DOE O 473.3A, Protection Program Operations

U.S. Department of Energy ORDER Washington, DC DOE O 473.3A Approved: 3-23-2016 SUBJECT: PROTECTION PROGRAM OPERATIONS 1. PURPOSE. This Order establishes requirements for the management and operation of the Department of Energy (DOE) Federal Protective Forces (FPF) and Contractor Protective Forces (CPF), and the physical security of property and personnel under the cognizance of DOE. 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. Protection Program Operations (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 O 473.3, dated June 27, 2011, is canceled. NOTE: Safeguards and Security Alarm Management and Control Systems, of DOE O 473.3, is retained 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 (CRD) 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contract unless and until the contract or regulatory commitment is modified to either eliminate requirements that are no longer applicable or substitute a new set of requirements. 3.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) must ensure that NNSA employees comply with their respective responsibilities under this Order. Nothing in this Order must 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 Bonneville Power Administration (BPA) Administrator must 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. AVAILABLE ONLINE AT: INITIATED BY: www.directives.doe.gov Office of Environment, Health, Safety and Security http://www.directives.doe.gov/ 2 DOE O 473.3A 3-23-2016 d. DOE Contractors. (1) Except for the equivalencies/exemptions in paragraph 3.e., the CRD (Attachment 1) sets forth requirements of this Order that must apply to contracts that include the CRD. (2) The CRD must be included in the site/facility management contracts that involve classified information or nuclear materials. It must also be included in contracts that contain DOE Acquisition Regulation (DEAR) clause 952.204-2, titled Security Requirements. Departmental elements must notify contracting officers of affected site/facility management contracts to incorporate this directive into those contracts. (3) Once notified, contracting officers are responsible for incorporating this

directive into the affected contracts via the DEAR Clause 970.0470-2, Laws, Regulations, and DOE directives clause of the contracts. e. Equivalencies/Exemptions. Equivalencies and exemptions from the requirements of this Order are processed in accordance with DOE O 251.1C, Departmental Directive Program, or its successor. When conditions warrant requests for equivalencies or exemptions from the requirements in this Order, 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, this analysis must identify compensatory measures, if applicable, or alternative controls to be implemented. 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) (SP). Approved equivalencies and exemptions become a valid basis for operation when they have been entered in SSIMS and documented in the appropriate SP, and they must be incorporated into site procedures at that time. Many DOE 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 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 3 DOE O 473.3A 3-23-2016 requirements for which the NRC defers to DOE or does not exercise regulatory jurisdiction. f. Exclusion. In accordance with the responsibilities and authorities assigned by Executive Order 12344, codified at 50 U.S.C. 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) must 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 protective force (PF) and physical protection activities within DOE. The requirements for FPF can be found in Appendix A. Requirements for CPF are found in Attachment 2 and those for Physical Protection in Attachment 3. a. General. Departmental Elements 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) Requirements for the arming of DOE PF personnel, firearms operations, and physical protection of DOE security interests must be established and maintained. 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) 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 possess arming and arrest authority under the aegis of either section 161k, of the Atomic Energy Act (AEA) 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 4 DOE O 473.3A 3-23-2016 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 security plan that appropriately addresses all national and DOE requirements (see DOE O 470.4B, Admin Change 1, 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, or successor document, and used in conjunction with local threat guidance. (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) The total quantity of SNM of a site, facility, or material balance area must be protected in accordance with the appropriate Security Protection Level (SPL), unless an analysis has determined that roll up is not credible. SNM must be protected at the higher level when roll up to a higher category can occur within a single security area. (4) Sites upgrading security measures must consider the benefits provided by using security technology by conducting life cycle cost benefit analyses and 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. (5) For validation force on force (VFoF), the adversary plan must be validated as credible by the Officially Designated Federal Security Authority (ODFSA) and the Trusted Agents (TAs). This validation includes all

aspects of conducting the attack. Office of Enterprise Assessment’s (EA) performance test scenarios for force-on-force security exercises support its independent assessment of the adequacy of a site’s protection strategy and response plan execution, and are based upon the Department’s threat policy. EA will routinely conduct performance testing using scenarios representing baseline adversary threat levels and capabilities against which possessing sites are expected to achieve high system effectiveness. After coordination with the ODFSA, EA may conduct additional performance tests based on scenarios that exceed established baseline adversary threat 5 DOE O 473.3A 3-23-2016 levels and capabilities in order to maintain awareness of potential security system vulnerabilities should the threat environment change in the future. EA and ODFSA representatives will work collaboratively to plan safe and operationally credible security exercises that achieve the established test objectives and minimize exercise artificialities. Safety concerns will be resolved before a security exercise is performed. ODFSA disagreements with the credibility of EA performance test scenarios (both at and above baseline threat levels and capabilities) must be elevated through organizational management levels (up to the Deputy Secretary if necessary) until resolution is obtained. EA oversight reports will clearly delineate the nature of each performance test conducted. (6) Additional planning references may include: (a) ISC Standard, The Risk Management Process: An Interagency Security Committee Standard, August 2013, or its successor. (b) ISC Design-Basis Threat (FOUO), September 2014, or its successor. c. Implementation. Requirements that cannot be implemented within 6 months of the effective date of this Order or within existing resources must be documented by the Officially Designated Federal Security Authority (ODFSA) and submitted to the relevant program officers; the Under Secretary for Management and Performance; the Under Secretary for Science and Energy or the Under Secretary for Nuclear Security, NNSA; and the Office of Security, Office of Environment, 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. Office of Environment, Health, Safety and Security. (1) Develops DOE Policy based on authority and requirements derived from the AEA and DOE Organization Act. (2) Establishes baseline requirements for the protection of SNM, classified matter, and for physical security systems and PF operations. b. Chief Security Officers (CSO). Until DOE O 470.4B, Chg. 1, is revised, representatives of the National Nuclear Security Administration, Office of the Under Secretary for Management and Performance, and the Office of the Under Secretary for Science and Energy are responsible for: 6 DOE O 473.3A 3-23-2016 (1) Implementation of the safeguards and security programs within their respective Offices; (2) Participate in the Security Committee chaired by the Associate Deputy Secretary; (3) Identify opportunities to strengthen security strategies through enhancements to Secretarial security policies; (4) Coordinate and manage the provisions of safeguards and security support

services with their respective line management (program offices); and (5) Interface with the EAs as necessary and appropriate. NOTE: Upon the revision of 470.4B, Chg. 1, its provisions will be operative. c. DOE Line Management. (1) Provide guidance and oversight to site and facility management and operations offices that oversee physical security, PF, and PF firearms programs, for the purposes of protecting S&S interests. (2) Implement the requirements in paragraphs 4.a. through 4.c. d. Heads of Field Elements, Office of Secure Transportation (OST), Assistant Deputy Administrator (ADA), 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 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. e. ODFSA and Officially Designated Security Authority (ODSAs). Fulfill requirements and responsibilities that are delegated to them from DOE or NNSA. f. Contracting Officers. Upon notification of its applicability, incorporate the CRD into affected contracts via the process set forth in 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. 7 DOE O 473.3A 3-23-2016 6. REFERENCES. a. References commonly used in the S&S Program are located in the Office of the Associate Under Secretary for Environment, Health, Safety and Security (AU) S&S Policy Information Resource website, https://pir.doe.gov/. Non-AU policies are available on the DOE Directives Web page, www.directives.doe.gov. b. Title XXXII of P.L. 106-65, National Nuclear Security Administration Act, as amended, which established a separately organized agency within the DOE. 7. DEFINITIONS. Terms commonly used in the program are defined in the AU Policy Information Resource website, https://pir.doe.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 who 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 writing. 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 ODSA positions may be further delegated. Each delegation must be documented in writing. 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. https://pir.doe.gov/ http://www.directives.doe.gov/ https://pir.doe.gov/ 8 DOE O 473.3A 3-23-2016 8. CONTACT. Questions concerning this Order from Program Offices should be addressed to the Office of Security Policy, Office of Environment, Health, Safety and Security at 301-903-1159. Formal Policy clarifications should be directed to the Director, Office of Security, Office of Environment, Health, Safety and Security. BY ORDER OF THE SECRETARY OF ENERGY: ELIZABETH SHERWOOD-RANDALL Deputy Secretary i DOE O 473.3A 3-23-2016 TABLE OF CONTENTS PROTECTION PROGRAM OPERATIONS..................................................................................1 1. PURPOSE. ...............................................................................................................1 2. CANCELLATIONS. ...............................................................................................1 3. APPLICABILITY....................................................................................................1 4. REQUIREMENTS...................................................................................................3 5. RESPONSIBILITIES. .............................................................................................5 6. REFERENCES. .......................................................................................................7 7. DEFINITIONS.........................................................................................................7 8. CONTACT...............................................................................................................8 APPENDIX A FEDERAL PROTECTIVE FORCE....................................................... A-1 SECTION A. MANAGEMENT..................................................................................... A-5 1. MISSION AND RESOURCE PLANNING. ...................................................... A-5 2. OPERATIONAL GUIDANCE AND WRITTEN DIRECTIVES SYSTEM..... A-5 3. DOE PERSONNEL MANAGEMENT. ............................................................. A-6 4. QUALIFICATION REQUIREMENTS.............................................................. A-8 5. CONFIDENTIALITY OF INSPECTION SURVEY REVIEW AND AUDIT INFORMATION……………………………………………………………...A-13 6. CREDENTIAL AND SHIELDS. ..................................................................... A-13 7. SAFETY. .......................................................................................................... A-13 SECTION B. TRAINING............................................................................................. A-15 1. TRAINING AND QUALIFICATION. ............................................................ A-15

2. PROGRAM REQUIREMENTS....................................................................... A-15 3. OPPOSITION FORCE TRAINING. ................................................................ A-16 4. USE OF FORCE. .............................................................................................. A-16 5. WEAPONS QUALIFICATIONS..................................................................... A-16 6. KNOWLEDGE, SKILLS, AND ABILITIES (KSAS)..................................... A-16 7. SPECIAL SKILLS............................................................................................ A-17 8. SUPERVISORS................................................................................................ A-17 9. INSTRUCTORS. .............................................................................................. A-18 10. FIREARMS INSTRUCTORS. ......................................................................... A-18 11. INTERMEDIATE FORCE INSTRUCTOR CERTIFICATION (IFIC). ......... A-18 ii DOE O 473.3A 3-23-2016 12. ARMORERS..................................................................................................... A-18 13. TRAINING EXERCISES................................................................................. A-20 14. NON-DOE TRAINING COURSES................................................................. A-20 SECTION C. ADMINISTRATION ............................................................................. A-21 1. GENERAL FEDERAL PROTECTIVE FORCE (FPF) POSITIONS.............. A-21 2. EQUIPMENT. .................................................................................................. A-21 3. FACILITIES. .................................................................................................... A-22 4. SUPERVISORS................................................................................................ A-22 5. INSTRUCTORS. .............................................................................................. A-22 SECTION D. FIREARMS TRAINING ....................................................................... A-23 1. REQUIREMENTS............................................................................................ A-23 2. BASIC TRAINING. ......................................................................................... A-27 3. ADVANCED TRAINING................................................................................ A-28 4. RANGE OPERATIONS AND PROCEDURES. ............................................. A-28 5. LIVE-FIRE SHOOT HOUSE (LFSH) OPERATIONS. .................................. A-29 6. GENERAL INSTRUCTIONS FOR FIREARMS QUALIFICATION. ........... A-34 SECTION E. FIREARMS QUALIFICATIONS.......................................................... A-37 1. SCOPE. ............................................................................................................. A-37 2. REQUIREMENTS............................................................................................ A-37 3. REMEDIAL FIREARMS QUALIFICATION COURSE. ............................... A-38 4. REVIEW. .......................................................................................................... A-38 5. VALIDATION PROCESS. .............................................................................. A-38 SECTION F. FIREARMS OPERATIONS................................................................... A-41

