Title 10

PART 73 APPENDIX B



Appendix B to Part 73 - General Criteria for Security Personnel

10:2.0.1.1.13.2.127.1.14 : Appendix B

Appendix B to Part 73 - General Criteria for Security Personnel Table of Contents Introduction. Definitions. Criteria. I. Employment suitability and qualification. A. Suitability. B. Physical and mental qualifications. C. Medical examination and physical fitness qualifications. D. Contract security personnel. E. Physical and medical requalification. F. Documentation. II. Training and qualifications. A. Training requirements. B. Qualification requirements. C. Contract personnel. D. Security knowledge, skills, and abilities. E. Requalification. III. Weapons training and qualification. IV. Weapons qualification and requalification program. V. Guard, armed response personnel, and armed escort equipment. A. Fixed site. B. Transportation. VI. Nuclear Power Reactor Training and Qualification Plan for Personnel Performing Security Program Duties A. General Requirements and Introduction B. Employment Suitability and Qualification C. Duty Training D. Duty Qualification and Requalification E. Weapons Training F. Weapons Qualification and Requalification Program G. Weapons, Personal Equipment and Maintenance H. Records I. Reviews J. Definitions Introduction

Applicants and power reactor licensees subject to the requirements of § 73.55 shall comply only with the requirements of section VI of this appendix. All other licensees, applicants, or certificate holders shall comply only with sections I through V of this appendix.

Security personnel who are responsible for the protection of special nuclear material on site or in transit and for the protection of the facility or shipment vehicle against radiological sabotage should, like other elements of the physical security system, be required to meet minimum criteria to ensure that they will effectively perform their assigned security-related job duties. In order to ensure that those individuals responsible for security are properly equipped and qualified to execute the job duties prescribed for them, the NRC has developed general criteria that specify security personnel qualification requirements.

These general criteria establish requirements for the selection, training, equipping, testing, and qualification of individuals who will be responsible for protecting special nuclear materials, nuclear facilities, and nuclear shipments.

When required to have security personnel that have been trained, equipped, and qualified to perform assigned security job duties in accordance with the criteria in this appendix, the licensee must establish, maintain, and follow a plan that shows how the criteria will be met. The plan must be submitted to the NRC for approval and must be implemented within 30 days after approval by the NRC unless otherwise specified by the NRC in writing.

Definitions

Terms defined in parts 50, 70, and 73 of this chapter have the same meaning when used in this appendix.

Criteria I. Employment suitability and qualification.

A. Suitability: 1. Prior to employment, or assignment to the security organization, an individual shall meet the following suitability criteria:

a. Educational development - Possess a high school diploma or pass an equivalent performance examination designed to measure basic job-related mathematical, language, and reasoning skills, ability, and knowledge, required to perform security job duties.

b. Felony convictions - Have no felony convictions involving the use of a weapon and no felony convictions that reflect on the individual's reliability.

2. Prior to employment or assignment to the security organization in an armed capacity, the individual, in addition to (a) and (b) above, must be 21 years of age or older.

B. Physical and mental qualifications. 1. Physical qualifications:

a. Individuals whose security tasks and job duties are directly associated with the effective implementation of the licensee physical security and contingency plans shall have no physical weaknesses or abnormalities that would adversely affect their performance of assigned security job duties.

b. In addition to a. above, guards, armed response personnel, armed escorts, and central alarm station operators shall successfully pass a physical examination administered by a licensed physician. The examination shall be designed to measure the individual's physical ability to perform assigned security job duties as identified in the licensee physical security and contingency plans. Armed personnel shall meet the following additional physical requirements:

(1) Vision: (a) For each individual, distant visual acuity in each eye shall be correctable to 20/30 (Snellen or equivalent) in the better eye and 20/40 in the other eye with eyeglasses or contact lenses. If uncorrected distance vision is not at least 20/40 in the better eye, the individual shall carry an extra pair of corrective lenses. Near visual acuity, corrected or uncorrected, shall be at least 20/40 in the better eye. Field of vision must be at least 70° horizontal meridian in each eye. The ability to distinguish red, green, and yellow colors is required. Loss of vision in one eye is disqualifying. Glaucoma shall be disqualifying, unless controlled by acceptable medical or surgical means, provided such medications as may be used for controlling glaucoma do not cause undesirable side effects which adversely affect the individual's ability to perform assigned security job duties, and provided the visual acuity and field of vision requirements stated above are met. On-the-job evaluation shall be used for individuals who exhibit a mild color vision defect.

(b) Where corrective eyeglasses are required, they shall be of the safety glass type.

