DOE O 473.3, Protection Program Operations

ORDER Approved: 6-27-2011 PROTECTION PROGRAM OPERATIONS U.S. DEPARTMENT OF ENERGY Office of Health, Safety and Security DOE O 473.3 DOE O 473.3 1 6-27-11 PROTECTION PROGRAM OPERATIONS 1. PURPOSE. This Order establishes requirements for the management and operation of the Department of Energy (DOE) Federal Protective Forces (FPF), Contractor Protective Forces (CPF), and the Physical Security of property and personnel under the cognizance of DOE. The order does this by combining into one Protection Program Operations (PPO) order the baseline requirements which were contained in the manuals for physical protection, CPF, and FPF. This Order establishes requirements for the physical protection of interests under DOE’s purview ranging from facilities, buildings, Government property, and employees to national security interests such as classified information, special nuclear material (SNM), and nuclear weapons. A graded approach for the protection of the lowest level of government property and layered to the most critical are described in this Order and its appendix and attachments. PPO and its constituent components; physical security and protective forces must be integrated with other safeguards and security (S&S) programs such as program planning and management, information security, personnel security, and nuclear material control and accountability. 2. CANCELLATIONS. DOE M 470.4-2A, Physical Protection, dated 7-23-09; DOE M 470.4-3A, Contractor Protective Force, dated 11-15-08; and DOE M 470.4-8, Federal Protective Force, dated 7-15-09, are canceled. NOTE: Appendix C Safeguards and Security Alarm Management and Control Systems, of DOE M 470.4-2A, is retained and incorporated into this Order as Attachment 3, Annex 1. Cancellation of a directive does not, by itself, modify or otherwise affect any contractual or regulatory obligation to comply with the directive. Contractor Requirements Documents that have been incorporated into a contract remain in effect throughout the term of the contract unless and until the contract or regulatory commitment is modified to either eliminate requirements that are no longer applicable or substitute a new set of requirements. 3. APPLICABILITY. a. Departmental Applicability. The requirements in this Order apply to all DOE elements. b. The Administrator of the National Nuclear Security Administration (NNSA) will ensure that NNSA employees comply with their respective responsibilities under this Order. Nothing in this Order will be construed to interfere with the NNSA Administrator’s authority under section 3212(d) of Public Law (P.L.) 106 65 to establish Administration-specific policies, unless disapproved by the Secretary. c. The BPA Administrator will assure that BPA employees and contractors comply with their respective responsibilities under this directive consistent with BPA's self financing, procurement and other statutory authorities. 2 DOE O 473.3 6-27-11 d. DOE Contractors. (1) Except for the equivalencies/exemptions in paragraph 3.d., the Contractor Requirements Document (CRD) (Attachment 1) sets forth requirements of this Order that will apply to 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, titled 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 the CRD 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. 228b.). The procedures for the assessment of civil penalties are set forth in 10 CFR Part 824, Procedural Rules for the Assessment of Civil Penalties for Classified Information Security Violations. e. Equivalencies/Exemptions. Equivalencies and exemptions from the requirements of this Order are processed in accordance with DOE O 251.1C, Departmental Directive Program. When conditions warrant, equivalencies or exemptions from the requirements in this Order, requests must be supported by a vulnerability assessment (VA) when required by the assets being protected, or by sufficient analysis to form the basis for an informed risk management decision, the analysis must identify compensatory measures, if applicable, or alternative controls to be implemented. f. All approved equivalencies and exemptions under this Order must be entered in the Safeguards and Security Information Management System (SSIMS) database and incorporated into the affected security plan(s). Approved equivalencies and exemptions become a valid basis for operation when they have been entered in SSIMS and documented in the appropriate security plan, and they must be incorporated into site procedures at that time. Many DOE safeguards and security (S&S) Program requirements are found in or based on regulations issued by Federal agencies, and codified in the CFR or other authorities, such as Executive Orders or Presidential Directives. In such cases, the process for deviating from those requirements found in the source document must be applied. If the source document does not include a deviation process, the DOE O 473.3 3 6-27-11 DOE Office of General Counsel, or NNSA Office of General Counsel if an NNSA element is involved, must be consulted to determine whether deviation from the source can be legally pursued.. Exemption. Requirements in this Order that overlap or duplicate requirements of the Nuclear Regulatory Commission (NRC) related to radiation protection, nuclear safety (including quality assurance), and S&S of nuclear material do not apply to the design, construction, operation, and decommissioning of DOE facilities and activities regulated by the NRC. This exemption does not apply to requirements for which the NRC defers to DOE or does not exercise regulatory jurisdiction. g. Exclusion. In accordance with the responsibilities and authorities assigned by Executive Order 12344, codified at 50 USC sections 2406 and 2511, and to ensure consistency throughout the joint Navy and DOE organization of the Naval Nuclear Propulsion Program, the Deputy Administrator for Naval Reactors (Director) will implement and oversee all requirements and practices pertaining to this DOE Order for activities under the Director’s cognizance, as deemed appropriate. 4. REQUIREMENTS. Departmental Elements must establish and maintain standardized

requirements for management direction, training program administration, maintenance of qualifications, and execution of operations for the various PF and physical protection activities within DOE. The requirements for Federal Protective Forces can be found in Appendix A. Requirements for Contractor Protective Forces are found in Attachment 2 and those for Physical Protection in Attachment 3. a. General. Must effect the policy in DOE P 470.1A, Safeguards and Security Program, dated 12-29-10, by integrating PF and physical security into DOE operations as determined by DOE line management and according to sound risk management practices. (1) DOE P 470.1A is the Department’s philosophical approach to management of the S&S Program. (2) This approach includes individual responsibility and implementation of the security requirements found in this Order. (3) Establish and maintain minimum requirements for the arming of DOE PF personnel, firearms operations and physical protection of DOE security interests. Whenever a legal, regulatory, or other external standard, or a DOE Policy, Order, Notice or Manual is referenced within this Order, and such standard is amended or superseded, the successor standard is applicable under this Order. 4 DOE O 473.3 6-27-11 (4) The Department intends that the highest level of protection be given to security interests and activities whose loss, theft, compromise, and/or unauthorized use would seriously affect national security, the environment, Departmental programs, and/or the health and safety of the public or employees. Therefore, field elements, such as the Power Marketing Administrations, that do not posses arming and arrest authority under the aegis of either section 161k, of the Atomic Energy Act or section 661 of the DOE Organization Act and that perceive a need to arm their security officers, may do so provided they comply with the requirements of the jurisdiction in which their officers will operate. Until such time as affected field elements are accorded DOE arming and arrest authority, and consistent with statutory authorities and local determination based on risk and/or vulnerability assessments, selected provisions of this Order may be used as a guide when approved by the head of the field element or his/her designee. b. Planning. The implementation of graded physical protection programs required by this Order must be systematically planned, executed, evaluated, and documented as described by a site security plan that appropriately addresses all national and DOE requirements (see DOE O 470.4B, App. A, Section 1, Chapter I.1.). (1) PPO elements must be based on DOE O 470.3B, Graded Security Protection Policy (GSP), dated 8-12-08, and used in conjunction with local threat guidance. The GSP applies to all DOE facilities including those that do not possess classified material or SNM. (2) Departmental interests must be protected from malevolent acts such as theft, diversion, and sabotage and events such as natural disasters and civil disorder by considering site and regional threats, protection planning strategies, and protection measures. (3) SNM must be protected at the higher level when roll up to a higher category can occur within a single security area unless the facility has conducted an analysis that determined roll up was not credible. (4) Sites upgrading security measures must consider the benefits provided

using security technology by conducting life cycle cost benefit analyses comparing the effectiveness of security technology to traditional manpower based methodologies. However, at Category I/II facilities various manpower alternatives to include security technologies must be used to allow protective force personnel to concentrate on the primary mission of protecting nuclear weapons, SNM, and designated high value targets. c. Implementation. Requirements that cannot be implemented within 6 months of the effective date of this Order or within existing resources must be documented DOE O 473.3 5 6-27-11 by the ODFSA and submitted to the relevant program officers; the Under Secretary; the Under Secretary for Science or the Under Secretary for Nuclear Security, NNSA; and the Office of Security, Office of Health, Safety and Security. The documentation must include timelines and resources needed to fully implement this Order. The documentation must also include a description of the vulnerabilities and impacts created by delayed implementation of the requirements. 5. RESPONSIBILITIES. a. DOE Line Management. (1) Provide guidance and oversight to site and facility management and operations offices that oversee the physical security, DOE PF, PF firearms programs for the purposes of protecting S&S interests. (2) Implement the requirements in paragraphs 4.a through 4.c. b. Heads of Field Elements and Headquarters Departmental Elements. (1) Administer DOE physical security, PF and PF firearms programs for the purposes of protecting S&S interests. (2) Notify contracting officers of affected site/facility management contracts that must include the CRD. (3) Review procurement requests for new non-site/non-facility-management contracts that involve classified information or matter, or nuclear materials and contain DEAR clause 952.204-2, titled, Security Requirements. If appropriate, notify contracting offices that the requirements of the CRD to the Order must be included in the contract. c. ODFSA and ODSAs. Fulfill requirements and responsibilities that are delegated to them from DOE or NNSA. d. Contracting Officers. Upon notification of its applicability, insert the CRD into affected contracts via the Laws, Regulations, and DOE directives clause of site/facility management contracts. Assist originators of procurement requests who want to incorporate the requirements of this Order in new non-site/facility management contracts, as applicable. 6. REFERENCES. a. References commonly used in the S&S Program are located in the Health, Safety and Security Policy Information Resource web site, http://pir.pnl.gov/. Non HSS policies are available on the DOE Directives Web page. http://pir.pnl.gov/ 6 DOE O 473.3 6-27-11 b. Title XXXII of P.L. 106-65, National Nuclear Security Administration Act, as amended, which established a separately organized agency within the Department of Energy. 7. DEFINITIONS. Terms commonly used in the program are defined in the Health, Safety and Security Policy Information Resource web site, http://pir.pnl.gov/. Use of these definitions is not mandatory. They are provided as a resource to information security planners, managers and practitioners. a. Officially Designated Federal Security Authority (ODFSA): ODFSAs are Federal employees that possess the appropriate knowledge and responsibilities for each situation to which they are assigned through delegation.

Delegation authority for these positions is originated according to direction from the accountable Program Secretarial Officer, (or the Secretary or Deputy Secretary for Departmental Elements not organized under a Program Secretarial Office), who also provides direction for which of the ODFSA positions may be further delegated. Each delegation must be documented in written form. It may be included in other security plans or documentation approved by or according to direction from the accountable principal. Each delegator remains responsible for the delegatee’s acts or omissions in carrying out the purpose of the delegation. b. Officially Designated Security Authority (ODSA): ODSAs are Federal or contractor employees that possess the appropriate knowledge and responsibilities for each situation to which they are assigned through delegation. Delegation of authority for these positions is originated according to direction from the accountable Program Secretarial Officer, (or the Secretary or Deputy Secretary for Departmental Elements not organized under a Program Secretarial Office), who also provides direction for which of the ODFSA positions may be further delegated. Each delegation must be documented in written form. It may be included in other security plans or documentation approved by or according to direction from the accountable principal. Each delegator remains responsible for the delegatee’s acts or omissions in carrying out the purpose of the delegation. 8. CONTACT. Questions concerning this Order should be addressed to the Office of Security Policy, Office of Health, Safety and Security at 301-903-6209. BY ORDER OF THE SECRETARY OF ENERGY: DANIEL B. PONEMAN Deputy Secretary http://pir.pnl.gov/ DOE O 473.3 Appendix A 6-27-11 A-1 APPENDIX A FEDERAL PROTECTIVE FORCE Sections A-G provide direction for administering the DOE FPF and FPF firearms programs for the purposes of protecting S&S interests. Annex 1 provides guidelines for legal authority, fresh pursuit, and rules of engagement. Annex 2 discusses performance testing used in the program. Annex 3 contains requirements specific to the Department’s Federal Officer program. Appendix A DOE O 473.3 A-2 6-27-11 This page intentionally left blank. DOE O 473.3 Appendix A, Section A 6-27-11 A-3 SECTION A. MANAGEMENT 1. MISSION AND RESOURCE PLANNING. FPF programs, functions, or activities must incorporate basic planning principles to ensure that they accomplish their intended purpose. a. Mission. FPF programs/elements, regardless of size, must clearly identify the mission to be fulfilled by the organization. Broad mission statements may be supported by establishing more specific goals and objectives for the FPF element to achieve. b. Resource Requirements. FPF programs/elements must document resources requirements necessary to successfully accomplish mission objectives. Sources of these requirements may include Federal laws and regulations; DOE directives; site security plans (SSPs); protection strategies; operational needs; production, inspection or transportation schedules; and investigative workload projections. c. Authorizations. Authorizations may be identified in terms of full-time equivalents (FTEs), the total number of personnel needed, total number of direct man-hours, and/or quantities of equipment items needed to perform work. d. Actuals. FPF programs/elements must maintain a process that monitors and

periodically reports actual personnel and sensitive equipment items (e.g., military/ law enforcement equipment restricted from public sale) currently on hand. e. Funding. FPF programs/elements must develop funding requirements that provide direct relationships between costs and identified personnel and equipment authorizations. 2. OPERATIONAL GUIDANCE AND WRITTEN DIRECTIVES SYSTEM. To ensure that FPF missions/functions are accomplished as intended, sufficient operational guidance must be provided through the establishment and maintenance of a formalized written directives system. a. Development. Written plans, orders and procedures covering FPF routine, emergency, and administrative duties; tactical deployment; and where required, other operational requirements must be developed and must ensure FPF assignments are oriented to allow maximum concentration of resources in a tactical posture. Plans, orders, and procedures must be clear, concise, and current. These documents may include, but are not limited to, plans, standard operating procedures, and/or desktop procedures. b. Plans. Required protection strategies; tactical response options, actions, and times; and other applicable response requirements must be addressed in response plans or Tactical Standard Operating Procedures (SOP). FPF plans must provide specific response direction and required actions to FPF personnel for applicable Appendix A, Section A DOE O 473.3 A-4 6-27-11 containment, denial, recapture, recovery and pursuit strategies and to support interruption/neutralization operations before completion of adversary task times. c. SOPs. Administrative, training, and other non-response-related operational requirements, which include specific rules of engagement (see Annex 1), must be addressed in procedures. Detailed additional program specific requirements for the Federal Agent and Special Agent programs must be provided in SOPs developed and approved by the Office of Secure Transportation and the Office of Headquarters Security Operations respectively. Other Offices with Federal Officer programs see Annex 3 of this Attachment for baseline SOP requirements. d. Desktop Procedures. A detailed description of a basic task needed to accomplish a specified job efficiently, effectively, and/or safely must be written. e. Non-DOE Law Enforcement Agency (LEA) Support. If local, State, or Federal LEAs are used to protect security interests on a regular or recurring basis, cooperative agreements outlining the specific support to be provided must be established. These agreements must be documented in appropriate security plans. f. Configuration Control. The written directives system must incorporate a controlled and documented process that ensures that changes to operational guidance are adequately reviewed and approved by authorized FPF management representatives. g. Availability. Written directives must be available to FPF personnel for reference and guidance in the performance of routine and emergency duties. h. Review. Written operational and emergency response guidance, procedures, and cooperative agreements must be reviewed for currency when response requirements, duties, or administrative requirements are changed or at least annually (at least every 12 months). 3. DOE PERSONNEL MANAGEMENT. a. FPF Positions. FPF positions are those used in either an armed or unarmed status for the purpose of protecting and/or investigating offenses against DOE assets

including facilities, personnel, sensitive materials, and other property. Detailed requirements for the FPF positions identified below are contained in this Order and applicable guidelines. This Order (473.3) does not extend criminal law enforcement authority and jurisdiction beyond what is permissible under the Atomic Energy Act (42 USC 2201 (k)), and 42 USC 7270a (Guards for Strategic Petroleum Reserves) or that provided pursuant to deputization by the U.S. Marshals Service. (1) Federal Agents (FAs) are Federal employees of the DOE Office of Secure Transportation (OST) who require firearms/arrest authority pursuant to DOE O 473.3 Appendix A, Section A 6-27-11 A-5 section 161 k of the Atomic Energy Act [42 U.S.C. 2201(k)] as an official function or duty. (2) Federal Officers (FOs) (unarmed) are Federal employees who conduct interviews, inquiries, inspections, surveys, investigations, and liaison activities with law enforcement officials. These FOs are not authorized to carry firearms and are not empowered with any arrest authority. (3) FOs (armed) are Federal employees who require firearms/arrest authority 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. (4) Special Agents (SAs) are Federal employees of the DOE Office of Special Operations who require firearms/arrest authority pursuant to section 161 k of the Atomic Energy Act (42 U.S.C. 2201[k]) as an official function or duty while participating in special operations such as executive protection, making an arrest, or conducting an investigation. b. Human Reliability Program. DOE line management must identify positions that meet requirements of the Human Reliability Program (HRP) [see 10 CFR Part 712, Human Reliability Program]. In addition to those categories of positions listed in 10 CFR Part 712.10(a)(1) through (3), at sites where armed personnel are in HRP, armorers with unescorted access to their firearms also must be enrolled in the HRP. c. Training. See DOE O 360.1B, Federal Employee Training; DOE O 470.4B, Safeguards and Security Program, and this Order. d. Records. See Schedule 18 of the General Records Schedule (GRS) or the DOE Records Schedules. e. Reporting Requirement. Supervisors in the FPF command structure and the manager in charge of onsite FPF operations must ensure that any suspected criminal violations are reported in accordance with DOE O 470.4B, Safeguards and Security Program, and, where appropriate, DOE O 231.1A Chg 1, Environment, Safety and Health Reporting. All FPF employees must comply with DOE O 221.1A, Reporting Fraud, Waste and Abuse to the Office of Inspector General and DOE 221.2A, Cooperation with the Office of Inspector General. 4. QUALIFICATION REQUIREMENTS. FPF personnel must comply with the Departmental medical, physical fitness, and firearms qualifications and training requirements as applicable. a. Security Clearance. Appendix A, Section A DOE O 473.3 A-6 6-27-11 (1) FPF personnel must possess an access authorization (security clearance) commensurate with the highest level of classified information or matter to which they have, or potentially have, access. Security clearances must be obtained in accordance with DOE M 470.4-5, Personnel Security. All FPF personnel with security clearances are subject to the Department’s random drug testing requirements.

