
Sample Usage: In the following months, decreased commerce and tourism were among the
indirect consequences resulting from the hurricane.
Annotation:
1) Examples of indirect consequences can include the enactment of new laws, policies, and risk
mitigation strategies or investments, contagion health effects, supply-chain economic
consequences, reductions in property values, stock market effects, and long-term cleanup efforts,
2) Accounting for indirect consequences in risk assessments is important because they may have
greater and longer-lasting effects than the direct consequences.
3) Indirect consequences are also sometimes referred to as ripple, multiplier, general equilibrium,
macroeconomic, secondary, and tertiary effects.
DHS RISK LEXICON – 2010 EDITION
PG. 18
4) The distinction between direct and indirect consequences is not always clear but what matters in
risk analysis is a) capturing the likely effects – be they designated as direct or indirect – that should
be part of the analysis, b) clearly defining what is contained as part of direct consequences and
what is part of indirect consequences, and c) being consistent across the entire analysis. Such
consistency and clarity is important for comparability across scenarios and risk analyses.
5) Induced consequences are occasionally estimated separately from indirect consequences but
should be contained within indirect estimates.
See: secondary consequence
See Also: direct consequence
IN TEG RAT ED RISK MAN A GEM E N T Ω:
Definition: structured approach that enables the distribution and employment of shared risk
information and analysis and the synchronization of independent yet complementary risk
management strategies to unify efforts across the enterprise
Sample Usage: DHS uses an integrated risk management framework to promote a unified approach
to managing all homeland security risks.
IN TENT Ω :
Definition: a state of mind or desire to achieve an objective
Sample Usage: The content of domestic extremist websites may demonstrate an intent to conduct
acts of terrorism.
Annotation:
1) Adversary intent is the desire or design to conduct a type of attack or to attack a type of target.
2) Adversary intent is one of two elements, along with adversary capability, that is commonly
considered when estimating the likelihood of terrorist attacks and often refers to the likelihood that
an adversary will execute a chosen course of action or attempt a particular type of attack.
IN TENT IO N AL HAZ A R D :
Definition: source of harm, duress, or difficulty created by a deliberate action or a planned course
of action
Sample Usage: Cyber attacks are an intentional hazard that DHS works to prevent.
JOINT PRO B A B ILITY *:
Definition: see probability (annotation, 8)
Sample Usage: The probability of developing a fever from influenza is equal to the joint
probability of someone contracting influenza and developing a fever.
DHS RISK LEXICON – 2010 EDITION
PG. 19
LIKEL IH O O D Ω:
Definition: chance of something happening, whether defined, measured or estimated objectively
or subjectively, or in terms of general descriptors (such as rare, unlikely, likely, almost certain),
frequencies, or probabilities
Sample Usage: The likelihood of natural hazards can be estimated through the examination of
historical data.
Annotation:
1) Qualitative and semi-quantitative risk assessments can use qualitative estimates of likelihood
such as high, medium, or low, which may be represented numerically but not mathematically.
Quantitative assessments use mathematically derived values to represent likelihood.
2) The likelihood of a successful attack occurring is typically broken into two related, multiplicative
quantities: the likelihood that an attack occurs (which is a common mathematical representation of
threat), and the likelihood that the attack succeeds, given that it is attempted (which is a common
mathematical representation of vulnerability). In the context of natural hazards, likelihood of
occurrence is typically informed by the frequency of past incidents or occurrences.
3) The intelligence community typically estimates likelihood in bins or ranges such as "remote,"
"unlikely," "even chance," "probable/likely," or "almost certain.‖
4) Probability is a specific type of likelihood. Likelihood can be communicated using numbers (e.g.
0-100, 1-5) or phrases (e.g. low, medium, high), while probabilities must meet more stringent
conditions.
See Also: probability
LIKEL IH O O D (STAT IST IC A L )*:
Definition: conditional probability of observing a particular event given the hypothesis under
consideration is true
Sample Usage: Analysts evaluated the likelihood of a breach in the border fence given their
observations of population increases in area cities.
Annotation:
1) Likelihood is used colloquially as a synonym for probability.
2) In statistical usage there is a clear distinction between probability and likelihood: whereas
probability allows us to predict unknown outcomes based on known parameters, likelihood allows
us to estimate unknown parameters based on known outcomes.
3) The probability of a successful attack occurring can be broken into two related quantities: the
probability that an attack occurs (which is a common mathematical representation of threat), and
the probability that the attack succeeds, given that it is attempted (which is a common
mathematical representation of vulnerability). In the context of natural hazards, probability of
occurrence is typically informed by the frequency of past incidents or occurrences. These
probabilities are often colloquially referred to as likelihoods.
See: Appendix A for 2008 definition
See Also: likelihood
DHS RISK LEXICON – 2010 EDITION
PG. 20
MA RGIN A L P R OBABIL I T Y *:
Definition: see probability (annotation, 10)
Sample Usage: Analysts estimated the marginal probability of a water system contamination,
irrespective of the source or type of contaminate.
MITIGAT IO N *( F R O M D H S L E X I CO N ):
Definition: ongoing and sustained action to reduce the probability of, or lessen the impact of, an
adverse incident
Extended Definition: actions may be implemented prior to, during, or after an incident
occurrence
Sample Usage: Through the use of mitigation measures, the impact of the tsunami on the local
population was greatly reduced.
Annotation: Mitigation measures may include zoning and building codes, floodplain buyouts, and
analysis of hazard-related data to determine where it is safe to build or locate temporary facilities.
Mitigation can include efforts to educate governments, businesses, and the public on measures they
can take to reduce loss and injury. Technical measures can include the development of
technologies that result in mitigation and can be used to support mitigation strategy.
MISSION CON SEQUEN C E :
Definition: effect of an incident, event, operation, or occurrence on the ability of an organization
or group to meet a strategic objective or perform a function
Sample Usage: The inability to ensure the public’s access to clean drinking water could be a
mission consequence of the earthquake.
Annotation: Valuation of mission consequence should exclude other types of consequences (e.g.,
human consequence, economic consequence, etc.) if they are evaluated separately in the
assessment.
MO D EL Ω :
Definition: approximation, representation, or idealization of selected aspects of the structure,
behavior, operation, or other characteristics of a real-world process, concept, or system
Sample Usage: To assess risk for over 400 events, analysts created a model based on only the most
important factors.
See Also: simulation
NATUR AL HAZ AR D :
Definition: source of harm or difficulty created by a meteorological, environmental, or geological
phenomenon or combination of phenomena
Sample Usage: A natural hazard, such as an earthquake, can occur without warning.
DHS RISK LEXICON – 2010 EDITION
PG. 21
NET ASSE SS M E N T *:
Definition: multidisciplinary strategic assessment process used to provide a comparative evaluation
of the balance of strengths and weaknesses
Sample Usage: A key aspect of net assessment involves analyzing technological influences on the
security environment.
Annotation: Net assessment often involves the combined use of business principles, scenarios,
crisis gaming and path gaming, conflict situations, and other tools.
NETWOR K Ω :
Definition: group of persons or components that share information or interact with each other in
order to perform a function
Sample Usage: Power plants, substations, and transmission lines constitute a network that creates
and distributes electricity.
Annotation: Network is used across DHS to explain the joining of physical, cyber, and other
entities for a particular purpose or function.
NORMAL IZE D RISK *:
Definition: measure of risk created by mathematically adjusting a value in order to permit
comparisons
Sample Usage: The risk assessment report displayed the normalized risk of the three biological
agents to facilitate comparison and avoid sharing sensitive information.
Annotation:
1) Typically, normalized risk divides the risk of each scenario by the sum of the risk across the set
of scenarios under consideration. For example, if you are considering the expected number of
fatalities from three different biological agents A, B and C, then the total risk posed by these
biological agents is the sum of the risk posed by each of them. If agent A has expected fatalities of
10,000, Agent B has 7,000, and Agent C has 3,000, then the total risk is 20,000 fatalities and the
normalized risks are 0.5 for Agent A, 0.35 for Agent B, and 0.15 for Agent C. This particular way
of normalizing risk is commonly referred to as ―normalizing to 1‖ because now the risk from all
the scenarios in the considered set sums to 1.
2) Risk can be normalized by dividing by an existing sample space value. For example, if there
were 100 car accidents this year and 800 last year, then normalizing these values with respect to
the total vehicle trips each year permits a more appropriate comparison of the risk of last year
versus this year. If there were 10,000 vehicle trips this year then 100/10,000, or 1% of all trips
ended in accidents, whereas if last year there were 100,000 vehicle trips then 800/100,000, or
0.8% of all trips ended in accidents. Without normalization it would appear that it was more risky
to drive last year, but in reality the opposite is the case.
DHS RISK LEXICON – 2010 EDITION
PG. 22
NON -A DAP TIVE R I S K *:
Definition: category of risk that includes threats caused by natural and technological hazards
Sample Usage: The suspected path of a tornado can be categorized as a non-adaptive risk.
Annotation: Threats from non-adaptive risks are caused by physical characteristics and dimensions
that do not change in reaction to measures taken.
OPERATI O N AL R ISK *:
Definition: risk that has the potential to impede the successful execution of operations
Sample Usage: Given that none of the security guards had the flu vaccine, influenza posed an
operational risk to provision of security for the facility.
See Also: strategic risk
PRIMARY C O N S E QUENCE *:
Definition: see direct consequence (synonym)
Sample Usage: Property damage and injuries were among the primary consequences resulting
from the flood.
PROBAB IL I STIC RI SK A S S ESSMENT :
Definition: type of quantitative risk assessment that considers possible combinations of
occurrences with associated consequences, each with an associated probability or probability
distribution
Sample Usage: The engineers conducted a probabilistic risk assessment to determine the risk of an
accident resulting from a series of compounding failures.