(c) The use of corrective eyeglasses or contact lenses shall not interfere with an individual's ability to effectively perform assigned security job duties during normal or emergency operations.

(2) Hearing: (a) Individuals shall have no hearing loss in the better ear greater than 30 decibels average at 500 Hz, 1,000 Hz, and 2,000 Hz with no level greater that 40 decibels at any one frequency (by ISO 389 “Standard Reference Zero for the Calibration of Puritone Audiometer” (1975) or ANSI S3.6-1969 (R. 1973) “Specifications for Audiometers”). ISO 389 and ANSI S3.6-1969 have been approved for incorporation by reference by the Director of the Federal Register. A copy of each standard is available for inspection at the NRC Library, 11545 Rockville Pike, Rockville, Maryland 20852-2738.

(b) A hearing aid is acceptable provided suitable testing procedures demonstrate auditory acuity equivalent to the above stated requirement.

(c) The use of a hearing aid shall not decrease the effective performance of the individual's assigned security job duties during normal or emergency operations.

(3) Diseases - Individuals shall have no established medical history or medical diagnosis of epilepsy or diabetes, or, where such a condition exists, the individual shall provide medical evidence that the condition can be controlled with proper medication so that the individual will not lapse into a coma or unconscious state while performing assigned security job duties.

(4) Addiction - Individuals shall have no established medical history or medical diagnosis of habitual alcoholism or drug addiction, or, where such a condition has existed, the individual shall provide certified documentation of having completed a rehabilitation program which would give a reasonable degree of confidence that the individual would be capable of performing assigned security job duties.

(5) Other physical requirements - An individual who has been incapacitated due to a serious illness, injury, disease, or operation, which could interfere with the effective performance of assigned security job duties shall, prior to resumption of such duties, provide medical evidence of recovery and ability to perform such security job duties.

2. Mental qualifications: a. Individuals whose security tasks and job duties are directly associated with the effective implementation of the licensee physical security and contingency plans shall demonstrate mental alertness and the capability to exercise good judgment, implement instructions, assimilate assigned security tasks, and possess the acuity of senses and ability of expression sufficient to permit accurate communication by written, spoken, audible, visible, or other signals required by assigned job duties.

b. Armed individuals, and central alarm station operators, in addition to meeting the requirement stated in paragraph a. above, shall have no emotional instability that would interfere with the effective performance of assigned security job duties. The determination shall be made by a licensed psychologist or psychiatrist, or physician, or other person professionally trained to identify emotional instability.

c. The licensee shall arrange for continued observation of security personnel and for appropriate corrective measures by responsible supervisors for indications of emotional instability of individuals in the course of performing assigned security job duties. Identification of emotional instability by responsible supervisors shall be subject to verification by a licensed, trained person.

C. Medical examinations and physical fitness qualifications - Guards, armed response personnel, armed escorts and other armed security force members shall be given a medical examination including a determination and written certification by a licensed physician that there are no medical contraindications as disclosed by the medical examination to participation by the individual in physical fitness tests. Subsequent to this medical examination, guards, armed response personnel, armed escorts and other armed security force members shall demonstrate physical fitness for assigned security job duties by performing a practical physical exercise program within a specific time period. The exercise program performance objectives shall be described in the license training and qualifications plan and shall consider job-related functions such as strenuous activity, physical exertion, levels of stress, and exposure to the elements as they pertain to each individual's assigned security job duties for both normal and emergency operations. The physical fitness qualification of each guard, armed response person, armed escort, and other security force member shall be documented and attested to by a licensee security supervisor. The licensee shall retain this documentation as a record for three years from the date of each qualification.

D. Contract security personnel - Contract security personnel shall be required to meet the suitability, physical, and mental requirements as appropriate to their assigned security job duties in accordance with section I of this appendix.

E. Physical requalification - At least every 12 months, central alarm station operators shall be required to meet the physical requirements of B.1.b of this section, and guards, armed response personnel, and armed escorts shall be required to meet the physical requirements of paragraphs B.1.b (1) and (2), and C of this section. The licensee shall document each individual's physical requalification and shall retain this documentation of requalification as a record for three years from the date of each requalification.

F. Documentation - The results of suitability, physical, and mental qualifications data and test results must be documented by the licensee or the licensee's agent. The licensee or the agent shall retain this documentation as a record for three years from the date of obtaining and recording these results.

G. Nothing herein authorizes or requires a licensee to investigate into or judge the reading habits, political or religious beliefs, or attitudes on social, economic, or political issues of any person.

