Regulatory Guide 5.52: Difference between revisions

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{{Adams
{{Adams
| number = ML13064A079
| number = ML003739235
| issue date = 05/31/1975
| issue date = 12/31/1994
| title = Standard Format and Content for the Physical Protection Section of a License Application (for Facilities Other than Nuclear Power Plants)
| title = (Proposed Revision 3 Issued as DG-5004) Standard Format & Content of Licensee Physical Protection Plan for Strategic Special Nuclear Material at Fixed Sites (Other than Nuclear Power Plants)
| author name =  
| author name =  
| author affiliation = NRC/OSD
| author affiliation = NRC/RES
| addressee name =  
| addressee name =  
| addressee affiliation =  
| addressee affiliation =  
Line 10: Line 10:
| license number =  
| license number =  
| contact person =  
| contact person =  
| document report number = RG-5.052
| document report number = RG-5.052 Rev 3
| document type = Regulatory Guide
| document type = Regulatory Guide
| page count = 68
| page count = 12
}}
}}
{{#Wiki_filter:U.S. NUCLEAR REGULATORY COMMISSION                                                                                               May 1975 REGULATORY GUIDE
{{#Wiki_filter:EOU                  U.S. NUCLEAR REGULATORY COMMISSION                                                                   Reviision 3 SREGULATORY                                                                                    GUIC        Decembe r 1994 PE
OFFICE OF STANDARDS DEVELOPMENT
                                  OFFICE OF NUCLEAR REGULATORY RESEARCH
                                                      REGULATORY GUIDE 5.52 STANDARD FORMAT AND CONTENT
                                                          REGULATORY GUIDE 5.52 (Proposed Revision 3 was issued as DG-5004)
                                      FOR THE PHYSICAL PROTECTION SECTION
                                    STANDARD FORMAT AND CONTENT OF A LICENSEE
                                                  OF A LICENSE APPLICATION
              PHYSICAL PROTECTION PLAN FOR STRATEGIC SPECIAL NUCLEAR MATERIAL
                        (FOR FACILITIES OTHER THAN NUCLEAR POWER PLANTS)
                              AT FIXED SITES (OTHER THAN NUCLEAR POWER PLANTS)
                      USNRC REGULATORY GUIDES                                      Coriments should be sent to the Secretary of the Commission. U.S. Nuclear Regulatory Commission,      Washington. D.C, 20555. Attention  Docketing and Regulatory Guides are issued to describe and make available to the public methods acceptable to the NRC staff of implementing specific parts of the          Service Section.


Commission's regulations, to delineate techniques used by the staff in evaiu      The guides are issued in the following ten broad divisions ating specific problems or postulated accidents, or to provide guidance to appli cants. Regulatory Guides are not substitutes for regulations, and compliance        1. Power Reactors                      6. Products with them is not required. Methods and solutions different from those set out in    2. Research and Test Reactors          7  Transportation the guides will be acceptable if they provide a basis for the findings requisite to 3. Fuels and Materials Facilities      8. Occupational Healt"
==A. INTRODUCTION==
thy issuance or continuance of a permit or license by the Commission                4. Environmental and Siting            9. Antitrust Review Comments and suggestions for improvements in these guides are encouraged          5. Materials and Plant Protection      10 General at all times, and guides will be revised, as appropriate, to accommodate com meets and to reflect new information or experience. However. cumin-ts on          Copies of published guides may be obtained by written request indicating the this guide, it received within about two months after its issuance will b. par    divisions desired to the U.S. Nuclear Regulatory Commission Washington. D.C.
pleteness and detail if it addresses every applicable sec tion of 10 CFR Part 73, as does this regulatory guide.


ticularly useful -n evaluating the need for an early revision.                     20565. Attention: Director, Office of Standards Development
This regulatory guide describes the standard for                               Any information collection activities mentioned in mat recommended by the Nuclear Regulatory Com                                  this regulatory guide are contained as requirements in mission (NRC) for preparing physical protection plans                          10 CFR Part 73. The information collection require for formula quantities of strategic special nuclear mate                        ments in 10 CFR Part 73 have been approved by the rial (SSNM) at fixed sites other than nuclear power                            Office of Management and Budget, Approval No.


TABLE OF CONTENTS
plants. Formula quantities are sometimes referred to                            3150-0002.
                                                                                            PAGE NO.


INTRODUCTION .................................................                              5.52-11 Purpose and Applicability ..............................                                5.52-12 Use of the Standard Format .............................                                5.52-13 Style and Composition ...................................                              5.52-13 Physical Specifications of Submittals .................                                5.52-14 Procedures for Updating or Revising Pages .............                                5.52-15 Number of Copies ........................................                              5.52-15 Public Disclosure .......................................                              5.52-15 Compatibility ...........................................                              5.52-15 PRELIMINARY PHYSICAL SECURITY PLAN                                ........................  5.52-16 PART I OF THE PHYSICAL SECURITY PLAN FOR FIXED SITES .......                                5.52-17 CHAPTER 1                SITE AND FACILITY DESCRIPTIONS
as category I quantities of material. Guidance on the content of physical protection plans is also provided in                                  B.   FORMAT OF THE PHYSICAL
1.1  General Layout ...........................................                              5.52-18
                                                                                                    PROTECTION PLAN
    1.1.1  Local Law Enforcement Authorities ...............                              5.52-18
this regulatory guide.
    1.1.2  Alarm Stations ..................................                              5.52-18 CHAPTER 2 DESIGN OF STRUCTURES, SYSTEMS,
                                      COMPONENTS, AND EQUIPMENT
2.1  Design Information .......................................                              5.52-19
2.2  Design Considerations ...................................                              5.52-19
      2.2.1  Design          Basis Incident ............................                    5.52-19
      2.2.2  Design          Bases .....................................                    5.52-20
      2.2.3  Design          Criteria ..................................                    5.52-20
      2.2.4  Design          Features ..................................                    5.52-20
      2.2.5  Design          Relationships ............................                      5.52-20
2.3  General Criteria ........................................                              5.52-20
      2.3.1  Assurance of Quality ............................                              5.52-21
      2.3.2  Process, Components, and Material Isolation ....                                5.52-21
      2.3.3  Equipment Design and Placement .................                                5.52-21
      2.3.4  Inspection and Test Capability .................                                5.52-21
                                                              5.52-3


TABLE OF CONTENTS          (Continued)
This document is divided into two major parts.
                                                                                        PAGE NO.


2.4  Specific Criteria        .....................................                      5.52-21
The requirement for a physical protection plan is                        The first part describes the physical protection plan included in the regulations for physical protection of                         format, and the second part outlines the elements of a licensed activities against theft and radiological sabo                        physical protection program that should be described tage of formula quantities of SSNM, which are in                                in the physical protection plan.
    2.4.1  Physical Barriers ..............................                            5.52-21
    2.4.2  Plant Isolation ..................................                          5.52-22
    2.4.3  Protective Lighting ............................                            5.52-22
    2.4.4  Personnel, Package, and Vehicle Control .......                              5.52-22
    2.4..5 Shipping and Receiving ...........................                          5.52-23
    2.4.6  Surveillance Capability ........................                            5.52-23
    2.4.7  Communications ....................................                         5.52-23
    2.4.8  Emergency Monitoring Capability ................                            5.52-23
    2.4..9 Intrusion Alarm System .........................                            5.52-23
    2.4.10 Storage of SNM ...................................                          5.52-24 CHAPTER 3                    QUALITY ASSURANCE
3.1  Quality Assurance During Design and Construction .....                              5.52-25
    3.1.1  Organization ...................................                            5.52-25
    3.1.2  Quality Assurance Program .....................                              5.52-26
    3.1.3  Design Control .................................                            5.52-26
    3.1.4  Procurement Document Control ....................                            5.52-26
    3.1.5  Instructions, Procedures, and Drawings ........                              5.52-26
    3.1.6  Document Control ...............................                            5.52-27
    3.1.7  Control of Purchased Material, Equipment, and Services ......................................                          5.52-27
    3.1.8  Identification and Control of Materials, Parts, and Components ...........................                            5.52-27
    3.1.9  Control of Special Processes ..........                          .....      5.52-27
    3.1.10 Inspection .....................................                            5.52-27
    3.1.11 Test Control .....................................                          5.52-28
    3.1.12 Control of Measuring and Test Equipment .......                              5.52-28
    3.1.13 Handling, Storage, and Shipping ................                            5.52-28
    3.1.14 Inspection, Test, and Operating Status ........                              5.52-28
    3.1.15 Nonconforming Materials, Parts, or Components .......................................                          5.52-28
    3.1.16 Corrective Action ...............................                            5.52-28
    3.1.17 Quality Assurance Records .....................                              5.52-29
    .3.1.18 Audits ........................................                        .    5.52-29
3.2  Quality Assurance Program for System Operation ........                        ..  5.52-29
                                                          5.52-4


TABLE OF CONTENTS                    (Continued)
10 CFR Part 50, "Domestic Licensing of Production If the format in this guide is used, the applicant and Utilization Facilities"; Part 70, "Domestic Licens should follow the numbering system used in Section C,
                                                                                                      PAGE NO.
ing of Special Nuclear Material"; and Part 73, "Physi
                                                                                "Physical Protection Plan Contents." Under some cir cal Protection of Plants and Materials." Specific re cumstances, certain subsections may not be applicable quirements for licensees possessing formula quantities                          to a specific application. If so, this should be clearly of SSNM are found in 10 CFR 73.20, 73.45, and stated and sufficient information should be provided to
73.46.


CHAPTER 4                  SECURITY ORGANIZATION
support that conclusion.
4.1 Management Organization .................................                                          5.52-30
4.2 Security Organization .........                                .......................              5.52-30
4.3 Security Personnel... ...................................                                          5.52-30
    4.3.1    Qualification ....................................                                        5.52-30
    4.3.2    Screening ......................................                                          5.52-30
    4.3.3    Training Program ................................                                        5.52-31
    4.3.4    Tests and Records ................................                                        5.52-31
4.4 Security Equipment ....................................                                            5.52-31
4.5 Posts and Patrol ........................................                                          5.52-32
4.6 Drills ................................................                                            5.52-32 CHAPTER 5            SECURITY AREAS
5.1 Protected Areas .........................................                                          5.52-33
    5.1.1    Physical Barriers ................................                                        5.52-33
    5.1.2    Isolation Zones ..................................                                        5.52-34
5.2 Vital Areas and Material Access Areas ................                                              5.52-34
    5.2.1    Exterior .........................................                                        5.52-34
    5.2.2    Walls, Floors, and Ceilings ....................                                          5.52-34
    5.2.3    Points of Ingress and Egress ..................                                          5.52-35
    5.2.4    Vaults .........................................                                          5.52-35 CHAPTER 6              ACCESS CONTROLS
6.1 Badge System ............................................                                          5.52-36
    6.1.1    General Description ..............................                                        5.52-36
    6.1.2    Types of Badges ..................................                                        5.52-36
    6.1.3    Coding .............................................                                      5.52-36
    6.1.4    Control System ...................................                                        5.52-36
    6.1.5    Utilization ......................................                                        5.52-36
6.2 Access Authorization ....................................                                          5.52-37
                                                              5.52-5


TABLE OF CONTENTS    (Continued)
Conformance to the format and content of the                                  The applicant may wish to submit information in physical protection plan presented in this guide is not                        support of an application that is not required by the required by the NRC. The physical protection plan                              regulations and is not essential to the description of the may be submitted for NRC review and approval in an                              applicant's physical protection program. This informa alternative format that provides an equal level of com-                        tion, which should be relative to the plan, could USNRC REGUIATORY GUIDES                                The guides are Issued In the following ten broad divisions:
                                                                                      PAGE NO.
Regulatory Guides are Issued to describe and make available to the public such information as methods acceptable to the NRC staff for implement ing specific parts of the Commission's regulations, techniques used by
                                                                                1. Power Reactors                   


6.3 Access Registration ..................................                            5.52-37
===6. Products===
6.4 Personnel Escort .....................................                            5.52-37
                                                                                2. Research and Test Reactors        7. Transportation the staff in evaluating specific problems or postulated accidents, and         3. Fuels and Materials Facilities     8. Occupational Health data needed by the NRC staff in Its review of applications for permits and
6.5 Personnel Access .....................................                            5.52-37
                                                                                4. Environmental and Siting          9. Antitrust and Financial Review licenses. Regulatory Guides are not substitutes for regulations, and corn    5. Materials and Plant Protection pliance with them is not required. Methods and solutions different from
    6.5.1      Protected Areas ................................                      5.52-37
                                                                                                                    10. General those set out In the guides will be acceptable If they provide a basis for the findings requisite to the issuance or continuance of a permit or license by    Copies of issued guides may be purchased from the Government Printing the Commission.                                                               Office at the current GPO price, Information on current GPO prices may This guide was Issued after consideration of comments received from the        be obtained by contacting the Superintendent of Documents, U.S.
    6.5.2       Vital Areas and Material Access Areas .........                        5.52-38
6.6 Vehicle Access .......................................                            5.52-39
    6.6.1      Vehicle Access Points .........................                        5.52-39
    6.6.2      Protected Areas ...............................                        5.52-40
    6.6.3      Material Access and Vital Areas ...............                        5.52-40
6.7 Keys,    Locks,           and Combinations .........................              5.52-40
    6.7.1      Types and Kinds of Locks .......................                      5.52-40
    6.7.2      Keys ..........................................                        5.52-40
    6.7.3       Combinations ..................................                        5.52-41 CHAPTER 7                INTRUSION AND DETECTION DEVICES
7.1 Design and Performance Characteristics ...............                              5.52-42
7.2 Isolation Zone Monitoring ............................                            5.52-43
7.3 Annunciators ...........................................                          5.52-43
7.4 Emergency Power .......................................                            5.52-43
8.1 Facilities...........................................
                                                                                      5.52-44
8.2 Staffing .............................................
                                                                                      5.52-44
8.3 Alarm Equipment ......................................
                                                                                      5.52-44
8.4 Communication Systems ................................
                                                                                      5.52-44
    8.4.1      Telephones ....................................
    8.4.2      Local Communications ..........................                        5.52-44
    8.4..3    Radio Communications ...........................                        5.52-44
                                                                                      5.52-45
                                                            5.52-6


TABLE OF CONTENTS                  (Continued)
public. Comments and suggestions for improvements In these guides are        Government Printing Office, Mail Stop SSOP, Washington, DC
                                                                                                PAGE NO.
encouraged at all times, and guides will be revised, as appropriate, to        20402-9328, telephone (202)512-2249.


CHAPTER 9                RESPONSE TO SECURITY CONTINGENCIES
accommodate comments and to reflect new information or experience.
9.1  Organization and Procedures ............................                                    5.52-46
    9.1.1  Security Threats and Alarm Annunciations ......                                      5.52-46
    9.1.2  Other Contingencies .............................                                    5.52-46
9.2  Action Response .........................................                                    5.52-47
    9.2.1  Size and Composition of Forces ................                                      5.52-47
    9.2.2  Arrangements .....................................                                    5.52-47 CHAPTER 10                LOCAL LAW ENFORCEMENT AUTHORITIES
10.1 Size of Force .........................................                                      5.52-48
10.2 Kind of Assistance ......................................                                    5.52-48
10.3 Arrangements ............................................                                    5.52-48 CHAPTER 11                      REPORTS TO THE NRC
11.1 Incidents ............................................                                      5.52-49
11.2 Unusual Occurrences .................................                                  ; .  5.52-49
11.3 Security Plan Changes ...................................                                    5.52-49 PART II OF THE PHYSICAL SECURITY PLAN FOR FIXED SITES .....                                      5.52-50
                          CHAPTER 12                      TESTS AND INSPECTIONS
12.1 Physical Barriers and Access Points ..................                                      5.52-51
12.2 Alarms and Annunciators .................................                                    5.52-51
12.3 Contraband Detectors ....................................                                    5.52-51
12.4 Communications ..........................................                                    5.52-51
12.5 Other Security-Related                      Equipment .....................                5.52-51
12.6 Special Procedures ......................................                                    5.52-51
                                                            5.52-7


TABLE OF CONTENTS (Continued)
Written comments may be submitted to the Rules Review and Directives          Issued guides may also be purchased from the National Technical Infor Branch, DFIPS, ADM, U.S. Nuclear Regulatory Commission, Washing              mation Service on a standing order basis. Details on this service may be ton, DC 20555-0001.                                                          obtained by writing NTIS, 5285 Port Royal Road, Springfield, VA 22161.
                                                                                        PAGE NO.