(2) Armed FPF personnel must possess an L or Q security clearance. (3) FPF personnel with access to fully automatic firearms, nuclear weapons, nuclear test devices, complete nuclear assemblies or Category I and II quantities of special nuclear material (SNM); must possess Q security clearances. b. Medical, Physical Fitness, Firearms, and Training Standards. FOs/FAs/SAs must complete a formal training and qualification program before assignment to duties. The training program must be based on assigned functions and site requirements. Firearms, physical fitness, and medical qualifications must meet DOE and/or Office of Personnel Management (OPM) requirements for the position assignment and organizational requirements as specified in the respective SOPs. (1) At a minimum, all armed FPF personnel must conform to the medical standards for armed protective force personnel as contained in 10 CFR Part 1046, Physical Protection of Security Interests, or those specified by the Office of Personnel Management. (2) At a minimum, all armed FPF personnel must conform annually to a 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 or those specified in a validated Office of Security Operations Physical Readiness SOP. c. Confidentiality of Medical Information. The DOE-designated physician will notify FPF management of medical restrictions. FPF management must approve and implement site/organization-specific plans to ensure confidentiality of FPF medical information. d. Special Skills Qualifications. (1) Site/organization-specific conditions may justify requirements for FPF personnel to possess qualifications for special skills. (2) 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. (3) Certifications required by specific job functions (e.g., a Federal Aviation Administration license for pilots) must be kept current. The employing DOE O 473.3 Appendix A, Section A 6-27-11 A-7 organization for each individual must maintain a record of qualification and/or certification. e. Firearms. No person will be authorized to carry a firearm as a FPF officer until DOE line management is assured that the individual is qualified in accordance with an approved firearms qualification standard. Approved DOE firearms qualifications courses are those that have gone through the official approval process established by the Office of Security. They are located on the Office of Health, Safety and Security website, www.hss.energy.gov. Firearms operations must be in accordance with requirements outlined in this Order and the approved DOE or FLETC firearms qualification courses. f. Suspending/Revoking Authority. The ODFSA may suspend or revoke the FO/FA/SA’s credentials and suspend/revoke the use of any/all firearms when any of the below circumstances exist. (1) The FO/FA/SA is no longer eligible to carry a firearm due to lapses in firearms training or failure to qualify with the firearm despite attempts at remediation as described in this policy. (2) The FO/FA/SA is suffering from a medical, physical, or emotional condition that may impair his/her judgment or ability to properly deploy a firearm. (3) The FO/FA/SA has made an unauthorized discharge of his/her issued firearm.

(4) The FO/FA/SA has demonstrated a lack of sound judgment in handling a firearm in accordance with DOE directives, policies and guidelines. (5) The FO/FA/SA’s security clearance has been suspended or revoked through appropriate administrative processes. (6) The FO/FA/SA has been convicted of a misdemeanor charge of domestic violence. The Gun Control Act of 1968 as amended by the Lautenberg Amendment (effective on September 30, 1996), makes it a felony for any person convicted of a misdemeanor crime of domestic violence to possess, ship, transport, or otherwise dispose of firearms or ammunition. (7) The FO/FA/SA displays threatening or abusive behavior or makes threats (implied or actual) of personal injury to himself or others. (8) The FO/FA/SA misuses, loses, or improperly displays a weapon or displays improper safeguarding or handling of a weapon. NOTE: Should an FO/FA/SA’s DOE credentials be suspended or revoked, they must also surrender issued Special Deputy U.S. Marshal credentials. http://www.hss.energy.gov/ Appendix A, Section A DOE O 473.3 A-8 6-27-11 NOTE: Reissuance of credentials must in accordance with Attachment 3, Section A, Chapter XI of this Order. g. Qualification Requirements. Each FO/FA/SA must qualify with each firearm that is reasonably expected to be used during duty assignment on the qualification course indicated in the DOE-approved firearms qualification courses, or as prescribed in respective SOPs, and any applicable approved site/organization- specific supplemental qualification course. (1) Initial firearms qualifications and semi-annual re-qualifications must be completed in accordance with requirements of this Order. (2) Before any range activity, each person 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. (3) Failure to qualify will result in suspension of the authority to carry firearms and make arrests. Upon failure, an FO/FA/SA will enter a standardized, remedial firearms training program approved by the Chief Health, Safety and Security Officer. 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. (4) FPF organizations that do not fire individually issued firearms during qualification must have written procedures authorizing the specific model and associated features of all firearms to be used. These procedures must be approved by DOE line management. (5) The requalification may occur at any time during the requalification month. If an FO/FA/SA does not requalify before 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. (6) An FO/FA/SA 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 4g(3) above must be followed in the event of a failure. h. Authority to Carry Firearms. (1) The employing organization must maintain written documentation signed

by the employee indicating each individual who is authorized to carry DOE O 473.3 Appendix A, Section A 6-27-11 A-9 firearms and make arrests without warrant while performing official duties. This documentation must include: (a) the basis of arming authority; (b) an outline of arrest and use of force authority and limitations that has been approved by the Chief Health, Safety and Security Officer or the Assistant Deputy Administrator for Secure Transportation, as applicable, with concurrence by the DOE Office of the General Counsel or the National Nuclear Security Administration (NNSA) Office of General Counsel, as appropriate; (c) an outline of armed duties that specifies the procedures for the carrying of weapons (to include off duty limitations and safe storage requirements) both on and off Federal property; and (d) weapons qualification requirements, to include frequency and scoring. (2) Firearms instructors who are not currently assigned FPF duties may carry firearms when performing their instructional duties if authorized by DOE line management. 5. CREDENTIAL AND SHIELDS. PLEASE SEE ATTACHMENT 3, SECTION A, CHAPTER XI. 6. SAFETY. FPF activities may be conducted under the aegis of other Federal agencies, e.g., at the FLETC or U.S. Department of Defense facilities. Adherence to the controlling agency’s safety requirements is authorized. Appendix A, Section A DOE O 473.3 A-10 6-27-11 This page intentionally left blank. DOE O 473.3 Appendix A, Section B 6-27-11 A-11 SECTION B. TRAINING 1. TRAINING AND QUALIFICATION. a. The ODFSA must establish a formal training and qualification program to meet requirements for Federal Officer (FO), Federal Agent (FA), and Special Agent (SA) as applicable to the site/facility/organization. Qualification requirements must be based on assigned functions, 10 CFR Part 1046, DOE and/or Office of Personnel Management requirements for the position assignment, and this Order. b. The requirements must be designed to ensure that FOs/FAs/SAs are competent to perform the tasks within their assigned responsibilities. The qualification requirements must 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 must be based on criteria established and approved by the DOE, to include Training Approval Program (TAP) certification. c. The ODFSA must establish additional FO/FA/SA training criteria needed by site/organization-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. d. The JA must be used as a basic input document for local training requirements approved by the ODFSA and reviewed and updated annually (at least every 12 months). Training must be provided to ensure performance of assigned functions and tasks under both normal and emergency conditions. e. Any individual previously qualified as a Federal protective force (FPF) officer who has been deployed to military active duty for up to 36 months may return to active status after completing prescribed refresher training for the assigned position. 2. PROGRAM REQUIREMENTS. The formal training and qualification program must meet requirements established by the DOE NTC.

3. OPPOSITION FORCE TRAINING. FPF personnel participating in performance tests as Graded Security Protection (GSP) Policy comparable adversary combatants will be trained in tactics and techniques to challenge the ability of the FPF to defeat an armed adversary. Use of the DOE NTC Opposition Force Training course is encouraged. 4. WEAPONS QUALIFICATIONS. Appendix A, Section B DOE O 473.3 A-12 6-27-11 a. Each FO/FA/SA must qualify semi-annually (at least every 6 months) with all assigned weapons and special skills weapons (as designated by job assignments) using the DOE or FLETC daylight and reduced lighting firearms qualification and other applicable courses in the DOE-approved firearms qualification courses. b. Where DOE firearms qualification courses do not exist for a weapons system (e.g., belt-fed machine gun, grenade launcher, aerial firing platform, etc.) required to address site/organization-specific concerns, both daylight and reduced lighting site/organization-specific supplemental qualification courses must be developed. These courses must include minimum scoring requirements constrained by time limits. With approval by the local ODFSA, these scoring requirements will be submitted to the Chief Health, Safety and Security Officer for review and approval. National Nuclear Security Administration sites will request approval of their site/organization-specific courses of fire from the Associate Administrator for Defense Nuclear Security, who will coordinate with the Chief Health, Safety and Security Officer prior to approval. 5. KNOWLEDGE, SKILLS, AND ABILITIES (KSAs). KSAs necessary to competently perform the tasks associated with assigned FPF duties must be identified based on the analysis applicable for each job assignment. FPF personnel must demonstrate familiarity with, and knowledge of, the responsibilities identified in the JA for their assignment and must demonstrate proficiency in the skills and abilities necessary to perform required assigned job tasks. All FPF personnel, as identified in the JA, must demonstrate the following: a. knowledge of and ability to perform routine and emergency duty requirements safely; b. operation of assigned equipment and vehicles; c. 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; d. knowledge of, and the ability to apply, DOE directives, organization policies, plans, standard operating procedures, specific operational instructions, and orders and procedures governing assigned routine and emergency duties; e. knowledge of Federal- and State-granted authority applicable to assigned activities and responsibilities between the FPF and other law enforcement authorities; and f. knowledge of security practices and procedures. 6. SPECIAL SKILLS. DOE O 473.3 Appendix A, Section B 6-27-11 A-13 a. Personnel assigned specialized responsibilities outside the scope of normal duties must successfully complete the appropriate basic, refresher, and periodic training. b. 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,

instructors, armorers, crisis negotiators, investigators, exercise controllers/evaluators, and law enforcement specialists. c. Each crisis negotiator must have successfully completed a DOE-approved crisis negotiation training course. 7. SUPERVISORS. FPF 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/organization-specific JA. 8. INSTRUCTORS. All FPF personnel assigned instructor duties must be currently certified to the level of training delivered according to applicable DOE NTC requirements. a. Certification Requirements. At a minimum, the current instructor certification requirements must be met. b. Recertification. The applicable minimum FPF instructor recertification requirements must be met. Frequency of instructor recertification must occur according to current DOE requirements established by the NTC. FPF management must ensure that each instructor is evaluated for competency at least once every 36 months. 9. FIREARMS INSTRUCTORS. Before initial assignment to duty as a firearms instructor, FPF personnel must at least successfully complete a DOE or FLETC FIC according to an approved standard operating procedure. These instructors must pass the firearms qualification courses for assigned firearms and for firearms that are the subject of instruction. a. 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 JA and be approved by the ODFSA. b. Recertification. The DOE or FLETC firearms instructor recertification requirements must be met. Appendix A, Section B DOE O 473.3 A-14 6-27-11 10. 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. 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/organization-specific JA and approved by the ODFSA. b. Recertification. The applicable DOE intermediate force instructor recertification requirements must be met. Frequency of instructor recertification must occur according to current DOE requirements established by the NTC 11. ARMORERS. All FPF organizations must have (onsite, under contract offsite, or in association with another DOE element) an armorer with the knowledge, capability, and responsibility for inspecting, maintaining, and repairing all firearms available for use. The armorer and all other personnel are prohibited from modifying the basic design of a firearm or any of the firearm’s operating or safety components without specific written approval from the Chief Health, Safety and Security Officer or from the Associate Administrator for Defense Nuclear Security in coordination with the Chief Health, Safety

and Security Officer. DOE armorers must complete the DOE Armorer Certification requirements. Each armorer must successfully complete formal refresher training, where applicable, to maintain the minimum level of competency required for the successful performance of tasks associated with site/organization-specific armorer responsibilities. At a minimum, armorers must have a favorably adjudicated national agency check with local agency and credit check (NACLC) and participate in the HRP before receiving unescorted access to weapons used by protective forces which are in HRP. a. Certification. Armorer certification must be in accordance with DOE requirements. (1) The DOE armorer must successfully complete the DOE Armorer Certification Course, as approved by the Office of Health, Safety and Security. (2) The DOE armorer shall successfully complete a manufacturer’s armorer course for the specific weapons employed for site use, where available. (3) The DOE armorer must successfully complete a manufacturer’s or military armorer course for the specific weapons employed for site use when such courses are not delivered by the DOE NTC. b. Recertification. Armorer re-certification must be in accordance with DOE requirements to include the following: DOE O 473.3 Appendix A, Section B 6-27-11 A-15 (1) The DOE NTC must evaluate each armorer for competency and recertification at least once every 3 years. NOTE: Verification of compliance with this requirement must consist of observation of armorer performance during actual duties and/or by performance testing activities, and inspection of required armory firearms records and other applicable documentation. (2) The evaluation must consist of verification of armorer knowledge of all firearms in inventory and available for use on the site, in the following areas: (a) conducting firearms inspections; (b) performing required firearms repairs; (c) using written procedures and technical specifications; (d) updating firearms maintenance records; (e) maintaining firearms in a serviceably clean and good condition, free from unapproved modifications; (f) using proper tools necessary to perform required maintenance, repairs, and inspection duties; (g) using a proper tag out system for firearms in need of repair and properly segregating tagged out firearms; (h) adhering to separate storage requirements for live firearms and engagement simulation systems firearms; and (i) having armorer currency in factory requirements for the specific weapons systems available for use onsite. c. Refresher Training. Each armorer must successfully complete formal refresher training, where applicable, to maintain the minimum level of competency required for the successful performance of tasks associated with site specific armorer responsibilities. The type and intensity of training must be based on emerging and changing maintenance and repair technologies associated with site specific employed firearms and developed, when applicable, by the DOE NTC in conjunction with firearms factory guidelines. Refresher training may be conducted during the DOE NTC armorer recertification and/or factory armorer recertification process. 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 Appendix A, Section B DOE O 473.3 A-16 6-27-11

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 ODFSA. 13. NON-DOE TRAINING COURSES. Attendance by FPF personnel at non-DOE Government or private training courses must be approved by the ODFSA or designee. With the exception of those courses offered by the Federal Law Enforcement Training Center, attendance by FPF personnel at non-DOE Government or private training courses must be approved by the ODFSA or designee. DOE O 473.3 Appendix A, Section C 6-27-11 A-17 SECTION C. ADMINISTRATION 1. GENERAL FEDERAL PROTECTIVE FORCE (FPF) POSITIONS. FPF positions include both armed and unarmed positions for the purpose of protecting Department of Energy (DOE) assets including facilities, personnel, sensitive materials, and other property against threats identified in the DOE O 470.3B, Graded Security Protection (GSP) Policy. a. Federal Agents (FAs). Armed DOE FPF personnel designated as FAs under the authority of the Assistant Deputy Administrator for Secure Transportation must provide for the safe, secure, offsite domestic transportation of materials approved by the Assistant Deputy Administrator for Secure Transportation. b. Federal Officers (FOs). DOE Federal employees designated as FOs by the Chief Health, Safety and Security Officer or the ODFSA 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. c. Special Agents (SAs). Armed DOE Federal employees designated as SAs by the Chief Health, Safety and Security Officer possess firearms/arrest authority pursuant to section 161 k of the Atomic Energy Act, may be deputized by the U.S. Marshals Service. 2. EQUIPMENT. a. In accordance with the requirements identified in the approved Job Analysis (JA), FPFs 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. b. Equipment, specifically weapons and communications systems, must be tailored to effectively combat and defeat adversaries identified in the GSP and site/organization-specific threat guidance or as specified in the site security plan (SSP) under all environmental and tactical conditions. Equipment must be available in sufficient quantities and properly maintained to support the FPF mission. Armed FPFs must be equipped with and trained in the use of an intermediate force weapon. 3. FACILITIES. a. Suitable facilities to support applicable FPF activities must be provided and maintained based on mission-specific needs. b. Local, State, and Federal law enforcement agencies and Department of Defense/National Guard training facilities are acceptable alternatives to DOE- Appendix A, Section C DOE O 473.3 A-18 6-27-11 owned facilities as long as required DOE certifications and safety guidelines are maintained. c. A memorandum of understanding delineating such use must be completed by the ODFSA and approved by DOE line management. [See DOE O 440.1B, Worker Protection Program for DOE (Including the National Nuclear Security Administration) Federal Employees.] 4. SUPERVISORS. Supervisors must demonstrate familiarity with, and knowledge of, the responsibilities identified in the site/organization-specific JA and must show proficiency

in the skills and abilities necessary to perform required assigned job tasks. 5. INSTRUCTORS. Each instructor must possess the skills and knowledge necessary as required by approved standard operating procedures to instruct FPF personnel in the requirements for protecting S&S interests. Persons assigned as full-time staff FPF instructors must be qualified through prior experience or specialized courses for the material they instruct and receive organizational on-the-job familiarization with the duties performed by those they will instruct. All such training/ familiarization should 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 instruct assigned subjects. DOE O 473.3 Appendix A, Section D 6-27-11 A-19 SECTION D. FIREARMS TRAINING 1. REQUIREMENTS. Firearms training programs must be based on criteria established by the Department of Energy (DOE) as discussed in the following paragraphs. a. During firearms training, all personnel must have access to an instruction manual for each type of firearm with which they may be armed while on duty and must demonstrate both technical and practical knowledge of the contents of the manual governing the safe use of that firearm. b. Training records for personnel authorized to carry firearms must be available for review by appropriate safety and security personnel. c. All firearms training, qualification, practice and test firing activities must be conducted by personnel who are qualified in the principles of operation for the specific weapon system on which training is provided. d. Lesson plans for all firearms training must be available for review by appropriate safety and security personnel. Such lesson plans must incorporate safety in addition to other training objectives and task performance standards. The DOE National Training Center must provide training on how to develop the categorical information to be contained in typical lesson plans for training performed at DOE facilities. (1) Lesson plans must include a safety briefing for all participants and authorized observers. The briefing must be conducted by personnel experienced in performing exercises and knowledgeable about the firearms to be used. (2) Lesson plans must be written and include safety requirements for any course of fire. e. Standard Operating Procedures (SOPs). (1) All firearms training must be conducted in accordance with this Order and local SOPs developed in response to specific site/organizational needs and tactics as designated by the ODFSA. SOPs must include detailed procedures emphasizing the safety of participants, observers, and bystanders and the use of personal protective equipment (PPE). (2) All SOPs must be reviewed and approved by appropriate safety and Federal protective force (FPF) personnel at least annually (every 12 months) or more frequently if significant revisions are made in the training program. The ODFSA and safety personnel review and approve SOPs initially and whenever significant changes are made. Appendix A, Section D DOE O 473.3 A-20 6-27-11 f. The Four General Firearms Safety Rules. (1) All firearms are always loaded. (2) Never point a firearm at anything you are not willing to destroy. (3) Keep your finger off the trigger until your sights are on the target. (4) Be sure of your target.

