ML19221B230
| ML19221B230 | |
| Person / Time | |
|---|---|
| Issue date: | 06/30/1976 |
| From: | NRC OFFICE OF STANDARDS DEVELOPMENT |
| To: | |
| References | |
| REGGD-05.052, REGGD-5.052, NUDOCS 7907200071 | |
| Download: ML19221B230 (65) | |
Text
..
Revision 1 U.S. NUCLEAR REGULATORY COMMISS!ON June 1976 REGZXORY GEDDE OFFICE OF STANDARDS DEVELOPMENT k
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Y.k REGULATORY GUIDE 5. 51L.
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g STANDARD FORMAT AND 40Cl%KT FOR THE PHYSICAL PRGm:5fTl'CE SECTION OF A LICENSE SPPL%\\Tft)N (FOR FACILITIES OTHER TE1DL NUC2AR PO'a'ER PLANTS) 9
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9 TABLE OF CONTENTS PAGE NO.
INTRODUCTION...............................................
5.52-09 Purpose and Applicability.............................
5.52-10 Use of the Standard Format............................
5.52-11 Style and Composition.................................
5.52-11 Physical Specifications of Submittals.................
5.52-12 Procedures for Updating or Revising Pages.............
5.52-13 Number of Copies......................................
5.52-13 Publ1
'isclosure.....................................
5.52-13 Compatibility.........................................
5.52-13 PRELIMINARY PHYSICAL SECURITY PLAN 5.52-14 PART I 0F THE PHYSICAL SECURITY PLAN FOR FIXED SITES.......
5.52-15 CHAPTER 1 SITE AND FACILITY DESCRIPTIONS 1.1 General Layout........................................
5.52-16 1.1.1 Law Enforcement Authorities.................
5.52-16 1.1.2 Alarm Stations.................................
5.52-16 CHAPTER 2 DESIGN CRITERIA 2.1 General Criteria.............
5.52-18 2.1.1 Assurance of Quality...........
5.52-18 2.1.2 Process, Components, and Material Isolation....
5.52-18 2.1.3 Equipment Design and Placement.................
5.52-18 2.1.4 Inspection and Test Capability.................
5.52-18 2.2 Specific Criteria..
5.52-19 2.2.1 Physical Barriers.........
5.52-19 2.2.2 Plant Isolation...........................
5.52-19 2.2.3 Protective Lighting.t....
5.52-19 2.2.4 Personnel, Package, and Vehicle Control...
5.52-20 5.52-20 2.2.5 Shipping and Receiving..
2.2.6 Surveillance Capability.....
5.52-20 2.2.7 Communications..
5.52-20 2.2.8 Emergency Monitoring Capability....
5.52-20 2.2.9 Intrusion Alarm System.
5.52-21 2.2.10 Storage of SNM..
5.52-21 5.52-1 l57
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TABLE OF CONTENTS (Continued)
PAGE NO.
CHAPTER 3 QUALITY ASSURANCE 3.1 Organization.........................................
5.52-22 3.2 Quality Assurance Program............................
5.52-23 3.3 Design Control.......................................
5.52-23 3.4 Procurement Document Control.........................
5.52-23 3.5 Instructions, Procedures, and Drawings............... 5.52-23 3.6 Document Contro1.....................................
5.52-24 3.7 Control of Purchased Material, Equipment, and S e rv i c e s.............................................
5.52-24 3.8 Identification and Control of Materials, Parts, and Components...........................................
5.52-24 3.9 Control of Special Processes.........................
5.52-24 3.10 Inspection...........................................
5.52-24 3.11 Test Contro1.........................................
5.52-24 3.12 Control of Measuring and Test Equipment..............
5.52-25 3.13 Handling, Storage, and Shipping......................
5.52-25 3.14 Inspection, Test, and Operating Status...............
5.52-25 3.15 Corrective Action...................................
5.52-25 3.16 Quality Assurance Records............................
5.52-25 3.17 Audits................
5.52-26 CHAPTER 4 SECURITY ORGANIZATION 5.52-27 4.1 Management Organization...
4.2 Security Orcanization.....................
5.52-27 S.52-2
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TABLE OF CONTENTS (Continued)
PACE NO.
4.3 Security Personne1...................................
5.52-27 4.3.1 Qualification.................................
5.52-27 4.3.2 Screening................
5.52-27
- 4. 3. 3 Training Program....................
5.52-28 4.3.4 Tests and Records.............................
5.52-28 4.4 Security Equipment...................................
- 5. 5.'- 2 8 4.5 Posts and Patro1.....................................
5.52-29 4.6 Dri11s...............................................
5.52-29 CHAPTER 5 SECURITY ARFAS 5.1 Protected Areas.............
5.52-30 5.1.1 Physical Barriers...
5.52-30
<Db 5.1.2 Isolation Zones........
5.52-31 3.2 Vital Areas and Material Access Areas................
5.52-31 5.2.1 Exterior......................................
5.52-31 5.2.2 Walls, Floors, and Ceilings...................
5.52-31 5.2.3 Points of Ingress and Egress..................
5.52-32 5.2.4 Vau1ts........................................
5.52-32 CHAPTER 6 ACCESS CONTROLS 6.1 Badge System.....
5.52-33 6.1.1 General Description........
5.52-33 6.1.2 Types of Badges.....
................T........
5.52-33 6.1.3 Coding..........
5.52-33 6.1.4 Control system...
5.52-33 6.1.5 Utilization.
5.52-34 6.2 Access Authorization.
5.52-34 5.52-3 h
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TABLE OF CONTENTS (Continued) 5.52-34 6.3 Access Registration............
6.4 Personnel Escort.....................................
5.52-34 6.5 Personnel Access...................................
5.52-34 6.5.1 Protected Areas...............................
5.52-34 6.5.2 Vital Areas and Material Access Areas.........
5.52-35 6.6 Vehicle Access......................................
5.52-37 6.6.1 Vehicle Access Points.........................
5.52-37 6.6.2 Protected Areas...............................
5.52-37 6.6.3 Material Access and Vital Areas...............
5.52-37 5.52-37 6.7 Keys, Locks, and Combinations.......................
5.52-37 6.7.1 Types and Kinds of Locks......................
5.52-37 6.7.2 Keys..........................................
6.7.3 Combinations..................................
5.52-38 CHAPTER 7 INTRUSION AND DETECTION DEVICES 7.1 Design and Performance Characteristics...............
5.52-19 5.52-39 7.2 Isolation Zone Monitoring...........................
5.52-39 7.3 Annunciators............................
5.52-39 7.4 Emergency Power......................................
CHAPTER 8 CENTRAL ALARM AND COMMUNICATION SYSTEMS 5.52-40 8.1 Facilities.........................................
5.52-40 8.2 Staffing.................,...........................
5.52-40 8.3 Alarm Equipment......................................
5.52-40 8.4 Communication Systems............................
5.52-40 8.4.1 Telephones.
5.52-40 8.4.2 Local Communications...
8.4.3 Radio Conrunicati ons.........
5.52-41 5.52-4
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TABLE OF CONTENTS (Continued)
PAGE NO.
CHAPTER 9 RESPONSE TO SECURITY CONTINGENCIES 9.1 Organization and Procedures..........................
5,52-42 9.1.1 Security Threats and Alarr. Annunciatics.s......
5.52-42 9.1.2 Other Contingencies...........................
5.52-42 9.1.3 Special Procedures During Tests and Inspections...................................
5.52-43 9.2 Action Response......................................
5.52-43 9.2.1 Size anc Composition of Forces................
5.52-43 9.2.2 Arrangements..................................
5.52-43 CHAPTER 10 LOCAL 1.A'n' ENF0kCEMENT AUTHORITIES 10.1 Size of Force........................................
5.52-44 10.2 Kind of Assistance...................................
5.52-44 10.3 Arrangements.........................................
5.52-44 CHAPTER 11 REPORTS TO THE NRC 11.1 Incidents............................................
5.52-45 11.2 Unusual Occurrences..................................
5.52-45 11.3 Security Plan Changes................................
5.52-45 PART II 0F THE PHYSICAL SECURITY PLAN FOR FIXED SITES.....
5.52-46 CHAPTER 12 TESTS A'iD INSPECTIONS 12.1 Physical Earriers and Access Points...........
5.52-47 5.52-47 12.2 Alarms and Annunciators.
12.3 Centraband Detectors.
5.52-47
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TABLE OF CONTENTS (Con".inued)
PACE NO.
12.5 Other Security-Related Equipnent.....................
5.52.47 CHAPTER 13 SECURITY RECCRDS 13.1 Security Tours, Inspections, and Tests..............
5.52-48 13.2 Maintenance.........................................
5.52-48 13.3 Alarm Annunciations.................................
5.52-48 13.4 Security Response......................
5.52-48 13.5 Authorized Individuals..............................
5.52-48 13.6 Nonemployee Access..................................
5.52-48 13.7 Employees...........................................
5.52-49 13.8 Changes in Security Plan Not Approved by the NRC....
5.52-49 s
CHAPTER 14 SECURITY AUDITS 14.1 Program Audit.......................................
5.52-50 14.2 Compliance Audits...................................
5.52-50 PART III PHYSICAL SECURITY PLAN FOR SPECIAL NUCLEAR MATERIAL IN TRANSIT............
5.52-51 CHAPTER 15 SCOPE OF THE PLAN CHAPTER 16 PLANNING 16.1 Shipments Involving Common or Contract Carriers.....
5.52-53 16.2 Transit Time....................
5.52-53 5.52-6 n
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_P_A 3 E NO.
16. 3 T r a n s f e r s.............................................
5.52-53 16.3.1 Shipments by Road.............................
5.52-53 16.3.2 Shipments by Sea or Water.....................
5.52-53 16.4 Secure Compartment for Shipments by Sea...............
5.52-53 16.5 En houte Storage......................................
5.52-54 16.6 Comaunicatiens Planning...............................
5.52-54 16.7 Monitoring.
5.52-54 CRAPTER 17 EQUIPMENT FOR THE PROTECTION OF SNM SHIPMENTS 17.1 Vehicles for Shipments by Road....-...................
5.52-55 17.2 Communications Equipment..............................
5.52-55 17.2.1 Shipments by Road or Rail......................
5.52-55 9'
17.2.2 Shipments by Road Involving Escorts............
5.52-55 17.3 Seals and Locks.......................................
S.52-55 17.4 Containers............................................
5.52-56 17.5 Transport Vehicle Markings............................
5.52-56 17.6 Security Personnel Equipment..........................
5.52-56 CHAPTER 18 SECURITY PERSONNEL 18.1 General Description.............
5.52-57 18.2 Selection.......
5.52-57 18.3 Training..................................
5.52-57 18,4 qualification.
5.52-57 CHAPTER 19 OPERATIONS 19.1 Communications Operations................
5.52-58 5.52-7 ri 1 )1 7./
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TABLE OF CONTENTS (Continued)
PAGE NO.