CHAPTER 13                  SECURITY RECORDS
include, for example, historical data submitted in dem          Paper Margins onstration of certain criteria, a discussion of alterna                A margin of no less than 2.5 cm or 1 inch is to be tives considered by the applicant, or supplementary            maintained on the top, bottom, and binding side of all data regarding assumed models, data, or calculations.           pages submitted.
13.1  Security Tours,           Inspections,                 and Tests ..............  5.52-52
13.2 Maintenance ..........................................                             5.52-52
13.3  Alarm Annunciations ..................................                            5.52-52
13.4  Security Response....................................                              5.52-52
13.5  Authorized Individuals .................................                          5.52-52
13.6  Access To Vital Equipment and Vital Areas ...........                              5.52-52
13.7  Access To SNM and Material Access Areas .............                              5.52-53
13.8  Nonemployee Access .....................................                          5.52-53
13.9  Employees ..............................................                          5.52-53
13.10 Changes in    Security Plan Not Approved by the NRC ....                          5.52-53 CHAPTER 14                  SECURITY AUDITS
14.1  Program Audit ..........................................                          5.52-54
14.2  Compliance Audits ......................................                          5.52-54 PART III PHYSICAL SECURITY PLAN FOR SPECIAL NUCLEAR
        MATERIAL IN TRANSIT ................................                            5.52-55 CHAPTER 15                  SCOPE OF THE PLAN
                                        CHAPTER 16              PLANNING
16.1  Shipments Involving Common or Contract Carriers .....                              5.52-57
16.2  Transit Time ...........................................                          5.52-57
                                                          5.52-8


TABLE OF CONTENTS      (Continued)
It should be provided in an appendix to the plan.
                                                                                                PAGE NO.


16.3 Transfers ..................................................                            5.52-57
Printing STYLE AND COMPOSITION
          16.3.1    Shipments by Road .................................                          5.52-57
                                                                      Composition: text pages should be single-spaced.
          16.3.2    Shipments by Sea or Water......................                              5.52-57
    16.4 Secure Compartment                      for Shipments by Sea ...............            5.52-58
    16.5 En Route Storage ........................................                              5.52-58
  16.6 Communications                Planning .................................                5.52-58 CHAPTER 17            EQUIPMENT FOR THE PROTECTION OF SNM SHIPMENTS
  17.1 Vehicles for Shipments by Road .........................                                5.52-59
  17.2 Communications Equipment ................................                              5.52-59
        17.2.1 Shipments by Road or Rail .........................                            5.52-59
        17.2.2 Shipments by Road Involving Escorts ............                                5.52-59
  17.3 Seals and Locks .........................................                                5.52-59
  17.4 Containers ..............................................                                5.52-60
  17.5 Transport Vehicle Markings. ............................                                5.52-60
17.6 Security Personnel Equipment ...........................                                5.52-60
                                  CHAPTER 18                    SECURITY PERSONNEL
18.1 General Description .....................................                                5.52-61
18.2 Selection ...............................................                              5.52-61
18.3 Training .................................................                              5.52-61
18.4 Qualification ..........................................                                5.52-61 CHAPTER 19                  OPERATIONS
19.1 Communications            Operations ...............................                    5.52-62
                                                                5.52-9


TABLE OF CONTENTS (Continued)
A table of contents should be included for each                Type face and style: must be suitable for micro submittal.                                                      filming.
                                                                                      PAGE NO.


19.2 Escorts .................................................                      5.52-62
The applicant should strive for clear, concise pre              Reproduction: may be mechanically or photo sentation of information. Confusing or ambiguous                graphically reproduced. All pages of the text may be statements and general statements of intent should be          printed on both sides, and images should be printed avoided. Definitions and abbreviations should be con            head to head.
        19.2.1 Shipments by Road ................................                      5.52-62
        19.2.2 Shipments by Road or by Rail .....................                      5.52-62
        19.2.3 Export Shipments by Sea or by Air ..............                        5.52-62
  19.3 Monitors ................................................                      5.52-63
        19.3.1 Nuclear Shipment Not Scheduled for Transfer.....                        5.52-63
        19.3.2 Nuclear Shipment Scheduled for Transfer ........                        5.52-63
  19.4 Miscellaneous Shipper Responsibilities .................                        5.52-63
        19.4.1  Locking ..........................................                    5.52-63
        19.4.2  Notification of Consignee ......................                      5.52-64
        19.4.3  F.O.B. Shipments ................................                      5.52-64
        19.4.4  Arrangements to Obtain Information from Foreign Consignee ...............................                      5.52-64
        19.4.5 Notification of NRC .............................                        5.52-64
        19.4.6 Conduct of Trace Investigation ..................                        5.52-65
        19.4.7 Shipper Records ..................................                      5.52-65
  19.5 Miscellaneous Consignee Responsibilities ..............                        5.52-66
        19.5.1 Notifications ...................................                        5.52-66
        19.5.2 Consignee Records ................................                      5.52-66
        19.5.3 Import Shipments .................................                      5.52-66 CHAPTER 20                    LOCAL LAW ENFORCEMENT AUTHORITIES
  20.1 Notification of Local Law Enforcement Authorities .....                        5.52-67
  20.2 Establishing Contacts .................................                        5.52-67
  20.3 Contact Renewals .. ..                                                          5..........5...-
                                                                                      5.52-67 CHAPTER 21                    TRANSPORTATION SECURITY AUDITS
2
  11Pora      Audit.


21.2 CeAudits................
sistent throughout the submittal and consistent with            Binding generally accepted usage.
                                                                                      5.52-68
                                                                                      5.52-68
                                                                  5.52-10


INTRODUCTION
Pages should be punched for standard loose-leaf Whenever possible, duplication of information           3-ring binders.
      The Atomic Energy Act of 1954, as amended, directed the U.S. Atomic Energy Commission (AEC) to regulate the receipt, manufacture, production, transfer, possession, use, import, and export of special nuclear material (SNM) in order to protect the public health and safety and to provide for the common defense and security.      The Energy Reorganization 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 respect to the physical protection of special nuclear material in 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 enriched 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 protection section of an application and prescribes a standard format for presenting the information in an orderly arrangement.
should be avoided. Information included in other sec Page Numbering tions of the application may be covered by specific ref erence to those sections.                                              Pages should be numbered sequentially through out the main part of the document. Any appendices Where numerical values are stated, the number of        may be numbered separately if desired. Each page of significant figures should reflect the precision to which      the physical protection plan should contain a page the number is known. The use of relative values should          number, a revision number if applicable, and a date.


The license application that is submitted under 10 CFR 70.21(f)
be clearly indicated. Drawings, diagrams, and tables should be used when information may be presented                PROCEDURES FOR UPDATING OR REVISING
should include a section containing the information requested in Chapters
                                                                  PAGES
1 through 3 of this    Standard Format.   That section should be designated as the Preliminary Physical Security Plan.        In particular, design in- formation of the type requested in Chapter 2 is needed early in the licensing process to ensure that plant features needed to meet materials and plant protection requirements are included in the facility        design.
   more adequately or conveniently by such means.


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 grams or more computed by the formula:        grams = (grams contained U-235) + 2.5 (grams U-233 + grams plutonium).
These illustrations shbuld be located in the sections in             The updating or revising of data and text should be which they are first referenced. Care should be taken          on a replacement-page basis.
                                      5.52-11


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.
to ensure that all information presented in drawings is legible, that symbols are defined, and that drawings are              The changes or revised portions of each page not reduced to the extent that they cannot be read by          should be highlighted by a vertical line. The line should unaided normal eyes.                                            be on the margin opposite the binding margin for each line changed or added. All pages submitted to update, PHYSICAL SPECIFICATIONS OF                                      revise, or add pages to the report are to show the date SUBMITTALS                                                      of the change. The transmittal letter should include an index page listing the pages to be inserted and the All material submitted in an application should          pages to be removed. When major changes or addi conform to the following physical dimensions of page          tions are made, pages for a revised table of contents size, quality of papers and inks, numbering of pages,          should be provided.


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 to support 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.
etc.


As developments and changes in the nuclear industry occur, the Com- mission's requirements for information may need modification; revisions to the Standard Format will be made as necessary to accommodate these changes.
NUMBER OF COPIES
  Paper Size                                                            The applicant should submit the appropriate num ber of copies of each required submittal in accordance Text pages: Either the metric standard A4, which          with 10 CFR 50.4(b)(2)(ii) and 10 CFR 70.21.


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 transportation, or other special nuclear material operations involving the possession and use of uranium
is 210 mm by 297 mm, or the customary 8-1/2 x 11 inche
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 plutonium).    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
====s. PUBLIC DISCLOSURE====
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.
                                                                        The NRC has determined that public disclosure of Drawings and graphics: The metric A4 size or the details of physical protection programs is not in the
  8-1/2 x 11 inches is preferred; however, a larger size is public interest, and such details are withheld in accor acceptable provided the finished copy, when folded, dance with 10 CFR 2.790(d). Thus, the physical pro does not exceed the A4 size or 8-1/2 x 11 inches.


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.
tection section of each application should be submitted Paper Stock and Ink                                            as a separate enclosure. Other proprietary or classified Suitable quality in substance, paper color, and ink density for handling and for reproduction by micro information, for example, clarifying correspondence between reviewer and licensee, should be clearly iden tified and submitted in separate enclosures. Each such L1 filming.                                                      submittal of proprietary information should request ex-
                                                            5.52-2


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.
emption from public disclosure as required in 10 CFR                This section should also describe how the perform
2.790(b).                                                      ance capabilities outlined in 10 CFR 73.45 will be met through the establishment, maintenance, and arrange COMPATIBILITY
                                                                ment for a physical protection system.


5.52-12
The applicant should ensure that the physical pro              Further, this section should identify those portions tection plan is compatible with the other sections of the      of the facility physical protection system for which re application.                                                    dundant and diverse components are necessary in or SCHEDULE FOR SUBMITTAL                                          der to ensure adequate performance, as required by 10
                                                                CFR 73.20(b)(2). In general terms, the applicant The applicant should contact the NRC to deter should describe the subsystems and components to be mine a schedule for the submittal of the physical pro used to provide this redundancy and diversity and the tection plan.                                                  ways in which these subsystems and components are C.  PHYSICAL PROTECTION PLAN                          redundant and diverse.


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 type 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.
CONTENTS                                        Finally, this section should describe how the physi cal protection system is designed to ensure that the in The following sections describe, in general terms, tegrity of the system is maintained at all times.


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 some cir- cumstances certain subsections may not be applicable to a specific application.  If so, this should be clearly stated and sufficient infor- mation should be provided to support that conclusion.
the material and level of detail that should be included within a physical protection plan. The applicant's              3.    DESIGN BASIS THREAT (10 CFR 73.1)
physical protection plan should follow the organization and numbering system used in this Section C. The                    This section should affirm the intent to prevent, applicable sections of the regulations are cited for each      with high assurance, the theft of special nuclear mate section of the physical protection plan. Upon comple            rial by the threats described in 10 CFR 73. 1. The plan tion of the plan, the applicant should use this regulato        should also describe how measures used to protect ry guide as a checklist to ensure that each subject has        against theft of special nuclear material also provide been addressed.                                                protection against radiological sabotage.


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 alternatives considered by the applicant, or supplementary data regarding assumed models, data, or calculations.  This information should be provided as an appendix to the application.
1.  INTRODUCTION AND SCHEDULE FOR                            4.    SECURITY ORGANIZATION
      IMPLEMENTATION
                                                                4.1 Establishment of Security Organization (10
      This section should state the corporate name of                CFR 73.46(b) (1))
the applicant, the facility name, and the location of the This section should state whether the security facility. The applicant should describe the type of facil ity to be operated and the general layout of the facility      organization is private or contract. If contract, this sec and its surrounding area. This section should include a        tion should briefly describe the written agreements map of the entire facility and other maps and illustra          between the licensee and contract guard force man tions as appropriate. The applicant should indicate on          agement that pertain to how the guard force will meet these maps the locations of physical protection sys            the requirements of Appendix B, "General Criteria for tems, subsystems, and major components; all material            Security Personnel," and Appendix H, "Weapons access areas; vital areas; vaults; entry/exit control          Qualification Criteria," to 10 CFR Part 73.


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.
points; and alarm stations.                                    4.2 Security Organization Management (10 CFR
      This section should also describe the schedule for              73.46(b)(2) and (3))
implementing the physical protection plan, with special              This section should describe the structure and attention to those portions involving new construction,        management of the security organization, including significant physical modification of existing structures,      uniformed security personnel and other persons re or major equipment installation that may require ex            sponsible for security-related functions. This section tensions of time. For approved plans, the scheduling of        should contain a description of each supervisory and upgrades or new construction should be addressed in            management position, including responsibilities and this section on a case-by-case basis.                          how lines of authority extend up to facility and corpo rate management.


Style and Composition A table of contents should be included in each submittal.
2.  GENERAL PERFORMANCE OBJECTIVES
      (10 CFR 73.20(a) and 73.20(b)(1), (2), (3),                    This section should affirm that written security and (4))                                                  procedures will be used and that provisions for written approval of such procedures and any revision thereto This section should describe, in general terms, will be developed and used.


The applicant should strive for clear, concise presentation of information.  Confusing or ambiguous statements and general statements of intent should be avoided.   Definitions and abbreviations should be consistent throughout the submittal and consistent with generally accepted usage.
how the physical protection program will have, as its objective, high assurance that activities involving spe              This section should also affirm that at least one cial nuclear material are not inimical to the common          full-time member of the security organization with the defense and security and do not constitute an unrea            authority to direct the physical protection activities of sonable risk to the public health and safety.                 the security organization will be on site at all times.


Wherever possible, duplication of information should be avoided.
5.52-3


Thus, information already included in other sections of the applications may be covered by specific reference to those sections.
4.3 Qualification for Employment in Security                    "* Current security procedures until the NRC termi
      (10 CFR 73.46(b)(4) and (5))                                  nates the license for which these procedures were developed; if any portion of these procedures is This section should affirm that an approved guard superseded, the superseded material should be re force training plan in accordance with Appendices B
                                                                    tained for 3 years after the change.


Where numerical values are stated, the number of significant figures should reflect the accuracy or precision to which the number is known.
and H to Part 73 is in effect.


The use of relative values should be clearly indicated.
"* Results of qualification and requalification for se In addition, the plan should describe how the li              curity force members; the documentation should censee will demonstrate the ability of physical security            be retained as a record for 3 years after each quali personnel, whether licensee or contractor employees,                fication and requalification.


5.52-13
to carry out their assigned duties or responsibilities upon the request of an authorized member of the                "* Results of weapons qualification and requalifica NRC. The plan should also affirm that, within any giv                tion for firing; the results should be retained as a en period of time (at least 1 work shift or 8 hours), a              record for 3 years after each qualification and re member of the security organization will not be as                  qualification.


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.
signed to or have direct operational control over more         "* Documentation of completion of training in re than one of the redundant elements of a physical pro                sponse tactics by members of the tactical response tection subsystem, if such assignment or control could              team; the documentation should be retained as a result in the loss of effectiveness of the subsystem.                record for 3 years after the training is completed.


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 that they cannot be read by unaided normal eyes.
"* Results of tactical response team and guard exer
4.4 Guard Force Training (10 CFR 73.46(b)(4),                        cises; such records should be retained for 3 years
      (7), and (8); II.E of Appendix B to 10 CFR                    after each exercise is completed.


