Regulatory Guide 5.52

Standard Format and Content for the Physical Protection Section of a License Application (for Facilities Other than Nuclear Power Plants)

ML13064A079
Person / Time
Issue date:	05/31/1975
From:	NRC/OSD
To:
References
RG-5.052
Download: ML13064A079 (68)

U.S. NUCLEAR REGULATORY COMMISSIONREGULATORY GUIDEOFFICE OF STANDARDS DEVELOPMENTREGULATORY GUIDE 5.52STANDARD FORMAT AND CONTENTFOR THE PHYSICAL PROTECTION SECTIONOF A LICENSE APPLICATION(FOR FACILITIES OTHER THAN NUCLEAR POWER PLANTS)May 1975USNRC REGULATORY GUIDES Coriments should be sent to the Secretary of the Commission. U.S. NuclearRegulatory Guides are issued to describe and make available to the public Regulatory Commission, Washington. D.C, 20555. Attention Docketing andmethods 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 divisionsating specific problems or postulated accidents, or to provide guidance to applicants. Regulatory Guides are not substitutes for regulations, and compliance 1. Power Reactors 6. Productswith them is not required. Methods and solutions different from those set out in 2. Research and Test Reactors 7 Transportationthe guides will be acceptable if they provide a basis for the findings requisite to 3. Fuels and Materials Facilities 8. Occupational Healt"thy issuance or continuance of a permit or license by the Commission 4. Environmental and Siting 9. Antitrust ReviewComments and suggestions for improvements in these guides are encouraged 5. Materials and Plant Protection 10 Generalat all times, and guides will be revised, as appropriate, to accommodate commeets and to reflect new information or experience. However. cumin-ts on Copies of published guides may be obtained by written request indicating thethis 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.ticularly useful -n evaluating the need for an early revision. 20565. Attention: Director, Office of Standards Development

TABLE OF CONTENTSPAGE N

O. INTRODUCTION

................................................. 5.52-11Purpose and Applicability .............................. 5.52-12Use of the Standard Format ............................. 5.52-13Style and Composition ................................... 5.52-13Physical Specifications of Submittals ................. 5.52-14Procedures for Updating or Revising Pages ............. 5.52-15Number of Copies ........................................ 5.52-15Public Disclosure ....................................... 5.52-15Compatibility ........................................... 5.52-15PRELIMINARY PHYSICAL SECURITY PLAN ........................ 5.52-16PART I OF THE PHYSICAL SECURITY PLAN FOR FIXED SITES ....... 5.52-17CHAPTER 1 SITE AND FACILITY DESCRIPTIONS1.1 General Layout ........................................... 5.52-181.1.1 Local Law Enforcement Authorities ............... 5.52-181.1.2 Alarm Stations .................................. 5.52-18CHAPTER 2 DESIGN OF STRUCTURES, SYSTEMS,COMPONENTS, AND EQUIPMENT2.1 Design Information ....................................... 5.52-192.2 Design Considerations ................................... 5.52-192.2.1 Design Basis Incident ............................ 5.52-192.2.2 Design Bases ..................................... 5.52-202.2.3 Design Criteria .................................. 5.52-202.2.4 Design Features .................................. 5.52-202.2.5 Design Relationships ............................ 5.52-202.3 General Criteria ........................................ 5.52-202.3.1 Assurance of Quality ............................ 5.52-212.3.2 Process, Components, and Material Isolation .... 5.52-212.3.3 Equipment Design and Placement ................. 5.52-212.3.4 Inspection and Test Capability ................. 5.52-215.52-3 TABLE OF CONTENTS (Continued)PAGE NO.2.4 Specific Criteria ..................................... 5.52-212.4.1 Physical Barriers .............................. 5.52-212.4.2 Plant Isolation .................................. 5.52-222.4.3 Protective Lighting ............................ 5.52-222.4.4 Personnel, Package, and Vehicle Control ....... 5.52-222.4..5 Shipping and Receiving ........................... 5.52-232.4.6 Surveillance Capability ........................ 5.52-232.4.7 Communications .................................... 5.52-232.4.8 Emergency Monitoring Capability ................ 5.52-232.4..9 Intrusion Alarm System ......................... 5.52-232.4.10 Storage of SNM ................................... 5.52-24CHAPTER 3 QUALITY ASSURANCE3.1 Quality Assurance During Design and Construction ..... 5.52-253.1.1 Organization ................................... 5.52-253.1.2 Quality Assurance Program ..................... 5.52-263.1.3 Design Control ................................. 5.52-263.1.4 Procurement Document Control .................... 5.52-263.1.5 Instructions, Procedures, and Drawings ........ 5.52-263.1.6 Document Control ............................... 5.52-273.1.7 Control of Purchased Material, Equipment,and Services ...................................... 5.52-273.1.8 Identification and Control of Materials,Parts, and Components ........................... 5.52-273.1.9 Control of Special Processes .......... ..... 5.52-273.1.10 Inspection ..................................... 5.52-273.1.11 Test Control ..................................... 5.52-283.1.12 Control of Measuring and Test Equipment ....... 5.52-283.1.13 Handling, Storage, and Shipping ................ 5.52-283.1.14 Inspection, Test, and Operating Status ........ 5.52-283.1.15 Nonconforming Materials, Parts, orComponents ....................................... 5.52-283.1.16 Corrective Action ............................... 5.52-283.1.17 Quality Assurance Records ..................... 5.52-29.3.1.18 Audits ........................................ .5.52-293.2 Quality Assurance Program for System Operation ........ ..5.52-295.52-4 TABLE OF CONTENTS (Continued)PAGE NO.CHAPTER 4 SECURITY ORGANIZATION4.1 Management Organization ................................. 5.52-304.2 Security Organization ......... ....................... 5.52-304.3 Security Personnel... ................................... 5.52-304.3.1 Qualification .................................... 5.52-304.3.2 Screening ...................................... 5.52-304.3.3 Training Program ................................ 5.52-314.3.4 Tests and Records ................................ 5.52-314.4 Security Equipment .................................... 5.52-314.5 Posts and Patrol ........................................ 5.52-324.6 Drills ................................................ 5.52-32CHAPTER 5 SECURITY AREAS5.1 Protected Areas ......................................... 5.52-335.1.1 Physical Barriers ................................ 5.52-335.1.2 Isolation Zones .................................. 5.52-345.2 Vital Areas and Material Access Areas ................ 5.52-345.2.1 Exterior ......................................... 5.52-345.2.2 Walls, Floors, and Ceilings .................... 5.52-345.2.3 Points of Ingress and Egress .................. 5.52-355.2.4 Vaults ......................................... 5.52-35CHAPTER 6 ACCESS CONTROLS6.1 Badge System ............................................ 5.52-366.1.1 General Description .............................. 5.52-366.1.2 Types of Badges .................................. 5.52-366.1.3 Coding ............................................. 5.52-366.1.4 Control System ................................... 5.52-366.1.5 Utilization ...................................... 5.52-366.2 Access Authorization .................................... 5.52-375.52-5 TABLE OF CONTENTS (Continued)6.3 Access Registration ..................................6.4 Personnel Escort .....................................6.5 Personnel Access .....................................6.5.1 Protected Areas ................................6.5.2 Vital Areas and Material Access Areas .........6.6 Vehicle Access .......................................6.6.1 Vehicle Access Points .........................6.6.2 Protected Areas ...............................6.6.3 Material Access and Vital Areas ...............6.7 Keys, Locks, and Combinations .........................6.7.1 Types and Kinds of Locks .......................6.7.2 Keys ..........................................6.7.3 Combinations ..................................PAGE NO.5.52-375.52-375.52-375.52-375.52-385.52-395.52-395.52-405.52-405.52-405.52-405.52-405.52-415.52-425.52-435.52-435.52-437.17.27.37.4CHAPTER 7 INTRUSION AND DETECTION DEVICESDesign and Performance Characteristics ...............Isolation Zone Monitoring ............................Annunciators ...........................................Emergency Power .......................................8.1 Facilities...........................................8.2 Staffing .............................................8.3 Alarm Equipment ......................................8.4 Communication Systems ................................8.4.1 Telephones ....................................8.4.2 Local Communications ..........................8.4..3 Radio Communications ...........................5.52-445.52-445.52-445.52-445.52-445.52-445.52-455.52-6 TABLE OF CONTENTS (Continued)PAGE NO.CHAPTER 9 RESPONSE TO SECURITY CONTINGENCIES9.1 Organization and Procedures ............................ 5.52-469.1.1 Security Threats and Alarm Annunciations ...... 5.52-469.1.2 Other Contingencies ............................. 5.52-469.2 Action Response ......................................... 5.52-479.2.1 Size and Composition of Forces ................ 5.52-479.2.2 Arrangements ..................................... 5.52-47CHAPTER 10 LOCAL LAW ENFORCEMENT AUTHORITIES10.1 Size of Force ......................................... 5.52-4810.2 Kind of Assistance ...................................... 5.52-4810.3 Arrangements ............................................ 5.52-48CHAPTER 11 REPORTS TO THE NRC11.1 Incidents ............................................ 5.52-4911.2 Unusual Occurrences ................................. ; .5.52-4911.3 Security Plan Changes ................................... 5.52-49PART II OF THE PHYSICAL SECURITY PLAN FOR FIXED SITES ..... 5.52-50CHAPTER 12 TESTS AND INSPECTIONS12.1 Physical Barriers and Access Points .................. 5.52-5112.2 Alarms and Annunciators ................................. 5.52-5112.3 Contraband Detectors .................................... 5.52-5112.4 Communications .......................................... 5.52-5112.5 Other Security-Related Equipment ..................... 5.52-5112.6 Special Procedures ...................................... 5.52-515.52-7 TABLE OF CONTENTS (Continued)PAGE NO.CHAPTER 13 SECURITY RECORDS13.1 Security Tours, Inspections, and Tests .............. 5.52-5213.2 Maintenance .......................................... 5.52-5213.3 Alarm Annunciations .................................. 5.52-5213.4 Security Response.................................... 5.52-5213.5 Authorized Individuals ................................. 5.52-5213.6 Access To Vital Equipment and Vital Areas ........... 5.52-5213.7 Access To SNM and Material Access Areas ............. 5.52-5313.8 Nonemployee Access ..................................... 5.52-5313.9 Employees .............................................. 5.52-5313.10 Changes in Security Plan Not Approved by the NRC .... 5.52-53CHAPTER 14 SECURITY AUDITS14.1 Program Audit .......................................... 5.52-5414.2 Compliance Audits ...................................... 5.52-54PART III PHYSICAL SECURITY PLAN FOR SPECIAL NUCLEARMATERIAL IN TRANSIT ................................ 5.52-55CHAPTER 15 SCOPE OF THE PLANCHAPTER 16 PLANNING16.1 Shipments Involving Common or Contract Carriers ..... 5.52-5716.2 Transit Time ........................................... 5.52-575.52-8 TABLE OF CONTENTS (Continued)PAGE NO.16.3 Transfers .................................................. 5.52-5716.3.1 Shipments by Road ................................. 5.52-5716.3.2 Shipments by Sea or Water...................... 5.52-5716.4 Secure Compartment for Shipments by Sea ............... 5.52-5816.5 En Route Storage ........................................ 5.52-5816.6 Communications Planning ................................. 5.52-58CHAPTER 17 EQUIPMENT FOR THE PROTECTION OF SNM SHIPMENTS17.1 Vehicles for Shipments by Road ......................... 5.52-5917.2 Communications Equipment ................................ 5.52-5917.2.1 Shipments by Road or Rail ......................... 5.52-5917.2.2 Shipments by Road Involving Escorts ............ 5.52-5917.3 Seals and Locks ......................................... 5.52-5917.4 Containers .............................................. 5.52-6017.5 Transport Vehicle Markings. ............................ 5.52-6017.6 Security Personnel Equipment ........................... 5.52-60CHAPTER 18 SECURITY PERSONNEL18.1 General Description ..................................... 5.52-6118.2 Selection ............................................... 5.52-6118.3 Training ................................................. 5.52-6118.4 Qualification .......................................... 5.52-61CHAPTER 19 OPERATIONS19.1 Communications Operations ............................... 5.52-625.52-9 TABLE OF CONTENTS (Continued)PAGE NO.19.2 Escorts ................................................. 5.52-6219.2.1 Shipments by Road ................................ 5.52-6219.2.2 Shipments by Road or by Rail ..................... 5.52-6219.2.3 Export Shipments by Sea or by Air .............. 5.52-6219.3 Monitors ................................................ 5.52-6319.3.1 Nuclear Shipment Not Scheduled for Transfer..... 5.52-6319.3.2 Nuclear Shipment Scheduled for Transfer ........ 5.52-6319.4 Miscellaneous Shipper Responsibilities ................. 5.52-6319.4.1 Locking .......................................... 5.52-6319.4.2 Notification of Consignee ...................... 5.52-6419.4.3 F.O.B. Shipments ................................ 5.52-6419.4.4 Arrangements to Obtain Information fromForeign Consignee ............................... 5.52-6419.4.5 Notification of NRC ............................. 5.52-6419.4.6 Conduct of Trace Investigation .................. 5.52-6519.4.7 Shipper Records .................................. 5.52-6519.5 Miscellaneous Consignee Responsibilities .............. 5.52-6619.5.1 Notifications ................................... 5.52-6619.5.2 Consignee Records ................................ 5.52-6619.5.3 Import Shipments ................................. 5.52-66CHAPTER 20 LOCAL LAW ENFORCEMENT AUTHORITIES20.1 Notification of Local Law Enforcement Authorities ..... 5.52-6720.2 Establishing Contacts ................................. 5.52-6720.3 Contact Renewals .. ..5..........5...-5.52-67CHAPTER 21 TRANSPORTATION SECURITY AUDITS211Pora Audit.21.2 CeAudits................ 5.52-685.52-685.52-10