19.2 Escorts...............................................
5.52-58 19.2.1 Shipuents by Road..............................
5.52-58
- 19. 2. 2 Sh ipment s by Road or by Rail...................
5.52-58 19.2.3 Ship =ents by Sea or by Air....................
5.52-58 19.3 Monitors..............................................
5.52-59 19.3.1 Nuclear Shipment Not Scheduled for Transfer....
5.52-59 19.3.2 Nuclear Ship =ent Scheduled for Transfer........
5.52-59 19.4 Miscellaneous Shipper Responsibilities................
5.52-59 19.4.1 Locking........................................
5.52-59 19.4.2 Notification of Consignee......................
5.52-60 19.4.3 F.O.B.
Shipments...............................
5.52-60 19.4.4 Arrangements to obtain Information from Foreign Consignee..............................
5.52-60 19.4.5 Notification of NRC............................
5.52-60 19.4.6 Conduct of Trace Investigation.................
5.52-60 19.4.7 Shipper Records................................
5.52-61 19.5 Miscellaneous Consignee Respons!bilities..............
5.52-61 19.5.1 Notifications..................................
5.52-61 19.5.2 Consignee Records.....................
5.52-62 19.5.3 Inport Shipments...................
5.52-62 CIUPTE 20 LOCAL LAW ENFORCEMENT AUTHORITIES 20.1 Notificaticn of Local Law Enforcement Authorities.....
5.52-63 20.2 Establishir.g Contacts.................................
5.52-63 20.3 Contact Rerievals......................................
5.52-63 CHAPTER 21 TRANSPORTATION SECURITY AUDITS 21.1 Progran Audit...........
5.52-64 21.2 Compliance Audits.........................
5.52-64 5.52-8
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INTRODUCTION The Atomic Energy Act of 1954, as amended, directed the U.S. Atomic Energy Co= mission (AEC) to regulate the receipt, manufacture, production, transfer, possession, use, import, and export of special nuclear material (ShH) in order to protect the public health and safety and to provide for the common defense and security. The Energy Reor6anization Act of 1974 transferred all the licensing and related regulatory functions of the AEC to the Nuclear Regulatory Commission (NRC).
The principal requirements with respect to the physical protection of licensed activities against industrial sabotage and with resp ect to the physical protection of special nuclear material ia transit are found in Title 10, Code of Federal Regulations, Part 50 (10 CFR Part 50), " Licensing of Production and Utilization Facilities;" Part 70, "Special Nuclear Material;"
and Part 73, " Physical Protection of Plants and Materials."
Paragraph 50.34(c) of 10 CFR Part 50 and Paragraphs 70.22(g) and 70.22(h) of 10 CFR Part 70 identify the physical protection information that must be provided in a Physical Security Plan as part of an application in order for the applicant to demonstrate compliance with the specific physical protection requirements of 10 CFR Part 73.
A physical protection section must be submitted with each application for a license to possess SNM, except for low en.iched uranium plants (less than 20 percent U-235) where no physical protection review is required, or for a license authorizing transport or delivery of SNM.
This document describes the information required in the physical protec-tion section of an application and prescribes a standard format for presenting the information in an orderly arrangerent.
Any license application that is required by 10 CFR 70.21(f) to be filed at,least nine months before construction should include the information requested in Chapters 1 through 3 of this Standard Format. That section ahauld be designated as the Pre!?minary Physical Security Plan.
In particular, dengn information of the type requested in Chapter 2 is needed early in the licensing procecs to ensure that plant features needed to meet materials and plant protection requirements are included in the facility design.
The format of Parts I and II of the Physical Security Plan for Fixed Sites applies to applications for a license to possess or use at any site, or at contiguous sites subject to control by the licensee, uranium 235 (contained in uranium enriched to 20 percent or more in the U-235 isotope),
uranium 233, or plutonium alone or in any combination in a quantity of 5000 grans or more computed by the formula:
grams = (grams contained U-235) +
2.5 (grams U-233 + grams plutonium).
1 5 7 1 1,3.s2-9
The format of Part III, Physical Security Plan for Special Nuclear Material in Transit, applies to applications for authorization to trans-port or deliver to a carrier for transport SNM of the type and in the amount specified above.
The Standard Format has been prepared to minimize lost time attrib-utable to incomplete applications and to standardize the licensing review process. The applicant is encouraged to prepare his application in accordance with the Standard Format and to provide information in each section te suppert the conclusion that he will be able to operate in accordance with the pertinent regulations.
Although conformance with the Standard Format is not required, the Standard Format does represent a format acceptable to the NRC staff.
As developments and changes in the nuclear industry occur, the Co=-
mission's requirements for information may need modification; revisions to the Standard Format will be made as necessary to accommodate these changes.
Purpose and Applicability This standard format document has been prepared as an aid to uniform-ity and completeness in the preparation and review of the physical protec-tion section of license applications.
It is applicable to fuel reprocessing plants, fuel manufacturing plants, SNM transportatien, or other special nuclear material operations involving the possession and use of uranium 235 (contained in uranium enriched to 20 percent or more in the U-235 isotope), uranium 233, or plutonium alone or in any combination in a quantity of 5000 grams or more computed by the formula:
grams - (grams contained U-235) + 2.5 (grams U-233 + grams plutenium).
This document is not intended to be used for nuclear power plants.
The information requested in this Standard Format is the minimum needed for a license application. Additional information may be required for completion of the staff review of a particular application.
The applicant should include additional information as appropriate.
It is also the applicant's responsibility to be aware of new and revised NRC regulations. The information provided should be up-to-date with respect to the state of technology for the physical protection techniques and systems that the applicant proposes to use.
Information and procedures delineated in Regulatory Guides in Division 5, " Materials and Plant Protection," and appropriate to certain sections of the Physical Security Plan may be incorporated by reference.
The applicant should discuss his plans and programs with the NRC staff before preparing his application.
This discussion should give particular emphasis to the depth of information required for the plan.
5.52-10
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Upon receipt of an application, the NRC staff will perform a prelim-inary review to determine whether the application provides a reasonably complete presentation of the information needed to form a basis for the findings required before issuance of a license.
The Standard Format will be used by the staff as a guideline for identifying the typa of information needed.
If an application does not provide a reasonably complete presentation of the necessary information, further review of an application will be suspended until this needed information is provided.
Use of the Standard Format The applicant should follow the numbering system of the Standard Format at least down to the level of subsection (e.g., 2.2.3).
Under sotae cir-cumstances certain subsections may not be applicable to a specific application.
If so, this should be cicarly stated and sufficient infor-mation should be provided to support that conclusion.
The applicant may wish to submit information in support of his application that is not required by regulations and is not essential to the description of the applicant's physical protection program. Such information could include, for example, historical data submitted in demonstration of certain criteria, discussion of alternacives considered by the applicant, or supplementary dato regarding assumed models, data, or calculations. This information should be provided as an appendix to the application.
Upon completion of the application, the applicant should use the Table of Contents of the Standard Format as a checklist to ensure that each subject has been addressed.
Style and Composition A table of contents should be included in each submittal.
The applicant should strive for clear, concise presentation of information.
Confusing or ambiguous statements and general statements of intent should be avoided.
Definitions and abbreviationa should be consistent throughout the submittal and consistent with generally accepted usage.
Wherever possible, duplication of information should be avoided.
Thus, information already included in other sections of the applications may be covered by specific reference to those sections.
Where numerical values are stated, the number of significant figures should reflect the accuracy or precision to which the number is known.
The use of relative values should be clearly indicated.
151 \\\\b 5.52-11
Drawings, diagrams, and tables should be used when information may be presented more adequately or conveniently by such means. These illus-trations should be located in the section where they are first referenced.
Care should be taken to ensure that all information presented in drawings is legible, that symbols are defined, and that drawings are not reduced to the extent thst they cannot be read by unaided normal eyes.
Physicsl Specifications of Submittals All material submitted in an application should conform to the follow-ing physical dimensions of page size, qualitj of paper and inks, numbering of pages, etc.:
1.
Paper Size Text pages:
8-1/2 x 11 inches.
Drawings and graphics:
8-1/2 x 11 inches preferred; however, a larger size is acceptable provided the finished copy when folded does not exceed 8-1/2 x 11 inches.
2.
Paper Stock and Ink Suitable quality in substance, paper color, and ink density for handling and for reproduction by microfilming.
3.
Page Margins A margin of no less than one inch is to be maintained on the top, bottom, and binding side of all pages submitted.
4.
Printing Composition:
text pages should be single spaced.
Type face and style: must be suitable for microfilming.
Reproduction: may be mechanically or photographically reproduced.
All pages of the tevt may be printed en both sides, and imcges chould be printed head to head.
5.
Binding Pages should be punched for looseleaf ring binding.
6.
Page Numbering Pages should be numbered by section and sequentially within the section.
Do not number the entire report sequentialis (This entire Standard Format has been numbered sequentiall, w ause the individual chapters were too short for sequential numbering within each section to be meaningful.)
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5.52-12 i
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For=at References In the application, references to this Standard Format should be b-chapter and section numbers.
Proce ares for Updating or Revising Pages The updating or revising of data and text should be on a replace-ment page basis.
The changed or revised portion of each page should be highlighted by a vertical line.
The line should be on the margin opposite the binding margin for each lir.e changed or added. All pages submitted to update, revise, or add pages to the report are to show the date of change.
The transmittal letter should include an index page listing the pages to be inserted and the pages to be removed. When major changes or additions are made, pages for a revised Table of Contents should be provided.
Number of Copies The applicant should submit the appropriate number of copies of each required submittal pursuant to.10 CFR Paragraph 50.30(c) and 570.21.
Public Disclosure The NRC has determined that public disclosure of the details of
,hysical protection programs is not in the public interest, and such details are withheld pursuant to Paragraph 2.790(d) of 10 CFR Part 2.
Thus, the physical protection section of each application should be submitted as a separate enclosure.
Other proprietary and classified information should be clearly identified and submitted in separate enclosures. Each such submission of proprietary information should be accompanied by the applicant's detailed reasons and justifications for requesting exemption from public disclosure, as required in Paragraph 2.790(b) of 10 CFR Part 2.
Compatibility The applicant should ensure that the Physical Security Plan is compatible with the other sections of his application.
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PRELIMINARY PHYSICAL SECURITY PLAN A physical protection section must be prepared for a license appli-cation, pursuant to Paragraph 70.21(f) of 10 CFR Part 70, and must be submitted prior to the beginning of construction. The application sub-citted prior to construction should describe the preliminary design of the plant or transportation system in enough detail to enable a defini-tive evaluation by the NRC staff as to whether the facility can be constructed with adequate provisions for physical protection of the special nuclear material and the plant.
For fixed sites, the preliminary plan should contain the information requested in Chapters 1 through 3.
O 157 118 5.52-14
PART I 0F THE PHYSICAL SECURITY PLAN FOR FIXED SITES This pcrt of the Physical Security Plan should describe the basic security la out and organization of the facility (i.e. the vital equipnent, j
ttal areas, material access areas, and isolation zones) and should explain in detail how the. applicant plans to meet the physical protection require-ments in 10 CFR Part 73 for plants and special nuclear materials.
