Regulatory Guide 5.52
| ML003739235 | |
| Person / Time | |
|---|---|
| Issue date: | 12/31/1994 |
| From: | Office of Nuclear Regulatory Research |
| To: | |
| References | |
| RG-5.052 Rev 3 | |
| Download: ML003739235 (12) | |
EOU U.S. NUCLEAR REGULATORY COMMISSION Reviision 3 SREGULATORY GUIC Decembe r 1994 PE
OFFICE OF NUCLEAR REGULATORY RESEARCH
REGULATORY GUIDE 5.52 (Proposed Revision 3 was issued as DG-5004)
STANDARD FORMAT AND CONTENT OF A LICENSEE
PHYSICAL PROTECTION PLAN FOR STRATEGIC SPECIAL NUCLEAR MATERIAL
AT FIXED SITES (OTHER THAN NUCLEAR POWER PLANTS)
A. INTRODUCTION
pleteness and detail if it addresses every applicable sec tion of 10 CFR Part 73, as does this regulatory guide.
This regulatory guide describes the standard for Any information collection activities mentioned in mat recommended by the Nuclear Regulatory Com this regulatory guide are contained as requirements in mission (NRC) for preparing physical protection plans 10 CFR Part 73. The information collection require for formula quantities of strategic special nuclear mate ments in 10 CFR Part 73 have been approved by the rial (SSNM) at fixed sites other than nuclear power Office of Management and Budget, Approval No.
plants. Formula quantities are sometimes referred to 3150-0002.
as category I quantities of material. Guidance on the content of physical protection plans is also provided in B. FORMAT OF THE PHYSICAL
PROTECTION PLAN
this regulatory guide.
This document is divided into two major parts.
The requirement for a physical protection plan is The first part describes the physical protection plan included in the regulations for physical protection of format, and the second part outlines the elements of a licensed activities against theft and radiological sabo physical protection program that should be described tage of formula quantities of SSNM, which are in in the physical protection plan.
10 CFR Part 50, "Domestic Licensing of Production If the format in this guide is used, the applicant and Utilization Facilities"; Part 70, "Domestic Licens should follow the numbering system used in Section C,
ing of Special Nuclear Material"; and Part 73, "Physi
"Physical Protection Plan Contents." Under some cir cal Protection of Plants and Materials." Specific re cumstances, certain subsections may not be applicable quirements for licensees possessing formula quantities to a specific application. If so, this should be clearly of SSNM are found in 10 CFR 73.20, 73.45, and stated and sufficient information should be provided to
73.46.
support that conclusion.
Conformance to the format and content of the The applicant may wish to submit information in physical protection plan presented in this guide is not support of an application that is not required by the required by the NRC. The physical protection plan regulations and is not essential to the description of the may be submitted for NRC review and approval in an applicant's physical protection program. This informa alternative format that provides an equal level of com- tion, which should be relative to the plan, could USNRC REGUIATORY GUIDES The guides are Issued In the following ten broad divisions:
Regulatory Guides are Issued to describe and make available to the public such information as methods acceptable to the NRC staff for implement ing specific parts of the Commission's regulations, techniques used by
1. Power Reactors
6. Products
2. Research and Test Reactors 7. Transportation the staff in evaluating specific problems or postulated accidents, and 3. Fuels and Materials Facilities 8. Occupational Health data needed by the NRC staff in Its review of applications for permits and
4. Environmental and Siting 9. Antitrust and Financial Review licenses. Regulatory Guides are not substitutes for regulations, and corn 5. Materials and Plant Protection pliance with them is not required. Methods and solutions different from
10. General those set out In the guides will be acceptable If they provide a basis for the findings requisite to the issuance or continuance of a permit or license by Copies of issued guides may be purchased from the Government Printing the Commission. Office at the current GPO price, Information on current GPO prices may This guide was Issued after consideration of comments received from the be obtained by contacting the Superintendent of Documents, U.S.
public. Comments and suggestions for improvements In these guides are Government Printing Office, Mail Stop SSOP, Washington, DC
encouraged at all times, and guides will be revised, as appropriate, to 20402-9328, telephone (202)512-2249.
accommodate comments and to reflect new information or experience.
Written comments may be submitted to the Rules Review and Directives Issued guides may also be purchased from the National Technical Infor Branch, DFIPS, ADM, U.S. Nuclear Regulatory Commission, Washing mation Service on a standing order basis. Details on this service may be ton, DC 20555-0001. obtained by writing NTIS, 5285 Port Royal Road, Springfield, VA 22161.
include, for example, historical data submitted in dem Paper Margins onstration of certain criteria, a discussion of alterna A margin of no less than 2.5 cm or 1 inch is to be tives considered by the applicant, or supplementary maintained on the top, bottom, and binding side of all data regarding assumed models, data, or calculations. pages submitted.