Physical Specifications of Submittals All material submitted in an application should conform to the follow- ing physical dimensions of page size, quality of paper and inks, numbering of pages, etc.:
Part 73; and Appendix H to 10 CFR Part 73)
1.    Paper Size Text pages:  8-1/2 x 11 inches.
      In addition to the affirmation that an approved         


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.
===5. PHYSICAL BARRIERS===
guard force training plan is in effect (see Section 4.3 above), this section should include a description of the      5.1 General Layout (10 CFR 73.46(c)(1))
qualification and requalification program for guards                This section should describe facility material ac and tactical response team (TRT) members in firing            cess areas (and vital areas, if applicable) with regard to with assigned weapons. For TRT members only, in                their locations and functions and, in general terms, clude a description of the training program in response        should describe the spatial relationship between re tactics.                                                      quired barriers at the protected area and material ac cess areas.


2.   Paper Stock and Ink Suitable quality in substance, paper color, and ink density for handling and for reproduction by microfilming.
4.5 Security Force Armament and Equipment
        (10 CFR 73.45(g)(3) and 73.46(b)(6))                    5.2 Protected Area Barriers (10 CFR
                                                                      73.45(f)(1)(i), 73.46(c)(1) and (2))
      This section should affirm that every guard and tactical response team member will be armed and                     This section should identify the physical barriers should describe the armament assigned to members of            (including entry/exit points during both opened and the security force by position title. In addition, equip        closed conditions) at the protected area boundary.


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.
ment to be used by members of the security force in            This should include a physical description of the barri providing effective response capabilities should also be        ers and a discussion of the purpose of each barrier.


4.   Printing Composition:  text pages should be single spaced.
described.                                                      5.3 Vehicle Barriers (10 CFR 73.45(O(1)(i) and
                                                                      73.46(c) (1))
  4.6 Force-on-Force Exercises (10 CFR
        73.46(b) (9))                                                This section should describe the location and placement of vehicle barriers about the protected area.


Type face and style: must be suitable for microfilming.
This section should describe how scenarios for            A physical description of the barrier system should be force-on-force exercises are developed, the design            included, along with information that substantiates that goals for conducting such exercises, and the frequency        the barrier can adequately counter the design basis ve of such exercises. This section should affirm that the        hicle. Vehicle control at entry/exit points should also NRC will receive a 60-day notice of one force-on-force        be described.


Reproduction:   may be mechanically or photographically reproduced.
exercise each year so that the NRC may observe the exercise.                                                      5.4 Material Access Area Barriers (10 CFR
                                                                        73.45(b)(1)(i) and 73.46(c) (5) (iii))
  4.7 Records (10 CFR 73.46(b)(3)(i), (4), (7),                        This section should describe the level of physical
        (8), and (9))
      This section should affirm that the following records will be maintained and retained and should de hardening for the walls, floors, and ceilings of the dif ferent types of material access areas at the site, for ex ample, materials used and Underwriter's Laboratory I
   scribe how they will be maintained and retained:              hardening level, if appropriate. The number, location,
                                                          -5.52-4


All pages of the text may be printed on both sides, and images should be printed head to head.
and type of entry/exit portals should be described.            6.    ACCESS CONTROL SUBSYSTEMS AND
Methods used to provide hardening of the portals                    PROCEDURES
(during opened and closed conditions) should be de scribed. Hardening of ventilation ducts or other open ings should also be described.                                6.1 Numbered Picture Badge Identification Systems (10 CFR 73.46(d)(1))
5.5 Security Posts and Structures (10 CFR                            This section should describe the numbered picture
      73.46(d) (4) (i))                                        badge identification system used at the facility. This This section should describe the location and pur        description should include a discussion of procedures pose of all permanent security posts and structures.          used for badging individuals with authorized unes The physical construction of structures used as security      corted access to the protected area and for individuals posts should be described.                                    not employed by the licensee but who require frequent and extended access to the protected are


5.   Binding Pages should be punched for looseleaf ring binding.
====a. Instruc====
5.6 Isolation Zones (10 CFR 73.46(c)(3))                      tions that badged individuals receive in proper badge procedures should also be described, along with proce This section should describe the location and size        dures for control of nonbadged emergency response of all isolation zones at the facility. The section should    individuals during emergency situations.


6.    Page Numbering Pages should be numbered by section and sequentially within the section.  Do not number the entire report sequentially.  (This entire Standard Format has been numbered sequentially because the individual chapters were too short for sequential numbering within each section to be meaningful.)
affirm that the zones will be maintained clear of ob stacles or structures.
                                  5.52-14


7.   Format References In the application, references to this Standard Format should be by chapter and section numbers.
6.2 Access to Vital Areas, Material Access
5.7 Illumination (10 CFR 73.46(c)(4))                                Areas, and Controlled Access Areas (10 CFR
                                                                      73.45(b)(2) and 73.46(d)(2))
    This section should describe the lighting system at the facility that ensures necessary illumination for all            This section should describe procedures for deter required monitoring, observation, and assessment              mining an individual's need for access to a vital area, activities.                                                    material access area, or controlled access area; proce dures for the distribution and maintenance of lists of
5.8 Storage of Strategic Special Nuclear                        authorized individuals; procedures for ensuring the Material                                                maintenance of the two-man rule within material ac cess areas; and procedures for ensuring that no activi
    5.8.1    Vaults (10 CFR 73.46(c)(5)(i))                  ties other than those that require access to strategic special nuclear material or necessary maintenance are This section should describe the purpose of each          permitted within material access areas. This section vault located within the facility and the wall, floor, and      should also describe methods used to visually identify ceiling construction of each vault. The location and            individuals who have authorized unescorted access to type of entry portal to the vault should be described.          vital areas, material access areas, or controlled access areas. This description should note differences in pro
    5.8.2 Tamper-Indicating Containers (10                    cedures, if any, between working and nonworking CFR 73.46(c) (5) (ii))                            hours (i.e., nights, weekends, and holidays) and nor This section should describe the construction and          mal versus emergency conditions.


Procedures for Updating or Revising Pages The updating or revising of data and text should be on a replace- ment page basis.
use of tamper-indicating containers in the storage of SSNM other than alloys, fuel elements, or fuel
                                                                6.3 Access Controls at the Protected Area assemblies.


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 line 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.
5.8.3    Process Material Access Areas (10                      6.3.1  Personnel (10 CFR 73.45(f)(1) and CFR 73.46(c)(5)(iii) and (iv))                                (2), 73.46(d)(4)(i) and (ii))
    This section should describe the purpose of each This section should describe how the licensee will process material access area at the site and the pro control all points of personnel access into the pro tection afforded SSNM (other than alloys, fuel ele tected area, under both normal and emergency condi ments, or fuel assemblies) while within these material tions. This description should include the methods access areas. Both physical and procedural protective used to identify individuals, methods used to verify in measures should be described.


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
dividuals' authorizations, methods used to verify emer gency conditions, and procedures for conducting
§70.21.
5.9 Storage of Enriched Uranium Scrap (10 CFR
                                                                searches of individuals for firearms, explosives, and in
      73.46(c) (6))
                                                                cendiary devices. Individuals exempted from any of This section should describe the locations used for      the aforementioned access controls should be de storage of enriched uranium scrap and the protection          scribed. The distribution and maintenance of authori (physical and procedural) afforded these locations.           zation lists should also be described.


Public Disclosure The NRC has determined that public disclosure of the details of physical protection programs is not in the public interest, and such details are withheld pursuant to Paragraph 2.790(d) of 10 CFR Part 2.
5.52-5


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.
6.3.2  Hand-Carried Packages (10 CFR                    6.4 Access Controls at Vital Areas, Material
            73.45(f)(1) and (2), 73.46(d)(3) and                    Access Areas, and Controlled Access Areas
            (5))
                                                                    6.4.1  Personnel (10 CFR 73.45(b)(2) and This section should affirm that the licensee will                      73.46(d) (9))
establish and follow written procedures that will permit This section should describe the methods used by access-control personnel to identify materials in hand the licensee to control all points of personnel access to carried packages that are not authorized entry to the material access areas, vital areas, and controlled ac protected area, during both normal and emergency cess areas, including methods used to verify identifica conditions. Further, this section should describe procedures for searching hand-carried packages at              tion and authorization. Personnel exit searches from material access areas should also be described.


Compatibility The applicant should ensure that the Physical Security Plan is compatible with the other sections of his application.
personnel and vehicle access points for firearms, ex plosives, and incendiary devices. The development,                  6.4.2  Material (10 CFR 73.45(b)(2) and distribution, and maintenance of lists of authorized (or
                                                                            73.46(d) (9))
unauthorized) materials should be described.


5.52-15
This section should describe procedures for verify ing material entry authorizations and procedures for
    6.3.3  Delivered Packages (10 CFR                        verifying quantity and type of materia


PRELIMINARY PHYSICAL SECURITY PLAN
====l. This section====
    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- mitted 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.
            73.45(f)(1) and (2), 73.46(d)(3)
            and (6))                                          should describe the procedures and equipment used to detect unauthorized materials that are hand-carried by This section should affirm that the licensee will es      authorized individuals or mailed or otherwise shipped tablish and follow written procedures that will permit          as part of an authorized shipment. Describe how con access-control personnel to identify materials in deliv        ditions differ between regular working hours and non ered packages that are not authorized entry to the             working hours (i.e., nights, weekends, and holidays).
protected area during both normal and emergency                      6.4.3 Vehicles (10 CFR 73.45(b)(2);
conditions. Further, methods used to check for proper identification and authorization should be described                          73.46(d)(3) and (9))
along with search procedures for firearms, explosives,                This section should describe methods used to con and incendiary devices. Any activities exempted from            trol all points of vehicle access (e.g., under both non the above procedures should be described. The devel            emergency and emergency conditions) to material opment, distribution, and maintenance of authorized            access areas, vital areas, and controlled access areas, (or unauthorized) materials lists should be described.        including the establishment and maintenance of written procedures that will permit access control per
      6.3.4 Vehicles (10 CFR 73.45(f)(1) and (2),              sonnel to identify those vehicles that are authorized
              73.46(d)(3), 73.46(d)(4)(i),                      entry to material access and vital area


For fixed sites, the preliminary plan should contain the information requested in Chapters 1 through 3.
====s. Vehicle exit====
              73.46(d) (7), and 73.46(d) (8))                  searches should-also be described.


5.52-16
This section should describe procedures used for          6.5 Material Access Area Exit Search of controlling all points of vehicle access (nonemergency                Contaminated Waste (10 CFR
and emergency) into the protected area and should de                  73.46(d)(10) and (12))
scribe how written procedures are established and fol This section should describe procedures and areas lowed that will permit access-control personnel to used for searching contaminated wastes coming from a identify vehicles that are authorized entry to the pro material access area.


PART I OF THE PHYSICAL SECURITY PLAN FOR FIXED SITES
tected area. The distribution and maintenance of these procedures should be describe
    This part of the Physical Security Planshould describe the basic security layout and organization of the facility (i.e, the vital equipment, vital 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.


5.52-17
====d. Search procedures of====
                                                                6.6 Shipment of Strategic Special Nuclear all vehicles requiring entry to the protected area for                Material Offsite (10 CFR 73.46(d) (11)
firearms, explosives, and incendiary devices should                  and (12))
also be described. Any vehicles exempted from the aforementioned procedures should be described. Pro                  This section should describe containers and areas, cedures used for escorting vehicles within the pro              as well as procedures, used for shipping strategic spe tected area and areas where vehicles may have access,          cial nuclear material offsite.


CHAPTER 1  SITE AND FACILITY DESCRIPTIONS
along with the purpose for the access, should be de            6.7 Escorts and Escorted Individuals (10 CFR
      This chapter should describe the site and identify facility strucures and security areas, with emphasis on physical protection features.
scribed.


1.1  General Layout Provide scaled drawings showing the site location, the layout of all facility 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 scrap storage areas, natural terrain, landscaped areas, and the areas owned or exclusively controlled by the applicant.  Aerial photographs of the plant and surrounding terrain will be of assistance.
73.46(d) (13))
                                                                      This section should identify, by job function, those
      6.3.5    Designated Licensee Vehicle (10 CFR              individuals who may be designated as escorts and de
              73.46 (d) (8))
                                                                scribe procedures used for escorting individuals during This section should describe the control and use of       both routine and emergency situations. Such proce designated licensee vehicles within the protected area.        dures should describe individuals requiring escort,
                                                          5.52-6


1.1.1  Local Law Enforcement Authorities Include a diagram (e.g., a county map) showing the location of the facility in relationship to local law enforcement authorities.
badging procedures, training that escorts receive, and          7.4 Duress Alarms (10 CFR 73.46(e)(4))
recordkeeping.                                                       This section should describe the security stations and individuals that are provided with duress alarms.


1.1.2  Alarm Stations Include a diagram to identify the locations of the continuously manned alarm stations, and describe the stations.
6.8 Keys, Locks, and Combinations (10 CFR                      The type of duress alarms used should be described.


5.52-18
73.46(d) (14))
                                                                7.5 Central and Secondary Alarm Stations (10
      This section should describe licensee procedures                CFR 73.45(g) (5) and 73.46(e) (5))
for controlling all keys, locks, combinations, and re lated equipment used to control access to protected,                  This section should describe the location and con material access, vital, and controlled access areas.            struction of the central and secondary alarm stations.


CHAPTER 2    DESIGN OF STRUCTURES,   SYSTEMS,   COMPONENTS, AND EQUIPMENT
The description should include the circumstances un            Methods used for annunciation of required alarms der which such keys, locks, etc., are changed and pro           should be described, along with protection afforded cedures followed when an employee with access to                the stations, both procedural and physical, so that a such keys, locks, etc., terminates employment.                  single act cannot remove the capability of calling for assistance or responding to an alarm. The licensee should affirm that the central alarm station will not
           This chapter of the application should identify, describe, and discuss the principal design features of the structures, systems, com- ponents, and equipment important to physical protection.
6.9 Records (10 CFR 73.46(d)(3), (10), and
        (13))                                                  contain any operational activities that would interfere with the execution of alarm response functions.


2.1  Design Information 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 alter- natives under consideration, and the schedule for completing the design and for submitting the missing information.
This section should describe recordkeeping proce dures for (1) current written procedures that permit            7.6 Power Sources (10 CFR 73.46(e)(6))
access-control personnel to identify vehicles that are This section should describe types of security authorized and identify materials that are not autho equipment, including alarms, capable of being oper rized entry to protected, material access, and vital ar ated from independent power sources, the duration of eas, (2) findings of drum-scanning and tamper-sealing operation in the event of loss of normal power, and the of containers of contaminated wastes coming from ma indications given upon loss of normal power and terial access areas, and (3) the required log of escorted switchover to standby power. This section should also individuals.


The application should be modified prior to operation to describe in detail      the final  design of the plant, as well as the operation pro- cedures 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 operation.      The safeguards significance of each such change should be addressed.      The relation of the design bases to the design criteria should be described.
affirm that switchover to standby power will be auto matic and will not cause false alarms.


2.2  Design Considerations In this section briefly   discuss the design for the plant structures, systems, components, and equipment important to physical protection.              For each criterion,       a summary should be provided to show how the principal design features meet each of the criteria          in Sections 2.3 and 2.4.      Any exceptions to the criteria        should be identified, and justification    for each exception should be provided.         In the discussion of each criterion, refer to sections of the report where more detailed information may be presented.
7.    DETECTION, SURVEILLANCE, AND
      ALARM SUBSYSTEMS                                        7.7 Component Supervision (10 CFR
                                                                      73.46(e) (7))
7.1 Isolation Zone Penetration (10 CFR                              This section should describe the physical protec
        73.45(f)(1)(ii) and 73.46(e)(1))
                                                                tion afforded to alarm systems, including transmission This section should describe licensee commit            media, to ensure that the system is not being tampered ments for capabilities to detect penetration through re        with, compromised, or on standby power without the quired isolation zones. Generic equipment types, along        knowledge of the licensee. This section should de with associated detection capabilities, should be de            scribe the annunciation systems at the alarm stations scribed.                                                       and commit the licensee to indicate the status of all alarms and alarm zones in the alarm stations.