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CHAPTER 1 SITE AND FACILITY DESCRIPTIONS This chapter should describe the site and identify facility structures and security areas, with emphasis on physical protection features.
1.1 General Layout Provide scaled drawings showing the site characteristics and location, the layout of all f acility buildings, and the exact location of all doors.
ducts, and other openings in buildings and walls used as barriers. Also show the exact location of all parking areas, access roads, fences, outside ec. rap storage areas, and the areas owned or exclusively controlled by the applicaat. Describe the natural ter ain and landscaped areas. Aerial photographs of the plant and surrounding terrain will be of assistance.
1.1.1 1.aw Enfcreement Authorities Include a diagram (e.g., a county map) showing the location of the facility in relationsh1p to law enforcement authorities who will respond to security contingencies. Also include the approximate distance of the 3-enforcement agency from the facility.
1.1.2 Alaru Stations Iticlude a diagram to identify the locations of the continuously manned alarm stations, and describe the stations.
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CHAPTER 2 DESIGN CRITERIA This chapter of the application should identify, describe, and-discuss criteria for the physical protection systems.
The design information provided should reflect the most advanced state of design at the time of submission.
If certain information identified in the Standard Format is not yet available at the time of submission because the. design has not progressed sufficiently at the time of writing, the application should include the bases and criteria being used to develop the required information, the concepts and alternatives under consideration, and the schedule for completing the design and for submitting the missing information.
The application should be modified prior to plant operation to describe in detail those aspects of the final design of the plant that were not included in the original submission, as wi.ll as the operational procedures significant to the physical protection of SNM.
Modification of the design bases, criteria, or features included in the application submitted prior to construction, as well as any new design bases, criteria, or features, should be identified in the application prior to plant operation. The safeguards significance of each such change should be addressed, and the relation of the design bases to the design criteria should be described.
For each design criterion, a su= mary should be provided to show how the 9
principal design features meet each of the criteria in Sections 2.1 and 2.2.
Any exceptions to the criteria should be identified, and justification for each exception should be provided.
Specific values or ranges of values of design parameters selected as reference bounds for design should be given.
These values ray include constraints derived from the state of the technology or generally accepted practices for achieving functiona: physical protection objectives (such as detection system sensitivity, false alarm rate, and co=munication equipment capability). Alternatively, these values may include requirements derived from analysis or investigatica (e.g., calculations or experiments) of the effects of a design basis incident for which a system, structure, component, et equipment must meet its functional physical protec-tion obj e c tives (e.g., barrier characteristics and lighting).
In this summary, terminology should follow the definitions given below.
Design Basis Incident (dbl) -- A postulated credible incident and the resulting conditions for which security-related equipment must meet its functional objectives.
Design _ Bases -- The functions performed by the system that provide physical protection of special nuclear material or the plant.
For example, certain access control stations, physical barriers, communica-tions systems, etc., will make up the basic means for physical protection.
5.52-17 ic7 3 ') 1 IJ/
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Design Criteria -- The design, fabrication, construction, testing, and performance characteristics associated with the respective design bases identified above for the principal physical protection system.
Design Features -- Characteristics of the physical protection system that permit it to eatisfy the design criteria. For example, the pro-tective lighting system that provides' 0.2 foot candle of illumination.
may consist of a network of buried cables, photoelectric activatora, mounted light sources, etc., having specific features or characteri'stics.
The particular installation features of the wiring systems used. for trans-mission of power signal and com=unication and the extent of protection provided.
Design Relationships -- The interrelationships between the physical protection systems whereby design features are selected to meet the design criteria that have been established to conform to design bases.
2.1 General Criteria The following general design criteria should be addressed within the context of the above definitions.
2.1.1 Assurance of Quality Referenca the quality assurance program, as described in Chapter 3, used to ensure that structures, systems, components, and equipment important to physical protection are designed, fabricated, erected, and tested to perform satisfactorily in service. The requirements for quality assurance programs in'Part 50, Appendix B, " Quality Assurance Criteria for Nuclear Power Plants and Fuel Reprocessing Plants," may be used for this purpose.
s 2.1.2 Process, Components, and Material Isolation Describe the provisions for isolation of vital areas and material access areas. that are used to limit the need for access to such areas to only those individuals authorized access for essential purposes. (for example,.
controlled access, automation, or remote handling techniques).
2.1.3 Equipment Design and Placement Describe the extent to which equipment not identified as process' equip-ment or vital equipment is located in a vital area or in a material access, area and explain why it cannot be located in other areas.
When such equip-ment is located in a vital area or in a material access area, describe limitations on the necessity for access to such equipment.
2.1.4 Inspection and Test Capability Indicate how equipment and systems used in processing, storing. trans-ferring, or protecting licensed material or in protec ting the plant are designed to f acilitate inspections to verify licensee compliance with appli-cable Commission licenses, rules, re gula t ion s, and orders.
3.52-1 157 I22
Describe design provisions for testing intrusion alarms, emergency alarms, communications equipment, physical barriers, and other security-related devices and equipment in accordance with Paragraph 73.50(f) and Paragraph 73.60(d) of 10 CFR Part 73.
2.2 Specific Criteria The following specific design criteria should be addressed.
2.2.1 Physical Barriers Describe the design of the double barrier concept, consisting of an outer physical barrier, one or more inner physical barriers, and controlled pass;ge through each.
Describe the design of the outer physical barrier, which sh>uld be separated from the inner physical barrier or barriers by an intervening area.
Indicate how the barrier is protected by an intrusion alarm sy stem meeting the criteria of Paragraph 73.50(d). Describe how the interven ng area will be checked to detect the presence of individuals or vehicles between the barriers and approaching either barrier in suf ficient time to initiate the necessary guard action or notify the local law enforce-ment agency or both.
Describe the design for vital areas and material access areas as defined in Paragraphs (h) and (j), respectively, of 573.2.
For example, the 9
plant layout should be designed so that functions such as food service and administrative offices that do not require access to the vital areas and material access areas are carried on outside the inner barrier (s).
Describe the design features of locks that will permit timely changing of keys and combinations.
2.2.2 Plant Isolation Describe the design features of the isolation zones on both sides of the outer physical barrier and of the monitoring system that will detect the presence of ind;viduals or vehicles in enough time to initiate the necessary guard action or notify the local law enforcement authority or both.
Describe how the parking facilities inside the outer barrier are designed to be limited to those for authorized smrvice vehicles.
2.2.3 Protective Lighting Verify that the clear areas between the inner and outer barriers and the isolation zone around the outer barriers are designed to be provided with illumination of at least 0.2 foot candles and sufficient for assess-ment by guards of any security incidents (e.g.,
for use of low light level remote TV).
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2.2.4 Personnel, Package, and Vehicle Control Describe the design for control at all points in the outer and inner physical barriers used f or personnel, package, or vehicle access (including shipping and receiving areas) so that identity and authority for access can be verified. Describe the design of unmanned exits in a physical barrier, such as emergency doors or gates that are operable from the inside only.
Describe the design of tamper-indicating alarm systems provided for all passage points in each inner physical barrier and all emergency exits in the outer physical barrier.
Describe the design of all access points in the outer barrier to allow entering individuals and packages to be searched for ite=s that could be used for industrial sabotage. Describe the design of any devices, equip-ment, or procedures used to detect the presence of items such as firearms, explosives, and incendiary devices.
Describe the design features provided to allow search of packages prior to entry into a material access area.
2.2.5 Shipping and Receiving Describe the design to preclude the simultaneous handling, in a single area, of ShM and non-ShH shipments and receipts. This criterion may be net, for example, by providing physically separated docks for Sh3 and non-ShM.
2.2.6 Surveillance Capability Describe the design (e.g,, illumination, line-of-sight, etc.) that would permit continuous direct or remote observation of any individual in material access areas. Also describe hov the material access areas e.nd vital areas are locked and protected by intrusion alarm systems when unoccupied.
2.2.7 Com: unications Describe the design of the two-way radio voice communication system available in addition to conventional telephone service between local law enforcement authorities and the plant. Verify that the systems are designed to terminate at a continuously manned central alarm station within the outer barrier and designed to permit continuous capability to communicate between that central alarm station and each guard or watchman on duty at the plant.
2.2.8 E=ergency Monitoring Capability Destc!be the design for backup systems such as emergency power, redundant hardware, and procedural options so that, in the event of power failure, equipme.'t malfunction, or guard incapacitation, a level of protec-tion consistent with safety requirements can be provided.
5.52-20 157 124
2.2.9 Intrusion Alarm System Describe the alarm system designed to annunciate in a continuously manned central alarm station located within the protected area and in at least one other continuously manned station, not necessarily within the protected area, such that a single act cannot remove the capability of callir.g for assistance or otherwise responding to an alarm.
Identify the design for self-checking and tamper-indicating and the design for alarm annunciation at the onsite central alarm station to indicate the type of alarm (intrusion alarm, emergency exit alarm, etc.) and location. Verify that all intrusion alarms, emergency exit alarms, alarm systems, and line supervisorf systems are designed to meet at a minimum the performance and reliability levels indicated by CSA Interim Federal Specification W-A-00450B (GSA-FSS).
2.2.10 Storage of Sh3_
Describe the design of the facilities that will be used to store special nuclear material not in process.
Include descriptions of features used to facilitate protection of ShH during unanticipated conditions (e.g.,
strikes or other plant shutdowns).
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CRAFTER 3 QUALITY ASSURANCE To provide assurance that the design, construction, and operation of the physical protection systems for a plant are in confor:ance with appli-cable regulatory requirements and with the design bases and criteria specified in the license applications, the applicant should establish a Quality Assurance (QA) Program.
In this chapter, the Preliminary Physical Eecurity Plan should include a description of the QA Program to be established and executed for the physical protection systea during the design anc. construc-tion stages.
Prior to operation, the applicant should describe in his final plan the QA Program to be established and executed for the operation of the system.
The QA Program should be established at the earliest possible time consistant with the schedule for acco=plishing the activity covered.
If soce pcrtions of the QA Program hav2 not yet been established at the time of the precons-truction submission because the cctivity will be perf ormed in the future, the description should provide a schedule for i=plementation.
The QA Program should meet the requirscents of Appendix B of 10 CFR Part 50 that are appli-cable and appropriate to a physical protection system.
If a portion of the QA Program to be implemented will conform to a particular quality assurance standard, such as one adopted by the American National Standards Institute, the description cay consist of a statement that the particular standard will be followed.
Where Regulatory Guides have been issued on acceptable tethods of implementing portions of the QA Program, the description should specifically indicate whether the regulatory posi-tions of the Regulatory Guides will be followed.
The applicant should provide a description of the proposed QA Program activities that will govern the quality of the physical protection systems during design and construction as well as during operation.
These activities incluce operating, maintaining, repairing, and modifying the systems.
