DOE O 5632.2, Physical Protection of Special Nuclear Materials

) _) ' l ' ) U.S. Department of Energy Washington, D.C. ORDER DOE 5632.2 2-16-79 SUBJECT: PHYSICAL PROTECTION OF SPECIAL NUCLEAR MATERIALS 1. PURPOSE. This Order establishes n11n1mum phys i cal protection standards for special nucl ear materi als (SNM). These and other security standards, when integrated with the material control and accountability standards in the Department of Energy (DOE) safeguards and secur ity di recti ves, provide the basis for a graded safequards and security system for deterr i ng, preventing, and effectively counteracti ng (through coordi na­ t i on and initiation of recovery and the minimization of consequences) theft of SNM by an adversary with or without inside collaboration. (See separate classifi ed gui dance on credi ble threat characteri zation provided by the Office of Safeguards and Security . ) 2. CANCELLATION AND SPECIAL INSTRUCTIONS . Interim Management Directive 6103 , PHYSICAL PROTECTION OF SPECIAL NUCLEAR MATERIAL, of 9-29-77, as extended 3. by DOE N 1321.25 of 11-27-78. The access authorizat i on requirements of subparagraphs 8f(2), 8g(l)(a)l, 8g(l)(b)l, and 8g(l)(c) of this Order shall be held in abeyance pending publication in the Federal Register of appropriate revisions to 10 CFR Part 710 to legally establish those requirements. SCOPE. The provisions of this Order apply to al l elements of the( Department of Energy and to contractors and subcontractors to the extent they possess SNM not subject to a Nuclear Regulatory Conmis"~ion (NRC) license. 4. SPECIAL CONDITIONS. The prov1s1ons of this Order, or the level of protecti on applied to SNM, may be reduced when one or more of the fo l lowing conditions exist : a. The SNM is not readily separab le from other radioactive material and the combination of the SNM and other radioactive material delivers an external radiation dose of approximately 100 rems per hour or more at 1 meter from any accessible surface without intervening shiel ding material. b. The SNM is contained i n material that has been declared as waste. C. The SNM is in a chemical, isotopic, or physical form or is within isolated in- process , or remote inaccessible, containment which provides comparably effective protection, to that specifi ed herein, against malevolent use or theft. 0ISTRISUTI0N: INITIATED BY: GPO 92S • 697 All Departmental Elements Federal Energy Regulatory Commission (info) Office of Safeguards 3 and Security 2 5. 6. nr,c .i632 .2 2-16-79 d. Where the foregoing conditions exist, they should be soecifically and clearly described in the facility safequards and security plan to demonstrate a logical basis for the physical protection system provided. ,/hen material is to be shioped, it shall be the responsibility of the shipper to determine if any of these conditions exist. M certain facilities, a level of physical protection exceeding that specified herein may be necessary in order to assure a satisfactory level of integrated safeguards and security system effectiveness. POU CY ANO OBJECTIVES. It is DOE pol icy to physically protect all SW' against theft. This Order is designed to facilitate effective safe­ guards and security systems through graded and performance-evaluated physical protection requirements for SNM. The minimum standards have been so designed as to satisfy the pol icy requirement that the effectiveness of nuclear safeguards and security systems in DOE activities provide comparable effectiveness with that required of licensees by the Nuclear Regulatory Commission.

DEFINITIONS. a. b. C. Albuguer}ue Operations Office, Tr_ansportation Safegua_r_cj_s_ Divi_s_i_o_ri_ (ALO/TSO Courier. A "Q'· cleared employee of the Transportation Safeguards Divisfon, Albuquerque :Jperations Office, who is autho­ rized under Section 161.k. of the .stomic energy Act of 19S4, as amended, or other aooropriate statutory a•,thority, to carr_v firearms, and who is employed and charged with the resDonsibility for the safe secure novement of nuclear ex □ losives, classified nuclear components, and Category I quantities of SNM in the DOE Transportation Safeguards System. Assessment. An onsite exa~ination by the Headnuarters Office of Safeguards and Security of the factors comprising the safeguards and security ~rograi~ ad~inistered by a OOE onerations office and implenented by a ~OE contractor. The □ urpose of the assessment is to determine the effectiveness of ~lie ooerations office in assuring that DOE contractors are comlyi ng with ':he rern,i rements of this and related safeguards and security directives and in adciinistering an effective overall safeguards and security pr~qram. _Catego_12_ • I )uantities of SNM. (1) Uraniur,1 230 (contained in Uranbr1 enriched to 2iJ% or nore in the isotooe U-235) alone. or in combination with ~lutoni,,m and/or Uraniuro 233 when (:1ultiolyina the ?btoniur1 and/or Uranium 233 content by 2.o) the total is 5,UUU qra 1,s or nore. • • DOE 5632. 