g. Specific Range Safety Rules. (1) It is mandatory to use approved eye and ear protection and other PPE as required by the range safety officer. (2) Unsafe conditions must be reported immediately to an instructor. (3) A firearm may only be exchanged with another shooter under the direct supervision of an instructor. (4) Firearms must not be left unattended or unsecured. (5) Firearm loading and firing may commence only on command. (6) Shooters are not permitted to talk during a firing activity except in reply to an instructor as a part of the activity or to shout “cease fire” in an unsafe situation. (7) Until the firing line has been declared safe by the firearms instructor, shooters must not move past or bend over on the line. (8) All shooters must be trained on what constitutes an unsafe condition and to shout “cease fire” when such a condition is observed. (9) Smoking, eating, or drinking must be prohibited while shooting. (10) Alcoholic beverages and drugs are prohibited on firing ranges. Shooters taking medication must report this fact to the firearms instructor before reporting to the firing line. The firearms instructor is responsible for determining whether a shooter is fit to use the range. The determination will be based on the medication taken, the physical condition of the shooter, and/or whether other reasons exist to believe the shooter may be under the influence of alcohol or drugs. A physician may be consulted if necessary. (11) Shooters must take precautions to prevent hot spent cartridges and gunshot residues from getting inside their clothing. DOE O 473.3 Appendix A, Section D 6-27-11 A-21 (12) When a training session is completed, each firearm must be physically examined by the shooter and by a designated range safety officer or qualified firearms instructor to ensure that it is unloaded and in safe condition before leaving the range. If the shooter is using a duty firearm on the range, he or she may reload that weapon at the range if returning directly to duty. (13) Shooters must collect unexpended ammunition and return it to a firearms instructor. (14) While a firearm is being cleaned, live ammunition must not be allowed in the cleaning area. h. All firearms training and qualification activities require instructor-to-shooter ratios with no more shooters than: (1) One instructor to one shooter. (a) Any initial automatic firing (e.g., submachine gun, machine gun or rifle). (b) Any initial live fire training of the machine gun (e.g., M60, M249, M240). (c) Any initial explosive projectile (e.g., M79, M203, M72). (d) Any initial advanced course of fire with any firearm involving movement of the shooter other than straight down range or with a fan of fire greater than 10 degrees. (e) Any initial shoot on the move live fire training. (2) One instructor to no more than four shooters. (a) Special response force courses. (b) Re-qualification and tactical training requirements include: 1 automatic firing, 2 machine gun, 3 explosive projectile, 4 night fire in semiautomatic mode and handguns, and 5 initial training in semiautomatic mode and handguns. Appendix A, Section D DOE O 473.3 A-22 6-27-11 (3) One instructor to no more than five shooters. Advanced course of fire with any firearm involving movement of the shooter other than straight down range, or with a fan of fire greater than 15 degrees, or on an indoor range, whether daylight or simulated night fire,

one instructor to five shooters. (4) One instructor to no more than eight shooters. One instructor to eight shooters when firing in the semiautomatic mode (e.g., automatic rifle in semiautomatic mode, shotgun, semiautomatic rifle, and pistols). NOTE: Range-driven, specific risk analysis may require more instructors than those listed for live fire. (5) A range safety officer or an instructor with specific delineated responsibilities for range safety (e.g., to monitor the safety performance of the shooters as well as overall safety of the firing range) must be present during all firearms training and qualification activities. (a) When the instructor-to-shooter ratio requires only one instructor on the firing line, he or she must be assigned range safety responsibilities if approved by the range master/lead instructor/officer-in-charge (OIC). (b) When the instructor-to-shooter ratio requires two or more instructors on the firing line, a lead instructor must preside over the firing activities (i.e., “calling the line”) who will not be assigned additional instructional duties or be included in the instructor-to- shooter ratio, but may be assigned range safety responsibilities. To accomplish these activities, the lead instructor may be positioned either behind the firing line, in a booth, or in a tower, whichever location provides the greatest safety and control. i. All Federal organizations with employees using firearms in non-security-related activities must develop a program of firearms safety specific to those activities. The program must be approved by the ODFSA. Specific written procedures must be developed and approved for any activity not addressed elsewhere in this Order that involves the planned discharge of firearms, e.g., testing activities, competitive shooting matches, public hunting, or pest control. 2. BASIC TRAINING. a. Basic firearms safety training and demonstrated technical knowledge and practical proficiency is required before firearms are permitted to be carried on duty. Safety training must be conducted semiannually (at least every 6 months) at DOE O 473.3 Appendix A, Section D 6-27-11 A-23 which time safety proficiency must be demonstrated in order to retain weapon carrying status. b. Basic firearms training must be conducted at a site approved by the ODFSA. c. Basic firearms safety training must include the following: (1) general firearms safety orientation; (2) instructions on the capabilities of firearms and ammunition and their implications; and, where applicable, instructions on the hazards associated with the impact of bullets and other projectiles on nuclear explosives, nuclear weapons, explosives, and other possible items that could result in a significant release of energy or toxic substances; (3) firearms safety information for each type of firearm required by duty assignment; (4) practice with the unloaded firearm in the teaching environment; (5) range safety procedures and demonstration of safe firing techniques on the range; (6) dry-firing techniques and hazards associated with dry firing; (7) handling of misfires; (8) detailed procedures on clearing, handling of malfunctions, inspecting, cleaning, loading, unloading, and other specific tasks related to each firearm for which the student receives training, which may include instruction and practice in assembly/disassembly but must not include repair, modification, or replacement of parts;

(9) details of firearms accidents and how they could have been prevented; and (10) the Four General Firearms Safety Rules. 3. ADVANCED TRAINING. The firearms safety portions of advanced firearms training must follow the same rules as 2c above. 4. RANGE OPERATIONS AND PROCEDURES. a. Specific site range safety rules and regulations must be developed and implemented by the organization designated to be responsible for operating a live fire range. Such rules and regulations must be formal, provide a disciplined approach to range operations, and include rules and regulations on pre- and post firing range activities. Appendix A, Section D DOE O 473.3 A-24 6-27-11 b. A risk analysis or a Safety Analysis Report must be prepared for the facilities and the operations of each live fire range. The report must be reviewed and approved by safety personnel and the ODFSA. c. Range safety rules must be conspicuously posted at the entrance to each DOE controlled live fire range or range complex. d. Before firing commences, a safety briefing for all participants must be conducted that will include the basic range safety rules, the capabilities of the firearms to be used, and the safe operating procedures for the course of fire to be undertaken. e. Dry-fire practice must be conducted only in an approved area under the direct supervision of a firearms instructor. f. A scarlet streamer must be prominently displayed at outdoor DOE live fire ranges at all times during daylight firing. The streamer must be replaced with a blinking or pulsating red light for night firing. These day and night range warning indicators must be visible to aircraft. Where live fire operations may affect routine aircraft operations directly, the appropriate aviation control center must be notified. g. If professional medical personnel are not readily available, firearms instructors must be trained and currently qualified in cardiopulmonary resuscitation (CPR)/first aid. CPR/first aid training must be conducted by instructors certified by the American Red Cross or the American Heart Association. Specific training on the handling of gunshot wounds must be provided. h. Medical equipment must be available at a live fire range as determined by the cognizant site physician or other authorized personnel. i. An approved plan must be in place for handling, treating, and evacuating injured personnel through the use of an air ambulance or on-scene wheeled ambulance. Emergency response drills must be carried out annually (at least every 12 months) to test personnel preparedness in implementing the plan. j. Airborne lead monitoring must be conducted at all firing ranges in compliance with Occupational Safety and Health Administration lead standard, 29 CFR Part 1910.1025. The medical surveillance provisions of the lead standard must be established and implemented when measurements indicate that employees are, or may be, exposed to airborne lead concentrations that exceed the action level. k. Any employee involved in regular firearms training (e.g., instructors) must be entered into a hearing conservation program (see 29 CFR Part 1910.95). l. A communications system with backup (e.g., telephone and/or two-way radio) must be available at each live fire range. DOE O 473.3 Appendix A, Section D 6-27-11 A-25 m. Live fire ranges must be equipped with sufficient lighting to ensure safe nighttime firing exercises.

n. Written and approved procedures for handling duds and misfires must be provided at all live fire ranges. 5. LIVE-FIRE SHOOT HOUSE (LFSH) OPERATIONS. a. Responsibilities. (1) Range Master. The range master is responsible for the safe operation and coordination of maintenance for the live fire shoot house (LFSH) operations and all activities at the live fire range. (2) Range Safety Officer. The safety officer is specifically responsible for safety during LFSH operations. (3) Lead Instructor/Range Master/OIC. The lead instructor/range master/OIC is responsible for the overall conduct of a specific course and must: (a) meet the requirements to support training and to include targets, ammunition, medical support, support equipment, classrooms, and training aids; (b) ensure all participants are qualified to engage in LFSH activities; (c) ensure the required instructor-to-shooter ratio is met; (d) ensure everyone in the LFSH and on the elevated observation control platform (EOCP) during a live fire exercise is wearing appropriate PPE; (e) ensure all participants have received a safety briefing; and (f) delegate and assign responsibilities to other instructors. (4) Instructor. All activities conducted within the LFSH, whether live- or dry- fire, will be under the direct supervision of a qualified instructor who will: (a) position targets and bullet traps to prevent an errant round from crossing the path of another shooter’s movement within the target room; (b) blow the “stop” whistle and/or announce “CEASE FIRE” in the event of any observed safety violation; (c) observe the loading and unloading of weapons; Appendix A, Section D DOE O 473.3 A-26 6-27-11 (d) clear the LFSH of personnel before the exercise begins; (e) conduct demonstrations for students as appropriate; (f) ensure there is no debris, pooled water, or ice on the floor; and (g) supervise and control the issue, deployment, and disposal of all ammunition and diversionary devices used during training exercises. (5) Shooters. A shooter is any training participant who enters the LFSH as a member of the entry team regardless of whether the individual’s weapon is loaded or unloaded. They must follow the directions of the instructors at all times. (6) Observers. Observers must follow the established safety rules. b. Operations. (1) LFSH Safety Briefing. Shooters must receive a safety briefing before participating in training. The briefing must include: (a) the Four General Safety Rules; (b) specific range safety rules; (c) instructions to keep the weapon at the low ready unless engaging a target; (d) instructions to de-cock or safe the firearm as soon as offensive actions have stopped, or anytime the shooter plans to move a significant distance; (e) instructions to await further commands from the instructor when an operation has ended; (f) the fact that every participant is a safety officer; (g) instruction that when a whistle blast is heard and/or a verbal command of “CEASE FIRE” is given, the shooter is to freeze and keep the trigger finger straight along the frame of the weapon; (h) direction that weapons handling and muzzle discipline must be enforced; (i) information that a round that does not impact a bullet trap is a safety violation; DOE O 473.3 Appendix A, Section D 6-27-11 A-27 (j) direction that the 1-meter rule must be enforced (i.e., A ROUND MUST NOT BE DISCHARGED if the shooter is within 1 meter of

the target or if the line of fire would pass within 1 meter of another shooter); (k) instruction not to shoot unless the shooter is certain that a shot is safe; (l) instruction that a shooter should not turn back after turning in the wrong direction (i.e., the shooter is committed to the new area of responsibility); (m) direction that the shooter should not exceed the area of responsibility; (n) instructions to exercise fire discipline using the fewest number of rounds to solve the problem; and (o) instructions to take appropriate action in the event of a malfunction. (2) Safety Violations. Shooters must adhere to established safety policies and procedures at all times. (a) Shooters will be evaluated to determine causal factors for all safety violations. (b) Shooters must be removed from training activities if safety policies or procedures are disregarded. (c) Shooters identified as repeat violators of safety policies must be removed from training and placed in remedial training. (3) Qualification Requirements. (a) Before conducting training within the LFSH, instructors must have successfully completed DOE Office of Health, Safety and Security-approved LFSH instructor course requirements and completed 40 hours of assistant instructor duties within an LFSH. (b) Additional requirements include annual (within a 12 month period) completion of 20 hours of live fire operations within the LFSH and semiannual completion (at least once every 6 months) of both the LFSH qualification test and the DOE Shooting-on-the-Move Qualification Course for pistol and submachine gun/rifle, with a minimum score of 90 percent on each. Appendix A, Section D DOE O 473.3 A-28 6-27-11 (c) For non-DOE users, a lead instructor from the user agency must be designated before that agency uses a DOE LFSH. All instructor qualifications must be reviewed and approved by the ODFSA with oversight of LFSH operations. (d) Prospective shooters in LFSH exercises must demonstrate proficient marksmanship skills of at least 90 percent accuracy on the respective DOE shooting-on-the-move qualification course of fire. (4) Instructor-to-Shooter Ratio. The instructor-to-shooter ratio is one instructor to four shooters plus a lead instructor/safety officer. (5) Instructor Locations. Instructors must be positioned to observe shooters’ actions at all times. (6) Weapons Allowed. Only weapons for which an LFSH has been certified may be used. (7) Ammunition Allowed. Only ammunition approved for use by DOE may be used within the LFSH. c. Targets and Bullet Traps. Various types of targets may be used in the LFSH. Target placement must meet the requirements of this section. If a target or target system fails these requirements, that particular target may not be used in the LFSH. Targets will be placed on bullet traps so the maximum effective area of the trap will be used to contain rounds; thus, no rounds will penetrate the construction joints on that trap. (1) Three-Dimensional Targets. Three-dimensional targets may be used. Firing angles must be verified by the lead instructor to ensure rounds are contained within approved bullet traps or backstops. (2) Bullet Traps. Bullet traps must be approved before use within the LFSH. Any bullet trap that appears to be in need of repair will not be used during live fire training. Bullet traps must be angled at least 7º from vertical to the potential shooting position and positioned so that a shooter cannot

engage a target at less than a 60º horizontal angle. Blinders, obstructions, or other means may be used to obtain this angle limitation. Bullet traps and targets will not be positioned to allow a shooter to fire outside LFSH limitations. d. Diversionary Devices. (1) Shooters must wear fire-resistant gloves during diversionary device deployment. DOE O 473.3 Appendix A, Section D 6-27-11 A-29 (2) Full-charge diversionary devices must not be deployed into occupied rooms except under controlled training conditions with an approved safety analysis. (3) Sub-charge, flash-sound diversionary devices may be deployed into occupied areas or rooms with the approval of the appropriate safety organization. (4) Instructions on the approved procedures for the safe handling of dud diversionary devices will be provided to all participants and will be followed at all times. e. Reduced Lighting Operations. For reduced lighting operations ensure that: (1) the LFSH lighting system is operational; (2) the shooters’ lighting systems are operational; (3) chemical light sticks or other effective means are available for identification of both shooters and instructors. Chemical lights for instructors must be a different color from those worn by shooters so that instructors may be easily identified; and (4) the assault is practiced during lighted conditions before conducting the assault under no- or low-light conditions. f. Elevated Observation Control Platform (EOCP). All DOE owned LFSHs must be equipped with an EOCP to maintain positive observation of live fire activities. g. Personal Protective Equipment (PPE). All personnel using an LFSH must adhere to risk controls identified in LFSH training course risk analyses, to include PPE requirements. h. Weapons Loading and Unloading. Weapons loading and unloading must be done under the supervision of a firearms instructor at a specially designated area in the vicinity of the LFSH. 6. GENERAL INSTRUCTIONS FOR FIREARMS QUALIFICATION. The following general instructions must be followed during firearms qualification courses. a. Shooters must maintain silence on the line so they can hear and interpret range commands. b. All range commands or questions to the line must be issued by the lead instructor. c. Shooters must not move off the line or pick up any equipment or brass until the line is declared safe and the line is told to act by the lead instructor. Appendix A, Section D DOE O 473.3 A-30 6-27-11 d. Shooters on the line must commence firing on command only. Shooters must cease fire immediately when commanded to do so. e. A shooter on the line holding a firearm must always maintain the muzzle pointed downrange or in a depressed low ready position as directed by the lead instructor. f. Shooters must fire all rounds at the center of mass of the target presented to them, unless otherwise directed. g. Shooters must always wear approved sight and hearing protection. h. Shooters may touch the trigger only when the sights of the firearm are aligned with the target. Until then, the shooters must keep their trigger fingers extended straight alongside the receiver or frame. i. Shooters must not attempt to catch brass or to eject brass into collection containers. j. Shooters must reload using issued equipment in a duty/mission configuration. k. The lead instructor must ensure the firing line is clear of debris (e.g., magazines,