2.2.1      Design Basis Incident A "design basis incident" (DBI) is a postulated credible incident and the resulting conditions for which security-related equipment must meet its      functional objectives.
7.2 Emergency Exits (10 CFR 73.46(e)(2) and
        (5))                                                    7.8 External Protected Area Monitoring and Assessment (10 CFR 73.45(c) and This section should describe the location of all                73.46(e) (8))
emergency exits and describe the protection afforded                  This section should describe methods used to them.                                                          monitor all exterior areas within the protected area and the duration or periodicity of such monitoring.


5.52-19
7.3 Material Access Area and Vital Area Protec                  Criteria used in defining authorized and unauthorized tion (10 CFR 73.45(b)(1)(ii) and 73.46(e)(3))            activities and conditions within the protected area This section should describe protection afforded          should be described, along with methods for develop ing, maintaining, and distributing lists of authorized ac
  (1) unoccupied vital and material access areas, (2) the tivities and conditions.


2.2.2   Design Bases Design bases for a physical protection system should identify the function of the system in providing physical protection of special nuclear material or the plant.    For example, certain access control stations, physical barriers, and communications systems, etc., will make up the basic means for physical protection.
location of strategic special nuclear material within process material access areas, and (3) vaults and pro          7.9 Observation Methods within Material Access cess areas that contain strategic special nuclear materi              Areas (10 CFR 73.46(e)(9))
   al that has not been alloyed or encapsulated, including a description of procedures for access to these particu              This section should describe methods used to ob lar vaults and process areas. Generic equipment types          serve individuals within material access areas to ensure used to provide this protection, along with associated        that strategic special nuclear material is not moved to detection capabilities, should be described.                   unauthorized locations or moved in an unauthorized
                                                          5.52-7


2.2.3  Design Criteria Design criteria should define the design, fabrication, construction, testing, and performance characteristics associated with the respective design bases identified above for the principal physical protection system germane to plant protection and special nuclear material protection.
manner. The duration or periodicity of such monitor          ter initial installation, but before full-time operation).
ing should be described along with criteria used in          This description should include the purpose for and defining authorized and unauthorized activities and         the intended level of the testing and inspection pro conditions within the material access area. Methods          gram.


2.2.4   Design Features Design features should identify characteristics of the physical protection system and its parts that will permit the system to satisfy the design criteria.    Specific values or ranges of values of design parameters selected as reference bounds for design should be given.
for developing, maintaining, and distributing lists of authorized activities and conditions should be              9.3 Operational Tests (10 CFR 73.46(g)(3))
described.                                                         This section should describe the testing and main tenance program for (1) intrusion alarms, (2) emer
8.   COMMUNICATIONS SUBSYSTEMS                              gency exit alarms, (3) communications equipment, (4)
                                                            physical barriers, and (5) other physical-protection
8.1 Security Force Communications (10 CFR                    related devices and equipment, used pursuant to 10
      73.45(g) (4) and 73.46(f) (1))                        CFR 73.46, during routine operation. This description This section should describe how each guard,          should include the purpose for and the intended level watchman, or armed response individual on duty will          of the testing and maintenance program. In addition, be capable of maintaining continuous communications          specific methods for testing each type of equipment with the individual in each continuously manned alarm        should be included in the description, along with perio station. This section should also describe how the indi      dicity of testing.


These values may include constraints derived from the state of the technology or generally accepted practices for achieving functional physical protection objectives (such as detection system sensitivity, false alarm rate, and communication equipment capability).    Alternatively, these values may include requirements derived from analysis or investi- gation (e.g., calculations or experiments) of the effects of a design basis incident for which a system, structure, component, or equipment must meet its functional physical protection objectives (e.g., barrier charac- teristics and lighting).   For example, the protective lighting system that provides 0.2 foot candle of illumination may consist of a network of buried cables, photoelectric activators, mounted light sources, etc.,
vidual in each continuously manned alarm station will be capable of calling for assistance from other guards,      9.4 Preventive Maintenance Programs (10 CFR
having specific features or characteristics.
                                                                    73.46(g)(4) and (5))
watchmen, and armed response personnel and from law enforcement authorities.                                       This section should describe the preventive main tenance program established to ensure that all
8.2 Alarm Station Communications (10 CFR                      physical-protection-related subsystems and compo
      73.46(f) (2))                                         nents are maintained in operable and effective condi This section should describe the redundant sys          tion. This section should also describe corrective ac tems used to ensure the capability of communications          tions or compensatory measures used in the event of component failure within physical protection systems.


2.2.5  Design Relationships The design descriptions in this chapter should show the inter- relationships whereby design features are selected to meet the design criteria that have been established to conform to specific design bases for the physical protection system.
with the local law enforcement authority.


2.3 General Criteria The following general design criteria should be addressed.
9.5 Repairs and Maintenance (10 CFR
8.3 Power Sources (10 CFR 73.46(0(3))                              73.46(g) (5))
      This section should describe methods used by the            This section should describe procedures used in licensee to keep nonportable communications equip            performing repairs and maintenance of physical pro ment controlled by the licensee operable in the event        tection systems.


5.52-20
of loss of normal power.


2.3.1  Assurance of Quality Reference the quality assurance program, as described in Chapter 3, used to ensure that structures, systems, components, and equipment important to physical protection against industrial sabotage and theft are designed, fabricated, erected, and tested to perform satisfactorily          in service.  The requirements for quality assurance programs in Part 50,
9.6 Reviews and Audits (10 CFR 73.46(g)(6))
Appendix B, "Quality Assurance Criteria for Nuclear Power Plants and Fuel Reprocessing Plants," may be used for this purpose.
9.  TEST AND MAINTENANCE PROGRAMS
                                                                    This section should describe the applicant's review and audit of the security progra


2.3.2  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).
====m. This description====
2.3.3  Equipment Design and Placement Describe the extent to which equipment not identified as process equipment or vital    equipment is located in a vital      area or in a material access area.    When such equipment is located in a vital      area or in a material access area, describe limitations on the necessity for access to such equipment.
9.1 Installation and Construction Tests (10 CFR
      73.46(g) (1))                                          should include the periodicity of the review and audit, a description of who will conduct the review and audit, This section should describe the testing and in        items covered by the review and audit, how the review spection program for (1) intrusion alarms, (2) emer          and audit will be documented, to whom the review and gency exit alarms, (3) communications equipment, (4)        audit documentation will be provided for review, and physical barriers, and (5) other physical-protection        the recordkeeping associated with the review and related devices and equipment, used pursuant to 10            audit.


2.3.4  Inspection and Test Capability Indicate how equipment and systems used in processing, storing, transferring, or protecting licensed material or in protecting the plant are designed to facilitate      inspections to verify licensee compli- ance with applicable Commission licenses, rules, regulations, and orders.
CFR 73.46, during the installation and construction of the physical protection subsystems and components.            10. CONTINGENCY RESPONSE PLANS AND
This description should also include the purpose for              PROCEDURES
and the intended level of the testing and inspection
                                                              10.1 Contingency Plan Documentation (10 CFR
program.


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.
73.45(g)(2) and 73.46(h)(1))
  9.2 Pre-Operational Tests (10 CFR 73.46(g)(2))                    This section should affirm that the licensee will This section should describe the testing and in        have an approved safeguards contingency plan for spection program for (1) intrusion alarms, (2) emer          dealing with threats, thefts, and radiological sabotage gency exit alarms, (3) communications equipment, (4)
  physical barriers, and (5) other physical-protection related devices and equipment, used pursuant to 10
                                                              related to the strategic special nuclear material and nu clear facilities subject to 10 CFR 73.46. These plans should be developed in accordance with the criteria in L1 CFR 73.46, within the pre-operational time frame (af-        Appendix C to Part 73 and should cover, but not nec-
                                                        5.52-8


2.4    Specific Criteria The following specific design criteria        should be addressed.
essarily be limited to, the response requirements of 10        10.8 Unoccupied Material Access Area (Alloyed/
CFR 73.46(h) (2) through (h)(5).                                      Encapsulated Strategic Special Nuclear Material) Alarm Assessment (10 CFR
                                                                      73.46(h) (8))
10.2 Local Law Enforcement Agency Liaison (10                        This section should describe methods used for as CFR 73.46(h)(2))                                        sessing alarms occurring within unoccupied material access areas that contain only alloyed or encapsulated This section should describe the documented re            strategic special nuclear material.


2.4.1   Physical Barriers Describe the design of the double barrier concept, consisting of an outer physical barrier, one or more inner physical barriers, and controlled passage through each.      Describe the design of the outer
sponse arrangements that the applicant has made with local law enforcement agencies. It should also include          10.9 Records (10 CFR 73.46(h)(1) and (2))
                                      5.52-21
estimated response times.                                            This section should describe how the licensee will establish, maintain, and retain as a record the current
10.3 Tactical Response Force (10 CFR                            safeguards contingency pla


physical barrier, which should be separated from the inner physical barrier or barriers by an intervening area.    Indicate how the inter- vening area will be monitored or periodically checked to detect the presence of individuals or vehicles between the barriers and approaching either barrier in sufficient time to initiate the necessary guard action or notify the local law enforcement agency or both.
====n. Until the Commission====
      73.46(h) (3))                                            terminates the license, if any portion of the plan is su perseded, the licensee should retain the superseded This section should describe the number of tacti          portion for 3 years after the date of the change. This cal response team members immediately available for            section should also describe the licensee's records of response and the duties they will be assigned. In addi          agreements with local law enforcement agencies.


Describe the design for vital areas and material access areas as defined in Paragraphs (h) and (j), respectively, of §73.2.    For example, the plant layout should be designed such that functions such as food service and administrative offices that do not require access to such areas are carried on outside the inner barrier(s).
tion, the required force of guards or armed responders available to assist the tactical response team should be        11. AUTHORIZED PLACEMENT AND
      Describe the design features of locks that will permit timely changing of keys and combinations.
                                                                      MOVEMENT OF STRATEGIC SPECIAL
described, along with a discussion of the rationale for               NUCLEAR MATERIAL WITHIN
determining the number of individuals in this force of                MATERIAL ACCESS AREAS
guards or armed responders and the availability of this force.                                                          11.1 General (10 CFR 73.45(d))
                                                                      This section should describe the purpose and ob jective of the measures used to control movement and
10.4 Response Procedures (10 CFR 73.45(g)(1)
      and 73.46(h) (4))                                        placement of strategic special nuclear material.


2.4.2   Plant Isolation Identify those 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 individuals 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 service vehicles.
This section should describe the applicant's re            11.2 Establishment of Authorized Placement and Movement of Strategic Special Nuclear sponse procedures for dealing with detection of abnor                  Material (10 CFR 73.45(d) (1) (i) and (iii))
mal presence or activity of persons or vehicles within This section should describe the criteria to be used an isolation zone, a protected area, a material access to delineate the authorized placement and movement area, or a vital area or evidence or indication of intru of strategic special nuclear material within each materi sion into a protected area, a material access area, or a al access area. For each material access area, the loca vital area. Methods for assessing the threat and neu tions within the material access area for which the tralizing the threat should be described.


2.4.3  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.
placement and movement of the strategic special nu clear material are to be authorized should be provided.


2.4.4  Personnel, Package, and Vehicle Control Identify the design features that provide for control of all points in the outer and inner physical barriers used for 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 such that they 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.
10.5 Use of Force (10 CFR 73.46(h)(5))                        The development, maintenance, and distribution of schedules of authorized placement and movement of This section should describe the instructions that         strategic special nuclear material should also be de guards and armed responders will receive in the use of         scribed.


Describe the design features provided at all access points in the outer barrier to allow entering individuals and packages to be searched
force in the prevention or impeding of theft of strategic special nuclear material.                                      11.3 Establishment of Current Knowledge of Strategic Special Nuclear Material (10 CFR
                                  5.52-22
                                                                        73.45(d)(1)(i) and (ii))
10.6 Protected Area Alarm Assessment (10 CFR                        This section should describe, for each material ac
        73.46(h) (6)                                            cess area, the components to be used to verify the type, quantity, and location of strategic special nuclear This section should describe methods used for material within the material access area. Procedures providing assessment of all protected area alarms.


for items that could be used for industrial sabotage.    Describe the design of any devices, equipment, or procedures used to detect the pre- sence of items such as firearms, explosives, and incendiary devices.
and frequency of activities used to monitor or verify the location of strategic special nuclear material should
10.7 Unoccupied Vault and Material Access                      be described.


Describe the design features provided to allow search of packages prior to entry into a material access area.
Area Alarm Assessment (10 CFR
      173.46(h) (7))                                            11.4 Prevention of Unauthorized Placement and Movement of Strategic Special Nuclear This section should describe methods used for as                  Material (10 CFR 73.45(c) and
                                                                        73.45 (d) (1) (iv))
sessing alarms occurring within unoccupied vaults and unoccupied material access areas containing unalloyed                This section should describe the measures to be or unencapsulated strategic special nuclear material.          used to detect the unauthorized placement and move-
                                                          5.52-9


2.4.5  Shipping and Receiving Indicate how the design precludes the simultaneous handling, in a single area, of SNM and non-SNM shipments and receipts.   This criterion may be met, for example, by providing separate docks for SNM and non- SNM.
ment of strategic special nuclear material within each        Further, this section should describe the components material access area. Also, the containment of strate          to be used to detect unauthorized removal of strategic gic special nuclear material, when the material is be          special nuclear material. The components to be used tween the vault and process machinery, should be de            to deter unauthorized attempts to remove strategic spe scribed.                                                      cial nuclear material from material access areas should be described. Procedures and controls should be dis
12. REMOVAL OF STRATEGIC SPECIAL                              cussed for both normal conditions (e.g., regular work NUCLEAR MATERIAL THROUGH                                ing hours and nonworking hours) and emergency con MATERIAL ACCESS AREA PORTALS                            ditions. Procedures used to verify that an emergency condition exists should be described.


2.4.6  Surveillance Capability Describe the design (e.g., illumination, line-of-sight, etc.) that would permit continual direct or remote observation of any individual in material access areas.   Also describe how the material access areas and vital areas are locked and protected by intrusion alarm systems when unoccupied.
12.1 Development of Authorization Procedures for Removal (10 CFR 73.45(e)(2)(i) and                  13. COMPENSATORY MEASURES FOR
        (0))                                                        PHYSICAL PROTECTION COMPONENTS
                                                                    (APPENDIX A)
      This section should describe how authorization procedures for removal are developed. It should also                This section should describe (in generic terms)
describe how lists of authorized personnel are to be            compensatory measures to be taken in the event of a developed, distributed, and maintained.                        failed or degraded component of the physical protec tion system. (This section may be an appendix to the
12.2 Procedures and Controls for Strategic                    physical protection plan, if desired.)
        Special Nuclear Material Removal (Including Scrap and Waste) (10 CFR                    14. SPECIAL SITUATIONS OR CONDITIONS
        73.45 (e) (2))                                              AFFECTING PHYSICAL PROTECTION
                                                                    (APPENDIX B)
      This section should describe how the identification and authorization of each person presenting strategic              This section should describe long-term, site special nuclear material for removal from a material          specific unique situations not covered by the main access area are to be verified. The confirmation of ver        body of the physical protection plan (e.g., decommis ification of authorization, type, and quantity of strate      sioning activities). (This section may be an appendix to gic special nuclear material should also be described.        the physical protection plan, if desired.)
                                                          5.52-10


2.4.7  Communications Describe the design features 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 communications between that central alarm station and each guard or watchman on duty at the plant.
REGULATORY ANALYSIS
    A separate regulatory analysis was not performed for this regulatory guide. The regulatory analysis prepared for amendments to 10 CFR 73.46 in 1988 provides the regulatory basis for this guide and examines the costs and benefits of the rule (as implemented by the guide.) A copy of this regulatory analysis is available for inspection and copying for a fee at the NRC Public Docu ment Room, 2120 L Street NW., Washington DC, as Enclosure E to Secy 88-250.


2.4.8  Emergency Monitoring Capability Describe the design that provides for backup systems such as emergency power, redundant hardware, and procedural options so that, in the event of power failure, equipment malfunction, or guard incapacitation, a level of protection consistent with safety requirements can be provided.
5.52-11
 
2.4.9  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
                                  5.52-23
 
of calling for assistance or otherwise responding to an alarm.    Indicate 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 supervisory systems are designed to meet at a minimum the performance and reliability  levels indicated by GSA Interim Federal Specification W-A-00450B (GSA-FSS).
2.4.10  Storage of SNM
      Describe the design features of the facilities  that will be used to store special nuclear material not in process.
 