2 3 2-16-79 (2) Plutonium and/or Uranium '33 1vhen the Plutonium and/or Uranium 233 content is 2,UUU grams or more. (3) SNM in lesser quantities but which is located in the same area or shipment with other SNM with which it could be selectively combined to produce the equivalent quantities in item (l) of this category. d. CaJegor.Ll._l Quantities of SNM . (I) Uranium 235 (contained in Uranium enriched to 20% or more in tl1e isotope U-235) alone. or in combination with Plutonium and/or Uranium 233 (multiplying the Plutonium and/or Uranium 233 content by 2.5) when the total is l ,UUU to 4,999 grams. (2) Plutoniu1n and/or Uranium 233 when the Plutonium and/or Uranium 233 content is 400 grams to l ,999 grams. (3) SNM in lesser quantities but which is located in the same area or shipment with other SNM with which it could be selectively combined to produce the equivalent quantities in item (l) of this category. e. Category III Quantities of SNM have been further divided into two subcategories IIIA and 1118: (1) Category !!IA Quantities of SNM. (a) Uranium 235 (contained in Uranium enriched to 20% or more in the isotope U-235) when the total is 350 grams to 999 grams. (b) Plutonium and/or Uranium 233 when the Plutonium and/or Uranium 233 content is 220 grams to 399 grams. (c) Crnnbinations of Plutonium and/or Uranium 233 with Uranium 235 (contained in Uranium enriched to 20% or more in the isotope U-235) when the total is less than l .UUU grams and the Plutonium and/or Uranium 233 content is less than 4UU grams. (2) _Category IIIB l)ua_n_!_i_!J__e_s_o_f~m. (a) Uranium 230 (contained in Uranium enriched to 20% or more in the isotope U-235) when the total of the U-235 content is 1 gram to 349 grams. 4 DOE 5632.2 2-16-79 (b) Plutonium and/or Uranium-233 when the Plutonium and/or Uranium 233 content is from l gram to 21Y grams. (c) Uranium 235 contained in Uranium enriched to less than 20% in the isotope U-235 in al I quantities above .YY grams. f. Courier. An armed DUE employee. or member of the Armed Forces assigned to and performing duties under the direction and control

g. of the lJOE. who possesses a "Q" access authorization or an equivalent Department of Defense (DOU) security clearance, and who is specifi­ cally charged with the armed protection of designated matter in transit. DOE-A • ment. Equipment (i.e. alarm, assessment, monitor- ·ing, ed in conjunction with all other elements of the site safeguards and security system as described in the site specific safeguards and security plan (after such plan is approved by the responsible operations office). h. pOE Transportation Safeguards System. The DOE program, managerl and operated by the Manager of the Albquerque Operations Office (AL) under the programmatic direction of the Director of Military Application (DP-20), which has the administrative and courier personnel. special transport and escort vehicles, and nationwide HF communications system (SECOM) required to carry out the total responsibility for the safe secure domestic transportation of all UUE-owned or -controlled nuclear explosives and Cateqory I quantities of SNM. i. Duress SysteTTJ. A systern which can covertly communicate a situation of duress to a security control center or other safeguards and security personnel who can notify a security control center. j. Escort. A lJUE or lJOE contractor or common carrier employee specifi­ callyassigned for the delivery of a security shipment. escorts include guards, truck drivers, and other attendants furnished by DOE, lJUE contractors, or common carriers. k. Guard. See DOE 5632.1, "Physical Protection of Classified Matter aiidl.'nformation". (To be issued) l. Hardened Security Post. See DOE 5632.l. m. Intrusion Alarm System (perimeter or interior). Detection hardviare and/or software comprised of (1) sensors, (2) alarm assessment systems, and (3) alarm reporting systems (including alarm co,amuni­ cations and information display equioment). • ) r ) _J .I DOE 5632 .2 2-16-79 5 n. Material Access Area (MAA) . An area containing a Category I quantity of SNM specifically defined by physi cal barr iers , located within a protected area. and subject to specific access controls . o. Material Surveil l ance Procedur es . Procedures to assure the obser­ vation of an area containing SNM by at l east two cl ea red and au t horized persons who may be doing other work but who can gi ve an alarm in time to prevent the unauthori zed removal of t he SNM . One of the persons who maintains such surveillance must be ··o•· cleared and the other must possess at l east an ''S'· or '·L'· access authorization . p. Out l a_yy rogram Managers . The Assist ant Secretaries for Conser vation and Solar App l ications . Resource Applications . Energy Technology , Environment, and Defense Progr ams , and the Di rector of Energy Research . q. f_ll~ica l Barrier s . See DOE 5632 .l. r . Protected Area (PA) . A speci fi cal ly defi ned area encl osed by physical ba rr iers meeting the standards contained in DOE 5632 .l. s . Random Pat rol . A patrol conducted in a manne r such that the location of the patrol at any specific time cannot be predicted . t . Safeguards and Security Plan . A specific descri ption of the systems and procedures implemented to protect special nuclear material . u. SECOM . The high frequency radio commun i cations network operated by7i[ in support of transportation safeguards . v. Secut::_j__ty Container .

