DOE M 470.4-3 Chg 1, Protective Force

Vertical line denotes change. AVAILABLE ONLINE AT: INITIATED BY: www.directives.doe.gov Office of Security and Safety Performance Assurance MANUAL Approved: 08-26-05 Review: 08-26-07 Chg 1: 3-7-06 PROTECTIVE FORCE U.S. DEPARTMENT OF ENERGY Office of Security and Safety Performance Assurance DOE M 470.4-3 DOE M 470.4-3 i 08-26-05 PROTECTIVE FORCE 1. PURPOSE. This Manual establishes the requirements for the management and operation of the U.S. Department of Energy (DOE) Protective Force (PF). This Manual also establishes the requirements for firearms operations and defines the firearms courses of fire. The 10 chapters and five appendices in Section C provide detailed requirements for qualification with various firearms. 2. OBJECTIVES. a. Effect the policy in DOE P 470.1, Integrated Safeguards and Security Management Policy (ISSM), by integrating protective force into DOE operations as determined by line management, and according to sound risk management practices. [DOE P 470.1, Integrated Safeguards and Security Management Policy (ISSM), is the Department’s philosophical approach to the management of the Safeguards & Security (S&S) Program. A principal objective of the ISSM Program is to integrate S&S into management and work practices at all levels, based on program line management’s risk management- based decisions, so that missions may be accomplished without security events, such as interruption, disruption or compromise. This approach includes individual responsibility and implementation of the security requirements found in this Manual.] b. Establish and maintain uniform requirements for PF personnel and firearms operations, to include the firearms qualification and re-qualification of Federal Officers, Federal Agents, Special Agents, and Security Police Officers by certified Federal and contractor firearms instructors. 3. PROGRAM INTEGRATION. The PF program must be integrated with other programs such as S&S program planning and management, physical protection, information security, personnel security, and nuclear material control and accountability. Additionally, the activities and requirements in the weapons surety, foreign visits and assignments, safety, emergency management, cyber security, intelligence and counterintelligence programs should also be considered in the implementation of this Manual. 4. CANCELLATIONS. The directives listed below are canceled. Cancellation of a directive does not by itself modify or otherwise affect any contractual obligation to comply with the directive. Cancelled directives that are incorporated by reference in a contract remain in effect until the contract is modified to delete the reference to the requirements in the canceled directives. The publication of this Manual incorporates previous memoranda and letters that were issued by the Office of Security or its predecessor organizations that established policy. a. DOE M 473.2-1A, Firearms, Qualification Courses Manual, dated 1-17-02 b. DOE M 473.2-2, Protective Force Program Manual, dated 6-30-00 ii DOE M 470.4-3 08-26-05 5. APPLICABILITY. a. Departmental Elements. Except for the exclusion in paragraph 5.c., this Manual applies to all Departmental elements listed on Attachment 1. This Manual automatically applies to Departmental elements created after it is issued. The Administrator of the National Nuclear Security Administration (NNSA) will assure that NNSA employees and contractors comply with their respective responsibilities under this Manual.

b. Contractors. (1) The Contractor Requirements Document (CRD), Attachment 2, sets forth requirements of this Manual that apply to site/facility management contracts that include the CRD. (2) The CRD must be included in the site/facility management contracts that involve classified information or matter, or nuclear materials and contain DOE Acquisition Regulation (DEAR) clause 952.204-2, Security Requirements. (a) Departmental elements must notify contracting officers of affected site/facility management contracts to incorporate this directive into those contracts. (b) Once notified, contracting officers are responsible for incorporating this directive into the affected contracts via the Laws, Regulations, and DOE Directives clause of the contracts. (3) A violation of the provisions of this directive relating to the safeguarding or security of Restricted Data or other classified information may result in a civil penalty pursuant to subsection a. of section 234B, of the Atomic Energy Act of 1954 (42 U.S.C. 2282b.). The procedures for the assessment of civil penalties are set forth in Title 10, Code of Federal Regulations (CFR), Part 824, Procedural Rules for the Assessment of Civil Penalties for Classified Information Security Violations, (10 CFR part 824). (4) As stated in DEAR clause 970.5204-2, titled Laws, Regulations, and DOE Directives, regardless of the performer of the work, site/facility contractors with the CRD incorporated into their contracts are responsible for compliance with the CRD. Affected site/facility management contractors are responsible for flowing down the requirements of the CRD to subcontracts at any tier to the extent necessary to ensure compliance with the requirements. In doing so, contractors must not unnecessarily or imprudently flow down requirements to subcontracts. That is, contractors must ensure that both they and their subcontractors comply with the DOE M 470.4-3 iii 08-26-05 requirements of this CRD and incur only costs that would be incurred by a prudent person in the conduct of competitive business. (5) This Manual does not automatically apply to other than site/facility management contracts. Application of any of the requirements in this Manual to other than site/facility management contracts will be communicated as follows. (a) Heads of Field Elements and Headquarters Departmental Elements. Review procurement requests for new non-site/facility management contracts that involve classified information or matter, or nuclear materials and contain DEAR clause 952.204-2, Security Requirements, and, if appropriate, ensure that the CRD of this Manual is included in the contract. (b) Contracting Officers. Assist originators of procurement requests who want to incorporate the requirements of the CRD of this Manual in new non-site/facility management contracts, as applicable. c. Exclusion. In accordance the responsibilities and authorities assigned by Executive Order 12344 and to ensure consistency throughout the joint Navy and DOE organization of the Naval Nuclear Propulsion Program, the Deputy Administrator for Naval Reactors will implement and oversee all requirements and practices pertaining to this Manual for activities under the Deputy Administrator’s cognizance. 6. DEVIATIONS. Deviations from the requirements contained in this Manual must be processed in accordance with DOE M 470.4-1, Safeguards and Security Program Planning and Management.

7. DEFINITIONS. Terms commonly used in the program are defined in the S&S Glossary located in DOE M 470.4-7, Safeguards and Security Program References. In addition to those in the Glossary, the following definitions are provided for use in this Manual. a. DOE line management refers to DOE and NNSA Federal employees who have been granted the authority to commit resources or direct the allocation of personnel or approve implementation plans and procedures in the accomplishment of specific work activities. b. Line management refers to DOE and NNSA Federal and contractor employees who have been granted the authority to commit resources or direct the allocation of personnel or approve implementation plans and procedures in the accomplishment of specific work activities. c. DOE cognizant security authority refers to DOE and NNSA Federal employees who have been granted the authority to commit security resources or direct the iv DOE M 470.4-3 Chg 1 3-7-06 Vertical line denotes change. allocation of security personnel or approve security implementation plans and procedures in the accomplishment of specific work activities. d. Cognizant security authority refers to DOE and NNSA Federal and contractor employees who have been granted the authority to commit security resources or direct the allocation of security personnel or approve security implementation plans and procedures in the accomplishment of specific work activities. e. Category I/II refers to facilities or sites possessing Category I quantities of special nuclear material (SNM) or credible rollup quantities of SNM to a Category I quantity. f. For the purposes of this Manual, the Office of Security refers to the DOE Office of Security, Office of Security and Safety Performance Assurance. 8. IMPLEMENTATION. Requirements that cannot be implemented within 6 months of the effective date of this Manual or within existing resources must be documented by the cognizant security authority and submitted to the relevant program officers; the Under Secretary for Energy, Science and Environment or the Under Secretary for Nuclear Security/Administrator, NNSA; and the Office of Security. The documentation must include timelines and resources needed to fully implement this Manual. The documentation must also include a description of the vulnerabilities and impacts created by delayed implementation of the requirements. 9. CONTACT. Questions concerning this Manual should be directed to the Office of Security at (301) 903-6209. BY ORDER OF THE SECRETARY OF ENERGY CLAY SELL Deputy Secretary DOE M 470.4-3 Chg 1 v 3-7-06 Vertical line denotes change. SECTION A - PROTECTIVE FORCE PROGRAM CHAPTER I - PROTECTIVE FORCES MANAGEMENT 1. PLANS, POST AND GENERAL ORDERS, AND PROCEDURES. ................................... I-1 2. QUALIFICATION REQUIREMENTS.................................................................................. I-3 3. CREDENTIALS AND SHIELDS ........................................................................................ I-10 4. ALLOCATION OF PERSONNEL RESOURCES. ............................................................. I-14 5. DOE AND CONTRACTOR PERSONNEL MANAGEMENT........................................... I-15 6. CAREER PROGRESSION PLAN ....................................................................................... I-16 CHAPTER II - PROTECTIVE FORCE DUTIES 1. RESPONSE CATEGORIZATION ...................................................................................... II-1

2. SECURITY OFFICERS. ...................................................................................................... II-2 3. SECURITY POLICE OFFICERS ........................................................................................ II-3 4. FEDERAL AGENTS ............................................................................................................ II-7 5. FEDERAL OFFICERS ......................................................................................................... II-7 6. SPECIAL AGENTS.............................................................................................................. II-7 7. SPECIAL SKILLS. ............................................................................................................... II-8 8. SUPERVISORS .................................................................................................................... II-8 9. INSTRUCTORS ................................................................................................................... II-9 CHAPTER III - SPECIAL RESPONSE TEAM 1. PROGRAM REQUIREMENTS .......................................................................................... III-1 2. CONCEPT OF OPERATIONS. .......................................................................................... III-1 3. TRAINING .......................................................................................................................... III-3 4. EQUIPMENT ...................................................................................................................... III-3 5. PROGRAM CERTIFICATION/RECERTIFICATION ...................................................... III-3 CHAPTER IV - TRAINING AND QUALIFICATION 1. PURPOSE ............................................................................................................................ IV-1 2. TRAINING AND QUALIFICATION. ............................................................................... IV-1 3. SECURITY OFFICERS. ..................................................................................................... IV-2 4. SECURITY POLICE OFFICERS. ...................................................................................... IV-3 5. SECURITY POLICE OFFICER-IIIs. .................................................................................. IV-6 6. WEAPONS QUALIFICATIONS ........................................................................................ IV-9 7. SPECIAL SKILLS. .............................................................................................................. IV-9 8. SUPERVISORS ................................................................................................................... IV-9 vi DOE M 470.4-3 08-26-05 9. INSTRUCTORS .................................................................................................................. IV-9 10. FIREARMS INSTRUCTORS ........................................................................................... IV-11 11. INTERMEDIATE FORCE AND GROUND CONTROL INSTRUCTORS .................... IV-12 12. TRAINING EXERCISES .................................................................................................. IV-12 13. NON-DOE TRAINING COURSES .................................................................................. IV-13 CHAPTER V - SECURITY HELICOPTER FLIGHT OPERATIONS

1. PURPOSE ............................................................................................................................. V-1 2. OPERATIONAL REQUIREMENTS. .................................................................................. V-1 3. RULES OF ENGAGEMENT IN USE OF HELICOPTERS AS FIRING PLATFORMS .................................................................................................... V-2 CHAPTER VI - EQUIPMENT AND FACILITIES 1. EQUIPMENT ...................................................................................................................... VI-1 2. FACILITIES. ....................................................................................................................... VI-5 CHAPTER VII - PERFORMANCE TESTING 1. PERFORMANCE TESTS ................................................................................................. VII-1 2. PERFORMANCE TESTS AND TRAINING ACTIVITIES PLANNING ....................... VII-3 3. SAFETY ............................................................................................................................ VII-8 4. COMMAND AND CONTROL ......................................................................................... VII-8 5. COORDINATION ........................................................................................................... VII-16 6. TESTING FREQUENCY ................................................................................................ VII-16 CHAPTER VIII - EXECUTIVE PROTECTION PROGRAM 1. PURPOSE ......................................................................................................................... VIII-1 2. SCOPE .............................................................................................................................. VIII-1 3. REQUIREMENTS. ........................................................................................................... VIII-1 APPENDIX A-1 GUIDELINES FOR FRESH PURSUIT 1. PURPOSE ........................................................................................................................... A1-1 2. POLICY .............................................................................................................................. A1-1 3. DEFINITIONS .................................................................................................................... A1-1 4. AUTHORIZED PURSUIT ACROSS JURISDICTIONAL LINES. .................................. A1-2 5. FRESH PURSUIT PROCEDURES. .................................................................................. A1-2 APPENDIX A-2 DOE TARGET FOLDER FORMAT 1. VOLUME I ......................................................................................................................... A2-1 2. VOLUME II ........................................................................................................................ A2-4 3. VOLUME III ...................................................................................................................... A2-5 DOE M 470.4-3 Chg 1 vii 3-7-06 Vertical line denotes change. APPENDIX A-3 GUIDELINES FOR RULES OF ENGAGEMENT 1. PURPOSE………………………………………………………………………………….A3-1 2. RULES OF ENGAGEMENT GUIDELINES………………………………......................A3-2 3. USE OF REMOTELY OPERATED WEAPONS SYSTEMS…………………………… A3-3 4. APPROVAL……………………………………………………………………………….A3-4 SECTION B - FIREARMS OPERATIONS

CHAPTER I - FIREARMS TRAINING 1. REQUIREMENTS. ................................................................................................................. I-1 2. BASIC TRAINING. ............................................................................................................... I-4 3. ADVANCED TRAINING ...................................................................................................... I-5 4. RANGE OPERATIONS AND PROCEDURES. ................................................................... I-5 5. LIVE-FIRE SHOOT HOUSE (LFSH) OPERATIONS. ........................................................ I-7 6. USE OF STEEL TARGETS ................................................................................................. I-12 CHAPTER II - RANGE DESIGN CRITERIA 1. PURPOSE ............................................................................................................................. II-1 2. PLANNING FACTORS ....................................................................................................... II-1 3. PLANNING OVERVIEW. ................................................................................................... II-1 4. OUTDOOR RANGE DESIGN............................................................................................. II-4 5. INDOOR RANGE DESIGN. .............................................................................................. II-15 6. LIVE FIRE SHOOT HOUSE. ............................................................................................ II-27 CHAPTER III - ENGAGEMENT SIMULATION SYSTEMS 1. INTRODUCTION. .............................................................................................................. III-1 2. SAFETY. ............................................................................................................................. III-3 3. MARKING SYSTEMS ACTIVITIES. ............................................................................... III-9 4. RULES OF ENGAGEMENT ............................................................................................ III-12 CHAPTER IV - OPERATIONS 1. BASIC CONSIDERATIONS. ............................................................................................. IV-1 2. STANDARDIZATION OF FIREARMS ............................................................................ IV-4 3. STORAGE OF FIREARMS, AMMUNITION, PYROTECHNICS, AND EXPLOSIVES...................................................................................................................... IV-5 4. FIREARMS AND AMMUNITION MAINTENANCE/INSPECTION ............................. IV-6 5. PYROTECHNICS AND EXPLOSIVES INSPECTION .................................................. IV-10 6. INVENTORY OF FIREARMS, AMMUNITION, PYROTECHNICS, AND EXPLOSIVES. ........................................................................................................... IV-9 viii DOE M 470.4-3 08-26-05 CHAPTER V - OPERATIONAL ASSURANCE 1. APPRAISALS/SELF-ASSESSMENTS. .............................................................................. V-1 2. PROTECTIVE FORCES SAFETY COMMITTEE. ............................................................ V-2 CHAPTER VI - TRANSPORTATION, HANDLING, AND STORAGE OF MUNITIONS 1. APPROVED AMMUNITION. ............................................................................................ VI-1

2. TRANSPORTATION OF MUNITIONS. ........................................................................... VI-1 3. HANDLING OF MUNITIONS. .......................................................................................... VI-1 4. STORAGE OF MUNITIONS.............................................................................................. VI-1 5. PROTECTIVE FORCE (PF) MUNITIONS. ....................................................................... VI-2 APPENDIX B-1 EXAMPLE FORMAT FOR A PRE-EXERCISE BRIEFING .............. B1-1 APPENDIX B-2 SAMPLE OF HAZARDS REVIEW ........................................................ B2-1 APPENDIX B-3 EXAMPLES OF STEEL TARGETS ....................................................... B3-1 APPENDIX B-4 STEEL TARGET SPLATTER ZONES .................................................. B4-1 APPENDIX B-5 RANGE DESIGN FEATURES ................................................................. B5-1 APPENDIX B-6 DOE FIREARMS MODIFICATION LIST 1. GENERAL. ......................................................................................................................... B6-1 2. LIVE-FIRE FIREARMS. ................................................................................................... B6-1 3. ENGAGEMENT SIMULATION SYSTEM FIREARMS. ................................................ B6-5 SECTION C - FIREARMS QUALIFICATION COURSES CHAPTER I - INTRODUCTION 1. SCOPE. ................................................................................................................................... I-1 2. CONTENT .............................................................................................................................. I-1 3. REQUIREMENTS .................................................................................................................. I-2 4. REVIEW ................................................................................................................................. I-2 CHAPTER II - GENERAL INSTRUCTIONS FOR FIREARMS QUALIFICATION COURSES .................................................................................................................................. II-1 CHAPTER III - HANDGUN QUALIFICATION COURSES 1. INTRODUCTION ............................................................................................................... III-1 2. INSTRUCTIONS FOR HANDGUN QUALIFICATION COURSES................................ III-1 3. DAYLIGHT HANDGUN QUALIFICATION COURSE. .................................................. III-1 4. REDUCED LIGHTING HANDGUN QUALIFICATION COURSE. ............................... III-4 5. SECURITY POLICE OFFICER (SPO)-III DAY COMBINED HANDGUN QUALIFICATION COURSE .............................................................................................. III-6 DOE M 470.4-3 ix 08-26-05 CHAPTER IV - RIFLE QUALIFICATION COURSES 1. INTRODUCTION ............................................................................................................... IV-1 2. INSTRUCTIONS FOR RIFLE QUALIFICATION COURSES. ........................................ IV-1 3. DAYLIGHT SEMIAUTOMATIC RIFLE QUALIFICATION COURSE. ........................ IV-1 4. DAYLIGHT SPO-III COMBINED RIFLE/SMG QUALIFICATION COURSE. ............. IV-4 5. REDUCED LIGHTING SEMIAUTOMATIC RIFLE QUALIFICATION COURSE. ...................................................................................................................... IV-10