1. BASIC CONSIDERATIONS. .......................................................................... A-41 2. AUTHORIZED FIREARMS............................................................................ A-45 3. STORAGE OF FIREARMS, AMMUNITION, PYROTECHNICS, AND EXPLOSIVES................................................................................................... A-45 4. SAFE TRANSPORTATION AND HANDLING OF MUNITIONS............... A-48 5. FIREARMS AND AMMUNITION MAINTENANCE/INSPECTION. ......... A-49 6. PYROTECHNICS AND EXPLOSIVES INSPECTION. ................................ A-51 7. INVENTORY OF FIREARMS, AMMUNITION, PYROTECHNICS, AND EXPLOSIVES................................................................................................... A-51 SECTION G. OPERATIONAL ASSURANCE........................................................... A-55 iii DOE O 473.3A 3-23-2016 ANNEX 1 OFFICE OF SECURE TRANSPORTATION........................................................ A-57 SECTION A. MANAGEMENT AND ADMINISTRATION...................................... A-59 1. MISSION AND RESOURCE PLANNING. .................................................... A-59 2. LEGAL AUTHORITY, USE OF FORCE / RULES OF ENGAGEMENT, AND FRESH PURSUIT. .................................................... A-59 3. OPERATIONAL GUIDANCE AND WRITTEN DIRECTIVES.................... A-60 4. PERSONNEL MANAGEMENT...................................................................... A-61 5. EQUIPMENT. .................................................................................................. A-65 6. FACILITIES. .................................................................................................... A-65 SECTION B. TRAINING............................................................................................. A-67 1. PROGRAM REQUIREMENTS....................................................................... A-67 2. FEDERAL AGENT INITIAL TRAINING. ..................................................... A-67 3. FEDERAL AGENT ON THE JOB TRAINING (OJT). .................................. A-68 4. FEDERAL AGENT SUSTAINMENT TRAINING. ....................................... A-68 5. FEDERAL AGENT SPECIAL SKILLS TRAINING...................................... A-68 6. FEDERAL AGENT FIREARMS TRAINING................................................. A-69 7. TRAINING INSTRUCTORS........................................................................... A-70 8. ARMORERS..................................................................................................... A-71 9. FORCE-ON-FORCE CONTROLLERS........................................................... A-72 10. OPPOSING FORCE. ........................................................................................ A-73 11. FORCE-ON-FORCE EXERCISES. ................................................................. A-74 12. NON-DOE TRAINING COURSES................................................................. A-76 SECTION C. FIREARMS AND MUNITIONS OPERATIONS................................. A-77 1. BASIC CONSIDERATIONS. .......................................................................... A-77 2. FIREARMS TRANSPORTATION OR SHIPMENT. ..................................... A-80 3. STORAGE OF FIREARMS, AMMUNITION, PYROTECHNICS, AND EXPLOSIVES................................................................................................... A-80

4. SAFE TRANSPORTATION AND HANDLING OF MUNITIONS............... A-82 5. FIREARMS AND AMMUNITION MAINTENANCE/INSPECTION. ......... A-84 6. PYROTECHNICS AND EXPLOSIVES INSPECTION. ................................ A-86 7. INVENTORY OF FIREARMS, AMMUNITION, PYROTECHNICS, AND EXPLOSIVES................................................................................................... A-86 SECTION D. OPERATIONAL ASSURANCE........................................................... A-89 iv DOE O 473.3A 3-23-2016 1. ELEMENTS OF FRIENDLY INFORMATION.............................................. A-89 2. PERFORMANCE TESTS. ............................................................................... A-89 ANNEX 2 GUIDELINES FOR LEGAL AUTHORITY/FRESH PURSUIT AND RULES OF ENGAGEMENT ............................................................................. A-93 1. LEGAL AUTHORITY, FRESH PURSUIT AND RULES OF ENGAGEMENT. ................................................................ A-93 2. FRESH PURSUIT. ........................................................................................... A-95 3. GUIDELINES FOR RULES OF ENGAGEMENT (ROE)............................ A-100 ANNEX 3 PERFORMANCE TESTING ............................................................................... A-103 1. PERFORMANCE TESTS (PTS).................................................................... A-103 2. COORDINATION.......................................................................................... A-104 3. TESTING FREQUENCY............................................................................... A-104 4. PT AND TRAINING ACTIVITIES PLANNING. ........................................ A-104 5. SAFETY. ........................................................................................................ A-107 6. COMMAND AND CONTROL...................................................................... A-107 7. ENGAGEMENT SIMULATIONS SYSTEMS (ESS). .................................. A-111 8. ESS SAFETY.................................................................................................. A-113 9. MARKING SYSTEMS ACTIVITIES. .......................................................... A-119 10. EXERCISE RULES OF ENGAGEMENT (ROE). ........................................ A-121 ANNEX 4 FEDERAL OFFICER PROGRAM ...................................................................... A-127 1. OBJECTIVE. .................................................................................................. A-127 2. POSITION DEFINITIONS AND DUTIES.................................................... A-127 3. QUALIFICATION REQUIREMENTS.......................................................... A-127 4. TRAINING REQUIREMENTS. .................................................................... A-127 ANNEX 5 DEMONSTRATOR AND PROTESTOR PLAN................................................. A-131 1. SCOPE. ........................................................................................................... A-131 2. RESPONSIBILITIES. .................................................................................... A-131 3. REQUIREMENTS.......................................................................................... A-132 4. REFERENCES. .............................................................................................. A-134 ANNEX 6 WORKPLACE VIOLENCE AND ACTIVE SHOOTER PLAN ........................ A-135

1. SCOPE. ........................................................................................................... A-135 2. RESPONSIBILITIES. .................................................................................... A-135 3. REQUIREMENTS.......................................................................................... A-136 v DOE O 473.3A 3-23-2016 4. REFERENCES. .............................................................................................. A-138 ATTACHMENT 1 CONTRACTOR REQUIREMENTS DOCUMENT ................................... 1-1 ATTACHMENT 2 CONTRACTOR PROTECTIVE FORCE ....................................... 2-3 1. SUMMARY......................................................................................................... 2-3 2. COMMONLY USED TERMS............................................................................ 2-3 SECTION A. PROTECTIVE FORCE MANAGEMENT............................................... 2-5 1. MISSION AND RESOURCE PLANNING. ....................................................... 2-5 2. OPERATIONAL GUIDANCE AND WRITTEN DIRECTIVES SYSTEM...... 2-5 3. DOE CONTRACTOR PERSONNEL MANAGEMENT. .................................. 2-6 4. QUALIFICATION REQUIREMENTS............................................................... 2-8 5. CONFIDENTIALITY OF INSPECTION SURVEY REVIEW AND AUDIT INFORMATION................................................................................................ 2-11 6. CREDENTIAL AND SHIELDS. ...................................................................... 2-11 7. ALLOCATION OF PERSONNEL RESOURCES. .......................................... 2-12 SECTION B. TRAINING.............................................................................................. 2-13 1. TRAINING AND QUALIFICATION. ............................................................. 2-13 2. PROGRAM REQUIREMENTS........................................................................ 2-13 3. OPPOSITION FORCE TRAINING. ................................................................. 2-14 4. USE OF FORCE. ............................................................................................... 2-14 5. WEAPONS QUALIFICATIONS...................................................................... 2-14 6. SPECIAL SKILLS............................................................................................. 2-15 7. CONTRACTOR PROTECTIVE FORCE SUPERVISORS. ............................ 2-15 8. INSTRUCTORS. ............................................................................................... 2-15 9. FIREARMS INSTRUCTORS. .......................................................................... 2-16 10. INTERMEDIATE FORCE INSTRUCTOR CERTIFICATION (IFIC). .......... 2-16 11. ARMORERS...................................................................................................... 2-16 12. TRAINING EXERCISES.................................................................................. 2-18 13. NON-DOE TRAINING COURSES.................................................................. 2-19 SECTION C. PROTECTIVE FORCE ADMINISTRATION....................................... 2-21 1. GENERAL CONTRACTOR PROTECTIVE FORCE POSITIONS. ............... 2-21 2. CAREER LONGEVITY PLAN. ....................................................................... 2-21

3. EQUIPMENT. ................................................................................................... 2-22 4. FACILITIES. ..................................................................................................... 2-23 vi DOE O 473.3A 3-23-2016 5. SUPERVISORS................................................................................................. 2-23 6. RESPONSE CATEGORIZATION. .................................................................. 2-23 SECTION D. SECURITY OFFICERS.......................................................................... 2-25 1. DUTIES/RESPONSE CATEGORY: RESPONSE SUPPORT......................... 2-25 2. TRAINING. ....................................................................................................... 2-25 3. EQUIPMENT. ................................................................................................... 2-26 SECTION E. SECURITY POLICE OFFICERS FIXED POST ................................... 2-29 1. DUTIES/RESPONSE CATEGORY: STATIC DEFENSE............................... 2-29 2. TRAINING. ....................................................................................................... 2-29 3. EQUIPMENT. ................................................................................................... 2-31 SECTION F. SECURITY POLICE OFFICERS I......................................................... 2-33 1. DUTIES/RESPONSE CATEGORY: ACTIVE DEFENSE. ............................. 2-33 2. TRAINING. ....................................................................................................... 2-33 3. EQUIPMENT. ................................................................................................... 2-34 SECTION G. SECURITY POLICE OFFICERS II ....................................................... 2-35 1. DUTIES/RESPONSE CATEGORY: ACTIVE DEFENSE. ............................. 2-35 2. TRAINING. ....................................................................................................... 2-35 3. EQUIPMENT. ................................................................................................... 2-37 SECTION H. SECURITY POLICE OFFICERS III...................................................... 2-39 1. DUTIES/RESPONSE CATEGORY: ACTIVE DEFENSE. ............................. 2-39 2. TRAINING. ....................................................................................................... 2-39 3. EQUIPMENT. ................................................................................................... 2-42 SECTION I. SPECIAL RESPONSE TEAM................................................................. 2-43 1. PROGRAM REQUIREMENTS........................................................................ 2-43 2. CONCEPT OF OPERATIONS. ........................................................................ 2-43 3. TRAINING. ....................................................................................................... 2-43 4. PROGRAM CERTIFICATION/RECERTIFICATION. ................................... 2-43 5. EQUIPMENT. ................................................................................................... 2-43 SECTION J. FIREARMS TRAINING.......................................................................... 2-45 1. REQUIREMENTS............................................................................................. 2-45