It should be provided in an appendix to the plan.
Printing STYLE AND COMPOSITION
Composition: text pages should be single-spaced.
A table of contents should be included for each Type face and style: must be suitable for micro submittal. filming.
The applicant should strive for clear, concise pre Reproduction: may be mechanically or photo sentation of information. Confusing or ambiguous graphically reproduced. All pages of the text may be statements and general statements of intent should be printed on both sides, and images should be printed avoided. Definitions and abbreviations should be con head to head.
sistent throughout the submittal and consistent with Binding generally accepted usage.
Pages should be punched for standard loose-leaf Whenever possible, duplication of information 3-ring binders.
should be avoided. Information included in other sec Page Numbering tions of the application may be covered by specific ref erence to those sections. Pages should be numbered sequentially through out the main part of the document. Any appendices Where numerical values are stated, the number of may be numbered separately if desired. Each page of significant figures should reflect the precision to which the physical protection plan should contain a page the number is known. The use of relative values should number, a revision number if applicable, and a date.
be clearly indicated. Drawings, diagrams, and tables should be used when information may be presented PROCEDURES FOR UPDATING OR REVISING
PAGES
more adequately or conveniently by such means.
These illustrations shbuld be located in the sections in The updating or revising of data and text should be which they are first referenced. Care should be taken on a replacement-page basis.
to ensure that all information presented in drawings is legible, that symbols are defined, and that drawings are The changes or revised portions of each page not reduced to the extent that they cannot be read by should be highlighted by a vertical line. The line should unaided normal eyes. be on the margin opposite the binding margin for each line changed or added. All pages submitted to update, PHYSICAL SPECIFICATIONS OF revise, or add pages to the report are to show the date SUBMITTALS of the change. The transmittal letter should include an index page listing the pages to be inserted and the All material submitted in an application should pages to be removed. When major changes or addi conform to the following physical dimensions of page tions are made, pages for a revised table of contents size, quality of papers and inks, numbering of pages, should be provided.
etc.
NUMBER OF COPIES
Paper Size The applicant should submit the appropriate num ber of copies of each required submittal in accordance Text pages: Either the metric standard A4, which with 10 CFR 50.4(b)(2)(ii) and 10 CFR 70.21.
is 210 mm by 297 mm, or the customary 8-1/2 x 11 inche
s. PUBLIC DISCLOSURE
The NRC has determined that public disclosure of Drawings and graphics: The metric A4 size or the details of physical protection programs is not in the
8-1/2 x 11 inches is preferred; however, a larger size is public interest, and such details are withheld in accor acceptable provided the finished copy, when folded, dance with 10 CFR 2.790(d). Thus, the physical pro does not exceed the A4 size or 8-1/2 x 11 inches.
tection section of each application should be submitted Paper Stock and Ink as a separate enclosure. Other proprietary or classified Suitable quality in substance, paper color, and ink density for handling and for reproduction by micro information, for example, clarifying correspondence between reviewer and licensee, should be clearly iden tified and submitted in separate enclosures. Each such L1 filming. submittal of proprietary information should request ex-
5.52-2
emption from public disclosure as required in 10 CFR This section should also describe how the perform
2.790(b). ance capabilities outlined in 10 CFR 73.45 will be met through the establishment, maintenance, and arrange COMPATIBILITY
ment for a physical protection system.
The applicant should ensure that the physical pro Further, this section should identify those portions tection plan is compatible with the other sections of the of the facility physical protection system for which re application. dundant and diverse components are necessary in or SCHEDULE FOR SUBMITTAL der to ensure adequate performance, as required by 10
CFR 73.20(b)(2). In general terms, the applicant The applicant should contact the NRC to deter should describe the subsystems and components to be mine a schedule for the submittal of the physical pro used to provide this redundancy and diversity and the tection plan. ways in which these subsystems and components are C. PHYSICAL PROTECTION PLAN redundant and diverse.
CONTENTS Finally, this section should describe how the physi cal protection system is designed to ensure that the in The following sections describe, in general terms, tegrity of the system is maintained at all times.
the material and level of detail that should be included within a physical protection plan. The applicant's 3. DESIGN BASIS THREAT (10 CFR 73.1)
physical protection plan should follow the organization and numbering system used in this Section C. The This section should affirm the intent to prevent, applicable sections of the regulations are cited for each with high assurance, the theft of special nuclear mate section of the physical protection plan. Upon comple rial by the threats described in 10 CFR 73. 1. The plan tion of the plan, the applicant should use this regulato should also describe how measures used to protect ry guide as a checklist to ensure that each subject has against theft of special nuclear material also provide been addressed. protection against radiological sabotage.