3.1 Organization Organization charts for the project should be provided to denote the lines and areas of responsibility, authority, and communication within each of the major organizations involved, including those of the applicant, the architect-engineer, the system supplier, the constructor, and the cor.struc-tion manager (if different from the constructor).
In addition, a single overall organization chart should denote how these companies interrelate for the specific project.
These char ts and related explanatory material should cicarly indicate the organizational location, organizational freedom, and authority of the individual or groups assigned the responsibility for checking, auditing, E"
)
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inspecting, or otherwise verifying that an activity has been correctly performed. The charts and discussions should indicate the degree of the applicant's involvement in verifying the adequacy of the QA programs implemented by the applicant's contractors and suppliers, even in those cases where the applicant has delegated to other organizations the work of establishing and implementing the QA Program, or any part thereof.
3.2 Quality Assurance Program The structures, systems, componants, and equipment to be covered by the QA Program should be identified, along with the major organizations participating in the program and the designated functions of these organizations. The written policies, procedures, or instructions that implement the QA Program should be described.
If these written policies, procedures, or instructions are not yet effective, a schedule for their implementation should be provided.
3.3 Design Control A description of the design control measures should be provided.
Included should be measures to ensure that appropriate quality standards are specified in design documents and that deviations from such standards are controlled; measures for the selection and review of suitability of application of materials, parts, equipment, and processes; measures for the identification and control of design interfaces and for coordination among participating organizations; and measures for verifying or checking adequacy of design, such as by design reviews, alternate or simplified calculational methods, or suitable testing programs. The descriptions should also cover measures to ensure that design changes, including field changes, will be subject to design control measures commensurate with thcse applied to the original design and will be reflected in accurate "as built" drawings and specifications.
3.4 Procurement Document Control A description of the procurement document control measures should be provided.
Included should be measures to ensure that applicable regulatory requirements, design bases, and other requirements (such as QA Program requirements) which are necessary to obtain adequate quality are included or referenced in procurement documents.
3.5 Instruction, Procedures, and Drawings Provide a description of the measures to be used to ensure that activities affecting quality will be prescribed by dacu=ented instruc-tions, procedures, or drawings and will be accomplished in accordance with these instructions, procedures, or drawings.
157 127 5.52-23
3.6 Document Control A description of docu=ent control measures should be provided.
It should include =casures to ensure that docu=ents, including changes, are reviewed for adequacy, approved for release by authorized personnel, and distributed to and used at the location where the prescribed activity is performed.
3.7 Control of Purchased Material, Equip =ent, and Services Provide a description of the measures for the control of purchased caterial, equip =ent, and services.
Include measures for source evalua-tion and selection, for assess =ent of the adequacy by means of objective evidence of quality furnished by the contractor, for inspection at the contractor source, and for examination of products delivery.
3.8 Identification and Control of Materials, Parts, and Components Describe the measures to be used for the identification and control of materials, parts, and co=ponents to ensure that incorrect or defec-tive items will not be used.
3.9 Control of Special Processes A description of the measures for the control and accomplishment of special processes should be provided.
Included should be a listing of the special processes used in the construction and installation of com-ponents or systems, such as welding, casting, or nondestructive testing.
Include the measures to be used to ensure that such special processes are controlled and accomplished by qualified personnel using qualified procedures.
3.10 Inspection Describe the program for the inspection of activities affecting quality, indicating specifically the ite=s and activities to be covered.
Included should be an organizational description of the individuals or groups performing inspections, indicating the independence of the inspec-Also tion group from the group performing the activity being inspected.
is indicate how the inspection program for the involved organizations established.
3.11 Test Control Describe the test program used te demonstrate that structures, systems Included should be and components will perform satisfactorily in service.
mans for an outline of the test progra=, procedures to be developed, 3.52-M Ci i
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documenting and evaluating test results of the item tested, and designation of the responsibility for performing the various phases of the program.
If a test prcgram is used to verify the adequacy of a specific design feature, a descriotion of the qualification testing of a prototype unit should be included.
3.12 Control of Measuring and Test Equipment Describe the measures used to ensure that tools, gauges, instruments, and other measuring and testing devices are properly controlled, cali-brated, and adjusted at specified periods to maintain accuracy within necessary limits. This section does not refer to devices such as metal detectors, motion sensors, alarms, and communications equipment that make up the protection system, but rather to those devices used to test or calibrate the system devices during installations and preoperational testing.
3.13 Handling, Storage, and Shipping The applicant should describe the measures used to control handling, storage, shipping, cleaning, and preservation of items in accordance with work and inspection instructions to prevent damage or deterioration.
3.14 Inspection, Test, and Operating Status The applicant should describe the measures used to indicate the inspection and test status of items to prevent inadvertent bypassing of such inspections and tests. A description should also be provided of the measures for indicating the operating status of the structures, systems, components, and equipment.
3.15 Corrective Action The applicant should describe the measures established to ensure that conditions adverse to quality maintenance are identified and corrected and that the cause of significant conditions adverse to quality is determined and corrective action is taken to preclude repetition.
3.16 Quality Arsurance Records.
Describe the program for the maintenance of reccrds to document activities affecting quality.
Included should be means for identifying the records, the retention requirements for the records (including dora-tion, location, and assigned responsibility), and the means for retrieving the records when needed. Physical protectio'1 quality assurance records should be maintained and stored for a minimum of two years.
5.52-25 157 129
3.17 Audits The applicant should describe the system of audits used.co verify compliance with all aspects of the QA Program and to deterci;ae its effec-tiveness.
Included should be the means for documenting responsibilities and procedures for auditing, required frequency of audits, : audit results, and designating management levels to which audit results are reported.
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CHAPTER 4 SECURITY ORGANIZATION The information in this chapter should describe the security organi-zation, its responsibilities, and its relationship to the overall management structure of the applicant. Security responsibilities and the chain of command for decision-making on security matters should be included.
4.1 Management Organization Describe the management structure for operation of the plant. An organization chart should be provided, together with job descriptions identifying the functions, responsibilities, and authority for each of the positions that involves physical protection.
Indicate the organi-zational position responsible for the shif t supervision of the security force.
4.2 Security Organization Provide an organization chart of the security force and job descrip-tions for guards and watchmen. Describe the security organization for each shift.
Indicate whether the security force is a part of the facility organization or is acquired by contract.
If a contract force is used, 9
state the specific functions provided by the contractor. Describe how the applicant will ensure that the contract functions are performed adequately.
4.3 Security Personnel The information in this section should describe the qualifications (initial ar d periodic updating schedule), training, and testing of the security force.
See Regulatory Guide 5.20, " Training, Equipping, and Qualifying of Guards and Watchmen."
4.3.1 Qualification State the minimum qualifications for guards and watchmen.
Specify age, education, physical condition (including minimum vision and hearing standards), and experience requirements.
4.3.2 Screening Describe the system for qualifying, selecting, and hiring of guards and watchmen.
Provide a copy of a typical employment application. State whether fingerprints are taken.
Describe the policies and procedures established to verify an applicant's employnent, military, fingerprint, 5.52-27 13/
1 ]. I r-
arrest, and conviction records and to ascertain his character.
Indicate whether information is gathered by letter, by telephone, or in person and wheCaer a written report of results is prepared.
Identif3 the organizational unit and position titles of persons who evaluate applications and have approval authority (e.g., for hiring).
State the approval and rejection criteria. Provide details for NRC security clearance, clearance by another government agency, or bonding for guards or watchmen.
4.3.3 Training Program Lescribe the training program for guards and watchmen provided by the applicant or contractor, including training in the use of firearms.
State the scope and extent of the program; provide an outline or list of topics covered, together with a brief description of the subject matter and the time allotted for each topic.
State in general terms the scope, extent, and frequency of planned refresher or retraining courses.
4.3.4 Tcats and Recorda Describe the program for qualification and annual requalification of security personnel to demonstrate that they have an understanding of security operating procedures and the ability to perform assigned. duties.
Include the content of the program, by topic and extent of time spent on each topic. Describe the system for documentation of qualification and annual requalification.
Furnish a copy of a typical test or list of questions that will be used to determine the qualifications of a candidate.
Describe the controls maintained on copies of test questions.
4.4 Security Equipment List the equiptent provided the guards and watchmen and give descrip-tive data or performance characteristics, as appropriate.
For example:
1.
Weapons (number, kind, and caliber of firearms; supply of tear gas or aerosvi irritant proj ector (e. g., Mace *));
2.
Portable communications devices (make, kind, and range);
3.
Vehicles (radio equipped, spotlights, etc.);
4.
Uniforms.
Ihace is a registered trademark of the General Ordnance Equipment Corporation.
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Also describe the status of the equipment, i.e., who has personal custody and where it is stored.
State the authority of the security force to use the equipment.
In particular, discuss the authority of the security force to carry and use firearms in relation to state and local laws.
Also include a written statement of company policy on the use of firearms by the security force.
4.5 Posts and Patrol Identify each guard or watchman post and patrol. Describe the duties to be performed by the individual on duty under both normal and threat conditions.
State the number of posts or patrols for each shift for 24-hour-a-day, 7-day-a-week coverage.
Specify the number and types of individuals (guards or watchmen) assigned to each shift. Provide a layout plan or sketch showing the location of each fixed post.
Specify the scope, extent (i.e., the route), and frequency of each routine patrol.
Identify the appropriate permits and sidearms to be maintained by guards or watchmen and the authority (e.g., to use weapons) they will have to protect nuclear plants and materials.
4.6 Drills Describe security drills that will be conducted to demonstrate the degree of ef fectiveness of security measures, procedures, personnel, and equipment.
State the frequency of drills and describe records and reports 9
made, method of evaluation of results, and procedures for corrective action or changes.
1.57 153 5.52-29
CHAPTER 5 SECURITY AREAS A description of the security areas should be provided in this chapter.
It should include protected areas, isolation zones, material access areas, and vital areas.
Reference may be made to the drawings submitted under Sec-tion 1.1.
5.1 Protected Areas Provide a description and a scaled drawing, properly labeled, showing the perimeter of each protected area, the barriers, the location of build-ings within each area, the points of ingress and egress in each perimeter, the isolation zones, and any breaches (such as tunnels, storm and waste sewers, water intake and discharge conduits, culverts, creeks, and canals).
5.1.1 Physical Barriers 5.1.1.1 Fences. Describe the location, type, wire gauge, mesh size, top guard, overall height, and substrata of security fences.
State the composition and method of installation of posts and the method used to prevent intruders from entering under fences through soft soil or erosion openings.
5.1.1.2 Walls. Describe the location, design, and installation of security walls that are used as physical barriers.
Specify the composition, thickness, height, and top guard for these walls.
5.1.1.3 Buildings. Describe the construction of each building that forms part of a physical barrier around a protected area.
State the height, composition, and thickness of exterior walls, roof, and flooring.
State the size and location of doors, windows, skylights, and other openings in each barrier surface.
