Regulatory Guide 5.12

General Use of Locks in Protection and Control of Facilities and Special Nuclear Materials

ML003740035
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Issue date:	11/30/1973
From:	Office of Nuclear Regulatory Research
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RG-5.12
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November 1973 U.S. ATOMIC ENERGY COMMISSION

/

r~REGULATORY,

DIRECTORATE OF REGULATORY STANDARDS

GU IDE

REGULATORY GUIDE 5.12 GENERAL USE OF LOCKS IN THE PROTECTION AND CONTROL OF

FACILITIES AND SPECIAL NUCLEAR MATERIALS

A. INTRODUCTION

are diffieult to pick or manipulate, no lock can claim to Gmearnaiipuation proof." Because of the large variety of'

Paragraph 50.34c) of 10 CFR Part 50, "Licensing Iocks' ivailable, it is necessary to subdivide the discussion of* Production and Utilization Facilities," requires each "`on locks into the following types:.(1) combinat~ion, (2)

application for a liccn'se to operate a production or kcy, (3) electrical, and (4) pushbutton mechanical locks.

utilization facility and paragraph 70.22(b).of* 10 CIFR The discussion of each type includes ageneral section on Part '70. "Special Nuclear Material," requires. certain advantages and disadvantages, a section on control over applications for alicense to possess or use special nuclear the locks, and a section on the applicable standards and material (SNM) to include a physical security plan to specifications.

demonstrate how thc applicant plans to meet' the physical protection requirements of 10 CFR Part 73, I.: Combinatlon Locks

"~Physical Protection of Plants and Materials."

Paragraphs 50.54(p) and 70.32(e) require existing a. General. It ~is desirable that a combination licensees licensed under Part 50 and certain licensees ,lock be designed to afford a choice of a large number of licensed under Part 70 who have noit submitted a combinations. The number of combinations is physical security plan to submit such a plan to the 'Ict.ý miincd by the'number of tumbler wheels in the lock C~ommnission for approval. Section 73.40 of 10CFR Part mechanism and the number of graduations on the dial.

73 requires that certain licensees provide. physical High-quality locks 'usually have 100 divisions on the dial protectioni against industrial sabotage and against theft and -three tumbler wheels; such a lock is capable of of SNM at the fixed sites where licensed activities 'are providing a theoretical 10'- combina13tions, which in conducted. practice .reduces to -tens of thousand

s. Sonic

'Combination locks are made with four tumbler wheels, but it is considered that the added number of Locks are acceptable devices to be used in adhering combinations. possible does not proportionally impro%0

to the physical protection requirements identified above the security of the lock and does increase the to assist in controlling access to areas, facilities, and inconvenience~of,dialing the combination.

nmaterials through doors, gates, container lids, and similar material or personnel access points, and are Iconsidered It is.desirable for a combination lock to be essential components Of a physical barrier. This guide designed'so its,combinatlion can be easily changed but at provides criteria acceptable to the Regulatory Staff for the same time be tamper resistant. The combination of the selection and use of commercially available locks in ,some locks can be changed by disassembly of' the the protection of facilities and SNM. tumbler wheel, pack and relocation of screws or pins. In

,this method the effective number or combinations possible is res'trled. Another method involves taking

B. DISCUSSION

apart, the wheet pack and resetting an insert in each whiel.'Irhis method requires, substantial skill on the part Loicks are very important components of a physical of he operaf r. The most desirable method of changing barrier. Their effectiveness, however, lies in their use in a combination isty a special key which requires minimal conjunction with other security measures su6h as training o( the' operator and provides a mn'aximumn intrusion alarm systems and seals. Although some locks number of combinations. The special key is inserted in USAEC REGULATORY GUIDES Copies of publstid iuidt may be ebtseumd by he dwo.sons t~etmmsu Ruaouloory Guides we Issued to deoscrace and make ovallgtle go I.,. pubic

~efsmsd Ill IMwUS.

Attention: Ol,.ctor Ato= WcEoe

9RmltrySedre C

Wahngton. D.C. 20545.

-onlsn uset and suggestions for.

smathods, acceptabie to the. AIECRepulatory staff of implemesstinq Wecit 11a"no .4 spiosen waninthanI mmuade we encouraged amidshoulid be sen to the Sectotars, tim Comm111460's rem~lultlom. to 404ae~1 techniques musd by 1w staff on of alsoCotonissien, US. Atomic 6u.vCommission, Wedthngton. D.C. 20615, esmlueting specific problems or postulated accidmnts. or to provide guiqens. to Attention -Chilef.PublicProceedingsStff.

applicants. Regulatory Guides weanot substiwita hr mqgulshlons end N Noiipnm omth them, is not reclired. Mothoda end soltitons different fom thI wI Saoton The5guede am issued Imthe following tan broad divisions:

sheil umdswill be acceptable if tlmeylpow. a basis #or few findingi reQuisrte to m onmnen oa erit or lmcene by the Commintsion.

