ML20127C842
| ML20127C842 | |
| Person / Time | |
|---|---|
| Issue date: | 05/31/1991 |
| From: | NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | |
| Shared Package | |
| ML20127C789 | List: |
| References | |
| FOIA-92-327 NUDOCS 9301150009 | |
| Download: ML20127C842 (11) | |
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BECURITY PLAN STANDARD FORMAT AND CONTENT FOR THE PROTECTION OF CLASSIFIED MATTER DURING TRANSPORTATION FOR NRC LICENSEES, LICENBEE CONTRACTORS, AGENTS, AND OTHERS DIVISION OF SECURITY MAY 1991 U.S. NUCLEAR REGULATORY COMMISSION 9301150009 920908:
PDR -FOIA WALKER 92-327 PDR I l' r-f ~ _
' f SJ4MRITY PLAN STANDARD _ FORMAT AllD CONTENT FOR T11E PROTECTION OF QLASSIFIED MATTER DURING TRANSPORTATION FOR NRC LICENSEES LICENSEE CO_llTRACTORS . AGENTS. AND OTHERS CONTENTS Paae Forward................................................. 1
- 1. Facility................................................ I 1.1 Classified Shipping Address........................ 2
- 2. Description of Classified Matter........................ 2 2.1 Type of Classified Matter to be Handled............ 2 2.2 Description of Classified Matter.................. 2
- 3. Security Organization................................... 2
- 4. Protection of Classified Matter Prior to Shipment....... 2 4.1 Preparation of Classified Shipments................ 2 4.2 Use of Security Seals.............................. 3 4.3 Coordination........................................ 3 4.4 Shipping Papers / Manifest........................... 3
- 5. Protection of Classified Matter in Transit.............. 3 5.1 Transport Carrier.................................. 3-5.2 Identity of Drivers............................... 3 5.3 Security Requirements for Drivers.................. 3 5.4 Security Requirements for Trucks................... 4 5.5 Over-the-Road Reporting Requirements............... 4 5.6 Losses / Violations.................................. 5 5.7 Signature Receipts................................. 5 5.8 Identity Verification............................. 5 5.9 Inspections of Classified Shipments................ 6 6.- Routing................................................. 6 6.1 Primary Route...................................... 6 6.2 Alternate Route.................................... 6 6.3 Unplanned Detour.................................. 6
- 7. Advance Notification and Law Enforcement Liaison / Coordination... ................................ 7 7.1 Advance Notification............................... 7 L 7.2 Advance Arrangements and Coordination with l_ Law Enforcement.................................... 7 7.3 Telephone Numbers for: State and/or Local-Police.... 8 7.4 Instructions for Police in Evont of_ Emergency..... 8 j 7.5 - Letter to Law Enforcement.......................... 8
( 8. Instructions Package.................................... 9 l
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- SECURITY PLAN STANDARD FORMAT AND CONTENT FOR TliE PROTECTION 01 CLASSIFIED MATTER DURING TRANSPORTATLON FOR NRC LICENSEES, LICENSEE CONTRACTORS, AGENTS, AND OTHERS Forward When NRC licensee organizations that already possess NRC facility approval for the receipt and storage of classified information are required to transport classified equipment, a transportation security plan is required. The transportation security plan will identify and describe the procedures required to adequately protect classified matter from unauthorized disclosure during transit from its U.S. point of origin (i.e., once classified shipment is loaded onto a truck) to its final The destination in transportation accordance with 10 CFR Parts 25 and 95.
security plan need not address the handling of classified matter by U.S. Customs service (USCS) personnel since that will be addressed between NRC and USCS.
The Standard Format was written for the over-the-road If there is a potential for transportation of classified matter.
transporting classified matter via air, rail, or water, a '
security plan addressing those modes of transportation must be completed.
The transportation security plan should be initiated early in the security planning process to: 1) allow sufficient opportunity to identify transport carrier (s); 2) allow sufficient time for the personnel security processing for drivers and others; 3) identify adequate transportation routes; and 4) allow for contingency planning.