1. INTRODUCTION AND SCHEDULE FOR 4. SECURITY ORGANIZATION
IMPLEMENTATION
4.1 Establishment of Security Organization (10
This section should state the corporate name of CFR 73.46(b) (1))
the applicant, the facility name, and the location of the This section should state whether the security facility. The applicant should describe the type of facil ity to be operated and the general layout of the facility organization is private or contract. If contract, this sec and its surrounding area. This section should include a tion should briefly describe the written agreements map of the entire facility and other maps and illustra between the licensee and contract guard force man tions as appropriate. The applicant should indicate on agement that pertain to how the guard force will meet these maps the locations of physical protection sys the requirements of Appendix B, "General Criteria for tems, subsystems, and major components; all material Security Personnel," and Appendix H, "Weapons access areas; vital areas; vaults; entry/exit control Qualification Criteria," to 10 CFR Part 73.
points; and alarm stations. 4.2 Security Organization Management (10 CFR
This section should also describe the schedule for 73.46(b)(2) and (3))
implementing the physical protection plan, with special This section should describe the structure and attention to those portions involving new construction, management of the security organization, including significant physical modification of existing structures, uniformed security personnel and other persons re or major equipment installation that may require ex sponsible for security-related functions. This section tensions of time. For approved plans, the scheduling of should contain a description of each supervisory and upgrades or new construction should be addressed in management position, including responsibilities and this section on a case-by-case basis. how lines of authority extend up to facility and corpo rate management.
2. GENERAL PERFORMANCE OBJECTIVES
(10 CFR 73.20(a) and 73.20(b)(1), (2), (3), This section should affirm that written security and (4)) procedures will be used and that provisions for written approval of such procedures and any revision thereto This section should describe, in general terms, will be developed and used.
how the physical protection program will have, as its objective, high assurance that activities involving spe This section should also affirm that at least one cial nuclear material are not inimical to the common full-time member of the security organization with the defense and security and do not constitute an unrea authority to direct the physical protection activities of sonable risk to the public health and safety. the security organization will be on site at all times.
5.52-3
4.3 Qualification for Employment in Security "* Current security procedures until the NRC termi
(10 CFR 73.46(b)(4) and (5)) nates the license for which these procedures were developed; if any portion of these procedures is This section should affirm that an approved guard superseded, the superseded material should be re force training plan in accordance with Appendices B
tained for 3 years after the change.
and H to Part 73 is in effect.
"* Results of qualification and requalification for se In addition, the plan should describe how the li curity force members; the documentation should censee will demonstrate the ability of physical security be retained as a record for 3 years after each quali personnel, whether licensee or contractor employees, fication and requalification.
to carry out their assigned duties or responsibilities upon the request of an authorized member of the "* Results of weapons qualification and requalifica NRC. The plan should also affirm that, within any giv tion for firing; the results should be retained as a en period of time (at least 1 work shift or 8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br />), a record for 3 years after each qualification and re member of the security organization will not be as qualification.
signed to or have direct operational control over more "* Documentation of completion of training in re than one of the redundant elements of a physical pro sponse tactics by members of the tactical response tection subsystem, if such assignment or control could team; the documentation should be retained as a result in the loss of effectiveness of the subsystem. record for 3 years after the training is completed.
"* Results of tactical response team and guard exer
4.4 Guard Force Training (10 CFR 73.46(b)(4), cises; such records should be retained for 3 years
(7), and (8); II.E of Appendix B to 10 CFR after each exercise is completed.
Part 73; and Appendix H to 10 CFR Part 73)
In addition to the affirmation that an approved
5. PHYSICAL BARRIERS
guard force training plan is in effect (see Section 4.3 above), this section should include a description of the 5.1 General Layout (10 CFR 73.46(c)(1))
qualification and requalification program for guards This section should describe facility material ac and tactical response team (TRT) members in firing cess areas (and vital areas, if applicable) with regard to with assigned weapons. For TRT members only, in their locations and functions and, in general terms, clude a description of the training program in response should describe the spatial relationship between re tactics. quired barriers at the protected area and material ac cess areas.