INTRODUCTIONThe Atomic Energy Act of 1954, as amended, directed the U.S. AtomicEnergy 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 providefor the common defense and security. The Energy Reorganization Act of1974 transferred all the licensing and related regulatory functions ofthe AEC to the Nuclear Regulatory Commission (NRC).The principal requirements with respect to the physical protectionof licensed activities against industrial sabotage and with respect tothe physical protection of special nuclear material in transit are foundin Title 10, Code of Federal Regulations, Part 50 (10 CFR Part 50),"Licensing of Production and Utilization Facilities;" Part 70, "SpecialNuclear Material;" and Part 73, "Physical Protection of Plants andMaterials."Paragraph 50.34(c) of 10 CFR Part 50 and Paragraphs 70.22(g) and70.22(h) of 10 CFR Part 70 identify the physical protection informationthat must be provided in a Physical Security Plan as part of an applicationin order for the applicant to demonstrate compliance with the specificphysical protection requirements of 10 CFR Part 73. A physical protectionsection must be submitted with each application for a license to possessSNM, except for low enriched uranium plants (less than 20 percent U-235)where no physical protection review is required, or for a licenseauthorizing transport or delivery of SNM.This document describes the information required in the physicalprotection section of an application and prescribes a standard formatfor presenting the information in an orderly arrangement.The license application that is submitted under 10 CFR 70.21(f)should include a section containing the information requested in Chapters1 through 3 of this Standard Format. That section should be designatedas the Preliminary Physical Security Plan. In particular, design in-formation of the type requested in Chapter 2 is needed early in thelicensing process to ensure that plant features needed to meet materialsand plant protection requirements are included in the facility design.The format of Parts I and II of the Physical Security Plan for FixedSites 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-235isotope), uranium 233, or plutonium alone or in any combination in aquantity of 5000 grams or more computed by the formula: grams = (gramscontained U-235) + 2.5 (grams U-233 + grams plutonium).5.52-11 The format of Part III, Physical Security Plan for Special NuclearMaterial in Transit, applies to applications for authorization to trans-port or deliver to a carrier for transport SNM of the type and in theamount specified above.The Standard Format has been prepared to minimize lost time attrib-utable to incomplete applications and to standardize the licensingreview process. The applicant is encouraged to prepare his applicationin accordance with the Standard Format and to provide information ineach section to support the conclusion that he will be able to operatein accordance with the pertinent regulations. Although conformance withthe Standard Format is not required, the Standard Format does representa format acceptable to the NRC staff.As developments and changes in the nuclear industry occur, the Com-mission's requirements for information may need modification; revisionsto the Standard Format will be made as necessary to accommodate thesechanges.Purpose and ApplicabilityThis 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 reprocessingplants, fuel manufacturing plants, SNM transportation, or other specialnuclear material operations involving the possession and use of uranium235 (contained in uranium enriched to 20 percent or more in the U-235isotope), uranium 233, or plutonium alone or in any combination in aquantity of 5000 grams or more computed by the formula: grams = (gramscontained U-235) + 2.5 (grams U-233 + grams plutonium). This documentis not intended to be used for nuclear power plants.The information requested in this Standard Format is the minimumneeded for a license application. Additional information may be requiredfor completion of the staff review of a particular application. Theapplicant should include additional information as appropriate. It isalso the applicant's responsibility to be aware of new and revised NRCregulations. The information provided should be up-to-date with respectto the state of technology for the physical protection techniques andsystems that the applicant proposes to use.Information and procedures delineated in Regulatory Guides inDivision 5, "Materials and Plant Protection," and appropriate to certainsections of the Physical Security Plan may be incorporated by reference.The applicant should discuss his plans and programs with the NRC staffbefore preparing his application. This discussion should give particularemphasis to the depth of information required for the plan.5.52-12 Upon receipt of an application, the NRC staff will perform a prelim-inary review to determine whether the application provides a reasonablycomplete presentation of the information needed to form a basis for thefindings required before issuance of a license. The Standard Formatwill be used by the staff as a guideline for identifying the type ofinformation needed. If an application does not provide a reasonablycomplete presentation of the necessary information, further review of anapplication will be suspended until this needed information is provided.Use of the Standard FormatThe applicant should follow the numbering system of the Standard Formatat least down to the level of subsection (e.g., 2.2.3). Under some cir-cumstances certain subsections may not be applicable to a specificapplication. If so, this should be clearly stated and sufficient infor-mation should be provided to support that conclusion.The applicant may wish to submit information in support of hisapplication that is not required by regulations and is not essential tothe description of the applicant's physical protection program. Suchinformation could include, for example, historical data submitted indemonstration of certain criteria, discussion of alternatives consideredby the applicant, or supplementary data regarding assumed models, data,or calculations. This information should be provided as an appendix tothe application.Upon completion of the application, the applicant should use theTable of Contents of the Standard Format as a checklist to ensure thateach subject has been addressed.Style and CompositionA table of contents should be included in each submittal.The applicant should strive for clear, concise presentation ofinformation. Confusing or ambiguous statements and general statementsof intent should be avoided. Definitions and abbreviations should beconsistent throughout the submittal and consistent with generallyaccepted usage.Wherever possible, duplication of information should be avoided.Thus, information already included in other sections of the applicationsmay be covered by specific reference to those sections.Where numerical values are stated, the number of significant figuresshould reflect the accuracy or precision to which the number is known.The use of relative values should be clearly indicated.5.52-13 Drawings, diagrams, and tables should be used when information maybe presented more adequately or conveniently by such means. These illus-trations should be located in the section where they are first referenced.Care should be taken to ensure that all information presented in drawingsis legible, that symbols are defined, and that drawings are not reducedto the extent that they cannot be read by unaided normal eyes.Physical Specifications of SubmittalsAll material submitted in an application should conform to the follow-ing physical dimensions of page size, quality of paper and inks, numberingof pages, etc.:1. Paper SizeText pages: 8-1/2 x 11 inches.Drawings and graphics: 8-1/2 x 11 inches preferred; however, alarger size is acceptable provided the finished copy when foldeddoes not exceed 8-1/2 x 11 inches.2. Paper Stock and InkSuitable quality in substance, paper color, and ink density forhandling and for reproduction by microfilming.3. Page MarginsA margin of no less than one inch is to be maintained on the top,bottom, and binding side of all pages submitted.4. PrintingComposition: text pages should be single spaced.Type face and style: must be suitable for microfilming.Reproduction: may be mechanically or photographically reproduced.All pages of the text may be printed on both sides, and imagesshould be printed head to head.5. BindingPages should be punched for looseleaf ring binding.6. Page NumberingPages should be numbered by section and sequentially within thesection. Do not number the entire report sequentially. (Thisentire Standard Format has been numbered sequentially becausethe individual chapters were too short for sequential numberingwithin each section to be meaningful.)5.52-14

