The PDF version 
DOE M 473.2-2
Approved: 6-30-00
Review date: 6-30-02
PROTECTIVE FORCE
PROGRAM MANUAL
U.S. DEPARTMENT OF ENERGY
Office of Security Affairs
Distribution: Initiated By:
All Departmental Elements Office of Safeguards and Security PROTECTIVE FORCE PROGRAM MANUAL
1. PURPOSE. This Manual provides detailed requirements to supplement DOE O 473.2,
PROTECTIVE FORCE PROGRAM, which establishes the requirements and responsibilities
for management and operation of the Department of Energy (DOE) Protective Force (PF)
Program.
2. DEVIATIONS. Deviations from this Manual must be processed through procedures
established in DOE O 470.1, SAFEGUARDS AND SECURITY PROGRAM.
3. CONTACT. Questions concerning this Manual should be directed to the Program Manager,
Protection Program Operations, OSS, at (301) 903-5693. Questions concerning Chapter
VIII, "Executive Protection Program," should be directed to the Executive Protection Program
Manager, DOE Headquarters, at (202) 586-2134.
4. IMPLEMENTATION. The requirements of this Manual must be implemented as soon as
possible, consistent with collective bargaining and similar agreements and contractual
requirements. Implementation plans for any requirements that cannot be implemented within 6
months of the effective date of this Order or within existing resources must be developed by
heads of Field Elements and submitted to the respective Lead Program Secretarial
Office/Administrators, NNSA. Copies of these plans must be forwarded to the Office of
Security and Emergency Operations, through the OSS.
BY ORDER OF THE SECRETARY OF ENERGY:
T.J. GLAUTHIER
Deputy Secretary CONTENTS
CHAPTER I - PROTECTIVE FORCES MANAGEMENT
1. Plans, Post and General Orders, and Procedures . . . . .I-1
2. Qualification Requirements. . . . . . . . . . . . . . . .I-3
3. Credentials and Shields . . . . . . . . . . . . . . . . .I-7
4. Allocation of Personnel Resources . . . . . . . . . . . I-10
5. DOE and Contractor Personnel Management . . . . . . . . I-11
CHAPTER II - PROTECTIVE FORCE DUTIES
1. SOs . . . . . . . . . . . . . . . . . . . . . . . . . . II-1
2. SPOs. . . . . . . . . . . . . . . . . . . . . . . . . . II-2
3. Special Skills. . . . . . . . . . . . . . . . . . . . . II-5
4. Supervisors . . . . . . . . . . . . . . . . . . . . . . II-6
5. Instructors . . . . . . . . . . . . . . . . . . . . . . II-6
CHAPTER III - SPECIAL RESPONSE TEAM
1. Program Requirements. . . . . . . . . . . . . . . . . .III-1
2. Concept of Operations . . . . . . . . . . . . . . . . .III-1
3. SPO-III Selection Criteria. . . . . . . . . . . . . . .III-2
4. Training. . . . . . . . . . . . . . . . . . . . . . . .III-2
5. Equipment . . . . . . . . . . . . . . . . . . . . . . .III-2
6. Program Certification/Recertification . . . . . . . . .III-2
7. Use of Law Enforcement Agencies . . . . . . . . . . . .III-3
CHAPTER IV - TRAINING AND QUALIFICATION
1. Purpose . . . . . . . . . . . . . . . . . . . . . . . . IV-1
2. Training and Qualification. . . . . . . . . . . . . . . IV-1
3. SOs . . . . . . . . . . . . . . . . . . . . . . . . . . IV-2
4. SPOs. . . . . . . . . . . . . . . . . . . . . . . . . . IV-4
5. SPO-IIIs. . . . . . . . . . . . . . . . . . . . . . . . IV-5
6. Weapons Qualifications. . . . . . . . . . . . . . . . . IV-8
7. Special Skills. . . . . . . . . . . . . . . . . . . . . IV-8
8. Supervisors . . . . . . . . . . . . . . . . . . . . . . IV-8
9. Instructors . . . . . . . . . . . . . . . . . . . . . . IV-9
10. Firearms Instructors. . . . . . . . . . . . . . . . . .IV-10
11. Armorers. . . . . . . . . . . . . . . . . . . . . . . .IV-11
12. FOs/SAs . . . . . . . . . . . . . . . . . . . . . . . .IV-12
13. Training Exercises. . . . . . . . . . . . . . . . . . .IV-13
CONTENTS (continued)