6. AUTOMATIC RIFLE QUALIFICATION COURSES. ................................................... IV-11 CHAPTER V - SHOTGUN QULIFICATION COURSES 1. INTRODUCTION ................................................................................................................ V-1 2. INSTRUCTIONS FOR SHOTGUN QUALIFICATION COURSES. ................................. V-1 3. DAYLIGHT SHOTGUN QUALIFICATION COURSE. .................................................... V-1 4. REDUCED LIGHTING SHOTGUN QUALIFICATION COURSE ................................... V-2 5. SHOTGUN SLUG QUALIFICATION COURSE. .............................................................. V-3 CHAPTER VI - SUBMACHINE GUN QUALIFICATION COURSES 1. INTRODUCTION ............................................................................................................... VI-1 2. INSTRUCTIONS FOR SUBMACHINE GUN QUALIFICATION COURSES. ............... VI-1 3. DAYLIGHT SUBMACHINE GUN QUALIFICATION COURSE. .................................. VI-1 4. REDUCED LIGHTING SUBMACHINE GUN QUALIFICATION COURSE. ................ VI-4 CHAPTER VII - LIGHT MACHINE GUN QUALIFICATION COURSES 1. INTRODUCTION ............................................................................................................. VII-1 2. INSTRUCTION FOR LIGHT MACHING GUN QUALIFICATION COURSES .......... VII-1 3. FULL-AUTOMATIC LIGHT MACHINE GUN QUALIFICATION COURSES. .......... VII-1 4. SELECTIVE FIRE LIGHT MACHINE GUN QUALIFICATION COURSES. .............. VII-9 CHAPTER VIII - SHOOTING-ON-THE-MOVE QUALIFICATION COURCES 1. INTRODUCTION ............................................................................................................ VIII-1 2. INSTRUCTIONS FOR SHOOTING-ON-THE-MOVE QUALIFICATION COURSES.................................................................................................................... VIII-1 3. SHOOTING-ON-THE-MOVE HANDGUN QUALIFICATION COURSE. .................. VIII-2 4. SHOOTING-ON-THE-MOVE SMG/RIFLE QUALIFICATION COURSE. ................. VIII-4 CHAPTER IX - PRECISION RIFLE QUALIFICATION COURSES 1. INTRODUCTION ............................................................................................................... IX-1 2. INSTRUCTIONS FOR PRECISION RIFLE QUALIFICATION COURSES. .................. IX-1 3. DAYLIGHT PRECISION RIFLE QUALIFICATION COURSE. ..................................... IX-2 x DOE M 470.4-3 08-26-05 4. REDUCED LIGHTING PRECISION RIFLE QUALIFICATION COURSE. ................... IX-5 CHAPTER X - LIVE-FIRE SHOOT HOUSE QUALIFICATION COURSES 1. INTRODUCTION ................................................................................................................ X-1 2. INSTRUCTIONS FOR LFSH QUALIFICATION COURSES. .......................................... X-1 3. LFSH COURSES LAYOUT REQUIREMENTS ................................................................ X-3 4. LFSH QUALIFICATION COURSES. ................................................................................. X-3 APPENDIX C-1 REDUCED LIGHTING STANDARDS AND MEASUREMENTS FOR FIREARMS QUALIFICATION COURSES 1. INTRODUCTION .............................................................................................................. C1-1 2. LIGHTING STANDARDS. ............................................................................................... C1-1 3. LIGHTING STANDARDS MEASUREMENT AND APPLICATION ............................ C1-1

APPENDIX C-2 REMEDIAL FIREARMS QUALIFICATION COURSE 1. INTRODUCTION .............................................................................................................. C2-1 2. INSTRUCTIONS FOR REMEDIAL FIREARMS QUALIFICATION COURSE. .......... C2-1 3. REMEDIAL FIREARMS QUALIFICATION COURSE. ................................................. C2-2 APPENDIX C-3 TARGETS AND SCORING FOR DOE FIREARMS QUALIFICATION COURSES 1. INTRODUCTION .............................................................................................................. C3-1 2. TARGETS........................................................................................................................... C3-1 3. INSTRUCTIONS FOR SCORING DOE STANDARD TARGET ................................... C3-1 4. INSTRUCTIONS FOR SCORING STANDARD MILITARY TARGET ........................ C3-3 5. QUALIFYING SCORES AND REQUIREMENTS. ......................................................... C3-3 APPENDIX C-4 PRECISION RIFLE QUALIFICATION COURSE SCORING TEMPLATES 1. HEAD SCORING TEMPLATE ......................................................................................... C4-1 2. CENTER OF MASS SCORING TEMPLATE .................................................................. C4-1 APPENDIX C-5 PRACTICAL SHOOTING COURSES 1. INTRODUCTION .............................................................................................................. C5-1 2. PRACTICAL SHOOTING COURSE ADJUSTMENTS ................................................... C5-2 3. PRACTICAL SHOOTING COURSE SAFETY ................................................................ C5-2 4. DOE PRACTICAL SHOOTING COURSES ..................................................................... C5-4 ATTACHMENTS ATTACHMENT 1 DEPARTMENTAL ELEMENTS TO WHICH DOE M 470.4-3 IS APPLICABLE ............................................................................................................................... 1 ATTACHMENT 2 CONTRACTOR REQUIREMENTS DOCUMENT ............................... 1 DOE M 470.4-3 Chg 1 Section A 3-7-06 I-1 Vertical line denotes change. SECTION A – PROTECTIVE FORCE PROGRAM CHAPTER I - PROTECTIVE FORCE MANAGEMENT 1. PLANS, POST AND GENERAL ORDERS, AND PROCEDURES. a. Development. Written plans, post orders (POs), general orders (GOs), and procedures covering protective force (PF) routine, emergency, and administrative duties; tactical deployment; and other operational requirements must be developed and must ensure PF assignments are oriented to allow maximum concentration of resources in a tactical posture. Response plans must ensure that PFs are located in either direct defense of target locations or appropriate ready response positions. Plans, POs, GOs, and procedures must be clear, concise, and current. (1) Plans. Required protection strategies; tactical response options, actions, and times; and other applicable response requirements must be addressed in response plans. Facilities either possessing Category I or a credible roll-up of Category II SNM must concentrate tactical resources on or around target locations. Tactical response plans will locate protective forces either in direct defense of target locations or in appropriate ready response positions that offer immediate response to target locations. Response plans will be developed in support of tactically cohesive units; i.e., two or more SPOs with an identified leader. Required PF plans include:

(a) Security incident response plans (SIRPs) covering response requirements to security incidents; adversary intrusion of a facility/site; and defense against adversary use of weapons, explosives, and chemical/biological weapons (CBW), as described in the DOE O 470.3, Design Basis Threat (DBT) Policy). SIRPs must provide specific response direction and required actions to PF personnel for applicable containment, denial, recapture, recovery, and pursuit strategy requirements and to support interruption/neutralization operations before completion of adversary task times. When a site/facility vulnerability assessment (VA), performance test, and/or site safeguards and security plan (SSSP) dictates a recapture strategy and/or interdiction/neutralization operations requirements for which a mechanical tactical entry (TE) capability alone will not meet required response times, the site/facility must develop an explosive TE capability and requisite SIRP. (a) Facility evacuation response plans covering protection of security interests, employees, the public, and the environment during nuclear release incidents, adversary use of CBW, Section A DOE M 470.4-3 Chg 1 I-2 3-7-06 Vertical line denotes change. chemical/radiological/biological sabotage, and other site emergencies. (b) Security contingency response plans covering PF work stoppages, PF recall measures, and required response actions of local, State, and Federal law enforcement agencies (LEAs). Security contingency response plans covering PF work stoppages must contain the Federal and PF contractor responsibilities, planning considerations, training, management oversight, and other activities related to the establishment of a contingency PF. (c) Target folders containing interagency compatible site descriptions and response planning documentation; and facility- specific information (e.g., engineering descriptions of buildings, entry/exit locations, response and observation positions); types and quantities of special nuclear material (SNM), or other attractive targets and their locations and critical paths to assist the PF and LEAs in conducting interagency compatible tactical operations. Target folders must be developed by sites possessing Category I or II quantities of SNM and/or significant radiological sabotage concern(s) using the format approved by the Director, Office of Security (see Section A, Appendix A-2). (2) Post Orders and General Orders. PF responsibilities, assignments, and requirements must be addressed in POs and GOs. (a) POs must contain specific guidance for operational requirements at a designated PF post. POs must be developed and implemented for temporary posts. (b) GOs must contain guidance for PF personnel in the conduct of site/ facility-wide duties related to the protection of target assets. (3) Procedures. Administrative, training, and other non-response-related operational requirements, to include Site-Specific Rules of Engagement (see Section A, Appendix A-3), must be addressed in procedures. b. Availability. Plans, POs, GOs, and procedures must be available to the PF for reference and guidance. Individual POs for designated fixed and mobile (vehicle) posts must be located at these posts. GOs and administrative procedures must be available in a central location for easy reference; posts located in remote areas must have GOs located at the post. Response plans must be located at central alarm stations (CASs), secondary alarm stations (SASs), and other tactical command locations to allow ready reference by PF personnel tasked with coordinating response actions.

DOE M 470.4-3 Chg 1 Section A 3-7-06 I-3 Vertical line denotes change. c. Review. The cognizant security authority must review plans, POs, GOs, and procedures for currency when response requirements, duties, or administrative requirements are changed, but at least annually (at least every 12 months). The annual or special review for adequacy and currency must be documented to show the name of the reviewer and the date the review was completed. Any revisions or changes made to plans, POs, GOs, or procedures as a result of the review must be highlighted or marked in such a manner to ensure PF personnel are aware of those revisions and changes. d. Non-Department of Energy (DOE) Law Enforcement Agency Support. Sites possessing Category I/II SNM must establish cooperative agreements with local, State and Federal law enforcement agencies (LEAs) to assist with site law enforcement functions. Plans requiring participation by local, State, and Federal LEAs in support of the site law enforcement functions must be documented and coordinated by DOE line management. Any applicable LEA routine and/or response support is detailed in an SSSP, however, a memorandum of understanding/agreement (MOU/MOA) documenting the anticipated level and priority of support from each such agency must be completed, reviewed, and updated annually (at least every 12 months). 2. QUALIFICATION REQUIREMENTS. PF personnel must comply with Departmental medical, physical fitness, and firearms qualifications and training requirements. [10 Code of Federal Regulations (CFR) 1046, Physical Protection of Security Interests] a. Access Authorization. (1) PF personnel must possess access authorizations commensurate with the highest level of classified information or matter to which they have or potentially have access. Access authorizations must be accomplished in accordance with DOE M 470.4-5, Personnel Security. (2) Security Police Officers (SPOs) and Special Agents (SAs) must possess L or Q access authorizations. (3) Federal Officers, Federal Agents, and SPOs with access to nuclear weapons, nuclear test devices, or complete nuclear assemblies; Category I and II quantities of SNM; must possess Q access authorizations. b. Medical, Physical Fitness, Firearms, and Training Standards. (1) Security Officers (SOs). SOs must meet the training, qualification, and medical requirements. [10 CFR 1046, Subpart B, Protective Force Personnel]. (2) Security Police Officers (SPOs). SPOs must meet the medical, physical fitness, firearms, and training and qualifications requirements. Section A DOE M 470.4-3 Chg 1 I-4 3-7-06 Vertical line denotes change. [10 CFR 1046, Subpart B, Protective Force Personnel]. Before initial assignment to independent duties, SPO candidates must be formally evaluated and certified in accordance with procedures based on site-specific requirements approved by DOE line management. (3) Federal Officers (FOs)/Federal Agents (FAs)/Special Agents (SAs). FOs/FAs/SAs must complete a formal training and qualification program before assignment to duties. The training program must be based on assigned functions. Firearms, physical fitness, and medical qualifications must meet DOE and/or Office of Personnel Management requirements for the position assignment.

(4) Maintaining Physical Fitness Standards. PF personnel must maintain physical fitness standards. Randomly selected FO/FA/SA or SPOs will be required to demonstrate they meet physical fitness qualification standards during an inspection, survey, review, audit, or other situation as directed by DOE line management. Failure to meet the physical fitness standard will be treated as if the individual failed the first attempt during annual qualification. In the event of a failure specific requirements must be followed. [10 CFR 1046, Subpart B, Protective Force Personnel]. c. Special Skills Qualifications. Site-specific conditions may justify requirements for PF personnel to possess qualifications for special skills (e.g., security helicopter operations, ascending and descending techniques, mechanical and explosive TE techniques, CBW countermeasures, hostage negotiation, precision rifleman/forward observer team (PRFOT), communications, exercise controllers/evaluators, or alarm station monitoring). Responsible managers must ensure that personnel assigned to these duties are trained, formally evaluated, and certified, if required, by an appropriate accrediting authority before performing those duties. Certifications required by specific job functions (e.g., a Federal Aviation Administration (FAA) license for pilots) must be kept current. The employing organization for each individual must maintain a record of qualification and/or certification. d. Firearms. (1) No person will be authorized to carry a firearm as a PF officer until DOE line management is assured that the individual is qualified in accordance with the firearms qualification standards established in Section C. When DOE firearms qualification courses do not exist or do not address site-specific deployment of issued firearms, site-specific supplemental qualification courses must be developed. These supplemental courses must be approved by the Associate Administrator for Defense Nuclear Security after coordination with the Office of Security or by the Director, Office of Security, as appropriate. DOE M 470.4-3 Section A 8-26-05 I-5 (2) Every 6 months, each FO/FA/SA and SPO must meet the applicable firearms qualification standards. Requalification must occur no later than the sixth month from the previous qualification. The requalification may be accomplished at any time during the requalification month. If an FO/FA/SA or SPO does not requalify before (see 3., below) or during the requalification month, the individual’s authority to carry firearms and make arrests must be suspended until such time as requalification is completed. If requalification occurs before the requalification month, the next requalification must become due 6 months from the new month. (3) PF personnel must maintain firearms proficiency. An FO/FA/SA or SPO may be required to demonstrate the ability to meet qualification standards during an inspection, survey, review, audit, or other situation directed by DOE line management. Failure to meet the performance standard will be treated as if the individual failed the first attempt during semi-annual qualification. Procedures in paragraph (4)(d), below must be followed in the event of a failure. (4) Each FO/FA/SA and SPO must qualify with each firearm that is reasonably expected to be used during duty assignment on the qualification course indicated in Section C and any applicable approved site-specific supplemental qualification course.

(a) Qualifications must be accomplished with the same type of firearm, model and associated features (i.e., caliber, sight system), and ammunition (i.e., equivalent in trajectory and recoil) used while on duty. (b) Before any range activity, each FO/FA/SA and SPO must be given a briefing on the basic principles of firearms safety. However, a firearms safety briefing is not required for each qualification course using the same firearm after the initial safety presentation for that firearm. (c) FOs/FAs/SAs and SPOs must be allowed up to two initial attempts to qualify semi-annually (at least every 6 months). A Range Master or other person in charge of the range will declare to personnel on the firing line, “This is a qualifying run.” Once this statement is made, any firearms activity will constitute a qualification attempt. The FO/FA/SA or SPO must qualify during one of the two attempts. (d) Failure to qualify, as set out in paragraph (4)(c), above, will result in suspension of the authority to carry firearms and make arrests. Upon failure, a FO/FA/SA or SPO will then enter a standardized, remedial firearms training program based on training instruction developed by the DOE National Training Center (NTC) and Section A DOE M 470.4-3 I-6 08-26-05 approved by the Director, Office of Security. The remedial firearms training program will include basic firearm manipulation skills, firearms safety, and necessary individual training to afford a reasonable opportunity to meet the firearms qualification standards. 1 Any FO/FA/SA or SPO, who completes the remedial training and fails to qualify after the two subsequent attempts, will lose FO/FA/SA or SPO status and the authority to carry firearms and make arrests. The total number of initial requalification and remedial requalification attempts may not exceed four. 2 Any person who requires remedial training on three consecutive semi-annual qualification periods, with the same firearm on the same qualification course, will lose FO/FA/SA or SPO status. 3 Loss of FO/FA/SA or SPO status for either failure to meet qualification standards or excessive remedial requirements will result in the individual’s removal from the FO/FA/SA or SPO position. Site-specific procedures must be developed and approved by DOE line management to allow a single additional qualification attempt within 1 year of removal from status if the former FO/SA or SPO presents evidence of outside training that indicates the required skill level. 4 Site-specific procedures must be developed and approved by the Assistant Deputy Administrator for Secure Transportation to allow a single additional qualification attempt within 1 year of removal from status if the former FA presents evidence of outside training that indicates enhanced skill level. Upon qualification in this final attempt, reinstatement may be effected where site- specific employment conditions, position availability, and procedures permit. Any subsequent application for rehire will require training as provided to any other initial applicant for an FO/FA/SA or SPO position. 5 The PF Range Master will designate, in writing, the firearms instructor(s) who are authorized to certify the validity of the scores achieved during qualification attempts. (5) PF organizations not firing individually-issued firearms during qualification must have written procedures authorizing the specific DOE M 470.4-3 Chg 1 Section A 3-7-06 I-7 Vertical line denotes change.

model and associated features of all firearms. These procedures must be approved by DOE line management. (6) Ammunition listed in the DOE Standardized Ammunition Contract Guide must be used for training, duty, and qualification. The purpose of the standardized ammunition contract is to provide cost-effective, bulk procurement of ammunition for DOE sites. Should a site-specific PF protection mission requirement require the use of a specialized ammunition not listed in the current approved ammunition list, the site may procure and field the ammunition upon approval of DOE line management. e. Authority to Carry Firearms. (1) The employing organization must maintain written documentation indicating each individual who is authorized to carry firearms and make arrests without warrant while performing official duties. (2) Firearms instructors not currently assigned FO/FA/SA or SPO duties may carry firearms when performing their instructional duties if authorized by DOE line management. These instructors must pass the firearms qualification courses for assigned firearms and for firearms that are the subject of instruction. f. Pooling. (1) Security Police Officers (SPO)-I/-II. (a) Any former SPO-I/-II who has been out of active SPO status for less than 6 months may return to active status after completing limited refresher training for the assigned SPO-level duties. The scope of limited refresher training will be determined by evaluation of the SPOs skills by a PF instructor and approved by the cognizant PF Training Manager. The scope of limited refresher training must include the use of deadly force, site- specific rules of engagement (see Section A, Appendix A-3), intermediate force weapons, a review of basic firearms training, and site-specific assigned duties. Cognitive and performance tests will be designed and administered to ensure the SPO has met the required standards associated with all tasks necessary to effectively resume duties as a member of a protective force unit. Documentation of testing activities will be maintained and available for review during DOE/NNSA inspection activities. (b) Any former SPO-I/-II who has been out of active SPO status for more than 6 months but less than 12 months may return to active status after completing prescribed refresher training for the Section A DOE M 470.4-3 Chg 1 I-8 3-7-06 Vertical line denotes change. assigned SPO-level duties. The prescribed refresher training will be designed by a PF instructor and approved by the cognizant PF Training Manager. The scope of prescribed refresher training must include an overall review of the SPO-I/-II training requirements in Section A, Chapter IV of this Manual and site- specific duties. Cognitive and performance tests will be designed and administered to ensure the SPO has met the required standards associated with all tasks necessary to effectively resume duties as a member of a protective force unit. Documentation of testing activities will be maintained and available for review during DOE/NNSA inspection activities. (c) Any former SPO-I/-II who has been out of active SPO status for more than 12 months may return to active status only after again completing the entire DOE basic SPO training course and site-specific requirements as noted in Section A, Chapter IV. (d) After completing the refresher/prescribed training program, but before re-assignment to SPO-I/-II duties, the SPO must successfully complete all required medical, physical fitness, and firearms (for assigned firearms) qualification requirements.