(1) A metal security container approved by t he General Services Admi nistration for the storage of classified matter and marked "Genera l Services Administration Approved Secur ity Container." This container meets the Class 1 standards of Federal Specification AA-F-357, the Class 5 standards of rederal Specification AA- F-358 . or the Class 5 standards of rederal Specification AA- F- 363 . (2) A burglar- resis tant cabinet or chest having a body of steel at least 1/i:'" thick . and a combina t ion locked steel door at least ·, .. thick exclusive of bolt work and locking devices . w. 5ecurity Ins pector. See DOE 563c .l . 6 DOE 5632.2 2-1 6-79 x. Sec_ur i ty Room . One having combi nat i on- 1 ocked door( s) and protected by a OGE - approved intrusion alarm system actuated by any penetration of wal ls . floor . ceiling or openings . or by motion within the room . y . _?JJec ial Nuclear Material (SNM) . Means (1) plutonium . urani11n enr iched in the isotope l33 or in the isotope l35 . and any other material whi ch, pursuant to the provisions of Section 51 of the Atomic Energy Act of 1954 , as amended, has heen deternined to be special nuclear mate r ia l , but does not include source material ; or (2) any materia l ar tificia lly enr iched by any of t he f oregoing , but does not include sou rce material . z . SNM Fac i l ity . An educational institut i on , a plant , l aboratory, office , or bui lding utili zed by DOE , its cont ractor s , Sllbcontractors, or consul tants and which contai ns SNM . aa . SNM Faci l ity Approval . A dete rmination based upon review of a safe­ guards and secur ity pla n and an onsite survey by the responsible DOE operations office that a fa c i l ity is approved to rPceive , use, process , and/or store SNM . bb . SNM Vault . A penet r ation- resistant , windowless enclosure which : ( l } Has walls , floor , and ceiling substantially constructed of ) mate r ials which affo rd a fo rced penet r ation resistance at least equivalent to that of d inch tt1 i ck reinfo rced concrete ; (2) has any openings gr eater than Yo squa re inches in area and over b inches in the smallest dimension protected by imbedded steel ba r s at least 5/8 inches in diameter on 6 inch centers both horizontally and vertically ; (3) has a built - in co1nbination locked steel door 1-1hich in existing st r uctures is at least 1·· thick exclusive of oolt work and locking devices and which for new structures at least meets the class J standards of ~ederal Specification AA- D- 600B ; ) and which (4) can consti~ute one of the barrier elements of a site- specific integrated safeguards and security ohysical orotec~ion system and which, in conjunction with other measures, will oreven~ successful completion of an atte11pted forcible theft of Sl'~ - cc . Survey . An on- the- spot critical examination by the res oonsible DOE ooerations office of an SNM facility or S~M shionen~ and devices , eq11i;:iment , and procedures emnloyed to protect the SJ'~ involved . dd . l~aste . A term applied to any source ana soec1al 11uc1ectr· 111ctLt'. r·1al which is no longer useful. Includes that v1hicn has beco111e radioactive by any means to the extent that the material itself exhibits an emission of radioactivity of such a level that it must be handled and disposed of by special methods in order to protect the general public . Also includes scr2p which has been evaluated and determined to be unecononical to recover , and v1hich is not necessarily radioactive .

• DOE 5632.2 2-16-79 7 7. RESPUNSIHILITIES ANU AUTHORITIES. a. Director of Safeguards and Secur.!..!Y._(Assi_stant Secretary for Defense Program2 ). (1) Uevelops and establishes policies and ensures that requirements, standards, and criteria for the physical protection of SNM are developed in coordination with appropriate Headquarters organizations and operations offices. (2) Provides advice and technical assistance on the physical pro­ tection of SNM to outlay program managers and to managers of operations offices. (3) Reports immediately to the Under Secretary. Assistant Secretary for Defense Programs. Inspector General. concerned outlay program managers, and the Federal Bureau of Investigation any information related to actual or attempted theft of SNM or any circumstances indicating a violation of Federal law concerning such material. (4) Conducts assessments, and informs the appropriate operations office manager and outlay program manager of the results in a timely manner, and coordinates with appropriate DOE organizations to correct deficiencies, including those which have a program or budgetary impact. (5) Provides assistance to appropriate outlay program managers and operations office managers in development of the safeguards and security plan for each DOE SNM facility. (6) Reviews and comments on safeguards and security plans for site specific application. (7) Conducts research and development in physical protection tech­ nology and equipment to meet safeguards and security require­ ments, and provides information about this technology to the nuclear community both domestically and internationally. (8) Assures cornparable effectiveness of UOE safeguards and security systems with those required by the Nuclear Regulatory Commission. (Y) Reviews and comments on exceptions to the provisions of this directive approved by managers of operations offices on the basis of site specific applications . b. Assistant Secretary for Environment. (l) Advises and recommends DOE policy and standards as relates to personnel and environmental protection from radioactive materials 8 DOE 5632.2 2-16-79 and overview and appraisal of all operations to assure compliance with such policy and standards. (2) ~articipates in the development of rrocedures and methods for implementing DOE policies and standards for the safe transporta­ tion of SNM. (3) Serves as the primary point of contact with the transportation industry and t'ederal. State, and local agencies in implementing DOE's transoortation policies and standards. c. Outlay Program Managers. (1) Keport immediately to the DUE Emergency Operations Center any information related to an actual, attempted, or suspected theft of SNM or any other circumstances indicating a violation of federal law concerning such material. (2) Require the preparation of safeguards and security plans for facilities and programs for which they have programmatic responsibility and assist in the development of such plans in coordination with the Director of Safeguards and Security. (3) Develop and support programs and budqets necessary to assure that special nuclear materials under their programmatic jurisdiction are protected in accordance with this Order in coordination with operations offices, and the Office of Safeguards and Security. (4) Consult with the Director of Safeguards and Security on questions concerning safeguards and security requirements and other matters pertaining to the physical protection of SNM.