CHAPTER V - SECURITY HELICOPTER FLIGHT OPERATIONS
1. Purpose . . . . . . . . . . . . . . . . . . . . . . . . .V-1
2. Operational Requirements. . . . . . . . . . . . . . . . .V-1
3. Use of Helicopters as Firing Platforms (Rules of Engagement)V-2
CHAPTER VI - EQUIPMENT AND FACILITIES
1. Equipment . . . . . . . . . . . . . . . . . . . . . . . VI-1
2. Facilities. . . . . . . . . . . . . . . . . . . . . . .VI-11
CHAPTER VII - PERFORMANCE TESTING
1. Performance Tests . . . . . . . . . . . . . . . . . . .VII-1
2. Plan and Report Requirements . . . . . . . . . . . . .VII-3
3. Safety. . . . . . . . . . . . . . . . . . . . . . . . .VII-3
4. Coordination. . . . . . . . . . . . . . . . . . . . . .VII-4
5. Testing Frequency . . . . . . . . . . . . . . . . . . .VII-5
CHAPTER VIII - EXECUTIVE PROTECTION PROGRAM
1. Purpose . . . . . . . . . . . . . . . . . . . . . . . VIII-1
2. Scope . . . . . . . . . . . . . . . . . . . . . . . . VIII-1
3. Requirements. . . . . . . . . . . . . . . . . . . . . VIII-1
ATTACHMENTS
1. Attachment 1, References. . . . . . . . . . . . . . . . .1-1
2. Attachment 2, Guidelines for Fresh Pursuit. . . . . . . .2-1
3. Attachment 3, Contractor Requirements Document. . . . . .3-1
CHAPTER I
PROTECTIVE FORCES MANAGEMENT
1. PLANS, POST AND GENERAL ORDERS, AND PROCEDURES.
a. Development. Written plans, post orders (POs), general orders (GOs), and
procedures covering protective force (PF) routine, emergency, and administrative
duties; tactical deployment; and other operational requirements must be developed.
Plans, POs, GOs, and procedures must be clear, concise, and current.
(1) Plans. Required protection strategies; tactical response options, actions, and
times; and other applicable response requirements must be addressed in
response plans. Required PF plans include the following, as a minimum:
(a) Security incident response plans, covering response requirements to
security incidents; adversary intrusion of a facility/site; and defense
against adversary use of weapons, explosives, and chemical/biological
weapons (CBW), as described in the Design Basis Threat for DOE
Programs and Facilities (U) [short title: Design Basis Threat
(DBT)]. Security incident response plans must provide specific
response direction and required actions to PF personnel for applicable
containment, denial, recapture, recovery, and pursuit strategy
requirements and to support interruption/neutralization operations
before completion of adversary task times.
(b) Facility evacuation response plans, covering protection of security
interests, employees, the public, and the environment during nuclear
release incidents, adversary use of CBW, radiological/
toxicological/industrial sabotage, and other site emergencies.
(c) Security contingency response plans, covering such areas as PF work
stoppages and recall measures and required response actions of local,
State, and Federal law enforcement agencies.
(d) Target folders, containing interagency compatible site descriptions and
response planning documentation along with facility-specific information
[i.e., engineering descriptions of buildings, entry/exit locations, response
and observation positions, types and quantities of special nuclear
material (SNM) or other attractive targets and their locations, critical
paths, etc.] to assist the PF and outside law enforcement agencies in
conducting interagency compatible tactical operations. Target folders
must be developed by sites possessing Category I/II quantities of SNM
and/or significant radiological sabotage concern(s) using the format
approved by the Director, Office of Safeguards and Security (OSS).
(2) POs and GOs. PF responsibilities, assignments, and requirements involving the
protection of safeguards and security (S&S) interests must be addressed in
GOs and POs.
(a) POs must contain specific guidance for the operational requirements at
a designated PF post. POs must be developed and in place for
temporary posts for the duration of the time period the post is manned.
(b) GOs must contain guidance for PF personnel in the conduct of site- and
facilitywide duties [e.g., visitor and access control, search requirements,
escort procedures, communications, nonsecurity contingency response
requirements (i.e., natural disasters, work stoppages), etc.].
(3) Procedures. Administrative, training, and other nonresponse-related
operational requirements must be addressed in procedures.
b. Availability. Plans, POs, GOs, and procedures must be readily available to the PF for
reference and guidance purposes. Individual POs for designated fixed and mobile
(vehicle) posts must be located at these posts. GOs and administrative procedures
must be available in a central location for easy reference, except in the case of posts
located in remote areas, which, at a minimum, must have GOs located at the post.
Response plans must be located at central alarm stations (CASs), secondary alarm
stations (SASs), and other tactical command locations to allow for ready reference by
PF personnel tasked with coordinating response actions.
c. Review. Plans, POs, GOS, and procedures must be reviewed for currency any time
response requirements, duties, or administrative requirements are changed, but a
minimum of at least annually. The annual or special review for adequacy and currency
must be documented to show the name of the reviewer and the date the review is
completed. Any revisions or changes made to plans, POs, GOs, or procedures as a
result of the review must be highlighted or marked in such a manner as to ensure PF
personnel are aware of those revisions and changes.
d. Non-DOE Law Enforcement Agency Support. Plans requiring participation by local,
State, and Federal law enforcement agencies (LEAs) in support of the site must be
documented and coordinated by the local cognizant DOE authority for S&S. Where a
Site Safeguards and Security Plan (SSSP) documents required LEA response support,
a memorandum of understanding/ agreement (MOU/MOA) documenting the
anticipated level and priority of support from each such agency must be completed,
reviewed, and updated on an annual basis.