Describe the design, composition, and installation of security barriers (such as grates and grills) that are provided to protect the barrier openings against intrusion, except points of norral ingress and egress.
5.1.1.4 Other Barriers. Describe the location, design, composition, and installation of other barriers (such as grates, bars, or grills) designed to protect openings (such as storm sewers, culverts, windows, and ducts) in the perimeter of protected areas against intrusion.
5.1.1.5 Points of Ingress and Egress.
Describe the design, materials of construction, and method of installing equipment such as doors, gates, ar.d emergency exits in the perimeter of the protected area.
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5.1.2 Isolation Zones Furnisn a description, including dimensions, and provide a scaled drawing of the location of the isolation zones around the physical barriers at the perimeter of each protected area.
Identify and describe any objects or structures within the isolacion zones that could conceal or shield an individual.
Indicate the location and spacing of the lighting fixtures for the isolation zones, and describe the illumination system and coverage for such zones.
State the type (incandescent, mercury vapor, etc.) and minimum illumination (in foot candles) provided at ground level in each zone and the type and level of illumination at entry points to tha protected areas.
Describe the wiring arrangement, power source, and power distribution system.
Indicate whether the lighting is controlled by electronic or photoelectric activators and whether the wiring is protected by metal sheaths or conduit. Describe emergency power provisions, including those for the lighting system.
5.2 Vital Areas and Material Access Areas Provide scaled drawings of buildings that contain vital areas and matarial access areas.
Specifically identify vault and vault-type rooms.
Show the location of the points of ingress and egress for each of the 9
areas.
State the typical amounts, kinds, and forms of special nuclear material in each material access area and identify the process involved.
Identify vital equipment and discuss the function of it in each vital area.
5.2.1 Exterior When an entire building is designated a material access or vital area, state the composition and thickness of all exterior walls and doors. Also state the size, location, and distance above ground of windous and other openings.
Indicate the composition and thickness of roof structures and the size and location of doors, hatches, skylights, and other openings in roofs.
Except for peints of ingress and egress, describe the protection barriers provided for each opening.
5.2.2 Walls, Floors, and Ceilings For each vital and material access area located within a building, describe the composition and thickness of walls, floors, and ceilings.
Identify any openings in the walls, floors, and ceilings other than doors (for example, windows, vents, or ducts) in which the area exceeds 96 square inches. Describe the materials of construction and type of installa-tion of barriers such as grates, grills, or bars designed to preclude entry by an intruder.
g i57 135 5.52-31
- 5. 2. 3 Points of Ingress and Egress Describe the materials of construction and method of installation of doors, grates, and emergency exits for each vital and material access area.
State the type of lock used at each point of ingress and egrees, and describe its manipulation-resistant features.
5.2.4 Vaults For each vault describe the co= position and thickness of walls, floors, and ceilings.
Identify any openings in walls, floors, and ceilings other than doors.
Describe the composition, size, thickness, and special features of each door, including hinges and casing.
Describe the built-in combination lock mechanism, including tamper-resisting features, in each door.
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CHAPTER 6 ACCESS CONTROLS This chapter should show how the applicant plans to control personnel, vehicles, and packages entering and exiting security areas.
Regulatory Guide 5.7, " Control of Personnel Access to Protected Areas, Vital Areas, and Material Access Areas," provides guidance for complying with NRC require-ments for the control of personnel access.
Regulatory Guide 5.12, " General Use of Locks in the Protection and Control of Facilities and Special Nuclear Materials," provides guidance for complying with NRC requirements for the use of locks.
Regulatory Guide 5.14, " Visual Surveillance of Individuals in Material Access Areas," provides guidance for complying with NRC require-t ents f or surveillance of individuals in material access areas.
6.1 Badge System 6.1.1 General Description Providt a general description of the badge identification system used tur.he control of personnel such as employees, vendors, servicemen, delivery-men, utility personnel, manufacturers' representatives, repairmen, inspectors (local, state, and federal), and other visitors who are admitted to security areas.
Describe identifying information on the badge, including color photcgraph, security clearance, expiration date, and employee name, identifi-cation number, address, and signature.
9 o.l.2 Types of Eadges Describe the different types of badges used in the security program.
Explain the tamper-resistant features of each.
6.1.3 Coding Explain the system for special numbering (or coding) of badges for access to such areas as protected, material access, or vital areas.
State whether the badges are designed to distinguish different classes of individ-uals and escort requirements and whether they show the period of time for which access is authorized.
Also, identify which classes of individuals are permitted to go to what types of areas.
o.l.4 Control System Provide a description of the system for issuance, accountability, and
.ontrol of badges.
157 137 s.s2-u
9 6.1.5 Utilization State the requirements for wearing or displaying badges on the person while on site.
6.2 Access Authorization Identify by organizatioral component and position title the persons authorized to approve access of employees, nonemployees, and vehicles, with and without escort, to protected areas, material access areas, and vital areas. Describe how it is assured that the list of such authorized persons is up-to-date.
State the criteria used by the applicant (e.g.,
job needs or responsibili-ties) in authorizing escorted and unescorted individuals and vehicles (with positive identification) to access protected areas, material access areas, and vital areas.
6.3 Access Registration Describe the system for registering individuals into and out of security areas.
Include the type of information required (name, date, tires of entry and exit, purpose of visit, persons to be visited, e=ployment affilia-tion, citizenship, badge number, name of escort, etc.).
Indicate differences in requirements (e.g., level of clearance and escort requirements) for various types of security areas (protected areas, material access areas, and vital areas).
6.4 Personnel Escort Describe the personnel escort program, including vehicle drivers and the transfer of a visitor from one escort to another.
Indicate the types of individuals required to be escorted within the different security areas.
State the responsibilities of the escort.
6.5 Personnel Access 6.5.1 Protected Areas 6.5.1.1 Access Points.
Identify each personnel access point in the physical barrier for each protected area.
Describe the access controls established (such as air lock, double gate, guard post and protection of guard, sw.tch, lock (combination, key, or card key), closed circuit television [CCTV), and alarm).
Describe the period of time when specified coverage is provided for each access point (in hours per day and days per week),
l
}30 5.52-34 g
6.5.1.2 Personnel Searches.
Describe the system to be used for search of persons to detect firearms, explosives, incendiary devices, and other items that could be used for industrial abotage. Describe the format for random searches for the classes personnel for whom random searches are required.
Indicate who condt s the search and how it is coordinated.
Where a ficearns detector is used, describe design and performance characteristics, the manufacturer, and the manufacturer's location.
State the model specifications and the model's capability for detecting weapons placed anywhere on the body (in terms of minimum grams, metal type, configuration, and surface area). Give the confidence limit of the device (percent), and give the false (i.e., false negatives and false positives) alarm rates (percent maximum).
State where and how the metal detector alarm annunciates.
If appropriate, state whether the alarm is i terfaced with an exit door lock so that with the alarm triggered, an interlocked exit door cannot be opened from either side without specific action by the security force. Provide a laycut plan, drawing, sketch, or schematic diagram showing detector location and interlocked doors, if any.
Where an explosive detector is used, describe its design and performance features, its location, and its capability for detecting dynamite, TNT, and similar nitrogen products (for example, the minimum number of grams it can detect and its dependence on vapor pressure).
State the detector's manu-facturer, confidence limit (percent), and model specifications. As in the case of firearms detection equipment (above), state where and how the 9
explosive detector alarm annunciates and whether interlocked doors are utilized. and provide a layout.
6.5.1.3 Hand-Carried-Package Searches. Describe the search system, including random searches for entry to the protected area of all hand-carried packages such as valises, tool boxes, or similar items, for the detection of firearms, explosives, incendiary devices, and other items that could be used for industrial sabotage.
6.5.1.4 Searches of Deliveries. Describe the search system and checks for identification and authorizatior, of deliveries and packages other then those hand carried.
6.5.2 Vital Areas and Material Access Areas 6.5.2.1 Access Points.
For each vital area and each material access area, identify each personnel access point and describe the controls established (e. g., guard post, lock (combination, key, or card key], CCTV, or alarm).
Describe the period of time when specified coverage is provided for each access point (in hours per day and days per week).
6.5.2.2 Access Controls.
Describe the system for identifying indi-viduals for entrance to each material access area, including vaults and vault-type rooms and each vital area.
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6.5.2.3 Authorized Ind u iduals.
Identify by position titles the individuals authorized to control admittance to material access areas.
6.5.2.4 Surveillance.
For material access areas describe the methods to be used on a continuous basis for observing the activities of individuals to ensure that special nuclear material is not 4verted. For guidance, see Regulatory Guide 5.14, " Visual Surveillance of Individuals in Material Access Areas."
6.5.2.5 Exit Search. Describe the system for checking for concealed special nuclear material on individuals who are exiting from a material access area into a protected area.
Indicate whether physical searches are made or detectors are used.
Describe how physical searches are performed.
If detectors are used, describe their design and performance characteristics.
State their capabilities in terms of detecting gram quantities of Pu, U-233, or U-235 shielded by 3 mm of brass concenled anywhere on an individual, and state applicable confidence limits and false alarm rates.
If metal detectors are used, state tne capability of the metal detector to detect nonferrous metal shielding (i.e.
the minimum number of grams that it can detect), give the confidence level for detection anywhere on an individual, and state the false alarm rates for the device (percent).
If detector; are used, describe the system to be used to ensure that concealed SSH will be detected.
Exple.in the measures provided to ensure that an individual will remain at a detector for the required counting time.
Indicate what provisions are made for the detention of an individual after an alarm annunciation.
If a secure access passageway is used, state whether the doots of the passageway are interlocked so that both cannot be simultanously opened and whether the doors are alarmed so that a specific action must be taken by the security force to permit either door to open without triggering the alarm. State the locations where the Sh3 detector and metal detector alarms annunciate.
6.5.2.6 Package Searches. Describe the system for entry search or examination of packagcs, valises, tool boxes, or similar items to detect firearms, explosives, incendiary devices, or counterfeit substitute items that could be used for theft or diversion of special nuclear material from a material access area.
Confirm that packages and containers are not permitted entry into material access areas unlesa needed in support cf the operation within the material access areas.
Describe the system for exit search or examination of packages, valises, tool boxes, and similar items to detect theft, diversion, or concealment of specialnuclearmaterialbeforesuchitemsareclearedto,egihmaterial
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access area into a protected area.
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igGPM H m un n sfkusr e, a w a y_v mgggy y y y n y w w m 6.6 Vehicle Access 6.6.1 Vehic!r Ac ms Paints Identify eacn schicle access point to each protected area, material access area, and vital area.
Describe the entry and exit controls established (for example, gate, guard posts, escorts, locks (combination, key, or card key), CCTV, and alarms).
Describe the period of time when spec! Tied coverage i t, provided for each access point (in hours per day and days per week) and the code of access (such as rail, road, or sea).
Describe delivery and shipping activities that involve passage through, as well as standing near, access points and related barriers, protected areas, and isolation zones.