(5) ~rovid2, in coordination with the Office of Safeguards and Security, appropriate guidance to responsible operations offices on actions to De taken with respect to implementing safeguards and security systems and procedures. (6) Perform reviews, as necessary, to evaluate safeguards and security program funding of activities involving SNM under their programmatic jurisdiction. d. Director of Military Application (DP-20l. (1) Directs the OOE Transportation Safeguards System for the domestic shioments of nuclear explosives; Category I quantities of SNM, excluding naval reactor (NR) core shipments; classified configurations of Category I [ quantities of SNM as requested by resoonsible outlay pro~ram managers; and any form of Pu-238 in excess of five grams. (NR core shipment program responsibility rests with the Director, Division of Naval Reactors). ) ) ) _) DOE 5632.2 2-16 -79 (2) Reviews and coordinates the development of safeguards tech­ nology to deter and protec t against theft of nuclear explo­ sives , their components and SNM in t ransit. e . Director of Administration . through the Director of Construction and Facility Management. (1) Develops general design criteria and construction standards to be applied in design and construction of DOE facilities . (2) Incorporates, in these criteria and standards, the design and construction requirements for physical protection of SNM . with input, advice , and guidance from the Office of Safeguards and Security . (3) ~rovides engineering and construction support to program officials and operations offices in construction project planning and execution . f . Managers of Opera tions Offices . (1) Assure that SNM is afforded physical protection in accordance wi t h this directive . (2) Require , review, and appr ove written site- specific safeguards and security plans . in consultation with appropriate Head­ quarters outlay program managers , and submit plans and major changes thereto to the Uirector of Safeguards and Security for review and comment. (3) Grant exceptions to the requirements of this directive and notify the Director of Safeguards and Securi ty . promptly in writing . with a copy to the cognizant out l ay program manager . (4) Notify the Uirector of Safeguards and Security of the estab­ lishment of SNM facilities. (~) Advise the Director of Safeguards and Security when site specific considerations dictate the use of equipment for which no DUE test data are available . ,he responsible operations office shall insure that the selection of equipment to be used is made to the extent poss ible based on data provided in appropriate DOE safeguards handbooks . If site specific considerations dictate that the system include components for which no DOE test data is available . the assistance of the Uffice of Safeguards and Security should be requested . 10 DOE 5632.2 2-16-79 (6) Report immediately to the DOE Emergency Operations Center and to the FBI any infomation related to an actual, attempted, or suspected theft of SNM or any other circumstance indicating a violation of Federal law concerning such material. (7) Evaluate and reoort to the Director of Safeguards and Security and to the cognizant outlay orogran nanaqer any actual or attemotrd theft of Si'IM. (d) ~ertorm planning for fundinq and staffing to implement this directive. (~) Conduct surveys and submit reports oertaining to Sili•l facilities and shipments to the Llirector of Safeguards and Security and to the responsiole Headquarters outlay program manager.

(IU) Establish and document, as appropriate, the support to De expected from local la1-1 enforcement agencies. ( 11) i<equire oven testing of the physical protection system to verify the maintainance of a continuing high state of effective­ ness against attack. (12) Report annually by, December 1, to the Under Secretary, 1·1ith copies to the Assistant Secretary for Defense Programs, the Inspector General, outlay program '1anagers, and the Director of Safeguards and Security, on the state of safeguards and security of SN~ under their resoonsihility. g. Manager, Albuquerque Operations Office (AL). (1) ln add.it ion to the responsi~ilities outlined in s11hparagraoh 7f manages the DOE Transoortation Safeguards System for the domestic shioments of nuclear exolosives; Category : quantities of SNM, excluding naval reactor (N?) core shipments; classified configura~ions of Category I I quantities of materlal as reqtiested by responsible outlay orogra~ managers; and any form of 0 ,,-233 in excess of five grams. (NR core shioment resoonsibility rests with the 0 ittsburg Naval Reactors □ ff ice [ 0 NP]). (2) Conducts surveys of SNM shipments under his jurisdiction or requests another DOE organization to conduct such sur·1eys. (3) Subr1its reoorts of s1:rve_ys 11:ade nursuant to suhoaraqraDh 7g(2) •o the Uirector ot Safeguards and Security and to the responsiole Headquarters outlay progra1n ;:1ana9er. (4) Uperates the nationwide SECUM system in suoporc of the UUE Oomestic Transportation Safe~uards System. ) j r' ~ ) ) ) ODE 5632. < 2-16-79 8. PRUCEUURES ANU REQUIKEMENTS. a. General. ----·- 11 (l) A facility shall not receive, use, process, or store SNM unti I an SNM facility approval, based upon a review of the safequards and security plan and an on-site survey by the responsible operations office, has been granted. (2) Continual vigilance shall be maintained for procedural viola­ tions or practices inconsistent with physical protection measures afforded SNM. (3) Any unauthorized attempts, suspected attempts, or actual removals of special nuclear material from a protected area or material access area shall be reported immediately to the responsible DUE Safeguards and Security office. (4) Reports, plans, and data relating to the protection and control of SNM shall be classified in accordance with Classification Guide CG-S-l, and other applicable classification guides. b. Specific Requirements for Protected Areas. (l) Protected areas shall be subject to a system of access controls administered by security inspectors who meet the standards contained in DUE 563<.l. (2) A sufficient level of illumination shall be provided at all points on the perimeter to permit assessment in the event of unauthorized attempts to penetrate the protected area. (3) A hardened security force communications center shall be estab­ lished and shall have periodically tested radio and telephone channels of communication with local law enforcement agencies. There also shall be an emergency alternate communications cap­ ability from a secondary station for use in event the primary station is compromised. (4) Radio communications equipment used in subparagraph 8b(3) shall remain operable in the event of a loss of primary electrical power. (5) Private use vehicles shall be excluded. 12 DOE 5632.2 2-16-79 (6) Security inspector posts. both mobile and fixed, shall be equipped with duress systems.