11wmiued I Power Rosctort 0. Products z. Remairds and Test Reactors

7. Transportaitoin

3. Fuels and Matalriela Pacilitres U. Occupat~onal Health Publasied gutdot vall be reme~nd pooodscsmly. es aopropo~ts. to accommnodate 4. Environmental end Sitime 9. Antitrust Revew"

commn"nt and somaelect no5wmnfornmotmn or esperlence. 5. Materials end Plant Protection SO.General

the hack of lhe lock case ito ,clea- the wheels from: their Combin;tlion locks can be set t) a single presenlt combinalion while a new combination Is number to simplify the daily chore ofopeni.g, but this imposed by dialing. is.a very poor practice since it reduces the se'urity olthe lock. Frequently four-wheel locks are set to only three The 'nhiaigi ii1 .*,el hocIti cans he different numbers for ease tf openin

g. This deifcats thw

'ovesIly de:rllhiilu l hy usig a tadiographic technique. purpose of the Iourth wheel but it is not considercd Rcsista*ce it'I his is o lallack is designcd into certain serious since the number of remaining combination locks by wi ilhilg nuilcials in Use munechanism that are choices is considered adequate. It is not reconinicnded

11111easily aadiogr: pMIed. V.g.. plastcS. thal one select combinations in common sequences and multiples of ten. It is also not generally recommended (Coihil a lioli locks are vulnerable to that the last number of a combination be set close to cemanpromise if the hack of the lock is readily available, zero because in some cases the lock can jam.

e.g.. when the lockable access is open. Removing the brck cover from the lock usually allows the combination c. Standards and Specificatiomn. A standard for to be determined. The combinations of some key-change three. or four-tumbler combination locks issued by locks can be changed directly when the lock is in the Underwriters' Laboratories, U,-768, "Combination open- position, while other must have the existing Locks,"' covers "combination locks designed for combination redialed to a different index when the attachment on doors of safes, cheits, vaults, and' the like access is in the open position to permit the combination to provide a means of locking the boltwork against change. The former type permits an intruder to make a unauthorized opening." Quality assurance provisions quick change of the combination to one of his own covering the description, examination, and testing of the choosing; this would permit him to enter following the product am included through the UL Label Service. A

closing of the lock and would deny entry to the user. Federal Specification issued for combination padlocks.

For these reasons it is desirable to protect the back of FF-P-IIOF, 'Padlock, Changeable Combination the lock by back plates or other devices. (Resistant to Opening by Manipulation and Surreptitious Attack),' 'Includes quality assurance provisions for High-quality combiination locks are designed design, materials, and performance testing.

for use in two basic forms: (I) in a lock case to be mounted on or into a door as a mortise or rim lock and

2. Key Locks

(2) as a padlock.

a. GeneraL As in the case of combination locks Protection against forcible attack of a mortise It is desirable for a key lock to be capable of being set elr rin-mounted lock can be increased if the lock is for a larp, number of different kiys. A high-quality provided with hardened steel plates and If the lock is six-pin lock with 10 key cutting levels per pin designed with relocking triggers or devices that deadlock potentially permits 106 different keys to be used.

the bolt or bolt-actuating mechanism. However, this large number of key cuts is not as useful as a larIp number of combinations because less Combination padlocks are not vulnerable to time.consuming techniques for defeating key locks .are the usual rapping techniques and are usually resistant to available. Nevertheless, there Is value In specifying at manipulation. However, common combination padlocks least 10 key cuts because it requires careful made of a *cast aluminum alloy are without great construction of the lock.

strength, have little resistance to forcible attack, and are not weather resistant. There are others that are weather It is important that the key 'c60 required to resistant but offer little protection against attack. open a lock (bitting of a lock) be changeable to permit changes whenever keys are lost or an employee having b. Combimtion Lock Control. The mint access to a key is reassigned to other duties or important aspect of lock control for comnbinatlon locks is the protection of the combination. It Is desirable to changb the combination of a lock every time that a 'Copvie nay be obtained from the offie and testing person who knows the combination no longer requires it stations of Underwriters' Laboratories, Inc located at the as a result of termination or reassignment of duties. This following addreses: 207 East Okle Street, Odcag, ill. 60611;

would assure that only those Individuals actually 333 Plnpften Road, North1kok., 1IL 60062; 1285 Waft required to gain access would know the combination. Whitman Road, Melille, I, N.Y. 11746; 1655 Scott BouevUrd, Santa Clara. Calif. 95050.