5.52-24
 
CHAPTER 3  QUALITY ASSURANCE
      To provide assurance that the design, construction, and operation of the physical protection system for a plant are in conformance with applicable regulatory requirements and with the design bases and criteria specified in the license applications, the applicant should establish a Quality Assurance Program (QA Program).    In this chapter, the Pre- liminary Physical Security Plan should include a description of the QA
Program to be established and executed for the physical protection system during the design and construction 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 consistent with the schedule for accomplishing the activity covered.    If some portions of the QA Program have not yet been established at the time of the preconstruction submission because the activity will be performed in the future, the description should provide a schedule for implementation.    The QA Program should meet the require- ments of Appendix B of 10 CFR Part 50 that are applicable 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 may consist of a statement that the particular standard will be followed.    Where Regulatory Guides have been issued on acceptable methods of implementing portions of the QA Program, the description should specifically indicate whether the regulatory positions of the Regulatory Guides will be followed.
 
3.1  Quality Assurance During Design and Construction
3.1.1  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 construction manager (if different from the constructor).    In addition, a single overall organization chart should denote how these companies interralate for the specific project.
 
These charts and attendant discussions should clearly indicate the organizational location, organizational freedom, and authority of the individual or groups assigned the responsibility for checking, auditing,
                                  5.52-25
 
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 -he QA Program, or any part thereof.
 
3.1.2  Quality Assurance Progran.
 
The structures, systems, components, 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.
 
3.1.3  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 include measures to ensure that design changes, including field changes, will be subject to design control measures commensurate with those applied to the original design and will be reflected in accurate "as built" drawings and specifications.
 
3.1.4  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.
 
3.1.5  Instructions, Procedures,  and Drawings Provide a description of the measures to be used to ensure that activities affecting quality will be prescribed by documented instruc- tions, procedures, or drawings and will be accomplished in accordance with these instructions, procedures, or drawings.
 
5.52-26
 
3.1.6  Document Control A description of document control measures should be provided.            It should include measures to ensure that documents, 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.
 
3.1.7  Control of Purchased Material,  Equipment,    and Services Provide a description of the measures for the control of purchased material, equipment, and services.    Include measures for source evalua- tion and selection, for assessment 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.            The appli- cant should also describe the measures taken to ensure that documentary evidence that the material and equipment conform to the procurement requirements is available at the plant 'site    before installation      or use of such material or equipment.
 
3.1.8  Identification and Control of Materials,    Parts,    and Components Describe the measures to be used for the identification and control of materials, parts, and components to ensure that incorrect or defec- tive items will not be used.
 
3.1.9  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.    Include the measures to be used to ensure that such special processes are controlled and accomplished by qualified personnel using qualified procedures.    This section refers to special processes used in the construction and installation      of components or systems, such as welding, casting, or nondestructive testing.
 
3.1.10  Inspection Describe the program for the inspection of activities          affecting quality, indicating specifically the items and activities            to be covered.
 
Included should be an organizational description of the individuals or groups performing inspections, indicating the independence of the inspec- tion group from the group performing the activity      being inspected.        Also indicate how the inspection program for the involved organizations is established.
 
5.52-27
 
3.1.11  Test Control Describe the test program used to demonstrate that structures, systems, and components will perform satisfactorily in service.      Included should be an outline of the test program, procedures to be developed, means for 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 program is used to verify the adequacy of a specific design feature, a description of the qualification testing of a prototype unit should be included.
 
3.1.12  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.
 
3.1.13  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.
 
3.1.14  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.
 
3.1.15  Nonconforming Materials,  Parts,  or ComDonents Describe the measures used to prevent the inadvertent use of non- conforming materials, parts, or components.      Included should be the means for identification, documentation, segregation, and disposition of nonconforming material and notification to affected organizations.
 
3.1.16  Corrective Action The applicant should describe the measures established to ensure that conditions adverse to quality are identified and corrected and that the cause of significant conditions adverse to quality is determined and corrective action is taken to preclude repetition.
 
5.52-28
 
3.1.17      Quality Assurance Records Describe the program for the maintenance of records to furnish evidence of activities      affecting quality.    Included should be means for identifying the records, the retention requirements .for the records (including duration, location, and assigned responsibility), and the means for retrieving the records when needed.
 
3.1.18      Audits The applicant should describe the system of audits used to verify compliance with all      aspects of the QA Program and to determine its effectiveness.      Included should be the means for documenting responsi- bilities    and procedures for auditing, required frequency of audits, audit results,    and designating management levels to which audit results are reported.
 
3.2  Quality Assurance Program for System Operation The applicant should provide a description of the proposed QA Program activities    that will govern the quality of the physical protection system during operation.      These activities    include operating, maintaining, repairing, and modifying the system after        the preoperational phase.
 
The description of the proposed QA Program should include each of the QA criteria    outlined in Section 3.1 above.
 
5.52-29
 
CHAPTER 4          SECURITY ORGANIZATION
        The information in this chapter should describe the security organi- zation 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 shift              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, 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    and 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 employment, military, fingerprint,
                                              5.52-30
 
arrest, and conviction records and to ascertain his character.        Indicate whether information is gathered by letter, by telephone, or in      person and whether a written report of results is prepared.
 
State the organizational unit and position titles      of persons who evaluate applications and have approval authority.        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 Describe 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 allottedfor each topic.
 
State in general terms the scope,    extent, and frequency of planned refresher or retraining courses.
 
4.3.4    Tests and Records 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 qualifi- cations of a candidate.
 
4.4  Security Equipment List the equipment provided the guards and watchmen and give descriptive data or performance characteristics, as appropriate.        For example:
      1.    Weapons (number, kind, and caliber of firearms; supply of tear gas or aerosol irritant projector (e.g., Mace*));
      2.    Portable communications devices (make,    kind, and range);
      3.    Vehicles (radio equipped,    spotlights, etc.);
      4.    Uniforms.
 
*Mace is a registered trademark of the General Ordnance Equipment Corporation.
 
5.52-31
 
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.
 
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 shifts for each post or patrol, for
24 hours per day, 7 days 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 they will have to protect nuclear plants and materials.
 
4.6  Drills Describe security drills that will be conducted to demonstrate the degree of effectiveness of security measures, procedures, personnel, and equipment.  State the frequency of drills and describe records and reports made, method of evaluation of results, and procedures for corrective action or changes.
 
5.52-32
 
CHAPTER 5    SECURITY AREAS
    A description of the security areas should be provided in this chapter, including protected areas, isolation zones, material access areas, and vital areas.    Reference may be made to the drawings submitted under Section
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'.      Include the walls'
composition, thickness, height, and top guard.
 
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 locations 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 normal 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, material, and method of installing equipment such as doors, gates, and emergency exits in the perimeter of the protected area.
 
5.52-33
 
5.1.2    Isolation Zones Furnish a description and provide a scaled drawing of the location and dimensions of the isolation zones around the physical barriers at the perimeter of each protected area.      Identify and describe any objects or structures within the isolation 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 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 the 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.
 
5.2  Vital Areas and Material Access Areas Provide scaled drawings of buildings that contain vital areas and material access areas.    Specifically identify vault and vault-type rooms.
 
Show the location of the points of ingress and egress for each of the 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 windows 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 points 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 material and type of installation of barriers such as grates, grills, or bars designed to preclude entry by an intruder.
 
5.52-34
 
5.2.3  Points of Ingress and Egress Describe the material 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 egress, and describe its manipulation-resistant features.
 
5.2.4  Vaults For each vault describe the composition 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.    Describe the built-in    combination lock mechanism in each door.
 
5.52-35
 
CHAPTER 6  ACCESS CONTROLS
      This chapter should show how the applicant plans to control per- sonnel, 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 requirements 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 requirements for surveillance of individuals in material access areas.
 
6.1  Badge System
6.1.1  General Description Provide a general description of the badge identification system used for the control of personnel such as employees, vendors, servicemen, deliverymen, 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 photograph, security clearance, expiration date, and employee name, identification number, address, and signature.
 
6.1.2  Types of Badges 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 individuals 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.
 
6.1.4  Control System Provide a description of the system for issuance,    accountability, and control of badges.
 
6.1.5  Utilization State the requirements for wearing or displaying badges on the person while on site.
 
5.52-36
 
6.2    Access Authorization Identify by organization 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.
 
State the criteria used in authorizing escorted and unescorted individuals and vehicles (with positive identification) to access pro- tected 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, times of entry and exit, purpose of visit, persons to be visited, employment affiliation, citizenship, badge number, name of escort, etc.).
Indicate differences in 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, switch, lock
[combination, key, or card key], closed circuit television [CCTV], and alarm)t    Describe the period of time when specified coverage is provided for each access point (in hours per day and days per week).
      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 sabotage.      Describe the format for random searches for the classes of personnel for whom random searches are authorized.      Indicate who conducts the search and how it is coordinated.
 
Where a metal detector is used, describe design and performance characteristics, the manufacturer, and the manufacturer's location.
 
5.52-37
 
State the model specifications and the model's capability for detecting nonferrous metal 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 interfaced 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 layout 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 manufacturer, confidence limit (percent), model specifications, and false alarm rates (maximum percent).    As in the case of metal detection equipment (above), state where and how the explosive detector alarm annunciates and whether interlocked doors are utilized, and provide a layout.
 
6.5.1.3 Package Searches.    Describe the clearance system, including random searches for entry to the protected area of packages, valises, tool boxes, or similar items for the detection of firearms, explosives, incendiary devices, and other items that could be used for industrial sabotage.
 
6.5.2  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 con- trols 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.
 
6.5.2.3 Authorized Individuals.    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 diverted.
 
For guidance, see Regulatory Guide 5.14, "Visual Surveillance of Indi- viduals in Material Access Areas."
                                  5.52-38
 
6.5.2.5 Exit Search.    Describe the system for checking for con- cealed 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 per- formance characteristics.    State their capabilities in terms of detecting gram quantities of Pu, U-233, or U-235 shielded by 3 mm of brass concealed anywhere on an individual, and state applicable confidence limits and false alarm rates.
 
If metal detectors are used, state the 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 any- where on an individual, and state the false alarm rates for the device (percent).
      If detectors are used, describe the system to be used to ensure that concealed SNM will be detected.    Explain 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 doors 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 SNM detector and metal detector alarms annunciate.
 
6.5.2.6 Package Searches.    Describe the system for entry search or examination of packages, 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 unless needed in support of 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 special nuclear material before such items are cleared to exit a material access area into a protected area.
 
6.6  Vehicle Access
6.6.1    Vehicle Access Points Identify each vehicle 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
                                    5.52-39
 
specified coverage is provided for each access point (in hours per day and days per week) and the mode 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 vehicles authorized entry to protected areas.    Include a description of the registry, tags, cards, or decals used.    Confirm that personal vehicles are not permitted in the protected area.    Describe the system for clearing vehicles that are to exit the protected area.
 
6.6.3  Material 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 Combinations
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-resistant characteristics of each 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.    Reg- ulatory Guide 5.12, "General Use of Locks in the Protection and Control of Facilities and Special Nuclear Materials," is available for use in preparing this section.
 
6.7.2  Keys Describe the system for issuance and control of keys, including card keys.  State the position titles  of persons authorized to approve the issuance of keys for access to each area, vault, or vault-type room where key locks are utilized, and state the criteria for such approvals.
 
Include information as to whether the name, type, and keyway code of each key-lock device is maintained; whether the number of keys made, names of persons to whom issued, and key location are recorded; and whether grand master and group master key listings (with number of keys made),
names of persons to whom issued, and names of devices each key operates
                                    5.52-40
 
are maintained.  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.
 
5.52-41
 
CHAPTER 7    INTRUSION AND DETECTION DEVICES
        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  Design and Performance Characteristics For each of the uses of intrusion and detection alarms and switches listed below (in Sections 7.1.1 through 7.1.13) and for any other alarm utilized 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 emergency power, have fail-safe features, and are connected to the central alarm stations.          Confirm that alarms and the line supervisory system meet the minimum performance 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 capability for recording status of the alarmed system in terms of date, time, system, area affected, and type of alarm signal.
 
7.1.1  Emergency Exit(s)    In the Perimeter of Protected Areas
  7.1.2  Emergency Exit(s) In Vital Areas and Material Access Areas
  7.1.3  Protected Areas
  7.1.4  Vital Areas
  7.1.5  Material Access Areas
  7.1.6  Vaults
7.1.7    Vault-type Rooms
7.1.8  Metal Detector,    If Used,    At Entrance to Protected Area
7.1.9    Explosives Detector,      If  Used,  at Entrance to Protected Area
7.1.10 SNM Detector,    If  Used,    At Exit(s) of Material Access Areas
7.1.11 Metal Detector,    If  Used.,  At Exit(s) of Material Access Areas
7.1.12 Open Scrap Storage Area
7.1.13 Specify Other Alarms and Switches or Detection Devices
                                        5.52-42
 
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 annunciator 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.
 
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 during nonnormal situations (i.e., power outage).
                                  5.52-43
 
CHAPTER 8  CENTRAL ALARM AND COMMUNICATION SYSTEMS
      This chapter should describe the central alarm and communication facilities and equipment provided for the security program.    NRC regulations require that all alarms annunciate in a continuously manned central alarm station located within a protected area and in at least one other con- tinuously manned station, not 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 enforcement authories (LLEAs) also should be described.
 
8.1  Facilities Describe the location and facilities provided for the primary (central alarm 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  Staffing Describe the staffing arrangement 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 equip- ment.  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 exit alarm) and the origin of the alarm.    Describe emergency power provisions.
 
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.
 
8.4.2  Local Communications Describe the communications equipment provided for two-way com- munication between members of the security force and an individual in
                                    5.52-44
 
the primary central alarm station.    Include provision for a silent, unobtrusive alarm connecting a protected area access guard and the primary and secondary central alarm stations.
 
8.4.3  Radio Communications Provide a description of the two-way radio voice communication system established at the primary central alarm station within the protected area for communicating with LLEAs.    Confirm that the system will be manned continuously at both that central 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).
                                5.52-45
 
CHAPTER 9  RESPONSE TO SECURITY CONTINGENCIES
        The requirement for licensee physical protection of SNM is continual, as outlined in 10 CFR Part 73.      Since there are no exceptions during contingencies, plans for adequate security should be developed 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 certain contingencies, including alarm annuncia- tions, security threats to the facility, and strikes.
 
9.1  Organization and Procedures Describe the security organization and the procedures that have been established to respond to security contingencies, including those enumer- ated in this section.    For each of the contingencies outlined below, describe the response to be taken by the security organization after an alarm annunciation, after a threat has been communicated 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 and the procedures for deployment of security personnel.
 
Discuss the criteria (including an estimate 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 Alarm Annunciations The information described above should be provided for the following types of security threats and alarm annunciations:
        9.1.1.1  Suspected Intrusion Into a Security Area
        9.1.1,2 Apparent Attempted Thpft of gNM
        9.1..3    Apparent Attemtd SmuContraband'Into                a Securit  Area
        9.1.1.4  Outage of Critical Plant Protection Eguipment
      9.1.1.5  Multi le Alarm Annunciations
9.1.2  Other Contingencies The information described in Section 9.1 should also the following types of                                        be provided for contingencies necessitating more extensive
                                    5.52-46
 
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    Guard Strikes
      9.1.2.5    Fire or Explosion
      9.1.2.6    Site Evacuation
                            9.2    Action Response Provide description of the immediate measures that will be enacted 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 author- ity  to contact 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 service 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;
                                      5.52-47
 
CHAPTER 10  LOCAL LAW ENFORCEMENT AUTHORITIES
      The information in this chapter should describe the arrangements that have been made with local authorities for help and assistance with contingencies identified in Chapter 8.        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 that have been made with local, municipal, county, and state  law enforcement authorities to provide emergency assis- tance when requested.    State the titles    of the individuals (both licensee and LLEA) who made the arrangements.      State whether the arrangements provide for written procedures for orientation training in plant protec- tion and radiation safety and for periodic drills.        If guards 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.
 