7. Format ReferencesIn the application, references to this Standard Format should beby chapter and section numbers.Procedures for Updating or Revising PagesThe updating or revising of data and text should be on a replace-ment page basis.The changed or revised portion of each page should be highlighted bya vertical line. The line should be on the margin opposite the bindingmargin 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. Thetransmittal letter should include an index page listing the pages to beinserted and the pages to be removed. When major changes or additionsare made, pages for a revised Table of Contents should be provided.Number of CopiesThe applicant should submit the appropriate number of copies ofeach required submittal pursuant to 10 CFR Paragraph 50.30(c) and§70.21.Public DisclosureThe NRC has determined that public disclosure of the details ofphysical protection programs is not in the public interest, and suchdetails are withheld pursuant to Paragraph 2.790(d) of 10 CFR Part 2.Thus, the physical protection section of each application should besubmitted as a separate enclosure. Other proprietary and classifiedinformation should be clearly identified and submitted in separateenclosures. Each such submission of proprietary information shouldbe accompanied by the applicant's detailed reasons and justificationsfor requesting exemption from public disclosure, as required inParagraph 2.790(b) of 10 CFR Part 2.CompatibilityThe applicant should ensure that the Physical Security Plan iscompatible with the other sections of his application.5.52-15 PRELIMINARY PHYSICAL SECURITY PLANA physical protection section must be prepared for a license appli-cation, pursuant to Paragraph 70.21(f) of 10 CFR Part 70, and must besubmitted prior to the beginning of construction. The application sub-mitted prior to construction should describe the preliminary design ofthe plant or transportation system in enough detail to enable a defini-tive evaluation by the NRC staff as to whether the facility can beconstructed with adequate provisions for physical protection of thespecial nuclear material and the plant.For fixed sites, the preliminary plan should contain the informationrequested in Chapters 1 through 3.5.52-16 PART I OF THE PHYSICAL SECURITY PLAN FOR FIXED SITESThis part of the Physical Security Planshould describe the basicsecurity layout and organization of the facility (i.e, the vital equipment,vital areas, material access areas, and isolation zones) and should explainin 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 CHAPTER 1 SITE AND FACILITY DESCRIPTIONSThis chapter should describe the site and identify facilitystrucures and security areas, with emphasis on physical protectionfeatures.1.1 General LayoutProvide scaled drawings showing the site location, the layout ofall facility buildings, and the exact location of all doors, ducts, andother openings in buildings and walls used as barriers. Also show theexact location of all parking areas, access roads, fences, outside scrapstorage areas, natural terrain, landscaped areas, and the areas ownedor exclusively controlled by the applicant. Aerial photographs of theplant and surrounding terrain will be of assistance.1.1.1 Local Law Enforcement AuthoritiesInclude a diagram (e.g., a county map) showing the location of thefacility in relationship to local law enforcement authorities.1.1.2 Alarm StationsInclude a diagram to identify the locations of the continuouslymanned alarm stations, and describe the stations.5.52-18 CHAPTER 2 DESIGN OF STRUCTURES, SYSTEMS, COMPONENTS, AND EQUIPMENTThis chapter of the application should identify, describe, anddiscuss the principal design features of the structures, systems, com-ponents, and equipment important to physical protection.2.1 Design InformationThe design information provided should reflect the most advancedstate of design at the time of submission. If certain informationidentified in the Standard Format is not yet available at the time ofsubmission because the design has not progressed sufficiently at thetime of writing, the application should include the bases and criteriabeing used to develop the required information, the concepts and alter-natives under consideration, and the schedule for completing the designand for submitting the missing information.The application should be modified prior to operation to describein detail the final design of the plant, as well as the operation pro-cedures significant to the physical protection of SNM. Modificationof the design bases, criteria, or features included in the applicationsubmitted prior to construction, as well as any new design bases,criteria, or features, should be identified in the application prior tooperation. The safeguards significance of each such change should beaddressed. The relation of the design bases to the design criteriashould be described.2.2 Design ConsiderationsIn this section briefly discuss the design for the plant structures,systems, components, and equipment important to physical protection. Foreach criterion, a summary should be provided to show how the principaldesign features meet each of the criteria in Sections 2.3 and 2.4. Anyexceptions to the criteria should be identified, and justification foreach exception should be provided. In the discussion of each criterion,refer to sections of the report where more detailed information may bepresented.2.2.1 Design Basis IncidentA "design basis incident" (DBI) is a postulated credible incidentand the resulting conditions for which security-related equipment mustmeet its functional objectives.5.52-19

2.2.2 Design BasesDesign bases for a physical protection system should identify thefunction of the system in providing physical protection of special nuclearmaterial or the plant. For example, certain access control stations,physical barriers, and communications systems, etc., will make up thebasic means for physical protection.2.2.3 Design CriteriaDesign criteria should define the design, fabrication, construction,testing, and performance characteristics associated with the respectivedesign bases identified above for the principal physical protection systemgermane to plant protection and special nuclear material protection.2.2.4 Design FeaturesDesign features should identify characteristics of the physicalprotection system and its parts that will permit the system to satisfythe design criteria. Specific values or ranges of values of designparameters selected as reference bounds for design should be given.These values may include constraints derived from the state of thetechnology or generally accepted practices for achieving functionalphysical 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 designbasis incident for which a system, structure, component, or equipment mustmeet its functional physical protection objectives (e.g., barrier charac-teristics and lighting). For example, the protective lighting system thatprovides 0.2 foot candle of illumination may consist of a network ofburied cables, photoelectric activators, mounted light sources, etc.,having specific features or characteristics.2.2.5 Design RelationshipsThe design descriptions in this chapter should show the inter-relationships whereby design features are selected to meet the designcriteria that have been established to conform to specific design basesfor the physical protection system.2.3 General CriteriaThe following general design criteria should be addressed.5.52-20

2.3.1 Assurance of QualityReference the quality assurance program, as described in Chapter 3,used to ensure that structures, systems, components, and equipmentimportant to physical protection against industrial sabotage and theftare designed, fabricated, erected, and tested to perform satisfactorily inservice. The requirements for quality assurance programs in Part 50,Appendix B, "Quality Assurance Criteria for Nuclear Power Plants and FuelReprocessing Plants," may be used for this purpose.2.3.2 Process, Components, and Material IsolationDescribe the provisions for isolation of vital areas and materialaccess areas that are used to limit the need for access to such areasto only those individuals authorized access for essential purposes (forexample, controlled access, automation, or remote handling techniques).2.3.3 Equipment Design and PlacementDescribe the extent to which equipment not identified as processequipment or vital equipment is located in a vital area or in a materialaccess area. When such equipment is located in a vital area or in amaterial access area, describe limitations on the necessity for accessto such equipment.2.3.4 Inspection and Test CapabilityIndicate how equipment and systems used in processing, storing,transferring, or protecting licensed material or in protecting theplant are designed to facilitate inspections to verify licensee compli-ance with applicable Commission licenses, rules, regulations, and orders.Describe design provisions for testing intrusion alarms, emergencyalarms, communications equipment, physical barriers, and other security-related devices and equipment in accordance with Paragraph 73.50(f) andParagraph 73.60(d) of 10 CFR Part 73.2.4 Specific CriteriaThe following specific design criteria should be addressed.2.4.1 Physical BarriersDescribe the design of the double barrier concept, consisting ofan outer physical barrier, one or more inner physical barriers, andcontrolled passage through each. Describe the design of the outer5.52-21 physical barrier, which should be separated from the inner physicalbarrier or barriers by an intervening area. Indicate how the inter-vening area will be monitored or periodically checked to detect thepresence of individuals or vehicles between the barriers and approachingeither barrier in sufficient time to initiate the necessary guard actionor notify the local law enforcement agency or both.Describe the design for vital areas and material access areas asdefined in Paragraphs (h) and (j), respectively, of §73.2. For example,the plant layout should be designed such that functions such as foodservice and administrative offices that do not require access to suchareas are carried on outside the inner barrier(s).Describe the design features of locks that will permit timelychanging of keys and combinations.2.4.2 Plant IsolationIdentify those design features of the isolation zones on both sidesof the outer physical barrier and of the monitoring system that willdetect the presence of individuals or vehicles in enough time to initiatethe necessary guard action.or notify the local law enforcement authorityor both. Describe how the parking facilities inside the outer barrierare designed to be limited to those for authorized service vehicles.2.4.3 Protective LightingVerify that the clear areas between the inner and outer barriers andthe isolation zone around the outer barriers are designed to be providedwith illumination of at least 0.2 foot candles.2.4.4 Personnel, Package, and Vehicle ControlIdentify the design features that provide for control of all pointsin the outer and inner physical barriers used for personnel, package,or vehicle access (including shipping and receiving areas) so thatidentity and authority for access can be verified. Describe the designof unmanned exits in a physical barrier such as emergency doors or gatessuch that they are operable from the inside only. Describe the designof tamper-indicating alarm systems provided for all passage points ineach inner physical barrier and all emergency exits in the outer physicalbarrier.Describe the design features provided at all access points in theouter barrier to allow entering individuals and packages to be searched5.52-22 for items that could be used for industrial sabotage. Describe thedesign of any devices, equipment, or procedures used to detect the pre-sence of items such as firearms, explosives, and incendiary devices.Describe the design features provided to allow search of packagesprior to entry into a material access area.2.4.5 Shipping and ReceivingIndicate how the design precludes the simultaneous handling, in asingle area, of SNM and non-SNM shipments and receipts. This criterionmay be met, for example, by providing separate docks for SNM and non-SNM.2.4.6 Surveillance CapabilityDescribe the design (e.g., illumination, line-of-sight, etc.) thatwould permit continual direct or remote observation of any individual inmaterial access areas. Also describe how the material access areas andvital areas are locked and protected by intrusion alarm systems whenunoccupied.2.4.7 CommunicationsDescribe the design features of the two-way radio voice communicationsystem available in addition to conventional telephone service betweenlocal law enforcement authorities and the plant. Verify that the systemsare designed to terminate at a continuously manned central alarm stationwithin the outer barrier and designed to permit continuous communicationsbetween that central alarm station and each guard or watchman on dutyat the plant.2.4.8 Emergency Monitoring CapabilityDescribe the design that provides for backup systems such as emergencypower, redundant hardware, and procedural options so that, in the eventof power failure, equipment malfunction, or guard incapacitation, alevel of protection consistent with safety requirements can be provided.2.4.9 Intrusion Alarm SystemDescribe the alarm system designed to annunciate in a continuouslymanned central alarm station located within the protected area and inat least one other continuously manned station, not necessarily withinthe protected area, such that a single act cannot remove the capability5.52-23 of calling for assistance or otherwise responding to an alarm. Indicatethe design for self-checking and tamper-indicating and the design foralarm annunciation at the onsite central alarm station to indicate thetype 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 theperformance and reliability levels indicated by GSA Interim FederalSpecification W-A-00450B (GSA-FSS).2.4.10 Storage of SNMDescribe the design features of the facilities that will be used tostore special nuclear material not in process.5.52-24 CHAPTER 3 QUALITY ASSURANCETo provide assurance that the design, construction, and operationof the physical protection system for a plant are in conformance withapplicable regulatory requirements and with the design bases and criteriaspecified in the license applications, the applicant should establisha Quality Assurance Program (QA Program). In this chapter, the Pre-liminary Physical Security Plan should include a description of the QAProgram to be established and executed for the physical protection systemduring the design and construction stages.Prior to operation, the applicant should describe in his finalplan the QA Program to be established and executed for the operationof the system. The QA Program should be established at the earliestpossible time consistent with the schedule for accomplishing theactivity covered. If some portions of the QA Program have not yet beenestablished at the time of the preconstruction submission because theactivity will be performed in the future, the description should providea schedule for implementation. The QA Program should meet the require-ments of Appendix B of 10 CFR Part 50 that are applicable and appropriateto a physical protection system.If a portion of the QA Program to be implemented will conform toa particular quality assurance standard, such as one adopted by theAmerican National Standards Institute, the description may consistof a statement that the particular standard will be followed. WhereRegulatory Guides have been issued on acceptable methods of implementingportions of the QA Program, the description should specifically indicatewhether the regulatory positions of the Regulatory Guides will be followed.3.1 Quality Assurance During Design and Construction3.1.1 OrganizationOrganization charts for the project should be provided to denotethe lines and areas of responsibility, authority, and communication withineach of the major organizations involved, including those of the applicant,the architect-engineer, the system supplier, the constructor, and theconstruction manager (if different from the constructor). In addition,a single overall organization chart should denote how these companiesinterralate for the specific project.These charts and attendant discussions should clearly indicate theorganizational location, organizational freedom, and authority of theindividual or groups assigned the responsibility for checking, auditing,5.52-25 inspecting, or otherwise verifying that an activity has been correctlyperformed. The charts and discussions should indicate the degree ofthe applicant's involvement in verifying the adequacy of the QA programsimplemented by the applicant's contractors and suppliers, even in thosecases where the applicant has delegated to other organizations the workof 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 bythe QA Program should be identified, along with the major organizationsparticipating in the program and the designated functions of theseorganizations. The written policies, procedures, or instructions thatimplement the QA Program should be described. If these written policies,procedures, or instructions are not yet effective, a schedule for theirimplementation should be provided.3.1.3 Design ControlA description of the design control measures should be provided.Included should be measures to ensure that appropriate quality standardsare specified in design documents and that deviations from such standardsare controlled; measures for the selection and review of suitability ofapplication of materials, parts, equipment, and processes; measures forthe identification and control of design interfaces and for coordinationamong participating organizations; and measures for verifying or checkingadequacy of design, such as by design reviews, alternate or simplifiedcalculational methods, or suitable testing programs. The descriptionsshould also include measures to ensure that design changes, includingfield changes, will be subject to design control measures commensuratewith those applied to the original design and will be reflected inaccurate "as built" drawings and specifications.3.1.4 Procurement Document ControlA description of the procurement document control measures shouldbe provided. Included should be measures to ensure that applicableregulatory requirements, design bases, and other requirements (such asQA Program requirements) which are necessary to obtain adequate qualityare included or referenced in procurement documents.3.1.5 Instructions, Procedures, and DrawingsProvide a description of the measures to be used to ensure thatactivities affecting quality will be prescribed by documented instruc-tions, procedures, or drawings and will be accomplished in accordancewith these instructions, procedures, or drawings.5.52-26