(e) The Supervisor of any newly-assigned SPO will evaluate the tactical performance of the SPO through individual and unit performance tests. The supervisor will provide guidance and instruction as necessary to ensure the SPO is effectively integrated into the unit and is capable of performing mission requirements. (2) SPO-III. (a) Any former SPO-III who has been out of active SPO-III status for less than 6 months may return to active status after completing limited refresher training for assigned SPO-III duties. The scope of limited refresher training will be determined by evaluation of the SPO-III’s skills by a SPO-III instructor and approved by the cognizant Special Response Team (SRT) Commander. The scope of limited refresher training must include the use of deadly force, rules of engagement, review of basic firearms training for assigned firearms, and site-specific assigned duties. Cognitive and performance tests will be designed and administered to ensure the SPO-III has met the required standards associated with all tasks necessary to effectively resume duties as a member of a unit. Documentation of testing activities will be maintained and available for review during DOE/NNSA inspection activities. DOE M 470.4-3 Chg 1 Section A 3-7-06 I-9 Vertical line denotes change. (b) Any former SPO-III who has been out of active SPO-III status for more than 6 months but less than 12 months may return to active status after completing prescribed refresher training for assigned SPO-III duties. The prescribed refresher training will be designed by an SRT instructor and approved by the cognizant SRT commander. The scope of prescribed refresher training must include an overall review of the SPO-III training requirements in Section A, Chapter IV of this Manual and site- specific assigned duties. Cognitive and performance tests will be designed and administered to ensure the SPO-III has met the required standards associated with all tasks necessary to effectively resume duties as a member of a unit. Documentation of testing activities will be maintained and available for review during DOE/NNSA inspection activities. (c) Any former SPO-III who has been out of active SPO-III status for more than 12 months may return to active status only after again completing the entire DOE SRT Basic Qualification Course and site-specific requirements as noted in Section A, Chapter IV. (d) After completing the refresher/prescribed training program, but prior to re-assignment to SPO-III duties, the SPO-III must successfully complete all required medical, physical fitness, and firearms (assigned firearms and live-fire shoot house [LFSH]) qualification requirements. (e) The Supervisor of any newly-assigned SPO-III will evaluate the tactical performance of the SPO-III through individual and unit performance tests. The supervisor will provide guidance and instruction as necessary to ensure the SPO-III is effectively integrated into the unit and is capable of performing mission requirements. (3) Contingency Force Personnel. (a) Any individual who has been qualified as an SPO-I/-II/-III may return to active status as part of a contingency force after completing prescribed refresher training as described in paragraphs (1)(b) or (2)(b) of this section for the assigned SPO level duties. Formerly qualified SPO-IIIs may perform SPO-I/-II contingency duties and SPO-IIs may perform SPO-I duties, but former SPO-I/- IIs may not be assigned SPO-III duties and SPO-Is may not be assigned SPO-II duties.

Section A DOE M 470.4-3 Chg 1 I-10 3-7-06 Vertical line denotes change. (b) Prior to assignment to contingency force duties, the SPO must successfully complete all required medical, human reliability program, physical fitness, and firearms (for assigned firearms) qualification requirements. (2) Returning Military Personnel. (a) Any individual previously qualified as an SPO-I/-II/-III who has been deployed to military active duty for up to 36 months may return to active status after completing prescribed refresher training as described in paragraphs (1)(b) or (2)(b) of this section for the assigned SPO level duties. (b) Prior to reassignment to active status, the SPO must successfully complete all required medical, human reliability program, physical fitness, and firearms (for assigned firearms) qualification requirements. 3. CREDENTIALS AND SHIELDS. Credentials and shields are issued to qualified DOE Federal employees, FOs/FAs/SAs, and contractor personnel to identify the bearer as having the authority to perform assigned official duties. The design of all S&S credentials and shields must be approved by the Director, Office of Security, and where applicable, DOE line management. a. Types of Credentials and Shields. Contractor Security Credential. This credential is issued to those DOE contractor employees conducting security interviews, investigations, inquiries, inspections, and/or surveys as official duties or functions. The design of the contractor security credential must be approved by the Director, Office of Security. (1) Federal Officer Credential with Shield (Unarmed). This credential is issued to DOE Federal employees, who have been designated as unarmed FOs, for identification when conducting interviews, inquiries, inspections, surveys, investigations, and liaison activities with law enforcement officials. These FOs do not require firearms/arrest authority. The shield is a metal, police-type badge that is issued for ready identification when conducting a Federal security function (e.g., conducting an investigation). Each shield must bear a serial number imprinted on its face. The credential must bear the shield number. The design of the FO credential and shield (unarmed) must be approved by the Director, Office of Security. (2) Federal Arming and Arrest Credentials with Shield (Armed). These credentials are issued to DOE Federal employees who require firearms/arrest authority as an official function or duty. DOE M 470.4-3 Section A 8-26-05 I-11 (a) Federal Officer Credential with Shield (Armed). This credential is issued to DOE Federal employees who require firearms/arrest authority (i.e., pursuant to section 161.k. of the Atomic Energy Act [42 U.S.C. 2201 (k)] or section 661 of the DOE Organization Act [42 U.S.C. 7270a]) as an official function or duty. The shield is a metal, police-type badge that is issued for ready identification when conducting a Federal law enforcement function (e.g., making an arrest or conducting an investigation). Each shield must bear a serial number imprinted on its face. The credential must bear the shield number. The design of the FO credential and shield (armed) must be approved by the Director, Office of Security.

(b) Special Agent Credential with Shield (Armed). This credential is issued to DOE Federal employees who require firearms/arrest authority (i.e., pursuant to section 161.k. of the Atomic Energy Act [42 U.S.C. 2201 (k)] or section 661 of the DOE Organization Act [42 U.S.C. 7270a]) as an official function or duty. The shield is a metal, police-type badge that is issued for ready identification when conducting a Federal law enforcement function (e.g., participating in special operations such as executive protection, making an arrest, or conducting an investigation). Each shield must bear the shield number imprinted on its face. The credential must bear the shield number. The design of the SA credential and shield must be approved by the Director, Office of Security. (c) Federal Agent Credential with Shield (Armed). This credential is issued to Office of Secure Transportation (OST) nuclear material courier FAs who require firearms/arrest authority (i.e., pursuant to section 161.k. of the Atomic Energy Act [42 U.S.C. 2201 (k)]) as an official function or duty. The shield is a metal, police-type badge that is issued for ready identification when operating in an official capacity (i.e., OST FA function). Each shield must bear a serial number imprinted on its face. The credential must bear the shield number. The OST shield design must be approved by the Assistant Deputy Administrator for Secure Transportation, and the Director, Office of Security. (3) Contractor Arming and Arrest Credential with Shield (Armed). This credential is issued to DOE contractor employees who require firearms/arrest authority as a function or duty. PFs wearing field-type uniforms may utilize cloth/embroidered-type shield on these uniforms. The Contractor Arming and Arrest Credentials with Shield (Armed) are issued to the following: Section A DOE M 470.4-3 I-12 08-26-05 (a) Strategic Petroleum Reserve (SPR) Security Police Officer Credential with Shield (Armed). This credential is issued to SPR SPOs who require Federal firearms/arrest authority (i.e., pursuant to section 661 of the DOE Organization Act {42 U.S.C. 7270a}) for protection of the SPR as a primary function or duty. The SPR shield design must be approved by the DOE SPR Director of Security and the Director, Office of Security. (b) Security Police Officer (Armed). This credential is issued to DOE contractor SPOs who require Federal firearms/arrest authority (i.e., pursuant to section 161.k. of the Atomic Energy Act {42 U.S.C. 2201 (k)}) as a primary function or duty. The SPO shield design must be approved by the DOE cognizant security authority and the Director, Office of Security. (4) NOTE: SOs may be issued a metal police-type shield at the discretion of the cognizant security authority. b. Issuance of Credentials and Shields. Fulfillment of training and qualification requirements for the position or duties must be verified before issuing a credential or credential with shield to an individual. Credentials and shields for individuals who fail to maintain relevant training and qualification requirements must be revoked and retrieved. (1) Credential and Shield Issuing Authority. (a) The issuing authorities for the FO Credential with Shield (Unarmed), the Contractor Security Credential, the FO Credential with Shield (Armed), the SA, and the Contractor Arming and Arrest Credential (SPO) with Shield (Armed) are the Director, Office of Headquarters Security Operations; and the DOE cognizant security authority, for their respective organizations.

(b) The issuing authority for the OST Credential with Shield (Armed) is the Assistant Deputy Administrator for Secure Transportation. (c) The issuing authority for the SPR Arming and Arrest Credential (SPO) with Shield (Armed) is the DOE SPR Director of Security. (2) Reissuing Credentials. If an employee experiences a significant change in facial appearance that could hinder positive identification or undergoes a name change, a credential with a new photograph must be requested by the individual, the individual’s supervisor, a security official, or PF management personnel. DOE M 470.4-3 Section A 8-26-05 I-13 (3) Blank Credential Stocks and Unissued Shields. (a) The Director, Office of Headquarters Security Operations, must procure and maintain blank Federal and Contractor Identification Credentials, Basic Security Credentials, SPO Security Credentials, FO Credentials, SA Credentials, and unissued FO/SA shields. Requests for these blank credential stocks and unissued FO/SA shields must be submitted, in writing, to the Director, Office of Security. (b) The Assistant Deputy Administrator for Secure Transportation must procure and maintain an inventory of OST blank credentials and unissued FA shields. (c) SPR project office authorities must maintain an inventory of SPR blank credentials and shields. (d) PF contractors must procure and maintain a sufficient supply of site-specific unissued SPO shields. c. Termination of Use. Credentials and shields are the property of the Government and must be returned to the issuing office when an employee transfers, terminates, or otherwise no longer requires the credential or shield. d. Recovery of Security Credentials and Shields. Credentials and shields must be recovered at the final security checkpoint or earlier, and the individuals must be escorted from the site if circumstances or conditions indicate such action is needed. Recovered credentials must be destroyed unless being held as evidence in an ongoing security investigation. Recovered shields may be retained and reissued. e. Accountability of Credentials and Shields. (1) Records. Issuing offices must maintain records showing the disposition of credentials and shields. Such records must include the description and serial number of the item issued, date of issuance, name, organization, and date of destruction. [Schedule 18 of the General Records Schedule (GRS) applies.] Lost Credentials and Shields. A record of missing credentials and shields must be maintained. Personnel and/or systems controlling access to security areas must be provided current information regarding missing credentials or shields in order to prevent their misuse. The loss or recovery of credentials or shields must be reported immediately to the issuing office, Federal and local law enforcement agency (LLEA) authorities, and the Director, Office of Security. Section A DOE M 470.4-3 Chg 1 I-14 3-7-06 Vertical line denotes change. (2) Storage of Blank Security Credentials and Unissued Shields. Blank credentials and unissued shields must be stored in a manner assuring their protection against loss, theft, or unauthorized use. 4. ALLOCATION OF PERSONNEL RESOURCES.

a. Location, Manning, and Scheduling. The location and manning of fixed and mobile posts must be determined using the DBT, local threat statements and vulnerability analyses, SSSPs, and appropriate DOE directives. PF posts and assignments must allow for the deployment of personnel and resources in a tactical posture. PF personnel must be located, to the greatest extent possible, at target areas or in appropriate ready positions to ensure complete and successful response to a verified threat occurrence by denying, containing, interdicting, interrupting, and/or neutralizing threats within the required response times. At Category I/II facilities, protective force personnel must be relieved, where practicable, of non-essential routine duties to permit concentration on training and testing in support of their primary tactical mission. Work schedules for PF personnel must be developed and monitored on a site-specific basis to provide adequate relief, training time, balanced overtime, and sufficient time off to ensure on-duty personnel work at peak physical and mental effectiveness. At Category I/II facilities, training shifts, or elements, must be initiated to maximize individual and unit tactical training opportunities. The size of the training element will be determined by line management but it should be at least sufficient to support limited scope force-on-force training activities. PF work schedules must be consistent with existing collective bargaining agreements and contracts and should be based on the following guidelines, where appropriate: (1) No more than 12 total hours per work day, excluding shift change and equipment issuing activities, should be scheduled. (2) No more than 60 total hours per workweek, excluding shift change and equipment issuing activities, should be scheduled. b. Supervision. Supervision of PF personnel must be provided to the extent required to ensure optimal performance of duties. (1) Shift Supervisory Requirements. There must be full-time supervision at sites where more than six PF personnel are assigned per shift. (2) Other Supervision Means. Various means and devices, such as telephone or radio contact or contact by another supervisor who is physically closer to the post, may be used as supplements to supervision or, in the case of small facilities or remote areas, to supplant supervision to assure that the necessary areas are patrolled and other security functions are performed. DOE M 470.4-3 Chg 1 Section A 3-7-06 I-15 Vertical line denotes change. (3) Post Inspections. Once per shift, supervisors must physically inspect, or contact by telephone or radio, PF posts to ensure operations are being conducted per DOE and site requirements and procedures. (4) Tactical Performance Oversight. At Category I/II facilities, supervisors will continually monitor the tactical readiness of all protective force personnel under their supervision. The supervisor will conduct frequent performance tests to evaluate the effectiveness of protective force tactical capabilities. All tests and associated results, including remediation as applicable, will be documented and available for management review. c. Unit Organization. At Category I/II facilities, the protective force organizational structure will be configured into tactically cohesive units. Each unit will have appropriate operational command, control and communication systems. Site tactical response plans will be developed around the unit concept rather than individual response positions. The tactical unit will promote maximum effectiveness in protecting the most valuable Departmental assets from an armed terrorist threat.

5. DOE AND CONTRACTOR PERSONNEL MANAGEMENT. a. Pre-Employment Screening. Screening (e.g., employment references, criminal background, credit, medical, and physical fitness) must be conducted to select individuals with potential to qualify for PF positions. b. Job Analyses. Job analyses (e.g., a listing of common tasks required for PF assignments) must be prepared and reviewed annually (at least every 12 months) for positions directly relating to protective operations. Job analyses must be used to prepare job descriptions and serve as basic input documents to local training requirements. Job analyses must address site-specific requirements for those activities that have not been standardized and issued by the DOE NTC. c. Human Reliability Program. DOE line management must identify positions that meet requirements of the Human Reliability Program (HRP) (see 10 CFR 712, Human Reliability Program). d. Training. See 10 CFR 1046, Physical Protection of Security Interests; DOE O 360.1B, Federal Employee Training; DOE M 470.4-1, Safeguards and Security Program Planning and Management; and Section A, Chapter IV. e. Records. See 10 CFR 1046, Physical Protection of Security Interests, the GRS, or the DOE Records Schedules. f. Reporting Requirement. Supervisors in the PF command structure and the manager in charge of on-site PF operations must ensure that any suspected criminal violations are reported in accordance with DOE M 470.4-1, Safeguards Section A DOE M 470.4-3 Chg 1 I-16 3-7-06 Vertical line denotes change. and Security Program Planning and Management, and, where appropriate, DOE O 232.1A, Occurrence Reporting and Processing of Operations Information. g. Implementation. DOE line management must approve contractor-developed procedures to implement paragraphs a. and b. above, based on internal organization (e.g., personnel, human resources, training, and labor relations) and collective bargaining agreements in effect. 6. CAREER PROGRESSION PLAN. The career progression plan is focused upon supporting the longevity of protective force employees who must maintain medical and physical fitness standards required to field a Tactical Response Force at Category I/II facilities. The plan is designed to provide employment options for long-term PF members who experience legitimate medical complications or physical conditions that prohibit them from maintaining fitness standards. a. SPO-II. To promote career longevity, SPO-II will be the entry level protective force position for new hires at Category I/II facilities. New hires will begin employment meeting the highest level of medical and physical fitness standards within the protective force. The Basic Security Police Officer Training (BSPOT) Course and SPO-II follow-on training will address all SPO-II tasks required to prepare them for duty. An SPO-II may staff an SPO-I post, however, an SPO-I may not staff an SPO-II post. SPO-IIs may apply for available SPO-I vacancies only if they have a valid medical or physical condition, brought about by illness, injury, or aging, that inhibits their ability to maintain physical fitness standards. Failure to maintain minimum firearms qualification scores or training does not qualify an SPO-II for consideration for an SPO-I vacancy. Failure to maintain minimum firearms qualification scores or training will be grounds for removal from SPO status.

b. SPO-III. A person who has successfully completed BSPOT and SPO-II follow-on training may then be eligible for promotion to fill SPO-III vacancies. New employees may be hired to fill SPO-III vacancies directly; however, they must complete the BSPOT course prior to progressing to the SPO-III course. If personnel are being hired with the intention of filling an SPO-III vacancy, stipulations regarding successful completion of both the BSPOT and SPO-III courses for continued retention may be established and enforced. Once qualified as an SPO-III, personnel must maintain SPO-III qualifications unless they apply, and are selected for, an SPO-II vacancy. Failure to maintain minimum firearms qualification scores or training and the absence of an SPO-II vacancy for which they are qualified will be grounds for removal from SPO status. SPO-IIIs may apply for SPO-I and SO vacancies only if they have a valid medical or physical condition, brought about by illness, injury, or aging, that inhibits their ability to maintain physical fitness standards. DOE M 470.4-3 Chg 1 Section A 3-7-06 I-17 (and I-18) Vertical line denotes change. c. SPO-I. At Category I/II facilities where there exists a legitimate requirement for the position of SPO-I, it is reserved for SPO-IIs or IIIs that can no longer maintain the more stringent medical and physical fitness standards of SPO-II and SPO-III due to a valid medical or physical condition brought about by illness, injury, or aging. This provision does not apply at non-Category I/II facilities where SPO-Is constitute the only armed PF position. d. SO. At Category I/II facilities where there exists a legitimate requirement for the position of SO, it is reserved for SPOs that can no longer maintain medical and physical fitness standards due to a valid medical or physical condition brought about by illness, injury, or aging. This provision does not apply at facilities where SOs constitute the only, or the predominant, PF position. 1DOE M 470.4-3 Chg 1 Section A 3-7-06 II-1 Vertical line denotes change. CHAPTER II - PROTECTIVE FORCE DUTIES 1. RESPONSE CATEGORIZATION. Medical and physical fitness requirements for each protective force position are based upon the expected level of physical exertion associated with security response duties. Three response categories have been established based on the duties outlined below. The cited distances associated with deployment are intended as general guidelines and are dependent upon the most tactically advantageous maneuver options available from the post or patrol at the time of deployment. Line management is responsible for determining the likelihood of extended deployment zones for each assigned post. a. Active Defense (Offensive Combatant). (1) Emergency response deployment by way of or from an armored vehicle. (2) Response deployment from a vehicle with expectations of moving greater than 50 yards from that vehicle. (3) Response deployment from a fixed post with expectations of moving greater than 50 yards from that fixed post. (4) Operation and use of crew served type weapons. (5) (6) Use of any explosive ordnance items. (7) Deployment in a sniper/counter sniper role. b. Static Defense (Defensive Combatant). (1) Response deployment from a vehicle with expectations of moving less than 50 yards from that vehicle. (2) Response deployment from a fixed post with expectations of moving less than 50 yards from that fixed post.