6.6.2 Protected Areas Describe the system for identification, clearance, escort, and surveillance of quttiqrtzed vehicles entering the protected areas.
Include a descripcion of the registry, tags, cards, or decals used.
Confirm that personal vehicles are not permitted in the protected area.
Describe the system for cle M ing vehicles that are to exit the protected area.
h.6.1 gterial Access and Vital Areas Describe the system to be used for escorting vehicles and drivers who are authorized entry to material access and vital areas. Describe the system for searching and releasing vehicles before exit from a material access area.
6.7 Keys, Locks, and Combinatioy 6.7.1 Types and Kinds of Locks State each type of lock used for security or plant protection purposes.
Describe the design and manipulation-resietant characteristics of ea_h type of combination lock and the design and pick-resistant features of each type of key lock.
For each type of combination lock, confirm that it is a three-position dial type, For each type of key lock, confirm that it provides the equivalent to a six-pin lock.
Regulatory Guide 5.12, " General l's e of Locks in the Protection and Control of Facilities and Special Nuclear
% + e r i al s," is available for use in preparing this section.
h.7.2 Kevs Describe the systen for issuance and control of keys, including card Keys 9t at e the position titles of persons authorized to approve the l uuano of keys for acce,ss to each area, vault, or vault-type room where utilized, and state the criteria for such approvals.
key loch are 157 N2732 0
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The description should indicate that a list of the names, types, and keyvay codes of each key-lock device is maintained and that the number of keys made, na=es of persons to whom istued, and key locations are recorded.
Also indicate whether running inventories of blanks for each keyway code are made; whether locks are rotated; and whether all keys are periodically inventoried and accounted for.
Confirm that locks are changed when a key is lost or when a person who is authorized to have a key is terminated or reassigned to other duties.
State whether keys for security locks are permitted to be taken outside the protected area.
6.7.3 Combinations Describe the system for controlling combinations of locks to minimize the possibility of compromise.
State the titles of persons authorized to approve the issuance of lock combinations for access to each area where combination locks are used.
Confirm that combinations are changed periodically, whenever there is evidence of compromise and whenever an employee who was authorized to have a combination is terminated or reassigned to other duties.
9 157 142 5.52-38
C HAPTER 7 INTRUSION AND DETECTION DEVICES 9
This chapter should provide technical and performance information for alarm systems.
The purpose of each alarm device should be stated, but specifications need not be repeated in each paragraph when two or more identical alarm devices are used.
7.1 pesign and Performance Characteristics For each intrusion alarm, detection device, and switch used for security or plant protection, state the purpose and function and describe the design, performance characteristics, and manufacturer specifications.
Confirm that alarms are self-checking and tamper-indicating, have a source of uninterruptibic power, have fald-safe features, and are connected to the central alarm stations.
Conf irm that alarms and the line supervisory system meet the minimum perf ormance and reliability levels indicated by Government Services Administration (GSA) Interim Federal Specification W-A-00450B (GSA-FSS),
dated February 16, 1973.
Describe the operation during both the secure mode and the access mode.
Indicate the capabiltty for recording status of the alarmed system in terms ot date, time, system, area affected, and type o f ala rm signal.
Identify the location of each such device on a plant diagram.
7.2 Isolation Zone Monitoring Describe how the isolation zone will be monitored to detect the presence of individuals, vehicles, or other objects within the zone so as to allow response by armed members of the security organization to be initiated at the time of penetration of the protected area.
Note that an automated electronic or electromechanical monitoring device is needed and that periodic checking by members of the security force is not an acceptable means for satisfying the requirements of Paragraph 73.50(b)(4).
Describe the detection system and the related annunciators (on and offsite) and indicate how they are used.
For each system identify the type, capabilities, limitations, and manufacturer.
7.3 Annunciators Confirm that each security alarm annunciates in a continuously manned central alarm station located within a protected area and in one other alarm station, not necessarily on site.
Indicate the method and all loca-tions of annunciation.
7.4 Emergency Power Describe the location and source of standby, backup, or emergency power provided to maintain all intrusion and detection alarms on a con-tinuous basis durinn nonnormal situations (i.e.,
power outage).
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CHAPTER 8 CENTRAL ALARM AND CC K'NICATION SYSTEMS This chapter should describe the central alarm and communication facilities and equipment provided for the security progra=,
NRC regulations require that all alarms annunciate in a continuously canned central alarm station located within a protected area and in at least one other con-tinuously manned station, nat necessarily within the protected area.
The two-way radio voice communication capability provided between the con-tinuously manned central alarm station in a protected area and local law enforce =ent authories (LLEAs) also should be described.
8.1 Facilities Describe the location and facilities provided for the primary (central alaru station within the protected area) and secondary alarm station.
Clearly illustrate that the primary alarm station is protected as a vital area and that windows in the primary alarm station are protected by bullet-resistant materials if the attendant is visible from outside the protected area.
8.2 S ta f fing Describe the staffing arrange =ent for manning each central alarm station.
Confirm that the two central alarm stations are continuously manned.
Identify the category of personnel manning each.
Confirm that at least one supervisor of the security organization will be on site at all times.
8.3 Alarm Equipment Describe the alarm and annunciation equipment operated at each of the alarm stations.
State the performance characteristics of the equipment.
Confirm that the annunciation of an alarm at the primary central alarm station indicates both the type of alarm (such as intrusion alarm or emergency extt alarm) and the origin of the alarm. Describe emergency power provistons, including the uninterruptible power supply.
8.4 Communication Systems 8.4.1 Telephones Confirm that conventional telephone service is provided between each central alarm station and the LLEAs and between the central alarm stations.
S.4.2 Local Co=unications Describe the communications equipment provided f or two-way communication between nembers of the security force and an individual in the primary central 5.52-40 157 144
alarm station, include provision for a silent, unobtrusive alarm cennecting a protected area access point and the primary and secondary central alarm stations.
8.4.3 Radio Corrounications Provide a description of the two-way radio voice communication system established at the primary central alarm station within the protected area f or coc:municating with LLEAs.
Confirm that the system will be manned continuously at both that tentral alarm station and the LLEA terminal.
Describe the source of standby, backup, or emergency power provided to maintain operable communications equipment during nonnormal situations (i.e., power outage).
Identify redundant communication systems.
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CHAPTER 9 RESPONSE TO SECURITY CONTINGENCIES The require =ent for licensee physical protection of SNM is continual, as outlined in 10 CFR Part 73.
Since this protection is required during all contingencies, plans for adequate security should be developad by the licensee for all possible events.
This chapter should describe the plans established for response to, assessment of, and initiation of follow-up action for ortain contingencies, including alam annunciations, security
'e facility, and strikes.
threats to i
9.1 Organization and Procedures
.ibe the security organization and the procedures that have been estai.aned to respond to security contingencies, including those enumer-ated in this section.
For each of the contingencies outlined belou, describe the response to be taken by the security organization af ter an alam annuncia-tion, after a threat has been co==unicated to the facility, or after the occurrence of other contingent events.
State the expected response time and the maximum response time.
Describe the factors that affect these response times.
State the number of security personnel who will respond in each time increnent and the procedures for deployment of security personnel (including callup of any of f-duty personnel).
Discuss the criteria (including an escimate of intrusion group size, armament, and apparent intent) to be used in assessing the significance of the contingency. Discuss notification procedures for personnel, supervisors, and authorities. Discuss the status of access points during these contingencies.
9.1.1 Security Threats and Alam Annunciations The infomation described above should be provided for the following types of security threats and alam annunciations:
9.1.1.1 Suspected Intrusion Into a Security Area 9.1.1.2 Apparent Attempted Theft of ShH 9.1.1.3 Apparent Attempted Smuggling of Contraband Into a Security Area 9.1.1.4 Outage of Critical Plant Protection Equipment 9.1.1.5 Multiple Alarm Annunciations 9.1.2 Other Contingencies The information described in Section 9.1 should also be provided for the following types of contingencies necessitating more extensive mobilization:
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9.1.2.1 Bomb Threats 9.1.2.2 Natural Disasters 9.1.2.3 Civil Disturbances (e. g., Riots) 9.1.2.4 Cuard Strikes 9.1. :. 5 Fire or Explosion 9.1.2.6 Site Evacuation 9.1.3 Special Procedures During Tests and Inspections Describe special temporary procedures designed to ensure continued protection while security equipment is out of service for repafr, mainte-nance, or testing.
9.2 Action Response Provide a description of the immediate measures that will be employed to neutralize a security threat or contend with other contingencies.
State the criteria to be used in determining when off-duty guards or watchmen will be summoned to augment the on-duty force and when the LLEA will be contacted.
Identify the organization positions that have authority to contac-the local enforcement agency and to notify the NRC.
9.2.1 Size and Composition of Forces State the response capability of the overall security organization (including LLEA personnel).
In particular, provide specific information with respect to the number and source of licensee security personnel available for response and the estimated times of arrival.
9.2.2 Arrangements Describe the arrangements made with the appropriate LLEA and contract guard se vice labor representation to respond to a local security force strike.
Identify other arrangements or agreements in effect or in process to provide necessary assistance during contingencies.
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CHAPTER 10 LOCAL LAW ENFORCEMENT AUTHORITIES The information in this chapter ehould describe the arrangements that have been made with local authorities for help and ascistance with contingencies identified in Chapter 9.
The level of assistance and response time expected from local authorities must be established and evaluated to assess the adequacy of the overall physical security plan.
10.1 Size of Force Provide specific information with respect to the number and caliber of law enforcement personnel available for assistance and the estimated lapse of time for such personnel to reach the facility. State the number of armed individuals in each complement and the time for each complement to arrive if they are to arrive at intervals.
10.2 Kind of Assistance State the type or kind of assistance that can be provided (such as police power, investigative work, crowd control, or bomb searches) and the kind of equipment available.
10.3 Arrangements Describe the arrangements (including clear definition of responsibilities and authorities among the LLEAs) that have been made with local, municipal, county, and state law enforcement authorities to provide emergency assis-tanca when requested. State the titles of the individuals (both licensee and LL'dA) who made the arrangements. State whether the arrangements provide for written proc:dures for orientation training of law enforcement authorities in olant protection and radiation safety and for periodic drills.
If guatos or watchmen are deputized or otherwise authorized by local or state authorities to perform police duties (such as arrest, apprehension, detention, and conduct of investigations), state the source of the authority.
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CHAPTER 11 REPORTS TO THE NR_C Procedures for the preparation and submission of security reports to the NRC should be described in this chapter.
11.1 Incidents Describe the procedures for reporting to NRC any incident in which an attempt has been made, or is believed to have been made, to commit a theft or unlawful diversion of SNM or to commit an act of industrial sabotage, 11.2 Unusual Occurrences Describe procedures, if different from Section 11.1, for reporting to the NRC any unusual occurrences (such as civil disturbances, bomb threats, significant vandalism and demonstrations, or strikes) that may or could have an effect on plant security.