Annotation:
1) Probabilistic risk assessments are typically performed on complex technological systems with
tools such as fault and event trees and Monte Carlo simulations to evaluate security risks and/or
accidental failures.
2) For some types of risk, like those involving human volition, the probability of occurrence of an
event may not be independent of the consequences and, in fact, may be a function of the
consequences.
PROBAB IL IT Y Ω:
Definition: numerical value between zero and one assigned to a random event (which is a subset
of the sample space) in such a way that the assigned number obeys three axioms: (1) the
probability of the random event ―A‖ must be equal to, or lie between, zero and one; (2) the
probability that the outcome is within the sample space must equal one; and (3) the probability
that the random event ―A‖ or ―B‖ occurs must equal the probability of the random event ―A‖ plus
the probability of the random event ―B‖ for any two mutually exclusive events
Sample Usage: The probability of a coin landing on "heads" is 1/2.
Annotation:
DHS RISK LEXICON – 2010 EDITION
PG. 23
1) Probability can be roughly interpreted as the percent chance that something will occur. For
example, a weather forecaster’s estimate of a 30 percent chance of rain in the Washington, DC area
is equivalent to a probability of 0.3 that rain will occur somewhere in Washington, DC.
2) A probability of 0 indicates the occurrence is impossible; 1 indicates that the occurrence will
definitely happen.
3) Probability is used colloquially as a synonym for likelihood, but in statistical usage there is a
clear distinction.
There are many concepts in probability that are used regularly in the field of risk analysis. This
extension provides an elaboration on some of these concepts.
4) The probability that event A occurs is written as P(A).
5) Event A and event B are mutually exclusive if they cannot occur at the same time. For example, a
coin toss can result in either heads or tails, but both outcomes cannot happen simultaneously.
6) Event A and event B are statistically independent if the occurrence of one event has no impact on the
probability of the other. Examples of two events that are independent are the systems designed to
prevent an attack as described the Fault Tree example and Event Tree example. The probability that
the Personnel Action to Stop Attack is successful is not affected by whether the Security Equipment
to Stop Attack is successful and vice versa. Two events that may not be independent are the
collapse of a bridge and the occurrence of a major earthquake in the area. Clearly the probability
of a bridge collapse can be affected by the occurrence of a major earthquake. However, the two
events may also be independent: a bridge can survive an earthquake and a bridge can collapse in
the absence of any earthquake.
7) Conditional probability is the probability of some event A, given the occurrence of some other event
B, written as P(A|B). An example is the conditional probability of a person dying (event A), given
that they contract the pandemic flu (event B).
8) Joint probability is the probability of two events occurring in conjunction - that is, the probability
that event A and event B both occur, written as ) or P(AB) and pronounced A intersect B.
The probability of someone dying from the pandemic flu is equal to the joint probability of
someone contracting the flu (event A) and the flu killing them (event B). Joint probabilities are
regularly used in Probabilistic Risk Assessments and Event Trees.
9) Conditional and joint probabilities are related by the following formula:
P(A|B) = P(AB)/P(B) (1)
If events A and B are statistically independent then
P(A|B) = P(A)
and the relationship (1) above becomes
P(A) × P(B) = P(AB)
Consequently, for statistically independent events, the joint probability of event A and event B is
equal to the product of their individual probabilities. An example of the joint probability of two
independent events is given in the Event Tree example. If the probability that Personnel Action to
Stop Attack fails equals P(A) and the probability that Security Equipment to Stop Attack fails equals
P(B) then
Probability of Successful Attack = P(AB)
= P(A) × P(B)
= 0.1 × 0.3
DHS RISK LEXICON – 2010 EDITION
PG. 24
= 0.03
as calculated in the Event Tree example (see Figure A on page 14).
10) Marginal probability is the unconditional probability of event A, P(A). It is the probability of A
regardless of whether event B did or did not occur. If B can be thought of as the event of a random
variable X having a given outcome, then the marginal probability of A can be obtained by
summing (or integrating, more generally) the joint probabilities over all outcomes for X.
Suppose,
for example, that event A is the occurrence of an illegal person entering the country and X is the
random variable of where he entered the country. Then there are two possible outcomes of X:
either he entered through an official point of entry (event B), or he did not (event B’ pronounced
B-not). Then the probability of the person entering the country, P(A), is equal to the sum of the
joint probabilities of him entering by traveling through a point of entry plus the probability of him
entering by not traveling through a point of entry. P(A) = P(AB) + P(AB’). This is called
marginalization.
See Also: frequentist probability, subjective probability, Bayesian probability, and likelihood
See: Appendix A for 2008 definition
PSYC HOL O G ICAL CONS EQ UENCE :
Definition: effect of an incident, event, or occurrence on the mental or emotional state of
individuals or groups resulting in a change in perception and/or behavior
Sample Usage: A psychological consequence of the disease outbreak could include the reluctance
of the public to visit hospitals, which may make it more difficult for experts to control the
outbreak.
Annotation: In the context of homeland security, psychological consequences are negative and
refer to the impact of an incident, event, or occurrence on the behavior or emotional and mental
state of an affected population.
QUALIT A T I VE RISK AS S E SS ME N T METHO D O L OGY :
Definition: set of methods, principles, or rules for assessing risk based on non-numerical
categories or levels
Sample Usage: The qualitative risk assessment methodology allows for categories of ―low risk,‖
―medium risk,‖ and ―high risk.‖
QUANTIT A T IVE RISK AS S E S S ME NT M E T H ODOLOGY :
Definition: set of methods, principles, or rules for assessing risks based on the use of numbers
where the meanings and proportionality of values are maintained inside and outside the context of
the assessment
Sample Usage: Engineers at the plant used a quantitative risk assessment methodology to assess the
risk of system failure.
Annotation: While a semi-quantitative methodology also involves the use of numbers, only a
purely quantitative methodology uses numbers in a way that allows for the consistent use of values
outside the context of the assessment.
DHS RISK LEXICON – 2010 EDITION
PG. 25
REDU NDANC Y :
Definition: additional or alternative systems, sub-systems, assets, or processes that maintain a
degree of overall functionality in case of loss or failure of another system, sub-system, asset, or
process
Sample Usage: A lack of redundancy in access control mechanisms is a vulnerability that can result
in a higher likelihood of a successful attack.
RELAT IVE R IS K *:
Definition: measure of risk that represents the ratio of risks when compared to each other or a
control
Sample Usage: Although the site is prone to frequent low level flooding, the relative risk posed by
a hurricane is greater than that posed by a flood.
Annotation:
1) The relative risk value of a scenario is meaningful only in comparison to other similarly
constructed risk values.
2) Due to inherent uncertainties in risk analysis, relative risk may be more useful to decision
makers than risk measured in expected annualized dollars lost or lives lost.
3) Using relative risk might convey the necessary meaning to decision makers while avoiding the
disclosure of sensitive or classified information.
See Also: absolute risk
RESIDUAL R I SK :
Definition: risk that remains after risk management measures have been implemented
Sample Usage: While increased patrols lessened the likelihood of trespassers, residual risk
remained due to the unlocked exterior doors.
Synonym: unmitigated risk (residual risk)
RESIL IEN C E Ω :
Definition: ability to adapt to changing conditions and prepare for, withstand, and rapidly recover
from disruption
Sample Usage: The county was able to recover quickly from the disaster because of the resilience
of governmental support systems.
Extended Definition: ability of systems, infrastructures, government, business, communities, and
individuals to resist, tolerate, absorb, recover from, prepare for, or adapt to an adverse occurrence
that causes harm, destruction, or loss
Annotation:
1) According to the QHSR, ―Resilient individuals, families, and communities—and the systems
that sustain them—are informed, trained, and materially and psychologically prepared to withstand
disruption, absorb or tolerate disturbance, know their role in a crisis, adapt to changing conditions,
and grow stronger over time.‖
DHS RISK LEXICON – 2010 EDITION
PG. 26
2) Resilience can reduce the consequences associated with an incident, event, or occurrence;
resilience can also impact the likelihood of a significant incident, event, or occurrence happening at
all.
See Also: deterrent
RETURN ON INVE STMEN T (R I SK ):
Definition: calculation of the value of risk reduction measures in the context of the cost of
developing and implementing those measures
Sample Usage: Although the installation of new detection equipment was expensive, the team
concluded that the return on investment for the new equipment was positive because of the
significant reduction in risk.
See Also: break-even analysis
RISK Ω:
Definition: potential for an unwanted outcome resulting from an incident, event, or occurrence, as
determined by its likelihood and the associated consequences
Sample Usage: The team calculated the risk of a terrorist attack after analyzing intelligence reports,
vulnerability assessments, and consequence models.
Extended Definition: potential for an adverse outcome assessed as a function of threats,
vulnerabilities, and consequences associated with an incident, event, or occurrence
Annotation:
1) Risk is defined as the potential for an unwanted outcome. This potential is often measured and
used to compare different future situations.
2) Risk may manifest at the strategic, operational, and tactical levels.
3) For terrorist attacks or criminal activities, the likelihood of an incident, event, or occurrence can
be estimated by considering threats and vulnerabilities.
RISK ACCEPT ANCE :
Definition: explicit or implicit decision not to take an action that would affect all or part of a
particular risk
Sample Usage: After determining that the cost of mitigation measures was higher than the
consequence estimates, the organization decided on a strategy of risk acceptance.
Annotation: Risk acceptance is one of four commonly used risk management strategies, along with
risk avoidance, risk control, and risk transfer.