2. QUALIFICATION REQUIREMENTS.
a. Access Authorization.
(1) PF personnel must possess access authorizations for the highest level of
classified matter to which they have or potentially have access. Access
authorizations must be accomplished in accordance with DOE O 472.1B,
PERSONNEL SECURITY ACTIVITIES, and DOE M 472.1-1,
PERSONNEL SECURITY PROGRAM MANUAL.
(2) Security Police Officers (SPOs) must possess L or Q access authorizations.
(3) Federal Officers (FOs), Special Agents (SAs), and SPOs who have access to
nuclear weapons, nuclear test devices, or complete nuclear assemblies;
Category I SNM and/or Category II quantities of SNM that may be credibly
rolled up to a Category I quantity must possess Q access authorizations.
b. Medical, Physical Fitness, Firearms, and Training Standards.
(1) Security Officers (SOs). SOs must meet the training, qualification, and medical
standards of 10 Code of Federal Regulations (CFR) 1046, Physical Protection
of Security Interests.
(2) SPOs. SPOs, as applicable, must meet the medical, physical fitness, firearms,
and training and qualification standards in 10 CFR 1046. Prior to initial
assignment to independent duties, SPO candidates must be formally evaluated
and certified in accordance with procedures based on site-specific requirements
approved by the cognizant local DOE (including the National Nuclear Security
Administration) authority for S&S, as applicable.
(3) FOs/SAs. FOs/SAs must complete a formal training and qualification program
prior to assignment to duties. The training program must be based on assigned
functions. Firearms, physical fitness, and medical qualifications must meet DOE
and/or Office of Personnel Management requirements for the position
assignment.
(4) Maintaining Physical Fitness Standards. PF personnel must maintain physical
fitness standards. An FO/SA or SPO may be required to meet physical fitness
qualification standards during a Headquarters or Field Element survey, review,
audit, or other situation directed by the head of the DOE Element. Failure to
meet the physical fitness standard will be treated as if the individual failed the
first attempt during routine annual qualification. The requirements outlined in 10
CFR 1046 must be followed in the event of a failure.
c. Special Skills Qualifications. Site-specific conditions may justify requirements for PF
personnel to possess qualification for special skills [e.g., security helicopter operations,
ascending and descending techniques, mechanical and explosive tactical entry
techniques, CBW countermeasures, hostage negotiation, precision rifleman/forward
observer team (PRFOT), communications or alarm station monitoring, etc.]
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. Certifications required by specific job functions [e.g., a
Federal Aviation Administration (FAA) license for pilots] must be kept current. The
employing organization for each individual must maintain a record of qualification and/or
certification.
d. Firearms.
(1) No person will be authorized to carry a firearm as a PF officer until the head of
the DOE Element is assured that the individual is qualified in accordance with
the firearms qualification standards established in DOE M 473.2-1,
FIREARMS QUALIFICATION COURSES. When DOE firearms
qualification courses do not exist or do not address site-specific deployment of
issued firearms, site-specific supplemental qualification courses must be
developed. These supplemental qualification courses must be approved by the
cognizant local DOE authority for S&S, as applicable, and submitted to the
Director, OSS, for review and approval.
(2) As a minimum, each FO/SA and SPO must meet the applicable firearms
qualification standards every 6 months. Requalification must occur in the sixth
month from the previous qualification. The requalification may be accomplished
at any time during the requalification month. If an FO/SA or SPO does not
requalify prior to or during the requalification month, the individual's authority to
carry firearms and make arrests must be suspended until such time as
requalification is completed. If requalification occurs prior to the requalification
month, the next requalification must become due 6 months from the new month.
(3) PF personnel must maintain firearms proficiency on a continuing basis. An
FO/SA or SPO may be required to demonstrate the ability to meet qualification
standards during a Headquarters or Field Element survey, review, audit, or
other situation directed by the head of a DOE Element. Failure to meet the
performance standard will be treated as if the individual failed the first attempt
during routine semiannual qualification. Procedures in paragraph (4)(d) below
must be followed in the event of a failure.
(4) Each FO/SA and SPO must qualify with each firearm reasonably expected to
be used in his/her duty assignment on the qualification course indicated in DOE
M 473.2-1 and any applicable approved site-specific supplemental qualification
course.
(a) Qualifications must be accomplished with the same type of firearm
(model and associated features [i.e., caliber, sight system, stock/grip,
sling, barrel length, etc.]) and ammunition (i.e., equivalent in trajectory
and recoil) as used while on duty.