Content of Plan
- 1. Facility Identify the licensee or licensee-related organization which requires over-the-road transportation / shipment of classified matter. Include the division or department it' applicable.
Identify the activity that will occur at this facility and NRC's oversight responsibility (e.g., production facility subject to NRC licensing requirements).
Example: Ott Nuclear Co. Inc.
Nuclear Manufacturing Division 806 Bradford Street San Francisco, CA 94110 1
1.1 Classified Shipping Address Furnish the address, including zip code, to which classified matter will be shipped. Identify the personnel who are authorized to release and receive shipment.
- 2. Description of Classified Matter 2.1 Type of Classified Matter To Be Handled Identify the type of classified matter (i.e., National Security Information (NSI) and/or Restricted Data (RD)) to be transported.
2.2 Description of Classified Matter Provide a general unclassified description of the classified matter (e.g., centrifuge components) to be shipped. Identify the highest level and category of classified matter (e.g., Secret RD) involved.
- 3. Security _Orcanigation Describe the facility's organization responsible for the security of classified shipments.
- 4. Protection of Classified Matter Prlor to S,hipment 4.1 Preparation of Classified Shipments Classified matter containing NSI and/or RD will be prepared for -
shipment in accordance with the following:
- a. Classified matter will be prepared for shipment in such a manner that precludes access by unauthorized personnel, as long as the shipping container is closed, locked, and sealed.
- b. The shipping container shall contain the licensee's classified shipping address. No markings shall be affixed to the container which would indicate its classified content.
- c. A receipt containing an unclassified description of the classified matter, its identifying numbers, and the date of transfer shall be prepared and provided to receiving personnel to document the transfer.
Describe how these requirements will be met.
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4.2 Use of Security Scale Security seals will be used on shipping containers to facilitate the detection of tampering. The seals will be distinctively designed and serially numbered for easy identification. Describe the nature and use of-the security seals that will be used on shipping containers.
4.3 Coordination Explain in the plan how close coordination will be maintained between personnel at the point of origin, licensee personnel at the destination, and licensee security personnel as to the time of departure and the estimated time of arrival of the classified shipment.
4.4 Shipping Papers / Manifest Classified matter will not be released for shipment until licensee security personnel have reviewed and approved the shipping papers to determine completeness, accuracy and absence of classified information. The shipping papers shall be written in unclassified form, where possible. If shipping papers are classified they must be handled and protected in accordance with-10 CFR Part 95. Explain how this requirement will be met.
All classified components being shipped will be listed on the shipping manifest and given to the driver.
- 5. Protection of Classified Matter in Transit 5.1 Transport Carrier Identify the carrier responsible for transporting classified shipments.
5.2 Identity of Drivers Identify driver personnel who will be responsible for operating the vehicle to transport classified matter.
5.3- Security-Requirements For Drivers The following requirements pertain-to all drivers involved in transporting classified matter via truckload shipments:
- a. All drivers will possess an !!RC "Q" security clearance. (An 3
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l existing TOP SECRET security clearance from another government agency (e.g. , from the issuing agency) may be certiflod through !
NRC to the licenseo.) ,
- b. Ywo dedicated drivers will be used for each shipment. }
- c. All classified shipments vi: be direct with no stopovers or breaks except for food, fuel, tolophone reporting, and personal i rollof. At least one driver will maintain custody of the truck at all times.
Describe how those requirements will be mot.
S.4 Security Roquirements for Trucks The following requirements-portain to all classified shipments.
- a. All classified matter will be shipped in closed containers.
- b. Seals will be placed on all ca go doors by shipping personnel after cargo doors have boon locked. Seal numbers will be recorded and verified by authorized licensoo shipping personnel or their agents. Upon arrival at destination,' receiving licensoo personnel will record coal numbers. Rocciving personnel will then contact shipping personnel to verify that seal numbers on the truck are identical to the numbers recorded by the shipping personnel. Only rocciving personnel are authorized to break security seals. Ilowever, if law enforcement orders that scals bo .
broken for law enforcement reasons, the action must be documented (e.g., dato, time, and reason for destroying seal and identity of the officer requesting the action).