RISK ANAL Y S IS :
Definition: systematic examination of the components and characteristics of risk
Sample Usage: Using risk analysis, the community identified the potential consequences from
flooding.
DHS RISK LEXICON – 2010 EDITION
PG. 27
Annotation: In practice, risk analysis is generally conducted to produce a risk assessment. Risk
analysis can also involve aggregation of the results of risk assessments to produce a valuation of
risks for the purpose of informing decisions. In addition, risk analysis can be done on proposed
alternative risk management strategies to determine the likely impact of the strategies on the overall
risk.
RISK AS SE SSMENT :
Definition: product or process which collects information and assigns values to risks for the
purpose of informing priorities, developing or comparing courses of action, and informing
decision making
Sample Usage: The analysts produced a risk assessment outlining risks to the aviation industry.
Extended Definition: appraisal of the risks facing an entity, asset, system, network, geographic
area or other grouping
Annotation: A risk assessment can be the resulting product created through analysis of the
component parts of risk.
RISK ASSE S S ME N T METH ODOL O G Y :
Definition: set of methods, principles, or rules used to identify and assess risks and to form
priorities, develop courses of action, and inform decision making
Sample Usage: The Maritime Security Risk Analysis Model (MSRAM) is a risk assessment
methodology used to assess risk at our Nation's ports.
RISK ASSE S S ME N T TOOL :
Definition: activity, item, or program that contributes to determining and evaluating risks
Sample Usage: A checklist is a common risk assessment tool that allows users to easily execute risk
assessments in a consistent way.
Annotation: Tools can include computer software and hardware, standard forms, or checklists for
recording and displaying risk assessment data.
RISK AVOID A N C E :
Definition: strategies or measures taken that effectively remove exposure to a risk
Sample Usage: He exercised a strategy of risk avoidance by choosing not to live in an area prone to
tornadoes.
Annotation: Risk avoidance is one of a set of four commonly used risk management strategies,
along with risk control, risk acceptance, and risk transfer.
DHS RISK LEXICON – 2010 EDITION
PG. 28
RISK COMMUN IC ATION :
Definition: exchange of information with the goal of improving risk understanding, affecting risk
perception, and/or equipping people or groups to act appropriately in response to an identified
risk
Sample Usage: As part of risk communication efforts, DHS provides information regarding the
current threat level to the public.
Annotation: Risk communication is practiced for both non-hazardous conditions and during
incidents. During an incident, risk communication is intended to provide information that fosters
trust and credibility in government and empowers partners, stakeholders, and the public to make
the best possible decisions under extremely difficult time constraints and circumstances.
RISK CONTROL :
Definition: deliberate action taken to reduce the potential for harm or maintain it at an acceptable
level
Sample Usage: As a risk control measure, security guards screen items to reduce the likelihood of
dangerous articles getting inside of office buildings.
Annotation: Risk control is one of a set of four commonly used risk management strategies, along
with risk avoidance, risk acceptance, and risk transfer.
RISK DATA *:
Definition: information on key components of risk that are outputs of or inputs to risk assessments
and risk analyses
Sample Usage: Risk data can be securely stored from earlier assessments and analyses to allow for
comparisons or identification of trends.
RISK EXPO S U R E *:
Definition: contact of an entity, asset, system, network, or geographic area with a potential hazard
Sample Usage: The scenario described the estimated costs that would be incurred in the event of
risk exposure.
RISK GOVE RN ANCE *:
Definition: actors, rules, practices, processes, and mechanisms concerned with how risk is
analyzed, managed, and communicated
Sample Usage: Risk governance applies the principles of good governance that include
transparency, effectiveness, efficiency, accountability, strategic focus, and the need for the chosen
solution to be politically and legally feasible.
RISK IDENT I FICATI O N :
Definition: process of finding, recognizing, and describing potential risks
Sample Usage: During the initial risk identification for the facility's risk assessment, seismic events
were chosen as scenarios to consider because of their potentially high consequences.
DHS RISK LEXICON – 2010 EDITION
PG. 29
RISK INDIC ATOR *:
Definition: measure that signals the potential for an unwanted outcome as determined by
qualitative or quantitative analysis
Sample Usage: The facility operators were trained to recognize certain risk indicators during
inspections.
RISK MANAG E M ENT Ω :
Definition: process of identifying, analyzing, assessing, and communicating risk and accepting,
avoiding, transferring or controlling it to an acceptable level considering associated costs and
benefits of any actions taken
Sample Usage: The organization employed risk management to understand and reduce the risk it
faced.
Annotation: Effective risk management improves the quality of decision making. Risk
management principles acknowledge that, while risk often cannot be eliminated, actions can
usually be taken to control risk.
RISK MANAG E M ENT ALTE RNAT IV E S DEVELOP MENT :
Definition: process of systematically examining risks to develop a range of options and their
anticipated effects for decision makers
Sample Usage: After completing the risk management alternatives development step, the analysis
team presented a list of risk management options.
Annotation: The risk management alternatives development step of the risk management process
generates options for decision makers to consider before deciding on which option to implement.
RISK MANAG E M ENT C YCL E :
Definition: sequence of steps that are systematically taken and revisited to manage risk
Sample Usage: Using the risk management cycle, the organization was able to understand and
measurably decrease the risks it faced.
RISK MANAG E M ENT MET H O DO L O G Y Ω:
Definition: set of methods, principles, or rules used to identify, analyze, assess, and communicate
risk, and accept, avoid, transfer, or control it to an acceptable level considering associated costs and
benefits of any actions taken
Sample Usage: The risk management methodology recommended by the Government
Accountability Office consists of five steps.
RISK MANAG E M ENT PLA N :
Definition: document that identifies risks and specifies the actions that have been chosen to
manage those risks
Sample Usage: Businesses often have a risk management plan to address the potential risks that
they might encounter.
DHS RISK LEXICON – 2010 EDITION
PG. 30
RISK MANAG E M ENT STRA TEGY :
Definition: course of action or actions to be taken in order to manage risks
Sample Usage: Mutual aid agreements are a risk management strategy used by some emergency
response authorities to respond to large scale incidents.
Extended Definition: proactive approach to reduce the usually negative impacts of various risks by
choosing within a range of options that include complete avoidance of any risk that would cause
harm or injury, accepting the risk, controlling the risk by employing risk mitigation options to
reduce impacts, or transferring some or all of the risk to another entity based on a set of stated
priorities
RISK MATR I X :
Definition: tool for ranking and displaying components of risk in an array
Sample Usage: The security staff devised a risk matrix with the likelihoods of various threats to the
subway system in the rows and corresponding consequences in the columns.
Annotation: A risk matrix is typically displayed in a graphical format to show the relationship
between risk components.
RISK MITI G AT ION Ω :
Definition: application of measure or measures to reduce the likelihood of an unwanted
occurrence and/or its consequences
Sample Usage: Through risk mitigation, the potential impact of the natural disaster on the local
population was greatly reduced.
Annotation: Risk mitigation measures may be implemented prior to, during, or after an incident,
event, or occurrence.
RISK MITI G AT ION OPTI ON :
Definition: measure, device, policy, or course of action taken with the intent of reducing risk
Sample Usage: Some medical professionals advise the risk mitigation option of vaccinations to
reduce the risk of infection.
RISK PERC E P T I ON :
Definition: subjective judgment about the characteristics and/or severity of risk
Sample Usage: Fear of terrorist attacks may create a skewed risk perception.
Annotation: Risk perception may be driven by sense, emotion, or personal experience.
DHS RISK LEXICON – 2010 EDITION
PG. 31
RISK PROFILE Ω :
Definition: description and/or depiction of risks to an entity, asset, system, network, or
geographic area
Sample Usage: A risk profile for a plant may address risks such as structural failure, mechanical
malfunction, and insider threat.
Annotation: A risk profile can be derived from a risk assessment; it is often used as a presentation
tool to show how risks vary across comparable entities.
RISK REDUC T I ON Ω :
Definition: decrease in risk through risk avoidance, risk control, or risk transfer
Sample Usage: By placing vehicle barriers outside the facility, the security team achieved a
significant risk reduction.
Annotation:
1) Risk reduction may be estimated during both the decision and evaluation phases of the risk
management cycle.
2) Risk reduction can be accomplished by reducing vulnerability and/or consequences (damages).
RISK SCORE :
Definition: numerical result of a semi-quantitative risk assessment methodology
Sample Usage: By installing a surveillance system, the plant was able to change its risk score when
the next assessment was conducted.
Extended Definition: numerical representation that gauges the combination of threat,
vulnerability, and consequence at a specific moment
Annotation: The application of risk management alternatives may result in a change of risk score.
RISK TOLER A N CE Ω :
Definition: degree to which an entity, asset, system, network, or geographic area is willing to
accept risk
Sample Usage: After a disaster, a community’s risk tolerance may decrease.
RISK TRAN SFE R :
Definition: action taken to manage risk that shifts some or all of the risk to another entity, asset,
system, network, or geographic area
Sample Usage: A risk transfer may occur after increasing security at one facility because it might
make an alternate facility a more attractive target.
Annotation:
1) Risk transfer may refer to transferring the risk from asset to asset, asset to system, or some other
combination, or shifting the responsibility for managing the risk from one authority to another
DHS RISK LEXICON – 2010 EDITION
PG. 32
(for example, responsibility for economic loss could be transferred from a homeowner to an
insurance company).
2) Risk transfer is one of a set of four commonly used risk management strategies, along with risk
control, risk acceptance, and risk avoidance.
RISK -B A SED DEC I SION M A K IN G :
Definition: determination of a course of action predicated primarily on the assessment of risk and
the expected impact of that course of action on that risk
Sample Usage: After reading about threats and vulnerabilities associated with vehicle explosives,
she practiced risk-based decision making by authorizing the installation of additional security
measures.