(b) Prior to any range activity, each FO/SA and SPO must be given a
presentation on the basic principles of firearms safety. However, a
firearms safety presentation is not required for each qualification course
using the same firearm, after the initial safety presentation for that
firearm.
(c) FOs/SAs and SPOs must be allowed up to two initial attempts to
qualify semiannually. A Range Master or other person in charge of the
range will declare to personnel on the firing line, "This is a qualifying
run." Once this statement is made, any firearms activity will constitute a
qualification attempt. The FO/SA or SPO must qualify during one of
these attempts.
(d) Failure to qualify as set out in paragraph (4)(c) above will result in
suspension of authority to carry firearms and make arrests. An FO or
SPO then will enter a standardized, remedial firearms training program
developed by the S&S Central Training Academy and approved by the
Director, OSS. The SA then will enter a standardized, remedial
firearms training program developed by the Transportation Safeguards
Division (TSD) Training Academy and approved by the Director, TSD.
The remedial firearms training program will include basic firearm
manipulation skills, firearms safety, and necessary individual training to
afford a reasonable opportunity to meet the firearms qualification
standards.
1 Any FO/SA or SPO who, upon completion of the remedial
training, fails to qualify after the two subsequent, additional
attempts, will lose FO/SA or SPO status and the authority to
carry firearms and make arrests. The total of initial
requalification and remedial requalification attempts is up to, but
not more than, four attempts.
2 Any person who requires remedial training on three consecutive
semiannual qualification periods, with the same firearm on the
same qualification course, will lose FO/SA or SPO status.
3 Loss of FO/SA or SPO status for either failure to meet
qualification standards or excessive remedial requirements will
result in the individual's removal from the FO/SA or SPO
position. Site-specific procedures must be developed and
approved by the cognizant local DOE authority for S&S, as
applicable; or the Director, OSS, for Headquarters, to allow a
single additional qualification attempt within 1 year of removal
from status if the former FO or SPO presents evidence of
outside training that indicates enhanced skill level. Site-specific
procedures must be developed and approved by the Director,
TSD, to allow a single additional qualification attempt within 1
year of removal from status if the former SA presents evidence
of outside training that indicates enhanced skill level. Upon
qualification in this final attempt, reinstatement may be effected
where site-specific employment conditions, position availability,
and procedures permit. Any subsequent application for rehire
will require training as provided to any other initial applicant for
an FO/SA or SPO position.
(e) The PF Range Master will designate in writing the firearms instructor(s)
authorized to certify the validity of the scores achieved during
qualification attempts.
(5) Responsible managers must require that PF organizations not firing individually
issued firearms during qualification have written procedures authorizing the
specific model and associated features of all firearms used during qualification.
These procedures must be approved by the cognizant local DOE authority for
S&S, as applicable.
(6) Ammunition listed in the DOE Standardized Ammunition Contract Guide must
be used for training, duty, and qualification. Any ammunition not in the Guide
must be approved by OSS prior to use.
e. Authority to Carry Firearms.
(1) The employing organization must maintain written documentation indicating
each individual who is authorized to carry firearms and make arrests without
warrant while engaged in the performance of official duties. Managers must
ensure armed individuals understand that deadly force means that force which a
reasonable person would consider likely to cause death or serious bodily harm
and that its use may be justified only under conditions of extreme necessity,
when all lesser means have failed or cannot reasonably be employed.
(2) Firearms instructors not currently assigned FO/SA or SPO duties may carry
firearms in the performance of their instructional duties, if authorized by the
cognizant local DOE authority for S&S, as applicable. These instructors must
pass the firearms qualification courses for assigned firearms and the firearms
that are the subject of instruction.
3. CREDENTIALS AND SHIELDS. Credentials and shields are issued to qualified DOE
employees, FOs/SAs, and contractor PF personnel to provide for official identification and to
indicate that the bearer has the authority to perform assigned official duties. Credentials and
shields must be used only during the performance of official duties. The design of all S&S
credentials and shields must be approved by OSS and, where applicable, the cognizant local
DOE authority for S&S. DOE and contractor employees must provide support and assistance
to DOE-credentialed personnel in the performance of their official duties.
a. Types of Credentials and Shields.
(1) Basic Security Credential. This credential is issued to those DOE and
contractor employees whose official duties include conducting security
interviews, investigations, inquiries, inspections, and/or surveys and is used as
an official form of identification.
(2) FO Credential with Shield. This credential is issued to DOE employees who
require firearms/arrest authority (i.e., pursuant to section 161k of the Atomic
Energy Act or section 661 of the DOE Organization Act) as an official function
or duty. The shield is a metal, police-type badge that is issued for ready
identification when conducting a Federal law enforcement function (e.g., making
an arrest or conducting an investigation). Each shield must bear a serial number
imprinted on its face. The credential must bear the shield number.