brass, and ammunition boxes) and equipment to prevent injury to shooters moving from one position or distance to another. l. If a shooter experiences a malfunction during a course, he or she must attempt to clear the malfunction using proper clearing methods. If the shooter properly clears the malfunction and the threat remains, the shooter will complete the course of fire. If the threat is no longer visible, an alibi is provided. m. If a shooter experiences a malfunction during a course and does not attempt to clear that malfunction using proper clearing methods, an alibi will not be provided. n. Shooters with an alibi must be allowed to complete a string. o. Adjustable sights on all non-individually assigned firearms must be set in a standard manner so all shooters know the point of impact and can make aiming adjustments quickly and consistently to permit accurate initial fire. p. The lead instructor may authorize firearms or magazines to be fully loaded, unless otherwise specified, for all stages/strings; however, the shooter must clear the chamber between stages when the next stage begins at a half load. q. Shooters using a firearm equipped with a selector lever must ensure that it is returned to the safe position after every string unless otherwise directed by the lead instructor. DOE O 473.3 Appendix A, Section D 6-27-11 A-31 r. Shooters must place a shoulder-fired firearm to the shoulder and align the sights with the target for every string unless the stage specifies another position (e.g., the low ready). s. When required, shooters must use only approved flashlights with a pressure switch that turns the flashlight on when pressed and off when released. t. When firing for qualification, FPF, according to the applicable job analysis, must wear all equipment required by this Order and site/organization-specific requirements for duty and tactical responses. Appendix A, Section D DOE O 473.3 A-32 6-27-11 This page intentionally left blank. DOE O 473.3 Appendix A, Section E 6-27-11 A-33 SECTION E. FIREARMS QUALIFICATIONS 1. SCOPE. a. Firearms qualification courses described in the DOE-approved firearms qualification courses are approved by the Chief Health, Safety and Security Officer for firearms qualification and requalification to ensure that FPF personnel are uniformly qualified with the firearms they are authorized to carry. The courses evaluate basic shooting skills with various authorized firearms. Site/organization-specific conditions and the deployment of firearms may justify requirements for developing and implementing supplementary special firearms training and qualification courses (e.g., aerial firing platforms, executive protection, and vehicle mounted firearms). All firearms courses must be conducted in accordance with DOE O 440.1B, Worker Protection Program for DOE (Including the National Nuclear Security Administration) Federal Employees, and this Section. b. FPF personnel will achieve high standards of marksmanship and proficiency in related shooting skills to successfully complete the firearms qualification courses. Periodic training must supplement all approved courses. Shooting skills are enhanced by training and testing knowledge, skills, and abilities, as appropriate (e.g., firearms manipulation; target discrimination; the engagement of moving, multiple, and reactive targets; and shooting under stress). The firearms

qualification courses located on the Health, Safety and Security (HSS) website or those developed by the Federal Law Enforcement Training Center (FLETC) may be used for training and must be used to determine whether FPF personnel are qualified to be armed with a particular firearm. All firearms qualification courses must be conducted by firearms instructors certified by DOE or FLETC for instruction in the various firearms used during the specific courses. 2. REQUIREMENTS. Armed FPF personnel must qualify semi-annually (at least every 6 months) with assigned firearms on the applicable DOE firearms qualification courses located on the HSS website at www.hss.energy.gov. a. Federal Officers/Federal Agents/Special Agents (FO/FA/SAs). (1) FO/FA/SAs assigned a handgun must, at a minimum, fire the Day and Reduced Lighting Handgun Qualification courses. (2) FO/FA/SAs assigned a handgun and rifle must, at a minimum, fire the Day and Reduced Lighting Handgun and Rifle Qualification courses. (3) FO/FA/SAs assigned a handgun and rifle/submachine gun (SMG) must, at a minimum, fire the Day Combined Handgun and Day Combined SMG/Rifle Qualification courses, the Reduced Lighting, Handgun and SMG/Rifle Reduced Lighting Qualification courses. FO/FAs so armed http://www.hss.energy.gov/ Appendix A, Section E DOE O 473.3 A-34 6-27-11 must fire a DOE-approved live fire shoot house (LFSH) Skills Test Qualification course. (4) FO/FA/SAs assigned a handgun, rifle, and precision rifle who are members of a special response force must, at a minimum, fire the courses listed in paragraph 2a(3) above, and the Day and Reduced Lighting Precision Rifle Qualification courses. b. Substitution of Practical Shooting Courses. Organizations may be authorized to substitute selected practical shooting courses from the approved courses of fire to be fired for qualification during one of the semi-annual (at least every 6 months) qualifications periods in lieu of the standard, applicable firearms qualification courses. c. Other Qualification Courses. Organizations should use the various other DOE approved courses for firearms maintenance, refresher, and proficiency training. 3. REMEDIAL FIREARMS QUALIFICATION COURSE. The Remedial Firearms Qualification Course is designed to assist FPF personnel who fail to qualify in a particular firearms qualification course. The course is scheduled as needed, includes daylight and reduced lighting range conditions, and is administered by DOE or FLETC certified firearms instructors. Firearms instructors review available firearms qualification documentation and focus instruction on previously identified problem areas for individual shooters while reinforcing the principles of marksmanship, firearms manipulation, and safety in accordance with approved instruction plans for FPF personnel. The applicable firearms qualification course must be conducted in accordance with the DOE or FLETC firearms qualification courses. It must be preceded by the announcement, “This is a qualifying run for score.” 4. REVIEW. The firearms qualification courses must be reviewed annually (at least every 12 months) by the DOE Firearms Policy Panel, which may recommend changes, as required. These recommendations will then be forwarded to the training managers working group and Training Advisory Committee for review and concurrence before entering the validation and approval stages. (See Chapter II of the Protective Force

Firearms Qualification Courses document located on the HSS website.) DOE cognizant security offices are encouraged to forward written recommendations for changes or comments, with sufficient detail for consideration, to the Office of Security. Non DOE developed courses (e.g., FLETC) must be reviewed and validated by the ODFSA, or as delegated to line management, as still applicable to the Federal PF mission. 5. VALIDATION PROCESS. Sites will be offered the opportunity to participate under the oversight of the DOE in the validation of courses of fire (COF) that have been modified or newly developed. For purposes of validation, draft courses can be used in lieu of the current DOE-approved COF that are to be replaced. FPF personnel who complete the new courses successfully will be considered qualified as if they had completed the standard DOE COF. Officers who do not successfully complete the new COF will not be penalized and will be given the opportunity to qualify using the current approved DOE DOE O 473.3 Appendix A, Section E 6-27-11 A-35 standard COF. Resultant modifications will be made and a phase-in period for approved COF of one year (two semiannual requalification cycles) will be prescribed to permit sufficient opportunity for training to the new course. Appendix A, Section E DOE O 473.3 A-36 6-27-11 This page intentionally left blank. DOE O 473.3 Appendix A, Section F 6-27-11 A-37 SECTION F. FIREARMS OPERATIONS 1. BASIC CONSIDERATIONS. a. General. (1) DOE weapons, ammunition, and pyrotechnics are the property of the United States Government and, as such, their use is restricted to the performance of official duties. (2) Specific site/organizational policies and procedures covering the safe transportation, handling, use and storage of live ammunition, blank ammunition, chemical munitions and pyrotechnic devices used in firearms operations must be developed. In accordance with DOE O 414.1C, Quality Assurance, these procedures must address identification of Suspect/Counterfeit Items. (3) Each ODFSA must require that analyses be performed to determine what ammunition and firearms can be used safely. (4) All personnel covered by this Order must be required to comply with the personal protective equipment (PPE) and safety rules in effect at each workplace. (5) Duty firearms must be in serviceable condition at all times. Semiautomatic pistols must be carried with a round in the chamber. Other duty and auxiliary firearms configurations (loaded or unloaded) must be as specified by the ODFSA. b. Post and Patrol Activities. (1) Routine loading or clearing of firearms must take place only in an approved area or when the barrel of the firearm is in or pointing toward a bullet containment device. Loading and clearing of firearms under field conditions or where a bullet containment device is not available shall be performed with the firearm pointed in a safe direction according to approved procedures which address the safety of the principal, fellow agents, and bystanders. (2) Routine loading and clearing of all firearms must be witnessed by a supervisor or a designated DOE-certified firearms instructor. (3) If the presence of alcohol or drugs is detected on a person, or there is reason to believe the person is under the influence of alcohol or drugs, he or she must be denied the issuance of a firearm and/or disarmed and removed from duty. Appendix A, Section F DOE O 473.3

A-38 6-27-11 (4) All duty firearms must be carried in the manner approved by the ODFSA. Unless otherwise stated in local procedures, from check-in to check-out a handgun must be holstered, and a rifle, shotgun, or submachine gun must be carried on an appropriate sling with the muzzle pointed up or down, except where the firearm is designed to be carried in a different manner or operational conditions dictate otherwise. Firearms must not be carried with a finger on the trigger or inside the trigger guard. (5) When firearms are transported in vehicles, watercraft, or aircraft and are not carried by an individual, they must be mounted in an appropriate rack or container with the firing chamber empty. During normal operations, long guns (e.g., rifles, shotguns, submachine guns) must not be carried with a round in the firing chamber. Long guns must never be placed in post or vehicle racks or carriers with a round in the firing chamber. c. Firearms, Ammunition, Pyrotechnics, and Explosives. Firearms, ammunition, pyrotechnics, and explosives must be available in sufficient quantity to permit Federal protective forces (FPF) to act according to response plans. Firearms, ammunition, pyrotechnics, and explosives must be of a type suitable for the intended use, deployed in a manner commensurate with that use, and controlled in a manner consistent with DOE M 440.1-1A, DOE Explosives Safety Manual. The firearms, ammunition, pyrotechnics, and explosives used must pose the minimum danger to personnel and facilities commensurate with success of the FPF mission. Firearms, ammunition, pyrotechnics, and explosives must be carried and transported safely and securely. Any discharge of a firearm for other than training purposes must be reported (see DOE O 470.4B Safeguards and Security Program). d. Sights. All unassigned firearms with adjustable sights must have the sights set in a manner to ensure that FPF personnel who may use these firearms know the point of impact and can make point-of-aim adjustments quickly and consistently to permit accurate initial fire. Sight adjustment and bullet impact must be verified semiannually (at least every 6 months) by live fire or through the use of a sighting device that simulates bullet impact. e. Spare Firearms. FPF management must demonstrate that there are sufficient spare firearms of each type deployed to satisfy all contingency/response plans and training requirements. f. FPF Firearms, Ammunition, and Explosives. Firearms, ammunition, and explosives used by FPF must be based on consideration of DOE O 470.3B, Graded Security Protection (GSP) Policy, assigned missions, the site security plan (SSP), and vulnerability assessment (VA) and must be approved by the ODFSA. Use of explosives is addressed in DOE M 440.1-1A, DOE Explosives Safety Manual. DOE O 473.3 Appendix A, Section F 6-27-11 A-39 g. Firearms Trigger Safety Locks. Any firearm transported or shipped offsite (e.g., by Federal Express, in baggage to be checked, etc.) must be locked with a trigger safety lock or placed in a locked container. Firearms shipped by bulk must be secured in a locked or banded container. Firearms that cannot fire live ammunition [e.g., engagement simulation systems (ESS) including dedicated blank-fire, multiple integrated laser engagement system (MILES), airsoft, and dye-marking cartridge (DMC) firearms] are not required to be locked individually

with a trigger safety but must be secured in a locked or banded container. h. Firearms Modifications. Modifications to firearms must be conducted by a DOE certified armorer. (1) Written approval must be requested and received from the ODFSA before a DOE firearm (live fire or ESS firearm) may be modified. Modifications of the DOE Firearms Modification List (FML), as approved by the Office of Security, may be made after the ODFSA has granted approval. The current DOE-approved FML is maintained by the Office of Security and located on the Health, Safety and Security (HSS) website, www.hss.energy.gov. (2) Requests for modifications not on the FML must be submitted in writing to the Office of Security with the following: (a) a general description of the modification; (b) the purpose/objective of the modification; (c) a detailed, step-by-step description of the process used to make the modification, with mechanical and/or illustrative drawings; (d) a description of the post-modification testing to be conducted; and (e) the number of firearms to be modified. (3) The request will be forwarded to the NTC for review by its armorer section. The NTC will provide written comments and/or a recommendation to the Office of Security and the ODFSA. (4) Upon review and concurrence, based on the NTC’s recommendation, the modification may be approved by the ODFSA. Once approved, the modification must be submitted to the Office of Security for inclusion on the FML. (5) ESS Firearms Modifications. (a) Dedicated ESS firearms must not be reactivated for live fire usage without the approval of the ODFSA. http://www.hss.energy.gov/ Appendix A, Section F DOE O 473.3 A-40 6-27-11 (b) If a factory “drop-in” kit is used to modify a firearm to use DMC, a DOE-certified armorer specifically trained in the installation of such a kit must conduct the modification. (c) Proposed modifications of ESS firearms to change their function in any way or to enhance their safety must be submitted to the Office of Security for approval through the ODFSA. The provisions of paragraph 1h(2) above, apply. 1 Weapons with modifications that have not been approved in writing by the Office of Security will not be issued for use. 2 The current list of approved ESS firearms and modifications is provided on the HSS website. (d) ESS firearm modifications include any changes made to a firearm system, magazine, clip, feeding assembly, or blank-fire adaptor. 2. AUTHORIZED FIREARMS. Commonality of firearms enhances the efficiency of standard and centralized training and enables inter-site assistance in the event of a security incident or other situation requiring supplemental or replacement forces. a. The following weapons constitute DOE-authorized firearm systems: (1) handgun: semi-automatic, 9mm or greater, (2) duty rifle: M-16 family of rifles and variants, 5.56mm or greater, (3) shotgun: 12 gauge, (4) precision rifle: 7.62mm or greater, (5) 40mm grenade launcher: Military Models M79, M203 and variants; and multiple grenade launchers, (6) belt-fed machine guns: 5.56mm or greater, and (7) submachine gun: 5.7 x 28mm or greater. b. Because multiple agencies and contracts are involved in a centralized procurement, where possible, the Office of Health, Safety and Security will coordinate the acquisition of weapons. Existing procurement contracts and

Federal interagency support agreements will be used. Otherwise, the cognizant DOE authority for security is responsible for coordinating the procurement of site weapons. DOE O 473.3 Appendix A, Section F 6-27-11 A-41 (1) Replacement of current inventories with authorized weapons is intended to occur as firearms become due for replacement. (2) The authorized list provides needed firearms capability for the majority of Departmental missions within site/organization-specific conditions; however, operational, safety, or other requirements may dictate the need for an alternative firearm. (3) Deviations from, or additions to, this list must be approved by the Office of Health, Safety and Security, or the Associate Administrator for Defense Nuclear Security, as applicable. If unable to obtain any needed firearms through interagency agreements pursuant to the Economy Act, DOE will comply with the requirements of the Federal Acquisition Regulation, Subpart 6.3. 3. STORAGE OF FIREARMS, AMMUNITION, PYROTECHNICS, AND EXPLOSIVES. Firearms, ammunition, pyrotechnics, and explosives must be stored safely and under the direct control of a Law Enforcement Agency (LEA), contractor or FPF personnel, or controlled within established security areas. Alternatively, they may be stored in a vault- type room if an intrusion detection system is installed to detect penetration and the alarm response capability is such that unauthorized removal is unlikely. a. Bulk Storage. Bulk quantities of ammunition, pyrotechnics, or explosives that are not used routinely and/or are stored for long periods of time must be stored in facilities that meet design criteria specified in DOE M 440.1-1A, DOE Explosives Safety Manual. These storage facilities must be located within a designated security area. b. Storage Containers. Firearms, ammunition, pyrotechnics, and explosives must be stored in General Services Administration-approved storage containers, which include Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) Type II that are bolted or otherwise secured to the structure or under alarm coverage. Where the weight of the storage container would deter its removal, the requirement to bolt or secure it does not apply. Firearms not in such containers or under alarm coverage must be locked in racks, chained, or cabled to prevent unauthorized removal. Racks securing unattended firearms that are not under alarm coverage must be designed to inhibit removal via partial disassembly of the firearm. c. Storage of Ammunition. Applicable requirements for the storage of commonly used FPF munitions can be found in DOE M 440.1-1A, DOE Explosives Safety Manual, and in Department of Defense (DoD) 6055.9-STD, DoD Ammunition and Explosives Safety Standards. (1) Storage Structures. Refer to DOE M 440.1-1A, DOE Explosives Safety Manual, for guidance on design of structures for storing munitions. Appendix A, Section F DOE O 473.3 A-42 6-27-11 (2) Hazard Class and Hazard Division. For the purpose of placarding, the United Nations Organization or the National Fire Protection Association hazard classification systems must be used. (3) Storage of Small Arms Ammunition. Articles in Hazard Class/Division 1.4 and Storage Compatibility Group S are considered as inert for storage purposes and require only appropriate fire protection distance separation as long as they are stored only with inert items or other 1.4 S items. This