(3) Operation and use of crew served weapons from fixed fighting positions. c. Response Support (Non-Combatant). (1) Non combative emergency response duties. (2) Observation and reporting activities. (3) Logistical re-supply to other PF elements. (4) Transportation support. Section A DOE M 470.4-3 Chg 1 II-2 3-7-06 Vertical line denotes change. (5) Message courier. 2. SECURITY OFFICERS. a. Response Category: Response support. b. Assignments. Where practicable, unarmed SOs should be used to perform administrative, access control, facility patrol, escort, alarm assessment, alarm monitoring, and dispatch duties, as well as reporting of alarms. SOs will enforce S&S protection requirements allowing n armed PF personnel to maintain focus on their primary mission of combating the armed terrorist threat. Where possible, technological means (e.g., automated access controls, passive and active barriers, etc.) will be used to reduce staffing requirements. c. Knowledge, Skills, and Abilities. Job analyses (JAs) must be completed and approved by the Department of Energy (DOE) cognizant security authority to determine the specific knowledge, skills, and abilities (KSAs) required to perform each job assignment. The JA must be reviewed annually (at least every 12 months) to ensure all KSAs are current and applicable for each job assignment. SOs must demonstrate familiarity with, and knowledge of, the responsibilities identified in the JA and must show proficiency in the skills and abilities necessary to perform required assigned job tasks including, but not limited to, the following: (1) knowledge of and ability to perform site and routine patrol duty requirements; (2) operation of individual and post equipment, and vehicles; (3) operation of communication equipment employed, including proficiency in accepted communication terminology, acronyms, and phonetics, and the methods for verifying operator identity of incoming signals and signaling duress; (4) knowledge of, and the ability to apply, DOE directives, site policies, plans, Post Orders (POs)/General Orders (GOs), and procedures governing the SO’s role in site protection; (5) knowledge of Federal- and State-granted authority applicable to assigned activities and responsibilities between the PF and local LEAs (LLEAs); and (6) knowledge of post or patrol operations, including the following, as applicable: (a) access control systems, procedures, and operations including visitor and employee identification, badging, passes, visitor logging procedures, and property identification; 3DOE M 470.4-3 Chg 1 Section A 3-7-06 II-3 Vertical line denotes change. (b) prohibited article detection and handling requirements, including the operation of personnel-, vehicle-, and package-screening devices; (c) inspection techniques for persons, packages, and vehicles; (d) procedures for personnel and vehicle escorts; (e) implementation of plans, POs, GOs, and procedures to protect the site during disruptive events (e.g., fire and civil disturbances); (f) recognition of S&S interests being protected, including locations, routine uses, and movements of the interests through and/or at the duty post; (g) reporting incidents, observations, and assessments of alarm annunciations; (h) methods of unarmed self-defense; (i) awareness of the types of, and threats posed by, weapons of mass destruction (WMD); and (j) use of assigned personal protective equipment (PPE).

3. SECURITY POLICE OFFICERS. 10 Code of Federal Regulations (CFR) 1047, Limited Arrest Authority and Use of Force by Protective Force Officers, delineates SPOs responsibility at DOE facilities (other than the Strategic Petroleum Reserve [SPR]) to enforce specified laws regarding Government property and criminal provisions of the Atomic Energy Act. Such SPOs may, in accordance with 10 CFR 1047 be given additional local law enforcement responsibility on a site-specific basis. 10 CFR 1049, Limited Arrest Authority and Use of Force by Protective Force Officers of the SPR, delineates SPO responsibility at the SPR to enforce Federal criminal laws to protect SPR Government property and personnel. SPOs must possess the individual and team combat tactical skills necessary to protect S&S interests from an armed terrorist threat, to include theft or sabotage of nuclear weapons or special nuclear material, and other hostile acts that may cause adverse impacts on national security, the health and safety of employees, the public, or the environment. a. Armed SPOs must be assigned to protect security areas that: (1) receive, use, process, or store Category I or II quantities of special nuclear material (SNM) (see DOE M 470.4-6, Nuclear Material Control and Accountability); (2) manufacture, store, or test nuclear weapons, nuclear test devices, or complete nuclear assemblies; Section A DOE M 470.4-3 Chg 1 II-4 3-7-06 Vertical line denotes change. (3) represent a significant target for sabotage (e.g., radiological or toxicological); and (4) contain a unique capability in DOE that must be protected for purposes of program continuity or to preclude an unacceptable impact to national security, the health and safety of DOE and contractor employees, the public, or the environment when the need has been so designated by the DOE line management b. SPO Levels. SPOs are categorized according to a three-level system (SPO-I, -II, and -III) that tailors training requirements to assigned duties. JAs must ensure that individual and unit tactical combat skills are included as part of assigned duties for SPOs located at Category I/II SNM facilities. JAs are approved by the DOE cognizant security authority to ensure the KSAs address the duties of each SPO job assignment and support the primary mission of successfully defeating the armed terrorist threat. SPO JAs must be reviewed annually (at least every 12 months) to ensure all KSAs are current and applicable for each specific SPO job assignment. The following is a general description of SPO duties by level. These examples do not preclude assignment to other posts and patrols deemed necessary by line management and determined by tactical planners to require capabilities commensurate with SPO level-specific qualification standards. Such assignments must be consistent with respective response classifications. (1) SPO-I. (a) Response Category: Static defense. (b) Assignments. 1 Category I/II facilities—Fixed fighting positions, towers, access control, alarm monitoring, dispatch, security checks, armed construction/administrative escort, and material/package inspections. 2 Non-Category I/II facilities—Vehicle and foot patrols, alarm response and assessment, access control, alarm monitoring, dispatch, security checks, armed construction/administrative escort, and material/package inspections.

(c) Qualifications. Standardized SPO-I training and site-specific training as identified by the site-specific JA. Physical fitness standard of a 0.5-mile run in 4 minutes and 40 seconds and a 40-yard prone-to-running dash in 8.5 seconds. Applicable firearms qualification standards are in Section A, Chapter I, 2.d. and in Section C. 5DOE M 470.4-3 Chg 1 Section A 3-7-06 II-5 Vertical line denotes change. (2) SPO-II. (a) Response Category: Active defense. (b) Assignments. Vehicle and foot patrols, mobile and mobile reserve response force with the primary mission of denying adversary access to targets. (c) Qualifications. DOE standardized SPO-I and -II training and site-specific training as identified by the site-specific JA. Physical fitness standard of a 1-mile run in 8 minutes and 30 seconds and a 40-yard prone-to-running dash in 8 seconds. Firearms qualification standards as identified in Section A, Chapter I, 2.d., and in Section C. (3) SPO-III. (a) Response Category: Active defense. (b) Assignments. Exterior reconnaissance patrols, SRT posts, activities and duties with the primary missions of recapture, recovery and pursuit. (c) Qualifications. DOE standardized SPO-I, SPO-II and SPO-III training, and site-specific training as identified by the site-specific JA. Physical fitness standard of a 1-mile run in 8 minutes and 30 seconds and a 40-yard prone-to-running dash in 8 seconds. Firearms qualification standards, as applicable, in Section A, Chapter I, 2.d. and Section C. c. SPO-I KSAs. The requirements for each SPO-I to demonstrate familiarity with, and knowledge of, the responsibilities identified in the applicable JA and proficiency in individual KSAs necessary to perform the job tasks include, but are not limited to, those identified for SOs and the following: (1) knowledge and proficiency in the use and care of all weapons required by duty assignment; (2) knowledge of and the ability to apply DOE and site requirements, plans, and procedures required by the SPOs assignment; (3) knowledge of, and the ability to apply, DOE requirements on the use of deadly force and limited arrest authority; and (4) knowledge of and proficiency in post operations including, as applicable: Section A DOE M 470.4-3 Chg 1 II-6 3-7-06 Vertical line denotes change. (a) specific post duties; (b) requirements for the protection of sensitive materials, such as classified information or matter; and (c) methods of self-defense, detention and arrest. d. SPO-II KSAs. The requirements for each SPO-II to demonstrate familiarity and knowledge of the responsibilities identified in the site-specific JA and proficiency in individual and team KSAs necessary to perform the job tasks include, but are not limited to, those identified for SPO-Is listed above and the following: (1) knowledge of and the ability to apply DOE and site-specific response requirements; and (2) knowledge of and proficiency in post and patrol operations including: (a) requirements for and ability to perform as escorts for sensitive materials such as nuclear weapons, components, and assemblies; SNM; and classified information or matter; (b) individual techniques and small unit/team tactics to respond, assess alarm annunciations and other indications of intrusion, and implement containment, denial, recapture, recovery, and pursuit strategies; (c) procedures and requirements for investigations, search of persons and property for evidence, and recognition, seizure, and preservation of evidence;

(d) response to civil disturbances; (e) prisoner control; (f) operate from specialized vehicles; (g) tactics necessary to engage and neutralize adversaries to include their capabilities, weapons, and equipment as defined in the DOE Design Basis Threat (DBT) and local threat guidance; (h) familiarity and recognition of various forms and configurations of security interests being protected; and (i) actions required of first responders to WMD incidents. e. SPO-III KSAs. The requirements for each SPO-III to demonstrate familiarity and knowledge of the responsibilities identified in the JA and proficiency in the 7DOE M 470.4-3 Chg 1 Section A 3-7-06 II-7 Vertical line denotes change. individual and team KSAs necessary to perform the job tasks include, but are not limited to, those identified for SPO-IIs as listed above and the following: (1) ability to act as a member of a tactical response team using force options and tactics necessary for denial, interdiction, interruption, neutralization operations directed against an adversary and to support site-specific protection strategies; and (2) ability to qualify with and/or employ site-approved special weapons, techniques, equipment, and vehicles necessary to protect the site or to engage, neutralize, and/or to pursue an adversary. 4. FEDERAL AGENTS (FAs). Armed DOE PF personnel designated as FAs under the authority of the Assistant Deputy Administrator for Secure Transportation must provide for the safe, secure, off-site domestic transportation of the following: a. DOE-owned or DOE-controlled nuclear explosives and nuclear devices; b. Category II or greater quantities of SNM, excluding naval reactor core shipments; c. limited-life components of nuclear weapons; and d. other materials approved by the Assistant Deputy Administrator for Secure Transportation. 5. FEDERAL OFFICERS (FOs). DOE Federal employees designated by the Director, Office of Security, or the DOE cognizant security authority, as FOs, may or may not possess firearms/arrest authority pursuant to section 161.k. of the Atomic Energy Act or section 661 of the DOE Organization Act, and must, when directed: a. conduct investigations; b. conduct liaison activities with law enforcement officials; and c. perform inquiries into local and national security issues. 6. SPECIAL AGENTS (SAs). Armed DOE Federal employees designated by the Director, Office of Security, as SAs, possess firearms/arrest authority pursuant to section 161.k. of the Atomic Energy Act or Section 661 of the DOE Organization Act, may be deputized by the U.S. Marshals Service, and must, when directed: a. participate in special operations such as executive protection; b. conduct investigations; c. conduct liaison activities with law enforcement officials; and d. perform inquiries into local and national security issues. Section A DOE M 470.4-3 Chg 1 II-8 3-7-06 Vertical line denotes change. 7. SPECIAL SKILLS. a. General. PF operations may require individuals with additional special skills such as pilots, communications and alarm station operators, canine handlers, crisis negotiators, instructors, tactical entry (TE) specialists, and Precision Rifleman/ Forward Observer Team (PRFOT) personnel. The scope of such duties will be locally determined based on site-specific needs. If a standard training course has not been developed by the DOE National Training Center (NTC) for a required skill or is not available through another source, then local training must be developed based upon a site-specific JA.

b. Crisis Negotiation. Each crisis negotiator must have successfully completed the NTC or another DOE-approved crisis negotiation training course. At least once a year, crisis negotiation team members must be integrated into SRT exercises. Members of crisis negotiation teams must be familiar with PF operations, including SRT tactics and operations, but do not need to be SPO-trained and certified. 8. SUPERVISORS. Each PF supervisor must possess the skills to direct the actions of assigned personnel. Supervisors of SOs must be trained and qualified as an SO. Line supervisors of SPOs must be trained and qualified as SPOs and must meet applicable physical fitness qualification standards and certification standards for assigned duties. Each supervisor must demonstrate familiarity with and knowledge of the responsibilities identified in the applicable JA and proficiency in the skills and abilities necessary to perform those jobs. These include, but are not limited to, the following: a. knowledge of the duties and qualifications of supervised personnel; b. familiarity with the basic operating functions of the facilities and the nature and location of S&S interests for which the supervisor has protection responsibilities; c. ability to ensure that subordinates and their equipment are physically capable and ready for duty and to conduct post inspections to ensure post operations are in accordance with Departmental directives, and site requirements and procedures; and d. knowledge of the duty logs and reports that must be completed, distributed, and acted upon. e. ability to exercise tactical unit leadership through the direction and deployment of protective force responders in the event of an armed terrorist attack; and f. ability to evaluate protective force tactical performance as individuals and units, identify performance strengths and weaknesses and ensure application of appropriate corrective action. DOE M 470.4-3 Chg 1 Section A 3-7-06 II-9 (and II-10) Vertical line denotes change. 9. INSTRUCTORS. Each instructor must possess the skills and knowledge necessary to instruct PF personnel in the requirements for protecting S&S interests. Persons assigned as full-time staff PF instructors must have completed NTC-certified BSPOT or equivalent training and either must have performed DOE PF-related duties or received site, facility, or organizational on-the-job familiarization with the duties performed by those persons whom they will instruct. All such training/familiarization must be completed within one year of assignment to instructor duties. Instructors must demonstrate knowledge of the responsibilities identified in the JA and proficiency in the skills and abilities necessary to perform those jobs. These include, but are not limited to the following: a. knowledge of teaching methods and instructional techniques; b. knowledge of assigned subject/topical areas for the level of instruction delivered; c. ability to develop course objectives, lesson plans, training aids, and student evaluations; and d. skill in presenting a complete instructional lesson plan/course. DOE M 470.4-3 Chg 1 Section A 3-7-06 III-1 Vertical line denotes change. CHAPTER III -SPECIAL RESPONSE TEAM 1. PROGRAM REQUIREMENTS. The mission of the Special Response Team (SRT) is to

resolve incidents that require force options that exceed the capability of Security Police Officer (SPO)-I and -II personnel and/or existing physical security systems. The SRT must be capable of effective and ready response. The SRT must be trained and equipped to conduct interdiction, interruption, and neutralization operations and containment, denial, recapture, recovery, and pursuit strategies directed against an adversary. a. An SRT is required at facilities or sites that receive, use, transport, or process Category I quantities of special nuclear material (SNM) (including credible roll-up of Category II to Category I quantities of SNM). b. The authorization for an SRT capability at a Departmental site or facility, not meeting requirements in paragraph 1.a. above, must be approved by Department of Energy (DOE) line management, with notification to the cognizant Departmental element. Approvals must be based on a site Vulnerability Assessment (VA) that documents the need for an SRT (e.g., a radiological/toxicological/sabotage target that could have adverse impact on national security, the health and safety of employees, the public, or the environment). c. The SRT must be staffed with qualified and certified SPO-III personnel deployed as one or more dedicated teams with specialized weapons and equipment, operating from mobile tactical vehicles, as ground assault forces, or a combination of both. 2. CONCEPT OF OPERATIONS. An SRT must be capable of resolving adversary actions using force options (including, but not limited to, open-air, mobile, stronghold, and emergency assault using dynamic and covert techniques) and team tactics for interdiction, interruption, neutralization, containment, denial, recapture, recovery, and pursuit operations. a. Team Availability. An SRT must be available at all times and must be dedicated to re-entry, recapture, recovery, and pursuit operations. The dedicated recapture/recovery element of the SRT must be established with resources beyond those required by the PF for the protection of sensitive assets to ensure that recapture/recovery capabilities continue to exist in the event that a denial strategy fails. b. Plans. SRT operations and tactical response must be documented in the Site Safeguards and Security Plan (SSSP). c. Team Composition. Sites must consider the functional team positions listed below when developing and deploying an SRT. These positions must not be construed as the minimal composition of an SRT. The specific SRT composition, Section A DOE M 470.4-3 Chg 1 III-2 3-7-06 Vertical line denotes change. positions, staffing levels, and functional capabilities must be dependent on the SSSP, site or facility mission, VA, protection strategies, and performance testing results. The absence of specialized functional capabilities, such as mechanical or explosive breaching, or precision rifleman/forward observer teams (PRFOT) must be justified. The site/facility must demonstrate alternative methods that can be utilized to meet these functional capabilities, and/or demonstrate that the absence of these capabilities does not affect the ability of the SRT to successfully execute recapture, recovery, and fresh pursuit operations. Team composition positions, include: (1) Assaulter. (2) PRFOT member. (3) Tactical Entry specialist. (4) Assault leader. (5) Team commander.

d. SPO-III Selection Criteria. Qualified SPO-IIs may volunteer and/or be selected for SRT duties; however, each individual must also meet specific selection criteria in order to be assigned as an SRT member. SPO-IIIs may be required to meet more or higher qualification standards than those required of SPO-Is and -IIs. Such standards including the number of times that a previously-unsuccessful candidate may reapply for SPO-III selection, must be in writing and approved by the DOE cognizant security authority. Before being assigned to an SRT, SPO-III candidates must meet the following minimum standards. Candidates must: (1) complete training and qualification in those SPO-I and -II job tasks identified in the site-approved training program; (2) complete a formal evaluation and interview by site PF management to determine potential to successfully accomplish SPO-III duties and SRT missions; (3) be capable of performing the duties and completing the training requirements as specified in Section A, Chapter II, 2.c and Chapter IV, 5; (4) be capable of maintaining the offensive combative standard in 10 CFR 1046, Physical Protection of National Security Interests; (5) successfully complete a timed-standard site-specific tactical obstacle course; (6) successfully complete the DOE SRT Basic Qualification Course (SRT BQC); and DOE M 470.4-3 Section A 08-26-05 III-3 (and III-4) (7) successfully complete any additional site-specific training and qualification that may be required for job performance at a specific site or facility, which is beyond the scope of initial SPO-III training. 3. TRAINING. The formal training program for SPO-IIIs must be in compliance with Section A, Chapter IV. 4. EQUIPMENT. SRT equipment requirements are delineated in Section A, Chapter VI. 5. PROGRAM CERTIFICATION/RECERTIFICATION. SRT programs must be certified initially and recertified annually (at least every 12 months) by the DOE cognizant security authority. A program is considered certified/recertified when the site has completed the following validations. a. All assigned SRT members have met the requirements of Section A, Chapter IV, 4-6. b. The DOE cognizant security authority has determined that the site SRT program is in compliance with this Manual and has forwarded documentation of the satisfactory completion of site certification/recertification to the cognizant Departmental element. c. All the above can be accomplished during the annual periodic safeguards and security survey (see DOE M 470.4-1, Safeguards and Security Program Planning and Management). DOE M 470.4-3 Chg 1 Section A 3-7-06 IV-1 Vertical line denotes change. CHAPTER IV - TRAINING AND QUALIFICATION 1. PURPOSE. Training must be provided to ensure performance of assigned functions and tasks under both normal and emergency conditions. 2. TRAINING AND QUALIFICATION.

a. Federal Officers/Federal Agents/Special Agents. The Department of Energy (DOE) cognizant security authority must establish a formal training and qualification program to meet requirements for Federal Officer (FO), Federal Agent (FA), Special Agent (SA), as applicable to the site/facility. Qualification requirements must be based upon assigned functions, DOE and/or Office of Personnel Management requirements for the position assignment, and this Manual. The requirements are designed to ensure that FOs/FAs/SAs are competent to perform the tasks within their assigned responsibilities. The qualification requirements will be supported by a formal training program that develops and maintains the knowledge, skills, and abilities (KSAs) required to perform assigned tasks. The qualification and training programs will be based on criteria established by the DOE National Training Center (NTC) as outlined in DOE M 470.4-1, Safeguards and Security Program Planning and Management, and this Manual. The DOE cognizant security authority must establish additional FO/FA/SA training criteria needed by site-specific requirements. DOE personnel responsible for training FO/FA/SA personnel must prepare and annually (at least every 12 months) review a Job Analysis (JA) detailing the required actions or functions for each specific job assignment. The JA must be used as a basic input document for local training requirements, approved by the DOE cognizant security authority, and reviewed and updated annually (at least every 12 months). b. Contractor Protective Force (PF) Personnel. Contractors responsible for PF personnel must establish a formal qualification program to meet qualification requirements which ensure that PF members are competent to perform the tasks within their assigned responsibilities. The qualification requirements will be supported by a formal training program that develops and maintains the KSAs required to perform assigned tasks. The qualification and training programs will be based on criteria established by the DOE NTC as outlined in DOE M 470.4-1, Safeguards and Security Program Planning and Management, Section A, Chapter IV of this Manual; and 10 Code of Federal Regulations (CFR) 1046, Physical Protection of Security Interests. The cognizant security authority must establish additional PF training criteria as needed by site-specific requirements. Departmental contractors, responsible for training PF personnel, must prepare and annually (at least every 12 months) review a JA detailing the required actions or functions for each specific job assignment. The JA must be used as a basic input document for local training requirements, approved by the DOE cognizant security authority, and reviewed and updated annually (at least every 12 months). Section A DOE M 470.4-3 Chg 1 IV-2 3-7-06 Vertical line denotes change. c. Program Requirements. The formal training and qualification program must: (1) be based on a valid and complete set of job tasks, with identified levels of skills and knowledge needed to perform the tasks; (2) aim at achieving a well defined level of competency; specifically, mission accomplishment and survivability; (3) employ standardized lesson plans with clear performance objectives as a basis for instruction. Lesson plans in regular use must be reviewed for currency any time training requirements are changed, and must be reviewed and/or revised for currency prior to conducting training;