(3) TSD Credential with Shield. This credential is issued to Albuquerque
Operations Office, TSD nuclear materials courier special agents (SAs) who
require firearms/arrest authority (i.e., pursuant to section 161k of the Atomic
Energy Act) as an official function or duty. The shield is a metal, police-type
badge that is issued for ready identification when operating in an official
capacity (i.e., TSD SA function). Each shield must bear a serial number
imprinted on its face. The credential must bear the shield number.
(4) Strategic Petroleum Reserve (SPR) SPO Credential with Shield. This
credential is issued to SPOs who require Federal firearms/arrest authority (i.e.,
pursuant to section 661 of the DOE Organization Act for protection of the
SPR) as a primary function or duty. Where metal shields are issued by the
employing organization, the shields must be numbered. Organizations with PFs
wearing field-type uniforms my utilize cloth/embroidered-type shields on these
uniforms. Shield design must be approved by the project manager, SPR
Project Office, and the Director, OSS.
(5) SPO Credential with Shield. This credential is issued to DOE contractor SPOs
who require Federal firearms/arrest authority, pursuant to section 161k of the
Atomic Energy Act, as a primary function or duty. Where metal shields are
issued by the employing organization, the shields must be numbered.
Organizations with PFs wearing field-type uniforms my utilize
cloth/embroidered-type shields on these uniforms. Shield design must be
approved by the cognizant local DOE authority for S&S, and the Director,
OSS.
(6) Technical Security Countermeasures (TSCM) Specialist Credential. This
credential is issued to DOE contractor TSCM specialists who are certified by
the Director, OSS, as qualified TSCM specialists and is used as a official form
of identification when performing TSCM services. Each credential must bear a
serial number, photo of the credentialed individual, and an expiration date.
b. Issuance of Credentials and Shields. Prior to issuing a credential or credential with
shield to an individual, the individual's fulfillment of any training and qualification
requirements for the position or duties must be verified. Credentials and shields for
individuals who fail to maintain relevant training and qualification requirements must be
revoked and retrieved.
c. Credential and Shield Issuance Authority.
(1) The issuing authorities for the Basic Security Credential, the FO Credential with
Shield, and the SPO Credential with Shield, are the Director, OSS; the
Director, Headquarters Operations Division; and the S&S Directors of DOE
Field Elements, for their respective organizations.
(2) The issuing authority for the TSD Credential with Shield is the Director, TSD.
(3) The issuing authority for the SPR SPO Credential with Shield is the local DOE
Director of S&S.
(4) The issuing authority for the TSCM Credential with Shield is the Director,
OSS.
d. Reissuing Credentials. If an employee experiences a significant change in facial
appearance that could hinder positive identification or a name change, a credential with
a new photograph must be requested by the individual, supervisor, security official, or
PF personnel. Supervisors must report any employee exhibiting a significant change in
facial appearance to the responsible security organization for a determination of the
need for a new credential.
e. Blank Credential Stocks and Unissued Shields.
(1) OSS must procure and maintain blank Basic Security, SPO Security, and
TSCM Credentials and unissued FO shields. Requests for these blank
credential stocks and unissued FO shields must be made in writing to OSS.
(2) The Director, TSD, must procure and maintain an inventory of TSD blank
credentials and unissued SA shields.
(3) SPR project office authorities must maintain an inventory of SPR blank
credentials.
(4) PF contractors must be required to procure and maintain a sufficient supply of
unissued SPO shields.
f. Termination of Use. DOE credentials and shields are the property of the Government
and must be returned to the issuing office when an employee transfers, terminates, or
otherwise no longer requires the credential or shield.
g. Recovery of Security Credentials and Shields. DOE credentials and shields issued to
DOE and contractor employees must be recovered at the final security checkpoint or
earlier, and the individuals must be escorted from the site, if circumstances or conditions
indicate such action is needed. Recovered credentials must be destroyed, unless being
held as evidence in an ongoing security investigation. Recovered shields may be
retained and reissued.
h. Accountability of Credentials and Shields.
(1) Records. Issuing offices must maintain records showing the disposition of
credentials and shields. Such records must include, as a minimum, description
and serial number of item issued, date of issuance, name, organization, and date
of destruction. Records will be maintained in accordance with the requirements
of Schedule 18 of the General Records Schedule.
(2) Lost Credentials and Shields. A record of missing credentials and shields must
be maintained. Personnel and/or systems controlling access to security areas
must be provided current information regarding missing credentials or shields in
order to prevent their misuse. The loss or recovery of credentials or shields
must be reported immediately to the issuing office.
i. Storage of Blank Security Credentials and Unissued Shields. Blank credentials and
unissued shields must be stored in a manner assuring their protection against loss, theft,
or unauthorized use.