Annotation: Risk-based decision making uses the assessment of risk as the primary decision driver,
while risk-informed decision making may account for multiple sources of information not
included in the assessment of risk as significant inputs to the decision process in addition to risk
information. Risk-based decision making has often been used interchangeably, but incorrectly,
with risk-informed decision making.
RISK -I N FO R M E D DEC IS ION MA K ING :
Definition: determination of a course of action predicated on the assessment of risk, the expected
impact of that course of action on that risk, as well as other relevant factors
Sample Usage: He practiced risk-informed decision making in planning event security by
considering both the results of the risk assessment and logistical constraints.
Annotation: Risk-informed decision making may take into account multiple sources of
information not included specifically in the assessment of risk as inputs to the decision process in
addition to risk information, while risk-based decision making uses the assessment of risk as the
primary decision driver.
SCENAR IO (RI SK ):
Definition: hypothetical situation comprised of a hazard, an entity impacted by that hazard, and
associated conditions including consequences when appropriate
Sample Usage: The team designed a scenario involving a terrorist attack at a plant to help assess the
risk of certain types of terrorist attacks.
Annotation: A scenario can be created and used for the purposes of training, exercise, analysis, or
modeling as well as for other purposes. A scenario that has occurred or is occurring is an incident.
SECONDA R Y C O N SEQUEN C E *:
Definition: see indirect consequence (synonym)
Sample Usage: The secondary consequence of a terrorist threat on a subway could be the decreased
use of public transportation over time.
DHS RISK LEXICON – 2010 EDITION
PG. 33
SEMI -Q U ANTIT ATIVE RI SK A S S E S SMENT METH O DO L O G Y :
Definition: set of methods, principles, or rules to assess risk that uses bins, scales, or representative
numbers whose values and meanings are not maintained in other contexts
Sample Usage: By giving the "low risk, "medium risk," and "high risk" categories corresponding
numerical values, the assessor used a semi-quantitative risk assessment methodology.
Annotation: While numbers may be used in a semi-quantitative methodology, the values are not
applicable outside of the methodology, and numerical results from one methodology cannot be
compared with those from other methodologies.
SENSIT I V ITY ANAL YSIS :
Definition: process to determine how outputs of a methodology differ in response to variation of
the inputs or conditions
Sample Usage: The sensitivity analysis showed that the population variable had the largest effect on
the output of the model.
Annotation:
1) When a factor considered in a risk assessment has uncertainty, sensitivity analysis examines the
effect that the uncertainty has on the results.
2) A sensitivity analysis can be used to examine how individual variables can affect the outputs of
risk assessment methodologies.
3) Alternatively, sensitivity analysis can show decision makers or evaluators the impact or predicted
impact of risk management alternatives.
SIMULAT IO N Ω :
Definition: model that behaves or operates like a given process, concept, or system when provided
a set of controlled inputs
Sample Usage: The scientists designed a simulation to see how weather affected the plume of
smoke.
See Also: model
SOCIAL AM P L IF IC AT I ON OF RISK *:
Definition: distortion of the seriousness of a risk caused by public concern about the risk and/or
about an activity contributing to the risk
Sample Usage: Social amplification of risk can result in public concern with an otherwise
insignificant risk.
Annotation:
1) Describes the phenomenon by which hazards interact with psychological, social, institutional,
and cultural processes in ways that may amplify or attenuate the public's perceived level of risk.
2) The social amplification of risk phenomenon is the subject of a field of study that seeks to
systematically link the technical assessment of risk with sociological perspectives of risk perception
and risk-related behavior.
DHS RISK LEXICON – 2010 EDITION
PG. 34
STRATEG IC F ORES IGH T *:
Definition: range of activities associated with longer range planning and alternative futures analysis
Sample Usage: The organization’s strategic foresight initiative called for horizon scanning and
analysis of the long-term implications of security policies.
Annotation: Strategic foresight can be applied to activities such as scenario development, critical
thinking and brainstorming about long-term trends, Delphi sessions, workshops, trend analysis and
gaming (or "war-gaming").
STRATEG IC RISK *:
Definition: risk that affects an entity’s vital interests or execution of chosen strategy, whether
imposed by external threats or arising from flawed or poorly implemented strategy
Sample Usage: An analysis of the organization's strategic risk considered threats to carrying out its
essential mission functions.
Annotation:
1) Managing strategic risk is associated with the ability to recognize future trends, challenges, and
threats and match these with appropriate operational concepts, capabilities, competencies, and
capacity.
2) Strategic risk can arise from three basic sources. First, strategic risk can arise from the actions of
adversaries, from natural hazards or from non-adversarial human actions, such as accidents. These
can be thought of as imposed risks. Second, strategic risk can be created by the unintended
consequences of the strategies we adopt in response to imposed risks. These can be thought of as
self-imposed risks. Finally, strategic risk can arise from obstacles to successful implementation of
an adopted strategy. These obstacles can be either imposed (e.g., the actions of an adaptive
adversary to counter a security measure or to exploit an unintended vulnerability created by a
security measure) or self-imposed (e.g., failure to adequately resource, or to prematurely abandon,
a strategy or course of action that would otherwise be beneficial).
See Also: operational risk
SUBJECT M A T T ER EXPER T Ω :
Definition: individual with in-depth knowledge in a specific area or field
Sample Usage: A subject matter expert was consulted to inform team members on improvised
nuclear devices.
Annotation: Structured techniques for the elicitation of expert judgment are key tools for risk
assessment. Subject matter experts are also used to supplement empirical data when needed, or to
provide input on specialized subject areas for the purposes of designing and executing risk
assessments. Frequently abbreviated as SME.
SUBJECT I V E P R OBAB IL ITY*:
Definition: interpretation or estimate of probability as a personal judgment or ―degree of belief‖
about how likely a particular event is to occur, based on the state of knowledge and available
evidence
DHS RISK LEXICON – 2010 EDITION
PG. 35
Sample Usage: Analysts use their knowledge of terrorist strategies, objectives, and capabilities in
combination with evidence from operations to estimate a subjective probability of 10 percent for
an attack to occur within the next five years.
Annotation:
1) Like all probabilities, subjective probability is conventionally expressed on a scale from zero to
one where zero indicates the event is impossible and one indicates the event has or certainly will
occur.
2) Within the subjective probability interpretation, it is possible to estimate probabilities of events
(using experts or models) that have not previously occurred or that have only rarely occurred, such
as acts of terrorism. However, because subjective probabilities incorporate historical or trial data
when available, the subjective probability will approximate the frequentist probability as data
becomes more plentiful.
3) Subjective probability is currently one of the most common uses of probability among
statisticians and the risk analysis community.
4) Bayesian probability is colloquially used as a synonym for subjective probability. In statistical
usage, Bayesian probabilistic inference is an approach to statistical inference that employs Bayes’
theorem to revise prior information using evidence.
See Also: frequentist probability, probability, and Bayesian probability
SYSTE M :
Definition: any combination of facilities, equipment, personnel, procedures, and communications
integrated for a specific purpose
Sample Usage: The collection of roads, tunnels, and bridges provided the country with the
foundation for a useful transit system.
TARGET :
Definition: asset, network, system or geographic area chosen by an adversary to be impacted by an
attack
Sample Usage: Analysts identified mass gatherings as one potential target of an attack.
THREAT :
Definition: natural or man-made occurrence, individual, entity, or action that has or indicates the
potential to harm life, information, operations, the environment, and/or property
Sample Usage: Analysts suggested that the greatest threat to the building was from specific terrorist
attacks.
Annotation: Threat as defined refers to an individual, entity, action, or occurrence; however, for
the purpose of calculating risk, the threat of an intentional hazard is generally estimated as the
likelihood of an attack (that accounts for both the intent and capability of the adversary) being
attempted by an adversary; for other hazards, threat is generally estimated as the likelihood that a
hazard will manifest.
DHS RISK LEXICON – 2010 EDITION
PG. 36
THREAT AS S E SSMENT Ω :
Definition: product or process of identifying or evaluating entities, actions, or occurrences,
whether natural or man-made, that have or indicate the potential to harm life, information,
operations, and/or property
Sample Usage: Analysts produced a threat assessment detailing the capabilities of terrorist
organizations to threaten particular infrastructure sectors.
See: Appendix A for 2008 definition
THREAT SH IFTING *:
Definition: response of adversaries to perceived countermeasures or obstructions, in which the
adversaries change some characteristic of their intent to do harm in order to avoid or overcome the
countermeasure or obstacle
Sample Usage: Installing barriers around only one of several neighboring government buildings
may result in threat shifting, where the adversaries will target one of the remaining unprotected
buildings.
Annotation:
1) Threat shifting can occur in one or more of several domains: the time domain (e.g., a delay in
attack or illegal entry to conduct additional surveillance, etc.), the target domain (selecting a
different, less-protected target), the resource domain (adding resources to the attack in order to
reduce uncertainty or overcome countermeasures), or the planning/attack method domain
(changing the weapon or path, for example, of the intended attack or illegal entry).
2) Threat shifting is commonly cited as a reason for countermeasure failure or ineffectiveness –
particularly in the case of target shifting. For example, when police occupy one street corner, the
drug dealers simply go a few blocks away. This assumes that threat-shifting is frictionless for the
adversary, which frequently is the case.
3) However, threat shifting is not always frictionless for the adversary – and therefore can be of
some value to the defenders. The adversaries may delay their attack, consume additional
resources, undertake complexity, expose themselves to additional counter-surveillance and
counter-terrorism scrutiny, and/or shift to a less consequential target.