3.1.6 Document ControlA description of document control measures should be provided. Itshould include measures to ensure that documents, including changes, arereviewed for adequacy, approved for release by authorized personnel, anddistributed to and used at the location where the prescribed activityis performed.3.1.7 Control of Purchased Material, Equipment, and ServicesProvide a description of the measures for the control of purchasedmaterial, equipment, and services. Include measures for source evalua-tion and selection, for assessment of the adequacy by means of objectiveevidence of quality furnished by the contractor, for inspection at thecontractor source, and for examination of products delivery. The appli-cant should also describe the measures taken to ensure that documentaryevidence that the material and equipment conform to the procurementrequirements is available at the plant 'site before installation or useof such material or equipment.3.1.8 Identification and Control of Materials, Parts, and ComponentsDescribe the measures to be used for the identification and controlof materials, parts, and components to ensure that incorrect or defec-tive items will not be used.3.1.9 Control of Special ProcessesA description of the measures for the control and accomplishment ofspecial processes should be provided. Included should be a listing ofthe special processes. Include the measures to be used to ensure thatsuch special processes are controlled and accomplished by qualifiedpersonnel using qualified procedures. This section refers to specialprocesses used in the construction and installation of components orsystems, such as welding, casting, or nondestructive testing.3.1.10 InspectionDescribe the program for the inspection of activities affectingquality, indicating specifically the items and activities to be covered.Included should be an organizational description of the individuals orgroups performing inspections, indicating the independence of the inspec-tion group from the group performing the activity being inspected. Alsoindicate how the inspection program for the involved organizations isestablished.5.52-27

3.1.11 Test ControlDescribe the test program used to demonstrate that structures, systems,and components will perform satisfactorily in service. Included shouldbe an outline of the test program, procedures to be developed, meansfor documenting and evaluating test results of the item tested, anddesignation of the responsibility for performing the various phases ofthe program. If a test program is used to verify the adequacy of aspecific design feature, a description of the qualification testing ofa prototype unit should be included.3.1.12 Control of Measuring and Test EquipmentDescribe 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 withinnecessary limits. This section does not refer to devices such as metaldetectors, motion sensors, alarms, and communications equipment thatmake up the protection system, but rather to those devices used to testor calibrate the system devices during installations and preoperationaltesting.3.1.13 Handling, Storage, and ShippingThe applicant should describe the measures used to control handling,storage, shipping, cleaning, and preservation of items in accordance withwork and inspection instructions to prevent damage or deterioration.3.1.14 Inspection, Test, and Operating StatusThe applicant should describe the measures used to indicate theinspection and test status .of items to prevent inadvertent bypassing ofsuch inspections and tests. A description should also be provided ofthe measures for indicating the operating status of the structures,systems, components, and equipment.3.1.15 Nonconforming Materials, Parts, or ComDonentsDescribe the measures used to prevent the inadvertent use of non-conforming materials, parts, or components. Included should be themeans for identification, documentation, segregation, and disposition ofnonconforming material and notification to affected organizations.3.1.16 Corrective ActionThe applicant should describe the measures established to ensurethat conditions adverse to quality are identified and corrected and thatthe cause of significant conditions adverse to quality is determined andcorrective action is taken to preclude repetition.5.52-28

3.1.17 Quality Assurance RecordsDescribe the program for the maintenance of records to furnishevidence of activities affecting quality. Included should be means foridentifying the records, the retention requirements .for the records(including duration, location, and assigned responsibility), and themeans for retrieving the records when needed.3.1.18 AuditsThe applicant should describe the system of audits used to verifycompliance with all aspects of the QA Program and to determine itseffectiveness. 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 resultsare reported.3.2 Quality Assurance Program for System OperationThe applicant should provide a description of the proposed QA Programactivities that will govern the quality of the physical protection systemduring 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 ofthe QA criteria outlined in Section 3.1 above.5.52-29 CHAPTER 4 SECURITY ORGANIZATIONThe information in this chapter should describe the security organi-zation and its relationship to the overall management structure of theapplicant. Security responsibilities and the chain of command fordecision-making on security matters should be included.4.1 Management OrganizationDescribe the management structure for operation of the plant. Anorganization chart should be provided, together with job descriptionsidentifying the functions, responsibilities, and authority for each ofthe positions that involves physical protection. Indicate the organi-zational position responsible for the shift supervision of the securityforce.4.2 Security OrganizationProvide an organization chart of the security force and job descrip-tions for guards and watchmen. Describe the security organization foreach shift. Indicate whether the security force is a part of the facilityorganization or is acquired by contract. If a contract force is used,state the specific functions provided by the contractor. Describe howthe applicant will ensure that the contract functions are performedadequately.4.3 Security PersonnelThe information in this section should describe the qualifications(initial and periodic updating schedule), training, and testing of thesecurity force. See Regulatory Guide 5.20, "Training, Equipping, andQualifying of Guards and Watchmen."4.3.1 QualificationState the minimum qualifications for guards and watchmen. Specifyage, education, physical condition (including minimum vision and hearingstandards), and experience requirements.4.3.2 ScreeningDescribe the system for qualifying, selecting, and hiring of guardsand watchmen. Provide a copy of a typical employment application. Statewhether fingerprints are taken. Describe the policies and proceduresestablished to verify an applicant's employment, military, fingerprint,5.52-30