4. ALLOCATION OF PERSONNEL RESOURCES.
a. Location, Manning, and Scheduling. The location and manning of fixed and mobile
posts must be determined using the DBT; local threat statements and vulnerability
analyses; SSSPs; and appropriate DOE directives. PF personnel must be available and
positioned to respond to a verified threat occurrence to deny, contain, interdict,
interrupt, and/or neutralize threats within the required response times. When planning
for response times, the delay provided by physical barriers after the initial detection of
the intrusion must be considered. Work schedules for PF personnel must be developed
and monitored on a site-specific basis to provide adequate relief, training time, balanced
overtime, and sufficient time off to ensure on-duty personnel work at peak physical and
mental effectiveness. PF work schedules must be based upon the following guidelines,
where appropriate and consistent with existing collective bargaining agreements and
contracts:
(1) No more than 12 total hours per work day, excluding shift change and
equipment issues activities, should be scheduled.
(2) No more than 60 total hours per workweek should be scheduled.
b. Supervision. Supervision of PF personnel must be provided to the extent required to
ensure proper and adequate performance of duties.
(1) Supervisory/Personnel Ratio. At sites where more than six PF personnel are
assigned per shift, there must be full-time supervision.
(2) Other Supervision Means. Various means and devices, such as telephonic or
radio contact or contact by another supervisor who is physically closer to the
post, may be used as supplements to supervision or, in the case of small
facilities or remote areas, to supplant supervision as a means of assuring that the
necessary areas are patrolled and other functions are performed.
(3) Post Inspections. Supervisors must physically inspect or contact by telephone
or radio PF posts a minimum of once per shift to ensure post operations are
being conducted per DOE and site requirements and procedures.
5. DOE AND CONTRACTOR PERSONNEL MANAGEMENT.
a. Pre-Employment Screening. Screening must be conducted to select individuals with
potential to meet qualifications for PF positions.
b. Job Analyses. Job analyses, listing the common tasks required for PF assignments,
must be prepared and reviewed annually for positions directly relating to protective
operations. Job analyses must be used to prepare job descriptions and as basic input
documents to local training requirements. Job analyses for those activities that have not
been standardized and issued by the S&S CTA must be prepared to address site-
specific requirements.
c. Personnel Security Assurance Program. Managers of DOE Elements must identify
positions that meet requirements of the Personnel Security Assurance Program in
accordance with 10 CFR 710, Subpart B, Criteria and Procedures for Establishment of
the Personnel Security Assurance Program and Determinations of an Individual's
Eligibility for Access to a Personnel Security Assurance Program Position.
d. Training. See 10 CFR 1046; DOE O 360.1, TRAINING; DOE O 470.1,
SAFEGUARDS AND SECURITY PROGRAM; and Chapter IV of this Manual for
requirements.
e. Records. See 10 CFR 1046, the General Records Schedules (GRS), or the DOE
Records Schedules (DOERS).
f. Reporting Requirement. Supervisors in the PF command structure and the supervisor
in charge of on-site PF operations must ensure that any suspected criminal violations
are reported in accordance with DOE O 470.1; DOE M 471.2-1B, MANUAL FOR
CLASSIFIED MATTER PROTECTION AND CONTROL; and, where
appropriate, DOE O 232.1A, OCCURRENCE REPORTING AND PROCESSING
OF OPERATIONS INFORMATION.
g. Implementation. Contractors must be required to develop procedures, approved by
the cognizant local DOE authority for S&S, as applicable; to implement paragraphs a
and b above, based on internal organization (e.g., personnel, human resources, training,
labor relations) and collective bargaining agreements in effect. CHAPTER II
PROTECTIVE FORCE DUTIES
1. SOs.
a. Assignments. SOs may be used to augment SPOs and/or to perform duties (e.g.,
administrative, access control, facility patrol, escort, assessment and reporting of
alarms, etc.) where an armed PF presence is not required.
b. Knowledge, Skills, and Abilities. Job analyses (JAs) for SO duty assignments must be
completed and must be approved by the cognizant local DOE authority for S&S, as
applicable; to determine the specific knowledge, skills, and abilities required to perform
the duties of each SO job assignment. SO JA must be reviewed annually to ensure all
knowledge, skills, and abilities are current and applicable for each specific SO job
assignment. SOs must demonstrate familiarity with and knowledge of the
responsibilities identified in job analyses and proficiency in the skills and abilities
necessary to perform required job tasks, including but not limited to the following:
(1) Knowledge of the assigned site and routine patrol duty requirements, and ability
to perform assigned duties (e.g., conducting physical checks of repositories
containing classified matter; checking buildings and rooms to ensure that all
classified matter is secure; and detecting and reporting indications of suspicious
activity).
(2) Operation of assigned individual and post equipment and vehicles, as required
by duty assignment.