(4) include frequent, performance-based, and realistic simulation testing to determine individual and small unit tactical skills and leadership and to certify job readiness; (5) be documented so that individual and overall training status is easily accessible (individual training records must be retained until 1 year after termination of the employee as a PF member, unless a longer retention period is specified by other requirements); and (6) consider the learning characteristics and entry-level competencies of trainees. 3. SECURITY OFFICERS (SOs). a. Training Requirements. Before initial assignment to duty, each person must successfully complete the DOE Basic SO Training Program, as approved by the Director, Office of Security. Additional site-specific training requirements may be included. Site-specific requirements must be based on a site-specific JA and include SO task areas found in Section A, Chapter II, 1, as applicable. The site-specific JA and training requirements must be approved by the DOE cognizant security authority. The SO training program must include, but is not limited to, the following types of instruction: (1) Orientation and standards of conduct. (2) Security education and operations, covering classified and sensitive information protection requirements, response to and reporting of incidents of security concern, and the protection of Government property. (3) Safety. (4) Legal requirements and responsibilities. (5) Weaponless self defense. DOE M 470.4-3 Section A 08-26-05 IV-3 (6) Intermediate force weapons. (7) Communications, including methods and procedures. (8) Vehicle operations, including safety and routine and emergency operation. (9) Post and patrol operations, including site-specific plans, Post and General Orders, policies, and procedures. (10) Nuclear materials control and accountability, as applicable. (11) Awareness of the types of, and potential deployment of Weapons of Mass Destruction (WMD). (12) Donning and use of assigned personal protective equipment. b. Refresher Training. (1) Formal Program. Except as stated in paragraph (3) below, each SO must successfully complete formal annual refresher training to maintain the level of competency required for the successful performance of tasks associated with job responsibilities. The type and intensity of training must be based on a site-specific JA and approved by the DOE cognizant security authority. (2) Remedial Training. Failure to achieve the required level of competency must result in placement in a formal remedial training program. The remedial training program must be tailored to provide the necessary training to afford a reasonable opportunity to meet the level of competency as determined by the JA. Failure to demonstrate competency at the completion of the remedial program must result in loss of SO status. (3) Training Exemption. Formal annual refresher training may be exempted when an SO satisfactorily demonstrates any KSA (see Chapter II). Such exemption(s) must be documented. 4. SECURITY POLICE OFFICERS (SPOs). a. Training Requirements. Before initial assignment to duty, each trainee must successfully complete the DOE Basic SPO Training Program, as approved by the Office of Security. Additional site-specific training requirements must be included. Site-specific requirements must be based on site-specific JAs and must include SPO task areas found in Section A, Chapter II, 2.b., as applicable. The site-specific JA and training program must be approved by the DOE cognizant security authority. The training program must include, but is not limited to, the

Section A DOE M 470.4-3 Chg 1 IV-4 3-7-06 Vertical line denotes change. b. instruction identified for SOs in paragraph 3.a., of this Chapter, and the following types of instruction: (1) Firearms training, including safety, marksmanship, and manipulation skills, with all weapons reasonably expected to be employed. (2) Orientation and standards of conduct. (3) Physical fitness training. (4) Facility operations familiarity. (5) Nuclear materials control and accountability, as applicable. (6) Safety. (7) Legal requirements and responsibilities, including use of deadly force, site-specific rules of engagement (see Section A, Appendix A-3), limited arrest authority (see 10 CFR 1047, Limited Arrest Authority and Use of Force by Protective Force Officers, and 1049, Limited Arrest Authority and Use of Force by Protective Force Officers of the SPR), and fresh pursuit (see Section A, Appendix A-1). (8) Tactical training, including small unit tactics under both day and night conditions, tactical team force-on-force exercises using engagement simulation systems (ESS), and use of assigned tactical equipment. (9) Vehicle operations, including safety, routine, emergency, and pursuit operation, as applicable. (10) Operation of specialty vehicles, such as light armored vehicles (LAVs), as applicable. (11) Post, patrol, and response operations including site-specific protection strategies, plans, POs, General Orders (GOs), policies, and procedures. (12) Procedures and requirements for investigations including the search of persons and property for evidence and recognition, seizure, and preservation of evidence. (13) The Design Basis Threat (DBT) and potential adversaries’ characteristics, tactics, and motives. (14) Actions required of first responders to WMD incidents. (15) Direct fire control measures (fire discipline). (Category I/II facilities) DOE M 470.4-3 Chg 1 Section A 3-7-06 IV-5 (16) Self-administered first aid/engagement extraction. (Category I/II facilities) (17) Prisoner control. (Category I/II facilities) (18) Tactical leadership. (Category I/II facilities) (19) Site-specific timed tactical obstacle course. (SPO-IIs/IIIs). (20) Shooting on the move. (SPO-IIs/IIIs). (21) Ambush/counter-ambush and patrol techniques. (SPO-IIs/IIIs). (22) Military Operations in Urban Terrain (MOUT). (SPO-IIs/IIIs). (23) Lethal explosive devices (grenades) and non-lethal pyrotechnics (diversionary devices). (SPO-IIs/IIIs). (24) Night vision devices (NVDs). (SPO-IIs/IIIs). (25) Counter-sniper operations. (SPO-IIs/IIIs). b. Refresher Training. (1) Formal Program. Except as stated in paragraph (4) below, each SPO must successfully complete formal annual refresher training to maintain the level of competency required for the successful performance of tasks associated with job responsibilities. The formal program will incorporate intensive on-shift training administered by supervisors and/or training personnel and include extensive individual and small unit tactical performance testing. The type, intensity, frequency, and duration of training must be determined by a site-specific JA and approved by the DOE cognizant security authority. (2) Training Shifts/Elements. Category I/II SNM facilities must establish training shifts or elements. The training shift must allow for training that emphasizes the PF’s ability to defeat armed adversaries (i.e., focus should be on firearms training at the small unit level, small unit tactics, and team force-on-force exercises.

(3) Remedial Training. Failure to achieve the required level of competency will result in the SPO’s placement in a remedial training program. The remedial training program must be tailored to provide the necessary training to afford a reasonable opportunity to meet the level of competency required by the JA. Failure to demonstrate competency at the completion of the remedial program must result in loss of SPO status. Section A DOE M 470.4-3 Chg 1 IV-6 3-7-06 Vertical line denotes change. (4) Training Exemption. Except for firearms and physical fitness requirements and training in the areas of protection strategies, use of force, pursuit driving, individual and team tactics, and chemical biological weapons (CBW), portions of formal annual refresher training may be exempted when an SPO satisfactorily demonstrates a knowledge, skill, or ability. Such exemption(s) must be documented in the individual’s training record. 5. SPO-IIIs. a. Prerequisites. Before attending the DOE SRT BQC, each SPO must: (1) train and qualify in those SPO-I and -II job tasks identified in the site-approved training program; (2) successfully complete any and all SPO-II training and qualification that may be required for site-specific SPO-III job requirements; (3) successfully meet the offensive combative standard in 10 CFR 1046; (4) qualify with all weapons reasonably expected to be used by a SPO-III on duty, on the applicable DOE firearms qualification courses in Section C and, where applicable, approved site-specific firearms qualification courses; (5) successfully complete a site-specific tactical obstacle course. b. Training Requirements. Before initial assignment to duties as an SRT member, an SPO must successfully complete the DOE SRT BQC. Additional site- specific training requirements must be included and be based on a site-specific JA. The site-specific JA and training program must be approved by the DOE cognizant security authority. The SPO-III training program must include the requirements identified for SPO-Is and -IIs in paragraph 4.a., of this Chapter, and the following: (1) Live-fire shooting-on-the-move techniques; one-hand handgun manipulation and malfunction clearing techniques;, semi- and full-automatic fire with appropriate firearms (where applicable);individual and team tactics in a live-fire shoot house (LFSH); and qualification with assigned duty weapons; (2) Close Quarters Battle (CQB) training, including live-fire team operations in stronghold and emergency assaults under both day and night conditions in an LFSH; (3) Small-unit tactics, including team and individual movement techniques under both day and night conditions; DOE M 470.4-3 Chg 1 Section A 3-7-06 IV-7 (4) Mobile and open-air assaults including live-fire team operations under both day and night conditions; (5) A tactical obstacle course that tests physical fitness and marksmanship skills; (6) Decisional shooting techniques including shoot/no-shoot scenarios; (7) Use and deployment of diversionary devices; and (8) Use of tactical equipment deployed in support of Special Response Team (SRT) operations (e.g., night-vision devices [NVDs], range finders, global positioning systems, ladders, video systems, and ascending/descending systems); and (9) Mechanical and ballistic breaching. c. Specialized Training. Team members may volunteer and/or be selected for specialized SPO-III duties for which the following requirements must be met.

(1) Precision Rifleman Forward Observer Team (PRFOT) Training. Before initial assignment to duty as a PRFOT member, each assigned SPO-III must successfully complete the DOE PRFOT training course approved by the Office of Security. Thereafter, on a quarterly basis, each PRFOT member must participate in live- and dry-fire proficiency training. Live- and dry-fire proficiency training must be integrated into and conducted in conjunction with SRT training via controlled use of force, tactical movement training, and night operations. (2) Tactical Entry (TE) Specialist Training. Before initial assignment to TE specialist duties, each SPO-III assigned must successfully complete the DOE Basic TE Course approved by the Office of Security. Thereafter, each specialist must participate quarterly in proficiency training that includes mechanical entry techniques. Before conducting explosive TE operations, specialists must successfully complete an explosive TE course approved by the Office of Security. d. Maintenance Training. After assignment to duties as a member of an SRT, an SPO-III must, at a minimum, train semi-annually (at least every 6 months) in all of the following: decisional shooting, CQB, LFSH operations, tactical obstacle course, night operations, team tactical movement, and force options (i.e., open air, mobile, emergency, and stronghold assaults). Requirements for semi-annual maintenance training may be satisfied through combined training of two or more of these areas. Section A DOE M 470.4-3 Chg 1 IV-8 3-7-06 Vertical line denotes change. e. Refresher Training. (1) Formal Program. Except as stated in paragraph (4) below, each SPO-III must successfully complete a formal annual refresher program to maintain the level of competency required for the successful performance of tasks associated with job responsibilities. The formal program will incorporate intensive on-shift training administered by supervisors and/or training personnel and include extensive individual and small unit tactical performance testing. The type, intensity, frequency, and duration of training must be determined by a site-specific JA and approved by the DOE cognizant security authority. (2) Training Shifts/Elements. Training shifts, or elements, must be established that allow for training emphasizing the PF’s ability to defeat armed adversaries (i.e., focus should be on firearms training at the small unit level, small unit tactics, and team force-on-force exercise). (3) Remedial Training. Failure to achieve the required level of competency must result in the SPO-III’s placement in a formal remedial training program. The remedial training program must be tailored to provide the SPO-III with the necessary training to afford an opportunity to meet the level of competency determined by the JA. Failure to demonstrate competency at the completion of the remedial program must result in loss of SPO-III status. (4) Training Exemption. Portions of formal annual (at least every 12 months) refresher training may be exempted when a SPO-III satisfactorily demonstrates a KSA. Such exemption(s) must be documented in the individual’s training record. The following requirements may not be exempted: firearms and physical fitness qualifications, protection strategies, force options, pursuit driving, individual and team tactics, special skills, CQB, and CBW training.

f. Site SPO-III Training Certification. For a site to be authorized to conduct the DOE SRT BQC on-site, the DOE NTC must determine and certify the site’s capability to conduct the course and meet all applicable SPO-III training requirements. Such determination will be accomplished through the use of a standard evaluation system/format developed by the DOE NTC. Such certification will be valid for 3 years. This certification is automatically revoked when it has been determined that the on-site course does not meet requisite training requirements. This determination may be made through various means (e.g., results of annual site SRT program certification/recertification reviews, annual and/or special safeguards and security (S&S) surveys/self-assessment activities, or Office of Independent Oversight and Performance Assurance inspections). The cancellation will remain in effect until the site is found to be in compliance with the requirements. DOE M 470.4-3 Chg 1 Section A 3-7-06 IV-9 g. Opposition Force Training. SPOs participating in performance tests as DBT comparable adversary combatants will be trained in tactics to challenge the ability of the PF to defeat an armed adversary. 6. WEAPONS QUALIFICATIONS. SPOs must qualify semi-annually (at least every 6 months), with all assigned weapons and special skills weapons (as designated by job assignment or SRT position) using the DOE daylight and reduced lighting qualification and other applicable (e.g., shooting-on-the move and LFSH) courses in Section C. (10 CFR 1046, Subpart B, Protective Force Personnel) Where DOE firearms qualification courses do not exist or do not cover site-specific deployment of a weapons system (e.g., belt-fed machine gun, grenade launcher, aerial firing platform, executive protection, etc.), both daylight and reduced lighting site-specific supplemental qualification courses must be developed by the cognizant security authority and submitted to the Associate Administrator for Defense Nuclear Security or the Director, Office of Security, for review and approval, as appropriate. 7. SPECIAL SKILLS. Personnel assigned specialized responsibilities outside the scope of normal SO, SPO, and SRT duties must successfully complete the appropriate basic, refresher, and periodic training. This training must be designed to enable the individual to achieve and maintain the level of skill and knowledge needed to competently perform the tasks associated with the specialized job responsibilities and to maintain mandated certification, if applicable. Such personnel include, but are not limited to, flight crews, instructors, armorers, Central Alarm Station operators, crisis negotiators, investigators, canine handlers, exercise controllers/evaluators, and law enforcement specialists. The scope of such duties and the type and intensity of such specialized training must be based on site-specific JAs and needs and must be approved by the DOE cognizant security authority. When certification is required for special skill positions and the certification requirements have not been established by the NTC, then site-specific certification procedures must be approved by the DOE cognizant security authority.

8. SUPERVISORS. PF personnel who are assigned supervisory responsibilities must successfully complete the appropriate basic and annual training necessary to competently perform their supervisory responsibilities. The required tasks and expected levels of competency must be based on a site-specific JA and the specialized task areas listed in Chapter II, paragraph 8. In addition, supervisors located at Category I/II SNM facilities who function as small unit tactical commanders must successfully complete a DOE- approved tactical supervisor training course. Each supervisor must successfully complete formal annual refresher training to ensure that duties and tasks associated with tactical unit command can be performed at optimal level. 9. INSTRUCTORS. All PF personnel assigned instructor duties must be currently certified to the level of training delivered. a. Certification Requirements. At a minimum, the following instructor certification requirements must be met. Section A DOE M 470.4-3 Chg 1 IV-10 3-7-06 Vertical line denotes change. (1) Each instructor assigned to deliver training must successfully complete the DOE Basic Instructor Training Course, as approved by the Office of Security, or an equivalent recognized basic instructor course. (2) Each instructor assigned to deliver firearms training must successfully complete the DOE Firearms Instructor Certification (FIC) Course, as approved by the Office of Security, for the level of firearms training delivered. (3) Each instructor assigned to deliver intermediate force training will successfully complete the DOE Intermediate Force Instructor Certification (IFIC) course, as approved by the Office of Security. (4) Each instructor assigned to deliver ground control training will successfully complete the DOE Ground Control Instructor Certification (GCIC) course, as approved by the Office of Security. (5) Each instructor assigned to deliver the SRT BQC must successfully complete the DOE SRT Instructor Certification (SRTIC) Course, as approved by the Office of Security, and any other Office of Security approved courses for the level of instruction delivered (e.g., PRFOT Instructor and LFSH Instructor Certification Courses). (6) To maintain certification, instructors must instruct in at least two classes or two course iterations, or a combination of both, per calendar year. Documentation of these activities must be maintained in the individual’s training record. b. Recertification. The following minimum PF instructor recertification requirements must be met. (1) PF management must ensure that each instructor is evaluated for competency at least once every 36 months. (2) The instructor evaluation must consist of verification of the following. (a) Instructor knowledge of: 1 Office of Security-approved teaching methods and instructional techniques; 2 applicable assigned subject/topical areas for the level of instruction delivered; and 3 requirements for developing course objectives, lesson plans, training aids, and student evaluations. DOE M 470.4-3 Section A 08-26-05 IV-11 NOTE: Verification of compliance with the requirements in paragraphs 1 and 2, above, must consist of observation of instructor performance during actual curriculum delivery or by performance testing activities. (b) Skill in presenting a complete instructional lesson plan/course.

(c) Verification of instructor attendance in at least one professional development course, approved by the DOE cognizant security authority in the instructor’s respective subject matter area (e.g., factory firearms instructor, diversionary devices instructor, or CBW instructor) during the 36 month period. 10. FIREARMS INSTRUCTORS. Before initial assignment to duty as a firearms instructor, personnel must successfully complete the DOE Basic FIC Course. a. Prerequisite Training. Before attending the FIC Course, PF personnel must successfully do the following: (1) demonstrate proficiency with a 90 percent score within two attempts on the DOE Daylight Handgun and Semi-Automatic Rifle Qualification Courses on the first day of the course; (2) complete all applicable handgun and rifle Limited Scope Performance Tests (LSPTs) as contained in respective NTC firearms lesson plans with 100 percent accuracy; (3) complete the DOE Basic Instructor Training Course. b. Refresher Training. Each firearms instructor must successfully complete formal annual refresher training to maintain the level of competency required for the successful performance of tasks associated with firearms instructor responsibilities. The type and intensity of training must be based on a site- specific JA and approved by the DOE cognizant security authority. c. Recertification. The following DOE Firearms Instructor recertification requirements must be met: (1) pass a comprehensive, knowledge-based, site-specific evaluation on live-fire range operations every 12 months; (2) complete LSPTs every 12 months with a minimum score of 100 percent for each firearm system instructed; (3) conduct at least one site-specific safety briefing every 12 months; (4) qualify every 12 months with a minimum score of 80 percent for each firearms system instructed; and Section A DOE M 470.4-3 Chg 1 IV-12 3-7-06 (5) be assigned to and conduct the duties of either a lead instructor, line instructor, or range safety officer twice annually (at least twice every 12 months). 11. INTERMEDIATE FORCE AND GROUND CONTROL INSTRUCTORS. Before initial assignment to duty as intermediate force instructors and ground control instructors, personnel must successfully complete the DOE Basic IFIC course and/or GCIC course. a. Prerequisites. Before attending the IFIC and GCIC courses, PF personnel must successfully do the following: (1) Complete the DOE Basic Instructor Training Course; and (2) Meet medical/fitness requirements. b. Refresher Training. Each intermediate force and ground control instructor must successfully complete formal annual refresher training to maintain the minimum level of competency required for the successful performance of tasks associated with intermediate force and ground control instructor responsibilities. The type and intensity of training must be based on a site-specific JA and approved by the DOE cognizant security authority. c. Recertification. The following DOE Intermediate Force Instructor recertification requirements must be met: (1) pass a comprehensive knowledge-based, site-specific evaluation on the intermediate force operations every 24 months; (2) complete LSPTs every 12 months with a minimum score of 100 percent for each intermediate force technique instructed; (3) conduct at least one site-specific safety briefing every 12 months; (4) be assigned to and conduct the duties of either a lead instructor or an assistant instructor every 12 months.