applies only if the Hazard Class/Division 1.4 and Storage Compatibility Group S articles remain in their original packaging containers. When stored with items in a Storage Compatibility Group other than S, normal quantity distance requirements must be observed (see DOE M 440.1-1A, DOE Explosives Safety Manual). Live ammunition and ESS-related ammunition (e.g., blank fire, DMC, dummy rounds, etc.) must be stored separately in areas other than ammunition warehouses where bulk supplies of ammunition are stored in unopened original packaging. Separate storage could be placing live and ESS ammunition in separate, secured storage containers in the same location or storing them in separate locations. d. Firearms Storage. (1) Firearms not identified for duty or contingency use and having a valid justification for retention must be stored in a manner that will prevent deterioration due to environmental conditions. (2) Weapons taken offsite in the performance of assigned duties are considered in-use. Interim protection strategies must be employed to prevent theft or loss of the firearms. (3) Dedicated ESS firearms must be stored separately from live firearms. Separate storage may be attained by placing live firearms and ESS firearms in separate, secured storage in the same location or storing them in separate locations to prevent inadvertent issue of the wrong weapon type. e. Approved Ammunition. (1) FPF management is responsible for developing, updating, and maintaining a list of approved ammunition and diversionary pyrotechnics that conform to SSP requirements. This list must specify the caliber, bullet type and weight, and manufacturer of the ammunition. (2) Ammunition used for duty, live fire training and qualification, ESS training, and other non-lethal training must be of high quality and factory new. Reloaded, reprocessed, or military surplus ammunition must not be used. Ammunition must not be unboxed and placed in bulk containers. DOE O 473.3 Appendix A, Section F 6-27-11 A-43 f. On-Post Firearms, Ammunition, Pyrotechnics, and Explosives. Auxiliary firearms, ammunition, pyrotechnics, and explosives that are maintained at posts for use during response to security incidents must be under the direct control of, and readily accessible to, on-duty FPF personnel. Firearms, ammunition, pyrotechnics, and explosives must be secured in such a manner that they are inaccessible to, and cannot be removed by, persons passing through, by, or in the post. g. Pre-positioned Pyrotechnics and Explosives. In support of FPF response plans and strategies, limited quantities of pyrotechnics and explosives may be pre positioned at approved locations (e.g., FPF posts, response vehicles, etc.). Pre positioned pyrotechnics and explosives must be kept in their original containers unless operational and response requirements dictate otherwise. These pyrotechnics and explosives must be readily accessible to authorized FPF personnel and secured in such a manner that they are inaccessible to, and cannot be removed by, persons passing through, by, or in the post. FPF personnel charged with the responsibility of employing and overseeing the storage of pyrotechnics and explosives must be trained in their use and storage (see DOE M 440.1-1A, DOE Explosives Safety Manual). 4. SAFE TRANSPORTATION AND HANDLING OF MUNITIONS. a. Transportation of Munitions. (1) Except where exempt by Federal Regulation, transportation of munitions

on public highways is governed by Department of Transportation (DOT) regulations (49 CFR Part 173, Shippers–General Requirements for Shipments and Packaging). For transportation purposes only, munitions must be given DOT hazard class designations. (2) Transportation of munitions onsite must be performed commensurate with the requirements contained in Chapter II, Section 16, of DOE M 440.1- 1A, DOE Explosives Safety Manual. Munitions not in their original DOT containers must be transported in containers specified in Chapter II, paragraph 17.5 of the above Manual. (3) Transportation of Munitions in FPF Vehicles. (a) FPF duty vehicles are authorized to transport the quantity of munitions needed to support approved contingency plans and to execute FPF duties. (b) Whenever possible, support munitions required for defense against hostile forces should be pre-positioned in readily accessible magazines. Appendix A, Section F DOE O 473.3 A-44 6-27-11 (c) FPF vehicles loaded with a combination of up to 25 pounds net explosive weight of Hazard Class/Division 1.1 and 1.2 munitions are exempt from explosives quantity-distance requirements when executing approved contingency plans or FPF duties. 1 Vehicles so loaded must not be used for administrative purposes. 2 Vehicles so loaded must be separated from inhabited facilities and property lines by a minimum of 125 feet when temporarily out of FPF service. 3 Vehicles so loaded must be downloaded into properly sited magazines or approved facilities when parked for periods in excess of one FPF shift. (d) Except for the Office of Secure Transportation (OST), operation of explosives-loaded vehicles will be restricted to onsite locations unless involved in a pursuit role. (e) The explosives must be secured within the vehicle to prevent movement and to preclude unauthorized removal. (f) These vehicles must be downloaded into properly sited magazines or approved facilities before repair or maintenance. (g) Munitions in the vehicle must not be exposed to temperatures that exceed the criteria stated on the material safety data sheet or manufacturer’s recommendation. Appropriate safety precautions will be taken to ensure munitions are not exposed to extreme temperatures. (4) FPF personnel may be allowed to carry on their person Hazard Class/Division 1.1 and 1.2 munitions issued to them for use in the execution of approved contingency plans without regard to explosives quantity distance requirements. (5) FPF personnel and Federal training staff may be allowed to carry hazard Class/Division 1.1 a- 1.4 on their person or secured in a training vehicle (including government leased) in the conduct of training operations. b. Handling of Munitions. (1) Munitions must be protected from abnormal stimuli or environments such as impact, shock, high temperatures, or open flames. (2) Smoking must be prohibited when handling, transporting, or storing munitions. Matches, lighters, other fire-, flame-, or spark-producing DOE O 473.3 Appendix A, Section F 6-27-11 A-45 devices must not be taken into a munitions storage area; appropriate signs or markings must be posted at such areas. 5. FIREARMS AND AMMUNITION MAINTENANCE/INSPECTION. Firearms available for duty or contingency operations must be inspected by a DOE-certified armorer before initial use and at least every 6 months thereafter to determine serviceability. For the purpose of this requirement, duty firearms are those weapons

which are used for training, available for duty issuance, individually assigned, or are post assigned. Firearms must be cleaned and maintained in a manner that meets or exceeds the manufacturer’s recommendations. a. Authorization. An armorer certified by the NTC is the only individual authorized to perform the following firearms activities: (1) semiannual (at least every 6 months) inspections, (2) any firearms repair, (3) any firearms modification or component alteration, and (4) any disassembly beyond the manufacturer’s recommended “field strip” for cleaning purposes. b. Inspection Criteria. (1) All firearms must be inspected semiannually (at least every 6 months) by a DOE-certified armorer. Inspections must consist of a detailed disassembly of the firearm’s components. The armorer must inspect the components for excessive wear, cracks, or breaks. In addition, the armorer must ensure the firearm meets all manufacturing tolerances relevant to the maintenance of that firearm, guaranteeing safe and reliable firearm function. A bench function check will not constitute an inspection. (2) The armorer must inspect and conduct test firings of a firearm following any unusual operation of, occurrence with, or functional repairs made to that firearm. Functional repairs are those that affect the safe operation or reliability of the firearm. Any firearm that has experienced an unusual operation must be tagged “out-of-service” and segregated from operational firearms until certified by the armorers as safe to operate. For the purposes of this requirement, operational firearms are functional weapons available for duty or contingency operations. (3) The armorer must maintain accurate individual records for all firearms including manufacturer, model type or number, serial number, inspection dates, and the nature and date of any repair or modification. Records of any unusual occurrence and subsequent inspection/test firing must be maintained in accordance with prescribed authorized schedules. Appendix A, Section F DOE O 473.3 A-46 6-27-11 (4) For safe operations, the minimum trigger pull for firearms must not be less than the requirement specified by the manufacturer. (5) Stored firearms must be inspected before being returned to active inventory. (6) Duty ammunition must be exchanged for fresh ammunition annually (at least every 12 months) except where impractical due to prohibitive costs for replacement ammunition (e.g., 40mm and armor piercing rounds). Duty ammunition is that which is loaded in a weapon or magazine. c. Test Firing. (1) The armorer must coordinate test firing of any firearm following unusual operations or occurrences. (2) All firearms must be test-fired following the repair or replacement of components listed in the DOE Armorers’ Technical Guide that involve the functioning of the weapon. The need for test firing of firearms following other repairs must be according to local site standard operating procedures or left to the discretion of the armorer. d. ESS Weapons. (1) Armorers working on ESS weapon systems must familiarize themselves with all DOE documentation that deals with deploying the weapons. They must also know their site’s specific rules pertaining to ESS weapon use. (2) Armorers who work on ESS firearm systems must learn the various modifications on these firearms through DOE NTC on-the-job training, training provided through the Armorers Policy Panel, or both.

(3) Only DOE-certified armorers may install DMC dye-marking conversion kits. (a) Dye-marking conversion kits must be installed and maintained according to the manufacturer’s instructions. (b) Before use, the armorer must ensure that the conversion kit is properly installed, the bore is free from fouling, and the components are in good working order. 6. PYROTECHNICS AND EXPLOSIVES INSPECTION. Pyrotechnics, explosives, and any associated equipment available for use during routine or contingency operations must be inspected by qualified FPF personnel before each use and at least every 3 months to ensure they are properly stored, stable, and within current shelf-life and use requirements. Pyrotechnic and explosives inspections are further addressed in DOE M 440.1-1A, DOE Explosives Safety Manual. DOE O 473.3 Appendix A, Section F 6-27-11 A-47 7. INVENTORY OF FIREARMS, AMMUNITION, PYROTECHNICS, AND EXPLOSIVES. Firearms, ammunition, pyrotechnics, and explosives inventories must be maintained to allow efficient and effective arming and training of FPF personnel. a. Live Firearms Inventory. Due to the remote location of some training facilities, some site inventories may require live fire weapons for training and qualification. Therefore, additional inventories of firearms may be maintained to support live firearms training activities. All individually assigned firearms must be inventoried by a number count at the beginning of each shift. Those firearms checked out for operational details may be inventoried by a record that identifies the responsible party. Firearms in storage must be inventoried by a number count weekly. An inventory of all firearms listing the type of firearm, the manufacturer, and its serial number must be conducted monthly. Firearms that are not identified for duty or contingency use may be inventoried by container in the event a complete container inventory has been conducted previously and the container is secured by a serial-numbered security seal. b. Dedicated ESS Firearms Inventory. Departmental safety instructions require that firearms used for ESS activities be permanently modified and not routinely transferred between live and non-lethal uses. Additional inventories of dedicated firearms may be maintained to support ESS training activities. Dedicated ESS firearms must be inventoried by a number count before and after each use. An inventory of dedicated ESS firearms listing the type of firearm, the manufacturer, and its serial number must be conducted monthly. ESS firearms that are not in continual use may be inventoried by container in the event a complete container inventory has been conducted previously and the container is secured by a serial numbered security seal. c. Inert Firearms Inventory. Inert firearms may be used for display, instruction, or testing. For the purpose of this requirement, inert firearms are those weapons which were manufactured as fully functional firearms and subsequently were permanently modified in a manner which precludes their capability to discharge rounds (e.g., for a pistol having a plug welded into the barrel and/or being completely incased in Lucite). An inventory of all inert firearms listing the type of firearm, the manufacturer, and its serial number must be conducted at least monthly. d. Ammunition, Pyrotechnics, and Explosives Inventory. Ammunition must be inventoried annually (at least every 12 months). Pyrotechnics and explosives

must be inventoried monthly. Pre-positioned pyrotechnics and explosives must be inventoried by a number count at the beginning of each shift. Pyrotechnics and explosives stored in bulk, which are not identified for duty or contingency use may be inventoried by container if a complete container inventory has been conducted previously and the container is secured by a serial-numbered security seal. Appendix A, Section F DOE O 473.3 A-48 6-27-11 e. Inventory Shortages. After conducting a preliminary inquiry that indicates an unaccounted for, missing, or stolen firearm; any quantity of explosive; any live rifle ammunition, .408 CheyTac caliber or larger (including 40mm HE/HEDP/TP); 100 rounds or more of any handgun ammunition and 100 rounds or more of rifle ammunition smaller than .408 CheyTac caliber; or any pyrotechnic, ammunition, or training device not legal for civilian sale, purchase or use, FPF management must immediately report such a shortage to the ODFSA, who must report to the DOE Headquarters Operations Center within 24 hours. The ODFSA must then prepare and transmit an Incident of Security Concern report (see DOE O 470.4B, Safeguards and Security Program). If there is reason to believe that an item or items have been stolen, or other criminal activity is involved, law enforcement authorities must be notified in accordance with DOE O 221.1A. DOE O 473.3 Appendix A, Section G 6-27-11 A-49 SECTION G. OPERATIONAL ASSURANCE 1. APPRAISALS/SELF-ASSESSMENTS. These types of security oversight practices can be used to support the oversight responsibilities of DOE O 226.1A, Implementation of Department of Energy Oversight Policy. a. Formal appraisals or self-assessments of the safety and health aspects of the safeguards and security program must include firearms safety and must be performed by line management annually (at least every 12 months). [DOE O 440.1B, Worker Protection Program for DOE (Including the National Nuclear Security Administration) Federal Employees]. b. DOE line management must conduct and document formal self-assessments, which include annual program reviews and appraisals of selected worksites. c. Firearms safety assessments must be conducted by safety personnel or by a joint safety and FPF evaluation team. d. Firearms safety assessments must cover procedures, responsibilities, and duty assignments within the firearms safety program to ensure that overall objectives and performance are being met. 2. PROTECTIVE FORCES SAFETY COMMITTEE. a. Composition. Co-chairpersons must be representatives of the Office of Security and the Office of Health and Safety. The following DOE organizations must be afforded the opportunity to provide one permanent DOE safety representative voting member or alternate to the Protective Forces Safety Committee (PFSC). (1) Office of Security. (2) Office of Health and Safety. (3) Office of Headquarters Security Operations. (4) National Nuclear Security Administration (NNSA), Office of the Associate Administrator for Defense Nuclear Security. (5) Office of Secure Transportation. (6) DOE National Training Center. (7) Office of Environmental Management. (8) Office of Science. (9) Office of Nuclear Energy. Appendix A, Section G DOE O 473.3 A-50 6-27-11 (10) Office of Fossil Energy. (11) DOE Site Offices. b. Responsibilities. (1) The Office of Security and the Office of Health and Safety administer and manage the PFSC.

(2) The PFSC reviews, evaluates, and recommends action on proposed changes to directives, other requirements, and procedures involving the purpose, program, duties, qualifications, training, equipment, and firearms of the DOE FPF Program. (3) Managers of DOE offices providing FPF functions on, at, or for a DOE site must have a PFSC formally organized and chartered to assist management in providing safe FPF activities. DOE O 473.3 Appendix A, Annex 1 6-27-11 A-51 ANNEX 1 GUIDELINES FOR LEGAL AUTHORITY/FRESH PURSUIT AND RULES OF ENGAGEMENT 1. LEGAL AUTHORITY, FRESH PURSUIT AND RULES OF ENGAGEMENT. a. Applicable Legal Terms. (1) Felony. A felony is any offense enumerated in 10 CFR Part 1047 § 4(a)(1)(i), or as defined in 10 CFR Part 1049, as well as any offense constituting a felony under the laws of the jurisdiction in which operations are being conducted and with respect to which a Federal protective force (FPF) would have arrest authority under 10 CFR Part 1047 § 4(d) and (e). (2) Fresh Pursuit. Fresh pursuit is (with or without a warrant) for the purpose of preventing the escape or effecting the arrest of any person who has committed 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, to prevent the escape or to arrest 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.] (3) Hostile Intent. Hostile intent is the threat of imminent use of force against DOE interests, property and/or personnel. When hostile intent is present, the right exists to use proportional force, including armed force, by all necessary means available to deter or neutralize the potential attacker or threat. A determination documented in approved rules of engagement that establishes when hostile intent exists and requires the use of proportional force must be based on site/organization specific criteria. (4) In the Presence. In the presence means the criminal act must have taken place in the physical presence of (under the observation of) the Federal Protective Force (FPF) officer. A FPF officer is authorized to make an arrest for covered misdemeanors and felonies if the offense is committed in the presence of the FPF officer. (5) Jurisdictional Lines. For the purposes of these guidelines, jurisdictional lines shall include, but shall not be limited to, the property lines of a Department of Energy (DOE)/National Nuclear Security Administration facility/site. (6) Misdemeanor. A misdemeanor is any offense enumerated in 10 CFR Part 1047 § 4(a)(1)(ii), or as defined in 10 CFR Part 1049, as well as any offense constituting a misdemeanor under the laws of the jurisdiction in which operations are being conducted and with respect to which a FPF Appendix A, Annex 1 DOE O 473.3 A-52 6-27-11 officer would have arrest authority under 10 CFR Part 1047 § 4(d) and (e) or 10 CFR Part 1049. (7) Federal Protective Force Officer. As defined in 10 CFR Part 1047 § 3(g), an FPF officer is any Federal employee authorized by DOE authority to carry firearms under section 161 k of the Atomic Energy Act of 1954, and as defined in 10 CFR Part 1049 § 3(e), any Federal employee authorized