- c. In addition to the seals, all cargo doors will bo secured with high security key locks (e.g., Modeco or ASSA) approved by the NRC Division of Security. Two keys, one for each driver, will be authorized. Upon arrival at destination, the drivers must relinquish the keys to rocciving personnel.
Describe how those requirements will be mot. ,
5.5 Over-tho-Road Reporting Requirements The plan should state that drivers are required to report status by talophoning licensco personnel at the destination overy four hours while on route. Drivers-may uso either stationary telephones along the route or cellular -phones, if available.
This will enable facility personnel to monitor the statusLand progress of the shipment. The drivers will report by name, shipment identification, location, time, and status of cargo. -
The drivers will document the reporting requirements by ,
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completing a form that indicates the time of the call, status of the shipment, location, and the licensee personnel to whom status was reported. Records of such calls shall be maintained for three years after the call. Dreakdowns, delays, accidents, or detention by law enforcerent will be reported immediately. The licensee is required to maintain a communications center to monitor the shipment at all times. Each truck 'till be equipped with a citizens band radio for backup communication in the-event of an emergency (required only if a cellular telephone is not available).
Incorporate these requirements describing how they will be accomplished and verified.
5.6 Losses / Violations Any losses of classified matter, possible violations, or any other unlawful activity during transit must be reported immediately by the driver to licensee personnel. Licenseo personnel must immediately notify the appropt late NRC Regional office. Describe how this requirement will be met, b.7 Signature Re olpts A continuous signature receipt shall be used to document the !
chain-of-custody of the shipment from point of origin to its destination. The driver will sign for the shipment at the point of origin prior to departura. Upon arrival at the licensee facility, auth -ized licensee personnel will sign for the receipt of the shipment. Copies of all receipts shall be maintained by >
the licensee (e.g., the security officer) for three years after shipment. Explain how this requirement will be met.
5.8 Identity Verification Prior to releasing custody of a classified shipment to the transport carrier, licensee personnel or their agents at-the .
point of origin shall verify the identity / clearance of the driver i by comparing the driver's credentials against a list of authorized drivers maintained by the licensee. Upon arrival of classified shipment at its destination,-licensee personnel authorized to receive classified shipment will verify the identity / clearance of the driver against a listing of authorized drivers maintained by the-licensee. The driver will also verify the identity of receiving; personnel against a listing of licensee ;
personnel authorized to_ receive _ classified shipments maintained by the driver. Explain how this requirement will~be met.--
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l 5.9 Inspections of classified Shipments Upon arrival of a classified shipment at its destination, ,
licensee personnel will inspect the shipment against the shipping !
papers. Unresolved discrepancies shall be immediately reported to the appropriate NRC Regional office.
- 6. Routing 6.1 Primary Route Identify the primary route to be used for classified shipments.
The NRC will require the shipment to travel the most direct ,
route. The interstate highway system will be used where i practical since response capability by law enforcement patrolling interstate highways (e.g., state police) is much more rapid and Include the estimated travel :
effective than for local routes.
time from point of origin to destination.
6.2 Alternate Route Identify an alternate route to be used for classified shipments.
The alternate route should be used only if the primary route cannot be used. Include the estimated travel time from point of origin to destination.
6.3 Unplanned Detour During the course of a classified shipment, circumstances may arise that preclude the use of some portion of the primary or alternate route for an extended period of time. In this case, a detour from the primary and alternate route may be taken provided that the following criteria are met:
o a. The driver establishes that the primary route is. impassable or that road conditions along the primary route will_ result in a shipment delay of two hours _or more.