FOs, FAs, and SAs. Federal personnel designated as FOs/FAs/SAs must be trained in accordance with the requirements established by DOE and/or the Office of Personnel Management. FO and SA training must be consistent with standards established for SPOs. 12. TRAINING EXERCISES. Exercises and performance tests of various types must be included in the training process for the purposes of achieving and maintaining skills and assessing individual and team competency levels. The types and frequency of training exercises must be based on the training needs analysis and approved by the DOE cognizant security authority. The following elements must be included in the training exercise program. DOE M 470.4-3 Chg 1 Section A 3-7-06 IV-13 (and IV-14) Vertical line denotes change. a. Tactical exercises involving each PF shift and each SRT shift on fixed sites must be conducted at least twice monthly for Category I/II SNM facilities and monthly for other facilities. These exercises must be planned and conducted to provide site-specific training to the PF in preventing the success of potential adversarial acts defined in the DBT and the approved site threat statement. They may be limited-scope in nature and may consist of team tactical movement in response to a site or facility-specific threat scenario and, for example, may be incorporated into alarm response and assessment performance tests (ARAPT). Tactical exercises do not necessarily involve force-on-force activity, although that is preferable. At least quarterly each PF shift and each SRT shift at Category I/II facilities will conduct tactical exercises against DBT comparable adversary combatants. These quarterly exercises may be of limited scope and may be conducted in surrogate facilities; however, they should consist of FoF activity. b. The DOE cognizant security authority must request the Federal Bureau of Investigation (FBI) and other Federal, State, and local LEAs that would assist the PF during a site security incident to participate in training exercises at least every 12 months. c. Reports of each training exercise, including all force-on-force exercises (FoFs), summarizing results and problems areas, must be prepared for management review and to aid in planning PF activities, developing corrective actions, and in the training needs analysis process. Participation in FoF exercises must be noted in individual training records. Reports must be available for review by oversight organizations. d. Sites possessing Category I SNM, Category II SNM with potential roll-up to Category I, and radiological, chemical, biological targets must plan and conduct an FoF training exercise involving a WMD scenario at least every 24 months. Table-top exercises may be alternated with FoF activities. Where possible, this exercise should involve joint interagency national-level participation (e.g., the FBI, Federal Emergency Management Agency, or State emergency management agencies, as applicable). The Office of Security will serve as the focal point for liaison with national level agencies to promote their participation. 13. NON-DOE TRAINING COURSES. Attendance by PF personnel at non-DOE Government or private training courses must be approved by the DOE cognizant security authority. Such courses must have clearly defined learning objectives and contribute to the job-related KSAs of the FO/FA/SA/SPO assigned to attend. Records of training provided at other Government or private facilities must be obtained and maintained. [DOE M 470.4-1, Safeguards and Security Program Planning and Management].

DOE M 470.4-3 Section A 08-26-05 V-1 CHAPTER V - SECURITY HELICOPTER FLIGHT OPERATIONS 1. PURPOSE. The primary purpose for security helicopter flight operations is to provide timely and effective aerial response to a security incident. Department of Energy (DOE) security helicopters may be used for response force (i.e., protective force [PF], Special Response Team [SRT], and Federal, State, and local law enforcement agency [LLEA] personnel) transport, command, control, communications, surveillance, and as a firing platform when required. 2. OPERATIONAL REQUIREMENTS. a. General. Helicopters employed in support of security operations provide an airborne dimension to response force capabilities against a threat posed by adversaries who may attempt theft or sabotage of nuclear weapons or special nuclear material (SNM) and/or sabotage of vital facilities and equipment. The decision to use security helicopters is based on site-specific considerations with concurrence of the cognizant DOE organization or Administrator, National Nuclear Security Administration (NNSA). Requirements for helicopter operations are covered in DOE O 440.2B, Aviation Management and Safety. Site-specific security helicopter operational mission requirements must be documented in a site-specific Aviation Implementation Plan (AIP). The AIP must be approved by the DOE cognizant security authority. b. Mission Readiness. To meet mission requirements, a security helicopter must be fully operational and ready to respond to a security emergency with a 90 percent availability rate, excluding weather conditions. c. Emergency Security Helicopter Operations. During a security incident, helicopters may be employed to transport, insert, and relocate response forces to and from the scene of a security incident or staging area, as directed by the senior on-scene commander and/or by standard operating procedure. Additional emergency response functions must be fully documented in an AIP and may include, but are not limited to: directed fire; command, control, communications, surveillance; resupply; and support of facility/site protection strategies including recapture, recovery, and fresh pursuit operations. d. Routine Security Helicopter Operations. Routine helicopter operations may include the following: (1) pilot proficiency, training, and testing program; (2) training for emergency response, tactical insertion of PF personnel, and observation and pursuit of airborne and ground intruders; (3) site surveillance, search, and observation; (4) transport of PF personnel; Section A DOE M 470.4-3 V-2 08-26-05 (5) escort of convoys transporting SNM; and (6) command, control, and communications of ground security activities in routine operations. e. Special Use of Security Helicopters. Such use must be based on site-specific mission requirements, which are approved by the DOE cognizant security authority and documented in an AIP. 3. RULES OF ENGAGEMENT IN USE OF HELICOPTERS AS FIRING PLATFORMS. Firing from a helicopter can be a viable and effective means of supporting security operations, and the AIP may incorporate aerial firing under the following conditions: a. Authority to include aerial firing in response plans must be granted only following development of site-specific rules of engagement that are consistent with DOE policy on the use of force. b. Firing must be done only by specifically trained and qualified SRT personnel with weapons attached to gun mounts that provide field-of-fire limitations.

c. A Safety Analysis Review (SAR) of aerial firing must be completed. The SAR must be reviewed for currency any time aerial firing requirements are changed, but at least every 12 months. d. The cognizant DOE safety officer approves, in writing, the technical and operational procedures and SAR for aerial firing. e. The DOE line management is the final approval authority at each site. Copies of the approved technical and operational procedures for aerial firing must be provided to the Senior DOE Aviation Management Official; the cognizant Departmental element or the Administrator, NNSA; and the Office of Security. f. Site-specific aerial firing qualification and/or familiarization course(s) must be developed and submitted, through the DOE cognizant security authority to the Office of Security, for review and approval. DOE M 470.4-3 Chg 1 Section A 3-7-06 VI-1 Vertical line denotes change. CHAPTER VI - EQUIPMENT AND FACILITIES 1. EQUIPMENT. In accordance with the DOE combat model, PFs must be equipped and provided with the necessary resources to effectively, efficiently, and safely perform both routine and emergency duties in daylight or under reduced visibility conditions. Equipment, specifically weapons and communications systems, must be tailored to effectively combat and defeat adversaries identified in the DBT and site- specific threat guidance or as specified in the SSP or the SSSP under all environmental and tactical conditions. Equipment must be available in sufficient quantities and properly maintained to support the PF mission. a. Uniforms. Contractor PF personnel must be distinctively uniformed while on duty and be identified with their function by appropriate emblems or badges. The uniform must enhance performance of both routine and emergency duties and must promote a professional image. (1) Security Officers (SOs) must wear uniforms that conform to site standards with respect to assigned duties and posts (e.g., SOs assigned to interior administrative posts may wear non-field-type uniforms, while SOs assigned to exterior posts may wear field-type uniforms). (2) Security Police Officer (SPO) and Special Response Team (SRT) uniforms must conform to site standards that enhance SPOs’ abilities to respond to and resolve security incidents. b. Duty Equipment. The equipment issued to PF personnel must be determined by assigned duties on a site-specific basis. At a minimum, the following duty equipment must be provided. (1) SOs. Each SO must be assigned, and be required to carry while on duty, a portable radio with carrier and a flashlight with carrier. The issuance of additional equipment, such as intermediate force weapons, must be determined by assigned duties on a site-specific basis. (2) SPO-I, -II. Each SPO must be assigned, and be required to carry while on duty, a handgun and ammunition, a holster (of a secure type), an ammunition carrying device of sufficient capacity, a portable radio with carrier, handcuffs (with case) or other restraining devices, an intermediate force weapon (with case, if applicable), and a flashlight with carrier. The issuance of any additional equipment items must be determined by assigned duties on a site-specific basis. Equipment must be secured to the SPO so that it is easily accessible and does not hamper tactical movement. Section A DOE M 470.4-3 VI-2 08-26-05

(3) SPO-III. Each SPO-III must be assigned a rifle, handgun and ammunition, a holster (of a tactical type), an ammunition carrying device of sufficient capacity, fire-resistant hood and gloves, a flashlight with carrier, goggles/eye protection, tactical boots, a chemical/biological weapons (CBW) mask with carrier, handcuffs with case and/or other restraining devices, and equipment designed to accommodate the duty functions (e.g., tactical vests). (4) SRT Equipment. Equipment must be selected to facilitate the ability of the SRT to safely perform both normal and emergency response duties. In general, team equipment must be provided to facilitate and hasten a rapid response, be operable in all local weather conditions, allow for transfer of reliable communication and information, and assist in the detection of adversaries under all light conditions. Site-specific equipment relevant to the accomplishment of site-specific mission requirements must also be made available. Precision Rifleman Forward Observer Team members, Tactical Entry specialists, SRT commanders, and assault leaders each may require additional specialized equipment to meet mission requirements. Sites must ensure that all necessary specialized individual and team equipment needs are met and maintained. (5) Alternative to Deadly Force. Armed PF personnel must be assigned equipment that provides an alternative (i.e., intermediate force), in the appropriate circumstances, to the use of deadly force (e.g., side-handle or collapsible baton or chemical agents). (6) Non-Lethal Area Weapons. Non-lethal area weapons such as chemical agents must be of the type commensurate with the intended use and must not pose danger to personnel or facilities beyond that required for the success of the PF mission. Chemical agents must not be kept in active inventory past their expiration dates. (7) Personal Protective Armor. Personal protective armor must be readily available for SPO-I, II and III personnel. Protective armor must be worn by SPOs or be stationed or positioned in such a manner to be quickly donned in support of response requirements without impact to response times. Protective armor for SPO-I personnel must provide at least Type III-A protection level, as established by National Institute of Justice (NIJ) Standard 0101.04A (6/01). Protective armor for SPO-II and III personnel must provide at least Type III protection level, as established by NIJ Standard 0101.04A. (8) Tactical Vests. Tactical vests must be readily available for use by SRTs and other designated personnel. They must be designed to accommodate the duty functions of the wearer and enhance effectiveness. DOE M 470.4-3 Chg 1 Section A 3-7-06 VI-3 Vertical line denotes change. (9) Protective Masks. Protective masks must be available for SPO-I, -II, and -II personnel, and Federal Agents (FAs) (i.e., they must be carried by personnel or be stationed or positioned in such a manner to be quickly donned in support of response requirements without impact to response times). Protective masks must be of a type that does not unduly hinder performance of emergency duties, including accurate firing of all assigned firearms, and must be individually fit-tested. They must be rated for radiological/biological/chemical protection.

(10) Chemical Protective Equipment. To ensure appropriate analysis and implementation, deployment and use of chemical protective equipment must be documented in the facility SSSP. The SSSP must document the rationale for equipment selection, deployment, and use of chemical protective equipment to address detection and response. PF procedures for the use of chemical protective equipment must be approved by the DOE cognizant security authority. (11) Optical Devices. (a) Corrective Lenses. 1 Eyeglasses worn by PF personnel must be made of safety glass and meet American National Standards Institute (ANSI) Z87.1 standards. 2 SPOs whose uncorrected distant vision in the better eye is less than 20/40 must carry an extra pair of eyeglasses or corrective lenses. (b) Observation Devices. Binoculars must be available for PF use to permit observation and detection of unauthorized activity and to aid in the conduct of response operations both day and night. At facilities possessing Category I and II SNM, NVDs and/or thermal imaging devices compatible with weapon sighting systems must be available for PF use at fixed and mobile posts to permit observation and detection of unauthorized activity and to aid in the conduct of response operations during reduced light conditions. As technology evolves, such equipment will be evaluated continually for serviceability and upgraded, as required, to enhance detection and combat effectiveness. Protective Mask Optical Inserts. Personnel whose uncorrected distant vision in the better eye is less than 20/40 must be provided with corrective lens inserts that can be accommodated by the issued mask. Section A DOE M 470.4-3 VI-4 08-26-05 (12) Batteries. A sufficient number of batteries for equipment (e.g., radios, hand- held metal and SNM transfriskers (detectors) and monitors, flashlights, cameras, and NVDs) must be available and maintained in a charged condition to support routine, emergency, and response operations. (13) Equipment Storage. Individual, special-purpose, and duty equipment must be stored and/or carried so it is readily available in sufficient numbers for use in its intended fashion according to approved PF response plans, Post Orders (Pos), General Orders (GOs), and procedures. Adequate and secure storage space must be available for all individually carried equipment. (14) Equipment Maintenance. Equipment must be maintained in a serviceable condition, in keeping with generally accepted practices for the particular type of equipment. Preventive maintenance must be conducted and records maintained. (15) Vehicles. (a) Type. Vehicles must exhibit a degree of reliability commensurate with their intended function. Vehicles must enhance the efficiency, speed, and safety of both routine and emergency duties under all expected weather conditions. Vehicles must be of a type and size suitable for the intended use and, in the case of armored vehicles, offer assurance of continued operation and a safe level of protection to occupants under small arms fire, up to and including North Atlantic Treaty Organization 7.62 millimeter full-metal jacket. Vehicles must be distinctly marked and equipped with necessary emergency response equipment (e.g., external warning lights, sirens, radios, and spotlights). (b) Maintenance. Vehicles must be maintained in serviceable condition, with preventive maintenance performed at intervals that meet or exceed the manufacturer recommendations. Vehicle maintenance records must be maintained as long as the vehicle is used to support the PF mission.

(c) Inspection. Vehicles must be inspected at the beginning of each shift to ensure they are in safe, operating condition. At a minimum, the following must be inspected and found to meet safe operating requirements: horn; tires; lights, including emergency response lights, when applicable; and brakes, including parking brake. (16) Communications Equipment. (a) Basic Requirements. Communications equipment must provide multi-channel capability with clear transmissions. It must also exhibit the necessary degree of reliability commensurate with its DOE M 470.4-3 Chg 1 Section A 3-7-06 VI-5 Vertical line denotes change. intended use. Communications equipment must be readily available in sufficient numbers to equip PF personnel. Duress alarms must be provided at all PF posts. Duress alarm requirements may be met through the use of either portable radios equipped with duress capabilities or fixed duress systems. (b) Special Requirements. 1 Facilities Containing Category I or II Quantities of SNM. Fixed PF posts must have both normal telephone service and two-way radio communication with the CAS/SAS, as well as points from which backup forces may be dispatched. Administrative controls must be established to ensure proper use of this system in an emergency. All PF response vehicles at such facilities must be equipped with radios capable of interfacing with LLEA. PF communications at facilities containing Category I SNM must be capable of operating in DES mode. 2 SRTs. SRTs must be equipped with digital encryption two- way radio communication. Dedicated channels for SRT operations must include separate SRT elements (e.g., tactical operations center, crisis negotiations, and precision rifleman/forward observer team PRFOT channels). 3 Tests. Daily tests of communication systems must be conducted. If equipped with duress capabilities, the duress system must be tested weekly. Fixed duress systems must also be tested weekly. 2. FACILITIES. a. Permanent Posts. Permanent (routine and emergency duty) PF posts that control access to areas containing nuclear weapons, nuclear test devices, complete nuclear assemblies, or Category I or II quantities of SNM must meet the following requirements. (1) Location. The posts must be located so the likely routes of adversary ingress and egress are clearly observable and protected routes or methods of approach are available to PF personnel. Fixed, hardened fighting positions capable of withstanding at least .50 caliber armor piercing rounds must be constructed in locations that provide significant fields of fire and can effectively serve as a base of maneuver for other PF tactical units. Section A DOE M 470.4-3 VI-6 08-26-05 (2) Human Factors Requirements. The posts must provide adequate human engineering so that personnel can perform their duties efficiently. Routine duty fixed posts should provide occupants with protection from weather and temperature conditions and facilities to meet personal hygiene needs. Supervisors must ensure personnel assigned to fixed posts without personal hygiene facilities are provided regular relief from post duties to visit such facilities at another location. (3) Exterior Construction. Exterior walls, windows, and doors must be constructed of, or reinforced with, materials that have a bullet-penetration resistance equivalent to the “high-power rifle” rating given in Underwriter Laboratories Standard 752, Bullet-Resisting Equipment (i.e., NATO 7.62 millimeter ball).