2. BASIC TRAINING. .......................................................................................... 2-49 3. ADVANCED TRAINING................................................................................. 2-50 vii DOE O 473.3A 3-23-2016 4. RANGE OPERATIONS AND PROCEDURES. .............................................. 2-50 5. LIVE FIRE SHOOT HOUSE OPERATIONS. ................................................. 2-51 6. GENERAL INSTRUCTIONS FOR FIREARMS QUALIFICATION. ............ 2-56 SECTION K. FIREARMS OPERATIONS................................................................... 2-59 1. BASIC CONSIDERATIONS. ........................................................................... 2-59 2. AUTHORIZED FIREARMS............................................................................. 2-63 3. STORAGE OF FIREARMS, AMMUNITION, PYROTECHNICS, AND EXPLOSIVES.................................................................................................... 2-63 4. SAFE TRANSPORTATION AND HANDLING OF MUNITIONS................ 2-66 5. FIREARMS AND AMMUNITION MAINTENANCE/INSPECTION. .......... 2-67 6. PYROTECHNICS AND EXPLOSIVES INSPECTION. ................................. 2-69 7. INVENTORY OF FIREARMS, AMMUNITION, PYROTECHNICS, AND EXPLOSIVES.................................................................................................... 2-69 8. LIVE FIREARMS INVENTORY. .................................................................... 2-69 SECTION L. FIREARMS QUALIFICATIONS........................................................... 2-71 1. SCOPE. .............................................................................................................. 2-71 2. REQUIREMENTS............................................................................................. 2-71 3. REMEDIAL FIREARMS QUALIFICATION COURSE. ................................ 2-72 4. REVIEW. ........................................................................................................... 2-72 5. VALIDATION PROCESS. ............................................................................... 2-72 SECTION M. OPERATIONAL ASSURANCE ........................................................... 2-73 1. APPRAISALS/SELF ASSESSMENTS. ........................................................... 2-73 2. PROTECTIVE FORCES SAFETY COMMITTEE. ......................................... 2-73 ANNEX 1 GUIDELINES FOR LEGAL AUTHORITY, FRESH PURSUIT, AND RULES OF ENGAGEMENT .............................................................................. 2-75 1. LEGAL AUTHORITY, FRESH PURSUIT AND RULES OF ENGAGEMENT. ................................................................. 2-75 2. FRESH PURSUIT. ............................................................................................ 2-77 3. GUIDELINES FOR RULES OF ENGAGEMENT (ROES)............................. 2-81 4. OFF-DUTY USE OF DOE IDENTIFICATION, FIREARMS, AND/OR EQUIPMENT. ................................................................................................... 2-83 ANNEX 2 PERFORMANCE TESTING .................................................................................. 2-85 1. PERFORMANCE TESTS (PTS)....................................................................... 2-85 2. COORDINATION............................................................................................. 2-87 viii DOE O 473.3A 3-23-2016

3. TESTING FREQUENCY.................................................................................. 2-87 4. PERFORMANCE TEST AND TRAINING ACTIVITIES PLANNING. ........ 2-87 5. SAFETY. ........................................................................................................... 2-90 6. COMMAND AND CONTROL......................................................................... 2-91 7. ENGAGEMENT SIMULATION SYSTEM (ESS)........................................... 2-94 8. ENGAGEMENT SIMULATION SYSTEM SAFETY. .................................... 2-96 9. MARKING SYSTEMS ACTIVITIES. ........................................................... 2-102 10. EXERCISE RULES OF ENGAGEMENT...................................................... 2-105 ANNEX 3 CANINE PROGRAM............................................................................................ 2-111 1. PURPOSE. ....................................................................................................... 2-111 2. REQUIREMENTS........................................................................................... 2-111 ANNEX 4 SECURITY HELICOPTER FLIGHT OPERATIONS ......................................... 2-113 1. PURPOSE. ....................................................................................................... 2-113 2. OPERATIONAL REQUIREMENTS.............................................................. 2-113 3. RULES OF ENGAGEMENT IN USE OF HELICOPTERS AS FIRING PLATFORMS. ................................................................................................. 2-114 ANNEX 5 DEMONSTRATOR AND PROTESTOR PLAN.................................................. 2-115 1. SCOPE…………………………………………………………………………2-115 2. RESPONSIBILITIES. ..................................................................................... 2-115 3. REQUIREMENTS........................................................................................... 2-116 4. REFERENCES. ............................................................................................... 2-118 ANNEX 6 WORKPLACE VIOLENCE AND ACTIVE SHOOTER PLAN ......................... 2-119 1. SCOPE. ............................................................................................................ 2-119 2. RESPONSIBILITIES. ..................................................................................... 2-119 3. REQUIREMENTS........................................................................................... 2-120 4. REFERENCES. ............................................................................................... 2-122 ATTACHMENT 3 PHYSICAL PROTECTION......................................................................... 3-1 SECTION A. GENERAL REQUIREMENTS ................................................................ 3-3 CHAPTER I. PROTECTION PLANNING..................................................................... 3-5 1. GENERAL REQUIREMENTS. .......................................................................... 3-5 2. PLANNING. ........................................................................................................ 3-5 3. PERFORMANCE ASSURANCE. ...................................................................... 3-6 4. PHYSICAL PROTECTION SURVEILLANCE EQUIPMENT......................... 3-6 ix DOE O 473.3A 3-23-2016 5. UNMANNED AIRCRAFT SYSTEMS .............................................................. 3-6

CHAPTER II. SECURITY AREAS................................................................................ 3-7 1. GENERAL REQUIREMENTS. .......................................................................... 3-7 2. GENERAL ACCESS AREAS (GAAS). ............................................................. 3-7 3. PROPERTY PROTECTION AREAS (PPAS).................................................... 3-7 4. LIMITED AREAS (LAS).................................................................................... 3-8 5. SPECIAL DESIGNATED SECURITY AREAS. ............................................. 3-11 6. PROTECTED AREAS (PAS). .......................................................................... 3-12 7. MATERIAL ACCESS AREAS (MAAS) ......................................................... 3-12 8. PROHIBITED AND CONTROLLED ARTICLES. ......................................... 3-12 CHAPTER III. POSTING NOTICES............................................................................ 3-15 1. GENERAL REQUIREMENTS. ........................................................................ 3-15 2. TRESPASSING. ................................................................................................ 3-15 CHAPTER IV. LOCKS AND KEYS............................................................................ 3-19 1. GENERAL REQUIREMENTS. ........................................................................ 3-19 2. CATEGORIES................................................................................................... 3-19 3. LOCK AND KEY STANDARDS..................................................................... 3-19 4. INVENTORY. ................................................................................................... 3-21 5. LEVEL I SECURITY KEYS AND LOCKS..................................................... 3-22 6. LEVEL II SECURITY KEYS AND LOCKS. .................................................. 3-22 7. LEVEL III SECURITY KEYS AND LOCKS. ................................................. 3-23 CHAPTER V. MAINTENANCE .................................................................................. 3-25 1. GENERAL REQUIREMENTS. ........................................................................ 3-25 2. CORRECTIVE MAINTENANCE. ................................................................... 3-25 3. PREVENTIVE MAINTENANCE..................................................................... 3-25 4. MAINTENANCE PERSONNEL SECURITY CLEARANCES. ..................... 3-25 5. TESTING AND MAINTENANCE OF SCREENING EQUIPMENT. ............ 3-26 6. RECORD KEEPING. ........................................................................................ 3-27 CHAPTER VI. BARRIERS........................................................................................... 3-29 1. GENERAL REQUIREMENTS. ........................................................................ 3-29 2. PENETRATION OF SECURITY AREA BARRIERS..................................... 3-29 3. HARDWARE. ................................................................................................... 3-30 x DOE O 473.3A 3-23-2016 4. FENCING. ......................................................................................................... 3-30 5. PERIMETER BARRIER GATES. .................................................................... 3-31 6. EXTERIOR WALLS. ........................................................................................ 3-31

7. CEILING AND FLOORS.................................................................................. 3-31 8. DOORS. ............................................................................................................. 3-31 9. WINDOWS........................................................................................................ 3-32 10. MISCELLANEOUS OPENINGS. .................................................................... 3-32 CHAPTER VII. COMMUNICATIONS, ELECTRICAL POWER AND LIGHTING 3-35 1. COMMUNICATIONS. ..................................................................................... 3-35 2. ELECTRICAL POWER. ................................................................................... 3-35 3. LIGHTING. ....................................................................................................... 3-35 CHAPTER VIII. SECURE STORAGE......................................................................... 3-37 1. GENERAL REQUIREMENTS. ........................................................................ 3-37 2. VAULTS AND VAULT TYPE ROOMS. ........................................................ 3-37 3. VAULT-TYPE ROOM COMPLEX.................................................................. 3-40 4. INTRUSION DETECTION SYSTEMS............................................................ 3-41 5. SECURITY CONTAINERS.............................................................................. 3-41 6. NON-CONFORMING STORAGE. .................................................................. 3-42 CHAPTER IX. INTRUSION DETECTION AND ASSESSMENT SYSTEMS.......... 3-43 1. GENERAL REQUIREMENTS. ........................................................................ 3-43 2. INTERIOR IDS REQUIREMENTS.................................................................. 3-44 3. EXTERIOR IDS REQUIREMENTS. ............................................................... 3-45 4. RADIO FREQUENCY ALARM COMMUNICATIONS. ............................... 3-46 5. PROTECTION OF IDSS................................................................................... 3-46 6. ELECTRICAL POWER. ................................................................................... 3-50 7. ASSESSMENT OF IDS ALARMS................................................................... 3-51 CHAPTER X. ENTRY/EXIT SCREENING ................................................................ 3-53 1. GENERAL......................................................................................................... 3-53 2. ENTRY/EXIT INSPECTIONS. ........................................................................ 3-54 CHAPTER XI. DOE SECURITY BADGE, CREDENTIAL, AND SHIELD PROGRAM3-57 1. GENERAL REQUIREMENTS. ........................................................................ 3-57 2. TYPE OF DOE BADGE. .................................................................................. 3-58 xi DOE O 473.3A 3-23-2016 3. ISSUANCE, USE, RECOVERY, AND DESTRUCTION OF DOE SECURITY & LSSO BADGES OR FIREARMS CREDENTIALS. ...... 3-61 4. ACCOUNTABILITY OF DOE SECURITY BADGES. .................................. 3-63 5. PROTECTION OF DOE BADGE MATERIALS AND EQUIPMENT........... 3-63 6. DOE SECURITY BADGE VALIDATION. ..................................................... 3-64 7. DOE SECURITY BADGE RECIPIENT REQUIREMENTS........................... 3-64 8. DOE PIV CREDENTIAL HSPD 12 REQUIREMENTS.................................. 3-64

9. CREDENTIALS AND SHIELDS. .................................................................... 3-64 SECTION B. PROTECTION OF CATEGORY III AND IV SPECIAL NUCLEAR MATERIAL................................................................................... 3-69 CHAPTER I. PROTECTION OF CATEGORY III AND IV SPECIAL NUCLEAR MATERIAL.................................................................. 3-71 1. GENERAL REQUIREMENTS. ........................................................................ 3-71 2. CATEGORY III QUANTITIES OF SNM. ....................................................... 3-71 3. CATEGORY IV QUANTITIES OF SNM. ....................................................... 3-71 CHAPTER II. ALARM MANAGEMENT AND CONTROL SYSTEM ..................... 3-73 1. GENERAL REQUIREMENTS. ........................................................................ 3-73 2. ALARM STATIONS......................................................................................... 3-73 3. COMMERCIAL CENTRAL ALARM STATIONS. ........................................ 3-73 CHAPTER III. INTRUSION DETECTION AND ASSESSMENT SYSTEMS .......... 3-75 1. PROTECTING SPECIAL NUCLEAR MATERIAL........................................ 3-75 2. INTERIOR INTRUSION DETECTION SYSTEM. ......................................... 3-75 3. EXTERIOR IDS. ............................................................................................... 3-75 4. ASSESSMENT SYSTEMS............................................................................... 3-76 5. PERFORMANCE TESTING. ........................................................................... 3-76 6. MAINTENANCE. ............................................................................................. 3-76 CHAPTER IV. COMMUNICATIONS......................................................................... 3-79 1. RADIO FREQUENCY ALARM COMMUNICATIONS FOR INTRUSION DETECTION SYSTEMS. ................................................................................. 3-79 2. OTHER REQUIREMENTS. ............................................................................. 3-79 3. RISK ASSESSMENT........................................................................................ 3-80 CHAPTER V. PROTECTION DURING TRANSPORTATION ................................. 3-81 1. GENERAL REQUIREMENTS. ........................................................................ 3-81 xii DOE O 473.3A 3-23-2016 2. CATEGORY III QUANTITIES OF SNM. ....................................................... 3-81 3. CATEGORY IV QUANTITIES OF SNM. ....................................................... 3-82 SECTION C. PROTECTION OF NUCLEAR WEAPONS, COMPONENTS, AND CATEGORY I AND II SPECIAL NUCLEAR MATERIAL ........................... 3-83 CHAPTER I. PROTECTION OF NUCLEAR WEAPONS, COMPONENTS, AND CATEGORY I AND II SPECIAL NUCLEAR MATERIAL ........................... 3-85 1. GENERAL REQUIREMENTS. ........................................................................ 3-85 2. CATEGORY I QUANTITIES OF SNM........................................................... 3-85 3. CATEGORY II QUANTITIES OF SNM.......................................................... 3-86 4. PROTECTED AREAS. ..................................................................................... 3-86 5. MATERIAL ACCESS AREAS......................................................................... 3-90