4) Threat shifting can, in some cases, increase risk by steering an adversary to an attack that is more
likely to succeed or of greater consequence.
See Also: deterrent
UNACCEPT ABLE R ISK *:
Definition: level of risk at which, given costs and benefits associated with further risk reduction
measures, action is deemed to be warranted at a given point in time
Sample Usage: The presence of contaminants in excess of a certain level represents an unacceptable
risk to public health.
DHS RISK LEXICON – 2010 EDITION
PG. 37
UNCERTA IN T Y :
Definition: degree to which a calculated, estimated, or observed value may deviate from the true
value
Sample Usage: The uncertainty in the estimate was due to a lack of information for the particular
environment and situation.
Annotation:
1) Uncertainty may stem from many causes, including the lack of information.
2) The concept of uncertainty is useful in understanding that likelihoods and consequences can
oftentimes not be predicted with a high degree of precision or accuracy.
UNMITI G A T E D RISK (RES I DU AL RISK )*:
Definition: see residual risk (synonym) (Definition for residual risk is ―risk that remains after risk
management measures have been implemented‖)
Sample Usage: A risk to the facility that was not considered in the risk assessment was a potential
unmitigated risk.
VALUE OF ST AT I STICAL L I F E (V SL )*:
Definition: amount people are willing to pay to reduce risk so that on average one less person is
expected to die from the risk
Sample Usage: The analyst estimates the monetary value of the mortality risk reduction from the
initiative by using the VSL estimate.
Annotation:
1) The VSL is not intended to value very large reductions in mortality risk or place a value on the
lives of identified individuals. VSL measures the monetized value of small reductions in mortality
risk for a large number of people. For example, a countermeasure that reduces the annual risk of
death by one in a million for 20 million people will, on average, save 20 lives a year. If the VSL is
estimated at $5 million, the value of this mortality risk reduction is $100 million (20 expected
lives saved times $5 million per life).
2) Most VSL estimates are based on studies of the wage compensation for occupational hazards or
studies that elicit people’s willingness to pay for mortality risk reduction directly.
VULNERA B ILITY Ω :
Definition: physical feature or operational attribute that renders an entity, asset, system, network,
or geographic area open to exploitation or susceptible to a given hazard
Sample Usage: Installation of vehicle barriers may remove a vulnerability related to attacks using
vehicle-borne improvised explosive devices.
Extended Definition: characteristic of design, location, security posture, operation, or any
combination thereof, that renders an entity, asset, system, network, or geographic area susceptible
to disruption, destruction, or exploitation
DHS RISK LEXICON – 2010 EDITION
PG. 38
VULNERA B ILITY (D E G REE )*:
Definition: qualitative or quantitative expression of the level to which an entity, asset, system,
network, or geographic area is susceptible to harm when it experiences a hazard
Sample Usage: In developing the scenario, analysts sought to express the asset's vulnerability in the
event of a particular type of attack.
Annotation: In calculating risk of an intentional hazard, the common measurement of vulnerability
is the likelihood that an attack is successful, given that it is attempted.
VULNERA B ILITY ASS E S S M E NT Ω:
Definition: product or process of identifying physical features or operational attributes that render
an entity, asset, system, network, or geographic area susceptible or exposed to hazards
Sample Usage: The team conducted a vulnerability assessment on the ship to determine how it
might be exploited or attacked by an adversary.
Annotation: Vulnerability assessments can produce comparable estimates of vulnerabilities across a
variety of hazards or assets, systems, or networks.
See: Appendix A for 2008 definition
WILLIN GN E SS -TO-ACCEP T *:
Definition: amount a person is willing to accept to forgo a benefit
Sample Usage: Researchers designed a survey to estimate the willingness-to-accept dollar value
travelers would require to compensate for time, convenience, and privacy potentially lost under a
proposed security measure.
WILLIN GN E SS -TO-P A Y *:
Definition: amount a person would be willing to pay, sacrifice, or exchange for a benefit
Sample Usage: A survey estimated the public's willingness-to-pay in dollars for new security
measures.
DHS RISK LEXICON – 2010 EDITION
PG. 39
III. DHS LEXICON GOVERNANCE STRUCTURE
The DHS Lexicon Program of the DHS Executive Secretariat (ESEC) is responsible for the management of
controlled vocabulary for DHS. The DHS Lexicon Program works with various COIs (e.g., law enforcement,
immigration, data, training, risk, etc.) to ensure that appropriate meanings are assigned to terms and that a
controlled vocabulary is maintained. Its mission is to provide a consistent methodology and structure to be
used in the development of an official Lexicon for the Department and topical glossaries. These include
specific glossaries supporting Advanced Distributed Learning system lesson modules as well as broader
glossaries related to subject areas such as law enforcement, training and education, and risk management.
The RSC, through the RLWG, represents the risk COI for the management of risk-related terms, and the
ESEC and the RSC work together to manage the DHS Risk Lexicon.
A. The DHS Executive Secretariat
The ESEC ensures that executive correspondence, communications, and reports are efficient, purposeful,
coordinated, and controlled. Working closely with its counterparts throughout DHS, ESEC assures correct
and timely production and transmission of official materials.
B. Risk Steering Committee
The RSC leads the development, implementation, and sharing of IRM approaches to support the
management of homeland security risk. The RSC is the risk governance structure for the Department,
formed to ensure that risk management is carried out consistently and compatibly throughout DHS. The
RSC is a forum to exchange information, identify analytical guidelines, and vet and approve standards and
integrated approaches to risk management across DHS. The RSC also oversees a number of working
groups, one of which is the RLWG.
The RLWG supports the RSC in developing the DHS Risk Lexicon. The RLWG is responsible for building
the DHS Risk Lexicon and managing the meanings contained within it. RLWG members collectively
provide the subject matter expertise necessary for the collection, harmonization, and normalization of
terms and meanings. These activities are coordinated through regular meetings of the RLWG and are
supported and facilitated by RMA and the DHS Lexicon Staff.
DHS RISK LEXICON – 2010 EDITION
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IV. MAINTENANCE OF THE DHS RISK LEXICON
The DHS Risk Lexicon is expected continue to grow and mature beyond this second publication of terms
and definitions. Institutionalizing the use of a common risk language requires processes to ensure that the
DHS Risk Lexicon remains relevant to the practice of homeland security risk management as the
Department’s approach to IRM matures. The DHS Risk Lexicon must be constantly maintained and updated
to adequately support the risk COI and to reflect the Department’s most current thinking on risk.
Maintenance processes ensure that:
Definitions and examples for terms in the DHS Risk Lexicon remain up-to-date and relevant to
practitioners of homeland security risk management.
New terms are added to the DHS Risk Lexicon to ensure effective communication and cooperation
amongst risk practitioners for both new and established methods and concepts.
Definitions in the DHS Risk Lexicon are validated against other similar Federal and interagency efforts
as they become available to promote consistency throughout the community for the use of risk-related
terms.
An up-to-date version of the DHS Risk Lexicon of terms is available throughout the Department.
A procedure exists to notify the risk COI of additions or edits to the DHS Risk Lexicon.
The DHS Risk Lexicon is maintained through an ongoing and cooperative effort involving both the RLWG
and the DHS Lexicon Program. In its role representing the risk management COI, the RLWG oversees the
introduction of additional terms as well as revisions to published terms.
The RLWG supports the growth and maintenance of the DHS Risk Lexicon through the following
functions:
A. Maintenance of Existing Terms:
Revisions to existing terms and definitions are coordinated through and adjudicated by the RLWG and the
DHS Lexicon Section. Requested revisions shall be recorded on the comment form provided in Appendix B
of this publication and submitted via the RSC/RLWG representative from the Component of the individual
requesting the revision. The Component representative should send the completed comment form to
[email protected] and RMAexecsec@hq.dhs.gov.
The DHS Lexicon Program welcomes all comments and proposed revisions to the DHS Risk Lexicon, and
has delegated responsibility for adjudicating those comments to the RLWG, as the risk COI for the
Department. As comments are received on existing terms, RMA, in support of the RSC, will compile and
record all requests for revision and will coordinate with the individual Component who submitted the
comment. Substantive and critical comments shall be discussed during the first scheduled RLWG meeting
following the submission of the comment form. Administrative comments shall be adjudicated on a case-
by-case basis and may or may not be brought to the attention of the RLWG. A Component is encouraged
to participate in the RLWG meeting at which its comment is reviewed; if the individual is not a member of
the RLWG, he or she may attend at the discretion of the Component RSC / RLWG representative.
If the RLWG accepts a proposed revision, RMA shall recommend the change to the ESEC’s DHS Lexicon
Program. The revision will then be entered into the official revision process that governs the DHS Lexicon.
If the DHS Lexicon Program accepts the revision, RMA shall ensure that the changes are reflected in official
DHS Risk Lexicon documentation.
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B. Addition of New Terms:
To be included in the DHS Risk Lexicon, terms must relate specifically to the practice of homeland security
risk management. New terms may be submitted through a Component’s RSC/RLWG representative or
through the DHS Lexicon Program. Proposed additional terms submitted to ESEC will be forwarded to the
RLWG. The RLWG coordinates the addition of terms into the DHS Risk Lexicon on the submitting
individual’s behalf, although the submitter is welcome to participate as appropriate in the process.
Submitting individuals can send single terms or lists of terms to [email protected] with a copy (Cc) to
RMAexecsec@hq.dhs.gov, or through their Component’s RSC representative.
The DHS Lexicon Program and RMA staff will compare all proposed additional terms against the existing
repository. Any terms that are unique and only used by a single Component or small group will be
formatted and added to the repository. If the term or a similar term already exists in the repository, the
definitions shall be harmonized and validated by the RLWG as described in Section I, Lexicon Process
Phases, of this publication.