by DOE authority to carry firearms under section 661 of the DOE Organization Act. (8) Reasonable Grounds to Believe. Reasonable grounds to believe has the same meaning as set forth in 10 CFR Part 1047 § 4 (b)(2). An FPF officer is authorized to make an arrest for any felony covered under their limited arrest authority if the covered offense is committed in the presence of the FPF officer or if the FPF officer has reasonable grounds to believe (e.g., information from another FPF or law enforcement officer, communications from a FPF dispatcher or central alarm station operator) that a suspect had committed or was committing a felony. b. Arrest Authority. The authority for FPF members to make arrests without warrant stems from section 161 k of the Atomic Energy Act of 1954 [42 U.S.C. 2201 (k)], which provides for the authority to carry weapons and make arrests in the protection of DOE assets. 10 CFR Part1047 § 4 defines the specific offenses for which a FPF officer may make an arrest under the limited arrest authority. FPF personnel armed pursuant to this Act must understand the limits of the offenses covered under the limited arrest authority and be aware that their authority applies only when in the performance of official duties. c. Executing an Arrest. When other Federal law enforcement agencies (LEAs) [e.g., Federal Bureau of Investigation (FBI), U.S. Marshal or DOE Office of Inspector General] are involved with FPF officers in the apprehension of a suspected criminal (regardless of whether on or off DOE property), FPF officers must relinquish arresting authority to the other Federal LEA. The circumstances pertaining to the arrest will be reported to the ODFSA as soon as it feasible. (1) 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 FPF must immediately notify the appropriate U.S. Attorney’s Office and escort the suspect to the nearest U.S. District Court or U.S. Magistrate for arraignment (unless otherwise directed by local Federal LEAs; e.g., the FBI or a U.S. Marshal). Under no circumstances should a suspected felon be removed to another jurisdiction without first being processed through the Federal criminal justice system where the suspected felon was apprehended. (2) When State or other local LEAs are involved with FPF officers in the offsite apprehension of a suspected criminal, the issue of which law DOE O 473.3 Appendix A, Annex 1 6-27-11 A-53 enforcement official is in charge in order to affect 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 LEAs. Such guidelines must be included in the site/organization-specific guidelines submitted to the Chief Health, Safety and Security Officer for approval. The approval authority for NNSA sites/organizations is the Associate Administrator for Defense Nuclear Security. (3) FPF officers must ensure that any Government property retrieved at the

time of an apprehension or during a pursuit is properly secured and a chain of custody is established. 2. FRESH PURSUIT. The purpose of these guidelines is to set forth the procedures to be followed by DOE FPF personnel when pursuing suspected criminals across jurisdictional lines, except when the suspected criminals are in possession of DOE security assets. a. Policy. It is DOE policy to prevent the escape and to 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/organization must prepare 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 ODFSA must submit the guidelines through the cognizant Departmental element to the Chief Health, Safety and Security Officer, for approval. The approval authority for NNSA sites/ organizations is the Associate Administrator for Defense Nuclear Security. b. Definitions. The following definitions apply to this Appendix. (1) Misdemeanors. An FPF 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 FPF officer, FPF officers must not pursue the suspected misdemeanant across jurisdictional lines. Instead, the FPF 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) Appendix A, Annex 1 DOE O 473.3 A-54 6-27-11 to the State and other LEAs for the jurisdiction into which the suspected misdemeanant has fled. (2) Felonies. FPF officers may engage in the fresh pursuit of a suspected felon across jurisdictional lines if: (a) the alleged felony is being committed, or was committed, in the presence of a FPF officer or (b) any FPF officer has reasonable grounds to believe that the person pursued is committing, or has committed, the alleged felony. c. Fresh Pursuit Procedures. (1) Responsibility. Responsibility for decisions respecting fresh pursuit must follow the FPF command structure. In making fresh pursuit decisions, FPF officers must consider applicable Federal and State laws; Departmental directives, guidelines, and regulations; and FPF plans, orders, guidelines, and training. (2) Safety Considerations. 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, an FPF officer will weigh the seriousness of the alleged offense and the necessity for immediate apprehension against the risk of injury to himself/herself, other FPF officers, and the public. If, at any time during the pursuit, the risk of injury to pursuing FPF officers or the public surpasses the necessity for immediate apprehension, the pursuit must be terminated. (3) Use of Force. FPF officers will use the minimum force necessary under

the circumstances to apprehend a suspected criminal. (4) Jurisdictional Lines. Regulations at 10 CFR Parts 1047 § 6 and 7 and 1049 § 6 and 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. (5) Hostages. 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. DOE O 473.3 Appendix A, Annex 1 6-27-11 A-55 (6) Vehicular Pursuit. (a) Vehicles used in fresh pursuit must be operated in as safe a manner as is practicable. (b) To the extent practicable, vehicles used must be marked and equipped with visual and audible emergency equipment. (c) Vehicles occupied by non-FPF 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. (d) 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 FPF officers be such that the assets are left without sufficient security protection. (e) There are inherent dangers associated with the use of roadblocks; thus, unless exigent circumstances mandate immediate apprehension of the suspected criminal (e.g., unauthorized control of SNM, possession of explosives), FPF 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. A roadblock must not be used without the concurrence of the supervisor of the pursuing FPF officers. (f) 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 (e.g., unauthorized control of SNM, possession of explosives), FPF officers generally must not attempt ramming/PIT or use tire deflation devices without the authorization of an FPF 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/organization- specific guidelines submitted to the Chief Health, Safety and Security Officer, for approval. The approval authority for NNSA sites/organizations is the Associate Administrator for Defense Nuclear Security. Appendix A, Annex 1 DOE O 473.3 A-56 6-27-11 (7) Aerial Assistance. Where DOE has aerial capability (helicopters or 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 site/organization-specific guidelines submitted to the Chief Health, Safety and Security Officer for approval. The approval authority for NNSA sites/organizations is the Associate Administrator for Defense Nuclear Security. (8) 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/organization-specific guidelines submitted to the Chief Health, Safety and Security Officer, for approval. The approval authority for NNSA sites/ organizations is the Associate Administrator for Defense Nuclear Security. (9) Communications. At all times during a fresh pursuit situation, the FPF officers involved must make every attempt practicable to maintain open communications and to relay as much information as possible to the FPF dispatcher and/or FPF chain of command. (a) Upon the engagement of a fresh pursuit situation, the FPF dispatcher must immediately notify supervisors in the FPF command structure and the officer in charge of onsite FPF operations. (b) When it becomes apparent to the pursuing FPF officers that jurisdictional line(s) might be crossed, this information must be transmitted immediately to the LEAs of the jurisdiction to be entered in accordance with the mission-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. (10) Coordination with Other LEAs. When other Federal, State or local LEAs with jurisdiction in the area into which the suspected criminal has fled join the pursuit, they must be primarily responsible for the continued pursuit except when the suspected criminal is in possession of DOE nuclear security assets. (a) The FPF dispatcher, supervisors in the FPF command structure, and the officer in charge of FPF operations must coordinate the DOE O 473.3 Appendix A, Annex 1 6-27-11 A-57 pursuit efforts of FPF officers with other Federal, State, and/or other local LEAs. (b) FPF officers participating in the pursuit must continue to participate in pursuit operations until otherwise instructed by the FPF dispatcher, respective supervisors in the FPF command structure, or the officer in charge of FPF operations. (c) At least one FPF officer unit will remain available to assist the other pursuing Federal or State and other local LEAs until the pursuit is concluded or otherwise terminated. That FPF officer will thereafter provide such LEAs with all relevant information regarding the circumstances surrounding the incident. 3. GUIDELINES FOR RULES OF ENGAGEMENT (ROE). a. Purpose. To provide guidance in developing the rules of engagement (ROE) for use of deadly force as established in 10 CFR Part 1047. DOE’s use of deadly force policy, as set forth in 10 CFR Part 1047, defines the circumstances when deadly force is authorized; i.e., self-defense; serious offenses against persons; theft, sabotage, or unauthorized control of nuclear weapons,

nuclear explosive devices, or SNM; and apprehension. It also states, “Its use may be justified only under conditions of extreme necessity, when all lesser means have failed or cannot reasonably be employed” (emphasis added). DOE has determined that the concept in the policy of “or cannot reasonably be employed” needs further site/organization-specific amplification in the post-September 11, 2001 environment. To ensure acceptable protection of critical assets, site/mission-specific ROE are needed that define the circumstances, e.g., location, time, and distance at each site or under what circumstances, when lesser means of force cannot reasonably be employed. These ROE must address the concept of hostile intent as described in this Appendix. b. ROE Guidelines. Each DOE organization with forces having the mission of protecting nuclear weapons, SNM, and/or other hazardous material that may be used as a weapon of mass destruction must develop specific ROE that incorporate the concept of hostile intent. The determination of specific ROE must consider the type of materials or other assets being protected, situational/environmental conditions, FPF strength and capability, adversarial task times, characteristics, and capabilities as described in the current DOE O 470.3B, Graded Security Protection (GSP) Policy, and consequences of asset loss. The ROE must clearly state under what conditions the circumstances of hostile intent have been met. Depending on certain conditions, the circumstance of hostile intent may be met even if no shots have been fired. Appendix A, Annex 1 DOE O 473.3 A-58 6-27-11 c. Use of Directed Energy and Remotely Operated Weapons Systems (ROWS). The potential use of new weapon systems, e.g., directed energy and ROWS within DOE, is consistent with 10 CFR Part 1047 and should be considered when formulating ROE. It is DOE policy that a human being must make a conscious decision to employ all weapons systems capable of delivering deadly force before each operation of such equipment; i.e., fully automated use is not permitted. d. Approval. The completed ROE must be submitted to the ODFSA for review and approval. Upon approval of such ROE, orders/procedures must be updated to include mission-specific examples of likely scenarios where the use of deadly force may and may not be authorized. DOE O 473.3 Appendix A, Annex 2 6-27-11 A-59 ANNEX 2 PERFORMANCE TESTING 1. PERFORMANCE TESTS (PTS). PTs must be used to realistically evaluate and verify the effectiveness of FPF programs, identify and provide needed training for personnel, identify areas requiring system improvements, validate implemented improvements, and motivate personnel. Such tests must adhere to the requirements found in this Appendix. a. Limited Scope Performance Test (LSPTs). (1) LSPTs may be either scheduled or unannounced. The tests must be used to determine the level of FPF skill or capability or to verify different elements of the FPF 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 FPF responsibility. (2) Any element of FPF responsibility, as determined by mission procedures and job analysis, may be tested. LSPTs may involve the use of dedicated engagement simulation systems (ESS) [e.g., 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 8c, below, where applicable. b. Validation FoF (VFoF). (1) A validation FoF (VFoF) is a major, integrated test to facilitate assessment of all the elements employed in response to GSP and mission-specific threats. VFoF exercises must be held annually (at least every 12 months) for all missions meeting the requirements for an armed FPF. (2) Personnel must be designated and briefed in advance to act as adversaries. (3) 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 FPF personnel must be deployed for protection of the safeguards and security (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. Appendix A, Annex 2 DOE O 473.3 A-60 6-27-11 c. Command Post Exercise (CPX). (1) 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. (2) CPXs may be either announced or unannounced and may vary in scope and time as dictated by the purpose of the exercise. d. 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 FPF to a simulated incident. e. Joint Testing 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 site security plan (SSP), the support expected from outside agencies must be covered by a formal memorandum of understanding (MOU). 2. COORDINATION. When a CPX or CFX involves a demonstration of mission-level emergency response capabilities, the development and conduct of the exercise must be coordinated with the appropriate mission-level emergency management organizations. 3. TESTING FREQUENCY. Performance testing must be conducted as stated in Table A-1. Table A-1. Testing Frequency Type of Performance Test Minimum Performance Test Frequency LSPT As required by the Performance Assurance Program. VFoF 1/year/facility/organization for all sites/organizations with armed FPF. CPX 1/year/site or mission type. CFX 1/year/mission type. JTX As required per SSP, 1/year/mission type as applicable. NOTE: Annual requirements for VFoF, CPX, CFX, and JTX exercises may be combined when determined appropriate in SSPs. 4. PT AND TRAINING ACTIVITIES PLANNING. a. PT 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. DOE O 473.3 Appendix A, Annex 2 6-27-11 A-61 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 training program, etc., being evaluated; (2) the objective(s) of the test; e.g., to evaluate personnel, equipment, and systems against established requirements; (3) the scenario designed to ensure that the objectives of the test are met (e.g., an adversary plan that the ODFSA and the trusted agents (TA)s has validated as credible in all aspects of conducting the attack); (4) the applicable criteria to describe the standards for evaluation as derived from appropriate source documents; (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 according to safety considerations may be addressed in the approved PT procedures on file; (6) the specific S&S considerations to include information such as required compensatory measures that are in place during the PT; (7) the test results documentation and after action reviews to include a summary of controller and evaluator information and conclusions derived from this information; (8) a process in place to allow for after-action reviews by appropriate personnel as determined by the ODFSA; and (9) a classification review of the PT plan, documentation of the PT results, and completion of an after-action report. c. FoF 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. (2) Scenario Description. Appendix A, Annex 2 DOE O 473.3 A-62 6-27-11 (a) Describe the Threat Scenario. (b) Describe the Facility(ies) Involved. (c) Define the Required Response. (d) Establish the Schedule. (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 (d) Establish appropriate evaluation criteria (e.g., statistical model, test criteria, mathematical formulas, or methods, lesson plans, as applicable). (4) Test Control. Identify exercise control measures. (5) Resource Requirements. Identify resources necessary to control and conduct the exercise. (a) Participants. (b) Logistics. (6) Training Requirements. (7) Exercise Coordination Requirement. Describe all organization coordination requirements. (a) Continuation of Operations. (b) Safety and Health Oversight and Support. (c) Essential local LEAs. (d) OPFOR Coordination. (8) Compensatory Measures. Describe any compensatory measures required during the PT. (9) Safe Exercise Halt Procedures. (10) End of Exercise Accountability. DOE O 473.3 Appendix A, Annex 2 6-27-11 A-63 (11) Radiation Monitoring. (12) Shadow Force. (13) Coordination and Approval. Review and/or sign off (concurrence), as applicable. (14) Identify any applicable site/organization-specific procedures. d. Performance Test Report. The PT report must address the following: (1) detailed results of the exercise, including evaluation of applicable criteria;

(2) lessons learned; and (3) required corrective actions and/or mitigation factors to address identified vulnerabilities. 5. 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 this Appendix. Site/organization-specific procedures addressing the conduct of PTs, the use of ESS, and safety considerations must be prepared by FPF management, submitted to the ODFSA for review and approval, and incorporated into the site/organizational performance assurance program (see DOE O 470.4B, Safeguards and Security Program). 6. COMMAND AND CONTROL. a. Command and Control System. A system of command and control must ensure that ESS safety and other requirements of this Order 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. 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. 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; Appendix A, Annex 2 DOE O 473.3 A-64 6-27-11 (2) ensuring that 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; and (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. NOTE: No DMC/PB rounds are allowed in MILES exercises unless approved hybrid ESS weapons are used. 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 before the PT begins. c. Command and Control Positions. Every FoF PT and related activity must be regulated by controllers under the supervision of an exercise (or Test) 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 be trained to fulfill their responsibilities to ensure activities are accomplished safely. (1) Exercise Director. The exercise director is a senior Federal 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. (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. (3) Safety Controller. The safety controller is responsible for assessing the PT plan and ensuring that walk downs of the exercise area and safety DOE O 473.3 Appendix A, Annex 2 6-27-11 A-65 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. (4) ESS Controller. In PTs that use ESS equipment, the ESS controller is responsible for controlling the issuing and accounting for all ESS firearms, weapons, and support equipment. (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, which may occur during a PT, is a critical participant. The shadow force controller is responsible for ensuring that: (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) the shadow force knows the PT area and emergency response procedures. NOTE: 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) 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. (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 for ensuring 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. NOTE: Sub-charge, flash-sound diversionary devices may be deployed into occupied areas or rooms with the approval of the appropriate safety organization. Appendix A, Annex 2 DOE O 473.3 A-66 6-27-11 (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) Trusted Agents (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 coordinate realistic testing. Such individuals may be designated as TAs. The term is not normally applied to controllers, who may also possess the sensitive information (PT timing or planned events). (a) Role. The TA serves as a liaison between a simulated OPFOR and the FPF being evaluated. PT planners must determine the number of TAs necessary. (b) Responsibilities. The TA works with the OPFOR commander to develop the PT scenario(s). The TA 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. 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., Light Anti- Tank Weapons (LAWs), explosive breaching, pyrotechnics, rappelling, etc.). Evaluators must receive controller training in order to perform controller 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 ODFSA and must include the following topics. (a) Controllers and Evaluators. (b) General Knowledge Requirements. DOE O 473.3 Appendix A, Annex 2 6-27-11 A-67 (2) PT Scenario-Specific Briefings. In addition to the formal training discussed above, controllers/evaluators must receive PT and scenario- specific briefings before each PT. 7. ENGAGEMENT SIMULATIONS SYSTEMS (ESSS). a. Scope. PTs must be used to realistically evaluate and verify the effectiveness of FPF programs, identify and provide training for personnel, identify areas requiring improvements, validate implemented improvements, and motivate FPF personnel. FPF personnel must, through training, maintain competencies needed to perform assigned tasks required to fulfill the FPF mission. (1) ESSs are primarily used to simulate conditions during FPF PTs and training activities involving FoF and deadly force-related situations. (2) FPF PTs and training activities must be conducted with the highest regard for the safety and health of personnel, protection of the environment, and protection of Government property. Safety issues must be considered from the inception to completion of these activities. b. Types of ESS. There are six major types of ESS used within DOE for the conduct