CHAPTER II. ALARM MANAGEMENT AND CONTROL SYSTEM ..................... 3-93 1. GENERAL REQUIREMENTS. ........................................................................ 3-93 2. CLOSED CIRCUIT TELEVISION (CCTV) SYSTEM.................................... 3-94 CHAPTER III. COMMUNICATIONS, ELECTRICAL POWER, AND LIGHTING. 3-95 1. COMMUNICATIONS. ..................................................................................... 3-95 2. ELECTRICAL POWER. ................................................................................... 3-97 3. LIGHTING. ....................................................................................................... 3-98 CHAPTER IV. INTRUSION DETECTION AND ASSESSMENT SYSTEMS........ 3-101 1. GENERAL REQUIREMENTS. ...................................................................... 3-101 2. EXTERIOR INTRUSION DETECTION SYSTEM. ...................................... 3-101 CHAPTER V. ACCESS CONTROLS AND ENTRY/EXIT INSPECTIONS ........... 3-103 1. ACCESS CONTROL SYSTEMS AND ENTRY CONTROL POINTS......... 3-103 2. AUTOMATED ACCESS CONTROL SYSTEMS. ........................................ 3-103 3. ENTRY/EXIT INSPECTIONS. ...................................................................... 3-103 4. EMERGENCY PERSONNEL AND VEHICLES. ......................................... 3-103 CHAPTER VI. SECURE STORAGE ......................................................................... 3-105 1. SPECIAL NUCLEAR MATERIAL VAULT. ................................................ 3-105 2. VAULT DOOR................................................................................................ 3-105 3. WALL PENETRATIONS. .............................................................................. 3-105 CHAPTER VII. PROTECTIVE FORCE POSTS ....................................................... 3-107 1. SPECIAL NUCLEAR MATERIAL ACCESS................................................ 3-107 2. PF TOWERS.................................................................................................... 3-107 xiii DOE O 473.3A 3-23-2016 3. FIGHTING POSITIONS. ................................................................................ 3-107 CHAPTER VIII. BARRIERS...................................................................................... 3-109 1. GENERAL REQUIREMENTS. ...................................................................... 3-109 2. PENETRATION OF SECURITY AREA BARRIERS................................... 3-109 3. BARRIERS DELAY MECHANISMS............................................................ 3-110 4. ACTIVATED BARRIERS, DETERRENTS, AND OBSCURANTS. ........... 3-110 5. VEHICLE BARRIERS.................................................................................... 3-110 CHAPTER IX. PROTECTION DURING TRANSPORTATION.............................. 3-111 1. GENERAL REQUIREMENTS. ...................................................................... 3-111 2. OFFSITE SHIPMENT..................................................................................... 3-111 3. ONSITE SHIPMENTS. ................................................................................... 3-111 CHAPTER X. MAINTENANCE 1. MAINTENANCE. ........................................................................................... 3-113 2. PREVENTIVE MAINTENANCE................................................................... 3-113 3. MAINTENANCE PERSONNEL SECURITY CLEARANCES. ................... 3-113

4. TESTING AND MAINTENANCE OF SCREENING EQUIPMENT. .......... 3-113 5. RECORD KEEPING. ...................................................................................... 3-114 ANNEX 1 SAFEGUARDS AND SECURITY ALARM MANAGEMENT AND CONTROL SYSTEMS (SAMACS).................................................................. 3-115 3-113 DOE O 473.3A Appendix A 3-23-2016 A-1 (and A-2) APPENDIX A FEDERAL PROTECTIVE FORCE  Sections A-G provides direction for administering the DOE FPF and FPF firearms programs for the purposes of protecting S&S interests.  Annex 1 provides requirements for the Office of Secure Transportation.  Annex 2 provides guidelines for legal authority, fresh pursuit, and rules of engagement.  Annex 3 discusses performance testing used in the program.  Annex 4 contains requirements specific to the Department’s Federal Officer (FO) program.  Annex 5 provides requirements on demonstrator and protestor plans.  Annex 6 provides requirements on workplace violence and active shooter plans. DOE O 473.3A Appendix A, Section A 3-23-2016 A-3 (and A-4) Notices This FPF section is intended for the exclusive use of elements of the DOE, to include the NNSA, their contractors, and other government agencies/individuals authorized to use DOE facilities. DOE disclaims any and all liability for personal injury or property damage due to use of this document in any context by any organization, group, or individual, other than during official government activities. Local DOE management is responsible for the proper execution of firearms-related programs for DOE entities. Implementation of this document’s provisions constitutes only one segment of a comprehensive firearms safety, training, and qualification program designed to ensure that armed DOE protective force personnel are able to discharge their duties safely, effectively, and professionally. Because firearms-related activities are inherently dangerous, proper use of any equipment, procedures, or techniques etc., identified herein can only reduce, not entirely eliminate, all risk. A complete safety analysis that accounts for all conditions associated with intended applications is required prior to the contents of this document being put into practice.. DOE O 473.3A Appendix A, Section A 3-23-2016 A-5 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 should be supported by establishing more specific goals and objectives for the FPF element to achieve. These goals and objectives must include the protection of Department personnel and assets through the exercise of authorities granted by enabling legislation and Federal regulations. b. Resource Requirements. FPF programs/elements must document resource requirements necessary to successfully accomplish mission objectives. Sources of these requirements may include Federal laws and regulations; DOE directives; SPs; protection strategies; operational needs; production, inspection or transportation schedules; and investigative workload projections. c. Authorizations. Authorizations may be identified in terms of 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 tracks numbers of assigned personnel and sensitive equipment items (e.g., military/ law enforcement equipment restricted from public sale) currently on hand. Equipment inventories must occur at least annually. 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. Appendix A, Section A DOE O 473.3A A-6 3-23-2016 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 non-violent protestor/demonstrator intrusions, active shooter events (see Appendix A, Annex 5 and 6 of this Order), containment, denial, recapture, recovery and pursuit strategies and to support interruption/neutralization operations before completion of adversary task times. Federal Agent (FA) plans must provide response direction based on Commanders Intent and FA tactical response procedures. c. SOPs. Administrative, training, and other non-response-related operational requirements, which include specific rules of engagement (see Annex 2 of this Appendix), must be addressed in procedures. Detailed additional program specific requirements for the FA and Special Agent (SA) programs must be provided in SOPs developed and approved by the Office of Secure Transportation (OST) and the Office of Environment, Health, Safety and Security respectively. Other Offices with FO programs see Annex 4 of this Appendix for baseline SOP requirements. d. Desktop Procedures. A detailed written description of a basic task needed to accomplish a specified job efficiently, effectively, and/or safely. 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 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 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 DOE O 473.3A Appendix A, Section A 3-23-2016 A-7 requirements for the FPF positions identified below are contained in this Order and applicable guidelines. This Order (473.3A) does not extend criminal law enforcement authority and jurisdiction beyond what is permissible under the AEA (42 U.S.C. 2201(k)), and 42 U.S.C. 7270a (Guards for Strategic Petroleum Reserves) or that provided pursuant to deputation by the U.S. Marshals Service. Armed DOE FPFs do not have off duty Federal authority to carry firearms or make arrests. While SA’s/FA’s have no off duty arrest authority, they may remain armed as approved by the Office of Corporate Security Strategy, Analysis and Special Operations, or, for OST, the Assistant Deputy Administrator. (1) 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 have no arrest authority. (2) FAs are Federal employees of the DOE OST who require firearms/arrest authority pursuant to section 161 k of the AEA [42 U.S.C. 2201(k)] as an official function or duty. (3) FOs (armed) are Federal employees who require firearms/arrest authority pursuant to section 161 k of the AEA [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) SAs are Federal employees of the DOE Office of Corporate Security Strategy, Analysis and Special Operations, who require firearms/arrest authority pursuant to section 161 k of the AEA (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 §712.10(a)(1) through (3), at locations where armed personnel are in HRP, armorers with unescorted access to weapons must be enrolled in the HRP. c. Training. See DOE O 360.1C, Federal Employee Training; DOE O 470.4B, Admin Change 1, Safeguards and Security Program, and this Order. FPF activities may be conducted under the aegis of other Federal agencies, e.g., at the Federal Law Enforcement Training Center (FLETC) or U.S. Department of Defense facilities. d. Records. See Schedule 18 of the General Records Schedule (GRS) or the DOE Records Schedules. Appendix A, Section A DOE O 473.3A A-8 3-23-2016 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, Admin Change 1, Safeguards and Security Program, and, where appropriate, DOE