arrest, and conviction records and to ascertain his character. Indicatewhether information is gathered by letter, by telephone, or in person andwhether a written report of results is prepared.State the organizational unit and position titles of persons whoevaluate applications and have approval authority. State the approvaland rejection criteria. Provide details for NRC security clearance,clearance by another government agency, or bonding for guards or watchmen.4.3.3 Training ProgramDescribe the training program for guards and watchmen provided bythe applicant or contractor, including training in the use of firearms.State the scope and extent of the program; provide an outline or listof topics covered, together with a brief description of the subjectmatter and the time allottedfor each topic.State in general terms the scope, extent, and frequency of plannedrefresher or retraining courses.4.3.4 Tests and RecordsDescribe the program for qualification and annual requalificationof security personnel to demonstrate that they have an understandingof security operating procedures and ability to perform assignedduties. Include the content of the program, by topic and extent oftime spent on each topic. Describe the system for documentation ofqualification and annual requalification. Furnish a copy of a typicaltest or list of questions that will be used to determine the qualifi-cations of a candidate.4.4 Security EquipmentList the equipment provided the guards and watchmen and givedescriptive data or performance characteristics, as appropriate. Forexample:1. Weapons (number, kind, and caliber of firearms; supply of teargas 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 EquipmentCorporation.5.52-31 Also describe the status of the equipment, i.e., who has personalcustody and where it is stored. State the authority of the securityforce to use the equipment. In particular, discuss the authority ofthe security force to carry and use firearms in relation to state andlocal laws.4.5 Posts and PatrolIdentify each guard or watchman post and patrol. Describe the dutiesto be performed by the individual on duty under both normal and threatconditions. State the number of shifts for each post or patrol, for24 hours per day, 7 days a week coverage. Specify the number and typesof individuals (guards or watchmen) assigned to each shift. Provide alayout plan or sketch showing the location of each fixed post. Specifythe scope, extent (i.e., the route), and frequency of each routine patrol.Identify the appropriate permits and sidearms to be maintained by guardsor watchmen and the authority they will have to protect nuclear plantsand materials.4.6 DrillsDescribe security drills that will be conducted to demonstrate thedegree of effectiveness of security measures, procedures, personnel, andequipment. State the frequency of drills and describe records and reportsmade, method of evaluation of results, and procedures for correctiveaction or changes.5.52-32 CHAPTER 5 SECURITY AREASA description of the security areas should be provided in this chapter,including protected areas, isolation zones, material access areas, andvital areas. Reference may be made to the drawings submitted under Section1.1.5.1 Protected AreasProvide a description and a scaled drawing, properly labeled, showingthe 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 wastesewers, water intake and discharge conduits, culverts, creeks, and canals).5.1.1 Physical Barriers5.1.1.1 Fences. Describe the location, type, wire gauge, mesh size,top guard, overall height, and substrata of security fences. State thecomposition and method of installation of posts and the method used toprevent intruders from entering under fences through soft soil or erosionopenings.5.1.1.2 Walls. Describe the location, design, and installation ofsecurity 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 buildingthat forms part of a physical barrier around a protected area. Statethe height, composition, and thickness of exterior walls, roof, andflooring. 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 andgrills) that are provided to protect the barrier openings againstintrusion, 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 emergencyexits in the perimeter of the protected area.5.52-33

5.1.2 Isolation ZonesFurnish a description and provide a scaled drawing of the locationand dimensions of the isolation zones around the physical barriers at theperimeter of each protected area. Identify and describe any objects orstructures within the isolation zones that could conceal or shield anindividual.Indicate the location and spacing of the lighting fixtures for theisolation 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 andlevel of illumination at entry points to the protected areas. Describethe wiring arrangement, power source, and power distribution system.Indicate whether the lighting is controlled by electronic or photoelectricactivators and whether the wiring is protected by metal sheaths or conduit.Describe emergency power provisions.5.2 Vital Areas and Material Access AreasProvide scaled drawings of buildings that contain vital areas andmaterial access areas. Specifically identify vault and vault-type rooms.Show the location of the points of ingress and egress for each of theareas. State the typical amounts, kinds, and forms of special nuclearmaterial in each material access area and identify the process involved.Identify vital equipment and discuss the function of it in each vitalarea.5.2.1 ExteriorWhen an entire building is designated a material access or vitalarea, state the composition and thickness of all exterior walls anddoors. Also state the size, location, and distance above ground ofwindows and other openings. Indicate the composition and thickness ofroof 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 CeilingsFor 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 96square inches. Describe the material and type of installation of barrierssuch as grates, grills, or bars designed to preclude entry by an intruder.5.52-34

5.2.3 Points of Ingress and EgressDescribe the material and method of installation of doors, grates,and emergency exits for each vital and material access area. Statethe type of lock used at each point of ingress and egress, and describeits manipulation-resistant features.5.2.4 VaultsFor each vault describe the composition and thickness of walls,floors, and ceilings. Identify any openings in walls, floors, andceilings other than doors. Describe the composition, size, thickness,and special features of each door. Describe the built-in combinationlock mechanism in each door.5.52-35 CHAPTER 6 ACCESS CONTROLSThis 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 complyingwith NRC requirements for the control of personnel access. RegulatoryGuide 5.12, "General Use of Locks in the Protection and Control ofFacilities and Special Nuclear Materials," provides guidance for complyingwith NRC requirements for the use of locks. Regulatory Guide 5.14, "VisualSurveillance of Individuals in Material Access Areas," provides guidancefor complying with NRC requirements for surveillance of individuals inmaterial access areas.6.1 Badge System6.1.1 General DescriptionProvide a general description of the badge identification systemused 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 areadmitted to security areas. Describe identifying information on thebadge, including color photograph, security clearance, expiration date,and employee name, identification number, address, and signature.6.1.2 Types of BadgesDescribe the different types of badges used in the security program.Explain the tamper-resistant features of each.6.1.3 CodingExplain the system for special numbering (or coding) of badges foraccess to such areas as protected, material access, or vital areas.State whether the badges are designed to distinguish different classesof individuals and escort requirements and whether they show the periodof time for which access is authorized. Also, identify which classesof individuals are permitted to go to what types of areas.6.1.4 Control SystemProvide a description of the system for issuance, accountability,and control of badges.6.1.5 UtilizationState the requirements for wearing or displaying badges on theperson while on site.5.52-36

6.2 Access AuthorizationIdentify by organization component and position title the personsauthorized to approve access of employees, nonemployees, and vehicles,with and without escort, to protected areas, material access areas, andvital areas.State the criteria used in authorizing escorted and unescortedindividuals and vehicles (with positive identification) to access pro-tected areas, material access areas, and vital areas.6.3 Access RegistrationDescribe the system for registering individuals into and out ofsecurity 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 EscortDescribe the personnel escort program, including vehicle driversand the transfer of a visitor from one escort to another. Indicatethe types of individuals required to be escorted within the differentsecurity areas. State the responsibilities of the escort.6.5 Personnel Access6.5.1 Protected Areas6.5.1.1 Access Points. Identify each personnel access point in thephysical barrier for each protected area. Describe the access controlsestablished (such as air lock, double gate, guard post, switch, lock[combination, key, or card key], closed circuit television [CCTV], andalarm)t Describe the period of time when specified coverage is providedfor each access point (in hours per day and days per week).6.5.1.2 Personnel Searches. Describe the system to be used forsearch of persons to detect firearms, explosives, incendiary devices,and other items that could be used for industrial sabotage. Describethe format for random searches for the classes of personnel for whomrandom searches are authorized. Indicate who conducts the search andhow it is coordinated.Where a metal detector is used, describe design and performancecharacteristics, the manufacturer, and the manufacturer's location.5.52-37 State the model specifications and the model's capability for detectingnonferrous metal placed anywhere on the body (in terms of minimum grams,metal type, configuration, and surface area). Give the confidence limitof the device (percent), and give the false (i.e., false negatives andfalse positives) alarm rates (percent maximum). State where and how themetal detector alarm annunciates. If appropriate, state whether the alarmis interfaced with an exit door lock so that with the alarm triggered, aninterlocked exit door cannot be opened from either side without specificaction by the security force. Provide a layout plan, drawing, sketch, orschematic diagram showing detector location and interlocked doors, if any.Where an explosive detector is used, describe its design andperformance features, its location, and its capability for detectingdynamite, TNT, and similar nitrogen products (for example, the minimumnumber of grams it can detect and its dependence on vapor pressure).State the detector's manufacturer, confidence limit (percent), modelspecifications, and false alarm rates (maximum percent). As in the caseof metal detection equipment (above), state where and how the explosivedetector alarm annunciates and whether interlocked doors are utilized,and provide a layout.6.5.1.3 Package Searches. Describe the clearance system, includingrandom 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 industrialsabotage.6.5.2 Vital Areas and Material Access Areas6.5.2.1 Access Points. For each vital area and each materialaccess area, identify each personnel access point and describe the con-trols established (e.g., guard post, lock [combination, key, or cardkey], CCTV, or alarm). Describe the period of time when specifiedcoverage is provided for each access point (in hours per day and daysper week).6.5.2.2 Access Controls. Describe the system for identifying indi-viduals for entrance to each material access area, including vaults andvault-type rooms and each vital area.6.5.2.3 Authorized Individuals. Identify by position titles theindividuals authorized to control admittance to material access areas.6.5.2.4 Surveillance. For material access areas describe themethods to be used on a continuous basis for observing the activitiesof 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 amaterial access area into a protected area. Indicate whether physicalsearches are made or detectors are used. Describe how physical searchesare performed. If detectors are used, describe their design and per-formance characteristics. State their capabilities in terms of detectinggram quantities of Pu, U-233, or U-235 shielded by 3 mm of brass concealedanywhere on an individual, and state applicable confidence limits andfalse alarm rates.If metal detectors are used, state the capability of the metaldetector to detect nonferrous metal shielding (i.e., the minimum number ofgrams 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 ensurethat concealed SNM will be detected. Explain the measures providedto ensure that an individual will remain at a detector for the requiredcounting time. Indicate what provisions are made for the detention ofan individual after an alarm annunciation. If a secure access passagewayis used, state whether the doors of the passageway are interlocked sothat both cannot be simultanously opened and whether the doors are alarmedso that a specific action must be taken by the security force to permiteither door to open without triggering the alarm. State the locationswhere the SNM detector and metal detector alarms annunciate.6.5.2.6 Package Searches. Describe the system for entry search orexamination of packages, valises, tool boxes, or similar items to detectfirearms, explosives, incendiary devices, or counterfeit substitute itemsthat could be used for theft or diversion of special nuclear materialfrom a material access area. Confirm that packages and containers arenot permitted entry into material access areas unless needed in supportof 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 concealmentof special nuclear material before such items are cleared to exit amaterial access area into a protected area.6.6 Vehicle Access6.6.1 Vehicle Access PointsIdentify each vehicle access point to each protected area, materialaccess area, and vital area. Describe the entry and exit controlsestablished (for example, gate, guard posts, escorts, locks (combination,key, or card key), CCTV, and alarms). Describe the period of time when5.52-39 specified coverage is provided for each access point (in hours per dayand 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, protectedareas, and isolation zones.6.6.2 Protected AreasDescribe the system for identification, clearance, escort, andsurveillance of vehicles authorized entry to protected areas. Include adescription of the registry, tags, cards, or decals used. Confirm thatpersonal vehicles are not permitted in the protected area. Describethe system for clearing vehicles that are to exit the protected area.6.6.3 Material Access and Vital AreasDescribe the system to be used for escorting vehicles and driverswho are authorized entry to material access'and vital areas. Describethe system for searching and releasing vehicles before exit from amaterial access area.6.7 Keys, Locks, and Combinations6.7.1 Types and Kinds of LocksState each type of lock used for security or plant protectionpurposes. Describe the design and manipulation-resistant characteristicsof each type of combination lock and the design and pick-resistantfeatures 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 keylock, confirm that it provides the equivalent to a six-pin lock. Reg-ulatory Guide 5.12, "General Use of Locks in the Protection and Controlof Facilities and Special Nuclear Materials," is available for use inpreparing this section.6.7.2 KeysDescribe the system for issuance and control of keys, including cardkeys. State the position titles of persons authorized to approve theissuance of keys for access to each area, vault, or vault-type roomwhere key locks are utilized, and state the criteria for such approvals.Include information as to whether the name, type, and keyway codeof each key-lock device is maintained; whether the number of keys made,names of persons to whom issued, and key location are recorded; and whethergrand master and group master key listings (with number of keys made),names of persons to whom issued, and names of devices each key operates5.52-40