of simulated engagements during FPF PTs and training activities. (1) Multiple Integrated Laser Engagement Systems (MILES). (2) Marking Systems. (a) Dye-marking cartridge (DMC) systems consist of specially modified duty handguns, submachine guns and rifles (using a replacement barrel) and non-lethal DMCs (a lightweight, hollow plastic projectile that contains a colored, nontoxic marking compound) designed to allow for realistic decisional shooting situations during FPF PTs and training activities. (b) PB systems consist of paint guns, also called “markers,” that come in a variety of shapes and styles. (c) DMCs and PB rounds have very limited effective and maximum ranges. Thus, both systems are used typically during LSPTs and training activities to simulate close quarters battle (CQB) and decision shooting situations. (3) Hybrid DMC/ESS Firearm. A firearm that has been modified or designated by a DOE-certified armorer as a DMC weapon that feeds, fires, and functions DMC ammunition. The modification reduces the ability for a live round to chamber in the weapon. Additionally, the weapon is mounted with a MILES transmitter. Appendix A, Annex 2 DOE O 473.3 A-68 6-27-11 (4) Blank-Fire Systems. Blank-fire equipment consists of specially modified duty firearms (that cannot fire live ammunition or projectiles) and blank fire cartridges (loaded with powder but contain no projectile) designed to provide realism during PTs and FPF training on the use of deadly force and the escalation of the force continuum. (5) Inert Weapons Systems. Inert weapons systems consist of simulated firearms and weapons or actual firearms and weapons that have been rendered incapable of firing live or blank-fire ammunition. (6) Airsoft Systems. Airsoft systems, sometimes referred to as soft air systems, consist of replica duty weapons that propel 6mm plastic or biodegradable BBs by means of either rechargeable batteries or green gas (HFC 143a). (7) Other Types of ESS. Other types of ESS and associated equipment may be used during FPF PT and training activities to simulate adversary and FPF actions and real-world incidents. Pyrotechnics and smoke generators may be deployed to simulate fires and chemical agents. Hand-thrown smoke grenades may be used to cover adversary and FPF tactics or to provide diversions. Practice or inert grenade systems can be used to simulate thrown explosives and can be followed up by flash/sound diversionary devices, air horns, and other devices to simulate explosions. 8. ESS SAFETY. a. General Safety. (1) Safety is a major concern in any PT or training activity. Safety rules must be followed to minimize the potential for accidents/injuries during activities involving the use of ESS. Management, controllers, and participants must anticipate and react to unsafe situations. (2) All PTs and training activities must be governed by plans and procedures that specifically address safety issues while remaining consistent with realistic evaluation and training. Risk assessments must include procedures for any materials, equipment and/or operations that are identified as potential hazards during the conduct of any scenario. Safety plans must cover facility safety concerns specific to scenarios being conducted. Preparations must also be made to respond with appropriate medical assistance to situations that could occur. (3) ESS PT and training activities must be regulated by controllers and

instructors who have authority regarding safety. Controllers and instructors are responsible for ensuring that all operations are conducted safely. Controllers, instructors, any participant, and/or any individual may DOE O 473.3 Appendix A, Annex 2 6-27-11 A-69 stop an evaluation and/or training activity for safety reasons. Safety is paramount in exercise planning and execution. b. Participant Responsibilities. The following paragraphs specifically address safety related considerations that impact exercise personnel and/or equipment; however, they apply to all ESS activities. Personnel acting as adversary/OPFOR team and response force members must be briefed as to their individual responsibilities to include: (1) avoiding hazardous areas; (2) monitoring their own physical condition for signs of overexertion; (3) watching for other participants who appear injured or otherwise are in need of assistance, and immediately ceasing ESS activities in order to render aid and notify a controller or instructor; (4) reporting injuries, regardless of severity, to the nearest controller, instructor, or safety representative; (5) handling and using all ESS firearms and weapons safely as though they were live fire weapons; (6) inspecting issued MILES weapons and blank ammunition to ensure that no live ammunition and the proper blank ammunition is present and that the MILES weapons and magazines, where used, are properly color-coded; (7) inspecting issued DMC firearms and DMC ammunition to ensure that no live or blank-fire ammunition is present and that the DMC firearms and magazines, where used, are properly color-coded; (8) inspecting issued blank-fire firearms and blank ammunition to ensure that no live or DMC ammunition is present and that the blank-fire weapons, and magazines, where used, are properly color-coded; (9) inspecting inert weapons to ensure that they are incapable of operation and to ensure that no ammunition is present and that they are properly color coded; (10) while conducting ESS activities, knowing what the participant should do in the event the FPF shadow force is deployed and what actions the shadow force will take; (11) limiting physical contact during an arrest scenario to that force necessary for searching and handcuffing while refraining from violent physical contact; Appendix A, Annex 2 DOE O 473.3 A-70 6-27-11 (12) refraining from attempts to disarm participants by grabbing their firearm or person; (13) ascending or descending from elevated positions by ladder, stairway, or other safe method; jumping from elevated positions only if necessary and safe; (14) avoiding hot propellant gases vented from weapons systems; and (15) avoiding taking outdoor positions near the ESS vehicle hit indicator system, which contains an explosive charge. NOTE: The ESS vehicle hit indicator system is designed to simulate and react to firearms fire. Blasts are vented upwards and usually do not present a hazard. Participants must be careful not to position themselves above or within 10 feet of the device while outside a vehicle. c. ESS Safety. (1) All firearms and weapons used in ESS exercises and training activities must be permanently modified and dedicated for ESS use only. The only permissible exceptions are the M-60, HK-21, M-249, and M-240 machine gun receivers. ESS modifications of these machine guns are limited to the barrel and feed tray, which gives them additional flexibility. ESS

modifications must comply with the DOE firearms modification list. (2) With the exception of single-shot grenade launchers, MILES firearms must be equipped with approved blank fire adapters or blast deflectors. (3) Dedicated ESS firearms must not be reactivated for live fire usage without the approval of the ODFSA. (4) All MILES firearms must be equipped with live-round inhibiting devices or ported chambers, plus one or more additional engineered controls of safety to prevent the accidental introduction of live rounds. (5) Only DMC firearms equipped with DMC conversion kits and DMC ammunition approved by the Office of Security may be used. All DMC conversion kits must be designed to inhibit live rounds from being chambered. If a factory “drop-in” kit is used to modify a firearm to use DMC, a DOE-certified armorer specifically trained in the installation of such a kit must accomplish the modification. DMC systems may be fired only at participants who are at least 1 meter away. (6) ESS firearms used in an exercise must be clearly marked as exercise firearms, closely controlled, and kept separate from any firearms not associated with the exercise. A check indicating the presence of all engineered controls of safety incorporated in an ESS weapon must be DOE O 473.3 Appendix A, Annex 2 6-27-11 A-71 documented before issuance for use, e.g., training, exercises, and LSPTs. Approved color coding markings are: (a) Orange for MILES and blank-fire firearms and magazines, clips, and belts (first link); (b) Blue for DMC firearms and DMC magazines, clips, and belts (first link), speed loaders, and PB systems; (c) Blue and orange for MILES/DMC hybrid firearms; (d) Red for inert firearms and weapons; and (e) Green for airsoft systems. (7) ESS firearms must not be loaded until authorized by a controller or instructor. (8) Blank ammunition must not be used in tactical exercises except with ESS equipment. (9) MILES firearms equipped with blank fire adapters or blast deflectors may be fired only at participants who are at least 10 feet away. (10) Maintenance and adjustments to laser transmitters must be performed only by the supplier or by qualified site personnel approved by the supplier. (11) ESS firearms must be cleaned after an exercise according to a site’s standard operating procedure and repaired or removed from service if necessary. (12) All ESS firearms must be inspected by a DOE-certified armorer and certified at least every 12 months. d. ESS Ammunition and Blank-Fire Adapters (BFAs). (1) Only blank ammunition magazines, clips, and belts (first link) that have been distinctively color-coded orange and modified for use with an ESS firearm may be used. The ESS magazine, clip, or belt when used in conjunction with a modified ESS firearm, must prevent the inadvertent feeding and chambering of a live round. Caution must be exercised because a live round can be placed in the lip of some firearm magazines. (2) Only DMC ammunition magazines, clips, and belts that have been distinctively color-coded may be used. Caution must be exercised because a live round can be placed in a DMC magazine lip, or in some cases, a DMC magazine can be fully loaded with live ammunition. Appendix A, Annex 2 DOE O 473.3 A-72 6-27-11 (3) Blank, DMC, airsoft, and PB ammunition must be stored separately from live ammunition and from each other (in areas other than ammunition warehouses where bulk supplies of ammunition are stored in unopened

original packaging), either in a different location or in a locked cabinet, and must be inspected before issuance by a controller or instructor. (4) Before each ESS PT and/or training activity: (a) participants must inspect their firearms and person to ensure that only the proper exercise ammunition (e.g., blank ammunition for MILES and DMC/PB/airsoft ammunition for DMC/PB/airsoft exercises) and properly equipped MILES and/or DMC firearms/PB/airsoft systems are in use; and (b) each firearm and all ammunition must be inspected by the responsible ESS controller/instructor to ensure that only the proper ammunition and properly equipped ESS are in use. (5) Manufacturers’ recommendations for shelf life of DMC and PB ammunition must be followed. (6) LAWs/Rocket Propelled Grenades (RPGs). (a) LAWs/RPGs must not be cocked until the target is identified. If the simulator is not fired at a given target but is anticipated to be fired at another target during the exercise, it must be returned to the uncocked position until the target is sighted. If the simulator is not fired, it must be in an unloaded/tube empty position before being returned. (b) LAWs/RPGs must be used only in designated areas. (c) LAWs/RPGs must be used only for training purposes when exclusion distances and conditions are established as though an actual LAW was being fired. The exclusion distance for the LAW/RPG is 5 feet to either side and 30 feet to the rear. e. Pyrotechnics, Flash-Sound Diversionary Devices, and Chemical Agents. (1) Pyrotechnics and explosive simulators must be consistent with the pyrotechnics list included in the DOE-approved ammunitions list. (2) Participants must never pick up thrown pyrotechnics, flash sound diversionary devices, or chemical agents, even one that appears to be a dud. Duds must be reported, as soon as possible after discovery, to the senior controller. DOE O 473.3 Appendix A, Annex 2 6-27-11 A-73 (3) Written and approved procedures for handling duds and expended devices must be included in PT procedures and applicable lesson plans. These plans and procedures must follow the manufacturer’s disposal recommendations or site-approved procedures and must be implemented by properly trained personnel. (4) Written and approved procedures for activities such as the wiring of pyrotechnics into vehicle electrical systems and the use of booby traps and trip wires must be included or referenced in PT plans/procedures. These activities must follow manufacturer’s recommendations or site-approved procedures and must be conducted by properly trained personnel. (5) Smoke and obscurant generating pyrotechnics. (a) Smoke and obscurant generating pyrotechnics may not be used indoors or in confined spaces. (b) Planning for smoke use must address the possible effects on facilities, production processes, workers and other parties (e.g., nearby roads and vehicle drivers, adjacent facilities and workers, air intake systems). (c) Participants must avoid unnecessary exposures to smoke systems by staying upwind of the smoke, where possible, by avoiding entry to the smoke cloud, by limiting the time traversing the cloud, and by choosing routes involving the least densities of smoke consistent with the tactical objective. Full immersion in high density smoke for extended periods shall be avoided where possible. If immersion cannot be avoided, respiratory protection must be used as defined in the risk analysis for the training,

performance test, or FoF activity. (d) Thrown smoke generators must be deployed by persons trained in their safe deployment methods and knowledgeable of their potential hazards. (e) When thrown smoke generators and other pyrotechnics are deployed in training or testing activities, adequate firefighting equipment and persons knowledgeable in its use must be readily available. (f) Pre-activity safety briefings must address the safety concerns of the use of smokes and obscurants, the controls for the deployment of smoke, and the safety controls established to control and limit personnel exposures. Appendix A, Annex 2 DOE O 473.3 A-74 6-27-11 f. Vehicle Safety. The following requirements apply to the use of vehicles during an exercise. (1) Vehicles must not be mounted or dismounted until after they come to a complete stop. (2) All personnel in moving vehicles must wear seat belts at all times where available and/or comply with alternative safety controls established and approved in a written safety plan. Passengers may ride in the back of moving open vehicles provided that restraint devices are installed and used and they remain seated in the vehicle. (3) Vehicle maneuvers (e.g., accelerations and decelerations, cruising, turns, etc.) must be made in accordance with local vehicle operating procedures. (4) When a PT/training scenario requires a roadblock, it will be simulated by placing a blocking vehicle on the shoulder of the road and by ensuring that a controller is notified that a roadblock has been established. If the blocking vehicle could effectively obstruct the roadway, the controller should not allow the vehicle being blocked to pass. g. Rules of Engagement (ROE). Specific ROE must be developed and documented for each FoF or man-on-man PT/training activity, as applicable. 9. MARKING SYSTEMS ACTIVITIES. a. General Requirements. (1) All DMC/PB PTs must be monitored by a controller who is a National Training Center (NTC)-certified firearms instructor or has received specialized training. (2) All DMC/PB training activities must be conducted by a NTC-certified firearms instructor. (3) Instructor/controller-to-shooter ratios will be dictated by the type of training/PT scenario. Participants must be familiar with the DMC firearm/PB system to be used in the PT or training activity. b. Safety Considerations. In addition to the safety considerations described in previous sections, the following safety considerations specific to DMC and PB activities must be included in training or PT activities that use DMC/PB. (1) DMC/PB ammunition velocity could exceed the American National Standards Institute (ANSI) Z87.1 standard so protective eyewear must meet ANSI or the manufacturer’s specification, whichever is more stringent. DOE O 473.3 Appendix A, Annex 2 6-27-11 A-75 (2) All DMC/PB equipment must be maintained and tested in accordance with manufacturer specifications. (3) All DMC/PB personal protective equipment (PPE) must be visually inspected before each use. (4) Helmets with spring-loaded face shields must not be used during DMC or PB activities. (5) DMC/PB will not normally break vehicle glass that does not have defects or prior damage. However, if the glass is already cracked, a DMC/PB round may break it. Repeated or rapid fire on undamaged plastic or glass may cause breakage. DMC will dent most soft building materials including drywall, plywood, paneling, and hollow core doors; however,

they will generally not penetrate them. (6) Wearing clothes with a tight-weave fabric, such as that in military type/field uniforms or coveralls, is required to cover and protect any exposed skin. (7) If exposed body armor is used, it must be dedicated for DMC/PB use only. (8) Testing of face and eye protection equipment by subjecting it to firing of DMC and PB projectiles from the actual DMC firearms or PB gun to be used is recommended. Testing must also include concentrated full automatic fire when such firearms are to be used. For information purposes, the manufacturer of the Avon protective mask recommends that outserts be used on the lenses of its masks when used in DMC/PB exercises. (9) DMC/PB systems must not be fired at personnel closer than 1 meter. (10) DMC ammunition must not be fired in standard, non-DMC-modified firearms because plastic cartridge components could stick in the bore causing a safety hazard. (11) Blank ammunition must not be fired in DMC firearms due to potential hazards from muzzle gasses and ejected material. (12) Face protection must provide protection from DMC/PB projectiles entering under the face mask when the wearer tilts his/her head back or looks upward. c. Ammunition and Firearms Conversion Kits. (1) Only DMC firearms equipped with conversion kits, PB systems, and ammunition approved by the ODFSA may be used. Appendix A, Annex 2 DOE O 473.3 A-76 6-27-11 (2) All DMC/PB firearms must be distinctively color-coded blue. (3) All DMC firearms conversion kits must be designed to inhibit live rounds from being chambered. (4) DMC/PB ammunition must be used in accordance with the manufacturer’s recommendations for storage conditions and shelf life. The marking compound in DMC/PB may solidify and harden in older ammunition. Poor marking performance may also be encountered with older DMC and PB ammunition. Personnel may have increased risk of potential injury from DMC/PB ammunition projectiles if the marking compound becomes hardened through age or is used in cold temperatures. d. Personal Protection Equipment (PPE). A risk assessment must determine the type of PPE required for the specific PT/training activity being conducted. (1) The following PPE must be used when conducting training/PTs involving the use of DMC/PB during FoF and one-on-one engagements. (a) Eye protection. (b) Full face and head protection, which includes covered protection for the ears (i.e., helmets specifically designed for use with DMC or duty equipment that provides equivalent protection). (c) Hand protection (gloves). (d) Groin protection. (e) Throat protection. (f) Hearing protection (optional–unless diversionary devices are being used or exercise is conducted in an environment that requires noise protection). Sound levels generated by DMC/PB use are below Occupational Safety and Health Administration requirements that require hearing protection. (2) When conducting training/PTs involving the use of airsoft systems, the minimum PPE is the JT Spectra face shield or equivalent. e. Target Training. Training may be conducted using DMC/PB/airsoft systems to fire at training targets such as the DOE TQ-15, decisional targets, or other targets. Such training does not involve FoF or one-on-one activities. (1) Use of DMC systems for shooting training targets must follow the requirements of this Order and normal live fire safety procedures. Sites