II. Training and qualifications.

A. Training requirements - Each individual who requires training to perform assigned security-related job tasks or job duties as identified in the licensee physical security or contingency plans shall, prior to assignment, be trained to perform these tasks and duties in accordance with the licensee or the licensee's agent's documented training and qualifications plan. The licensee or the agent shall maintain documentation of the current plan and retain this documentation of the plan as a record for three years after the close of period for which the licensee possesses the special nuclear material under each license for which the plan was developed and, if any portion of the plan is superseded, retain the material that is superseded for three years after each change.

B. Qualification requirements - Each person who performs security-related job tasks or job duties required to implement the licensee physical security or contingency plan shall, prior to being assigned to these tasks or duties, be qualified in accordance with the licensee's NRC-approved training and qualifications plan. The qualifications of each individual must be documented and attested by a licensee security supervisor. The licensee shall retain this documentation of each individual's qualifications as a record for three years after the employee ends employment in the security-related capacity and for three years after the close of period for which the licensee possesses the special nuclear material under each license, and superseded material for three years after each change.

C. Contract personnel - Contract personnel shall be trained, equipped, and qualified as appropriate to their assigned security-related job tasks or job duties, in accordance with sections II, III, IV, and V of this appendix. The qualifications of each individual must be documented and attested by a licensee security supervisor. The licensee shall retain this documentation of each individual's qualifications as a record for three years after the employee ends employment in the security-related capacity and for three years after the close of period for which the licensee possesses the special nuclear material under each license, and superseded material for three years after each change.

D. Security knowledge, skills, and abilities - Each individual assigned to perform the security related task identified in the licensee physical security or contingency plan shall demonstrate the required knowledge, skill, and ability in accordance with the specified standards for each task as stated in the NRC approved licensee training and qualifications plan. The areas of knowledge, skills, and abilities that shall be considered in the licensee's training and qualifications plan are as follows:

1. Protection of nuclear facilities, transport vehicles, and special nuclear material.

2. NRC requirements and guidance for physical security at nuclear facilities and for transportation.

3. The private security guard's role in providing physical protection for the nuclear industry.

4. The authority of private guards.

5. The use of nonlethal weapons.

6. The use of deadly force.

7. Power of arrest and authority to detain individuals.

8. Authority to search individuals and seize property.

9. Adversary group operations.

10. Motivation and objectives of adversary groups.

11. Tactics and force that might be used by adversary groups to achieve their objectives.

12. Recognition of sabotage related devices and equipment that might be used against the licensee's facility or shipment vehicle.

13. Facility security organization and operation.

14. Types of physical barriers.

15. Weapons, lock and key control system operation.

16. Location of SNM and/or vital areas within a facility.

17. Protected area security and vulnerability.

18. Types of alarm systems used.

19. Response and assessment to alarm annunciations and other indications of intrusion.

20. Familiarization with types of special nuclear material processed.

21. General concepts of fixed site security systems.

22. Vulnerabilities and consequences of theft of special nuclear material or radiological sabotage of a facility.

23. Protection of security system information.

24. Personal equipment use and operation for normal and contingency operations.

25. Surveillance and assessment systems and techniques.

26. Communications systems operation, fixed site.

27. Access control systems and operation for individuals, packages, and vehicles.

28. Contraband detection systems and techniques.

29. Barriers and other delay systems around material access or vital areas.

30. Exterior and interior alarm systems operation.

31. Duress alarm operation.

32. Alarm stations operation.

33. Response force organization.

34. Response force mission.

35. Response force operation.

36. Response force engagement.

37. Security command and control system during normal operation.

38. Security command and control system during contingency operation.

39. Transportation systems security organization and operation.

40. Types of SNM transport vehicles.

41. Types of SNM escort vehicles.

42. Modes of transportation for SNM.

43. Road transport security system command and control structure.

44. Use of weapons.

45. Communications systems operation for transportation, shipment to control center and intraconvoy.

46. Vulnerabilities and consequences of theft of special nuclear material or radiological sabotage of a transport vehicle.