Each proposed additional term and definition shall be discussed individually at the first scheduled RLWG
meeting following the submission of the term. If the RLWG accepts the proposed addition, RMA shall
recommend the addition of the term to the ESEC’s DHS Lexicon Program to ensure that the changes are
reflected in official DHS Risk Lexicon documentation.
C. Consistency with Related Federal/Interagency Efforts:
Ensuring that DHS Risk Lexicon definitions are generally consistent with related definitions used
throughout the Federal interagency supports the broader goal of effective communication and coordination
of risk-related efforts throughout the Federal Government. RMA continually collects information on risk-
related lexicons and glossaries as they become available throughout the Federal Government. In addition,
RMA will periodically survey the RSC and RLWG membership to determine if they are aware of any new
risk-related glossaries or efforts. As glossaries and lexicons are identified, they shall be used as validation
sources and compared to existing DHS Risk Lexicon definitions using the process described in Section I. C,
Validation, Review, and Normalization, of this publication. RMA shall conduct outreach to other Federal
Government entities as appropriate to ensure consistency with the definitions in the DHS Risk Lexicon.
D. Availability:
The most current version of the DHS Risk Lexicon is available through the DHS ESEC homepage on DHS
Connect. DHS Connect can be accessed through
http://dhsconnect.dhs.gov/org/comp/esec/Pages/default.aspx.
RMA works with the ESEC’s DHS Lexicon Program to ensure that the DHS intranet website references the
most up-to-date version of the DHS Risk Lexicon. Those interested in obtaining a copy of the most current
version can also contact RMA or their representative on the RSC / RLWG.
E. Notification of Updates:
RMA coordinates notifications of updates to the DHS Risk Lexicon through the RSC. Committee members
are provided with a record of any changes to established definitions or additions to the DHS Risk Lexicon
during regular meetings of the RSC. RSC members are responsible for informing individuals within their
Components of changes that may affect how they use terms found in the DHS Risk Lexicon.
DHS RISK LEXICON – 2010 EDITION
PG. 42
V. USE OF THE DHS RISK LEXICON
The DHS Risk Lexicon facilitates the clear exchange of structured and unstructured data essential to the
interoperability of terms amongst the DHS risk COI. Since 2008, the DHS Risk Lexicon has been used by
DHS risk practitioners, decision makers, stakeholders, and State, local, tribal and territorial government
partners, as well as academia. The DHS Risk Lexicon has assisted in the development of institutional policy
and technical guidelines, training and educational materials, and communication throughout the Homeland
Security Enterprise.
In order to encourage the use of the DHS Risk Lexicon, RMA has worked with RSC and the RLWG to
enhance awareness at the DHS Component level and will continue to promote its use within the Homeland
Security Enterprise. The RSC continues to incorporate DHS Risk Lexicon definitions and terminology into
materials it produces, including the IRM policy and doctrine, the Risk Management Guidelines, and other
implementing documents that include Standard Operating Procedures (SOPs) and technical guidance.
DHS is currently identifying and developing training opportunities related to the practice of homeland
security risk management and analysis. RMA has worked with the RSC to identify and enhance training
opportunities within DHS Components and advocate the implementation of risk terms and definitions in
training and educational materials, as appropriate.
As part of the RSC’s mission to support IRM within DHS, the DHS Risk Lexicon acts as a benchmark
document for homeland security risk management. The DHS Risk Lexicon breaks down linguistic and
conceptual barriers across the enterprise so that partners can achieve common understanding and unity of
effort. RSC members include DHS Risk Lexicon definitions in Departmental documents that support the
Homeland Security Enterprise.
DHS RISK LEXICON – 2010 EDITION
PG. 43
VI. APPENDICES
APPENDI X A: REVIS E D DE F IN IT IONS FR O M 2008 PUBLICAT ION
CONSEQU E N C E ASSE S S ME NT :
Definition: process of identifying or evaluating the potential or actual effects of an event, incident,
or occurrence
Example: The consequence assessment for the hurricane included estimates for human casualties
and property damage caused by the landfall of the hurricane and cascading effects.
COUNTER M E ASURE :
Definition: action, measure, process, or device that reduces an identified risk
Example: Some facilities employ surveillance cameras as a countermeasure.
Annotation: A countermeasure can reduce any component of risk - threat, vulnerability, or
consequence.
DETERRENT
Definition: measure that discourages an action or prevents an occurrence by instilling fear, doubt,
or anxiety.
Example: Fear of lethal retaliation can serve as a deterrent to some adversaries.
Annotation: A deterrent reduces threat by decreasing the likelihood of an attempted attack.
FUNCTION :
Definition: service, process, capability, or operation performed by an asset, system,
network, or organization.
Example: A primary function of the aviation industry is the transportation of people and cargo
over long distances.
HUMAN CON SEQU E N CE :
Definition: effect of an incident, event, or occurrence that results in injury, illness, or loss of life.
Example: The human consequence of the attack was 20 fatalities and 50 injured persons.
Annotation: When measuring human consequence in the context of homeland security risk,
consequence is assessed as negative and can include loss of life or limb, or other short-term or
long-term bodily harm or illness.
IN TEG RAT ED RISK MAN A G E M ENT:
Definition: incorporation and coordination of strategy, capability, and governance to
enable risk-informed decision making
DHS RISK LEXICON – 2010 EDITION
PG. 44
Example: DHS uses a framework of integrated risk management to ensure a unified
approach to managing all homeland security risks.
IN TENT:
Definition: determination to achieve an objective
Example: The content of domestic extremist websites may demonstrate an intent to
conduct acts of terrorism.
Annotation:
1) Adversary intent is the desire or design to conduct a type of attack or to attack a type of target.
2) Adversary intent is one of two elements, along with adversary capability, that is commonly
considered when estimating the likelihood of terrorist attacks and often refers to the likelihood that
an adversary will execute a chosen course of action or attempt a particular type of attack.
LIKEL IH O O D :
Definition:
estimate of the potential of an incident or event’s occurrence
Example:
The likelihood of natural hazards can be estimated through the examination of historical
data.
Annotation:
1) Qualitative and semi-quantitative
risk assessments can use qualitative estimates of likelihood
such as high, medium, or low, which may be represented numerically but not mathematically.
Quantitative assessments use mathematically derived values to represent likelihood.
2) The likelihood of a successful attack occurring is
typically broken into
two related quantities: the
likelihood that an attack occurs (which is a common mathematical representation of threat), and
the likelihood that the attack succeeds, given that it is attempted (which is a common mathematical
representation of vulnerability). In the context of
natural hazards, likelihood of occurrence is
typically informed by the frequency of past incidents or occurrences.
3) The intelligence community typically estimates likelihood in bins or ranges such as "remote,"
"unlikely,"
"even chance," "probable/likely," or "almost certain.‖
4) Probability is a specific type of likelihood.
Likelihood can be communicated using numbers (e.g.
0-100, 1-5) or phrases (e.g.
low, medium, high), while
probabilities must meet more stringent
conditions.
S
ee Also: Probability (Mathematical)
MO D EL:
Definition: approximation, representation, or idealization of selected aspects of the
structure, behavior, operation, or other characteristics of a real-world process, concept, or system.
Example: To assess risk for over 400 events, analysts created a model based on only the most
important factors.
Annotation: See Also: simulation
DHS RISK LEXICON – 2010 EDITION
PG. 45
NETWOR K :
Definition: group of components that share information or interact with each other in order to
perform a function.
Example: Power plants, substations, and transmission lines constitute a network that creates and
distributes electricity.
Annotation: Network is used across DHS to explain the joining of physical, cyber, and other
entities for a particular purpose or function.
PROBAB IL IT Y (MAT H E MAT IC AL ):
Definition: likelihood that is expressed as a number between zero and one, where zero indicates
that the occurrence is impossible and one indicates definite knowledge that the occurrence has
happened or will happen, where the ratios between numbers reflect and maintain quantitative
relationships
Example: The probability of a coin landing on "heads" is 1/2.
Annotation:
1) Probability (mathematical) is a specific type of likelihood estimate that obeys the laws of
probability theory.
2) Probability is used colloquially as a synonym for likelihood.
RESIL IEN C E :
Definition: ability to resist, absorb, recover from or successfully adapt to adversity or a change in
conditions.
Example: The county was able to recover quickly from the disaster because of the
resilience of governmental support systems.
Extended Definition:
1) ability of systems, infrastructures, government, business, and citizenry to resist, absorb recover
from, or adapt to an adverse occurrence that may cause harm, destruction, or loss of national
significance.
2) capacity of an organization to recognize threats and hazards and make adjustments that will
improve future protection efforts and risk reduction measures.
Annotation: Resilience can be factored into vulnerability and consequence estimates when
measuring risk.
RISK:
Definition: potential for an unwanted outcome resulting from an incident, event, or
occurrence, as determined by its likelihood and the associated consequences
Example: The team calculated the risk of a terrorist attack after analyzing intelligence reports,
vulnerability assessments, and consequence models.
Extended Definition: potential for an adverse outcome assessed as a function of threats,
vulnerabilities, and consequences associated with an incident, event, or occurrence.
DHS RISK LEXICON – 2010 EDITION
PG. 46
Annotation:
1) Risk is defined as the potential for an unwanted outcome. This potential is often measured and
used to compare different future situations.
2) Risk may manifest at the strategic, operational, and tactical levels.
RISK MANAG E M ENT :
Definition: process of identifying, analyzing, and communicating risk and accepting, avoiding,
transferring or controlling it to an acceptable level at an acceptable cost.