(7) Government-owned or Government-leased vehicles shall be admitted only when on official business and when operated by properly cleared and authorized drivers or who are under escort by properly cleared and a11thorized personnel. (8) Service and delivery vehicles shal 1 be admitted to protected areas only when on authorized business and when driven or under escort by properly cleared and authorized personnel. Access by such vehicles shall be kept to a minimum con­ sistent with operational requirements. (~) i'ersonnel, packages, briefcases and similar containers, and al 1 vehicles shal 1 be subject to search at the entrance to a protected area. The search on entering, when performed, may be made with DOE-approved detection equipment designed to assure that explosives, weapons, or other prohibited articles are not introduced. (ALO/TSO personnel and equip­ ment shall be exempt from this requirement when on official business). (10) A search of personnel, packages, briefcases and similar containers, and all vehicles shall be made prior to leavinq a material access area or protected area to assure that SNM is not being surreptitiously removed. The search may be carried out by using DOE-approved detection equipment. Detection equipment may be installed at material access areas, or at protected area exits if special control measures have been implemented to close unguarded diversion oaths. (11) Signs prohibiting trespassing shall be posted on the pro­ tected area fences. Appropriate reward signs, and signs prohibiting the introduction of contraband articles and authorizing the searches of personnel, packages, brief­ cases and similar containers, and vehicles either entering or exiting shall be posted at entrances to protected areas and material access areas. (U) i'eri,~eter intrusion alann systems or eouivalent ,aeans at providing early detection shal I be used at the perimeters of protected areas or material access areas. \ ) DOE 5632 . 2 13 ) 2-16- 79 ) ) _) (a) As an al ternative. until a pr otected area or materia l access area can be placed under perimeter alarm protection (or its equivalent) , it shall be occupied by at l east two security inspectors who shall have immediately available one or more DOE - approved night vision devices, and at least two means of communication (i.e . , te lephone and radio) to a point from which res ponse forces can be dispatched . (b) During times when the perimeter alarm or equivalent is not in operation, the peri meter shall be patrol led (on a random basis) by security inspectors at intervals not exceeding l hour. (13) All detection/a l arm devices , including transmission lines to annunicators shall be failure, and tamper- indicating . Such devices shall be connected to monitor/display panels in the hardened security force communications center required in subparagraph 8b(3) . An alternate alarm annunciat ion point (or a comparable alternate capability) shall be provided in a l ocation which is continuously manned by cleared personnel and which provides a second indication of an alarm such that a response can be initiated in the event the primary station is compromised . (14) All security related subsystems and components shall be maintained in readily operable condition, and shall have a test and maintenance program to assure an effective operable condition . c. Specific ~quirements for Material Access Areas .

(l) Unoccupied rooms or buildings (or a portion of a building) \vi thin a material access area containing Category I quant i ties of in- process SNM shall be equipped wi th DUE- approved intrusion alarm systems, or other equally effective means . Protection of Category II and Category III quantities of SNM located within a material access area should be in accordance with the requirements of 8f or 8h, respecti vely . Security Ins pector res ponse time to alarms shall be not more than S minutes . Access to such rooms shall be controlled to limit entry to appropriately cleared or escorted individuals who require admittance to perform their official duties . (2) Category I quantities of SNM shall be stored in SNM vaults; or in a securi ty room which is equi pped wi t h DUE-approved 14 (3) ( 4) DOE 5632.2 2-16- 79 int r usion alarm systems ; with a security inspector res ponse time of not more than 5 minutes . SNM shall be i n storage or under mater ial sur vei l lance pro­ cedures , or protec :ed in accordance with subpa ragraph Bc( l ) , above . A hardened security post shal 1 oe estab l i shed where t he oro­ tection of the security inspector is vital to t he re por tinq of unauthorized penetration of t he area perimeter alarms . This may be loca ted within or on t he peri meter of t he protected area . (5) Records shall be mai ntained of al I ;:>e rsons who are admitted to material access areas who are not directly eriployed in oper ations involving access to . use . orocessing . storage . accountabi 1 ity . or pro tection of SNi1 and of all persons ~vho ente r such areas during nonoperc tinq hours . d. Protection ot Category l Q.~ant_J__!:ies _of SNf\'1 - In Use or Storage . (1) Category l quantities of SNM snall oe used . orocessed . or stored only wi thin material access areas enclosed wit hin a protected area . (2) Any person in a positi on to dive r t or to conceal the diversi on or Ca egory l quantities of S~M shall possess a OUE "[) '' security clearance . Uncleared persons may be perr:iitted access to a protected area only under escor t of an ··s . • "L . .. ··rs , · or"[)' cleared individual and to a 11ater ia l access area only under escor t ot a"()" cleared Derson . (Note : Equivalent clearances may oe used subject to individual dete rmi nation . ) (3 ) SNM facilities holding Cateaory l auant1t1es of S~M shall be surveyed to evaluate the adequacy of phys ical arotec tion provis ion s at least annually . In addition . surveys should be cond ucted as often as is necessary to naintain a hian s t andar d of perfonna nce as determined by the respons·ble opera tions office nanaqer . Reporcs of s11rveys shall oe furnished orompt ly to the Jirector of Sarequa rus and Securi~y and to the res oonsiole outlay proar am mana~er . e . t-' rotec tion ot .Cateqory l l)uanti i~~-S Mand Classif1ea Con­ figurati on s of Cat eqo r1.._JJ Quantities of SN.'1 - In Trcnsit . (1) Shiprients o r C.:i:.egory ! Quan~i ;,:ies of 91i• and classifi ed ) ) . J DOE 5632.Z 2-16-79 15 configurations of Category II quantities of SNM shall be made by one of the following methods: (a) Highway. In locked and sealed safe secure trailers (SST), towed by special tractors, accompanied by at least six ALO/TSO couriers. All convoy vehicles will be driven by ALO/TSO couriers. 2 Tractors and escort vehicles shall maintain intra convoy communication with VHI' radios and two-way communication with the SECOM Control Center with HI' (SECOM) radios.