Losing the combination of a manipulation. IC6pies may be- obtained from busizess service centers of proof, wdl-dsigned lock in a high-rated door is an the General Services Adnin, Reglonal Omca located in expemive dtlation. This can be prevented by keeping a tih follwtg ili: = Miq,lieNew York, N.Y.;

record of the combination in another location which is Washin0om, D.C.; Ft. WWOmTex birce. Cob.; S&Ps

ranchc, Calif.; Atlanta, Ca.

G"C IVI; Kaxua City, Me as secure as the place protected by the lock. Los Arspim Calif.; Settile. Wash.

5.I12.2

terminated. ('hanging the hitting of a lock in' be c. Standards and Specifications. A standard t'oi accomplished usually by changing pins, wafers, or lcvers. key locks has been issued by Underwriters' Laboratories.

To case the task of a bitting change, some locks have UL-437, "Key Locks."' and lnclud quality assurance provisions through the UL. Label Service. Interim cores that are removable for replacement by means of a special key called a "control key." If all the locks in a Federal Specification FF-P-001480 (GSA-FSS),

given facility are keyed to the same.control key, the "Padlock, Key Operated (Resistant to Opening by Force, Pick, and Bypass Techniques)," 2 covers two locks are virtually master keyed because, with the core types of key-operated dead-bolt padlocks: the exposed removed, the problem of opening the lock is elementary. shackle and the ..shrouded shackle. (4ility assurance provisions concerning the design, materials, and Master keying is undesirable from a security point of view because disassembly and inspection of any qualification testing are included.

lock In the system by a competent person provides access to all the other locks in the master-keyed system, 3. Electric Locks and because termination of an employee who had access to a master key would require changing the bitting of all a. General. In the most popular electric locks, a locks set for his master key. The changing of the bitting signal generated by magnetized elements in a plastic card of a large number of locks can be costly, but the or by sequential activation of buttons is compared with convenience of master systems is such that there is a stored code to activate an electrically operated door strong pressure for using them. A compromise in this strike, in some cases the magnetic card, and pushbutton conflict between convenience and security may be to use systems are used in coincidence. Combined card and a nonmastered set of locks for protected areas, material pushbotton systems provide, in general, higher security access areas, vital areas, and access to vital equipment than card-only systems.

and to permit master key sets for other less sensitive areas. The advantages of the electric lock are isolation of the part containing the code from the It is necessary for a lock to have some r "posed part of the lock, versatility of programming, resistance to picking and impressioning (a method used afid ease of integration into alarm systems.

to prepare a key by the impressions of the bitting of a lock on a blank key). In general, this resistance can be Magnetic card systems have some of the provided by precision machining of the mechanisms or problems of common key locks because a lost or stolen by special design features such as side bars, odd-shaped card can be used by an unauthorized person. Howeve%,

pins or a large number of levers. reproduction of a card is more complicated than reproduction of a metal key.

Protection of key locks against forcible attack Pushbutton systems require memorization of can be enhanced by the use of hardened steel plates in front of the pins or side bars. a few digits, usually four, and require more time to operate than the magnetic card system. Although the It is essential for a bolt of a lock to be number of possible combinations usually is smaller than retained in the locked position by positive means (dead in the combination lock system, quality electric bolt). In some locks, the bolt isheld in a locked position pushbutton systems compensate for this by by a spring only. This permits. in the case of padlocks, incorporating devices which prevent trial and error the use of appropriate rapping or shimming techniques methods of surreptitious attack by activating an alarm and, in the case of door locks, the opportunity to after a number of unsuccessful attempts or by surreptitiously retract the bolt without the use of force. introducing a delay after each unsuccessful attempt which prevents operation of the lock for a short period b. Lock Control. The security of an access of lime.

control system based on key locks depends on complete denial of keys to unauthorized persons. It is essential to It is desirable for an electric lock to have the have a record of each key and the names of individuals capability for an easy change of combinations. The part to whom keys have been issued and to check all keys at of the lock where the combination is set and the housing periodic intervals. of the card reader (if the contents of the housing can reveal the combination) should be protected against A common weakness in mastered key systems tampering by tamper switches connected to the alarm is the lack ot accountability of lock cylinders. To correct system.

this situation, it would be necessary to require a control system involving the accountability of every mastered Generally, where electric locks are installed, a lock cylinder having the bitting in present use either for mechanical lock is also installed as a bypass. This lock the master or, in the case of removable cores, the control should be of a quality as discussed in the part on key key. locks in this guide.

5.12-3

b. Lock Control. The security ofan clectric lock protected and vital area perimeters, and for access to system depends on strict control or combinations and vital equipment in preference to key padlocks.

cards. The magnetic codes in the cards and the Combination padlocks should be used on dosed vehicles combinations need to be changed whenever an employee or containers holding SNM that are required to be having had access to them terminates or is reassigned. locked. Combination padlocks should be three-position.