must evaluate the need for numbers and types of controllers and other DOE O 473.3 Appendix A, Annex 2 6-27-11 A-77 exercise personnel based on the specific location and training to be performed. (2) Provisions of DMC/PB/airsoft training plans, controller staffing plans, procedures, and risk assessments must address protection of uninvolved persons. They include observers, plant workers, and others who might become exposed to hazards of DMC/PB/airsoft if training targets are to be used in areas where uninvolved persons could be exposed. Potential hazards must be addressed related to using DMC/PB/airsoft systems for FPF PTs and training involving activities such as team movement, CQB, breaching training, room entries, live fire shoot house, and officer survival activities. 10. EXERCISE RULES OF ENGAGEMENT (ROE). a. Safety. Safety is a major concern in any ESS PT, and training activity and safety rules must be followed to minimize the potential for accidents and injuries during these activities. Management, participants, and controllers must caution and prepare participants to anticipate and react to unsafe situations. Realism must be achieved, and safety must be considered in the actions of all participating personnel. Preparations must also be made to react with appropriate levels of medical assistance to situations that could occur. b. Halting an ESS Activity. An ESS PT or training activity may be halted at any time for safety, emergency, real-time security events, or administrative reasons. (1) Exercise Freeze. An EXERCISE FREEZE is a command used to halt an exercise when it is necessary to correct safety related problems or respond to an emergency. (a) Any person observing a safety problem must announce, “EXERCISE FREEZE.” (b) Controllers/evaluators must relay the “EXERCISE FREEZE” announcement throughout the PT area. (c) Every participant must immediately freeze in place (i.e., stop at their locations and cease fire, movement, communication, and any other action) until the command “RESUME EXERCISE” is given by the exercise director or senior controller at the direction of the exercise director. (d) In the case of a real-time security event, the exercise cannot resume until all shadow force members return to their staging areas and the shadow force controller confirms with the exercise director that all shadow force members are properly staged. Appendix A, Annex 2 DOE O 473.3 A-78 6-27-11 (2) Administrative Hold. The command ADMINISTRATIVE HOLD is used to halt an ESS PT when it is necessary to correct exercise problems of an administrative or procedural nature. The use of the command may be planned when it is necessary to put a temporary hold on activities to set the stage for continuation of the PT (e.g., change scenarios, operations shift change activities, etc.). (a) The effect of an ADMINISTRATIVE HOLD can be limited to a specific location(s) or activity in a PT or the entire exercise. (b) The command “ADMINISTRATIVE HOLD” must not be called to correct safety problems or respond to emergencies. (c) Only a controller can administratively halt exercise activities. The controller will announce the hold in the affected area, and all participant activity in that area will immediately halt until the controller gives the command “RESUME EXERCISE.” c. Participants. (1) Pre-Exercise Activities. (a) All pre exercise actions must be conducted in accordance with

normal operating procedures. Participants must be closely monitored to ensure they do not use artificially generated factors to affect the outcome of the PT. (b) Participants must be familiar with the operation of issued ESS equipment. (c) Participants who will be using or handling pyrotechnics, diversionary devices, hazardous materials, or electrical or mechanical equipment must receive training in their proper use in accordance with current applicable requirements. (d) Before being assigned to act as hostage(s)/role players, individuals must be asked if they are willing and capable of dealing with the isolation and demands of a hostage/barricade situation. (e) Participating non-DOE law enforcement and other emergency personnel must be instructed how to react in accordance with PT plans and safety and health requirements. (f) All players and participants must be physically capable of participating without undue risk of injury to themselves or others. (2) Safety. DOE O 473.3 Appendix A, Annex 2 6-27-11 A-79 (a) No attempt will be made to disarm a participant by forcibly taking an ESS weapon. (b) All ascents to, or descents from, elevated positions must be by ladder, stairs, or other approved methods. (c) No person acting in the role of a hostage may be abused. (d) Event controllers must ensure all occupants of the facility are moved into a safe area during assault phases and provided with appropriate PPE and safety equipment. (3) Injuries. (a) All injuries must be reported immediately to the nearest controller. Anyone observing an injured or ill participant must immediately advise the nearest controller. (b) The command “EXERCISE FREEZE” must be used in communications in the event a hostage role player or other participant becomes injured or ill. If a problem arises during hostage scenario events, it must be brought to the attention of a controller immediately. (4) Damages. Any damage to vehicles and equipment must be reported to a controller no later than at the termination of the PT. (5) Elimination. (a) Once eliminated under the ROE and/or per scenario-specific requirements, a participant must immediately cease fire, movement, communication, and all other actions. Location permitting, eliminated participants must be prone or seated and weapons must be grounded to ensure they do not impact scenario/exercise actions. The responsible controller may remove an eliminated participant from the area for safety and operational reasons. Eliminated participants must remain in place until they are released by a controller. (b) Participants occupying vehicles must be instructed on the provisions for vehicle and vehicle occupant casualties including the number of allowed survivors based on the type of weapon hit(s) received. (c) No physical contact is allowed with eliminated participants except to search and secure (apply restraints) if applicable to the scenario. An eliminated OPFOR or FPF participant may be approached to obtain radios or other equipment. ESS firearms and ammunition Appendix A, Annex 2 DOE O 473.3 A-80 6-27-11 may be seized and used by other participants only when a controller is present to ensure the seized ESS firearms and ammunition are used safely. The controller must ensure the seized ESS weapon is returned to the participant to whom it is assigned for accountability purposes. (d) Persons deliberately attempting to circumvent the ROE or gain an

unfair advantage by using any unrealistic tactic or action (e.g., covering MILES sensors, hiding behind false cover, removing headbands, etc.) will be immediately eliminated by a controller. d. Vehicles. (1) Safety. (a) Vehicles that will be used in the PT must be identified clearly as exercise vehicles. All participants are restricted from using vehicles other than those outfitted with ESS equipment and/or designated for PT use. (b) All vehicles must be operated safely. Drivers must observe all site requirements and applicable laws relating to vehicle operation. The wearing of safety belts is mandatory for all vehicle occupants. No vehicle will be operated off roadways unless necessary for scenario action and there has been prior approval by the responsible controller. (c) During scenario play depicting normal site operations, vehicles must be operated at posted site speed limits. During scenario play requiring emergency response, vehicles will be operated at speed limits delineated in approved PT plans and procedures. Vehicles responding to real-world site emergencies and security incidents during EXERCISE FREEZE conditions will be operated at speed limits per approved response plans. (d) Except for normal passing, no vehicle may be driven closer to another vehicle than the distance permitted by the two-second rule. Following a normal pass, the passing vehicle must immediately reduce speed to the posted speed limit. (e) There will be absolutely no attempt to use a vehicle to crash, block, or endanger another vehicle in any way unless the PT scenario or training activity specifically involves the use of precision immobilization techniques (PIT), vehicles in use are properly equipped to conduct PIT, and participants are utilizing proper PPE. DOE O 473.3 Appendix A, Annex 2 6-27-11 A-81 (f) Impassable roadblocks will be indicated by placing yellow engineer tape, orange cones, flags, etc. on or across the roadway per approved PT plans/procedures. (g) Emergency vehicles are not part of the exercise unless equipped with ESS equipment. (2) Elimination. PT plans/procedures must include requirements to determine the elimination of exercise vehicles. Requirements should include the use of MILES vehicle hit indicator harnesses and controller calls. e. Explosives and Pyrotechnics. (1) Organizations using explosives and pyrotechnics must provide safe operating procedures to the safety controller. These procedures must identify the hazards and required training, assess the risks, and establish the necessary safety requirements for the particular operation. (2) Explosives and pyrotechnics must be employed commensurate with the applicable requirements of DOE O 440.1B, Worker Protection Program for DOE (Including the National Nuclear Security Administration) Federal Employees, and DOE M 440.1-1A, DOE Explosives Safety Manual. (3) Pyrotechnics and explosives must be used by the OPFOR, Special Response Forces, or other personnel only as authorized by the ODFSA. Personnel must be trained in the use of deployed explosives and pyrotechnics and in the respective safety requirements. Quantities of, and locations for, explosives and pyrotechnics to be used during the PT must conform to approved response plans and be reviewed and approved by the senior controller and the safety controller before use. (4) ESS Pyrotechnics. (a) Electrical explosives in an ESS explosive simulator device are

directed upward and slightly to the rear of this device. The safety zone around these devices is 10 feet. (b) Participants firing an ESS LAW/RPG must ensure that the area 30 feet behind and 5 feet to each side of the weapon is clear. Personnel in the exercise area must also be briefed to not approach closer than 30 feet directly behind any participant firing a LAW/RPG. LAWs can be made safe by depressing the safety rod located on the top rear of the weapon. (c) Vehicle system electrical explosive charges are mounted on the opposite side from the color indicator light. Since these devices Appendix A, Annex 2 DOE O 473.3 A-82 6-27-11 are usually mounted on the vehicle roof with the blast directed upward, they normally do not present a hazard. However, there may be selected special applications where the device is mounted on a vehicle bumper or hood. In these situations, participants must be careful not to position themselves above or within 10 feet of the explosive holder. DOE O 473.3 Appendix A, Annex 3 6-27-11 A-83 ANNEX 3 FEDERAL OFFICER PROGRAM 1. OBJECTIVE. This Annex augments the Federal Protective Force (FPF) Manual by establishing specific requirements for the management and operation of the Department of Energy (DOE) Federal Officers (FOs). 2. POSITION DEFINITIONS AND DUTIES. DOE Federal employees designated by the Chief Health, Safety and Security Officer or the ODFSA 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, c. perform inquiries into local and national security issues, d. conduct interviews, and e. conduct surveys and inspections. 3. QUALIFICATION REQUIREMENTS. a. Security Clearance. FOs must possess security clearances commensurate with the highest level of classified information or matter to which they have, or potentially have, access. Security clearances must be obtained in accordance with DOE M 470.4-5, Personnel Security. b. Medical, Physical Fitness, Firearms, and Training Standards. Armed FOs must complete a formal training and qualification program before being assigned to duties. The training program must be based on assigned functions. Firearms, physical fitness, and medical qualifications must meet DOE requirements for the position assignment as described in Appendix A of this Order. 4. TRAINING REQUIREMENTS. a. Training and Qualification. (1) The program must be based on a valid and complete set of job tasks with identified levels of skills and knowledge needed. Knowledge, skills, and abilities (KSAs) necessary to competently perform the tasks associated with assigned FO duties must be identified based on the job analysis (JA) applicable for each job assignment. FOs must demonstrate familiarity with, and knowledge of, the responsibilities identified in the JA for their assignment and must demonstrate proficiency in the skills and abilities necessary to perform required assigned job tasks. Appendix A, Annex 3 DOE O 473.3 A-84 6-27-11 (a) All FOs must demonstrate the following: 1 knowledge of and ability to perform routine and emergency duty requirements; 2 operation of assigned equipment and vehicles; 3 knowledge of and the ability to apply DOE directives, organization policies, plans, standard operating procedures,

specific operational instructions, orders and procedures governing assigned routine and emergency duties; 4 knowledge of Federal- and State-granted authority applicable to assigned activities and responsibilities between the FPF and other law enforcement agencies; 5 knowledge of security practices and procedures; and 6 knowledge of and ability to prepare written reports and provide live testimony. (b) All armed FOs must also demonstrate the following: 1 knowledge of and proficiency in the use, safety, and care of all weapons required by duty assignment, to include weapons effects, capabilities, and the proper use of various types of ammunition; 2 knowledge of and ability to apply DOE requirements for the use of deadly force and limited arrest authority; 3 knowledge of and ability to apply general, as well as site/organization-specific, rules of engagement for the application of deadly force; 4 knowledge of and ability to apply procedures and requirements for investigations, search of persons, seizure, of property and preservation of evidence pursuant to paragraph 2 of this Annex; 5 knowledge of and ability to obtain and serve warrants; and 6 knowledge of and proficiency in the methods of self defense, intermediate force options, detention, and arrest. (2) The program must aim at achieving a well defined level of competency; specifically, mission accomplishment and survivability. DOE O 473.3 Appendix A, Annex 3 6-27-11 A-85 (3) The program must employ standardized lesson plans with clear performance objectives as a basis for instruction. Lesson plans used regularly must be reviewed for currency any time training requirements are changed and must be reviewed and/or revised for currency before training is conducted. (4) The program must be documented so individual and overall training status is easily accessible (individual training records must be retained until 1 year after termination of the employee as a FPF member unless a longer retention period is specified by other requirements). (5) The program must consider the learning characteristics and entry-level competencies of trainees. b. Armed FO Instruction. The training program for armed FOs must include, but is not limited to, the following types of instruction: (1) firearms training including safety, marksmanship, and manipulation skills with all weapons reasonably expected to be employed; (2) physical fitness training; (3) safety; and (4) legal requirements and responsibilities include use of deadly force, site/organization-specific rules of engagement (see Appendix A, Annex 1 of this Order), limited arrest authority [see 10 CFR Part 1047, Limited Arrest Authority and Use of Force by Protective Force Officers, and 10 CFR Part 1049, Limited Arrest Authority and Use of Force by Protective Force Officers of the SPR], and fresh pursuit (see Appendix A, Annex 1 of this Order). (a) Procedures and requirements for investigations include the search of persons and property for evidence and recognition, seizure, and preservation of evidence. (b) Post incident response includes actions such as crime scene preservation and prisoner control. (c) Procedures include the application of the provisions of the Fourth and Fifth Amendments to the Constitution of the United States. Appendix A, Annex 3 DOE O 473.3 A-86 6-27-11 This page intentionally left blank. DOE O 473.3 Attachment 1 6-27-11 1-1 ATTACHMENT 1 CONTRACTOR REQUIREMENTS DOCUMENT

Regardless of the performer of the work, the contractor is responsible for complying with the requirements of this Contractor Requirements Document (CRD) and flowing down CRD requirements to subcontractors at any tier to the extent necessary to ensure contractor compliance. Whenever a DOE Order, Notice or Manual is referenced within the CRD, the intent is to include reference to the CRD of that directive applicable to the contract. This CRD is issued to identify requirements applicable to contractors. U.S. Department of Energy (DOE) contractors must adhere to Protective Force (PF) program standards for protecting safeguards and security (S&S) interests including, but not limited to nuclear weapons, explosives, and components; special nuclear material; vital equipment; classified matter; assets; facilities; and other areas of interest to the S&S Program such as DOE elements and their personnel. When a union is the bargaining representative of PF personnel, the contractor should be aware that it may be obligated to bargain about certain effects of implementation of this CRD, as required by the National Labor Relations Act. 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 assessment of civil penalties assessed under 42 U.S.C. 2282b are set forth in 10 CFR Part 824, Procedural Rules for the Assessment of Civil Penalties for Classified Information Security Violations. Contractors are responsible for complying with Attachments 2 and 3 to DOE 473.3 referenced in and made part of this CRD and providing program requirements and information applicable to contracts in which this CRD is inserted. Attachment 1 DOE O 473.3 1-2 6-27-11 This page intentionally left blank. DOE O 473.3 Attachment 2 6-27-11 2-1 ATTACHMENT 2 CONTRACTOR PROTECTIVE FORCE This Attachment provides information and/or requirements applicable to contracts in which the CRD (Attachment 1 to DOE O 473.3) is inserted. 1. SUMMARY. a. Sections A-L provide direction for administering the DOE contractor PF and PF firearms programs for the purposes of protecting S&S interests. b. Annex 1 provides the guidelines for legal authority, fresh pursuit, and rules of engagement. c. Annex 2 discusses performance testing used in the program. d. Annex 3 contains the provisions for implementing a canine program. e. Annex 4 provides instruction on security helicopter flight operations. 2. COMMONLY USED TERMS. Terms commonly used in the program are defined in the S&S Glossary located in the retired directive, DOE M 470.4-7, Safeguards and Security Program References located at: http://pir.pnl.gov/. In addition to those in the Glossary, the following definition is provided for use in this Order and CRD. Target Folders. Target folders provide sufficient target specific information to assist the PF and outside agencies in planning and conducting interagency compatible tactical operations. http://pir.pnl.gov/ Attachment 2 DOE O 473.3 2-2 6-27-11 This page intentionally left blank. DOE O 473.3 Attachment 2, Section A 6-27-11 2-3 SECTION A. PROTECTIVE FORCE MANAGEMENT 1. MISSION AND RESOURCE PLANNING. In accordance DOE S&S Protection Program Management requirements, PF programs, functions, or activities must

incorporate basic planning principles to ensure they accomplish their intended purpose. a. Mission. PF programs/elements, regardless of size, must clearly identify the mission to be fulfilled by the organization. Broad mission statements may be supported by establishing more specific goals and objectives for the PF element to achieve. b. Resource Requirements. PF programs/elements must document the resource requirements necessary to accomplish mission objectives successfully. Sources of these requirements may include Federal laws and regulations; DOE directives; site security plans (SSPs); protection strategies; operational needs; production, inspection, or transportation schedules; and investigative work load projections. c. Authorizations. Authorizations may be identified by full time equivalents (FTEs), the total number of personnel needed, total number of direct labor hours, and/or quantities of equipment items to perform work. d. Actuals. PF programs/elements must maintain a process that monitors and periodically reports actual personnel and sensitive equipment items currently on hand. e. Funding. PF programs/elements must develop funding requirements that provide direct relationships between costs and identified personnel and equipment authorizations. 2. OPERATIONAL GUIDANCE AND WRITTEN DIRECTIVES SYSTEM. To ensure that PF missions/functions are accomplished as intended, sufficient operational guidance must be provided through the establishment and maintenance of a formalized written directives system. a. Development. Written plans, post orders (POs), general orders (GOs), and procedures covering 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. Plans, POs, GOs, and procedures must be clear, concise, and current. b. Plans. Required protection strategies; tactical response options, actions, and times; and other applicable response requirements must be addressed in response plans. Sites implementing the DOE Tactical Doctrine must concentrate tactical resources on or around target locations. Security incident response plans (SIRPs) covering response requirements to security incidents; adversary intrusion of a Attachment 2, Section A DOE O 473.3 2-4 6-27-11 facility/site; and defense against adversary use of weapons, explosives, and chemical/biological weapons (CBW) as described in the current DOE GSP. c. Target Folders. Target folders must be developed and maintained by Tactical Doctrine sites and/or those with radiological sabotage concerns. d. Procedures. Administrative, training, and other non response related operational requirements must be addressed in procedures. e. Non DOE Law Enforcement Agency Support. If local, State, or Federal LEAs are used to protect security interests and/or to respond to security incidents, sites must establish cooperative agreements, e.g., Memoranda of Understanding outlining the specific support to be provided. These agreements must be documented in the appropriate security plan and reviewed annually. f. Configuration Control. The written directives system must incorporate a controlled and documented process that ensures that changes to operational guidance are adequately r