3 The vehicle containing the shipment shall be con­ tinuously guarded during the trip. 4 All shipments shall be made without intermediate stops, except for emergency reasons. driver relief. meals, refueling. or to transfer cargo. 5 At least one escort vehicle will accompany each shipment. 6 Shipments of individual units containing Category "I" quantities of SNM which weigh over 5.000 lbs. may be transported using conventional or flatbed trailers in accordance with a special plan approved by the Manager of AL. (or Manager of PNR for N~ core ship­ ments) after coordination with the Office of Safeguards and Security. 7 Movements of Category '"]'· quantities of SNM between protected areas in the same site or between protected areas and loading areas at the same site. shall be escorted by couriers or security inspectors in a two-way radio-equipped vehicle. Such movements may be made by SST or security approved conventional vehicles. 8 Movements of Category '·I·· quantities of SNM within a protected area shall be under material surveillance procedures . 16 DOt 5632.2 2-16-79 (b) Train. Nonweapons parts vieiqhing less than 5.UIJO pounds. but more than 1 .UIJU pounds per unit must be shipped in locked and sealed rail cars accompanied by at least three \JOE couriers. [nctividual units (excluding nuclear vieapons or devices) weighinq over 5,IJUU pounds can he shipped on flatcars accompanied by only one courier. Couriers acco1,panying train shipments shall utilize SECUM communi­ cations. (c) Air Transportation. [f not otherwise prohibited by statute or implementinq instructions. air shipments may take place in aircraft owned by UIJE or under DOE contract. with the materi a 1 in the custody of at 1 east two ALU/TSU couriers with pilot(s) and other crevi members possessing "Q" access authorization. The carqo when in their custody. shall be under tne direct observation of the couriers during al 1 land movements and loading and unloading operations. (2) There shall be a detailed search of the transport vehicle prior to loading and shipment to ensure that sabotage devices (that could facilitate theft of the SNM) have not been implanted or that sabotage has not been initiated, and that 11nauthorized persons are not aboard. (3) Written procedures approved by the responsible operations office shal 1 be followed by courier personnel responsible for the shipment of SNM. (4) Courier Keceipt. l'on;i DOE-6\J. or equivalent shall be executed at all points where the SNI~ in-transit changes custody. (5) Shipments shall be scheduled in irregular patterns and pre­ planned to avoid areas or routes having high risk and areas of natural disaster or civil disorders, such as strikes or riots. (6) Couriers shall maintain continued vigilance for the presence of conditions or situations which miqht threaten the security of the shipment, take such action as circumstances miqht reauire to avoid interference with continuous safe secure passage of the cargo vehicle, provide assistance to or summon aid for the crevi of the cargo vehicle in case of emergency. check seals or locks at each stop vihere time permits. and observe the cargo vehicle and adjacent areas during stops or layovers. ) ) ) I j DOE 5632.2 2-16-79 17 (7) In an emergency, where SNM is transferred from one vehicle to another outside of protected areas, the DOE couriers accom­ panying the shipment shall keep the shipment under surveillance by observing the opening of the cargo compartment of the original vehicle and all phases of the transfer, assuring that all the material is included in the second vehicle, and checking locks and seals.