(4) Lighting. Lighting must be capable of providing a minimum of 2-foot candles luminescence at ground level for at least a 30-foot diameter circle around the post and 0.2 foot-candles for at least 150 feet in all directions. (5) Vehicular Access Control. Where automated gates are used to control vehicular access to a security area, the gates and openings must be visible to the gate control operator and constructed to permit gate operation from inside the post. (6) Training Facilities. Training facilities must support realistic, high intensity PF training and qualification programs required to combat and defeat the armed terrorist threat. This includes facilities for SPO-I, -II, and -III and FO/FA/SA(where applicable) weapons and physical fitness training, qualifications, and maintenance, special skills, and site-specific training and qualifications. The use of surrogate facilities to simulate site target locations for FOF training purposes is encouraged. Local, State, and Federal LEA and Department of Defense (DoD)/National Guard training facilities are acceptable alternatives to DOE-owned facilities, as long as required DOE certifications and safety guidelines are maintained. An MOU delineating such use must be completed by the DOE cognizant security authority and approved by DOE line management. [See DOE O 440.1A, Worker Protection Management for DOE Federal and Contractor Employees.] DOE M 470.4-3 Section A 08-26-05 VII-1 CHAPTER VII - PERFORMANCE TESTING 1. PERFORMANCE TESTS (PTs). PTs must be used to realistically evaluate and verify the effectiveness of protective force (PF) programs, identify needed training and provide training for personnel, identify areas requiring system improvements, validate implemented improvements, and motivate personnel. Such tests must adhere to the requirements found in DOE M 470.4-1, Safeguards and Security Program Planning and Management, and in this Chapter. All major PF functions must be tested. The following are the major types of PF PTs. a. Limited Scope Performance Test (LSPTs). LSPTs may be either scheduled or unannounced. The tests must be used to determine the level of PF skill or capability or to verify different elements of the PF program. LSPTs must be conducted to realistically test any operation or procedure, verify the performance of a policy requirement, or verify possession of a requisite knowledge or skill to perform a specific task that falls within the scope of PF responsibility. The tests may involve large numbers of PF personnel working together, or they may involve an individual or a small team. When individuals or small teams are tested, repetitions of the test may be conducted with each individual or team. Examples of these tests include individual and team tactical movement, defensive and offensive positioning, arrest and control techniques, building clearing, handling civil disturbances, containment operations, command and control activities, implementation of protection strategies, or any individual components of these activities. Any element of PF responsibility, as determined by site procedures and job analysis, may be tested. LSPTs may involve the use of dedicated engagement simulation systems (ESS) (multiple integrated laser engagement system [MILES]), dye-marking cartridge [DMC], blank-fire, or inert systems, and such use must meet the operational and safety requirements involving the conduct of Force on Force (FoF) exercises in paragraph 1.c., below, where applicable.

b. Alarm Response and Assessment Performance Test (ARAPT). An ARAPT is conducted with no prior notice to evaluate PF response to a specific location under alarm protection (i.e., a building, vault/vault-type room, or other area that has a site-specific security interest identified in the site security plan [SSP] or Site Safeguards and Security Plan [SSSP]). ARAPT scenarios must be based on simulated adversary actions consistent with the DOE Design Basis Threat (DBT) and site-specific Vulnerability Assessment (VA) results. The purpose of these tests is to evaluate PF readiness and response to alarm conditions. These tests must consider all aspects of response including communications, personal protective measures, equipment availability and serviceability, and any PF and facility coordination activities that may be necessary to mitigate a security incident. ARAPTs must be coordinated with facility representatives and trusted agents (TAs) to ensure that safety requirements are fulfilled, security is not Section A DOE M 470.4-3 Chg 1 VII-2 3-7-06 Vertical line denotes change. compromised, and operational disruption is minimized. When an ARAPT is initiated, responding PF personnel must be advised of the test. Handguns must be holstered, and auxiliary weapons must not have a round in the chamber. c. Validation FoF (VFoF). A VFoF exercise is a major test of the overall effectiveness of all elements involved in response to a DBT and site-specific threats and is used also to validate site-specific protection strategies. VFoF exercises must be held at all facilities meeting the requirements for an armed PF annually (at least every 12 months). VFoF scenarios must include the parameters of the various adversary weapons, equipment, number of adversary personnel, and methodologies as postulated in the DBT. Scenario content must be controlled on a strict need-to-know basis to foster realistic exercise activities and evaluation. Exercises must be planned, announced in advance to all participating parties, and conducted during specified time periods. Personnel must be designated and briefed in advance to act as adversaries. At Category I/II SNM facilities, SPOs participating in performance tests as DBT comparable adversary combatants will be trained in tactics to challenge the ability of the PF to defeat an armed adversary. All weapons used by exercise participants must be dedicated ESS weapons. For this reason, if an exercise involves an operating facility as opposed to a test area, a “shadow force” of PF personnel must be deployed for protection of the S&S interests. Interface procedures, including rules of conduct for all participants, controller actions, exercise boundaries, and off-limit areas must be developed and documented. Procedures for communication between the simulated and shadow forces must be developed to ensure no compromise of S&S during the exercise. All exercise participants, controllers, and the shadow force must be briefed on the interface and communication procedures. d. Command Post Exercise (CPX). A CPX is conducted to observe and evaluate a crisis management team’s overall handling of simulated safeguards and/or security or a natural disaster incident. A CPX may involve a local Emergency Operations Center (EOC) or multiple centers, including the DOE HQ EOC. CPXs may be either announced or unannounced and may vary in scope and time, as dictated by the purpose of the exercise. A security-related CPX must be based on the DBT and the site-specific threat. The CPX must be used to evaluate both tactical and technical assessments and decisions. Lines of authority, the interrelationship of various organizational components in crisis mitigation, and the timeliness of reporting and decision making must be considered in the overall evaluation. Facility and equipment availability must also be evaluated.

e. Command Field Exercise (CFX). A CFX is an extension of a CPX and is conducted to test the interaction among various support organizations, site management, and the PF to a simulated incident. Procedures, tactical intelligence, communications, logistics, and the interfaces between Federal and contractor support systems are the focus of a CFX. Such exercises must be planned and DOE M 470.4-3 Section A 08-26-05 VII-3 announced in advance to all participating personnel. They may be combined with FoF exercises. f. Joint Training Exercise (JTX). When a VA or performance test indicates a need for outside agency support for the successful mitigation of a security incident, and such support is properly documented in the SSSP, the support expected from outside agencies must be covered by a formal MOU. JTXs must be conducted annually (at least every 12 months) and consist of an FoF exercise with these agencies to determine the agencies’ abilities and capabilities to respond to site threats, as documented in the SSSP and agreed to in the MOU. Annual exercises with outside agencies must include scenarios involving required site/facility protection strategies, including recapture, recovery, and pursuit, as applicable. The frequency of testing outside resources beyond the annual FoF exercise requirement must be based on the degree of support anticipated and approved by the DOE cognizant security authority. 2. PERFORMANCE TEST (PT) AND TRAINING ACTIVITIES PLANNING. a. Performance Test and Training Activity Plans. The PT plan and training activity plan (or lesson plan, procedures, etc.) must define the scenario/activity and the exercise/training area in sufficient detail to allow a valid hazard assessment to be performed. The following additional information must be included in a PT/training plan involving the use of ESS, as applicable: (1) personnel safety and health requirements; (2) vehicle safety; (3) storage, handling, and the safe use of firearms, ammunition, and ESS equipment; (4) facility security to include shadow force operations; and (5) other applicable considerations which may be necessary as identified in the governing risk assessment(s). NOTE: Where applicable, approved safety and ESS procedures may be referenced in the PT plan and training plan and are not required to be restated in their entirety unless required by local implementing procedures. b. S&S Planning. As applicable, planning must address the following topics: (1) the “specific element being tested” to identify the specific element of the SSP or SSSP, training program, etc., that is being evaluated; (2) the “objective(s) of the test,” e.g., to evaluate personnel, equipment, and systems against established requirements; Section A DOE M 470.4-3 VII-4 08-26-05 (3) the “scenario” designed to ensure that the objectives of the test are met. The adversary plan must be validated as credible by the DOE cognizant security authority and the TAs. This validation includes all aspects of conducting the attack; (4) the “applicable pass/fail criteria” to describe the standards for evaluation as derived from applicable lesson plans and SSP/SSSP requirements; (5) the “specific safety considerations” consisting of a safety plan that contains information derived from the risk assessment, the facility safety walk down, and specific safety requirements that may apply to the PT or training being conducted. General safety considerations may be addressed by referring to approved PT procedures on file;

(6) the “specific S&S considerations” section to include information such as required compensatory measures that are in place during the PT; (7) the “test results documentation and after action reviews” section to include a summary of controller and evaluator information and conclusions derived from this information. A process must be in place to allow for after-action reviews by appropriate personnel as determined by the cognizant security authority; and (8) a classification review of the PT plan, documentation of the PT results, and completion of an after-action report. c. Force-on-Force Exercise Plans. The following areas must be considered and included, as applicable, in the development of a typical FoF plan or for an LSPT involving the use of ESS. (1) Objective(s). The objective(s) must be stated succinctly. This will consist of a concise statement of the goal(s), such as to evaluate against established requirements, to enhance preparedness through training, and/or to evaluate potential upgrades to systems or equipment. (2) Scenario Description. (a) Describe the Threat Scenario. Define the target and the threat to provide an understanding of the nature of the exercise. Specific information in this area may be classified. (b) Describe the Facility(ies) Involved. Establish the exercise boundaries and provide clear indication of the exercise area, the facilities involved, and out-of-bounds areas/limits. (c) Define the Required PF Response. Provide a description of the desired PF response to adversarial actions. This may entail citing DOE M 470.4-3 Section A 08-26-05 VII-5 the applicable existing response plan or a standing operating procedure. Specific information may be classified. (d) Establish the Schedule. Define PT initiation, time/date, and schedule of events. Specific information in this area may be classified. (3) Test Methodology. (a) State how the exercise/validation will be conducted. (b) Identify the number of PT, exercise and/or event iterations to be conducted. (c) Identify required pre/post-exercise briefings. (See example provided in Appendix B-1.) (d) Establish pass/fail criteria (e.g., statistical model, test criteria, mathematical formulas, or methods, lesson plans, as applicable). (4) Test Control. Identify exercise control measures. (a) Establish the PT control chain of command. (b) Describe controller responsibilities specific to the PT/exercise/scenario. (c) Explain use of trusted agent(s). (d) Describe non-participant (observer) controls. (e) Describe PT and emergency communications systems. (f) Describe accountability and control of ESS and live-fire firearms and ammunition. (g) Describe the controls for the Shadow Force, if applicable. (5) Resource Requirements. Identify resources necessary to control and conduct the exercise. (a) Participants. 1 Shadow Force. 2 Opposing Force (OPFOR). 3 Fixed PF posts. Section A DOE M 470.4-3 VII-6 08-26-05 4 SRT. 5 Mobile PF units. 6 Airborne PF units. 7 Waterborne PF units. 8 Canine units. 9 Local Law Enforcement Agency(ies) (LLEA) units. (b) Logistics. 1 Equipment. a Firearms. b Vehicles. c Communications. 2 Supplies. 3 Safety/health. (6) Training Requirements. (a) Describe prerequisite training for PF, OPFOR, and role players (e.g. SPO-I, -II, or -III qualified, or scenario-specific training). (b) Describe prerequisite training required for controllers. (7) Exercise Coordination Requirement. Describe all organization coordination requirements.

(a) Continuation of Operations. 1 Shadow Force. 2 Operations area(s). 3 Building/area occupancy. (b) Safety and Health Oversight and Support. 1 Emergency medical. 2 Fire department. 3 Radiation protection. DOE M 470.4-3 Section A 08-26-05 VII-7 4 Appropriate population notification. (c) Essential LLEAs. (d) Opposition Force Coordination. 1 Arrange OPFOR team lodging, vehicle support, and other logistical requirements. 2 Develop mission order for use in tactical planning. 3 Develop scenario-based training schedule. 4 Negotiate weapons effects for vehicles and/or structures that cannot be MILES-harnessed. 5 Coordinate OPFOR controller assignments. (8) Compensatory Measures. Describe any compensatory measures required during the PT. (9) Safe Exercise Halt Procedures. (a) Actual alarm response. (b) Response into exercise area (treatment, handling, and evacuation of injured during actual emergencies and accidents). 1 Operational anomalies. 2 Administrative Hold. 3 Exercise Freeze. 4 Weather. (10) End of Exercise Accountability. (a) Personnel. (b) Firearms. (c) Equipment. (11) Radiation Monitoring. (12) Shadow Force. (a) Release and control. Section A DOE M 470.4-3 VII-8 08-26-05 (b) Accountability prior to restart/resumption of exercise activity. (13) Coordination and Approval. Review and/or sign off (concurrence), as applicable. (a) PF management. (b) Facility Security Officer. (c) Environment, Safety and Health (e.g., Facility Representative). (d) PF Range Master. (e) PF Training Manager. (f) DOE cognizant security authority. (14) References. Identify any applicable site specific procedures. d. The PT report must address the following: (1) detailed results of the exercise, including a pass/fail determination; (2) lessons learned; and (3) required corrective actions and/or mitigation factors to address identified vulnerabilities. 3. SAFETY. PTs must be conducted with the highest regard for the safety and health of personnel, protection of the environment, and protection of Government property. Specific safety considerations and requirements for conducting PTs are found in Section B, Chapter III. Site-specific procedures addressing the conduct of PTs, the use of ESS, and safety considerations must be prepared by PF management, submitted to the DOE cognizant security authority for review and approval, and incorporated into the site performance assurance program (see DOE M 470.4-1). 4. COMMAND AND CONTROL. a. Command and Control System. A system of command and control must ensure that ESS safety and other requirements of this Manual are met and maintain an environment free of the recognized risks associated with conducting certain PTs and training activities. The command and control system must ensure that Rules of Engagement (ROE) are followed, specific hazards and safety concerns, as identified in a risk assessment, are appropriately addressed, and exercise continuity is maintained. The command and control system is dependent on a contingent of personnel selected and specifically trained to control ESS PTs. DOE M 470.4-3 Section A 08-26-05 VII-9

b. Command and Control Responsibilities. The controller staff must be organized in a manner that facilitates the control of all affected locations and the control and coordination of all events to be initiated during the exercise. Individual controllers may have several duties assigned depending on where they are and what activities are occurring in their areas of responsibility. Their first and foremost responsibility is ensuring safety during exercise activities. This includes ensuring all participants adhere to the safety procedures and ROE. Event controllers at a particular exercise location are responsible for ensuring that prompt action is taken in accordance with established safety procedures to prevent accidents or unsafe conditions. Controllers are responsible for enforcing or implementing the following requirements during exercises. (1) Conducting safety checks and inspections of all personnel under their control for live rounds or other prohibited ammunition in DMC/Paint Ball (DMC/PB) or MILES PTs/exercises. No DMC/PB rounds allowed in MILES exercises unless using approved hybrid ESS weapons. Safety checks and inspections should also be conducted for other prohibited articles and for general safety. The results of these checks and inspections must be reported to the Senior Controller prior to the initiation of the PT. (2) Ensuring no live firearms or ammunition of any type is allowed within the ESS PT area, except those under the direct supervision of the Shadow Force Controller. (3) Ensuring PT participants and observers wear and use appropriate safety equipment. (4) Ensuring that personnel under their control comply with the PT plan to include the ROE and the safety regulations. (5) Ensuring that ESS firearms handling and manipulation procedures comply, or are compatible, with procedures for live-fire training/operations. (6) Terminating a specific activity or the entire PT if unsafe conditions or acts are observed. (7) Ensuring the accountability of personnel and equipment at the termination of the PT and reporting the results to the Senior Controller and Shadow Force Controller. c. Command and Control Positions. Every FoF PT and related activity must be regulated by controllers under the supervision of an Exercise Director, who is responsible for overall control of the PT. The Exercise Director must be supported by a Senior Controller, a Safety Controller, an ESS Controller, a Shadow Force Controller, and specific Event Controllers. These individuals must Section A DOE M 470.4-3 VII-10 08-26-05 be trained to fulfill their responsibilities to ensure activities are accomplished safely. (1) Exercise Director. The Exercise Director is a senior Federal or contractor official charged with overall responsibility for the exercise, to include pre-planning activities, assuring command and control during the exercise, and follow-up for any lessons learned. The Exercise Director: (a) is responsible for assuring that all appropriate safety and S&S measures are in place prior to the start of, and during, the exercise; (b) is responsible for signaling the beginning and end of exercises, and for guiding and supervising the other controllers; (c) has final authority for exercise halts due to potential safety or S&S concerns; and (d) should have a counterpart management official when operational facilities are the site of the exercise.

(2) Senior Controller. The Senior Controller reports directly to the Exercise Director and is responsible for coordinating, establishing, and supervising the exercise controller staff; identifying the number of personnel required to control the exercise; ensuring that appropriate controller training is conducted; and developing and implementing the concept of operation for the Exercise Director. The Senior Controller ensures: (a) all controllers have attended on-site pre-exercise controller training and scenario orientation; (b) a sufficient number of technically qualified controllers are available to support each exercise event; (c) all participant groups, as determined by the Exercise Director, are thoroughly briefed on their respective exercise scenarios, ROE, safety concerns, emergency procedures, medical response, munitions and firearms safety, and vehicle and personnel safety (see Appendix B-1 for an example of a Pre-Exercise Briefing format); and (d) exercise debriefings are conducted and documented: 1 controllers understand their responsibilities in support of exercise documentation; and 2 controller debriefings are coordinated and documented. DOE M 470.4-3 Section A 08-26-05 VII-11 (e) OPFOR personnel from other sites, locations or agencies: 1 receive training on site-specific procedures for ESS exercises, and safety and health protection; and 2 participate in safety walk downs of the exercise area as permissible and required. (3) Safety Controller. The Safety Controller is responsible for assessing the PT plan and ensuring that walk downs of the exercise area and safety briefings are conducted. The Safety Controller also ensures that safety briefings specify the ROE, medical response, munitions and firearms safety, and vehicle and personnel safety. The Safety Controller provides support to the Senior Controller and must remain in contact with the Senior Controller at all times during the exercise. In addition, the Safety Controller: (a) assists the Senior Controller in the development and conduct of pre-PT controller training; (b) ensures that adequate safety walk downs are conducted to determine site suitability prior to the PT; (c) ensures that identified controllers are required to go on each safety walk down; (d) verifies that all required personnel are present for each safety walk down; (e) conducts a safety walk down of the PT area with the Exercise Director, Senior Controller, Event Controllers, Shadow Force Controller, and other selected controllers (as appropriate) prior to the exercise; and (f) coordinates with emergency management personnel to ensure emergency medical and fire protection services will be present or on call for the duration of the PT. (4) ESS Controller. In PTs involving the use of ESS equipment, the ESS Controller is responsible for: (a) issuing and accounting for all ESS firearms, weapons, and support equipment; (b) inspecting all ESS ammunition to be utilized prior to issue; (c) testing the ESS equipment for operability in conjunction with the firearm prior to PT commencement; and Section A DOE M 470.4-3 VII-12 08-26-05 (d) collecting all ESS firearms and ammunition, and pyrotechnics at the conclusion of the PT. (5) Shadow Force Controller. A Shadow Force Controller with the experience necessary to ensure that the Shadow Force responds as required to a real security incident that may occur during a PT, is a critical participant. The Shadow Force Controller is responsible for ensuring:

(a) voice communications are established and maintained with the Senior Controller throughout the course of the PT; (b) all live firearms are maintained under his/her supervision and Shadow Force personnel do not come in contact with PT participants with ESS equipment; and (c) that the Shadow Force knows the PT area and emergency response procedures. The Shadow Force must remain under direct supervision and control during the PT, and after coordination with the Senior Controller, will be released in the event of an actual alarm or other security incident, in accordance with the approved PT plan. (6) Opposition Force (OPFOR) Controller. The OPFOR Controller must possess sufficient tactical expertise, knowledge, and physical ability to ensure that his/her presence does not interfere with, or hamper the actions of, the OPFOR in completing planned scenario actions. The OPFOR Controller is responsible for ensuring: (a) voice communications are established and maintained with the Senior Controller throughout the course of the PT; and (b) the OPFOR adheres to the ROE and planned scenario(s) actions. (7) Event Controllers. Event Controllers report to the Senior Controller and are responsible for executing control over specific categories of PT activity, including one or more events. Event Controllers are responsible to ensure nonparticipating facility personnel in the PT area are aware that an exercise is to be conducted and that they are not to interfere with the flow of the exercise. Event Controllers must ensure that all PT participants under their control: (a) are aware of procedures for halting a PT for safety reasons or for an actual emergency; (b) are not in possession of any live firearms or ammunition; (c) as applicable, have been provided with instruction on the hazards of Light Anti-Tank Weapon (LAW) simulators and any personnel DOE M 470.4-3 Section A 08-26-05 VII-13 using a LAW simulator have received comprehensive instruction on its usage prior to PT initiation; (d) have operable communications equipment; (e) are fully trained and qualified if assigned responsibilities to deploy hand-thrown pyrotechnics, flash-sound diversionary devices, and/or chemical agents; and (f) are instructed that full-charge flash-sound diversionary devices must not be deployed into occupied areas or rooms and that the minimum distance they may be deployed near personnel in open areas must be consistent with the specific pyrotechnic technical data sheet or Material Safety Data Sheet (MSDS), in no case less than 50 feet. Sub-charge flash-sound diversionary devices may be deployed into occupied areas or rooms with the approval of the appropriate safety organization. (8) Evaluators. Evaluators are PT observers with responsibility to record the PT progress, the actions of participants, and the results of actions. Evaluator observations are used to determine exercise results. Controllers may also be tasked to conduct evaluation duties. Evaluators are responsible to stop PT activities for safety reasons. (9) TAs. In preparing for and conducting a PT, it may be necessary to provide sensitive information to selected non-participants and participants regarding the occurrence and/or timing of events to accomplish necessary coordination for realistic testing. Such individuals may be designated as a TA. The term is not normally applied to controllers, who may also possess the sensitive information (e.g., PT timing, planned events).

