Regulatory Guide 5.43
| ML003740010 | |
| Person / Time | |
|---|---|
| Issue date: | 01/31/1975 |
| From: | Office of Nuclear Regulatory Research |
| To: | |
| References | |
| RG-5.43 | |
| Download: ML003740010 (5) | |
January 1975 U.S. ATOMIC ENERGY COMMISSION
REGULATO
DIRECTORATE OF REGULATORY STANDARDS
Y GUIDE
REGULATORY GUIDE 5.43 PLANT SECURITY FORCE DUTIES
A. INTRODUCTION
responsible for maintenance of security devices, who are the means by which the plant security plan is executed;
Paragraph (aX3) of §73.50 of 10 CFR Part 73 therefore, detailed assignment of specific duties and
"Physical Protection of Plants and Materials," requires responsibilities will assist the guards and watchmen in certain licensees to maintain and follow written security contributing to plant security.
procedures that document the structure of the licensee's security organization and that detail those duties of 2. Security Force Duties: Guards and Watchmen guards, watchmen, and other individuals responsible for security required by 10 CFR Part 73. This guide The duties of facility guards and watchmen can be provides criteria acceptable to the Regulatory staff categorized generally as follows:
relative to the organization of the plant security force a. Security tours and inspections, and duties of guards, watchmen, and other individuals b. Access control and searches of personnel, pack responsible for security. ages, and vehicles, c. Escort duties,
B. DISCUSSION
d. Alarm system testing, e. Alarm station duties and recordkeeping, and In development of the plant security plan, the f. Response to security incidents.
objective is to establish a security program compatible with health and safety considerations and compatible Frequent security tours by guards and watchmen with efficient operation of the plant. An organized serve as a deterrent by providing high visibility of the security force with a clearly designated chain of plant security force. Moreover, such tours offer a means command is an effective means of implementing that of continued inspection of security areas, physical program. Assignment of detailed responsibilities and barriers, and intrusion detection devices.
duties addressing a variety of routine and emergency Control of access is necessary to ensure that only situations to each member of the security force will duly authorized individuals and vehicles are permitted enable the security force to function effectively and within protected areas, vital areas, and material access provide the level of protection sought. areas.
Certain licenses are required by 10 CFR Part 73 to
1. Plant Security Organization routinely search individuals, packages, and vehicles for explosives, firearms, and incendiary devices and for In order to achieve an effective security organization, concealed special nuclear material. Such searches are it is important to have clearly designated management most effective when performed by individuals spe responsibilities that follow a logical chain of command. cifically assigned and trained for the task of searching.
Accordingly, charging an individual in upper manap- t Guards and watchmen usually perform the searches ment with overall responsibility for security poibcy at required at entrance points into a protected area and at the plant will facilitate establidument of an effective exit points from material access areas.
security organization. Visitors, vendors, and other nonemployees are Reporting directly to the upper management required to be escorted while within protected areas.
individual who has overall security responsibility may be Escort responsibility usually is taken by the employee individuals responsible for implenmentation of specific being visited. However, vehicle drivers, certain packages, portions of the plant security program. However, it is and, in some cases, individuals being taken into a plant the facility guards and watchmen, along with individuals my be escorted by members of the security force.
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0. Genel
Alarm systems and detection devices have to be the overall responsibility for the security of the plant.
tested frequently to verify that they are functioning This includes development and maintenance'of the plant properly. A member of the plant security organization is security plan, approval of detailed security procedures, usually assigned supervision of such systems and devices. the overall training and supervision of the guard force, Nonetheless, it is the individual guards and watchmen and the installation, maintenance, and testing of alarm who monitor, use, and respond to the detection systems, detection equipment, and communication equipment and alarm systems. Therefore, it will assist equipment.