4.5 Security Force Armament and Equipment
(10 CFR 73.45(g)(3) and 73.46(b)(6)) 5.2 Protected Area Barriers (10 CFR
73.45(f)(1)(i), 73.46(c)(1) and (2))
This section should affirm that every guard and tactical response team member will be armed and This section should identify the physical barriers should describe the armament assigned to members of (including entry/exit points during both opened and the security force by position title. In addition, equip closed conditions) at the protected area boundary.
ment to be used by members of the security force in This should include a physical description of the barri providing effective response capabilities should also be ers and a discussion of the purpose of each barrier.
described. 5.3 Vehicle Barriers (10 CFR 73.45(O(1)(i) and
73.46(c) (1))
4.6 Force-on-Force Exercises (10 CFR
73.46(b) (9)) This section should describe the location and placement of vehicle barriers about the protected area.
This section should describe how scenarios for A physical description of the barrier system should be force-on-force exercises are developed, the design included, along with information that substantiates that goals for conducting such exercises, and the frequency the barrier can adequately counter the design basis ve of such exercises. This section should affirm that the hicle. Vehicle control at entry/exit points should also NRC will receive a 60-day notice of one force-on-force be described.
exercise each year so that the NRC may observe the exercise. 5.4 Material Access Area Barriers (10 CFR
73.45(b)(1)(i) and 73.46(c) (5) (iii))
4.7 Records (10 CFR 73.46(b)(3)(i), (4), (7), This section should describe the level of physical
(8), and (9))
This section should affirm that the following records will be maintained and retained and should de hardening for the walls, floors, and ceilings of the dif ferent types of material access areas at the site, for ex ample, materials used and Underwriter's Laboratory I
scribe how they will be maintained and retained: hardening level, if appropriate. The number, location,
-5.52-4
and type of entry/exit portals should be described. 6. ACCESS CONTROL SUBSYSTEMS AND
Methods used to provide hardening of the portals PROCEDURES
(during opened and closed conditions) should be de scribed. Hardening of ventilation ducts or other open ings should also be described. 6.1 Numbered Picture Badge Identification Systems (10 CFR 73.46(d)(1))
5.5 Security Posts and Structures (10 CFR This section should describe the numbered picture
73.46(d) (4) (i)) badge identification system used at the facility. This This section should describe the location and pur description should include a discussion of procedures pose of all permanent security posts and structures. used for badging individuals with authorized unes The physical construction of structures used as security corted access to the protected area and for individuals posts should be described. not employed by the licensee but who require frequent and extended access to the protected are
a. Instruc
5.6 Isolation Zones (10 CFR 73.46(c)(3)) tions that badged individuals receive in proper badge procedures should also be described, along with proce This section should describe the location and size dures for control of nonbadged emergency response of all isolation zones at the facility. The section should individuals during emergency situations.
affirm that the zones will be maintained clear of ob stacles or structures.
6.2 Access to Vital Areas, Material Access
5.7 Illumination (10 CFR 73.46(c)(4)) Areas, and Controlled Access Areas (10 CFR
73.45(b)(2) and 73.46(d)(2))
This section should describe the lighting system at the facility that ensures necessary illumination for all This section should describe procedures for deter required monitoring, observation, and assessment mining an individual's need for access to a vital area, activities. material access area, or controlled access area; proce dures for the distribution and maintenance of lists of
5.8 Storage of Strategic Special Nuclear authorized individuals; procedures for ensuring the Material maintenance of the two-man rule within material ac cess areas; and procedures for ensuring that no activi
5.8.1 Vaults (10 CFR 73.46(c)(5)(i)) ties other than those that require access to strategic special nuclear material or necessary maintenance are This section should describe the purpose of each permitted within material access areas. This section vault located within the facility and the wall, floor, and should also describe methods used to visually identify ceiling construction of each vault. The location and individuals who have authorized unescorted access to type of entry portal to the vault should be described. vital areas, material access areas, or controlled access areas. This description should note differences in pro
5.8.2 Tamper-Indicating Containers (10 cedures, if any, between working and nonworking CFR 73.46(c) (5) (ii)) hours (i.e., nights, weekends, and holidays) and nor This section should describe the construction and mal versus emergency conditions.
use of tamper-indicating containers in the storage of SSNM other than alloys, fuel elements, or fuel
6.3 Access Controls at the Protected Area assemblies.
5.8.3 Process Material Access Areas (10 6.3.1 Personnel (10 CFR 73.45(f)(1) and CFR 73.46(c)(5)(iii) and (iv)) (2), 73.46(d)(4)(i) and (ii))
This section should describe the purpose of each This section should describe how the licensee will process material access area at the site and the pro control all points of personnel access into the pro tection afforded SSNM (other than alloys, fuel ele tected area, under both normal and emergency condi ments, or fuel assemblies) while within these material tions. This description should include the methods access areas. Both physical and procedural protective used to identify individuals, methods used to verify in measures should be described.
dividuals' authorizations, methods used to verify emer gency conditions, and procedures for conducting
5.9 Storage of Enriched Uranium Scrap (10 CFR
searches of individuals for firearms, explosives, and in
73.46(c) (6))
cendiary devices. Individuals exempted from any of This section should describe the locations used for the aforementioned access controls should be de storage of enriched uranium scrap and the protection scribed. The distribution and maintenance of authori (physical and procedural) afforded these locations. zation lists should also be described.