Annotation: The primary goal of risk management is to reduce or eliminate risk through
mitigation mesures (avoiding the risk or reducing the negative effect of the risk), but also includes
the concepts of acceptance and/or transfer of responsibility for the risk as appropriate. Risk
management principles acknowledge that, while risk often cannot be eliminated, actions can
usually be taken to reduce risk.
RISK MIT IG A T IO N :
Definition: application of measure or measures to reduce the likelihood of an unwanted
occurrence and/or its consequences.
Example: Through risk mitigation, the potential impact of the tsunami on the local
population was greatly reduced.
Annotation: Measures may be implemented prior to, during, or after an incident, event, or
occurrence.
RISK PROF IL E :
Definition: description and/or depiction of risks to an asset, system, network, geographic area or
other entity.
Example: A risk profile for a hydroelectric plant may address risks such as structural failure,
mechanical malfunction, sabotage, and terrorism.
Annotation: A risk profile can be derived from a risk assessment; it is often used as a
presentation tool to show how risks vary across comparable entities.
RISK RE DUCT I ON:
Definition: decrease in risk through risk avoidance, risk control or risk transfer
Example: By placing vehicle barriers outside the facility, the security team achieved a significant
risk reduction.
Annotation: Risk reduction may be estimated both during the decision and evaluation phases of
the risk management cycle.
DHS RISK LEXICON – 2010 EDITION
PG. 47
SIMULAT IO N :
Definition: model that behaves or operates like a given process, concept, or system when provided
a set of controlled inputs.
Example: The scientists designed a simulation to see how weather impacted the plume of smoke.
Annotation: See Also: model
SUBJECT MAT T E R EXPE RT :
Definition: individual with in-depth knowledge in a specific area or field
Example: A subject matter expert was consulted to inform team members on improvised nuclear
devices.
Annotation: Structured techniques for the elicitation of expert judgment are key tools for risk
assessment. Subject matter experts are also used to supplement empirical data when needed, or to
provide input on specialized subject areas for the purposes of designing and executing risk
assessments.
THREAT AS S E SSMENT :
Definition: process of identifying or evaluating entities, actions, or occurrences, whether natural
or man-made, that have or indicate the potential to harm life, information, operations and/or
property
Example: Analysts produced a threat assessment detailing the capabilities of domestic and foreign
terrorist organizations to threaten particular infrastructure sectors.
VULNERA B ILITY:
Definition: physical feature or operational attribute that renders an entity open to
exploitation or susceptible to a given hazard
Example: Installation of vehicle barriers may remove a vulnerability related to attacks using
vehicle-borne improvised explosive devices.
Extended Definition: characteristic of design, location, security posture, operation, or any
combination thereof, that renders an asset, system, network, or entity susceptible to disruption,
destruction, or exploitation.
Annotation: In calculating risk of an intentional hazard, the common measurement of
vulnerability is the likelihood that an attack is successful, given that it is attempted.
VULNERA B ILITY ASS E S S M E NT :
Definition: process of identifying physical features or operational attributes that render an entity,
asset, system, network, or geographic area susceptible or exposed to hazards
Example: The team conducted a vulnerability assessment on the ship to determine how it might be
exploited or attacked by an adversary.
Annotation: Vulnerability assessments can produce comparable estimates of vulnerabilities across
a variety of hazards or assets, systems, or networks.
DHS RISK LEXICON – 2010 EDITION
PG. 48
APPENDI X B: CO M ME NT /RE V I SION FO R M
DHS Risk Lexicon Comment Form
Return to Lexico[email protected] and R[email protected]s.gov
Submitted
Category
C - Critical
S - Substantial
A - Administrative
Submitter's
Name,
Position, Email,
Phone
Text to be Changed
Justification for
Proposed Change
Recommended
Solution Language
DHS RISK LEXICON – 2010 EDITION
PG. 49
A
PPENDIX C: COMMON DHS AC R O N YMS FOR RISK METHO D O L OGIE S AN D PR O GRA MS
This appendix provides acronyms for risk methodologies, programs, and other terms frequently used in
DHS, along with a brief description of each.
ACAMS:
Long Form: Constellation/Automated Critical Asset Management System
Description: A Web-enabled information services portal that helps state and local law enforcement,
public safety, and emergency response personnel to collect and use critical infrastructure and key
resource (CIKR) data, assess vulnerabilities, and develop plans. It is available at no cost to state and
local jurisdictions from the DHS Office of Infrastructure Protection (IP).
AMRA:
Long Form: Air Modal Risk Assessment
Description: A Transportation Security Administration risk assessment methodology established to
rank risk to generic United States air domain assets (airports, airplanes, navigation towers, general
aviation, charter, etc.) from acts of terrorism.
BTRA:
Long Form: Bioterrorism Risk Assessment
Description: A Science and Technology Directorate (S&T) program aimed at providing a
comprehensive, quantitative assessment of bioterrorism risk to the homeland to inform
investments; to aid in identifying threats, vulnerabilities and knowledge gaps; and to support
strategic risk management planning.
BZP:
Long Form: Buffer Zone Plan
Description: A strategic document developed by local jurisdictions, with the support of DHS, to
identify significant assets in the buffer zone - the area outside a facility that can be used by an
adversary to conduct surveillance or launch an attack - of designated CIKR that may be targeted by
terrorists for attack. This document also addresses specific threats and vulnerabilities associated
with the sites and their significant assets.
DHS RISK LEXICON – 2010 EDITION
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BZPP:
Long Form: Buffer Zone Protection Program
Description: A DHS-administered grant program focused on providing funding to local law
enforcement for equipment acquisition and planning activities to address gaps identified in Buffer
Zone Plans and enhance security capabilities for the highest risk critical infrastructure sites.
CAPRA:
Long Form: Critical Asset and Portfolio Risk Analysis
Description: A methodology developed at the University of Maryland for use by the Maryland
Emergency Management Agency for input into their Critical Asset Database.
CARVER:
Long Form: Criticality, Accessibility, Recuperability, Vulnerability, Effect, and Recognizability
Description: A mnemonic composed of the above terms that, when applied to security risk
management, are used to characterize assets.
CBAT:
Long Form: Computer Based Assessment Tool
Description: A tactical tool that creates an interactive visual guide of a location by integrating data
to generate a 360-degree geospherical video and geospatial panoramic imagery of facilities,
surrounding areas, routes, and other areas of interest. The visual guide incorporates a wide variety
of data including vulnerability assessments, evacuation plans, standard operating procedures, and
schematic/floor plans.
CFIUS:
Long Form: Committee on Foreign Investment in the United States
Description: An inter-agency committee of the U.S. Government, chaired by the Secretary of the
Treasury, that reviews the national security implications of foreign investments in U.S. companies
or operations.
CIKR:
Long Form: Critical Infrastructure and Key Resources
Description: Critical Infrastructure are the assets, systems, and networks, whether physical or
virtual, so vital to the U.S. that their incapacitation or destruction would have a debilitating effect
on security, national economic security, public health or safety, or any combination thereof. Key
Resources are publicly or privately controlled resources essential to the minimal operations of the
economy and government.
DHS RISK LEXICON – 2010 EDITION
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CIII:
Long Form: Critical Infrastructure Interdependencies Integrator
Description: A Monte Carlo simulation tool developed in conjunction with Argonne National
Laboratory that measures the time and cost of asset recovery and restoration for critical
infrastructure. This acronym is sometimes displayed as CI
3
.
CIKR CRM:
Long Form: Critical Infrastructure and Key Resources Common Risk Model
Description: A quantitative scenario risk assessment methodology designed by IP to enable
defensible cross-sector comparisons and comparisons of risk to combinations of infrastructure
within a jurisdiction, sector, or attack type in support of return-on-investment evaluations of
alternatives and to test methodology enhancements.
CIMS:
Long Form: Critical Infrastructure Modeling System
Description: A system created by the Idaho National Laboratory as a high level model designed to
identify interdependencies that exist across multiple infrastructure sectors.
CIPDSS:
Long Form: Critical Infrastructure Protection Decision Support System
Description: An IP system for analysis of cross-sector critical infrastructure consequences.
CR:
Long Form: Comprehensive Review
Description: A cooperative, government-led analysis of CIKR to determine facilities’ risk of a
potential terrorist attack, the consequences of such an attack, and the integrated prevention and
response capabilities of the owner and operator, local law enforcement, and emergency response
organizations.
CTMS:
Long Form: CREATE Terrorism Modeling System
Description: The Homeland Security Center for Risk and Economic Analysis of Terrorism Events
(CREATE) methodology and software system for assessing risks of terrorism within the framework
of economic analysis and structured decision making.
CTMS / TMS:
Long Form: CREATE Terrorism Modeling System / Terrorism Magnitude Scale
Description: A base-10 logarithmic scale, produced in the CTMS. It measures human, financial,
and symbolic consequences of the scenarios the CTMS produces.
DHS RISK LEXICON – 2010 EDITION
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CTRA:
Long Form: Chemical Terrorism Risk Assessment
Description: An S&T program aimed at providing a comprehensive, quantitative assessment of
chemical terrorism risk to the homeland to inform investments; to aid in identifying threats,
vulnerabilities and knowledge gaps; and to support strategic risk management planning.
DSAT:
Long Form: Dams Sector Analysis Tool
Description: An integrated data management system and dams-specific analysis tool that
incorporates a wide range of data input from multiple sources. It provides a focal point for all
Dams Sector related information and analysis tools.
ECIP A
SSE SSMENT :
Long Form: Enhanced Critical Infrastructure Protection Assessment
Description: A security survey conducted in collaboration with Federal, State, local, and private
sector stakeholders to assess the overall security posture for CIKR.
