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Physical Security Best Practices for the Protection of Risk-Significant Radioactive Material

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Physical Security Best Practices for the Protection of Risk-Significant Radioactive Material NUREG-2166 Physical Security Best Practices for the Protection of Risk-Significant Radioactive Material Office of Federal and State Materials and Environmental Management Programs AVAILABILITY OF REFERENCE MATERIALS IN NRC PUBLICATIONS NRC Reference Material Non-NRC Reference Material As of November 1999, you may electronically access Documents available from public and special technical NUREG-series publications and other NRC records at libraries include all open literature items, such as books, NRC’s Public Electronic Reading Room at journal articles, transactions, Federal Register notices, http://www.nrc.gov/reading-rm.html. Publicly released Federal and State legislation, and congressional reports. records include, to name a few, NUREG-series Such documents as theses, dissertations, foreign reports publications; Federal Register notices; applicant, and translations, and non-NRC conference proceedings licensee, and vendor documents and correspondence; may be purchased from their sponsoring organization. NRC correspondence and internal memoranda; bulletins and information notices; inspection and investigative Copies of industry codes and standards used in a reports; licensee event reports; and Commission papers substantive manner in the NRC regulatory process are and their attachments. maintained at— The NRC Technical Library NRC publications in the NUREG series, NRC Two White Flint North regulations, and Title 10, “Energy,” in the Code of 11545 Rockville Pike Federal Regulations may also be purchased from one Rockville, MD 20852–2738 of these two sources. 1. The Superintendent of Documents These standards are available in the library for reference U.S. Government Printing Office use by the public. Codes and standards are usually Mail Stop SSOP copyrighted and may be purchased from the originating Washington, DC 20402–0001 organization or, if they are American National Standards, Internet: bookstore.gpo.gov from— Telephone: 202-512-1800 American National Standards Institute nd Fax: 202-512-2250 11 West 42 Street 2. The National Technical Information Service New York, NY 10036–8002 Springfield, VA 22161–0002 www.ansi.org www.ntis.gov 212–642–4900 1–800–553–6847 or, locally, 703–605–6000 Legally binding regulatory requirements are stated only A single copy of each NRC draft report for comment is in laws; NRC regulations; licenses, including technical available free, to the extent of supply, upon written specifications; or orders, not in NUREG-series request as follows: publications. The views expressed in contractor- Address: U.S. Nuclear Regulatory Commission prepared publications in this series are not necessarily Office of Administration those of the NRC. Publications Branch The NUREG series comprises (1) technical and Washington, DC 20555-0001 administrative reports and books prepared by the staff E-mail: [email protected] (NUREG–XXXX) or agency contractors (NUREG/CR– Facsimile: 301–415–2289 XXXX), (2) proceedings of conferences (NUREG/CP– XXXX), (3) reports resulting from international Some publications in the NUREG series that are agreements (NUREG/IA–XXXX), (4) brochures posted at NRC’s Web site address (NUREG/BR–XXXX), and (5) compilations of legal http://www.nrc.gov/reading-rm/doc-collections/nuregs decisions and orders of the Commission and Atomic and are updated periodically and may differ from the last Safety Licensing Boards and of Directors’ decisions printed version. Although references to material found on under Section 2.206 of NRC’s regulations (NUREG– a Web site bear the date the material was accessed, the 0750). material available on the date cited may subsequently be DISCLAIMER: This report was prepared as an account removed from the site. of work sponsored by an agency of the U.S. Government. Neither the U.S. Government nor any agency thereof, nor any employee, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party’s use, or the results of such use, of any information, apparatus, product, or process disclosed in this publication, or represents that its use by such third party would not infringe privately owned rights. NUREG-2166 Physical Security Best Practices for the Protection of Risk-Significant Radioactive Material Manuscript Completed: May 2014 Date Published: May 2014 Prepared by: A. Gaudreau1, P. Goldberg1, S. Hawkins1, J. Katanic1, W. Lee1, G. Purdy2, D. White2, F. Pavlechko3, A. True3, C. Gordon4, R. Ragland4, K. Lambert5, and J. Thompson6 1Office of Federal and State Materials and Environmental Management Programs 2Office of Nuclear Security and Incident Response 3Office of Chief Human Capital Officer Training and Development 4Region I 5Region III 6Region IV Duane White, NRC Project Manager Office of Federal and State Materials and Environmental Management Programs ABSTRACT This document provides guidance to U.S. Nuclear Regulatory Commission (NRC) licensees or applicants on developing and implementing a physical protection program for the protection of risk-significant radioactive materials (e.g., category 1 and category 2 quantities of radioactive material). The intent of this information is to provide NRC licensees or applicants guidance with specific emphasis on physical security best practices. The approaches and methods in this document are not requirements; however, the NRC considers them to be acceptable for complying with the requirements in Title 10 of the Code of Federal Regulations (10 CFR) Part 37, “Physical Protection of Category 1 and Category 2 Quantities of Radioactive Material.” Paperwork Reduction Act Statement This NUREG contains information collection requirements associated with 10 CFR Part 37 that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). These information collections were approved by the Office of Management and Budget (OMB), approval number 3150-0214. Public Protection Notification The NRC may not conduct or sponsor, and a person is not required to respond to, a request for information or an information collection requirement unless the requesting document displays a currently valid OMB control number. iii CONTENTS ABSTRACT ............................................................................................................................... iii FIGURES AND TABLES .......................................................................................................... vii ACKNOWLEDGMENTS ............................................................................................................ ix ABBREVIATIONS AND ACRONYMS ....................................................................................... xi GLOSSARY OF TERMS ......................................................................................................... xiii 1. PURPOSE OF THE REPORT ............................................................................................1-1 2. AN EFFECTIVE PHYSICAL PROTECTION PROGRAM ...................................................2-1 2.1 Determining the Objectives of the Physical Protection Program ................................2-1 2.1.1 Characterizing the Facility ...........................................................................2-1 2.1.2 Identifying the Target ……………. ...............................................................2-2 2.1.3 Defining the Threat ……………. ..................................................................2-3 2.2 Key Elements of a Physical Protection Program ........................................................2-4 2.2.1 Access Authorization……………. ................................................................2-4 2.2.2 Access Control ……………. ........................................................................2-5 2.2.3 Detection…………………. ..........................................................................2-5 2.2.4 Delay …………………………… ...................................................................2-6 2.2.5 Assessment …………….. ...........................................................................2-6 2.2.6 Response…………………. .........................................................................2-7 3. ADMINISTRATIVE SECURITY MEASURES .....................................................................3-1 3.1 Access Authorization Program ...................................................................................3-1 3.1.1 Background Investigation ……………. ........................................................3-2 3.1.2 Trustworthiness and Reliability Determination ……………. .........................3-4 3.1.3 Managing Access ……………. ....................................................................3-8 3.2 Physical Security Plan ...............................................................................................3-9 3.3 Security Procedures ................................................................................................3 -10 3.4 Information Protection……… ...................................................................................3 -10 3.5 Security Training ......................................................................................................3 -11 3.6 Maintenance and Testing Program ..........................................................................3 -13 3.7 Contingency Planning ..............................................................................................3 -14 3.8 Response Planning and Coordination ......................................................................3 -15 4. PHYSICAL SECURITY BEST PRACTICES
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