(3) Operation of communication equipment reasonably expected to be employed
within the duty assignment, including proficiency in the use of accepted
communication terminology, acronyms, and phonetics, and the methods for
verifying operator identity of incoming signals and signaling duress.
(4) Knowledge of and ability to apply DOE directives and site policies, plans,
POs/GOs, and procedures governing the SO's role in site protection.
(5) Knowledge of any Federal and State granted authority applicable to assigned
activities and relative responsibilities between the PF and outside law
enforcement agencies.
(6) Knowledge of post or patrol operations, including, as appropriate:
(a) access control systems, procedures, and operation including visitor and
employee identification, badging, and passes, visitor logging
procedures, and property identification;
(b) prohibited article detection and handling requirements, including the
operation of personnel-, vehicle-, and package-screening devices
employed at duty posts;
(c) inspection techniques for persons, packages, and vehicles;
(d) implementation of procedures for personnel and vehicle escorts;
(e) ability to implement plans, Orders, and procedures to protect the site
during disruptive events (e.g., fire, industrial disorders, and civil
disturbances);
(f) knowledge and recognition of various types of S&S interests being
protected, including the normal locations, routine uses, and movements
of the interests through and/or at the duty post;
(g) response to alarm annunciations and reporting of observations and
assessments;
(h) incident reporting;
(i) methods of weaponless self-defense, as applicable to the assigned
position;
(j) awareness of the parameters of Weapons of Mass Destruction
(WMD); and
(k) use of assigned personal protective equipment (PPE).
2. SPOs. 10 CFR 1047, Limited Arrest Authority and Use of Force by Protective Force
Officers, delineates SPO responsibility at DOE facilities other than the SPR to enforce specified
laws regarding Government property and criminal provisions of the Atomic Energy Act. Such
SPOs may, in accordance with 10 CFR 1047, be given additional local law enforcement
responsibility on a site-specific basis. 10 CFR 1049, Limited Arrest Authority and Use of
Force by Protective Force Officers of the SPR, delineates SPO responsibility at the SPR to
enforce Federal criminal law to protect SPR Government property and personnel. SPOs must
be required to possess the individual and team skills necessary to protect S&S interests from
theft, sabotage, and other hostile acts that may cause adverse impacts on national security, the
health and safety of employees, the public, or the environment.
a. SPO Levels. SPOs are categorized according to a three-level system (SPO-I, -II, and
-III) for tailoring training requirements to assigned duties. JAs for duty assignments
must be completed and must be approved by the cognizant local DOE authority for
S&S, as applicable; to determine the specific knowledge, skills, and abilities required to
perform the duties of each SPO job assignment. SPO JAs must be reviewed annually
to ensure all knowledge, skills, and abilities are current and applicable for each specific
SPO job assignment. The following is a general description of the division of duties
among the SPO levels.
(1) SPO-I.
(a) Assignments: Fixed, armed posts with no external response
requirement (e.g., access control points; CAS/SAS operation, towers,
etc.).
(b) Qualifications: DOE standardized SPO-I training and site-specific
training as identified by the site-specific JA. Physical fitness standard of
a one-half mile run in four minutes and 40 seconds and a 40 yard
prone-to-running dash in 8.5 seconds. Firearms qualification
standards, as applicable, in Chapter II, 2.d., of this Manual; and in
DOE M 473.2-1.
(2) SPO-II.
(a) Assignments: Armed posts that require response and assessment in
support facility protection strategies.
(b) Qualifications: DOE standardized SPO-I and -II training and
site-specific training as identified by the site-specific JA. Physical
fitness standard of a one mile run in eight minutes and 30 seconds and a
40 yard prone-to-running dash in eight seconds. Firearms qualification
standards, as applicable, in Chapter II, 2.d., of this Manual; and in
DOE M 473.2-1.
NOTE: Six months after the publication of this Manual, all SPO-II new hire
personnel will be required to meet the SPO-II physical fitness standard in
paragraph 2.a.(2)(b). Incumbent SPO-II personnel will be grand fathered
regarding this requirement and will continue to maintain the physical fitness
standard in paragraph 2.a.(1)(b). After the above six month time period, those
SPO-I personnel that voluntarily change status to SPO-II status must meet the
physical fitness standard in paragraph 2.a.(2)(b).
(3) SPO-III.
(a) Assignments: Special Response Team (SRT) activities that include
crisis entry; hostage rescue; recapture, recovery, and pursuit
operations; force options; and other team tactical solutions to adversary
activities.
(b) Qualifications: DOE standardized SPO-I, applicable portions of
standardized SPO-II, SPO-III training, and site-specific training as
identified by the site-specific JA. Physical fitness standard of a one mile
run in eight minutes and 30 seconds and a 40 yard prone-to-running
dash in eight seconds. Firearms qualification standards, as applicable,
in Chapter II, 2.d., of this Manual; and in DOE M 473.2-1.