5.52-5
6.3.2 Hand-Carried Packages (10 CFR 6.4 Access Controls at Vital Areas, Material
73.45(f)(1) and (2), 73.46(d)(3) and Access Areas, and Controlled Access Areas
(5))
6.4.1 Personnel (10 CFR 73.45(b)(2) and This section should affirm that the licensee will 73.46(d) (9))
establish and follow written procedures that will permit This section should describe the methods used by access-control personnel to identify materials in hand the licensee to control all points of personnel access to carried packages that are not authorized entry to the material access areas, vital areas, and controlled ac protected area, during both normal and emergency cess areas, including methods used to verify identifica conditions. Further, this section should describe procedures for searching hand-carried packages at tion and authorization. Personnel exit searches from material access areas should also be described.
personnel and vehicle access points for firearms, ex plosives, and incendiary devices. The development, 6.4.2 Material (10 CFR 73.45(b)(2) and distribution, and maintenance of lists of authorized (or
73.46(d) (9))
unauthorized) materials should be described.
This section should describe procedures for verify ing material entry authorizations and procedures for
6.3.3 Delivered Packages (10 CFR verifying quantity and type of materia
l. This section
73.45(f)(1) and (2), 73.46(d)(3)
and (6)) should describe the procedures and equipment used to detect unauthorized materials that are hand-carried by This section should affirm that the licensee will es authorized individuals or mailed or otherwise shipped tablish and follow written procedures that will permit as part of an authorized shipment. Describe how con access-control personnel to identify materials in deliv ditions differ between regular working hours and non ered packages that are not authorized entry to the working hours (i.e., nights, weekends, and holidays).
protected area during both normal and emergency 6.4.3 Vehicles (10 CFR 73.45(b)(2);
conditions. Further, methods used to check for proper identification and authorization should be described 73.46(d)(3) and (9))
along with search procedures for firearms, explosives, This section should describe methods used to con and incendiary devices. Any activities exempted from trol all points of vehicle access (e.g., under both non the above procedures should be described. The devel emergency and emergency conditions) to material opment, distribution, and maintenance of authorized access areas, vital areas, and controlled access areas, (or unauthorized) materials lists should be described. including the establishment and maintenance of written procedures that will permit access control per
6.3.4 Vehicles (10 CFR 73.45(f)(1) and (2), sonnel to identify those vehicles that are authorized
73.46(d)(3), 73.46(d)(4)(i), entry to material access and vital area
s. Vehicle exit
73.46(d) (7), and 73.46(d) (8)) searches should-also be described.
This section should describe procedures used for 6.5 Material Access Area Exit Search of controlling all points of vehicle access (nonemergency Contaminated Waste (10 CFR
and emergency) into the protected area and should de 73.46(d)(10) and (12))
scribe how written procedures are established and fol This section should describe procedures and areas lowed that will permit access-control personnel to used for searching contaminated wastes coming from a identify vehicles that are authorized entry to the pro material access area.
tected area. The distribution and maintenance of these procedures should be describe
d. Search procedures of
6.6 Shipment of Strategic Special Nuclear all vehicles requiring entry to the protected area for Material Offsite (10 CFR 73.46(d) (11)
firearms, explosives, and incendiary devices should and (12))
also be described. Any vehicles exempted from the aforementioned procedures should be described. Pro This section should describe containers and areas, cedures used for escorting vehicles within the pro as well as procedures, used for shipping strategic spe tected area and areas where vehicles may have access, cial nuclear material offsite.
along with the purpose for the access, should be de 6.7 Escorts and Escorted Individuals (10 CFR
scribed.
73.46(d) (13))
This section should identify, by job function, those
6.3.5 Designated Licensee Vehicle (10 CFR individuals who may be designated as escorts and de
73.46 (d) (8))
scribe procedures used for escorting individuals during This section should describe the control and use of both routine and emergency situations. Such proce designated licensee vehicles within the protected area. dures should describe individuals requiring escort,
5.52-6
badging procedures, training that escorts receive, and 7.4 Duress Alarms (10 CFR 73.46(e)(4))
recordkeeping. This section should describe the security stations and individuals that are provided with duress alarms.