5.52-48
 
CHAPTER 11   REPORTS TO THE NRC
    Plans for the preparation and submission of security reports to the NRC should be discussed 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.
 
5.52-49
 
PART II OF THE PHYSICAL SECURITY PLAN FOR FIXED SITES
    This part of the Physical Security Plan should describe the tests, inspections, records, and other means established by the applicant for demonstrating compliance with the physical protection requirements for plants and materials.
 
5.52-50
 
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 Annunciators Provide a description of the program used to test the operability and to verify 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, explosive, and SNM detector, where applicable.      Delineate the standards, test equipment, and procedures employed for calibration and control programs.      State the frequency of calibrations and control tests.
 
12.4  Communications Describe the type and frequency of tests used to monitor operability 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 Discuss the test and inspection programs used to maintain the opera- bility of other security-related equipment identified in Part I.
 
12.6  Special Procedures Describe special temporary procedures designed to ensure continued protection while security equipment is out of service for repair, mainte- nance, or testing.
 
5.52-51
 
CHAPTER 13      SECURITY RECORDS
        This chapter should provide information on the records that are main- tained to meet the requirements of Paragraph 70.32(d) and §73.70 of 10 CFR
  Part 70.
 
13.1  Security Tours,      Inspections,    and Tests Describe the system for documenting the results            of all  routine security tours and inspections, and of all        tests  and inspections performed on physical barriers, intrusion alarms, communications equipment, and other security-related equipment.
 
13.2    Maintenance Identify and characterize the records that arekept              of all  maintenance performed on physical barriers, intrusion alarms, communications equip- ment, and other security-related equipment.
 
13.3  Alarm Annunciations Describe the records system for documenting all            alarm annunciations, including false 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 each alarm (including false alarms), intrusion, or other security incident.
 
13.5    Authorized Individuals Describe the system for maintaining 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 date of the authorization, its          expiration date, and the name of the approval authority.
 
13.6  Access to Vital      Equipment and Vital Areas Describe the system for maintaining a record of each individual who is authorized to have access to vital equipment and vital              areas, with the record showing the individualls name, address, and badge number; the date of the authorization.;
authority.                    ..
        aits                          .aeades date; and the expiration                  adbde name of the_,wt approval h authority
                                      5.52-52
 
13.7  Access to SNM and Material Access Areas Describe the system for maintaining a record of each individual who is authorized to have access to SNM and material access areas, with the record showing the individual's name, address, badge number, the date of the authorization, its expiration date, and the name of the approval authority.
 
13.8  Nonemployee Access Describe the system for maintaining a record (register) of each visitor, vendor, or other individual who is not an employee of the applicant, with the record showing the individual's name; the date, time, and purpose of the visit;    the individual's employment 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.
 
13.9  Employees Describe the system for maintaining a record of each employee who is issued a permanent badge for access to security areas, with the record showing the individual's name, his badge number, the areas to which access is authorized, the date of the authorization, its expira- tion date, and the name of the approval authority.
 
13.10  Changes in  Security Plan Not Approved by the NRC
      Describe the system to record and maintain records of changes that are made to the security plan without prior approval of the NRC, the date the changes are made, and the name, organizational unit, and position 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.
 
5.52-53
 
CHAPTER 14  SECURITY AUDITS
      The purpose of this chapter is to provide a description of the audit programs established to review periodically the applicability and adequacy of the existing security plan and to assess the degree of compliance 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 facility management.
 
5.52-54
 
PART III PHYSICAL 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 requirements in 10 CFR
Part 73 pertaining to transportation will be met.
 
5.52-55
 
CHAPTER 15  SCOPE OF THE PLAN
Identify which of the following activities  the plan will cover:
 
===1. Take delivery of SNM===
2.  Release SNM for transport
3.  Transport  SNM by road
 
===4. Ship SNM by air===
 
===5. Ship SNM by rail===
6.  Ship SNM by sea (or water)
 
===7. Import SNM===
 
===8. Export SNM===
9.  Other  (describe briefly)
                            5.52-56
 
CHAPTER 16  PLANNING
          16.1    Shipments Involving Common or Contract Carriers If common or contract carriers will be used, discuss the 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 common or contract 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 arrange- ments that will 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 made 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.
 
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.
 
5.52-57
 
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.
 
16.5  En Route Storage Describe what will be done to avoid en route storage in excess of
24 hours.
 
16.6  Communications Planning For shipments by rail or by road, explain the provisions to be made for establishing and maintaining a point of communications for receiving and responding to messages concerning the location and status of each SNM shipment.
 
5.52-58
 
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 following options for shipment of SNM by road will be used:    (1) motor vehicle with separate escort vehicle, (2)    special vehicle with high penetration resistance and armed guards, or (3)    special vehicle with high penetration resis- tance and immobilization features, but no armed guards.    If a special vehicle is to be used, discuss the provisions for achieving high pen- etration resistance and immobilization, as appropriate.    Include drawings and specifications that describe the protection 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 Nuclear 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.      Regulatory Guide 5.32, "Communication with Transport Vehicles," provides information on radiotelephones 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 will be used.
 
Refer to Regulatory Guides 5.10, "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 contain 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.
 
5.52-59
 
17.4  Containers State whether shipments will be made by "open vehicles," i.e., by vehicles that do not provide a compartment in which the shipment can be locked.  If so, describe the containers that will be used and the locking arrangements for these containers.  Note that the 500-pound weight require- ment 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. -Regulatory Guide
5.17, "Truck 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.
 
5.52-60
 
CHAPTER 18  SECURITY PERSONNEL
                          18.1  General Description Describe and discuss the duties and responsibilities of the physical security organization to protect SNM shipments.      In addition to other information, the description should specify the organizational position and show the relationship between the following elements:      (1) the individual 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)
the individuals who will be responsible for receiving and recording location information while the shipment is en route, and (6) the individual who will be responsible for notifying an appropriate law enforcement agency and the NRC.
 
Regulatory Guide 5.20, "Training, Equipping, and Qualifying of Guards and Watchmen," should assist with preparing the following information.
 
18.2  Selection Describe the criteria to be used for screening and selecting individuals who will be responsible for protecting SNM shipments.
 
18.3  Training Provide an outline of the security force training program, including a listing 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 marksmanship.
 
18.4  Qualification Discuss the tests or other means to be used to    ensure that each
.guard is qualified to perform his assigned duties.      Furnish a copy of a typical test or list  of questions that will be used  to determine the qualifications of a  candidate.  Discuss the program  to be used to requalify guards annually.
 
5.52-61
 
CHAPTER 19  OPERATIONS
                        19.1  Communications  Operations For SNM shipments by road, rail,      or sea, discuss the organization and physical location of persons who will be predesignated to receive communications from 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 or scheduled reports are not received.
 
Describe the method or system to be used to test      operability and to verify functional performance of all      communications equipment related to physical protection of SNM in transit.        Specify the frequency of all routine and special tests    and inspections.
 
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 the procedures to be employed to ensure that at least one of these persons maintains continuous visual surveillance of the SNM cargo vehicle at all      times during a shipment.
 
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 appropriate 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 conditions that might threaten the security of SNM and to ensure that the escorts will take such actions as circum- stances might require to avoid interference with continuous safe passage of SNM vehicles.      Describe the actions to be taken in the event of an emergency and to check and observe SNM cargo vehicles during stops, breakdowns, or layovers.
 
19.2.3  Export Shipments by Sea or by Air For air    or water export shipments, describe the procedures and methods to be used to ensure that (i)        SNM shipments will be escorted by the appropriate number of armed authorized individuals from the time the
                                      5.52-62
 
aircraft or vessel departs from the last terminal in the United States until the shipment is unloaded at a foreign terminal; (2)    during scheduled intermediate stops where SNM is not scheduled for transfer, the authorized 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 compartments con- taining SNM until departure of the loaded aircraft or vessels 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 plan to be used to monitor scheduled transfers of each SNM shipment, including monitoring of the shipment while it is in storage en route.  Describe the procedures and methods to be used to ensure that all  transfers of SNM (such as from carriers to storage,    between carriers, or from storage to carriers) will be under the continuous visual surveillance of at least two guards or designated alternates.
 
Confirm that the guards will observe the opening of cargo compartments containing incoming SNM and examine shipment locks and seals, will observe the SNM while it is in a terminal or in storage, will observe 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 applicant or his agent of the status of the SNM at departure time.
 
State who will immediately notify the applicant or his agent and respon- sible carriers of any deviation from or attempted interference with the schedule or routing of SNM shipments.    Confirm that preplanned storage time of SNM  shipments en route  in  excess  of 24 hours 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
                                    5.52-63
 
compartment containing the shipment is locked.      Regulatory Guide 5.12,
"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 use in the protection of special nuclear material in transit.
 
19.4.2  Notification of Consignee 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 (domestic or foreign) will be immediately 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 shipment at its destination.      Confirm that such procedures will also provide that the consignee will immediately notify the consignor by telegraph, teletype, or telephone when each SNM shipment arrives at its destination.
 
19.4.3  F.O.B.  Shipments If f.o.b. shipments will be made, describe the procedure and methods to be used to ensure that (1) written certification will be obtained from licensees who take delivery of SNM shipments at the f.o.b. point, (2)
arrangements have been made to meet NRC requirements 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 certifi- cation will be obtained stating that physical protection arrangements required by the ERDA Manual (formerly the AEC Manual), Chapter 2401 or 2405, have been made.
 
19.4.4  Arrangements to Obtain Information from Foreign Consignee Discuss the arrangements that will be made with a foreign consignee to be notified of the arrival of the shipment at the destination and to be notified of a shipment that is lost or unaccounted. for after the estimated time of arrival at its destination.
 
19.4.5    Notification of NRC
      Discuss the conditions or circumstances under which the NRC will be notified.    State the position title  and organizational unit of the individuals who will be responsible for informing the NRC of accidents, unusual occurrences, contingencies (as discussed in Chapter 20), or the failure of SNM shipments to arrive at their destination at the es- timated time of arrival.    Identify the types of reports to be made and describe the procedures to be followed in making such reports.
 
5.52-64
 
19.4.6      Conduct of Trace Investigation State the position title  and organizational unit of the individuals who will be responsible for the initiation-and conduct of trace investi- gations of lost      or unaccounted-for shipments.    State the criteria  for such actions, the scope and extent of the planned investigations, the report content, and the procedures to be followed to ensure that the results    of the investigation will be reported to the NRC and the person who delivered the material to a carrier for transport.
 
19.4.7      Shipper Records Describe the system to be used to record and maintain records, such as those listed    below, to 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 departures    and arrivals
        5.    Names and addresses  of monitors
        6.    Container seal descriptions and identifications
        7.    Locations and telephone numbers *of local0law enforcement agencies along the route used
        8.    Shipping plan changes or modifications
        9.    Description of the nuclear material,    by chemical and physical form, quantity, and enrichment
        10.  Testing and operability of communications    equipment
        11.  Names of individuals who receive communications    for or on behalf of the applicant
        12.  Reports of communications
        13.  Reports of trace investigations
        14.  Violations or infractions  of the applicant's instructions or requirements.
 
5.52-65
 
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.
 
Specify the organizational position of the individual who will be respon- sible 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.
 
19.5.2  Consignee Records Specify the position title    and organizational unit of the individuals who will be responsible for maintaining protection records pertaining to SNM in transit.
 
19.5.3  Import Shipments Describe the procedures and methods to be used to ensure that SNM
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 SNM shipments when in      terminals or in storage should be included in Section 19.3.2).
                                    5.52-66
 
CHAPTER 20  LOCAL LAW ENFORCEMENT 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 authorities (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 from a distant vehicle or if a scheduled call to report the location of a vehicle is not received.
 
20.2    Establishing Contacts Describe the contacts that have been established with law enforcement authorities at intervals along the shipping routes to provide assistance when requested if a shipment convoy is threatened, attacked, or hijacked while en route.
 
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.
 
5.52-67
 
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 performance with the existing security requirements.
 
21.1  Program Audit Describe the scope, extent, and frequency of planned periodic management audits to review the transportation security program for con- tinued adequacy and effectiveness.          Identify by organizational title      the individuals assigned responsibility for conducting the audits.                Affirm that written audit reports will be prepared and submitted to facility management.
 
21.2  Compliance Audits Provide a description of the monitoring program established to ensure compliance with existing regulations.          Identify by organizational title    the individuals assigned responsibility for conducting the audits.
 
Affirm that written audit reports will be prepared and submitted to facility    management.


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Revision as of 10:46, 28 March 2020

(Proposed Revision 3 Issued as DG-5004) Standard Format & Content of Licensee Physical Protection Plan for Strategic Special Nuclear Material at Fixed Sites (Other than Nuclear Power Plants)
ML003739235
Person / Time
Issue date: 12/31/1994
From:
Office of Nuclear Regulatory Research
To:
References
RG-5.052 Rev 3
Download: ML003739235 (12)
v • d • e


EOU U.S. NUCLEAR REGULATORY COMMISSION Reviision 3 SREGULATORY GUIC Decembe r 1994 PE

OFFICE OF NUCLEAR REGULATORY RESEARCH

REGULATORY GUIDE 5.52 (Proposed Revision 3 was issued as DG-5004)

STANDARD FORMAT AND CONTENT OF A LICENSEE

PHYSICAL PROTECTION PLAN FOR STRATEGIC SPECIAL NUCLEAR MATERIAL

AT FIXED SITES (OTHER THAN NUCLEAR POWER PLANTS)

A. INTRODUCTION

pleteness and detail if it addresses every applicable sec tion of 10 CFR Part 73, as does this regulatory guide.

This regulatory guide describes the standard for Any information collection activities mentioned in mat recommended by the Nuclear Regulatory Com this regulatory guide are contained as requirements in mission (NRC) for preparing physical protection plans 10 CFR Part 73. The information collection require for formula quantities of strategic special nuclear mate ments in 10 CFR Part 73 have been approved by the rial (SSNM) at fixed sites other than nuclear power Office of Management and Budget, Approval No.

plants. Formula quantities are sometimes referred to 3150-0002.

as category I quantities of material. Guidance on the content of physical protection plans is also provided in B. FORMAT OF THE PHYSICAL

PROTECTION PLAN

this regulatory guide.

This document is divided into two major parts.

The requirement for a physical protection plan is The first part describes the physical protection plan included in the regulations for physical protection of format, and the second part outlines the elements of a licensed activities against theft and radiological sabo physical protection program that should be described tage of formula quantities of SSNM, which are in in the physical protection plan.

10 CFR Part 50, "Domestic Licensing of Production If the format in this guide is used, the applicant and Utilization Facilities"; Part 70, "Domestic Licens should follow the numbering system used in Section C,

ing of Special Nuclear Material"; and Part 73, "Physi

"Physical Protection Plan Contents." Under some cir cal Protection of Plants and Materials." Specific re cumstances, certain subsections may not be applicable quirements for licensees possessing formula quantities to a specific application. If so, this should be clearly of SSNM are found in 10 CFR 73.20, 73.45, and stated and sufficient information should be provided to

73.46.

support that conclusion.

Conformance to the format and content of the The applicant may wish to submit information in physical protection plan presented in this guide is not support of an application that is not required by the required by the NRC. The physical protection plan regulations and is not essential to the description of the may be submitted for NRC review and approval in an applicant's physical protection program. This informa alternative format that provides an equal level of com- tion, which should be relative to the plan, could USNRC REGUIATORY GUIDES The guides are Issued In the following ten broad divisions:

Regulatory Guides are Issued to describe and make available to the public such information as methods acceptable to the NRC staff for implement ing specific parts of the Commission's regulations, techniques used by

1. Power Reactors

6. Products

2. Research and Test Reactors 7. Transportation the staff in evaluating specific problems or postulated accidents, and 3. Fuels and Materials Facilities 8. Occupational Health data needed by the NRC staff in Its review of applications for permits and

4. Environmental and Siting 9. Antitrust and Financial Review licenses. Regulatory Guides are not substitutes for regulations, and corn 5. Materials and Plant Protection pliance with them is not required. Methods and solutions different from

10. General those set out In the guides will be acceptable If they provide a basis for the findings requisite to the issuance or continuance of a permit or license by Copies of issued guides may be purchased from the Government Printing the Commission. Office at the current GPO price, Information on current GPO prices may This guide was Issued after consideration of comments received from the be obtained by contacting the Superintendent of Documents, U.S.

public. Comments and suggestions for improvements In these guides are Government Printing Office, Mail Stop SSOP, Washington, DC

encouraged at all times, and guides will be revised, as appropriate, to 20402-9328, telephone (202)512-2249.

accommodate comments and to reflect new information or experience.