security if they are familiar with the alarm systems and The plant security organization should incluce a they verify that detection equipment is functioning security manager who is directly responsible for the properly. Systems can be checked during the course of preparation of detailed security procedures, for training routine tours by guards o: watchmen. and maintaining the security force, for security shift The keeping of access logs, visitor registration, assignments, and for the maintenance of alarm systems, records of security tours and inspections, and records of detection equipment, and communication systems. The alarms and alarm testing is an essential element in an security shift supervisors should report to the security effective security program. Logs and records provide a manager, who in turn reports to the upper management necessary input to management review of plant security individual who has the overall responsibility for plant and can as well provide valuable information in the event security.
of a security or safety incident. Logs and records ame In addition, the plant security organization should usually maintained by individuals manning alarm have a member responsible for inspections of security stations and security area access points. personnel and equipment, for security personnel The licensee's security organization should be capable qualification, and for planning and asessing of periodic of maintaining plant security during a variety of security security audits, including scheduled and unscheduled incidents such as bomb threats, intrusion, attempted drills. This individual should be independent of the diversion or theft of SNM, attempted unauthorized security manager and should report directly to the upper transport of weapons or explosives into a security area, management individual who has overall security etc. Detailed statements of responsibilities and pro responsibility.
cedures dictated by the type of incident will assist the During emergency situations that may require plant plant security force in effectively coping with security employees not normally employed in a security function incidents without undue risks to themselves or others. to act as guards or watchmen, the security manager or Of special concern are the specific actions and security shift supervisor should have authority to assign procedures related to the use of firearms by members of such employees duties as appropriate. Any employees so the plant security force. Special nuclear material and designated should be properly trained and equipped as related facilities should not be looked upon as ordinary guards or as watchmen (we Regulatory Guide 5.20,
property since the theft of special nuclear material or "Training, Equipping, and Qualifying of Guards and sabotage of a nuclear facility would be inimical to the Watchmen").
public health and safety and the common defense and security. Accordingly, members of the guard force should be prepared to use their firearms rather than 2. Secuity Force Data: Gush" aid Watcamne permit the theft of special nuclear material or the sobotagp of a nuclear facility. As far as the Atomic a. Security Tours wi hmpectiow Conducled by Energy Commnison is aware, both acts would be Guards dmi WatehmaL
felonies under Federal law. Theft and diversion anr felonies under Sections 57 and 220 of the Atomic Security tours shhtild U planned so that no one Energy Act of 1954, as amended, 42 U.S.C. §§2077 area of the facility is toured Was frequently than once and 2272. Depending on the circumstances, sabotage is a every four hours. Tours should be conducted in a felony under 18 U.S.C. § §2155 or 2156. Attempts and random fashion and initiated at random times.
conspiracies to commit such acts are also felonies. To ensure rapid response to an alarm, at least one guard should be on tour at any time. Under most conditions, however, additional guards or watchmen
C. REGULATORY POSITION
should be an tour.
The tours should be utilized to inspect various A plaint security program that is structued as elements of security hardware. A guard or watchmen on sugested below, and that charges guards and watchmen a security tour should inspect fences, gates, locks, doors, with the duties cited below would be acceptable to the and building walls for integrity and evidence of Reulatory staff. intrusion. In addition, perimeter liBhting and interior lighting should be checked for inoperative fixturs, and I. emt Security Orxndos dear areas should be tInpected for items which could cover or held an Individua. Security faults observed on The plant security organization should be under the tours should be recorded and submtted to the on-duty direction of an individual in upper management who has security shift supervisor at the completion of each tour.
5.43.2
b. Access Control and Searching of Personnel, *watchman should check that package for concealed SNM
Packages, and Vehicles. unless exit is into a contiguous material access area. In most cases, verification by the guard or watchman of the Security personnel should execute the searches authenticity of the signature of an individual who is and should exercise access control as required by authorized to release packages from the material access
§ §73.50(c), 7 3.60(aX6), and 73.60(b) of 10 CFR Part area on an intact tamper-indicating seal* of a sealed
73. Regulatory Guide 5.7, "Control of Personnel Access package or container constitutes sufficient search for to Protected Areas, Vital Areas, and Material Access SNM concealed within the package or container.