11.3 Security Plan Changes Describe procedures for furnishing to the NRC reports of changes made in the Physical Security Plan.
157 149 5.52-45
PART II 0F IHE PHYSICAL SECUPITY PLAN FOR FIXED SITES This part of the Physical Security Pla-should describe the tests, inspections, records, and other means estab..shed by the applicar.t for demonstrating compliance with the physical protection requirements for plants and materials.
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CHAPTER 12 TESTS AND INSPECTIONS This chapter should provide information on the tests and inspections that are conducted to ensure the continuous integrity of barriers and the operability of security equipment.
12.1 Physical Barriers and Access Points Describe the tests and inspections that are used to ascertain whether all physical barriers and points of access are intact and operable.
State the frequency of routine and special tests and inspections.
12.2 Alarms and Annunciatora Provide a description of the program used to test the operability and to nrify the functional performance of security alarms, annunciators, sensors, and transmission lines to the two central alarm stations.
State the frequency of routine and special tests, including tests following maintenance work.
12.3 Contraband Detectors Describe the method of calibration and standardization used for each type of metal, explesive, and SNM detector, where applicable-Delineate the standards, test equipment, and procedures enployed for calibration and control programs.
State the frequency of calibrations and control tests.
12.4 Qmmunications Describe the type and frequency of tests used to monitor operatility on a routine basis.
Indicate the type and frequency of tests used to verify the functional performance of all communications equipment.
12.5 Other Security-Related Equipment Describe the test and inspection programs used to ascertain the opera-bility of other security-related equipment identified in Part I.
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CHAPTER 13 SECURITY RECORDS This chapter should provide information ca the records that are main-tained to meet the requirements of Paragraph 70.32 0) of 10 CFR Part 70 and 173.70 of Part 73, 13.1 Security Tours, g oections, and Tests Describe the system f or documer. ting the results of all routine securi y tours and inspections and of all tests and inspections performed on physical barriers, intrusion alarms. :o==unications equipment, and other security-related equipment.
13.2 Maintenance Identify and characterize the records that are kept of all maintenance performed on physical barriers, intrusion alarms, comunications equipment, and other security-related equipment.
13.3 Alarm Annunciations Describe the records system for documenting all alarm annunciations, including f alse alarms and alarm checks. Also describe the system for identifying the type of alarm, location, date, and time of each occurrence.
13.4 Security Response Indicate the records that are kept of response by facility guards and watchmen to aich alarm (including false alarms), intrusion, or other security incident.
13.5 Authorized Individt.als Describ ' the syst im for naintaining a record of each individual who is designated as an authorized individual.
Indicate whether the record will include the name and badge number of each person so designated, the indi-vidual's address, the date of the authorization, its expiration date, the name of the approval authority, and the areas to which access is authorized.
13.6 Nonemployee Access Describe the system for maintaining a record (register) of each visitor, rendo r, ot other individual who is not an e=plcyee of the applicant, with the record showing the individual's name; the date, time, and purpose of the visit; the individual's e=ployment affiliation and citizenship; the name and badge number of the escort; the name of the individual to be visited; and the name of the person who authorized or approved the visit.
Describe the system for maintaining a list of designated escorts.
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13.7 Employees Wl' Describe the system for maintaining a record of each employee who is issued a pernanent badge for access to security areaa. with the record showing the individual's na=e, his badge number, the areas to which aceass is authorized, the date of the authorization, its expiration date, and the name of tha noroval authority.
13.8 Changes in Security Plan Not Approved by the NRC Describe the system to record and maintain records oi changas that are made to the security plan without prior approval of the NRC. the date the changes are made, and tne name, organizational unit, and pos. tion title of the person (s) who approved or authorized the changes.
Other changes in the security plan will be made pursuant to Paragraph 50.54(p) of 10 CFR Part 50.
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CE\\PTEF 14 SECURITY AUDITS The purpose of this chapter is to provide a description cf the audit programs established to review periodically the applicability and adequacy of the existing security plan and to assess the degree of co=pliance of the current performance with existing security requirements.
14.1 Program Audit Describe the scope, extent, and frequency of planned periodic manage-ment audits to review the physical security program of the facility for continued adequacy and effectiveness.
Identify by organizational title the persons assigned responsibility for conducting the audits. Affirm that written audit reports will be prepared and submitted to facility management.
14.2 Compliance Audits Describe the monitoring program established to ensure compliance with existing regulations.
Identify by organizational title the persons assigned responsibility for conducting the audits. Affirm that written audit reports will be prepared and submitted to f acility management.
9 5.52-50 157 154
PART III PPNSICAL SECURITY PLAN FOR SPECIAL NUCLEAR MATERIALS IN TRANSIT The physical security plan for protection of special nuclear materials (SNM) in transit should describe how the applicant will ship SNM and should explain in detail how the physical protection require =ents in 10 CFR Part 73 pertaining to transportation will be met.
157 155 s.32-31
CHAPTER 15 SCOPE OF THE PL1N Identify which of the following activities the plan vill cover:
1.
Take delivery of ShH 2.
Release ShH for transport 3.
Transport ShH by road 4.
Ship ShH by air 5.
Ship ShH by rail 6.
Ship ShH by sea (or water) 7.
Import SSH 8.
Export ShH 9.
Other (describe briefly) 157 156 h
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CHAPTER 16 PLANNING 16.1 Shipments Involving Common or Contract Carriers If common or contract carriers will be used, discuss tia contingencies anticipated and the arrangements to be made with the selected carriers to ensure that they will provide for the protection of SNM in accordance with the requirements of 10 CFR Part 73.
Include as a part of this plan a copy of the carrier's security plan showing that SNM will be transported under an established system that provides for the physical protection of valuable material in transit and that requires an exchange of hand-to-hand receipts at origin, at destination, and at all points en route where there is a transfer of custody of the SNM shipment.
Discuss the actions that will be taken to determine whether the carrier is providing the level of protection agreed to.
Also discuss the action to be taken if a carrier has failed to provide that level of protection.
Confirm that SNM air shipments involving in excess of 20 grams or 20 curies of plutonium or uranium 233, or in excess of 350 grams of uranium 235 (contained in uranium enriched to 20 percent or more in the U-235 isotope), will be made only by cargo aircraft.
16.2 Transit Time Discuss the provisions that will be made to ensure that transit times of SNM shipments will be minimized and that routes will be selected to avoid areas of natural disaster or civil disorder.
Discuss arrangements that wili be made with the carrier for changing the scheduled delivery time if and when ordinary delays en route make delivery at the prearranged time impossible.
16.3 Transfers 16.3.1 Shipments by Road Discuss the means to be used to ensure that shipments will be nade without intermediate stops for transfers from the time the SNM shipment is placed aboard the transport vehicle until it arrives at the facility of the receiver or changes mode of transportation.
16.3.2 Shipments by Sea or Water Discuss the means to be used to ensure that there will be no scheduled transfers to other vessels.
Discuss the means to be used to ensure that the selected vessel will be making the minimum ports of call after the SNM shipment is taken aboard.
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16.4 Secure Compartment for Shipments by Sea Discuss criteria to be used for establishing requirements for a secure compartment in which the SNM shipment will be placed.
Discuss the arrangements to be made for such a compartment.
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16.5 En Route Storage Describe what will be done to avoid en route storage in exccas of 24 r.a ur s.
16.6 Co:=:iunications Planning For shipments by rail or by road, explain the provisions to be made f or establishing and maintaining a point of cot::=un:. cations for receiving and responding to massages conceraing the location and status of each SNM shipment.
16.7 Monitorinj Discuss plans for monitoring material during transfers and en route storage.
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CHAPTER 17 EQUIPMENT FOR THE PROTECTION OF SNM SHIPMENTS 17.1 Vehicles for Shipments by Road State whether the transportation vehicles will be under the control of the applicant (owned, leased, or rented) or under the control of a contract or common carrier.
Identify which of the folloaing options for shipment of SNM by road will be used:
(1) motor vehicle with separate escort vehicle, (2) spealal vehicle with high penetration resistance and armed guards, or (3) specici vehicle with high penetration resistance and immob.'lizaiton features, but no armed guards.
If a special vcaicle is to be used, discuss the provisicas for achieving high penetration resistance.rui immobilization, as appropriate.
Include drawings and specifications that describe the pro-tection features of the special vehicle. Features acceptable to the NRC staff for implementing option (2) above are discussed in Regulatory Guide 5.31, " Specially Designed Vehicle with Armed Guards for Road Shipment of Special N
. ear Material."
17.2 Communications Equipment 17.2.1 Shipments by Road or Rail Describe the communications equipment to be used for communicating the location and status of each shipment while en route.
" Communication with fransport Vehicles," provides information on radiotele-phones and systems and procedures for disguising position data.
17.2.2 Shipments by Road Involving Escorts Describe the communications equipment that will be used to provide continuous radio communication capability between the escort vehicle and the transport vehicle.
17.3 Seals and Locks Describe the types of tamper-indicating seals that wil' be used.
Refer to Regulatory Guides 3.10. " Selection and Use of Pressure-Sensitive Seals on Containers for Onsite Storage of Special Nuclear Material," and 5.15, " Security Seals for the Protection and Control of Special Nuclear Material." Describe the types of locks to be used for locking shipping containers or for locking vehicle compartments that cont in the shipment.
Refer to Regulatory Guide 5.12, " General Use of Locks in the Protection and Control of Facilities and Special Nuclear Materials." Discuss the procedures used for tamper-safing.
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17.4 Containero State whether ship =ents will be cade by "open vehicles,"
i.e., by vehicles that de not provide a compart=ent in which the shipment can be locked.
If so, describe tae containers that will be used and the locking a r r angemen t r> for these containers. Note that the 500-pound weight require-cent in the regulation refers to the total weight of the loaded container, rather than to the weight of the shipping container alone.
17.5 Transport Vehicle Markings For SNM shipments by road, discuss how vehicles will be marked to aid in identifying the vehicle. Discuss plans for ensuring that records of these markings will be kept available for reference.
"' ruck Identification Markings," sets forth criteria for markings that are acceptable to the NRC staff.
17.6 Security Personnel Equipment Describe the equipment, including firearms, to be provided to the security force for protecting shipments. Discuss the authority of the security force to carry and use firearms in relation to state and local laws.
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CHAPTER 18 SECURITY PERSONNEL O??,
18.1 General Description Describe and discuss the duties and responsibilities of the physical security organization to protect SNM shipments. The description should specify the organizational position and show the relationships among the following:
(1) the individuals who will be responsible for the planning and execution of the program for the protection of SNM shipments, (2) the individual who will be in charge of the team that physically accompanies a shipment, (3) the individuals who will monitor transfers, (4) the agents and nonemployees who have a role in the protection of SNM shipments, (5) t h, individuals who will be responsible for receiving and recording location information while the shipment is en route. (6) the individual who will be responsible for notifying an appropriate law enforcement' agency and the NRC, and (7) the time lapse before notification of non-arrival, late communication, or emergency.