Written comments may be submitted to the Rules Review and Directives Issued guides may also be purchased from the National Technical Infor Branch, DFIPS, ADM, U.S. Nuclear Regulatory Commission, Washing mation Service on a standing order basis. Details on this service may be ton, DC 20555-0001. obtained by writing NTIS, 5285 Port Royal Road, Springfield, VA 22161.

include, for example, historical data submitted in dem Paper Margins onstration of certain criteria, a discussion of alterna A margin of no less than 2.5 cm or 1 inch is to be tives considered by the applicant, or supplementary maintained on the top, bottom, and binding side of all data regarding assumed models, data, or calculations. pages submitted.

It should be provided in an appendix to the plan.

Printing STYLE AND COMPOSITION

Composition: text pages should be single-spaced.

A table of contents should be included for each Type face and style: must be suitable for micro submittal. filming.

The applicant should strive for clear, concise pre Reproduction: may be mechanically or photo sentation of information. Confusing or ambiguous graphically reproduced. All pages of the text may be statements and general statements of intent should be printed on both sides, and images should be printed avoided. Definitions and abbreviations should be con head to head.

sistent throughout the submittal and consistent with Binding generally accepted usage.

Pages should be punched for standard loose-leaf Whenever possible, duplication of information 3-ring binders.

should be avoided. Information included in other sec Page Numbering tions of the application may be covered by specific ref erence to those sections. Pages should be numbered sequentially through out the main part of the document. Any appendices Where numerical values are stated, the number of may be numbered separately if desired. Each page of significant figures should reflect the precision to which the physical protection plan should contain a page the number is known. The use of relative values should number, a revision number if applicable, and a date.

be clearly indicated. Drawings, diagrams, and tables should be used when information may be presented PROCEDURES FOR UPDATING OR REVISING

PAGES

more adequately or conveniently by such means.

These illustrations shbuld be located in the sections in The updating or revising of data and text should be which they are first referenced. Care should be taken on a replacement-page basis.

to ensure that all information presented in drawings is legible, that symbols are defined, and that drawings are The changes or revised portions of each page not reduced to the extent that they cannot be read by should be highlighted by a vertical line. The line should unaided normal eyes. be on the margin opposite the binding margin for each line changed or added. All pages submitted to update, PHYSICAL SPECIFICATIONS OF revise, or add pages to the report are to show the date SUBMITTALS of the change. The transmittal letter should include an index page listing the pages to be inserted and the All material submitted in an application should pages to be removed. When major changes or addi conform to the following physical dimensions of page tions are made, pages for a revised table of contents size, quality of papers and inks, numbering of pages, should be provided.

etc.

NUMBER OF COPIES

Paper Size The applicant should submit the appropriate num ber of copies of each required submittal in accordance Text pages: Either the metric standard A4, which with 10 CFR 50.4(b)(2)(ii) and 10 CFR 70.21.

is 210 mm by 297 mm, or the customary 8-1/2 x 11 inche

s. PUBLIC DISCLOSURE

The NRC has determined that public disclosure of Drawings and graphics: The metric A4 size or the details of physical protection programs is not in the

8-1/2 x 11 inches is preferred; however, a larger size is public interest, and such details are withheld in accor acceptable provided the finished copy, when folded, dance with 10 CFR 2.790(d). Thus, the physical pro does not exceed the A4 size or 8-1/2 x 11 inches.

tection section of each application should be submitted Paper Stock and Ink as a separate enclosure. Other proprietary or classified Suitable quality in substance, paper color, and ink density for handling and for reproduction by micro information, for example, clarifying correspondence between reviewer and licensee, should be clearly iden tified and submitted in separate enclosures. Each such L1 filming. submittal of proprietary information should request ex-

5.52-2

emption from public disclosure as required in 10 CFR This section should also describe how the perform

2.790(b). ance capabilities outlined in 10 CFR 73.45 will be met through the establishment, maintenance, and arrange COMPATIBILITY

ment for a physical protection system.

The applicant should ensure that the physical pro Further, this section should identify those portions tection plan is compatible with the other sections of the of the facility physical protection system for which re application. dundant and diverse components are necessary in or SCHEDULE FOR SUBMITTAL der to ensure adequate performance, as required by 10

CFR 73.20(b)(2). In general terms, the applicant The applicant should contact the NRC to deter should describe the subsystems and components to be mine a schedule for the submittal of the physical pro used to provide this redundancy and diversity and the tection plan. ways in which these subsystems and components are C. PHYSICAL PROTECTION PLAN redundant and diverse.

CONTENTS Finally, this section should describe how the physi cal protection system is designed to ensure that the in The following sections describe, in general terms, tegrity of the system is maintained at all times.

the material and level of detail that should be included within a physical protection plan. The applicant's 3. DESIGN BASIS THREAT (10 CFR 73.1)

physical protection plan should follow the organization and numbering system used in this Section C. The This section should affirm the intent to prevent, applicable sections of the regulations are cited for each with high assurance, the theft of special nuclear mate section of the physical protection plan. Upon comple rial by the threats described in 10 CFR 73. 1. The plan tion of the plan, the applicant should use this regulato should also describe how measures used to protect ry guide as a checklist to ensure that each subject has against theft of special nuclear material also provide been addressed. protection against radiological sabotage.

1. INTRODUCTION AND SCHEDULE FOR 4. SECURITY ORGANIZATION

IMPLEMENTATION

4.1 Establishment of Security Organization (10

This section should state the corporate name of CFR 73.46(b) (1))

the applicant, the facility name, and the location of the This section should state whether the security facility. The applicant should describe the type of facil ity to be operated and the general layout of the facility organization is private or contract. If contract, this sec and its surrounding area. This section should include a tion should briefly describe the written agreements map of the entire facility and other maps and illustra between the licensee and contract guard force man tions as appropriate. The applicant should indicate on agement that pertain to how the guard force will meet these maps the locations of physical protection sys the requirements of Appendix B, "General Criteria for tems, subsystems, and major components; all material Security Personnel," and Appendix H, "Weapons access areas; vital areas; vaults; entry/exit control Qualification Criteria," to 10 CFR Part 73.

points; and alarm stations. 4.2 Security Organization Management (10 CFR

This section should also describe the schedule for 73.46(b)(2) and (3))

implementing the physical protection plan, with special This section should describe the structure and attention to those portions involving new construction, management of the security organization, including significant physical modification of existing structures, uniformed security personnel and other persons re or major equipment installation that may require ex sponsible for security-related functions. This section tensions of time. For approved plans, the scheduling of should contain a description of each supervisory and upgrades or new construction should be addressed in management position, including responsibilities and this section on a case-by-case basis. how lines of authority extend up to facility and corpo rate management.

2. GENERAL PERFORMANCE OBJECTIVES

(10 CFR 73.20(a) and 73.20(b)(1), (2), (3), This section should affirm that written security and (4)) procedures will be used and that provisions for written approval of such procedures and any revision thereto This section should describe, in general terms, will be developed and used.

how the physical protection program will have, as its objective, high assurance that activities involving spe This section should also affirm that at least one cial nuclear material are not inimical to the common full-time member of the security organization with the defense and security and do not constitute an unrea authority to direct the physical protection activities of sonable risk to the public health and safety. the security organization will be on site at all times.

5.52-3

4.3 Qualification for Employment in Security "* Current security procedures until the NRC termi

(10 CFR 73.46(b)(4) and (5)) nates the license for which these procedures were developed; if any portion of these procedures is This section should affirm that an approved guard superseded, the superseded material should be re force training plan in accordance with Appendices B

tained for 3 years after the change.

and H to Part 73 is in effect.

"* Results of qualification and requalification for se In addition, the plan should describe how the li curity force members; the documentation should censee will demonstrate the ability of physical security be retained as a record for 3 years after each quali personnel, whether licensee or contractor employees, fication and requalification.

to carry out their assigned duties or responsibilities upon the request of an authorized member of the "* Results of weapons qualification and requalifica NRC. The plan should also affirm that, within any giv tion for firing; the results should be retained as a en period of time (at least 1 work shift or 8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br />), a record for 3 years after each qualification and re member of the security organization will not be as qualification.

signed to or have direct operational control over more "* Documentation of completion of training in re than one of the redundant elements of a physical pro sponse tactics by members of the tactical response tection subsystem, if such assignment or control could team; the documentation should be retained as a result in the loss of effectiveness of the subsystem. record for 3 years after the training is completed.

"* Results of tactical response team and guard exer

4.4 Guard Force Training (10 CFR 73.46(b)(4), cises; such records should be retained for 3 years

(7), and (8); II.E of Appendix B to 10 CFR after each exercise is completed.

Part 73; and Appendix H to 10 CFR Part 73)

In addition to the affirmation that an approved

5. PHYSICAL BARRIERS

guard force training plan is in effect (see Section 4.3 above), this section should include a description of the 5.1 General Layout (10 CFR 73.46(c)(1))

qualification and requalification program for guards This section should describe facility material ac and tactical response team (TRT) members in firing cess areas (and vital areas, if applicable) with regard to with assigned weapons. For TRT members only, in their locations and functions and, in general terms, clude a description of the training program in response should describe the spatial relationship between re tactics. quired barriers at the protected area and material ac cess areas.

4.5 Security Force Armament and Equipment

(10 CFR 73.45(g)(3) and 73.46(b)(6)) 5.2 Protected Area Barriers (10 CFR

73.45(f)(1)(i), 73.46(c)(1) and (2))

This section should affirm that every guard and tactical response team member will be armed and This section should identify the physical barriers should describe the armament assigned to members of (including entry/exit points during both opened and the security force by position title. In addition, equip closed conditions) at the protected area boundary.

ment to be used by members of the security force in This should include a physical description of the barri providing effective response capabilities should also be ers and a discussion of the purpose of each barrier.

described. 5.3 Vehicle Barriers (10 CFR 73.45(O(1)(i) and

73.46(c) (1))

4.6 Force-on-Force Exercises (10 CFR

73.46(b) (9)) This section should describe the location and placement of vehicle barriers about the protected area.

This section should describe how scenarios for A physical description of the barrier system should be force-on-force exercises are developed, the design included, along with information that substantiates that goals for conducting such exercises, and the frequency the barrier can adequately counter the design basis ve of such exercises. This section should affirm that the hicle. Vehicle control at entry/exit points should also NRC will receive a 60-day notice of one force-on-force be described.

exercise each year so that the NRC may observe the exercise. 5.4 Material Access Area Barriers (10 CFR

73.45(b)(1)(i) and 73.46(c) (5) (iii))

4.7 Records (10 CFR 73.46(b)(3)(i), (4), (7), This section should describe the level of physical

(8), and (9))

This section should affirm that the following records will be maintained and retained and should de hardening for the walls, floors, and ceilings of the dif ferent types of material access areas at the site, for ex ample, materials used and Underwriter's Laboratory I

scribe how they will be maintained and retained: hardening level, if appropriate. The number, location,

-5.52-4

and type of entry/exit portals should be described. 6. ACCESS CONTROL SUBSYSTEMS AND

Methods used to provide hardening of the portals PROCEDURES

(during opened and closed conditions) should be de scribed. Hardening of ventilation ducts or other open ings should also be described. 6.1 Numbered Picture Badge Identification Systems (10 CFR 73.46(d)(1))

5.5 Security Posts and Structures (10 CFR This section should describe the numbered picture

73.46(d) (4) (i)) badge identification system used at the facility. This This section should describe the location and pur description should include a discussion of procedures pose of all permanent security posts and structures. used for badging individuals with authorized unes The physical construction of structures used as security corted access to the protected area and for individuals posts should be described. not employed by the licensee but who require frequent and extended access to the protected are

a. Instruc

5.6 Isolation Zones (10 CFR 73.46(c)(3)) tions that badged individuals receive in proper badge procedures should also be described, along with proce This section should describe the location and size dures for control of nonbadged emergency response of all isolation zones at the facility. The section should individuals during emergency situations.

affirm that the zones will be maintained clear of ob stacles or structures.

6.2 Access to Vital Areas, Material Access

5.7 Illumination (10 CFR 73.46(c)(4)) Areas, and Controlled Access Areas (10 CFR

73.45(b)(2) and 73.46(d)(2))

This section should describe the lighting system at the facility that ensures necessary illumination for all This section should describe procedures for deter required monitoring, observation, and assessment mining an individual's need for access to a vital area, activities. material access area, or controlled access area; proce dures for the distribution and maintenance of lists of

5.8 Storage of Strategic Special Nuclear authorized individuals; procedures for ensuring the Material maintenance of the two-man rule within material ac cess areas; and procedures for ensuring that no activi

5.8.1 Vaults (10 CFR 73.46(c)(5)(i)) ties other than those that require access to strategic special nuclear material or necessary maintenance are This section should describe the purpose of each permitted within material access areas. This section vault located within the facility and the wall, floor, and should also describe methods used to visually identify ceiling construction of each vault. The location and individuals who have authorized unescorted access to type of entry portal to the vault should be described. vital areas, material access areas, or controlled access areas. This description should note differences in pro

5.8.2 Tamper-Indicating Containers (10 cedures, if any, between working and nonworking CFR 73.46(c) (5) (ii)) hours (i.e., nights, weekends, and holidays) and nor This section should describe the construction and mal versus emergency conditions.

use of tamper-indicating containers in the storage of SSNM other than alloys, fuel elements, or fuel

6.3 Access Controls at the Protected Area assemblies.

5.8.3 Process Material Access Areas (10 6.3.1 Personnel (10 CFR 73.45(f)(1) and CFR 73.46(c)(5)(iii) and (iv)) (2), 73.46(d)(4)(i) and (ii))

This section should describe the purpose of each This section should describe how the licensee will process material access area at the site and the pro control all points of personnel access into the pro tection afforded SSNM (other than alloys, fuel ele tected area, under both normal and emergency condi ments, or fuel assemblies) while within these material tions. This description should include the methods access areas. Both physical and procedural protective used to identify individuals, methods used to verify in measures should be described.

dividuals' authorizations, methods used to verify emer gency conditions, and procedures for conducting

5.9 Storage of Enriched Uranium Scrap (10 CFR

searches of individuals for firearms, explosives, and in

73.46(c) (6))

cendiary devices. Individuals exempted from any of This section should describe the locations used for the aforementioned access controls should be de storage of enriched uranium scrap and the protection scribed. The distribution and maintenance of authori (physical and procedural) afforded these locations. zation lists should also be described.

5.52-5

6.3.2 Hand-Carried Packages (10 CFR 6.4 Access Controls at Vital Areas, Material

73.45(f)(1) and (2), 73.46(d)(3) and Access Areas, and Controlled Access Areas

(5))

6.4.1 Personnel (10 CFR 73.45(b)(2) and This section should affirm that the licensee will 73.46(d) (9))

establish and follow written procedures that will permit This section should describe the methods used by access-control personnel to identify materials in hand the licensee to control all points of personnel access to carried packages that are not authorized entry to the material access areas, vital areas, and controlled ac protected area, during both normal and emergency cess areas, including methods used to verify identifica conditions. Further, this section should describe procedures for searching hand-carried packages at tion and authorization. Personnel exit searches from material access areas should also be described.

personnel and vehicle access points for firearms, ex plosives, and incendiary devices. The development, 6.4.2 Material (10 CFR 73.45(b)(2) and distribution, and maintenance of lists of authorized (or

73.46(d) (9))

unauthorized) materials should be described.