Strict accountability of cards Is strongly recommended. dial type changeable-combination padlocks meeting Federal Specification FF-P-I I OF, "Padlock, Changeable c. Standards and Specifications. There are ('ombination (Resistant to Opening by Manipulation and currently no comprehensive standards or specifications Surreptitious Attack)." 2 covering electric locks. The reputation of the manufacturer, the specification 'for his product. and the 3. Key locks used in lieu of combination padlocks on experience of users must be carefully considered in their doors or gates to material access areas, in protected and selection and use. vital area perimeters, and for access to vital equipment should provide a high degree of resistance to opening by

4. Pushbutton Mechanical Locks force and tamper techniques and should meet Underwrite' Laboratories UL-437, "Key Locks."'

a. General. This is a type of combination lock utilizing mechardcal-pushbutton-activated linkages that 4., Key padlocks used in lieu of combination padlocks connect a gate with an external knob topermit opening on doch or, ptes to material access areas, In protected of the lock. In this lock it is difficult to design in and vital area perimeters, and for access to vital penalties for punching a wrong combination as is done in equipment should be of nugged and sturdy construction electric locks. Therefore, it is important to have a large and designed for outdoor use if necessary, and should number of possible combinations. meet Interim Federal Specification FF-P-001480 (GSA

FSS), "Padlock, Key Operated (Resistant to Opening by Provisions for easy change of combinations Force, Pick, and Bypass Techniques)."'2 are desirable. Some locks permit a new combination to be dialed in utilizing an Allen wrench when the lock is S. -ýtric locks should be used inside the protected open, a procedure similar to that for some combination area a, a means of access control only If a magnetic card locks. Others require the replacement of Internal parts to key syysezn is coupled with a pushbutton system and change the combination.  !' i,.d into the alarm system. This lock combination should have features that resist tampering with the combination-changing mechanism and that alarm after a The mechanical locks appear to be fairly resistant to concealed attack: however, more set number of errors in punching the combinations is information is needed on their resistance to forcible made.

attack. 6. Pushbatton mechanical locks are not recommended for use at this time because of the lack of comprehensive b. Lock Control. Similar to other combination standards and specifications against which the locks can locks, the combinations need to be changed when be evaluated.

employees having access to the combination terminate or arereassigned. 7. Mechanical locks used as panic locks on emergency exit. doors within protected area perimeters should be c. Quality Assurance. There are currently no operable only from the inside.

comprehensive standards or specifications for mechanical pushbutton locks. 8.. Combinations, keys and locks should be controlled, protected and changed in accordance with the following

C. REGULATORY POSITION

requirements:

The following guidelines are acceptable to the a. Combinations of locks or padlocks on Regulatory staff for the selection and use of locks in the repositories containing SNM or used to secure gates or protection of facilities and SNM: doors to material access areas, in protected and vital area perimeters, and for access to vital equipment should be I. Combination locks installed in solid doors such as known only to those authorized access to the material or those in vaults or vault-type rooms in protected areas to the area. They should be changed when repositories should he three. or four-position dial.type changeable. or areas are first placed in use, whenever a person combination locks meeting the Underwriters' knowing the combination no longer requires it as a result Laboratories Standard UL-768. "Combination Locks," of reassignment of duties or termination, whenever the for Group I locks.' combination may have been compromised, or at least twice every year. A record of the combinations of locks

2. Combination padlocks should be used when should be kept in a location that is secured by a practicable on doors or gates to material access areas, in combination lock.

b. Keys and cards to locks or padlocks on a mastered system, a complete remastering of the system containers holding SNM or used to secure ptes or doors should be conducted whenever a core, card, master or to material access areas and in protected and vital area control key, or a lock is lost or compromised.

perimeters should be issued only to persons authorized acss to the material or to the area. Keys or cards in use c. A record of all locks, cores, keys, and cards should be dcecked in at the end of each shift or should be maintained and kept in a location secured by a workday, and a log should be maintained showing keys combination lock. A physical inventory of locks, cores.

and cards, users, in and out times, and other pertinent keys, and cards should be conducted semiannually when inflrmation. Keys and cards should be recovered from the locks are used for protection of facilities and reassigned or terminating personnel. Locks should be bimonthly when the locks are used for the protection of immediately changed or cores replaced and an inventory SNM. Unused locks, cores, keys, and cards should be conducted whenever a core, key, or card is lost or stored in a location secured by a combination lock. A

r.ussing; the lock, care, key, or card has been specific individual at each site should be named aid compromised. or unrecorded keys or cards are found. In placed In charge of all locks, cores, keys, and cards.

5 12-5