ESSAT:
Long Form: Emergency Services Self Assessment Tool
Description: A secure web-based tool that allows owners and operators of fixed emergency
services assets to assess physical vulnerabilities.
FAIT:
Long Form: Fast Analysis Infrastructure Tool
Description: A tool created by the National Infrastructure Simulation and Analysis Center (NISAC)
under DHS direction that produces regional economic analyses, asset descriptions, and other
important information on assets for NISAC’s internal analysts.
HAZUS:
Long Form: Hazards United States
Description: A nationally applicable standardized methodology and software program developed
by FEMA that estimates potential losses from earthquakes, hurricane winds, and floods.
HIRA:
Long Form: Hazard Identification and Risk Assessment
Description: A DHS process to identify hazards and associated risk to persons, property, and
structures.
DHS RISK LEXICON – 2010 EDITION
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IEISS:
Long Form: Interdependent Energy Infrastructure Simulation System
Description: A tool created by Los Alamos National Laboratories to study the interdependency
relationships within and among energy subsectors, as well as the benefits of investment to
infrastructure.
IRAPP:
Long Form: Infrastructure Risk Assessment Partnership Program
Description: A framework for working with state authorities to develop, evaluate and support the
implementation of CIKR risk assessment and risk management decision support processes in a
state/local environment.
IST:
Long Form: Infrastructure Survey Tool
Description: A multi-use web-based platform used in conjunction with ECIP security surveys to
provide sector and cross-sector comparisons, dependency and interdependency identification, and
cascading impacts and effects.
ITRA:
Long Form: Integrated Chemical, Biological, Radiological, Nuclear Terrorism Risk Assessment
Description: An S&T program aimed at providing an integrated quantitative assessment of the
relative risks associated with chemical, biological, radiological and nuclear (CRBN) terrorism to the
homeland. Applications of the ITRA include informing strategic resource allocation investments
and risk management planning and identifying the relative threats, vulnerabilities and knowledge
gaps associated with CBRN terrorism.
MD SHARPP:
Long Form: Mission, Demography, Symbolism, History, Accessibility, Recognizability, Population
and Proximity
Description: A mnemonic composed of the above terms conceived as a numeric assessment in
which each of the criteria are evaluated and combined to produce an overall score. In security risk
management this score is typically applied to key assets.
MSRAM:
Long Form: Maritime Security Risk Analysis Model
Description: A United States Coast Guard (USCG) model designed to identify and prioritize risks to
ports, waterways, and associated facilities.
DHS RISK LEXICON – 2010 EDITION
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MTI:
Long Form: Methodology Technical Implementation
Description: A program within the Infrastructure Information Collection Division that collaborates
with the Sector Specific Agencies, Sector Coordinating Councils, and Government Coordinating
Councils of each of the CIKR sectors to integrate risk and vulnerability assessment methodologies
into automated tools to enable the identification, analysis, and management of sector-specific
security risks.
NEXT GENER A T ION ABEL:
Long Form: Next Generation Agent Based Economic Laboratory
Description: A high resolution macroeconomic model created by the Sandia National Laboratory
that measures economic factors, feedbacks, and downstream effects of infrastructure
interdependencies.
NISAC:
Long Form: National Infrastructure Simulation and Analysis Center
Description: An IP organization, including elements of Los Alamos and Sandia National
Laboratories, to develop and implement advanced modeling, simulation, and analysis capabilities
to identify dependencies and interdependencies in the Nation’s CIKR and potential cross-sector
consequences of disruption to CIKR functioning.
NMSRA:
Long Form: National Maritime Strategic Risk Assessment
Description: A USCG all-mission risk assessment that informs budget and planning guidance.
OCTAVE:
Long Form: Operationally Critical Threat, Asset, and Vulnerability Evaluation
Description: An information system analysis tool designed for large organizations and sponsored
by the U.S. Department of Defense.
PAWSA:
Long Form: Ports and Waterways Safety Assessment
Description: A USCG risk assessment process to identify major waterway safety hazards, estimate
risk levels, and evaluate potential mitigation measures.
RAMCAP:
Long Form: Risk Analysis and Management for Critical Asset Protection
DHS RISK LEXICON – 2010 EDITION
PG. 55
Description: A risk methodology that uses a common risk framework for owners and operators of
the nation's critical infrastructure to assess terrorist risk to their own assets and systems.
RAPID:
Long Form: Risk Assessment Process for Informed Decision Making
Description: An RMA program aimed at developing a strategic-level process to gauge future risks
across the full range of DHS responsibilities to inform the DHS’s annual Planning, Programming,
Budgeting, and Execution cycle of resource allocation decisions.
RMAT:
Long Form: Risk Management Assessment Tool
Description: A TSA agent based computer simulation model for analyzing and informing decisions
about risk reduction options based on threat, vulnerability, and consequence data.
RRAP:
Long Form: Regional Resiliency Assessment Program
Description: A cooperative, IP-led interagency assessment of specific CIKR and regional analysis of
the surrounding infrastructure. The RRAP evaluates CIKR on a regional level to examine
vulnerabilities, threats, and potential consequences from an all-hazards perspective to identify
dependencies, interdependencies, cascading effects, resiliency characteristics, and gaps.
RSAT:
Long Form: Risk Self Assessment Tool
Description: A secure, Web-based application designed to assist managers of stadiums and arenas
with the identification and management of security vulnerabilities to reduce risk to their facilities.
The RSAT application uses facility input in combination with threat and consequence estimates to
conduct a comprehensive risk assessment and provides users with options for consideration to
improve the security posture of their facility.
SAV:
Long Form: Site Assistance Visit
Description: Facility vulnerability assessment jointly conducted by DHS, in coordination and
cooperation with Federal, State, and local officials, and CIKR owners and operators, to identify
security gaps and provide options for consideration to enhance protective measures.
SEAR:
Long Form: Special Events Assessment Rating
Description: An Office of Operations Coordination effort to provide a single Federal interagency
resource to assess and categorize the risk to domestic special events that do not rise to the level of a
National Special Security Event.
DHS RISK LEXICON – 2010 EDITION
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SHIELD:
Long Form: Strategic Hazard Identification and Evaluation for Leadership Decisions
Description: Collaboration between FEMA's Office of National Capital Region Coordination and
RMA to create a regional risk analysis model, encompassing both a risk assessment and strategic
approach to risk management.
SHIRA:
Long Form: Strategic Homeland Infrastructure Risk Assessment
Description: An annual collaborative process conducted in coordination with the infrastructure
protection and intelligence communities to assess and analyze the risks to the Nation’s CIKR sectors
from natural and manmade hazards.
SNJTK:
Long Form: Special Needs Jurisdiction Tool Kit
Description: A methodology developed by the Office for Domestic Preparedness (later the Office
of Grants and Training, the functions of which have been reassigned to FEMA) designed to address
jurisdictions with special needs, or specifically, jurisdictions with unique and complex
circumstances where it is necessary to compare relative risk levels across dissimilar assets and
critical infrastructure.
SNJTK/CAF:
Long Form: Special Needs Jurisdiction Tool Kit / Critical Asset Factor
Description: A primary component of the SNJTK that represents characteristics of assets that would
result in significant negative impact to the organization if an asset were lost.
STAR:
Long Form: Strategic Threat and Action Report
Description: A precursor to SHIRA that provided decision makers with a comparative assessment of
risks to the Nation and the actions taken to manage those risks.
TRAGIS:
Long Form: Transportation Routing Analysis Geographic Information System
Description: A model created by the Oak Ridge National Laboratory used to illustrate highway,
rail, and waterway routes across the Nation and to determine optimal routes for normal and
abnormal states of infrastructure operation.
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TRAM:
Long Form: Threat Risk Assessment and Management
Description: A FEMA service which compares relative risk of threats against assets within a given
jurisdiction and identifies and prioritizes enhancements in security, protection, response, and
recovery that can be implemented to reduce those risks.
TRAVEL:
Long Form: Transportation Risk Assessment and Vulnerability Evaluation Tool
Description: A TSA tool that is used in facilitated, on-site assessments of transportation assets.
TSSRA:
Long Form: Transportation Sector Security Risk Assessment
Description: A TSA strategic-level risk assessment of terrorism-based risks facing the U.S.
transportation sector. Comprised of attack scenarios and attack families, and based on the inputs of
government and private sector transportation stakeholders, the TSSRA evaluates and compares
threats, vulnerabilities, and consequences of selected terrorist attack scenarios across all modes of
transportation (except maritime). It is intended to identify needs for more detailed analysis,
inform planning and resource decisions, and establish a baseline for other periodic analyses and
analytical activities related to transportation security.
VCAT:
Long Form: Voluntary Chemical Assessment Tool
Description: A tool developed to provide the means for owner /operators of non-tiered facilities to
identify their current risk level. The web-based tool facilitates a cost-benefit analysis allowing users
to select the best combination of physical security countermeasures and mitigation strategies to
reduce overall risk.
WISE:
Long Form: Water Infrastructure Simulation Environment
Description: A tool created by the Los Alamos National Laboratories that is similar to the IEISS,
which studies the interdependency relationships within and between the water sectors in-depth
and models the benefits of investment to this infrastructure.
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APPENDI X D: DHS LEXI C O N CONT A C T INFO R MA TION
DHS Lexicon
DHS Lexicographer
DHS Lexicon Program
Office of the Executive Secretariat
Office of the Secretary
United States Department of Homeland Security
(202) 447-3518 (NAC)
DHS Risk Lexicon
Office of Risk Management and Analysis
National Protection and Programs Directorate
United States Department of Homeland Security
RMAexecsec@hq.dhs.gov
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