This section should describe procedures for verify ing material entry authorizations and procedures for

6.3.3 Delivered Packages (10 CFR verifying quantity and type of materia

l. This section

73.45(f)(1) and (2), 73.46(d)(3)

and (6)) should describe the procedures and equipment used to detect unauthorized materials that are hand-carried by This section should affirm that the licensee will es authorized individuals or mailed or otherwise shipped tablish and follow written procedures that will permit as part of an authorized shipment. Describe how con access-control personnel to identify materials in deliv ditions differ between regular working hours and non ered packages that are not authorized entry to the working hours (i.e., nights, weekends, and holidays).

protected area during both normal and emergency 6.4.3 Vehicles (10 CFR 73.45(b)(2);

conditions. Further, methods used to check for proper identification and authorization should be described 73.46(d)(3) and (9))

along with search procedures for firearms, explosives, This section should describe methods used to con and incendiary devices. Any activities exempted from trol all points of vehicle access (e.g., under both non the above procedures should be described. The devel emergency and emergency conditions) to material opment, distribution, and maintenance of authorized access areas, vital areas, and controlled access areas, (or unauthorized) materials lists should be described. including the establishment and maintenance of written procedures that will permit access control per

6.3.4 Vehicles (10 CFR 73.45(f)(1) and (2), sonnel to identify those vehicles that are authorized

73.46(d)(3), 73.46(d)(4)(i), entry to material access and vital area

s. Vehicle exit

73.46(d) (7), and 73.46(d) (8)) searches should-also be described.

This section should describe procedures used for 6.5 Material Access Area Exit Search of controlling all points of vehicle access (nonemergency Contaminated Waste (10 CFR

and emergency) into the protected area and should de 73.46(d)(10) and (12))

scribe how written procedures are established and fol This section should describe procedures and areas lowed that will permit access-control personnel to used for searching contaminated wastes coming from a identify vehicles that are authorized entry to the pro material access area.

tected area. The distribution and maintenance of these procedures should be describe

d. Search procedures of

6.6 Shipment of Strategic Special Nuclear all vehicles requiring entry to the protected area for Material Offsite (10 CFR 73.46(d) (11)

firearms, explosives, and incendiary devices should and (12))

also be described. Any vehicles exempted from the aforementioned procedures should be described. Pro This section should describe containers and areas, cedures used for escorting vehicles within the pro as well as procedures, used for shipping strategic spe tected area and areas where vehicles may have access, cial nuclear material offsite.

along with the purpose for the access, should be de 6.7 Escorts and Escorted Individuals (10 CFR

scribed.

73.46(d) (13))

This section should identify, by job function, those

6.3.5 Designated Licensee Vehicle (10 CFR individuals who may be designated as escorts and de

73.46 (d) (8))

scribe procedures used for escorting individuals during This section should describe the control and use of both routine and emergency situations. Such proce designated licensee vehicles within the protected area. dures should describe individuals requiring escort,

5.52-6

badging procedures, training that escorts receive, and 7.4 Duress Alarms (10 CFR 73.46(e)(4))

recordkeeping. This section should describe the security stations and individuals that are provided with duress alarms.

6.8 Keys, Locks, and Combinations (10 CFR The type of duress alarms used should be described.

73.46(d) (14))

7.5 Central and Secondary Alarm Stations (10

This section should describe licensee procedures CFR 73.45(g) (5) and 73.46(e) (5))

for controlling all keys, locks, combinations, and re lated equipment used to control access to protected, This section should describe the location and con material access, vital, and controlled access areas. struction of the central and secondary alarm stations.

The description should include the circumstances un Methods used for annunciation of required alarms der which such keys, locks, etc., are changed and pro should be described, along with protection afforded cedures followed when an employee with access to the stations, both procedural and physical, so that a such keys, locks, etc., terminates employment. single act cannot remove the capability of calling for assistance or responding to an alarm. The licensee should affirm that the central alarm station will not

6.9 Records (10 CFR 73.46(d)(3), (10), and

(13)) contain any operational activities that would interfere with the execution of alarm response functions.

This section should describe recordkeeping proce dures for (1) current written procedures that permit 7.6 Power Sources (10 CFR 73.46(e)(6))

access-control personnel to identify vehicles that are This section should describe types of security authorized and identify materials that are not autho equipment, including alarms, capable of being oper rized entry to protected, material access, and vital ar ated from independent power sources, the duration of eas, (2) findings of drum-scanning and tamper-sealing operation in the event of loss of normal power, and the of containers of contaminated wastes coming from ma indications given upon loss of normal power and terial access areas, and (3) the required log of escorted switchover to standby power. This section should also individuals.

affirm that switchover to standby power will be auto matic and will not cause false alarms.

7. DETECTION, SURVEILLANCE, AND

ALARM SUBSYSTEMS 7.7 Component Supervision (10 CFR

73.46(e) (7))

7.1 Isolation Zone Penetration (10 CFR This section should describe the physical protec

73.45(f)(1)(ii) and 73.46(e)(1))

tion afforded to alarm systems, including transmission This section should describe licensee commit media, to ensure that the system is not being tampered ments for capabilities to detect penetration through re with, compromised, or on standby power without the quired isolation zones. Generic equipment types, along knowledge of the licensee. This section should de with associated detection capabilities, should be de scribe the annunciation systems at the alarm stations scribed. and commit the licensee to indicate the status of all alarms and alarm zones in the alarm stations.

7.2 Emergency Exits (10 CFR 73.46(e)(2) and

(5)) 7.8 External Protected Area Monitoring and Assessment (10 CFR 73.45(c) and This section should describe the location of all 73.46(e) (8))

emergency exits and describe the protection afforded This section should describe methods used to them. monitor all exterior areas within the protected area and the duration or periodicity of such monitoring.

7.3 Material Access Area and Vital Area Protec Criteria used in defining authorized and unauthorized tion (10 CFR 73.45(b)(1)(ii) and 73.46(e)(3)) activities and conditions within the protected area This section should describe protection afforded should be described, along with methods for develop ing, maintaining, and distributing lists of authorized ac

(1) unoccupied vital and material access areas, (2) the tivities and conditions.

location of strategic special nuclear material within process material access areas, and (3) vaults and pro 7.9 Observation Methods within Material Access cess areas that contain strategic special nuclear materi Areas (10 CFR 73.46(e)(9))

al that has not been alloyed or encapsulated, including a description of procedures for access to these particu This section should describe methods used to ob lar vaults and process areas. Generic equipment types serve individuals within material access areas to ensure used to provide this protection, along with associated that strategic special nuclear material is not moved to detection capabilities, should be described. unauthorized locations or moved in an unauthorized

5.52-7

manner. The duration or periodicity of such monitor ter initial installation, but before full-time operation).

ing should be described along with criteria used in This description should include the purpose for and defining authorized and unauthorized activities and the intended level of the testing and inspection pro conditions within the material access area. Methods gram.

for developing, maintaining, and distributing lists of authorized activities and conditions should be 9.3 Operational Tests (10 CFR 73.46(g)(3))

described. This section should describe the testing and main tenance program for (1) intrusion alarms, (2) emer

8. COMMUNICATIONS SUBSYSTEMS gency exit alarms, (3) communications equipment, (4)

physical barriers, and (5) other physical-protection

8.1 Security Force Communications (10 CFR related devices and equipment, used pursuant to 10

73.45(g) (4) and 73.46(f) (1)) CFR 73.46, during routine operation. This description This section should describe how each guard, should include the purpose for and the intended level watchman, or armed response individual on duty will of the testing and maintenance program. In addition, be capable of maintaining continuous communications specific methods for testing each type of equipment with the individual in each continuously manned alarm should be included in the description, along with perio station. This section should also describe how the indi dicity of testing.

vidual in each continuously manned alarm station will be capable of calling for assistance from other guards, 9.4 Preventive Maintenance Programs (10 CFR

73.46(g)(4) and (5))

watchmen, and armed response personnel and from law enforcement authorities. This section should describe the preventive main tenance program established to ensure that all

8.2 Alarm Station Communications (10 CFR physical-protection-related subsystems and compo

73.46(f) (2)) nents are maintained in operable and effective condi This section should describe the redundant sys tion. This section should also describe corrective ac tems used to ensure the capability of communications tions or compensatory measures used in the event of component failure within physical protection systems.

with the local law enforcement authority.

9.5 Repairs and Maintenance (10 CFR 8.3 Power Sources (10 CFR 73.46(0(3)) 73.46(g) (5))

This section should describe methods used by the This section should describe procedures used in licensee to keep nonportable communications equip performing repairs and maintenance of physical pro ment controlled by the licensee operable in the event tection systems.

of loss of normal power.

9.6 Reviews and Audits (10 CFR 73.46(g)(6))

9. TEST AND MAINTENANCE PROGRAMS

This section should describe the applicant's review and audit of the security progra

m. This description

9.1 Installation and Construction Tests (10 CFR

73.46(g) (1)) should include the periodicity of the review and audit, a description of who will conduct the review and audit, This section should describe the testing and in items covered by the review and audit, how the review spection program for (1) intrusion alarms, (2) emer and audit will be documented, to whom the review and gency exit alarms, (3) communications equipment, (4) audit documentation will be provided for review, and physical barriers, and (5) other physical-protection the recordkeeping associated with the review and related devices and equipment, used pursuant to 10 audit.

CFR 73.46, during the installation and construction of the physical protection subsystems and components. 10. CONTINGENCY RESPONSE PLANS AND

This description should also include the purpose for PROCEDURES

and the intended level of the testing and inspection

10.1 Contingency Plan Documentation (10 CFR

program.

73.45(g)(2) and 73.46(h)(1))

9.2 Pre-Operational Tests (10 CFR 73.46(g)(2)) This section should affirm that the licensee will This section should describe the testing and in have an approved safeguards contingency plan for spection program for (1) intrusion alarms, (2) emer dealing with threats, thefts, and radiological sabotage gency exit alarms, (3) communications equipment, (4)

physical barriers, and (5) other physical-protection related devices and equipment, used pursuant to 10

related to the strategic special nuclear material and nu clear facilities subject to 10 CFR 73.46. These plans should be developed in accordance with the criteria in L1 CFR 73.46, within the pre-operational time frame (af- Appendix C to Part 73 and should cover, but not nec-

5.52-8

essarily be limited to, the response requirements of 10 10.8 Unoccupied Material Access Area (Alloyed/

CFR 73.46(h) (2) through (h)(5). Encapsulated Strategic Special Nuclear Material) Alarm Assessment (10 CFR

73.46(h) (8))

10.2 Local Law Enforcement Agency Liaison (10 This section should describe methods used for as CFR 73.46(h)(2)) sessing alarms occurring within unoccupied material access areas that contain only alloyed or encapsulated This section should describe the documented re strategic special nuclear material.

sponse arrangements that the applicant has made with local law enforcement agencies. It should also include 10.9 Records (10 CFR 73.46(h)(1) and (2))

estimated response times. This section should describe how the licensee will establish, maintain, and retain as a record the current

10.3 Tactical Response Force (10 CFR safeguards contingency pla

n. Until the Commission

73.46(h) (3)) terminates the license, if any portion of the plan is su perseded, the licensee should retain the superseded This section should describe the number of tacti portion for 3 years after the date of the change. This cal response team members immediately available for section should also describe the licensee's records of response and the duties they will be assigned. In addi agreements with local law enforcement agencies.

tion, the required force of guards or armed responders available to assist the tactical response team should be 11. AUTHORIZED PLACEMENT AND

MOVEMENT OF STRATEGIC SPECIAL

described, along with a discussion of the rationale for NUCLEAR MATERIAL WITHIN

determining the number of individuals in this force of MATERIAL ACCESS AREAS

guards or armed responders and the availability of this force. 11.1 General (10 CFR 73.45(d))

This section should describe the purpose and ob jective of the measures used to control movement and

10.4 Response Procedures (10 CFR 73.45(g)(1)

and 73.46(h) (4)) placement of strategic special nuclear material.

This section should describe the applicant's re 11.2 Establishment of Authorized Placement and Movement of Strategic Special Nuclear sponse procedures for dealing with detection of abnor Material (10 CFR 73.45(d) (1) (i) and (iii))

mal presence or activity of persons or vehicles within This section should describe the criteria to be used an isolation zone, a protected area, a material access to delineate the authorized placement and movement area, or a vital area or evidence or indication of intru of strategic special nuclear material within each materi sion into a protected area, a material access area, or a al access area. For each material access area, the loca vital area. Methods for assessing the threat and neu tions within the material access area for which the tralizing the threat should be described.

placement and movement of the strategic special nu clear material are to be authorized should be provided.

10.5 Use of Force (10 CFR 73.46(h)(5)) The development, maintenance, and distribution of schedules of authorized placement and movement of This section should describe the instructions that strategic special nuclear material should also be de guards and armed responders will receive in the use of scribed.

force in the prevention or impeding of theft of strategic special nuclear material. 11.3 Establishment of Current Knowledge of Strategic Special Nuclear Material (10 CFR

73.45(d)(1)(i) and (ii))

10.6 Protected Area Alarm Assessment (10 CFR This section should describe, for each material ac

73.46(h) (6) cess area, the components to be used to verify the type, quantity, and location of strategic special nuclear This section should describe methods used for material within the material access area. Procedures providing assessment of all protected area alarms.

and frequency of activities used to monitor or verify the location of strategic special nuclear material should

10.7 Unoccupied Vault and Material Access be described.

Area Alarm Assessment (10 CFR

173.46(h) (7)) 11.4 Prevention of Unauthorized Placement and Movement of Strategic Special Nuclear This section should describe methods used for as Material (10 CFR 73.45(c) and

73.45 (d) (1) (iv))

sessing alarms occurring within unoccupied vaults and unoccupied material access areas containing unalloyed This section should describe the measures to be or unencapsulated strategic special nuclear material. used to detect the unauthorized placement and move-

5.52-9

ment of strategic special nuclear material within each Further, this section should describe the components material access area. Also, the containment of strate to be used to detect unauthorized removal of strategic gic special nuclear material, when the material is be special nuclear material. The components to be used tween the vault and process machinery, should be de to deter unauthorized attempts to remove strategic spe scribed. cial nuclear material from material access areas should be described. Procedures and controls should be dis

12. REMOVAL OF STRATEGIC SPECIAL cussed for both normal conditions (e.g., regular work NUCLEAR MATERIAL THROUGH ing hours and nonworking hours) and emergency con MATERIAL ACCESS AREA PORTALS ditions. Procedures used to verify that an emergency condition exists should be described.

12.1 Development of Authorization Procedures for Removal (10 CFR 73.45(e)(2)(i) and 13. COMPENSATORY MEASURES FOR

(0)) PHYSICAL PROTECTION COMPONENTS

(APPENDIX A)

This section should describe how authorization procedures for removal are developed. It should also This section should describe (in generic terms)

describe how lists of authorized personnel are to be compensatory measures to be taken in the event of a developed, distributed, and maintained. failed or degraded component of the physical protec tion system. (This section may be an appendix to the

12.2 Procedures and Controls for Strategic physical protection plan, if desired.)

Special Nuclear Material Removal (Including Scrap and Waste) (10 CFR 14. SPECIAL SITUATIONS OR CONDITIONS

73.45 (e) (2)) AFFECTING PHYSICAL PROTECTION

(APPENDIX B)

This section should describe how the identification and authorization of each person presenting strategic This section should describe long-term, site special nuclear material for removal from a material specific unique situations not covered by the main access area are to be verified. The confirmation of ver body of the physical protection plan (e.g., decommis ification of authorization, type, and quantity of strate sioning activities). (This section may be an appendix to gic special nuclear material should also be described. the physical protection plan, if desired.)

5.52-10

REGULATORY ANALYSIS

A separate regulatory analysis was not performed for this regulatory guide. The regulatory analysis prepared for amendments to 10 CFR 73.46 in 1988 provides the regulatory basis for this guide and examines the costs and benefits of the rule (as implemented by the guide.) A copy of this regulatory analysis is available for inspection and copying for a fee at the NRC Public Docu ment Room, 2120 L Street NW., Washington DC, as Enclosure E to Secy 88-250.

5.52-11

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