6.8 Keys, Locks, and Combinations (10 CFR The type of duress alarms used should be described.
73.46(d) (14))
7.5 Central and Secondary Alarm Stations (10
This section should describe licensee procedures CFR 73.45(g) (5) and 73.46(e) (5))
for controlling all keys, locks, combinations, and re lated equipment used to control access to protected, This section should describe the location and con material access, vital, and controlled access areas. struction of the central and secondary alarm stations.
The description should include the circumstances un Methods used for annunciation of required alarms der which such keys, locks, etc., are changed and pro should be described, along with protection afforded cedures followed when an employee with access to the stations, both procedural and physical, so that a such keys, locks, etc., terminates employment. single act cannot remove the capability of calling for assistance or responding to an alarm. The licensee should affirm that the central alarm station will not
6.9 Records (10 CFR 73.46(d)(3), (10), and
(13)) contain any operational activities that would interfere with the execution of alarm response functions.
This section should describe recordkeeping proce dures for (1) current written procedures that permit 7.6 Power Sources (10 CFR 73.46(e)(6))
access-control personnel to identify vehicles that are This section should describe types of security authorized and identify materials that are not autho equipment, including alarms, capable of being oper rized entry to protected, material access, and vital ar ated from independent power sources, the duration of eas, (2) findings of drum-scanning and tamper-sealing operation in the event of loss of normal power, and the of containers of contaminated wastes coming from ma indications given upon loss of normal power and terial access areas, and (3) the required log of escorted switchover to standby power. This section should also individuals.
affirm that switchover to standby power will be auto matic and will not cause false alarms.
7. DETECTION, SURVEILLANCE, AND
ALARM SUBSYSTEMS 7.7 Component Supervision (10 CFR
73.46(e) (7))
7.1 Isolation Zone Penetration (10 CFR This section should describe the physical protec
73.45(f)(1)(ii) and 73.46(e)(1))
tion afforded to alarm systems, including transmission This section should describe licensee commit media, to ensure that the system is not being tampered ments for capabilities to detect penetration through re with, compromised, or on standby power without the quired isolation zones. Generic equipment types, along knowledge of the licensee. This section should de with associated detection capabilities, should be de scribe the annunciation systems at the alarm stations scribed. and commit the licensee to indicate the status of all alarms and alarm zones in the alarm stations.
7.2 Emergency Exits (10 CFR 73.46(e)(2) and
(5)) 7.8 External Protected Area Monitoring and Assessment (10 CFR 73.45(c) and This section should describe the location of all 73.46(e) (8))
emergency exits and describe the protection afforded This section should describe methods used to them. monitor all exterior areas within the protected area and the duration or periodicity of such monitoring.
7.3 Material Access Area and Vital Area Protec Criteria used in defining authorized and unauthorized tion (10 CFR 73.45(b)(1)(ii) and 73.46(e)(3)) activities and conditions within the protected area This section should describe protection afforded should be described, along with methods for develop ing, maintaining, and distributing lists of authorized ac
(1) unoccupied vital and material access areas, (2) the tivities and conditions.
location of strategic special nuclear material within process material access areas, and (3) vaults and pro 7.9 Observation Methods within Material Access cess areas that contain strategic special nuclear materi Areas (10 CFR 73.46(e)(9))
al that has not been alloyed or encapsulated, including a description of procedures for access to these particu This section should describe methods used to ob lar vaults and process areas. Generic equipment types serve individuals within material access areas to ensure used to provide this protection, along with associated that strategic special nuclear material is not moved to detection capabilities, should be described. unauthorized locations or moved in an unauthorized
5.52-7
manner. The duration or periodicity of such monitor ter initial installation, but before full-time operation).
ing should be described along with criteria used in This description should include the purpose for and defining authorized and unauthorized activities and the intended level of the testing and inspection pro conditions within the material access area. Methods gram.
for developing, maintaining, and distributing lists of authorized activities and conditions should be 9.3 Operational Tests (10 CFR 73.46(g)(3))
described. This section should describe the testing and main tenance program for (1) intrusion alarms, (2) emer
8. COMMUNICATIONS SUBSYSTEMS gency exit alarms, (3) communications equipment, (4)
physical barriers, and (5) other physical-protection
8.1 Security Force Communications (10 CFR related devices and equipment, used pursuant to 10
73.45(g) (4) and 73.46(f) (1)) CFR 73.46, during routine operation. This description This section should describe how each guard, should include the purpose for and the intended level watchman, or armed response individual on duty will of the testing and maintenance program. In addition, be capable of maintaining continuous communications specific methods for testing each type of equipment with the individual in each continuously manned alarm should be included in the description, along with perio station. This section should also describe how the indi dicity of testing.