(a) Role. The TA serves as a liaison between a simulated OPFOR and the PF being evaluated. PT planners must determine the number of Trusted Agents necessary. (b) Responsibilities. The TA works with the OPFOR commander to develop the PT scenario(s). The Trusted Agent identifies potential hazards in the PT area and works with the Exercise Director to establish recommended controls that minimize the likelihood of injuries/illnesses among PT participants. To successfully fulfill the role of TA, the individual must divulge as little information about the PT scenario as possible while ensuring that appropriate measures are taken to ensure the PT is conducted safely. (c) Selection Criteria. Individuals selected to serve as TAs must: Section A DOE M 470.4-3 VII-14 08-26-05 1 have sufficient understanding of the PF’s security posture, response plans, and capabilities to predict how the PF is likely to respond; 2 be familiar with the DBT used in VAs and the SSP/SSSP to assist the OPFOR in developing realistic scenarios; 3 be familiar with the targeted facility to understand the safety implications of OPFOR activities; 4 be capable of recognizing potential radiological, chemical, biological, explosive, occupational, and other hazards in the PT area; 5 either have the safety and health skills to establish appropriate controls or be familiar with the evaluated site’s organizational structure to obtain the necessary technical support (e.g., from the facility manager, safety professional, industrial hygienist, health physicist, et al.); and 6 have the management support necessary to resolve issues that may cut across organizational lines of authority and responsibility. d. Controller and Evaluator Training. The command and control system depends on a contingent of personnel selected and specifically trained to control ESS PTs. In addition to being trained to oversee exercises, controllers must receive training commensurate with the scope, complexity, and special nature of the activity. Based on the nature and complexity of the PT, specific controllers may be required for the Shadow Force, ESS equipment issue and accountability, occupational safety and health, and special or high risk activities (e.g., LAWs, explosive breaching, pyrotechnics, rappelling, etc.). Evaluators must receive controller training in order to perform evaluation duties. (1) Formal Training. All personnel assigned controller or evaluator duties must receive formal documented training for the safe conduct of a PT. The controller and evaluator training program must be approved by the DOE cognizant security authority and must include the following topics. (a) Controllers and Evaluators. 1 Purpose. 2 Responsibilities. 3 Duties. DOE M 470.4-3 Section A 08-26-05 VII-15 (b) General Knowledge Requirements. 1 ESS equipment/pyrotechnics. 2 ESS weapons versus comparable live-fire weapons capabilities. 3 Safety. a Firearms. b Vehicle use. c Participants. d Environment, Safety, and Health. e Medical. 4 Exercise Plans. a Schedules. b Scenarios/scenario variables, as applicable. c Required PF actions. d OPFOR actions, as applicable. e Required and assigned controller/evaluator actions, as applicable. f Role player actions, as applicable. Administrative Hold/Exercise Freeze or Termination. g Rules of Engagement. h Communications. i Administration. j Security.

(2) PT Scenario-Specific Briefings. In addition to the formal training discussed above, controllers/evaluators must receive PT and scenario- specific briefings prior to each PT. These briefings must include: (a) individual specific tasks and responsibilities prior to PT initiation; Section A DOE M 470.4-3 VII-16 08-26-05 (b) procedures for the following: Exercise Freeze, Administrative Hold, ROE for participants, vehicle safety, vehicle kills, explosives, firearms and ammunition, ESS, general safety, and actual emergencies and security incidents; (c) description and demonstration of the desired method for recording information about the events that transpire during the PT; (d) planned simulations/artificialities, how they will affect the PT, when they will be injected, and the procedures for formulating and introducing other simulations/artificialities, as needed, after PT initiation; (e) transportation arrangements for controllers, exercise participants, data collectors, and observers to the PT location and during PT activities; (f) purpose of the after action meeting, the information that should be brought to the meeting, and the location for the meeting; (g) location for the issue and turn in of equipment, accountability measures, and detailed instructions on the equipment required for each controller during the PT; (h) detailed description and demonstration of the radios the controllers operate during the PT. Explain the importance of operating only on the channel and frequency specified in the communications plan; (i) detailed briefings and demonstrations, as appropriate, on each piece of ESS equipment to be used in the PT and how and where it will utilized; (j) map(s) depicting the route to the PT area and conduct a walk-down with all controllers/evaluators, as necessary; (k) PT emergency procedures; (l) guidelines for information control and established policies and procedures for the protection of PT related classified information, and unclassified controlled information; (m) methodology for identifying controllers/evaluators and donning and wearing of any apparel to be used for identification purposes, as applicable; and (n) directions to, and scheduled time(s) for, controller/evaluator meetings. DOE M 470.4-3 Section A 08-26-05 VII-17 (and VII-18) TABLE VII-1. Testing Frequency. Type of Performance Test Minimum Performance Test Frequency LSPT At Category I/II SNM facilities individual and unit tactics LSPTs conducted weekly. All other LSPTs as required. All other facilities as required. ARAPT Category I/II SNM facilities 2/quarter/alarmed SNM locations and 1/quarter/all other locations All other facilities 1/quarter/all alarmed locations VFoF 1/year/facility for all sites with armed PFs (additional requirements for Category I facilities are contained in DOE M 470.4-1, Part 1, Section F,2.d.) CPX Category I/II SNM facilities 2/year/site All other facilities 1/year/site CFX Category I/II SNM facilities 2/year/site All other facilities 1/year/site JTX As required per SSSP, 1/year/site, as applicable (see Chapter IV, paragraph 12.d. and paragraph 1.f. of this Chapter) 5. COORDINATION. When a CPX or CFX involves a demonstration of site-level emergency response capabilities, the development and conduct of the exercise must be coordinated with the appropriate site-level emergency management organizations. 6. TESTING FREQUENCY. Performance testing must be conducted as stated in Table VII-1, Testing Frequency.

NOTE: Annual requirements for VFoF, CPX, CFX, and JTX exercises may be combined when determined appropriate in SSSPs. Requirements for ARAPTs may be satisfied through combined testing of multiple alarms in the same or proximate location(s) and required monthly PF shift and SPO-III shift training exercises. DOE M 470.4-3 Section A 08-26-05 VIII-1 (and VIII-2) CHAPTER VIII - EXECUTIVE PROTECTION PROGRAM 1. PURPOSE. The Department of Energy (DOE) Executive Protection Program (EPP) is designed to prevent the kidnapping, intentional or unintentional harm/injury to, or harassment of the Secretary of Energy and, when designated by the Secretary, the Deputy Secretary of Energy. 2. SCOPE. Measures, including the use of armed protective force (PF) personnel, may be provided for the protection of the Secretary and/or Deputy Secretary within or outside the United States. The Secretary must determine the extent and nature of any protection measures to be performed. Executive protection operations and services will not be provided to the Secretary and/or Deputy Secretary without the knowledge and specific approval of the Secretary. 3. REQUIREMENTS. a. The Office of Security will provide an orientation briefing to each newly appointed Secretary of Energy covering the essential elements of the Department’s EPP. b. The Director, Office of Special Operations (OSO), Office of Security, must forward recommendations for protection measures to the Secretary, or to the Secretary's designated representative, for approval. c. Executive protection operations and services must be conducted by Special Agents or other commissioned law enforcement officers approved by the Director, OSO, and trained for this activity. d. Only DOE personnel who have been deputized as U.S. Marshals by the U.S. Marshals Service are authorized to carry firearms in support of an executive protection operation within the United States and its possessions. e. Approval for selected executive protection personnel to bear arms in a foreign country must be obtained from the foreign government by the Special Agent-in-Charge, EPP through the appropriate Department of State Regional Security Officer. DOE M 470.4-3 Section A, Appendix A-1 08-26-05 A1-1 APPENDIX A-1 - GUIDELINES FOR FRESH PURSUIT 1. PURPOSE. The purpose of these guidelines, which have been approved by the U.S. Attorney General, is to set forth the procedures to be followed by Department of Energy (DOE) Federal and contractor protective force (PF) personnel, when pursuing suspected criminals across jurisdictional lines. 2. POLICY. It is DOE policy to prevent the escape and effect the arrest of fleeing suspected criminals in a safe and expeditious manner. The following procedures are intended to provide protective personnel with flexibility when in fresh pursuit of a fleeing suspected criminal. Each site must prepare site-specific guidelines that take into account the geography, equipment, and functions of the facility/site and that address the procedures that will be used to provide emergency notification to jurisdictions that may be entered in a fresh pursuit situation. The DOE cognizant security authority must submit the guidelines through the cognizant Departmental element to the Director, Office of Security, for approval. 3. DEFINITIONS. The following definitions apply to this Appendix.

a. Felony. Any offense enumerated in Title 10 Code of Federal Regulations (CFR), section 1047.4(a)(1)(i), as well as any offense constituting a felony under the laws of the jurisdiction in which the facility is located and with respect to which a PF would have arrest authority under 10 CFR 1047.4(d) and (e). b. Fresh Pursuit. Pursuit (with or without a warrant) for the purpose of preventing the escape or effecting the arrest of any person who commits a misdemeanor or felony or is suspected of having committed a misdemeanor or felony. Fresh pursuit implies pursuit without unreasonable delay but need not be immediate pursuit. (Although fresh pursuit implies pursuit without unreasonable delay, for the purpose of preventing the escape or effecting the arrest of fleeing suspected criminals who are in unauthorized control or possession of nuclear weapons, weapons components, and/or special nuclear material [SNM], such pursuit must be effected immediately). c. In the Presence. The criminal act must have taken place in the physical presence of (under the observation of) the PF officer. A PF officer is authorized to make an arrest for any misdemeanor listed in 10 CFR 1047.4(a)(1)(ii) if the offense is committed in the presence of the PF officer. d. Jurisdictional Lines. For the purposes of these guidelines, these must include, but are not be limited to, the property lines of a DOE facility/site. e. Misdemeanor. Any offense enumerated in 10 CFR 1047.4(a)(1)(ii), as well as any offense constituting a misdemeanor under the laws of the jurisdiction in which the facility is located and with respect to which a PF officer would have arrest authority under 10 CFR 1047.4(d) and (e). Section A, Appendix A-1 DOE M 470.4-3 A1-2 08-26-05 f. PF Officer. As defined in 10 CFR 1047.3(g), any person authorized by DOE authority to carry firearms under section 161.k. of the Atomic Energy Act. g. Reasonable Grounds to Believe. A PF officer is authorized to make an arrest for any felony listed in 10 CFR 1047.4(a)(1)(i) if the offense is committed in the presence of the PF officer or if the PF officer has reasonable grounds to believe (e.g., information from another PF or law enforcement officer, communications from a PF dispatcher or central alarm station operator) that a suspect had committed or was committing a felony. 4. AUTHORIZED PURSUIT ACROSS JURISDICTIONAL LINES. a. Misdemeanors. A PF officer may engage in the fresh pursuit of a suspected misdemeanant across jurisdictional lines only if the alleged misdemeanor was committed, or is being committed, in his or her presence. If the alleged misdemeanor was not committed in the presence of a PF officer, PF officers must not pursue the suspected misdemeanant across jurisdictional lines. Instead, the PF officers must attempt to obtain a description of the suspected misdemeanant, as well as a description and license tag number of any vehicle being used by the suspected misdemeanant, and must convey this information (in accordance with the specific notification procedures issued by DOE line management) to the State and other local law enforcement authorities for the jurisdiction into which the suspected misdemeanant has fled. b. Felonies. PF officers may engage in the fresh pursuit of a suspected felon across jurisdictional lines if: (1) the alleged felony is being committed, or was committed, in the presence of a PF officer; and (2) any PF officer has reasonable grounds to believe that the person pursued is committing, or has committed, the alleged felony.

5. FRESH PURSUIT PROCEDURES. a. Responsibility. Responsibility for decisions respecting fresh pursuit must follow the PF command structure. In making fresh pursuit decisions, PF officers must consider applicable Federal and State laws; Departmental directives, guidelines, and regulations; and PF plans, Post Orders, General Orders, guidelines, and training. b. Safety Considerations. (1) Safety is a primary consideration when engaged in fresh pursuit of a suspected criminal. In determining whether to pursue, as well as the method and means of pursuit, a PF officer will weigh the seriousness of the alleged offense and the necessity for immediate apprehension against DOE M 470.4-3 Section A, Appendix A-1 08-26-05 A1-3 the risk of injury to himself/herself, other PF officers, and the public. If at any time during the pursuit the risk of injury to pursuing PF officers or the public surpasses the necessity for immediate apprehension, the pursuit must be terminated. (2) PF officers will use the minimum force necessary under the circumstances to apprehend a suspected criminal. (3) Regulations at 10 CFR 1047.6, 1047.7, 1049.6, and 1049.7 address the applicability of physical and/or deadly force in a fresh pursuit situation, regardless of whether jurisdictional lines have been crossed. Such use may include, as appropriate, firing at or from a moving vehicle, aircraft, or water craft; the ramming and disabling of pursued vehicles by precision immobilization techniques (PIT); and the use of tire deflating devices. (4) If hostages are present in a pursuit situation in which recovery of SNM is involved, the safety and welfare of hostages must be considered; however, due to the ramifications of unauthorized use of SNM to the national security, the public, and the environment, the hostages’ presence must not deter or impact immediate pursuit and recovery of the SNM. c. Vehicular Pursuit. (1) Vehicles used in fresh pursuit must be operated in as safe a manner as is practicable. (2) To the extent practicable, vehicles used must be “marked” and equipped with visual and audible emergency equipment. (3) Vehicles occupied by non-PF personnel must not be used in fresh pursuit situations unless the situation mandates an immediate pursuit and the extreme circumstances prohibit the occupant’s disembarkation. (4) The number of pursuing vehicles that cross a jurisdictional line must be limited to that necessary to provide sufficient personnel to deal with the situation. Under no circumstance will the number of pursuing PF officers be such that the facility is left without sufficient security protection. (5) There are inherent dangers associated with the use of roadblocks; thus, unless exigent circumstances mandate immediate apprehension of the suspected criminal, PF officers generally must not attempt roadblocks without the authorization of the appropriate law enforcement officials of the jurisdiction entered and must not use roadblocks to apprehend suspected misdemeanants. Under no circumstances will a roadblock be used without the concurrence of the supervisor of the pursuing PF officers. Section A, Appendix A-1 DOE M 470.4-3 A1-4 08-26-05

(6) There are inherent dangers associated with the use of ramming/PIT and tire deflating devices; thus, unless exigent circumstances mandate immediate disabling of the suspect vehicle (i.e., unauthorized control of SNM, possession of explosives), PF officers generally must not attempt ramming/PIT or use tire deflation devices without the authorization of a PF supervisor. However, such authorization is not required when requesting such authorization may affect the timely termination of the pursuit. Ramming/PIT and tire deflation devices must not be used to apprehend suspected misdemeanants. Specific guidelines regarding the use of ramming/PIT and tire deflation devices in fresh pursuit situations must be included in the site-specific guidelines submitted to the Director, Office of Security, for approval. d. Aerial Assistance. Where DOE has aerial capability (e.g., helicopters, fixed-wing aircraft), specific guidelines regarding the use of aircraft in fresh pursuit situations, including pursuit, observation, reporting, and deployment of response forces, must be coordinated with appropriate State and other local officials. This information must be included in the site-specific guidelines submitted to the Director, Office of Security, for approval. e. Water Craft Assistance. Where DOE has waterborne capability, specific guidelines regarding the use of water craft in fresh pursuit situations, including pursuit, observation, reporting, and deployment of response forces, must be coordinated with appropriate State and other local officials. This information must be included in the site-specific guidelines submitted to the Director, Office of Security, for approval. f. Communications. (1) At all times during a fresh pursuit situation, the PF officers involved must make every attempt practicable to maintain open communications and to relay as much factual information as possible to the PF dispatcher. (2) Upon the engagement of a fresh pursuit situation, the PF dispatcher must immediately notify supervisors in the PF command structure and the officer in charge of on-site PF operations. (3) When it becomes apparent to the pursuing PF officers that jurisdictional line(s) might be crossed, this information must be transmitted immediately to the law enforcement authorities of the jurisdiction to be entered in accordance with the site-specific emergency notification procedures. To the extent possible, such notification must include a description of the fleeing suspect and/or vehicle, the alleged criminal violation for which the suspect is being pursued, and the location and direction of travel of the suspect. DOE M 470.4-3 Section A, Appendix A-1 08-26-05 A1-5 g. Coordination with Other Law Enforcement Authorities. When other Federal, State or local law enforcement authorities with jurisdiction in the area into which the suspected criminal has fled join the pursuit, they must be primarily responsible for the continued pursuit. (1) The PF dispatcher, supervisors in the PF command structure, and the officer in charge of on-site PF operations must coordinate the pursuit efforts of PF officers with other Federal, State, and/or other local law enforcement authorities who assume primary responsibility. (2) PF officers participating in the pursuit must continue to participate in pursuit operations until otherwise instructed by the PF dispatcher, respective supervisors in the PF command structure, or the officer in charge of on-site PF operations.

(3) At least one PF officer unit will remain available to assist the other pursuing Federal or State and other local law enforcement authorities until the pursuit is concluded or otherwise terminated. That PF officer will thereafter provide such law enforcement authorities with all relevant information regarding the circumstances surrounding the incident. h. Arrests. (1) When other Federal law enforcement authorities (e.g., Federal Bureau of Investigation (FBI) or U.S. Marshal) are involved with PF officers in the apprehension of a suspected criminal (regardless of whether on or off DOE property), PF officers must relinquish arresting authority to the other Federal law enforcement authorities. (2) When State or other local law enforcement authorities are involved with PF officers in the off-site apprehension of a suspected criminal, the issue of which law enforcement official is in charge in order to effect an arrest is generally not a matter of policy but one of common sense dictated by the circumstances. Such an assessment includes an evaluation of the expertise of those present, which agency has first established control, and the disruptive effect, if any, of transfer of control. The determination of which jurisdiction should make the arrest is, therefore, left to the discretion of the officers involved. To the extent practicable, guidelines addressing this issue should be prepared on a site-by-site basis in coordination with State and other local law enforcement authorities. Such guidelines must be included in the site-specific guidelines submitted to the Director, Office of Security, for approval. (3) When a suspected felon is apprehended (regardless of whether on or off DOE property), or when a suspected misdemeanant is apprehended on DOE property, the PF must immediately notify the appropriate U.S. Attorney’s Office and escort the suspect to the nearest U.S. District Court Section A, Appendix A-1 DOE M 470.4-3 A1-6 0