O 231.1B, 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 O 221.2A, Cooperation with the Office of Inspector General. 4. QUALIFICATION REQUIREMENTS. FPF personnel must comply with the Departmental medical, physical readiness, and firearms qualifications and training requirements, as applicable. All FPF personnel are subject to both Federal and Departmental drug testing requirements, e.g., DOE O 343.1, Federal Substance Abuse Testing Program. a. Security Clearance. (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 O 472.2, Change 1, Personnel Security. (2) Armed FPF personnel must have at least a background investigation based upon a national agency check, with local agency and credit check (NACLC), or equivalent, with maximum duration between reinvestigations not to exceed 10 years. This background investigation must be favorably adjudicated by the applicable Departmental field element. (3) FPF personnel with access to nuclear weapons, nuclear test devices, complete nuclear assemblies, Category I and II quantities of SNM; or with access to credible roll-up to Category I/II, according to site-specific determination, must possess Q security clearances. b. Medical, Physical Readiness, 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 readiness, 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 annually to medical and physical readiness standards as contained in 10 CFR Part 1046, Protective Force Personnel Medical, Physical Readiness, Training, and Access Authorization Standards or those more stringent requirements specified in a validated Office of Corporate Security Strategy, Analysis DOE O 473.3A Appendix A, Section A 3-23-2016 A-9 and Special Operations or Office of Secure Transportation Medical and Physical Readiness SOPs. In addition to the requirements identified in 10 CFR Part 1046, to be job related, the maximum amount of weight or resistance to be used for DOE related physical readiness training is 70 percent of the individual’s bodyweight, unless a greater weight is established by a site specific Job Analysis/Mission Essential Task List (JA/METL). (2) Physical Protection Medical Director (PPMD). When used for FO Programs, PPMDs must meet nomination and qualification requirements of §1046.4(b). PPMDs have annual reporting requirements pursuant to 10 CFR §1046.4(e) & (g). Templates for site specific reports, which are responsive to those requirements, can be found on the Office of Security Policy website located at: https://powerpedia.energy.gov/wiki/Protective_force_supplement_docume nts or by email to: security.directives@hq.doe.gov. (3) Designated Physician. When used for FO Programs, Designated Physicians must meet the nomination prerequisites of §1046.4(b) to

include board certification or board eligibility in occupational medicine whether nominated or approved in lieu of nomination pursuant to §1046.5(c). Designated Physicians must perform medical certifications pursuant to 10 CFR §1046.5 and §1046.13. Additionally, pursuant to 10 CFR §1046.16, Designated Physicians must conduct reasonable expectation determinations of Basic and Advanced Readiness Standard abilities to meet applicable readiness standards. Templates for site specific documentation responsive to the above requirements can be found on the Office of Security Policy website located at: https://powerpedia.energy.gov/wiki/Protective_force_supplement_docume nts or by email to: security.directives@hq.doe.gov. (4) Psychologist and Psychiatrist. All psychologists or psychiatrists performing evaluations pursuant to §1046.13 must be current in licensure for the state in which those evaluations are conducted, be a member in good standing of all applicable boards, and document all restrictions or limitations of practice (past and present). The DOE or PPMD may instruct the individual to authorize such licensing agencies and boards to provide such certifications or documents to DOE or the PPMD. Local DOE or the PPMD shall provide copies of the documentation to the DOE Chief Medical Officer or the applicable organization in the NNSA, as appropriate. c. Confidentiality of Medical Information. The DOE-designated physician must notify FPF management of medical restrictions. FPF management must approve and implement site/organization-specific plans to ensure confidentiality of FPF medical information. https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents mailto:security.directives@hq.doe.gov https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents mailto:security.directives@hq.doe.gov Appendix A, Section A DOE O 473.3A A-10 3-23-2016 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 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 an 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 Environment, Health, Safety and Security. They are located at: https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents or by email to: security.directives@hq.doe.gov. Firearms operations must be in accordance with requirements outlined in this Order and the approved DOE or FLETC firearms qualification courses. NOTE: Reference to firearms through this Order is limited to those owned by

DOE and does not include privately owned weapons unless specifically identified as such. f. Suspending/Revoking Authority. The ODFSA; the Director, Office of Corporate Security Strategy, Analysis and Special Operations; or the Director, Office of Security Operations must 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. https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents mailto:security.directives@hq.doe.gov DOE O 473.3A Appendix A, Section A 3-23-2016 A-11 (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 or favorably adjudicated background investigation 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: In the event that an FO/FA/SA’s DOE credentials are suspended or revoked, they must also surrender any other issued arming and arrest credentials, e.g., U.S. Marshals Service Special Deputation. 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 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 with each firearm that is reasonably expected to be used during duty assignment. (1) Initial firearms qualifications and semiannual (every 6 months) 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 must result in suspension of the authority to carry firearms and make arrests. Upon failure, an FO/FA/SA must enter a standardized remedial firearms training program approved by the NTC or FLETC. The remedial firearms training program must include basic firearm manipulation skills, firearms safety, and necessary individual Appendix A, Section A DOE O 473.3A A-12 3-23-2016 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) Requalification must occur semiannually (every 6 months), no later than 30 days after six months from the previous qualification. In the case of individually assigned/primary weapons, if the FO/FA/SA does not re- qualify during the re-qualification period, the individual's authority to be armed and to make arrests must be suspended following the unsuccessful qualification attempts 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 must be treated as if the individual failed the first attempt during semiannual qualification. Procedures in paragraph 4.g.(3) above must be followed in the event of a failure or unauthorized absence (e.g., without presenting documentation from a licensed physician indicating a valid reason to defer participation in the qualification). 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 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 Director, Office of Security or the Assistant Deputy Administrator for Secure Transportation, as applicable, with concurrence by the DOE Office of the General Counsel or the 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. DOE O 473.3A Appendix A, Section A 3-23-2016 A-13 (and A-14) (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. CONFIDENTIALITY OF INSPECTION SURVEY REVIEW AND AUDIT INFORMATION. PF management or supervision may be provided testing materials, scenarios, or other related materials in confidence during an inspection, survey, review, audit, or other situations. See DOE O 227.1A, Independent Oversight Program or it’s successor document. Recipients of such information are considered Trusted Agents (see Attachment 2, Annex, 2, 6.c.(9)) and must not further divulge it without expressed permission by a representative of the inspecting organization. If a Trusted Agent has been found to knowingly/willfully compromise testing information/materials, he/she may be subjected to administrative actions, up to and including termination. 6. CREDENTIAL AND SHIELDS. Please see Attachment 3, Section A, Chapter XI. 7. 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.

DOE O 473.3A Appendix A, Section B 3-23-2016 A-15 SECTION B. TRAINING 1. TRAINING AND QUALIFICATION. a. The ODFSA must establish a formal training and qualification program to meet requirements for FO, FA, and SA as applicable to the site/facility/organization. Physical readiness qualification requirements must be based on assigned functions, 10 CFR Part 1046, DOE and/or Office of Personnel Management requirements, or those more stringent requirements specified in a validated Office of Corporate Security Strategy, Analysis and Special Operations or the Office of Secure Transportation’s SOP 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 JA/METL detailing the required actions or functions for each specific job assignment, or those specified in a validated Office of Corporate Security Strategy, Analysis and Special Operations or Office of Secure Transportation SOP. NOTE: DOE considers the METL process as equivalent to the JA process. d. The JA/METL 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 an FPF officer who has been deployed to military active duty for up to 36 months, may return to active status after successfully completing prescribed refresher training for the assigned position, obtaining appropriate medical approvals, demonstrating applicable physical readiness and firearms qualification standards, and completion of other applicable program requirements, e.g., human reliability program. 2. PROGRAM REQUIREMENTS. Formal training and qualification programs, including OST’s must meet both policy requirements established by the DOE and the TAP program requirements established by the National Training Center (NTC). Appendix A, Section B DOE O 473.3A A-16 3-23-2016 3. OPPOSITION FORCE TRAINING. FPF personnel participating in performance tests as GSP Policy comparable adversary combatants must be trained in tactics and techniques to challenge the ability of the FPF to defeat an armed adversary and to meet the performance metrics reflected in the GSP. The training should enable the OPFOR to conduct performance tests with the appropriate level of skills and knowledge necessary to simulate representative adversaries. Use of the NTC Opposition Force course is encouraged. 4. USE OF FORCE. All FPF Officers must be trained on appropriate use of force, legal authority, and rules of engagement. See Appendix A, Annex 2 of this Order. Armed FPF Officers use of force training must include appropriate use of reasonable force based

upon objective reasonableness. NOTE: Objective reasonableness is based upon the totality of circumstances known to the officer at the moment force was used. When the need for the application of force has been determined, an officer must make his/her force-option decision based on the actions of the threat or suspect. If the suspect is non-resistive and compliant, the officer will have no reason to have a force response. It is the suspect’s actions that determine an officer’s appropriate response. 5. WEAPONS QUALIFICATIONS. a. Each FO/FA/SA must qualify semiannually (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. Use of weapon system simulators for one of the two required semiannual qualifications for primary/individually-issued weapons required by duty assignment must be approved by the Program Office. b. Where DOE standardized firearms qualification courses do not exist for a weapon or weapons system (e.g., hand grenade, 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. After being concurred on by the local ODFSA, the developed courses must be submitted to the respective Program Office for review and approval for site use. c. Prior to adding new firearms courses of fire (COF) to the suite of Departmentally- approved courses, AU must follow the process outlined in Protective Force Firearms Qualification Courses, Chapter II, DOE Firearms Qualification Course Development Process, to ensure appropriate review by knowledgeable subject matter experts. 6. KNOWLEDGE, SKILLS, AND ABILITIES (KSAs). KSAs necessary to competently perform the tasks associated with assigned FPF duties must be identified based on the DOE O 473.3A Appendix A, Section B 3-23-2016 A-17 analysis applicable for each job assignment. FPF personnel must demonstrate familiarity with, and knowledge of, the responsibilities identified in the JA/METL 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/METL, 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 to include site specific rules of engagement; 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. 7. SPECIAL SKILLS.

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, flight crews, instructors, armorers, Central Alarm Station (CAS) operators, crisis negotiators, investigators, canine handlers, exercise controllers/evaluators or law enforcement specialists. c. Each crisis negotiator must have successfully completed an NTC approved crisis negotiation course, which meets the requirements of DOE policy. 8. 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/METL. Appendix A, Section B DOE O 473.3A A-18 3-23-2016 9. INSTRUCTORS. All training must meet the requirements established by DOE policy. All personnel assigned instructor duties for FPF personnel must be currently certified to the level of training required to deliver FLETC or NTC courses, as applicable. a. Certification Requirements. At a minimum, the current instructor certification requirements must be met. b. Recertification. The applicable minimum FPF instructor recertification requirements contained in DOE policy must be met. FPF management must ensure that each non-FLETC instructor is evaluated for competency at least once every 36 months or more frequently as established by the NTC for specific courses of instruction. 10. FIREARMS INSTRUCTORS. Before initial assignment to duty as a firearms instructor at a DOE site, personnel must at least successfully complete the DOE NTC or an approved FLETC Firearms Instructor Course (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/METL and be approved by the ODFSA. b. Recertification. DOE or FLETC firearms instructor recertification must be met at least once every 3 years. Requirements of other organizations must be approved by DOE. 11. INTERMEDIATE FORCE INSTRUCTOR CERTIFICATION (IFIC). Before initial assignment to duty as intermediate force instructors, personnel must successfully complete the DOE IFIC course or the Law Enforcement Control Tactics Instructors course provided by FLETC. 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/METL