vidual in each continuously manned alarm station will be capable of calling for assistance from other guards, 9.4 Preventive Maintenance Programs (10 CFR
73.46(g)(4) and (5))
watchmen, and armed response personnel and from law enforcement authorities. This section should describe the preventive main tenance program established to ensure that all
8.2 Alarm Station Communications (10 CFR physical-protection-related subsystems and compo
73.46(f) (2)) nents are maintained in operable and effective condi This section should describe the redundant sys tion. This section should also describe corrective ac tems used to ensure the capability of communications tions or compensatory measures used in the event of component failure within physical protection systems.
with the local law enforcement authority.
9.5 Repairs and Maintenance (10 CFR 8.3 Power Sources (10 CFR 73.46(0(3)) 73.46(g) (5))
This section should describe methods used by the This section should describe procedures used in licensee to keep nonportable communications equip performing repairs and maintenance of physical pro ment controlled by the licensee operable in the event tection systems.
of loss of normal power.
9.6 Reviews and Audits (10 CFR 73.46(g)(6))
9. TEST AND MAINTENANCE PROGRAMS
This section should describe the applicant's review and audit of the security progra
m. This description
9.1 Installation and Construction Tests (10 CFR
73.46(g) (1)) should include the periodicity of the review and audit, a description of who will conduct the review and audit, This section should describe the testing and in items covered by the review and audit, how the review spection program for (1) intrusion alarms, (2) emer and audit will be documented, to whom the review and gency exit alarms, (3) communications equipment, (4) audit documentation will be provided for review, and physical barriers, and (5) other physical-protection the recordkeeping associated with the review and related devices and equipment, used pursuant to 10 audit.
CFR 73.46, during the installation and construction of the physical protection subsystems and components. 10. CONTINGENCY RESPONSE PLANS AND
This description should also include the purpose for PROCEDURES
and the intended level of the testing and inspection
10.1 Contingency Plan Documentation (10 CFR
program.
73.45(g)(2) and 73.46(h)(1))
9.2 Pre-Operational Tests (10 CFR 73.46(g)(2)) This section should affirm that the licensee will This section should describe the testing and in have an approved safeguards contingency plan for spection program for (1) intrusion alarms, (2) emer dealing with threats, thefts, and radiological sabotage gency exit alarms, (3) communications equipment, (4)
physical barriers, and (5) other physical-protection related devices and equipment, used pursuant to 10
related to the strategic special nuclear material and nu clear facilities subject to 10 CFR 73.46. These plans should be developed in accordance with the criteria in L1 CFR 73.46, within the pre-operational time frame (af- Appendix C to Part 73 and should cover, but not nec-
5.52-8
essarily be limited to, the response requirements of 10 10.8 Unoccupied Material Access Area (Alloyed/
CFR 73.46(h) (2) through (h)(5). Encapsulated Strategic Special Nuclear Material) Alarm Assessment (10 CFR
73.46(h) (8))
10.2 Local Law Enforcement Agency Liaison (10 This section should describe methods used for as CFR 73.46(h)(2)) sessing alarms occurring within unoccupied material access areas that contain only alloyed or encapsulated This section should describe the documented re strategic special nuclear material.
sponse arrangements that the applicant has made with local law enforcement agencies. It should also include 10.9 Records (10 CFR 73.46(h)(1) and (2))
estimated response times. This section should describe how the licensee will establish, maintain, and retain as a record the current
10.3 Tactical Response Force (10 CFR safeguards contingency pla
n. Until the Commission
73.46(h) (3)) terminates the license, if any portion of the plan is su perseded, the licensee should retain the superseded This section should describe the number of tacti portion for 3 years after the date of the change. This cal response team members immediately available for section should also describe the licensee's records of response and the duties they will be assigned. In addi agreements with local law enforcement agencies.
tion, the required force of guards or armed responders available to assist the tactical response team should be 11. AUTHORIZED PLACEMENT AND
MOVEMENT OF STRATEGIC SPECIAL
described, along with a discussion of the rationale for NUCLEAR MATERIAL WITHIN
determining the number of individuals in this force of MATERIAL ACCESS AREAS
guards or armed responders and the availability of this force. 11.1 General (10 CFR 73.45(d))
This section should describe the purpose and ob jective of the measures used to control movement and
10.4 Response Procedures (10 CFR 73.45(g)(1)
and 73.46(h) (4)) placement of strategic special nuclear material.