are maintained. Also indicate whether running inventories of blanksfor each keyway code are made; whether locks are rotated; and whetherall keys are periodically inventoried and accounted for.Confirm that locks are changed when a key is lost or when a personwho is authorized to have a key is terminated or reassigned to otherduties. State whether keys for security locks are permitted to be takenoutside the protected area.6.7.3 CombinationsDescribe the system for controlling combinations of locks to minimizethe possibility of compromise. State the titles of persons authorizedto approve the issuance of lock combinations for access to each areawhere combination locks are used. Confirm that combinations are changedperiodically, whenever there is evidence of compromise and whenever anemployee who was authorized to have a combination is terminated orreassigned to other duties.5.52-41 CHAPTER 7 INTRUSION AND DETECTION DEVICESThis chapter should provide technical and performance informationfor alarm systems. The purpose of each alarm device should be stated,but specifications need not be repeated in each paragraph when two ormore identical alarm devices are used.7.1 Design and Performance CharacteristicsFor each of the uses of intrusion and detection alarms and switcheslisted below (in Sections 7.1.1 through 7.1.13) and for any other alarmutilized for security or plant protection, state the purpose andfunction and describe the design, performance characteristics, andmanufacturer specifications. Confirm that alarms are self-checking andtamper-indicating, have a source of emergency power, have fail-safefeatures, and are connected to the central alarm stations. Confirmthat alarms and the line supervisory system meet the minimum performanceand 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 theaccess mode. Indicate the capability for recording status of the alarmedsystem in terms of date, time, system, area affected, and type of alarmsignal.7.1.1 Emergency Exit(s) In the Perimeter of Protected Areas7.1.2 Emergency Exit(s) In Vital Areas and Material Access Areas7.1.3 Protected Areas7.1.4 Vital Areas7.1.5 Material Access Areas7.1.6 Vaults7.1.7 Vault-type Rooms7.1.8 Metal Detector, If Used, At Entrance to Protected Area7.1.9 Explosives Detector, If Used, at Entrance to Protected Area7.1.10 SNM Detector, If Used, At Exit(s) of Material Access Areas7.1.11 Metal Detector, If Used., At Exit(s) of Material Access Areas7.1.12 Open Scrap Storage Area7.1.13 Specify Other Alarms and Switches or Detection Devices5.52-42

7.2 Isolation Zone MonitoringDescribe how the isolation zone will be monitored to detect thepresence of individuals, vehicles, or other objects within the zone soas to allow response by armed members of the security organization tobe initiated at the time of penetration of the protected area. Notethat an automated electronic or electromechanical monitoring deviceis needed and that periodic checking by members of the security forceis not an acceptable means for satisfying the requirements of Paragraph73.50(b)(4). Describe the detection system and the related annunciatorand indicate how they are used. For each system identify the type,capabilities, limitations, and manufacturer.7.3 AnnunciatorsConfirm that each security alarm annunciates in a continuouslymanned central alarm station located within a protected area and in oneother alarm station, not necessarily on site.7.4 Emergency PowerDescribe the location and source of standby, backup, or emergencypower 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 SYSTEMSThis chapter should describe the central alarm and communicationfacilities and equipment provided for the security program. NRC regulationsrequire that all alarms annunciate in a continuously manned central alarmstation located within a protected area and in at least one other con-tinuously manned station, not necessarily within the protected area. Thetwo-way radio voice communication capability provided between the con-tinuously manned central alarm station in a protected area and local lawenforcement authories (LLEAs) also should be described.8.1 FacilitiesDescribe the location and facilities provided for the primary (centralalarm station within the protected area) and secondary alarm station.Clearly illustrate that the primary alarm station is protected as avital area and that windows in the primary alarm station are protectedby bullet-resistant materials if the attendant is visible from outsidethe protected area.8.2 StaffingDescribe the staffing arrangement for manning each central alarmstation. Confirm that the two central alarm stations are continuouslymanned. Identify the category of personnel manning each. Confirm thatat least one supervisor of the security organization will be on site atall times.8.3 Alarm EquipmentDescribe the alarm and annunciation equipment operated at each ofthe alarm stations. State the performance characteristics of the equip-ment. Confirm that the annunciation of an alarm at the primary centralalarm station indicates both the type of alarm (such as intrusion alarmor emergency exit alarm) and the origin of the alarm. Describe emergencypower provisions.8.4 Communication Systems8.4.1 TelephonesConfirm that conventional telephone service is provided betweeneach central alarm station and the LLEAs and between the central alarmstations.8.4.2 Local CommunicationsDescribe the communications equipment provided for two-way com-munication between members of the security force and an individual in5.52-44 the primary central alarm station. Include provision for a silent,unobtrusive alarm connecting a protected area access guard and theprimary and secondary central alarm stations.8.4.3 Radio CommunicationsProvide a description of the two-way radio voice communicationsystem established at the primary central alarm station within theprotected area for communicating with LLEAs. Confirm that the systemwill be manned continuously at both that central alarm station and theLLEA terminal.Describe the source of standby, backup, or emergency power providedto maintain operable communications equipment during nonnormal situations(i.e., power outage).5.52-45 CHAPTER 9 RESPONSE TO SECURITY CONTINGENCIESThe requirement for licensee physical protection of SNM is continual,as outlined in 10 CFR Part 73. Since there are no exceptions duringcontingencies, plans for adequate security should be developed by thelicensee for all possible events. This chapter should describe theplans established for response to, assessment of, and initiation offollow-up action for certain contingencies, including alarm annuncia-tions, security threats to the facility, and strikes.9.1 Organization and ProceduresDescribe the security organization and the procedures that have beenestablished 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 analarm annunciation, after a threat has been communicated to the facility,or after the occurrence of other contingent events. State the expectedresponse time and the maximum response time. Describe the factors thataffect these response times. State the number of security personnel whowill 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 significanceof the contingency. Discuss notification procedures for personnel,supervisors, and authorities. Discuss the status of access points duringthese contingencies.9.1.1 Security Threats and Alarm AnnunciationsThe information described above should be provided for the followingtypes of security threats and alarm annunciations:9.1.1.1 Suspected Intrusion Into a Security Area9.1.1,2 Apparent Attempted Thpft of gNM9.1..3 Apparent Attemtd SmuContraband'Into a Securit Area9.1.1.4 Outage of Critical Plant Protection Eguipment9.1.1.5 Multi le Alarm Annunciations9.1.2 Other ContingenciesThe information described in Section 9.1 should also be provided forthe following types of contingencies necessitating more extensive5.52-46

9.1.2.1 Bomb Threats9.1.2.2 Natural Disasters9.1.2.3 Civil Disturbances (e.g., Riots)9.1.2.4 Guard Strikes9.1.2.5 Fire or Explosion9.1.2.6 Site Evacuation9.2 Action ResponseProvide description of the immediate measures that will be enactedto neutralize a security threat or contend with other contingencies.State the criteria to be used in determining when off-duty guards orwatchmen will be summoned to augment the on-duty force and when the LLEAwill 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 ForcesState the response capability of the overall security organization(including LLEA personnel). In particular, provide specific informationwith respect to the number and source of licensee security personnelavailable for response and the estimated times of arrival.9.2.2 ArrangementsDescribe the arrangements made with the appropriate LLEA andcontract guard service labor representation to respond to a localsecurity force strike. Identify other arrangements or agreements ineffect or in process to provide necessary assistance during contingencies;5.52-47 CHAPTER 10 LOCAL LAW ENFORCEMENT AUTHORITIESThe information in this chapter should describe the arrangementsthat have been made with local authorities for help and assistance withcontingencies identified in Chapter 8. The level of assistance andresponse time expected from local authorities must be established andevaluated to assess the adequacy of the overall physical security plan.10.1 Size of ForceProvide specific information with respect to the number and caliberof law enforcement personnel available for assistance and the estimatedlapse of time for such personnel to reach the facility. State thenumber of armed individuals in each complement and the time for eachcomplement to arrive if they are to arrive at intervals.10.2 Kind of AssistanceState the type or kind of assistance that can be provided (such aspolice power, investigative work, crowd control, or bomb searches) andthe kind of equipment available.10.3 ArrangementsDescribe 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 licenseeand LLEA) who made the arrangements. State whether the arrangementsprovide for written procedures for orientation training in plant protec-tion and radiation safety and for periodic drills. If guards or watchmenare deputized or otherwise authorized by local or state authorities toperform police duties (such as arrest, apprehension, detention, andconduct of investigations), state the source of the authority.5.52-48 CHAPTER 11 REPORTS TO THE NRCPlans for the preparation and submission of security reports to theNRC should be discussed in this chapter.11.1 IncidentsDescribe the procedures for reporting to NRC any incident in whichan attempt has been made, or is believed to have been made, to commit atheft or unlawful diversion of SNM or to commit an act of industrialsabotage.11.2 Unusual OccurrencesDescribe procedures, if different from Section 11.1, for reporting tothe NRC any unusual occurrences (such as civil disturbances, bomb threats,significant vandalism and demonstrations, or strikes) that may or couldhave an effect on plant security.11.3 Security Plan ChangesDescribe procedures for furnishing to the NRC reports of changes madein the Physical Security Plan.5.52-49 PART II OF THE PHYSICAL SECURITY PLAN FOR FIXED SITESThis part of the Physical Security Plan should describe the tests,inspections, records, and other means established by the applicant fordemonstrating compliance with the physical protection requirements forplants and materials.5.52-50