and approved by the ODFSA. b. Recertification. The applicable DOE or FLETC intermediate force instructor recertification requirements must be met at least every 36 months or more frequently as may be required by the NTC recertification program. 12. ARMORERS. All armed sites, including the NTC, must have (onsite, under contract offsite, or in association with another DOE site) an armorer with the knowledge, DOE O 473.3A Appendix A, Section B 3-23-2016 A-19 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 Director, Office of Security, or from the Associate Administrator for Defense Nuclear Security, in coordination with the Director, Office of Security, as applicable. At a minimum, armorers must have a favorably adjudicated NACLC, or equivalent. Additionally, at sites where the FPF is in HRP, the Armorer also must be enrolled in the HRP before receiving unescorted access to perform maintenance on weapons. a. Certification. Armorer certification must be in accordance with DOE policy requirements. The DOE armorer must successfully complete the DOE Armorer Certification Course as approved by the Director, NTC. Where available and when such courses for specialty weapons are not offered by the NTC, a military armorer course or a manufacturer’s course may be used for weapons employed for site use after approval by the NTC. b. Recertification. Armorer recertification must be in accordance with NTC, DoD, or FLETC requirements to include the following: (1) The NTC must evaluate each armorer for competency and recertification once every three years. When a manufacturer’s course is required because NTC, DoD, or FLETC courses do not exist, recertification must occur at least every 3 years, even if a longer duration is recommended by the manufacturer. NTC’s armorers must be authorized in writing by the Director, NTC. 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 recertification 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; Appendix A, Section B DOE O 473.3A A-20 3-23-2016 (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; (i) having armorer currency in factory requirements for the specific weapons systems available for use onsite; and (j) ESS Modifications. c. Refresher Training. Each armorer must successfully complete formal refresher training, as 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 based on manufacturer’s or military armorer course for the specific weapons employed for site use, where available, and when such courses are not offered by the NTC. 13. TRAINING EXERCISES. Exercises and performance tests of various types must be included in the training process for the purposes of achieving and maintaining skills and assessing individual and team competency levels. The types and frequency of training exercises must be based on the training needs analysis and approved by the ODFSA. 14. 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 FLETC. Private training courses, and the ranges or facilities on which they are conducted, must be consistent with applicable State, Federal (e,g., military) or national standards of instruction (e.g., for firearms instruction, National Rifle Association). DOE O 473.3A Appendix A, Section C 3-23-2016 A-21 SECTION C. ADMINISTRATION 1. GENERAL FEDERAL PROTECTIVE FORCE (FPF) POSITIONS. FPF positions include both armed and unarmed positions for the purpose of protecting 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 Director, Office of Corporate Security Strategy, Analysis and Special Operations or the ODFSA may or may not possess firearms/arrest authority pursuant to section 161 k of the AEA [42 U.S.C. 2201(k)] or section 661 of the DOE Organization Act [42 U.S.C. 7270a]. c. Special Agents (SAs). Armed DOE Federal employees designated as SAs by the Director, Office of Corporate Security Strategy, Analysis and Special Operations who possess firearms/arrest authority pursuant to section 161 k of the Atomic Energy Act, and are deputized by the U.S. Marshals Service. 2. EQUIPMENT. a. In accordance with the requirements identified in the approved JA/METL, 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 SP 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. c. Optical Devices/Corrective Lenses. (1) Eyeglasses worn by FPF personnel to meet medical standards must meet ANSI Z87.1 Standard. (2) FPF whose uncorrected distant vision in the better eye is less than 20/40 must carry an extra pair of eyeglasses or corrective lenses. Appendix A, Section C DOE O 473.3A A-22 3-23-2016 d. Unmanned Aircraft Systems. If used, see Attachment 3, Section A, Chapter 1 for implementation guidance. 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- 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, Admin Change 1, 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/METL 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 must be completed within one year of assignment to instructor duties unless an extension is granted by the ODFSA. Instructors must demonstrate knowledge of the responsibilities identified in the JA/METL and proficiency in the skills and abilities necessary to instruct assigned subjects. Persons assigned as Intermittent Part Time (IPT) staff may be used in lieu of full time staff when necessary. IPT’s must hold a NTC certification for FIC or an equivalent. All IPT’s must work under direct observation of full-time Instructors while conducting any training. An IPT that holds current law-enforcement training duties may apply for a waiver for qualifications and refresher training as long as the qualifications and refresher training meets DOE policy requirements and the training program standards of the NTC. IPT’s must only be used for that training he/she is qualified to teach. DOE O 473.3A Appendix A, Section D 3-23-2016 A-23 SECTION D. FIREARMS TRAINING 1. REQUIREMENTS. Firearms training programs must be based on criteria established by the 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, proficiency testing, 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. Instructional guidelines for all firearms training must be available for review by appropriate safety and security personnel. Such instructional guidelines must incorporate safety in addition to other training objectives and task performance standards. The DOE NTC must provide training on how to develop the categorical information to be contained in typical instructional guidelines for training performed at DOE facilities. This training must be provided via the Basic Instructor Training course and its prerequisites, or a recognized equivalent basic instructor course. (1) Lesson plans or instructional guidelines 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 or instructional guidelines 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 FPF personnel at least annually (every 12 months) or more frequently if significant revisions are made in the training program. The ODFSA and Appendix A, Section D DOE O 473.3A A-24 3-23-2016 safety personnel review and approve SOPs initially and whenever significant changes are made. 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) Unauthorized discharge, as defined by the site and the circumstances, must result in immediate removal of the FPF member from the range until the cause has been determined and any required retraining has been completed. (2) Covering an individual with the muzzle of a firearm must result in the immediate removal of the FPF member from the range until retraining has been completed. (3) Until the firing line has been declared safe by the firearms instructor, shooters must not move past or bend over on the line. Violation of this rule must result in immediate removal of the FPF member from the range until retraining has been completed. (4) Failure to obey safety related commands must result in immediate removal of the FPF member from the range until retraining has been completed. (5) It is mandatory to use approved eye and ear protection and other PPE as required by the range safety officer. (6) Unsafe conditions must be reported immediately to an instructor. (7) A firearm may only be exchanged with another shooter under the direct supervision of an instructor. (8) Firearms must not be left unattended or unsecured. (9) Firearm loading and firing may commence only on command.

(10) 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. DOE O 473.3A Appendix A, Section D 3-23-2016 A-25 (11) All shooters must be trained on what constitutes an unsafe condition and to shout “cease fire” when such a condition is observed. (12) Smoking, eating, or drinking must be prohibited while shooting. (13) Alcoholic beverages and drugs are prohibited on firing ranges. Shooters taking medication must report this fact to the Designated Physician or other appropriate medical professional before reporting to the firing line. The medical professional shall be responsible for determining whether a shooter is fit to use the range. The determination must 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. Where the firearms instructor has reason to believe a shooter is unfit to use the range, the firearms instructor shall refer the shooter to the Designated Physician or other appropriate medical professional. Shooters must take precautions to prevent hot spent cartridges and gunshot residues from getting inside their clothing. (14) 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. (15) Shooters must collect unexpended ammunition and return it to a firearms instructor. (16) While a firearm is being cleaned, live ammunition must not be allowed in the cleaning area. h. All firearms training, proficiency testing, 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 explosive projectile or grenade (e.g., M 79, M 203, M 72, M 67). (c) 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 15 degrees. (d) Any initial shoot on the move live fire training. Appendix A, Section D DOE O 473.3A A-26 3-23-2016 (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 reduced light fire in semiautomatic mode and handguns, and 5 initial training in semiautomatic mode and handguns. (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. (4) One instructor to no more than 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 may be assigned range safety responsibilities, when 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"). The lead instructor 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 DOE O 473.3A Appendix A, Section D 3-23-2016 A-27 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 involving 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 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; Appendix A, Section D DOE O 473.3A A-28 3-23-2016 (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 2.c. 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. 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 reduced light firing. These day and reduced light 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. Training sufficient to address gunshot wounds must also be provided. h. Medical equipment must be available at a live fire range as determined by the cognizant site Physical Protection Medical Director 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. DOE O 473.3A Appendix A, Section D 3-23-2016 A-29 Emergency response drills must be carried out annually (at least every 12 months) to test personnel preparedness in implementing the plan. j. Employee health hazards must comply with the requirements to 29 CFR Part 1960, Basic Program Elements For Federal Employee Occupational Safety And Health Programs And Related Matters, (for example, employee exposure to lead must follow the requirements in 29 CFR §1910.1025; and for noise exposures, the requirements in 29 CFR §1910.95). k. A communications system with backup (e.g., telephone and two-way radio) must be available at each live fire range. l. Live fire ranges must be equipped with sufficient lighting to ensure safe reduced light firing exercises. m. 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 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) A qualified LFSH Instructor is one that has successfully completed the Live Fire Shoot House Instructor Certification course; ; (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. Appendix A, Section D DOE O 473.3A A-30 3-23-2016 (4) Instructor. All activities conducted within the LFSH, whether live- or dry- fire, must be under the direct supervision of a qualified LFSH 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; (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; DOE O 473.3A Appendix A, Section D 3-23-2016 A-31 (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; (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 must 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 must 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 must 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. Appendix A, Section D DOE O 473.3A A-32 3-23-2016 (3) Qualification Requirements. (a) Before conducting training within the LFSH, instructors must have successfully passed the LFSH written examination, completed Tactical Response Force (TRF) II training, TRF II Instructor Certification training, LFSH Instructor Certification, and Limited Scope Performance Tests (LSPTs). (b) Forty hours of assistant instructor duties must be completed under the direct supervision of a qualified LFSH Instructor. A qualified LFSH Instructor is one that has successfully completed the Live Fire Shoot House Instructor Certification course (PFT501). (c) 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. (d) 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. (e) 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 no more than 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 must be placed on bullet traps so the maximum effective area of DOE O 473.3A Appendix A, Section D 3-23-2016 A-33 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 by the range master before use within the LFSH. Any bullet trap that appears to be in need of repair must not be used during live fire training. Bullet traps must be angled at least 7 degrees from vertical to the potential shooting position and positioned so that a shooter cannot engage a target at less than a 60 degree horizontal angle. Blinders, obstructions, or other means may be used to obtain this

angle limitation. Bullet traps and targets must 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. (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 must 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. Appendix A, Section D DOE O 473.3A A-34 3-23-2016 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 any PPE requirements found in DOE O 440.1B, Admin Change 1 or 10 CFR 851. 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. 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 DOE O 473.3A Appendix A, Section D 3-23-2016 A-35 (and A-36) the malfunction and the threat remains, the shooter must 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 must 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. Firearms shall be placed in a safe condition, e.g., selector lever placed on safe, mechanical safety engaged or de-cocked as appropriate, after every string unless otherwise directed by the lead instructor. 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. DOE O 473.3A Appendix A, Section E 3-23-2016 A-37 SECTION E. FIREARMS QUALIFICATIONS 1. SCOPE. a. Firearms qualification courses described in the DOE-approved firearms qualification courses are approved by the Associate Under Secretary for the Office of Environment, Health, Safety and Security 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, Admin Change 1, Worker Protection Program for DOE (Including the National Nuclear Security Administration) Federal Employees, and this Section. b. FPF personnel must 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 Office of Security Policy website or those developed by the 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 semiannually (at least every 6 months) with assigned firearms on the applicable DOE firearms qualification courses located at: https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents or by email to: security.directives@hq.doe.gov. Use of firearms simulators as described in 10 CFR §1046.17(k) for one of the two semiannual qualifications is authorized. 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 https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents mailto:security.directives@hq.doe.gov Appendix A, Section E DOE O 473.3A A-38 3-23-2016 SMG/Rifle Qualification courses, the Reduced Lighting, Handgun and SMG/Rifle Reduced Lighting Qualification courses. FO/FAs so armed must fire an NTC DOE-approved LFSH Skills Test Qualification course. FO/FA/SAs operating as teams must receive small unit tactics training in accordance with JA/METL tasks. (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 2.a.(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 COF to be fired for qualification during one of the semiannual (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. See Chapter II of the Protective Force Firearms Qualification Courses document located on the Office of Security Policy 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 remaining applicable to the Federal PF mission. 5. VALIDATION PROCESS. Sites must be offered the opportunity to participate under the oversight of the NTC in the validation of 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 must be given the opportunity to qualify using the current approved DOE standard COF. Resultant modifications will be made and a phase-in period of one year DOE O 473.3A Appendix A, Section E 3-23-2016 A-39 (and A-40) for approved COF (two semiannual requalification cycles) will be prescribed to permit sufficient opportunity for training to the new course. DOE O 473.3A Appendix A, Section F 3-23-2016 A-41 SECTION F. FIREARMS OPERATIONS 1. BASIC CONSIDERATIONS. a. General. (1) Weapons, ammunition, and pyrotechnics are the property of the United States Government, and their use is restricted to the performance of official duties, and may be carried and used by on-duty FA's, FO's and SA's. On-duty carrying and use of these types of items when privately owned is expressly prohibited. Off-duty carrying of these government- owned items is expressly prohibited unless associated with subsequent ability to meet mission requirements (e.g., Special Agents directly in route from their residence to a protective detail assignment or returning directly from same). Such off-duty carry must be approved in writing by the ODFSA as stated within an SOP. (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 414.1D, Admin Change 1, 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 PPE and safety rules contained in the DOE O 440.1B, Admin Change 1, and 10 CFR Part 851, Worker Safety and Health Program. Contractor personnel refer to Attachment 2, Section K, 1. a. (3) of this Order. (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 this Order or by the ODFSA where latitude is permitted. 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 Appendix A, Section F DOE O 473.3A A-42 3-23-2016