Regulatory Guide 5.20, " Training. Equipping, and Qualifying of Guards and Watchmen," should assist with preparing the following information.
18.2 Selection Describe the criseria to be used for screening and selecting individuals who will be responsible for protecting SNM shipments.
v 18.3 Training Provide an outline of the security force training program, including a tisting of the major topics to be covered and the estimated training time for each.
The training program should cover both normal operations and threat situations. Discuss the training in the use of firearms, including arksmanship.
18.4 Qualification Discuss the tests or other means to be used to ensure that each guard qualified to perform his assigned duties.
Furnish a copy of a typical s
est or list of questions that will be used to determine the qualifications fa candidate.
Discuss the program to be used to req #alify guards annually.
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CFAPTER 19 OPEPATIONS 19.1 Co=munications Operations For SNM shipments by road, rail, air, or sea, discuss the organization and physical location of persons who will be predesignated to receive co=munications f rom the occupants of transport vehicles en route. Describe the procedures to be used to make periodic reports of the location and status of SNM shipments en route.
Specify the time intervals for routine reports, the maximum period of elapsed time permitted with no report, and the action to be taken if planned cr scheduled reports are not received.
Describe the method or system to be used to test operability and to verify functional performance of all cocmunications equipment related to physical protection of SNM in transit.
Specify the frequency of all routine and special tests and inspecticns.
19.2 Escorts 19.2.1 Shipments by Road Discuss the duties of the people who will accompany the shipment in the vehicle containing the SNM shipment.
Describe J'a nrocedures to be employed to ensure that at least one of these persons maintains continuous visue.1 surveillance of the SNM cargo vehicle at all times during a shiprent.
19.2.2 Shipments by Road or by Rail For shipments other than those to be made in a specially designed truck or trailer, confirm that the required number of armed guards and convoy vehicles will be used.
Describe the procedures and methods to be used to ensure that such escorts will maintain continuous vigilance to detect the presence of canditions that might threaten the security of SNM and to ensure that the escorts will take such actions as circumstances might require to avoid interference with continuous safe passage of SNM vehicles. Describe the actions to be taken in the event of an emergency.
Describe arrangements to check and observe SNM cargo vehicles during stops, breakdowns, or layovers.
19.2.3 Shipments ry Sea or by Air For air or water export shipments, describe the procedures and methods to be used to ensure that (1)
SNM shipments will be escorted by the appro-priate number of authorized individrils f rom the time the air: raft or vessel departs from the tectinal (e.g.,
the last terminal in the United States if export) until the shipment is unloaded at the destination terminal (which may be a foreign terni al if export); (2) during scheduled inter-mediate stops where SNM is not scheduled for transfer, the authorized 5.52-58 157 162
individual will observe the opening of cargo compartments to ensure that SNM shipments are not removed; and (3) authorized individuals will maintain continuous visual surveillance of the cargo co=partments containing SNM until departure of the loaded aircraft or vessel from the point of shipment.
19.3 Monitors 19.3.1 Nuclear Shipment Not Scheduled for Transfer For modes of shipment other than by road, describe the procedures and methods to be used to ensure that at scheduled intermediate stops guards or designated alternates will (1) observe the opening of cargo compartments to ensure that SNM shipments are not removed, (2) maintain continuous visual surveillance of cargo compartments until shipments depart from the intermediate stop, and (3) notify the applicant or his agent of the status of shipments at departure from each intermediate stop.
19.3.2 Nuclear Shipment Scheduled for Transfer Discuss the monitoring of scheduled transfers of each SNM shipment, including monitoring of the shipment while it is in storage (which should be no more than 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />) en route.
Describe the procedures and methods to be used to ensure that all transfers of SNM (such as frem carriers to storage, between carriers, or from storage to carriers) will be under the continuous visual surveillance of at least two guards or designated alter-nates.
Confirm that the guards will observe the opening of cargo compart-ments containing incoming SNM and exanine shipment locks and seals, will s
Ydb57 observe the SNM while it is in a terminal or 'ln storage, will ooserve the SNM while it is being loaded, and will maintain surveillance of the cargo compartment until the vehicle or vessel departs from the terminal.
Describe the procedures to be used by the guards to notify the appli-cant or his agent of the status of the SNM at departure time.
State who will immediately notify the applicant or his agent and responsible carriers of any deviation from or attempted interference with the schedule or routing of SNM shipments. Confirm that preplanned storage time cf SNM shipments en route in excess of 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> will be avoided.
19.4 Miscellaneous Shipper _ Responsibilities 19.4.1 Locking For each mode of transportation to be used, describe the means to be employed to ensure that either the SNM container is locked or the vehicle compartment containing the shipment is locked.
" General Use of Locks in the protection and Control of Facilities and special Nuclear Materials," gives guidance for the selection and use of locks.
Locks that are suitable for use at protected area barriers are also suitable for tse in the protection of special nuclear material in transit.
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19.4.2 Notification of Censignee Outline the plan to be used to notify a consignee of an impending SNM shipment.
Describe the procedure and methods to be used to ensure that when SNM is delivered to a carrier for transport, the consignee (donestic or foreign) will be i==ediately notified by telegraph, teletype, or telephone of the departure times, the methods of transportation (including the names of carriers), and the estimated times of arrival of each shipmen at its destination.
Confirm that such procedures will also provide that the consignee will i==ediately notify the consignor by te.'egraph, teletype, or telephone when each SNM shipment arrives at its destination.
19.4.3 F.O.B. Shipments If f.o.b. shipments will bc =ade, describe the procedure and methods to be used to ensure that (1) written certification will be obteined fro licensees who take delivery of SNM shipments at the f.o.b. point, (2) arrangements have been made to =cet NRC require =ents set forth in 10 CFR Part 73 for the physical protection of the SNM during transit, or (3) if the consignee is an NRC license-exempt contractor, a written certification will be obtained stating that physical protection arrange =ents required by the ERDA Manual (formerly the AEC Manual), Chapter 2401 or 2405, have been made.
10.4.4 Arrange =ents to Obtain_I_nformation from Foreign Consignee Discuss the arrangements that will bc made with a foreign consignee to b notified of the arrival of the shipment at the des ination and to be or unaccounted fo(r after the estimated not.fied of a shipment that is lost time of arrival at its destination.
19.4.5 Notification of NRC Discuss the conditions or circumstances under which the NRC will be ni id.
State the position title and organizational unit of the indi-vid.als who will be responsible for informing the NRC of accidents, unusual occurrences, contingencies or the failure of SNM shipments to arrive at their destinati,n at the estinated time of arrival.
Identify the types of reports to be m.a d e and describe the procedures to be followed in nakine such 1c, arts.
19.4.6 onduct of Trace Investigation State rh. position title and organizational unit of the individual; who will be responsible for the initiation and conduct of trace investi-
,at1cas cf.ost or unaccounted-for ship =ents.
State the criteria for such u..w, tia cope and extent of the planned investigations, the report dent. and ne prxedures to be followed to ensure that the results of
- Le inv< st i ra t t an will be reported to the NRC and the person who delivered the material a
arrier for transport.
- .52-60
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19.4.7 Shipper Records Describe the system to be used to record and maintain records, such as those listed below, t o demonstrate that the requirements of the NRC with respect to the protection of SNM shipments will be met on a con-tinuous basis.
1.
Names of carriers 2.
Major roads used 3.
Flight numbers 4.
Dates and times of depa-'ures and arrivals 5.
Namec and addresses of monitors 6.
Container seal descriptions and identifications 7.
Locations and telephone numbers of local law enforcement agencies along the route used 8.
Shipping plan changes or modifications 9.
Description of the nuclear material, by chemical and physical form, quantity, cnd enrichment 10.
Testing and operability of co=munications equipment 11.
Names of individuals who receive communications for or on behalf of the applicant 12.
Reports of tonmunications 13.
Reports of trace investigations 14.
Violations or infractions of the applicant's instructions or requirements.
State how the information in items 1 through 9 will be kept confidential.
19.5 Miscellaneous Consignee Responsibilities 19.5.1 Notifications Specify the position title and organizational unit of the individuals who will be responsible for notifying the person who delivered the ship-ment to a carrier for transport that the shipment has been received.
5.52-61
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9 Specify the organizational position of the individual who will be responsible for notifying the shipper and the NRC in the event of a late or lost shipment.
Discuss the criteria that will be used in arriving at a decision to make such a notification.
39.5.2 Consignee Records Specify the position title and organizational unit of the individuals who will be responsible for maintaining protection records pertaining to Sh? in transit.
19.5.3 Import Shipments Describe the procedures and methods to be used to ensure that Sh3 shipment container counts and lock and seal examinations are made to detect any evidence of tampering at the first place in the United States at which the shipment is discharged from the arriving carrier.
(NOTE:
Information with respect to ShH shipments when in terminals or in storage should be included in Section 19.3.2).
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3os $
3.32-e2
C'iAPTER 20 LOCAL LAW ENFORCDENT AUTHORITIES This chapter should describe the arrangements that have been made with local law enforcement authorities for help and assistance.
20.1 Notification of Local Law Enforcement Authorities Discuss the conditions or circumstances under which the local law enforcement authcrities (LLEA) will be notified.
Specify the position title and organizational unit of the individuals who will be responsible for notifying the LLEA.
Discuss the criteria to be used by the above individuals in deciding which LLEA to notify if a call for help is received f rom a distant vehicle or if a scheduled call to report the location of a vehicle is not received.
20.2 Establishing Contacts Describe the system for establishing and maintaining contacts with law enforcement authorities at intervals along the shipping routes to provide assistance when requested if a shipment is threatened, attacked, or hijacked while en route or imperiled by strike.
20.3 Contact Renewals Describe the procedures for periodically reviewing (or reaffirming) the liaison with the LLEA to provide assistance, as needed, to ensure the continued security and safety of the shipments.
157 167 5.52-63
CHAPTER 21 TRANSPORTATION SECURITY AUDITS The purpose of this chapter is to describe the audit programs established to review periodically the applicability and adequacy of the Physical Security Plan for Special Nuclear Materials in Transit and to assess the compliance of current perforaance with the existing security requirements.
21.1 Ptogram Audit Describe the scope, extent, and frequency of planned periodic management audits to review the transportation security program for continued adequacy ic.d effectiveness.
Identify by organizational title the individuals assigned responsibility for conducting the eudits. Affirm that written audit reports will be prepared and submitted to facility manakement.
21.2 Co=pliance Audits, Provide a description of the monitoring program established to ensure compliance with existing regulations.
Identify by organizational title the individuals assigned r.asponsibility for conducting the audits. Affirm that written audit reports will be prepared and submitted to facility management.
9 5.52 \\fl
P UNITED STATES NUCLE AR REGULATORY COMMISSION W ASHING TON. O. C.
20555 PO1TAGE AND PEES PAID
[
VN'T E D STATES hutiEA8 OPPICI AL BUSINES$
{
PT N A LT Y POR PRIVATE USE, $ 300 O
157 169