Areas," describes access control procedures acceptable Prior to each shipment from the facility or receipt to the Regulatory staff. The search of personnel can be of a shipment at the facility, a security individual should conducted by a hands-oneither by the use of detection equipment or verify the absence of unidentified or unauthorized search. packages in the loading/unloading area, if such area is If the search is accomplished by use of detection located within the protected area.
equipment, it should be conducted in accordance with Road vehicles should be maintained under visual Regulatory Guide 5.7. The search for weapons and surveillance at all times when within a material access explosives should be by use of a metal weapon detector area. All vehicles, including licensee forklift trucks and and an explosive detector and should be conducted at other such nonrcad vehicles, exiting from any material entrance points into protected areas. The search for access area into a protected area should be searched by a concealed SNM should be conducted at material access guard or watchman for concealed SNM. A thorough area exit points by means of an SNM detector and a visual search, including the cab and engine area, aided by metal detector which is capable of detecting metallic a device capable of detecting SNM, should be performed shielding material (e.g., lead).* on each vehicle being searched for concealed SNM.
If detection equipment is not routinely used for personnel searches, or is not functioning, a guard or c. Escort Duties watchman stationed at the search point should conduct a hands-on search in lieu of using detection equipment. Only individuals specifically designated as "es The severity of the hands-on search should be in corts" by plant management should be allowed to act as accordance with the potential threat. A routine hands-on escorts. Such designation need not be limited to search for firearms and explosives should be conducted members of the licensee security organization. A call-in in the manner of a frisk or pat-down, as inoffensively as procedure should be employed to notify the security possible. A more thorough search is called for when shift supervisor of movement of individuals or vehicles there is reason to believe that the individual is concealing under escort when such movement is between buildings weapons, explosives, or special nuclear material. In such and when the escort responsibility is changed from one cases, a standard police search f-r "oncealed weapons escort to another.
should be performed.
If the search is a hands-on search or is conducted d. Alarm Testing by us of hand-held detectors, the individual performing the search should not be armed while the search is (1) Perimeter Intrusion Alarms. Perimeter intru conducted. A second guard or armed watchman should sion alarm systems should be inspected for performance be present during the search. by a security individual according to the frequency and Individuals such as local law enforcement officials methods indicated in Regulatory Guide 5.44, "Perimeter and AEC couriers who are responding to. a call for Intnudon Alarm Systems." The testing need not be done assistance or who are on site at the invitation of the in conjunction with a security patrol, but if so licensee and who are required to be armed as part of accomplished, only one or two segments of the system their duties need not be searched or required to check should be tested by any one guard or watchmian on tour their weapons upon entry into a protected area. per security tour to avoid the possibility of a real alarm Upon arrival of shipments into the protected area, -being masked by a test alarm. Any section of the alarm a guard or watchman should check each package being system being taken out of access modet or being placed delivered into the protected area for proper identifica in service following repair should be tested for proper tion and authenticity or should sumnon an authorized operation by a security individual.
individual to perform the check prior to removal of any (2) Interior Intrusion Alarms. A security indi packar from the loading dock or other point of vidual should be present to test or observe the test of an delivery. In no cue should a packae be taken directly into a material access area or vital area without such Identification and verification. *See Regulatory Guide 5.10, "Selection and Us of Presumre-Sensitive Seals on Containers for Onite Stoeqe of Prior to release of a package (including waste Special Nuclear Material," and Regulatory Guide 5.15, "Security packages) form the material access area, a guard or Seals for the Protection and Control of Special Nucimar MateriaL"
tAcoe mode means the condition that maintains the sstem
- See Regulatory Guide 5.27, "Special Nuclear Material sensitive to intrusion -but nhibits the audible (and in some cram Doorway Monitors." visible) annunciation of an alarm.
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interior intrusion alarm at the time the alarm is placed in procedures governing response should be such that the or taken out of the access mode or is placed in service security organization is capable cf:
folI'owuig installation or repair The security individual may be a watchman whose (nonsecurity) work station is (1) Preventing any successful theft or act of within the area protected. Observation of the test may sabotage by one or two armed individuals or a group of be accomplished by closed-circuit television (CCTV) in unarmed people.