- b. The driver, establishes that the alternate route would be impractical,
- c. The driver establishes that the detour will most likely allow for uninterrupted travel until shipment is able to resume travel along primary or alternate route. -t
- d. - The licensee's communications center is notified of the detour,
- e. The licensee notifies law enforcement along the detour route.
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- 7. Mv a n c cJ!ptMic at iona nd la w lnLo r emn ellt_Llairnnicoprflina tisn 7.1 Advance Notification The egional of fice having jurisdiction at the point of orig und destination will be given seven days advance notification for each classified shipment. Describe the method for notifying the appropriate NRC Regional Office.
7.2 Advance Arrangements and Coordination with Law Enforcement The licensee will coordinate with law enforcement agencies and weigh utation officials prior to the first shipment to provide for rapid law enforcement assistance in the event of an emergency or call for assistance. Advance coordination also assures that law enforcement is familiar with the nature of the shipment when responding to such calls.
Li9ensee personnel shall coordinate and explain the following to law enforcement:
- a. Classified nature of shipmenta
- b. Route of classified shipments
- c. Limitations on access to cargo by law enforcement officers
- d. Schedule of classified shipments
- c. Actions by law enforcement and responsibilities of driver if shipment is detained
- f. Weigh station activity
- q. Energency actions (e.g., traffic accident)
No further coordination is required as long as shipments are frequent and over the same route. However, if infrequent shipments are planned, (i.e., six months time lapse between shipments) the licensee must again coordinate with law enforcement.
If unplanned detours from the proposed route make it necessary for the classif,ied shipment to enter jurisdictions where previous law enforcement liaison was not made, the licensee shall immediately seek to determine telephone numbers and contacts for law enforcement in that jurisdiction.
NRC prefers that the state police be the primary law enforcement agency for liaison / coordination because it has broad jurisdiction. Coordination with local police with limited jurisdiction is secondary.
Explain how these requirements will be met.
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l 7.3 Telephone Numbers for State and/or Local Polico j Identify and confirm points of contact and telephone numbers at each law enforcement agency where liaison has been established. -
7.4 Instructions for Police in Event of Emergency A placard reflecting instructions to law enforcement officials as +
to notification of licensee personnel and protection of the cargo ,
in the event of an accident where drivers are incapacitated, ,
shall be affixed to rear of the truck.
The placard shall state the following:
LOCAL AUTHQRITIES PLEASE NOTE This vehicle contains cargo being shipped by-(name and address of facility)
In the event of an accident, call the following numbers (provide appropriate telephonn numbers)
PLEASE PROTECT THIS CARGO FROM UNAUTHORIZIQ l ACCESS 7.5 Letter to Law Enforcement The licensee will provide each driver of a classified shipment with a detailed letter to law enforcement that explains in unclassified terms the nature of the shipment and the limitations regarding access to the cargo and any classified shipping papers. .
The letter will-also identify the points of contact and telephone numbers for each law enforcement agency where liaison has'been
- established. The letter should also refer questions by detaining law enforcement officers to the points of contact identified in '
-the letter.
In the event-of an emergency, detention by law enforcement, or weigh station of ficials, the driver should produce the letter and 8
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t give it to the law enforcement officer. Describe how this requirement will be met.
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- 8. InntrXGlisns_PAchign carrier personnel will be required to maintain in their .
possession an Instructions Package for each classified shicment. !
The Instructions Package is something (e.g., a notebook or ,
envelope) that a driver can refer to when-circumstances would require deviation from normal or routine procedures. For e example, the Instructions Package would contain information regarding alternate routing, instructions for an unplanned detour, and the letter to law enforcement. It need only be referred to when circumstances warrant.
The Instructions Package shall be provided to the driver immediately prior to departure by licensee releasing personnel and relinquished to licensee receiving personnel upon-arrival.
Receiving personnel should return the Instructions Package to appropriate licensco personnel at the point of departure for reuse, ,
Explain how this requirement will be mot.
NOTE: Carrier personnel will observe and obey all transportation regulations and traffic laws. Nothing in this plan will relieve responsibility in that regard.
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