CHAPTER 12 TESTS AND INSPECTIONSThis chapter should provide information on the tests and inspectionsthat are conducted to ensure the continuous integrity of barriers andthe operability of security equipment.12.1 Physical Barriers and Access PointsDescribe the tests and inspections that are used to ascertain whetherall physical barriers and points of access are intact and operable. Statethe frequency of routine and special tests and inspections.12.2 Alarms and AnnunciatorsProvide a description of the program used to test the operabilityand to verify the functional performance of security alarms, annunciators,sensors, and transmission lines to the two central alarm stations. Statethe frequency of routine and special tests, including tests followingmaintenance work.12.3 Contraband DetectorsDescribe the method of calibration and standardization used for eachtype of metal, explosive, and SNM detector, where applicable. Delineatethe standards, test equipment, and procedures employed for calibrationand control programs. State the frequency of calibrations and controltests.12.4 CommunicationsDescribe the type and frequency of tests used to monitor operabilityon a routine basis. Indicate the type and frequency of tests used toverify the functional performance of all communications equipment.12.5 Other Security-Related EquipmentDiscuss the test and inspection programs used to maintain the opera-bility of other security-related equipment identified in Part I.12.6 Special ProceduresDescribe special temporary procedures designed to ensure continuedprotection while security equipment is out of service for repair, mainte-nance, or testing.5.52-51 CHAPTER 13 SECURITY RECORDSThis 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 CFRPart 70.13.1 Security Tours, Inspections, and TestsDescribe the system for documenting the results of all routine securitytours and inspections, and of all tests and inspections performed onphysical barriers, intrusion alarms, communications equipment, and othersecurity-related equipment.13.2 MaintenanceIdentify and characterize the records that arekept of all maintenanceperformed on physical barriers, intrusion alarms, communications equip-ment, and other security-related equipment.13.3 Alarm AnnunciationsDescribe the records system for documenting all alarm annunciations,including false alarms and alarm checks. Also describe the system foridentifying the type of alarm, location, date, and time of each occurrence.13.4 Security ResponseIndicate the records that are kept of response by facility guards andwatchmen to each alarm (including false alarms), intrusion, or othersecurity incident.13.5 Authorized IndividualsDescribe the system for maintaining a record of each individual whois designated as an authorized individual. Indicate whether the recordwill include the name and badge number of each person so designated,the date of the authorization, its expiration date, and the name of theapproval authority.13.6 Access to Vital Equipment and Vital AreasDescribe the system for maintaining a record of each individual whois authorized to have access to vital equipment and vital areas, with therecord showing the individualls name, address, and badge number; the dateof the authorization.; .. .aeades adbde _,wt hauthority. aits expiration date; and the name of the approvalauthority5.52-52

13.7 Access to SNM and Material Access AreasDescribe the system for maintaining a record of each individual whois authorized to have access to SNM and material access areas, with therecord showing the individual's name, address, badge number, the date ofthe authorization, its expiration date, and the name of the approvalauthority.13.8 Nonemployee AccessDescribe the system for maintaining a record (register) of each visitor,vendor, or other individual who is not an employee of the applicant, withthe record showing the individual's name; the date, time, and purpose ofthe visit; the individual's employment affiliation and citizenship; thename and badge number of the escort; the name of the individual to bevisited; and the name of the person who authorized or approved thevisit. Describe the system for maintaining a list of designated escorts.13.9 EmployeesDescribe the system for maintaining a record of each employee whois issued a permanent badge for access to security areas, with therecord showing the individual's name, his badge number, the areas towhich 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 NRCDescribe the system to record and maintain records of changes that aremade to the security plan without prior approval of the NRC, the date thechanges are made, and the name, organizational unit, and position title ofthe person(s) who approved or authorized the changes. Other changes inthe security plan will be made pursuant to Paragraph 50.54(p) of 10 CFRPart 50.5.52-53 CHAPTER 14 SECURITY AUDITSThe purpose of this chapter is to provide a description of the auditprograms established to review periodically the applicability and adequacyof the existing security plan and to assess the degree of compliance ofthe current performance with existing security requirements.14.1 Program AuditDescribe the scope, extent, and frequency of planned periodic manage-ment audits to review the physical security program of the facility forcontinued adequacy and effectiveness. Identify by organizational titlethe persons assigned responsibility for conducting the audits. Affirmthat written audit reports will be prepared and submitted to facilitymanagement.14.2 Compliance AuditsDescribe the monitoring program established to ensure compliancewith existing regulations. Identify by organizational title the personsassigned responsibility for conducting the audits. Affirm that writtenaudit reports will be prepared and submitted to facility management.5.52-54 PART III PHYSICAL SECURITY PLANFOR SPECIAL NUCLEAR MATERIALS IN TRANSITThe physical security plan for protection of special nuclear materials(SNM) in transit should describe how the applicant will ship SNM and shouldexplain in detail how the physical protection requirements in 10 CFRPart 73 pertaining to transportation will be met.5.52-55 CHAPTER 15 SCOPE OF THE PLANIdentify which of the following activities the plan will cover:1. Take delivery of SNM2. Release SNM for transport3. Transport SNM by road4. Ship SNM by air5. Ship SNM by rail6. Ship SNM by sea (or water)7. Import SNM8. Export SNM9. Other (describe briefly)5.52-56 CHAPTER 16 PLANNING16.1 Shipments Involving Common or Contract CarriersIf common or contract carriers will be used, discuss the contingenciesanticipated and the arrangements to be made with the selected carriersto ensure that they will provide for the protection of SNM in accordancewith the requirements of 10 CFR Part 73. Include as a .part of this plana copy of the common or contract carrier's security plan showing thatSNM will be transported under an established system that provides forthe physical protection of valuable material in transit and that requiresan exchange of hand-to-hand receipts at origin, at destination, andat all points en route where there is a transfer of custody of the SNMshipment. Discuss the actions that will be taken to determine whetherthe carrier is providing the level of protection agreed to. Also discussthe action to be taken if a carrier has failed to provide that level ofprotection. Confirm that SNM air shipments involving in excess of 20grams or 20 curies of plutonium or uranium 233, or in excess of 350grams of uranium 235 (contained in uranium enriched to 20 percent ormore in the U-235 isotope), will be made only by cargo aircraft.16.2 Transit TimeDiscuss the provisions that will be made to ensure that transittimes of SNM shipments will be minimized and that routes will be selectedto avoid areas of natural disaster or civil disorder. Discuss arrange-ments that will be made with the carrier for changing the scheduleddelivery time if and when ordinary delays en route make delivery at theprearranged time impossible.16.3 Transfers16.3.1 Shipments by RoadDiscuss the means to be used to ensure that shipments will be madewithout intermediate stops for transfers from the time the SNM shipmentis placed aboard the transport vehicle until it arrives at the facilityof the receiver.16.3.2 Shipments by Sea or WaterDiscuss the means to be used to ensure that there will be no scheduledtransfers to other vessels. Discuss the means to be used to ensure thatthe selected vessel will be making the minimum ports of call after theSNM shipment is taken aboard.5.52-57

16.4 Secure Compartment for Shipments by SeaDiscuss criteria to be used for establishing requirements for asecure compartment in which the SNM shipment will be placed. Discussthe arrangements to be made for such a compartment.16.5 En Route StorageDescribe what will be done to avoid en route storage in excess of24 hours.16.6 Communications PlanningFor shipments by rail or by road, explain the provisions to be madefor establishing and maintaining a point of communications for receivingand responding to messages concerning the location and status of eachSNM shipment.5.52-58 CHAPTER 17 EQUIPMENT FOR THE PROTECTION OF SNM SHIPMENTS17.1 Vehicles for Shipments by RoadState whether the transportation vehicles will be under the controlof the applicant (owned, leased, or rented) or under the control of acontract or common carrier. Identify which of the following options forshipment of SNM by road will be used: (1) motor vehicle with separateescort vehicle, (2) special vehicle with high penetration resistanceand armed guards, or (3) special vehicle with high penetration resis-tance and immobilization features, but no armed guards. If a specialvehicle is to be used, discuss the provisions for achieving high pen-etration resistance and immobilization, as appropriate. Include drawingsand specifications that describe the protection features of the specialvehicle. Features acceptable to the NRC staff for implementing option(2) above are discussed in Regulatory Guide 5.31, "Specially DesignedVehicle with Armed Guards for Road Shipment of Special Nuclear Material."17.2 Communications Equipment17.2.1 Shipments by Road or RailDescribe the communications equipment to be used for communicatingthe location and status of each shipment while en route. RegulatoryGuide 5.32, "Communication with Transport Vehicles," provides informationon radiotelephones and systems and procedures for disguising positiondata.17.2.2 Shipments by Road Involving EscortsDescribe the communications equipment that will be used to providecontinuous radio communication capability between the escort vehicle andthe transport vehicle.17.3 Seals and LocksDescribe the types of tamper-indicating seals that will be used.Refer to Regulatory Guides 5.10, "Selection and Use of Pressure-SensitiveSeals on Containers for Onsite Storage of Special Nuclear Material,"and 5.15, "Security Seals for the Protection and Control of SpecialNuclear Material." Describe the types of locks to be used for lockingshipping containers or for locking vehicle compartments that contain theshipment. Refer to Regulatory Guide 5.12, "General Use of Locks inthe Protection and Control of Facilities and Special Nuclear Materials."Discuss the procedures used for tamper-safing.5.52-59

17.4 ContainersState whether shipments will be made by "open vehicles," i.e., byvehicles that do not provide a compartment in which the shipment can belocked. If so, describe the containers that will be used and the lockingarrangements 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 MarkingsFor SNM shipments by road, discuss how vehicles will be marked toaid in identifying the vehicle. Discuss plans for ensuring that recordsof these markings will be kept available for reference. -Regulatory Guide5.17, "Truck Identification Markings," sets forth criteria for markingsthat are acceptable to the NRC staff.17.6 Security Personnel EquipmentDescribe the equipment, including firearms, to be provided to thesecurity force for protecting shipments. Discuss the authority of thesecurity force to carry and use firearms in relation to state and locallaws.5.52-60