Lieu of an attending guard or watchman. (2) Delaying the attack of an armed group up to squad size sufficiently long to allow notification of and e. Alarm Station Duties response by law enforcement authorities so that the The onsite central alarm station should be manned attempted theft or sabotage is thwarted or stolen by the security shift supervisor. That individual should material is promptly recovered.
know the status of all alarm equipment. The primary function of the security shift supervisor should be to (3) Defending itself in the event of a well-planned dispatch other security personnel to areas from which attack, executed in a disciplined and organized manner alarms have been received and to call for assistance from sufficiently well to communicate with law enforcement local law enforcement authorities (LLEA) if needed. In authorities to advise them of the attack and its scope addition to the security shift supervisor, other security and furnish information to be used as a basis for personnel may be stationed in the central alarm station. countermeasures and a properly escalated response by The individual(s) in the central alarm station should local, State or Federal counterforces either to prevent maintain communication with security personnel on removal of the material or recover it or to initiate tour to be advised immediately of any real or suspected appropriate postsabotage action.
breach of security.
The individual(s) in the central alarm station also In general, upon receipt of an alarm or other should observe (via CCTV) and control unattended indication of a possible security threat two armed access points. The security shift supervisor should have members of the licensee's security force should be the authority to dispatch guards and watchmen to dispatched to the area of the alarm. The individuals monitor areas where alarm systems temporarily are responding should assess the threat and apprise the inoperative and to call for repair of such systems. security shift supervisor of the extent of the threat, if any. If a threat exists, the individuals responding should An individual attending an alarm station other take no further action until assistance arrives from other than the central alarm station need not be a member of the plant security force. However, if an alarm sounds, he members of the licensee security organization or from law enforcement authorities, if needed. There may, of immediately should contact the individual in the central alarm station to be apprised of the situation. If unable to course, be circumstances in which the responding do so, he should contact the LLEA and advise them of individuals may need to take such action as self-defense the situation. Thus, he should have the responsibility to or defense of another, prior to arrival of assistance.
Observation of the protected area isolation zone and call for assistance if he cannot contact the onsite central alarm station.
other security areas via CCTV in certain situations can alleviate the necessity for dispatching guards to the area The security shift supervisor in the central alam of alarm and thus avoid exposing the responding guards station should oversee the recordkeeping activities of to attack.
the security force during his shift. He should personally log any alarm, unless this is done automatically, and Upon being advised of the existence and extent of should record the details of security force response to an a threat, the security shift supervisor should immediately alarm. The security manager should have overall notify law enforcement authorities and request appro responsibility for security force records. The individual priate action. The licensee security organization should observing unattended access points should record the. take action including the use of force (to the extent access data unless this is done automatically via key-card poss'ble under the laws of the State in which the facility reader or other automated access device. The security is located) appropriate to the threat as indicated above shift supervisor also should oversee the testing of while awaiting arrival of law enforcement personnel.
communication equipment. Above all, owing to the severe potential for harm to the The central alarm station should serve as a public health and safety and threat to the common command post during plant emergencies unless the defense and security of the United States, the station itself is threatened. Response by facility unauthorized removal of spedal nuclear material from personnel and outside assistance should be coordinated the facility or sabotage to the facility should be through the central alarm station. prevented. Any standing orders or policies of the licensee which prohibit the use of deadly force regardless f. Respome to Secrity Incidents of circumstances or which limit the use of the authority provided by law to employ firearms would be viewed as The size of the onsite security force, the contrary to the intention and purpose of the regulation deployment of the security force, and the security force requiring armed guards.
5.434
D. IMPLEMENTATION
proposes an alternative method for complying with specified portions of the Commission's .regulations, the The purpose of this section is to provide information method described herein will be used immediately in the to applicants and licensees regarding the Regulatory evaluation of submittals in connection with special staffs plans for utilizing this regulatory guide. nuclear material license, operating license, or con This guide reflects current regulatory practice. struction permit applications.
Therefore, except in those cases in which the applicant
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