(8) When SNM is transferred from storage to a vehicle or vice-versa, at least two security inspectors or couriers shall keep the shipment under surveillance. At least two couriers shall assure that the shipment is complete by checking locks, seals, and documentation, and by witnessing the opening or closing, as appropriate, of the cargo compartment. (9) All persons who have access to the cargo, or control over it, including drivers, loaders, and handlers must possess a 11 Q11 access authorization or an 1'L, 11 1'S, 11 or 11 TS 11 access authorization and be under the surveillance of a ''Q''-cleared employee. (10) A multilevel continuous sampling audit of all recurring ship­ ments of significant quantities of special nuclear materials under the jurisdiction of AL (those occurring more than five times a year) shall be made by the Albuquerque Operations Office to assure compliance with established security standards and procedures. Multilevel continuous sampling as applicable to this requirement is described in the DOD Inspection and Quality Control Handbook, H-106. The sampling plan in H-106 describes three levels of sampling (f = 1/3, 1/9, 1/27) and the criteria for changing sampling levels. During the initial period of implementing this survey concept, audits will be performed at frequency level 2 (l/9), until the Manager of AL determines that a high performance level has been achieved in keeping with the sampling plan, then audits will occur at frequency level 3 (1/27). Should a major discrepancy be found at the latter audit rate, the frequency of audits will return again to level 2 until a high level of performance is again achieved. The Manager of AL, will direct an increase in audit frequency for any portion of the system whenever, in his judgment, changes in personnel, equipment, risk, or procedures so indicate. AL will require approval of the Assistant Secretary for Defense Programs, or designee, for any deviation from this sampling plan. Audit reports requiring change of frequency due to detection of a major discrepancy will be forwarded to the Assistant Secretary Hl DOE 5632.2 2-16-79 * for Defense irograrns or appropriate designees. Significant violations of procedures by couriers shall be reported immediately to the Manager of AL. and after evaluation to the Director of Safeguards and Security. f. Protection of Category [[ Quantities• of SNM - In Use or Storage. (I) Category II quantities of SNM shall be used. processed, and stored in a protected area. The protected area requirements specified in subparagraph Bb may be reduced subject to detailed justification contained in the approved site-specific safeguards and security plan. (c)••Any person in a position which will permit him to divert or to conceal the diversion of Category ··11·· quantities ot SNM shall possess a DOE ··q·· security clearance. Uncleared persons may be permitted access to a protected area only under escort of an "S," "L," "TS," or "Q" cleared individual. (Note: Equivalent clearances may be used subject to individual determination.) (3) SNM facilities holding Category II quantities of SNM shall be surveyed to evaluate the adequacy of physical protection provisions at least annually. In addition, surveys sho11ld be conducted as often as is necessary to maintain a high standird of performance as determined by the responsible operations office manager. Re_oorts of surveys shall be furnished to the Director of Safeguards and Security and to the responsible outlay program manager on a timely basis.

(4) Unoccupied rooms or buildings (or a portion of a building) containing Category [I quantities of in-orocess SN~ shall be eq,,ioped with DOE-aporoved intrusion alarm systems, or other equally effective means. Access to such rooms shall be controlled to limit entry to individuals who require admit­ tance to perform their official duties. Security insoector response tirne to alarm shall not be more than 10 rninutes. See Attachment [ and Jefinitions, oaragraoh 6. ** The access authorization requirements of this paragraoh in abeyance pending publication in the Federal Register revisions to 10 CFR Part 710. shall be held of aporopria':e 1 l DOE 5632. 2 2-16-79 ( 5) ( 6) Category II quantities of SNM shall be stored in vaults, security rooms, or security containers which are protected with DOE-approved intrusion alarm systems, with a security inspector response time of not more than 10 minutes. The SNM shall be in storage or under material surveillance procedures, or meet the conditions of subparagraph 8f(4). g. Protection of Category II Quantities of SNM - In Transit. (See subparagraph Se for in transit protection for classified con­ figurations of Category II quantities of SNM.) (1) Shipments of Category II quantities of SNM shall be made by one of the following methods: (a) Truck. 19 ) l**Category II quantities of SNM may be shipped by - government-owned or exclusive-use truck by commercial carrier in the custody of at least two escorts possessing ''L'' access authorizations or equivalent. ) ** 2 Cargo compartments of the trucks shall be locked and sealed. 3 Escorts shall maintain frequent periodic communi­ cation with a control station which can request appropriate law enforcement agency response. 4 Escorts shall maintain the shipment under surveil­ lance during the trip. 5 All shipments shall be made without any intermediate stops (except for emergency reasons, and for driver relief, meals, refueling, or to transfer cargo in mixed modes of transportation, e.g., truck-to-train, etc.). 6 There should be a detailed search of the transport vehicle prior to loading and shipment to ensure that sabotage devices have not been implanted or that sabotage has not been initiated and that unauthorized persons are not aboard. The access authorization requirements of this paragraph shall be held in abeyance pending publication in the Federal Register of appropriate revisions to 10 CFR Part 710. 20 ** (b) Train. DOE 5632.2 2-16-79 1 **Category I I quantities of SNM may be shipped by train - in the custody of at least two escorts oossessing "L" access authorizations. 2 Cargo compartments shall be locked and sealed. 3 Escorts shall maintain frequent periodic communi­ cation with a control station which can request appropriate law enforcement agency response. 4 Escorts shall maintain the shipment under surveil­ lance during the trip. 5 There should be a detailed search of the transport vehicle prior to loading and shipment to ensure that sabotage has not been initiated and that unauthorized persons are not aboard. (c)**Air Transportation. If not otherwise prohibited by statute or implementing instructions, air shipments of Category ''II'' quantities of SNM may take place. The material must be attended by at least two escorts possessing ''L'' access authorization or equivalent. The shipments must be under the direct observation of the escorts during all land movements and loading and unloading operations.