47. Protection of transport system security information.

48. Control of area around transport vehicle.

49. Normal convoy techniques and operations.

50. Familiarization with types of special nuclear materials shipped.

51. Fixed post station operations.

52. Access control system operation.

53. Search techniques and systems for individuals, packages and vehicles.

54. Escort and patrol responsibilities and operation.

55. Contengency response to confirmed intrusion or attempted intrusion.

56. Security system operation after component failure.

57. Fixed site security information protection.

58. Security coordination with local law enforcement agencies.

59. Security and situation reporting, documentation and report writing.

60. Contingency duties.

61. Self defense.

62. Use of and defenses against incapacitating agents.

63. Security equipment testing.

64. Contingency procedures.

65. Night vision devices and systems.

66. Mechanics of detention.

67. Basic armed and unarmed defensive tactics.

68. Response force deployment.

69. Security alert procedures.

70. Security briefing procedures.

71. Response force tactical movement.

72. Response force withdrawal.

73. Reponse force use of support fire.

74. Response to bomb and attack threats.

75. Response to civil disturbances (e.g., strikes, demonstrators).

76. Response to confirmed attempted theft of special nuclear material and/or radiological sabotage of facilities.

77. Response to hostage situations.

78. Site specific armed tactical procedures and operation.

79. Security response to emergency situations other than security incidents.

80. Basic transportation defensive response tactics.

81. Armed escort deployment.

82. Armed escort adversary engagement.

83. Armed escort formations.

84. Armed escort use of weapons fire (tactical and combat).

85. Armed escort and shipment movement under fire.

86. Tactical convoying techniques and operations.

87. Armed escort tactical exercises.

88. Armed escort response to bomb and attack threats.

89. Verification of shipment documentation and contents.

90. Continuous surveillance of shipment vehicle.

91. Normal and contingency operation for shipment mode transfer.

92. Armed personnel procedures and operation during temporary storage between mode transfers of shipments.

93. Armed escort threat assessment and response.

94. System for and operation of shipment vehicle lock and key control.

95. Techniques and procedures for isolation of shipment vehicle during a contingency situation.

96. Transportation coordination with local law enforcement agencies.

97. Procedures for verification of shipment locks and seals.

98. Transportation security and situation reporting, documentation, and report writing.

99. Procedures for shipment delivery and pickup.

100. Transportation security system for escort by road, rail, air and sea.

E. Requalification - Security personnel shall be requalified at least every 12 months to perform assigned security-related job tasks and duties for both normal and contingency operations. Requalification shall be in accordance with the NRC-approved licensee training and qualifications plan. The results of requalification must be documented and attested by a licensee security supervisor. The licensee shall retain this documentation of each individual's requalification as a record for three years from the date of each requalification.

III. Weapons training.

A. Guards, armed response personnel and armed escorts requiring weapons training to perform assigned security related job tasks or job duties shall be trained in accordance with the licensees' documented weapons training programs. Each individual shall be proficient in the use of his assigned weapon(s) and shall meet prescribed standards in the following areas:

1. Mechanical assembly, dissasembly, range penetration capability of weapon, and bullseye firing.

2. Weapons cleaning and storage.

3. Combat firing, day and night.

4. Safe weapons handling.

5. Clearing, loading, unloading, and reloading.

6. When to draw and point a weapon.

7. Rapid fire techniques.

8. Close quarter firing.

9. Stress firing.

10. Zeroing assigned weapon(s).

IV. Weapons qualification and requalification program.

Qualification firing for the handgun and the rifle must be for daylight firing, and each individual shall perform night firing for familiarization with assigned weapon(s). The results of weapons qualification and requalification must be documented by the licensee or the licensee's agent. Each individual shall be requalified at least every 12 months. The licensee shall retain this documentation of each qualification and requalification as a record for three years from the date of the qualification or requalification, as appropriate.

A. Handgun - Guards, armed escorts and armed response personnel shall qualify with a revolver or semiautomatic pistol firing the national police course, or an equivalent nationally recognized course. Qualifying score shall be an accumulated total of 70 percent of the maximum obtainable score.

B. Semiautomatic Rifle - Guards, armed escorts and armed response personnel, assigned to use the semiautomatic rifle by the licensee training and qualifications plan, shall qualify with a semiautomatic rifle by firing the 100-yard course of fire specified in section 17.5(1) of the National Rifle Association, High Power Rifle Rules book (effective March 15, 1976), 1 or a nationally recognized equivalent course of fire. Targets used shall be as stated in section 17.5 for the 100-yard course. Time limits for individuals shall be as specified in section 8.2 of the NRA rule book, regardless of the course fired. Qualifying score shall be an accumulated total of 80 percent of the maximum obtainable score.

1 Copies of the “NRA High Power Rifle Rules” may be examined at, or obtained from, the National Rifle Association, 1600 Rhode Island Avenue NW., Washington, DC 20036.

C. Shotgun - Guards, armed escorts, and armed response personnel assigned to use the 12 gauge shotgun by the licensee training and qualifications plan shall qualify with a full choke or improved modified choke 12 gauge shotgun firing the following course:

Range Position No. Rounds 1 Target 2
15 yds Hip fire point 4 B-27
25 yds Shoulder 4 B-27