This section should describe the applicant's re 11.2 Establishment of Authorized Placement and Movement of Strategic Special Nuclear sponse procedures for dealing with detection of abnor Material (10 CFR 73.45(d) (1) (i) and (iii))
mal presence or activity of persons or vehicles within This section should describe the criteria to be used an isolation zone, a protected area, a material access to delineate the authorized placement and movement area, or a vital area or evidence or indication of intru of strategic special nuclear material within each materi sion into a protected area, a material access area, or a al access area. For each material access area, the loca vital area. Methods for assessing the threat and neu tions within the material access area for which the tralizing the threat should be described.
placement and movement of the strategic special nu clear material are to be authorized should be provided.
10.5 Use of Force (10 CFR 73.46(h)(5)) The development, maintenance, and distribution of schedules of authorized placement and movement of This section should describe the instructions that strategic special nuclear material should also be de guards and armed responders will receive in the use of scribed.
force in the prevention or impeding of theft of strategic special nuclear material. 11.3 Establishment of Current Knowledge of Strategic Special Nuclear Material (10 CFR
73.45(d)(1)(i) and (ii))
10.6 Protected Area Alarm Assessment (10 CFR This section should describe, for each material ac
73.46(h) (6) cess area, the components to be used to verify the type, quantity, and location of strategic special nuclear This section should describe methods used for material within the material access area. Procedures providing assessment of all protected area alarms.
and frequency of activities used to monitor or verify the location of strategic special nuclear material should
10.7 Unoccupied Vault and Material Access be described.
Area Alarm Assessment (10 CFR
173.46(h) (7)) 11.4 Prevention of Unauthorized Placement and Movement of Strategic Special Nuclear This section should describe methods used for as Material (10 CFR 73.45(c) and
73.45 (d) (1) (iv))
sessing alarms occurring within unoccupied vaults and unoccupied material access areas containing unalloyed This section should describe the measures to be or unencapsulated strategic special nuclear material. used to detect the unauthorized placement and move-
5.52-9
ment of strategic special nuclear material within each Further, this section should describe the components material access area. Also, the containment of strate to be used to detect unauthorized removal of strategic gic special nuclear material, when the material is be special nuclear material. The components to be used tween the vault and process machinery, should be de to deter unauthorized attempts to remove strategic spe scribed. cial nuclear material from material access areas should be described. Procedures and controls should be dis
12. REMOVAL OF STRATEGIC SPECIAL cussed for both normal conditions (e.g., regular work NUCLEAR MATERIAL THROUGH ing hours and nonworking hours) and emergency con MATERIAL ACCESS AREA PORTALS ditions. Procedures used to verify that an emergency condition exists should be described.
12.1 Development of Authorization Procedures for Removal (10 CFR 73.45(e)(2)(i) and 13. COMPENSATORY MEASURES FOR
(0)) PHYSICAL PROTECTION COMPONENTS
(APPENDIX A)
This section should describe how authorization procedures for removal are developed. It should also This section should describe (in generic terms)
describe how lists of authorized personnel are to be compensatory measures to be taken in the event of a developed, distributed, and maintained. failed or degraded component of the physical protec tion system. (This section may be an appendix to the
12.2 Procedures and Controls for Strategic physical protection plan, if desired.)
Special Nuclear Material Removal (Including Scrap and Waste) (10 CFR 14. SPECIAL SITUATIONS OR CONDITIONS
73.45 (e) (2)) AFFECTING PHYSICAL PROTECTION
(APPENDIX B)
This section should describe how the identification and authorization of each person presenting strategic This section should describe long-term, site special nuclear material for removal from a material specific unique situations not covered by the main access area are to be verified. The confirmation of ver body of the physical protection plan (e.g., decommis ification of authorization, type, and quantity of strate sioning activities). (This section may be an appendix to gic special nuclear material should also be described. the physical protection plan, if desired.)
5.52-10
REGULATORY ANALYSIS
A separate regulatory analysis was not performed for this regulatory guide. The regulatory analysis prepared for amendments to 10 CFR 73.46 in 1988 provides the regulatory basis for this guide and examines the costs and benefits of the rule (as implemented by the guide.) A copy of this regulatory analysis is available for inspection and copying for a fee at the NRC Public Docu ment Room, 2120 L Street NW., Washington DC, as Enclosure E to Secy 88-250.
5.52-11
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