(2) Procedures approved by the responsible operations office manager shall be followed by all personnel associated with the shipment. (3) Form DOE-60, or equivalent, shall be executed at all points where the in-transit SNM changes custody. (4) Route choice and schedule should be based on consideration to avoid areas of natural disasters or civil disorders and to provide the minimum number of cargo transfers and minimum length of transit time. (5) Movements of Category II quantities of SNM within a protected area shall be under material surveillance procedures. The access authorization requirements of this paragraph shall be held in abeyance pending publication in the Federal Register of approoriate revisions to 10 CFR Part_710. ., ) ) I 1 DOE 5632.2 -} 2-16-79 21 ) * (6) Movements of Category II quantities of SNM between protected areas at the same site shall be under escort by at least one security inspector. (7) Escorts shall maintain continued vigilance for the presence of conditions· or situations which might threaten the security of the shipment, take appropriate action to avoid interference with continuous safe passage of the cargo vehicle, provide assistance to or summon aid for the crew of the cargo vehicle in case of emergency, check seals or locks at each stop where time permits, and observe the cargo vehicle and adjacent areas during stops or layovers. (8) In an emergency, where SNM is transferred from one vehicle to another, at least two cleared escorts shall keep the shipment under surveillance by observing all phases of the transfer, assuring that all the material is included in the second vehicle, and checking locks and seals. (9) Significant violations of procedures shall be reported immediately to the responsible operations office which shall, after making an evaluation, forward a written report to the Director of Safeguards and Security. (10) Safeguards and Security field organizations shall conduct necessary transportation security surveys of carriers at least annually. Surveys will be coordinated with the cognizant field transportation office. h. Protection of Category III Quantities of SNM - In Use or Storage. (1) Category !!IA* Quantities of SNM. (a) When unattended, Category !!IA quantities of SNM shall be secured within a locked DOE-approved security container or within a locked room. (b) During nonworking hours the container or locked room containing the material shall be under protection of a DOE approved intrusion detection alarm system, or patrolled at intervals not to exceed 2 hours, or located in a protected area. See Attachment 1 and Definitions, paragraph 6. 22 DOE 5632.2 2-76-79 (c) Access to the material shall be limited to employees in positions which have been specifically designated by manage­ ment as requiring access to Category !!IA quantities of SNM in the course of assigned duties and to authorized visitors who are under continuous escort of employees in such desig­ nated positions. (d) Guard response to alarms shall be not more than 70 minutes. (e) Packages, briefcases and similar containers, and all vehicles shall be subject to search by the individual controlling access to the use or storage area or to the protected area, if applicable. The search on entering shall be made to assure that explosives or other contraband are not introduced. Personnel and packages shall be subject to search upon leaving the use and storage area to assure that SNM is not being surreptitiously removed.

(f) Reward signs and signs prohibiting trespassing and the introduction of contraband articles and authorizing the searches of vehicles, packages, or persons either entering or exiting shall be posted at entrances to the use or storage area. (g) SNM facilities holding Category !!IA quantities of SNM shall be surveyed to evaluate the adequacy of safeguards and security provisions at least every 2 years. Reports of inspections shall be furnished to the Director of Safeguards and Security and appropriate outlay program managers. In addition, surveys should be conducted as often as are necessary to maintain a high standard of performance. (2) Category IIIB* quantities of SNM shall be received, used, processed, and stored in accordance with operations office approved safeguards and security plans. i. Protection of Category III Quantities of SNM - In Transit. (l) Shipments of all Category Ill quantities of SNM** may be made by one of the following methods: truck, rail, air, or water in commercial for-hire vehicles. (2) Packages shall be sealed. * See Attachment l and Definitions, paragraph 6. ** If not otherwise prohibited by statute or implementing instructions, air shipments of Category "III" quantities of SNM may take place. I ) ) J l DOE 5632.2 2-16- 79 23 (and 24) (3) Shipments , excepting shi pments of laboratory analysis samples, shall be made under arrangements which provide the capability to trace and identify , within 24 hours of request, the prec i se leg of a journey where a shipment went astray in t he event of its nonarrival at destination within the prescribed time frame . (4) Advance notifi cation of the est imated t i me of arrival to be received prior to dispatch, with written confirmation follow­ ing not later than 48 hours after di spatch shall be provided by the shipper to the consignee . (5) The consignee will promptly notify the shipper by telephone upon determination that a shipment has not arr i ved within a reasonable time and shall provide written confirmation of such notification . (6) In the event that an exclusive use vehicle is required for other than safeguards and security reasons, the following provisions apply: (a) The vehicle shall be given a detai l ed search prior to loading and shi pment to ensure that sabotage devices have not been implanted or that sabotage has not been i nitiated. (b) The vehicle shall be sealed and all seal numbers noted on the shi pping papers. (7) Shipments shall be made in accordance with al l applicable Federal regulations. FOR THE SECRETARY OF ENERGY: William S. Heffelfinger Director of Administrat i on l ) DOE 563l .2 2-16-79 Table I PHYSICAL PROTECTION CATEGURILATIUH OF NUCLEAR MATER IAL Attachment l flag e l (and 2) --- --------- - --- - - - ---- -- ---- ----- --------- ------------ ) ) Special Nuclear Material Plutonium U- 233 Uranium- 235 Contained in Ura nium enriched to 20% or mo re . Urani um-235 (Con­ tai ned in Uranium enriched to less than 20%) . -*-- Category I* 2 kgs . or more 2 kgs . or more 5 kgs . or more Category II * 400-1 , 999 grams 400- 1 , 999 grams 1 ,000- 4 , 999 grams Category III -A** 220- 399 grams 220-399 grams 350-999 grams Category I I I - 8 1-219 grams 1-219 grams 1-349 grams All quantities above . 99 grams • If Plutonium or U- 233 is combined with U-235 , the amounts of Pu or U-233 shall be multiplied by 2. 5 to arrive at the li mits shown . l ** A plutonium and/or Uranium 233 content of less than 400 grams may he combined with Uranium 235 when the total content is less than 1000 grams .