approved procedures which address the safety of the principal, fellow FPFs, and bystanders. (2) Routine loading and clearing of all firearms must be witnessed by an armed PF qualified supervisor, a designated trained and knowledgeable armed protective force member, a FLETC or an NTC-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. (4) All duty firearms must be carried in the manner approved by the ODFSA. Unless otherwise stated, from check out to check in a handgun must be holstered. Semiautomatics must be carried with a round in the chamber and external safety engaged, if so equipped. A rifle, shotgun, or submachine gun must be carried on an appropriate sling with the muzzle pointed up or down, except when 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, machine 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. Weapons firing from the open bolt position must be maintained in the closed bolt configuration. c. Firearms, Ammunition, Pyrotechnics, and Explosives. Firearms, ammunition, pyrotechnics, and explosives must be available in sufficient quantity to permit 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 STD-1213-2012, Explosives Safety. 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, Admin Change 1, 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 DOE O 473.3A Appendix A, Section F 3-23-2016 A-43 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 SP, and VA and

must be approved by the ODFSA. Use of explosives is addressed in DOE-STD­ 1213-2012, Explosives Safety. g. Firearms Trigger Safety Locks (FTSL). Any firearm transported or shipped offsite (e.g., by Federal Express, in baggage to be checked, etc.) must be unloaded, locked with a trigger safety lock or placed in a locked container. While the weapon is within the residence, use of FTSLs on weapons authorized to be taken home is mandatory for SAs. 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 as stipulated below. (1) Written approval must be requested and received from the ODFSA before a DOE firearm (live fire or ESS firearm) may be modified and put into service. 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 at: https://powerpedia.energy.gov/wiki/Protective_force_supplement_docume nts or by email to: security.directives@hq.doe.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 proposed 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 https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents mailto:security.directives@hq.doe.gov Appendix A, Section F DOE O 473.3A A-44 3-23-2016 (e) the number of firearms to be modified. (3) The request must 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 to support firearms training. Once approved, the modification must be submitted to the Office of Security for inclusion in the FML for DOE-wide use. (5) ESS Firearms Modifications. (a) ESS equipment capable of chambering or firing live rounds is not authorized for use. The term “live rounds” means not only duty ammunition but any other type of projectile round (e.g., training) that either the DOE or the manufacturer considers to be capable of causing lethal injury. (b) Dedicated ESS firearms must not be reactivated for live fire usage without the approval of the ODFSA. (c) If a factory “drop-in” kit is used to modify a firearm to use DMC, a DOE-certified armorer must conduct the modification and must meet all other requirements. (d) 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 1.h.(2) above, apply. 1 Weapons with modifications that have not been approved in writing by the Office of Security must not be issued for use. 2 The current list of approved ESS firearms and modifications is provided on the Office of Security Policy website: https://powerpedia.energy.gov/wiki/Protective_force_supple ment_documents and the NTC website at https://ntc.doe.gov. (e) ESS firearm modifications include any changes made to a firearm system, magazine, clip, feeding assembly, or blank-fire adaptor. (f) All ESS modifications other than a “drop-in” kit must be completed by the NTC Live Fire Range (LFR) Armory gunsmiths or an organization approved by DOE. https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents https://powerpedia.energy.gov/wiki/Protective_force_supplement_documents https://ntc.doe.gov/ DOE O 473.3A Appendix A, Section F 3-23-2016 A-45 2. AUTHORIZED FIREARMS. 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. Centralized procurement, where possible, should be used for the acquisition of weapons. Existing procurement contracts and Federal interagency support agreements should be used. Otherwise, the cognizant DOE authority for security is responsible for coordinating the procurement of site weapons. (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 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 must 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 PF personnel, or stored in a vault-type room with the alarm response capability such that unauthorized removal is unlikely. Alternately, when firearms are not stored in a vault-type room, equivalent protection must be provided and approved by the ODFSA. Unless more stringent requirements are established as the result of a vulnerability analysis, the following are minimum standards: 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 Appendix A, Section F DOE O 473.3A A-46 3-23-2016 facilities that meet design criteria specified in DOE-STD-1213-2012, Explosives Safety. These storage facilities must be located within a designated security area (Property Protection Area or above) unless an armed response would occur prior to unauthorized removal.

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 storage containers, or storage containers of robust construction similar to Federal Specification AA-V-2737, Modular Vault System, Amendment 2, dated October 30, 2006, affording equivalent protection and delay. Such containers must be bolted or otherwise secured to the structure, under alarm coverage, or within a vault-type room. Where the weight of the storage container would deter its removal, the requirement to bolt or secure it does not apply. c. Storage of Ammunition. Applicable requirements for the storage of commonly used FPF munitions can be found in DOE-STD-1213-2012, Explosives Safety, and in Department of Defense (DoD) 6055.9-STD, DoD Ammunition and Explosives Safety Standards. (1) Storage Structures. Refer to DOE-STD-1213-2012, Explosives Safety, for guidance on design of structures for storing munitions. (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, acceptable quantity distance requirements must be observed (see DOE­ STD-1213-2012, Explosives Safety). 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. DOE O 473.3A Appendix A, Section F 3-23-2016 A-47 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 SP 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, personally owned, or military surplus ammunition must not be used. Live ammunition must not be unboxed and placed in bulk containers. 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 Appendix A, Section F DOE O 473.3A A-48 3-23-2016 pyrotechnics and explosives must be trained in their use and storage (see DOE­ STD-1213-2012, Explosives Safety). 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 Packagings). For transportation purposes only, munitions must be given DOT hazard class designations. (2) Transportation of munitions onsite must be performed commensurate with DOE-STD-1213-2012, Explosives Safety. Munitions not in their original DOT containers must be transported in containers specified in the above Explosives Safety standard. (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. (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 These vehicles must not be used for administrative purposes. 2 These vehicles must be separated from inhabited facilities and property lines by a minimum of 125 feet when temporarily out of FPF service. 3 These vehicles must be off loaded into properly sited magazines or approved facilities when parked for periods in excess of one FPF shift. (d) Except for OST, operation of explosives-loaded vehicles must be restricted to onsite locations unless involved in a pursuit role. DOE O 473.3A Appendix A, Section F 3-23-2016 A-49 (e) The explosives must be secured within the vehicle to prevent movement and to preclude unauthorized removal. (f) The explosives in these vehicles must be removed and loaded 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 must 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 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 used for training, available for duty issuance, individually assigned, or post assigned. Firearms must be cleaned and maintained in a manner that meets or exceeds the manufacturer's recommendations. a. Authorization. A DOE-certified armorer 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 Appendix A, Section F DOE O 473.3A A-50 3-23-2016 (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 does 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. (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 Bench Reference or approved OST supplemental documentation that involves the functioning of the DOE O 473.3A Appendix A, Section F 3-23-2016 A-51 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) DOE-certified 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) DOE-certified armorers who work on ESS firearm systems must learn the various modifications on these firearms through DOE NTC. (3) Only DOE-certified armorers may install ESS conversion kits. (a) ESS 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 should 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-STD­ 1213-2012, Explosives Safety. 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. Appendix A, Section F DOE O 473.3A A-52 3-23-2016 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 permanently modified in a manner that precludes their capability to discharge rounds (e.g., for a pistol having a plug welded into the barrel and/or being completely encased 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. When weapons are encased in Lucite, the encasement does not have to be breached to verify serial numbers, etc. d. Ammunition, Pyrotechnics, and Explosives Inventory. Ammunition must be inventoried annually (at least every 12 months). Pyrotechnics and explosives (including hand grenades) must be inventoried monthly. Pre-positioned pyrotechnics and explosives must be inventoried by a number count at the beginning of each shift unless stored in a container with a serial numbered security seal. Whenever the seal has been broken the contents must be re- inventoried and a new seal must be reapplied. Pre-positioned pyrotechnics and explosives must be inventoried by number count at least annually. 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. e. Inventory Shortages. (1) Shortages must be immediately reported to the ODFSA when a preliminary investigation indicates that any of the following are unaccounted for: (a) Firearm(s). (b) Any quantity of explosive. (c) 100 rounds or more of any live-fire rifle or pistol ammunition. (d) Any quantity of rifle ammunition .408 caliber or greater. DOE O 473.3A 3-23-2016 Appendix A, Section F A-53 (and A-54) (e) Any pyrotechnic, ammunition, or training device not legal for civilian sale, purchase, or use. (2) The ODFSA must report to the DOE Headquarters Operations Center within 24 hours (3) The ODFSA must prepare and transmit an Incident of Security Concern Report (see DOE O 470.4B, Admin Change 1), if there is reason to believe that an item has or items have been stolen, or other criminal activity is involved. Law enforcement authorities must be notified in accordance with DOE O 221.1A, Reporting Fraud, Waste and Abuse, to the Office of Inspector General. DOE O 473.3A Appendix A, Section G 3-23-2016 A-55 (and A-56) SECTION G. OPERATIONAL ASSURANCE

APPRAISALS/SELF-ASSESSMENTS. These types of security oversight practices can be used to support the oversight responsibilities of DOE O 226.1B, Implementation of Department of Energy Oversight Policy, and DOE O 470.4B, Safeguards and Security Program.  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, Admin Change 1, Worker Protection Program for DOE (Including the National Nuclear Security Administration) Federal Employees].  DOE line management must conduct and document formal self-assessments, which include annual program reviews and appraisals of selected worksites.  Firearms safety assessments must be conducted by safety personnel or by a joint safety and FPF evaluation team.  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. DOE O 473.3A Appendix A, Annex 1 3-23-2016 A-57 (and A-58) ANNEX 1 OFFICE OF SECURE TRANSPORTATION 1. PURPOSE. This document establishes requirements for the management and operation of the National Nuclear Security Administration (NNSA) Office of Secure Transportation (OST) Federal Protective Force (Federal Agents [FAs]) and the physical security of property and personnel under the cognizance of OST. 2. APPLICABILITY/PRECEDENCE. The requirements of this Annex apply to all elements of OST and will be controlling in cases of conflict with the baseline Federal protective force requirements in Department of Energy (DOE) O 473.3A, Protection Program Operations. DOE O 473.3A Appendix A, Annex 1 3-23-2016 A-59 SECTION A. MANAGEMENT AND ADMINISTRATION 1. MISSION AND RESOURCE PLANNING. OST shall incorporate basic planning principles to ensure that it accomplishes its intended purpose. a. Mission. OST provides safe and secure transportation of nuclear weapons, nuclear weapon components, and special nuclear materials in support of the national security of the United States of America. b. Resource Requirements. OST must document resource requirements necessary to successfully accomplish mission objectives. Sources of these requirements may include Federal laws and regulations; DOE directives; the Security Plan (SP); protection strategies; operational needs; and production, inspection, or transportation schedules. c. Authorizations. Authorizations may be identified in terms of full-time equivalents, the total number of personnel needed, total number of direct man- hours, and/or quantities of equipment items needed to perform work. d. Actuals. OST must maintain a process that monitors and periodically tracks numbers of assigned personnel and sensitive equipment items (e.g., military/law enforcement equipment restricted from public sale) currently on hand. Equipment inventories must occur at least annually. e. Funding. OST must develop funding requirements that provide direct relationships between costs and identified personnel and equipment authorizations. 2. LEGAL AUTHORITY, USE OF FORCE / RULES OF ENGAGEMENT, AND FRESH PURSUIT. OST shall develop, maintain, and implement formal written guidance governing arrest authority, the use of force, operational Rules of Engagement (ROE), and Fresh Pursuit. This guidance must address:

a. Applicable laws, including enforceable criminal statutes contained in Title 18, Crimes and Criminal Procedure, and Title 42, The Public Health and Welfare, of the U.S. Code, and implementing regulations contained in 10 CFR Part 1047. b. Determination of hostile intent. c. Fresh Pursuit procedures, responsibilities, and safety considerations. Appendix A, Annex 1 DOE O 473.3A A-60 3-23-2016 d. Mission-specific ROE governing the use of force in accordance with the type of materials or other assets being protected, situational/environmental conditions, friendly strength and capabilities, adversarial task times, characteristics, and capabilities as described in the current DOE guidance – currently contained in DOE O 470.3B, Graded Security Protection (GSP) Policy – and consequences of asset loss. 3. OPERATIONAL GUIDANCE AND WRITTEN DIRECTIVES. To ensure that missions and mission support functions are accomplished as intended, OST shall provide written directives and operational guidance through the establishment and maintenance of a formalized written directives system. a. Development. OST shall develop written plans and procedures covering FA routine, emergency, and administrative duties; Emergency Operations Center (EOC) activation and operations; and other operational requirements where needed. Plans and procedures must be clear and concise. b. Mission Planning and Tactical Response. Mission planning and execution shall be in accordance with the principle of neutralizing any threat in the earliest possible phase of the Active Security Doctrine’s Security Continuum, consisting of the phases Deter, Disrupt, Detect, Defend, Recapture, and Recover. To this end, OST shall ensure that convoy leaders and FAs are knowledgeable of current doctrine, Mission Essential Task List requirements, threats, and friendly capabilities. Convoy personnel shall be prepared to execute decentralized, initiative-based decision-making during tactical response in accordance with the Commander’s intent provided in a pre-mission briefing, updated as necessary prior to every segment. Specific instructions and procedures for anticipated events, locations, and conditions shall be thoroughly briefed. c. Standard Operations Procedures (SOPs). OST shall develop, approve, and maintain SOPs addressing administrative, training, technical, and operational requirements. d. 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 OST management representatives. e. Availability. Written directives must be available to OST personnel for reference and guidance in the performance of routine and emergency duties. f. Review. Written operational and emergency response guidance, procedures, and cooperative agreements must be reviewed for currency annually, or whenever response requirements, duties, or administrative requirements are changed. DOE O 473.3A Appendix A, Annex 1 3-23-2016 A-61 4. PERSONNEL MANAGEMENT. OST FAs (Nuclear Materials Couriers) are armed DOE Federal Protective Force (FPF) employees of NNSA, under the authority of the Assistant Deputy Administrator (ADA) for OST, who provide for the safe off-site domestic transportation of materials, secured against threats identified in the DOE O 470.3B. a. Federal Agents Conditions of Employment.

Personnel must meet the following conditions for initial assignment to, and retention in, an FA position. (1) Certification in the Human Reliability Program (HRP). FA access to nuclear weapons, nuclear test devices, complete nuclear assemblies or Category I and II quantities of special nuclear material requires FA certification in an HRP in accordance with 10 CFR Part 712, Human Reliability Program. (2) Security Clearance. HRP certification mandates possession of a Q security clearance. Security clearances must be obtained in accordance with the relevant departmental guidance, currently contained in DOE O 472.2, Personnel Security. FAs are subject to DOE’s random drug testing requirements. (3) Medical Standards. At a minimum, FAs must conform to the medical standards for armed protective force personnel as contained in 10 CFR Part 1046, Protective Force Personnel Medical, Physical Readiness, Training, and Access Authorization Standards. OST may develop additional FA medical standards based on FA job analysis. Additional standards must be documented in writing and approved by the ADA. (4) Physical Fitness. FAs must meet physical fitness standards delineated in approved OST guidance. (5) Firearms. FAs must qualify, demonstrate safe handling, and pass manipulation tests with issued weapons. (6) Driver’s License. FAs must maintain a valid state driver’s (operator’s) license and all required endorsements and classifications. (7) Initial Training. Personnel must successfully complete a formal recruit training and qualification program before initial assignment to FA duties. Program requirements are discussed in Section B, paragraph 2. (8) Sustainment Training. FAs must complete common skills training as directed by OST. Appendix A, Annex 1 DOE O 473.3A A-62 3-23-2016 (9) Rehire/Return to Duty. OST shall develop, maintain, and ensure implementation of written guidance that defines the retraining, qualifications, certifications, and nuclear explosive duty (NED) recertification process for FAs who have been removed from NED certification and FA duties in the following categories: (a) Rehired FAs who resigned or were terminated from OST. (b) FAs returning to duty after administrative leave, leave without pay, or suspension. (c) FAs returning to FA duties after military duty, serving in an OST Secondary Position, or in an detail assignment outside of primary 084 series duties/NED. b. FA Firearms Qualifications. (1) Approved Qualification Courses. (a) The Associate Under Secretary for the Office of Environment, Health, Safety and Security approves DOE firearms qualification courses to ensure that personnel are uniformly qualified with the firearms they are authorized to carry. The courses evaluate basic shooting skills with various authorized firearms. (b) OST must identify specific, approved DOE qualification or Federal Law Enforcement Training Center (FLETC) courses to be used for OST FAs. (c) Where approved DOE firearms qualification courses do not exist for an OST weapons system, both daylight and reduced-lighting, OST-specific supplemental qualification courses must be developed. These courses must include minimum scoring requirements constrained by time limits. These supplemental qualification courses must be approved by the Chief Defense Nuclear Security in consultation with the Associate Under Secretary for the Office of Environment, Health, Safety and Security.

(2) Qualification Standards. (a) FAs must achieve passing scores on both daylight and reduced lighting qualification COF with each individually assigned handgun and rifle. (b) FAs must achieve passing scores on the daylight 40 mm qualification course to be assigned/issued a grenade launcher for DOE O 473.3A Appendix A, Annex 1 3-23-2016 A-63 mission operations. When OST has fielded a suitable night optic, a reduced-light qualification must also be developed and required. (c) FAs assigned to Special Response Force duties must also achieve passing scores on the Shooting-on-the-Move Handgun and Rifle Qualification Courses (or approved alternative) and the Skills Test of the Live-Fire Shoot House (LFSH) Qualification Course. (3) Qualification Frequency. (a) FAs must qualify semiannually (at least every six months) with each assigned weapon. (b) Any FA may be required to demonstrate the ability to meet qualification standards during an inspection, survey, review, audit, or at any time directed by OST line management. Failure to meet the performance standard must be treated as if the individual failed the first attempt during semiannual qualification. (4) Failure and Remediation. (a) An individual who fails to qualify on the first attempt at any qualification course of fire shall be afforded an opportunity for an immediate retest, subject to range availability, conditions, scheduling, and other constraints. (b) Failure of the immediate retest shall result in immediate suspension of the individual’s authority to carry firearms to include surrendering FA and any related law enforcement credentials, until such time as the qualification is successfully completed. The individual shall receive remedial firearms training addressing specific skills and concepts identified by line management, which must afford a reasonable opportunity to meet the firearms qualification standard. Following remediation, the individual shall be afforded another opportunity to successfully complete the qualification. (c) An FA unable to successfully complete a required firearms qualification after remedial training is subject to revocation of his or her FA credentials at management discretion. (5) Firearms Qualification General Instructions. All firearms qualification courses must be conducted in accordance with DOE O 440.1B, Administrative Change 1, Worker Protection Program for DOE (Including the National Nuclear Security Administration) Federal Employees, this section and applicable Range Operations Procedures. Appendix A, Annex 1 DOE O 473.3A A-64 3-23-2016 c. Authority to Carry Firearms. FAs are authorized to carry firearms in the performance of their duties when they are qualified in accordance with DOE firearms qualifications standards and management has deemed it in the interest of common defense and security. Firearms instructors who are not FAs are authorized to carry firearms with which they are currently qualified, when performing their instructional duties. (1) OST must maintain written documentation signed by each FA who is authorized to carry firearms and make arrests without warrant while performing official duties. This documentation must be approved by the ADA for OST with concurrence by OST counsel or the NNSA Office of General Counsel and include FA acknowledgment of the basis of the FA’s: (a) Arming authority; and (b) Authority and limitations regarding arrests and uses of force.

(2) Training records for personnel authorized to carry firearms must be available for review by appropriate safety and security personnel. (3) Suspending/Revoking Authority. The FA’s Command Division Director is the suspending authority. The ADA is the revocation authority. Suspension and revocation actions must occur in accordance with the OST Shield and Credentials Program. When an FA’s credential or authority to carry firearms is suspended or revoked, the FA’s credential and shield shall be surrendered to the FA’s Command Division Director. NOTE: In the event that an FA’s DOE credential are suspended or revoked, the FA must also surrender issued Special Deputy U.S. Marshal credentials, if applicable. NOTE: Reissuance of credentials must be in accordance with the requirements of OST’s Shield and Credentials Program. d. Human Reliability Program. OST shall develop, maintain, and implement written guidance in the form of an HRP Implementation Plan defining roles, responsibilities, requirements, authority, and procedures for administration of the OST HRP in accordance with 10 CFR Part 712. This guidance shall identify OST positions requiring HRP certification according to the criteria listed in 10 CFR §712.10(a), (1) through (3). e. Credentials and Shields. OST shall develop, maintain, and implement formal written guidance defining roles, responsibilities, requirements, and authority for issue, logistical control, and DOE O 473.3A Appendix A, Annex 1 3-23-2016 A-65 (and A-66) surrender of shields and credentials to qualified OST FAs and both armed and unarmed Federal Officers of the OST and NNSA. 5. EQUIPMENT. a. FAs shall 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 throughout their operating environment. b. Equipment, especially weapons and communications systems, shall be selected, procured, configured, and deployed to effectively combat and defeat adversaries identified in the GSP and specified in the SP, under all environmental and tactical conditions. Equipment shall be available in sufficient quantities and properly maintained to support the mission. 6. FACILITIES. a. Suitable facilities to support FA operations and training, and all supporting activities, shall 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- owned facilities, as long as required DOE security and safety guidelines are maintained. DOE O 473.3A Appendix A, Annex 1 3-23-2016 A-67 SECTION B. TRAINING 1. PROGRAM REQUIREMENTS. a. OST shall establish a formal training program that develops and sustains FA knowledge, skills, and abilities needed to perform assigned tasks under both normal and emergency conditions; supports the qualification requirements described in Section A, of this Annex; and meets further mission-based requirements identified by OST. b. OST shall identify FA training requirements, through the analysis of threat, Mission Essential Task Lists, job analyses, training outcomes, impacts of new equipment, the results of surveys, validation exercises, inspection results, and other inputs. Initial and sustainment training at all levels must be based upon defined requirements. The requirements will be reviewed and updated on a timely basis. c. OST shall prioritize FA training requirements and resolve competing demands for limited training time and resources. d. OST shall identify, develop, and conduct training as required to ensure the effective performance of vital miss