CHAPTER 18 SECURITY PERSONNEL18.1 General DescriptionDescribe and discuss the duties and responsibilities of the physicalsecurity organization to protect SNM shipments. In addition to otherinformation, the description should specify the organizational positionand show the relationship between the following elements: (1) theindividual who will be responsible for the planning and execution ofthe program for the protection of SNM shipments, (2) the individualwho will be in charge of the team that physically accompanies a shipment,(3) the individuals who will monitor transfers, (4) the agents andnonemployees who have a role in the protection of SNM shipments, (5)the individuals who will be responsible for receiving and recordinglocation information while the shipment is en route, and (6) theindividual who will be responsible for notifying an appropriate lawenforcement agency and the NRC.Regulatory Guide 5.20, "Training, Equipping, and Qualifying ofGuards and Watchmen," should assist with preparing the followinginformation.18.2 SelectionDescribe the criteria to be used for screening and selectingindividuals who will be responsible for protecting SNM shipments.18.3 TrainingProvide an outline of the security force training program, includinga listing of the major topics to be covered and the estimated trainingtime for each. The training program should cover both normal operationsand threat situations. Discuss the training in the use of firearms,including marksmanship.18.4 QualificationDiscuss the tests or other means to be used to ensure that each.guard is qualified to perform his assigned duties. Furnish a copy of atypical test or list of questions that will be used to determine thequalifications of a candidate. Discuss the program to be used torequalify guards annually.5.52-61 CHAPTER 19 OPERATIONS19.1 Communications OperationsFor SNM shipments by road, rail, or sea, discuss the organizationand physical location of persons who will be predesignated to receivecommunications from the occupants of transport vehicles en route.Describe the procedures to be used to make periodic reports of thelocation and status of SNM shipments en route. Specify the time intervalsfor routine reports, the maximum period of elapsed time permitted withno report, and the action to be taken if planned or scheduled reportsare not received.Describe the method or system to be used to test operability andto verify functional performance of all communications equipment relatedto physical protection of SNM in transit. Specify the frequency of allroutine and special tests and inspections.19.2 Escorts19.2.1 Shipments by RoadDiscuss the duties of the people who will accompany the shipmentin the vehicle containing the SNM shipment. Describe the procedures tobe employed to ensure that at least one of these persons maintainscontinuous visual surveillance of the SNM cargo vehicle at all timesduring a shipment.19.2.2 Shipments by Road or by RailFor shipments other than those to be made in a specially designedtruck or trailer, confirm that the appropriate number of armed guardsand convoy vehicles will be used. Describe the procedures and methodsto be used to ensure that such escorts will maintain continuous vigilanceto detect the presence of conditions that might threaten the securityof SNM and to ensure that the escorts will take such actions as circum-stances might require to avoid interference with continuous safe passageof SNM vehicles. Describe the actions to be taken in the event of anemergency and to check and observe SNM cargo vehicles during stops,breakdowns, or layovers.19.2.3 Export Shipments by Sea or by AirFor air or water export shipments, describe the procedures andmethods to be used to ensure that (i) SNM shipments will be escorted bythe appropriate number of armed authorized individuals from the time the5.52-62 aircraft or vessel departs from the last terminal in the United Statesuntil the shipment is unloaded at a foreign terminal; (2) during scheduledintermediate stops where SNM is not scheduled for transfer, the authorizedindividual will observe the opening of cargo compartments to ensure thatSNM shipments are not removed; and (3) authorized individuals willmaintain continuous visual surveillance of the cargo compartments con-taining SNM until departure of the loaded aircraft or vessels from thepoint of shipment.19.3 Monitors19.3.1 Nuclear Shipment Not Scheduled for TransferFor modes of shipment other than by road, describe the proceduresand methods to be used to ensure that at scheduled intermediate stopsguards or designated alternates will (1) observe the opening of cargocompartments to ensure that SNM shipments are not removed, (2) maintaincontinuous visual surveillance of cargo compartments until shipmentsdepart from the intermediate stop, and (3) notify the applicant orhis agent of the status of shipments at departure from each intermediatestop.19.3.2 Nuclear Shipment Scheduled for TransferDiscuss the plan to be used to monitor scheduled transfers of eachSNM shipment, including monitoring of the shipment while it is in storageen route. Describe the procedures and methods to be used to ensurethat all transfers of SNM (such as from carriers to storage, betweencarriers, or from storage to carriers) will be under the continuousvisual surveillance of at least two guards or designated alternates.Confirm that the guards will observe the opening of cargo compartmentscontaining incoming SNM and examine shipment locks and seals, willobserve the SNM while it is in a terminal or in storage, will observethe SNM while it is being loaded, and will maintain surveillance of thecargo compartment until the vehicle or vessel departs from the terminal.Describe the procedures to be used by the guards to notify theapplicant 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 theschedule or routing of SNM shipments. Confirm that preplanned storagetime of SNM shipments en route in excess of 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> will be avoided.19.4 Miscellaneous Shipper Responsibilities19.4.1 LockingFor each mode of transportation to be used, describe the means to beemployed to ensure that either the SNM container is locked or the vehicle5.52-63 compartment containing the shipment is locked. Regulatory Guide 5.12,"General Use of Locks in the Protection and Control of Facilities andSpecial Nuclear Materials," gives guidance for the selection and use oflocks. Locks that are suitable for use at protected area barriers arealso suitable for use in the protection of special nuclear material intransit.19.4.2 Notification of ConsigneeOutline the plan to be used to notify a consignee of an impendingSNM shipment. Describe the procedure and methods to be used to ensurethat 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 ofeach shipment at its destination. Confirm that such procedures willalso provide that the consignee will immediately notify the consignorby telegraph, teletype, or telephone when each SNM shipment arrivesat its destination.19.4.3 F.O.B. ShipmentsIf f.o.b. shipments will be made, describe the procedure and methodsto be used to ensure that (1) written certification will be obtained fromlicensees 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 CFRPart 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 arrangementsrequired by the ERDA Manual (formerly the AEC Manual), Chapter 2401or 2405, have been made.19.4.4 Arrangements to Obtain Information from Foreign ConsigneeDiscuss the arrangements that will be made with a foreign consigneeto be notified of the arrival of the shipment at the destination and tobe notified of a shipment that is lost or unaccounted. for after theestimated time of arrival at its destination.19.4.5 Notification of NRCDiscuss the conditions or circumstances under which the NRC willbe notified. State the position title and organizational unit of theindividuals who will be responsible for informing the NRC of accidents,unusual occurrences, contingencies (as discussed in Chapter 20), orthe failure of SNM shipments to arrive at their destination at the es-timated time of arrival. Identify the types of reports to be made anddescribe the procedures to be followed in making such reports.5.52-64

19.4.6 Conduct of Trace InvestigationState the position title and organizational unit of the individualswho will be responsible for the initiation-and conduct of trace investi-gations of lost or unaccounted-for shipments. State the criteria forsuch actions, the scope and extent of the planned investigations, thereport content, and the procedures to be followed to ensure that theresults of the investigation will be reported to the NRC and the personwho delivered the material to a carrier for transport.19.4.7 Shipper RecordsDescribe the system to be used to record and maintain records, suchas those listed below, to demonstrate that the requirements of the NRCwith respect to the protection of SNM shipments will be met on a con-tinuous basis.1. Names of carriers2. Major roads used3. Flight numbers4. Dates~and times of departures and arrivals5. Names and addresses of monitors6. Container seal descriptions and identifications7. Locations and telephone numbers *of local0law enforcement agenciesalong the route used8. Shipping plan changes or modifications9. Description of the nuclear material, by chemical and physicalform, quantity, and enrichment10. Testing and operability of communications equipment11. Names of individuals who receive communications for or on behalfof the applicant12. Reports of communications13. Reports of trace investigations14. Violations or infractions of the applicant's instructions orrequirements.5.52-65 State how the information in items 1 through 9 will be keptconfidential.19.5 Miscellaneous Consignee Responsibilities19.5.1 NotificationsSpecify the position title and organizational unit of the individualswho 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 orlost shipment. Discuss the criteria that will be used in arriving at adecision to make such a notification.19.5.2 Consignee RecordsSpecify the position title and organizational unit of the individualswho will be responsible for maintaining protection records pertainingto SNM in transit.19.5.3 Import ShipmentsDescribe the procedures and methods to be used to ensure that SNMshipment container counts and lock and seal examinations are made todetect any evidence of tampering at the first place in the UnitedStates at which the shipment is discharged from the arriving carrier.(NOTE: Information with respect to SNM shipments when in terminals orin storage should be included in Section 19.3.2).5.52-66 CHAPTER 20 LOCAL LAW ENFORCEMENT AUTHORITIESThis chapter should describe the arrangements that have been madewith local law enforcement authorities for help and assistance.20.1 Notification of Local Law Enforcement AuthoritiesDiscuss the conditions or circumstances under which the local lawenforcement authorities (LLEA) will be notified. Specify the positiontitle and organizational unit of the individuals who will be responsiblefor notifying the LLEA. Discuss the criteria to be used by the aboveindividuals in deciding which LLEA to notify if a call for help is receivedfrom a distant vehicle or if a scheduled call to report the location ofa vehicle is not received.20.2 Establishing ContactsDescribe the contacts that have been established with law enforcementauthorities at intervals along the shipping routes to provide assistancewhen requested if a shipment convoy is threatened, attacked, or hijackedwhile en route.20.3 Contact RenewalsDescribe the procedures for periodically reviewing (or reaffirming)the liaison with the LLEA to provide assistance, as needed, to ensurethe continued security and safety of the shipments.5.52-67 CHAPTER 21 TRANSPORTATION SECURITY AUDITSThe purpose of this chapter is to describe the audit programsestablished to review periodically the applicability and adequacy ofthe Physical Security Plan for Special Nuclear Materials in Transitand to assess the compliance of current performance with the existingsecurity requirements.21.1 Program AuditDescribe the scope, extent, and frequency of planned periodicmanagement audits to review the transportation security program for con-tinued adequacy and effectiveness. Identify by organizational title theindividuals assigned responsibility for conducting the audits. Affirmthat written audit reports will be prepared and submitted to facilitymanagement.21.2 Compliance AuditsProvide a description of the monitoring program established toensure compliance with existing regulations. Identify by organizationaltitle the individuals assigned responsibility for conducting the audits.Affirm that written audit reports will be prepared and submitted tofacility management.UNITED STATESNUCLEAR REGULATORY COMMISSION_rWASHINGTON, D. C. 20555OFFICIAL BUSINESSPENALTY FOR PRIVATE USE, $300POSTAGE AND FEES PAIDUNITED STATES NUCLEARREGULATORY COMMISSION5.52-68