NOTE: As of the date of publication of this Manual, incumbent SPO-III
personnel reassigned to SPO-II duties will be required to maintain the physical
fitness standards in paragraph 2.a.(1)(b).
b. SPO I and II Knowledge, Skills, and Abilities. The requirements for each SPO to
demonstrate familiarity and knowledge of the responsibilities identified in the applicable
job analysis and proficiency in the individual and team knowledge, skills, and abilities
necessary to perform the job tasks include, but are not limited to, those identified for
SOs in paragraph 1 and the following:
(1) Knowledge and proficiency in the use and care of all weapons as required by
duty assignment.
(2) Knowledge of and the ability to apply DOE and site requirements, plans,
Orders, and procedures governing the SPOs's role in site protection.
(3) Knowledge of and the ability to apply DOE requirements on the use of deadly
force and limited arrest authority in 10 CFR 1047 or 1049, as appropriate, and
the fresh pursuit guidelines in Attachment 2.
(4) Knowledge of and proficiency in post and patrol operations including, as
applicable:
(a) Requirements for, and ability to perform as escorts for, sensitive
materials such as weapons, classified matter, and SNM.
(b) Response, utilizing individual and small unit/team techniques, to
assessment and resolution of alarm annunciations and other indications
of intrusion and implementation of containment, denial, recapture,
recovery, and pursuit strategies, where applicable.
(c) Methods of self-defense, arrest, and detention.
(d) Procedures and requirements for investigations, search of persons and
property for evidence and recognition, seizure, and preservation of
evidence.
(e) Response to civil disturbances (e.g., work stoppages, demonstrations).
(f) Tactics necessary to engage and neutralize armed adversaries and
familiarity with the probable nature of expected adversaries, the arms
and equipment the adversaries are likely to possess, and other likely
characteristics of importance to the engagement as defined in the DBT
and any locally originated threat guidance.
(g) Familiarity and recognition of various forms and configurations of
nuclear weapons, nuclear weapons components, and SNM being
protected, including the normal location and movements of these S&S
interests at and/or through the duty post.
(h) Actions required of first responders to WMD incidents.
c. SPO-III Knowledge, Skills, and Abilities. The requirements for each SPO-III to
demonstrate familiarity with and knowledge of the responsibilities identified in the
applicable job analysis and proficiency in the skills and abilities necessary to perform
the job tasks include, but are not limited to, those identified for SPOs in paragraph 2b
and the following:
(1) ability to act successfully as a member of an aggressive and ready mobile
response team as dictated by site-specific vulnerability assessments, using force
options and team techniques necessary for interdiction, interruption,
neutralization operations; and containment, denial, recapture, recovery, and
pursuit strategies directed against an adversary;
(2) ability to qualify with site-approved weapons, techniques, and equipment,
which may be necessary either to protect the site or to effectively engage,
neutralize, and/or pursue an adversary; and
(3) ability to operate from special tactical vehicles which may be necessary for the
protection of a particular facility and/or site.
3. SPECIAL SKILLS.
a. General. PF operations may require individuals with additional special skills, such as
pilots, communications and alarm station operators, canine handlers, crisis
negotiators, instructors, tactical entry (TE) specialists, and PRFOT personnel. The
scope of such duties will be locally determined based on site-specific needs. Personnel
assigned to such duties must be proficient in their performance.
b. Crisis Negotiation Team (CNT). Each crisis negotiator must have successfully
completed an S&S CTA or other DOE-approved crisis negotiation training. CNTs
should be integrated into SRT exercises semiannually. Members of CNTs must be
familiar with PF operations, including SRT tactics and operations, but do not need to be
SPO-trained and certified.
4. SUPERVISORS. Each PF supervisor must possess the skills necessary to effectively direct
the actions of assigned personnel to protect DOE S&S interests. Line supervisors of SPOs
must be trained and qualified as SPOs. Line supervisors must meet applicable physical fitness
qualification standards and certification standards for assigned response duties. Each
supervisor must demonstrate familiarity with and knowledge of the responsibilities identified in
the applicable JA and proficiency in the skills and abilities necessary to perform those jobs.
These include, but are not limited to, the following:
a. knowledge of the duties and qualifications of supervised personnel;
b. familiarity with the basic operating functions of the facilities and the nature and location
of S&S interests for which the supervisor has protection responsibilities;
c. ability to ensure that subordinates and their equipment are physically capable and ready
for duty and to conduct post inspections to ensure post operations are being conducted
in accordance with DOE directives and site requirements and procedures; and
d. knowledge of the duty logs and reports that must be completed, distributed, and acted
upon.
5. INSTRUCTORS. Each instructor must possess the skills necessary to effectively instruct PF
personnel in the requirements for protecting DOE S&S interests. Instructors must demonstrate
knowledge of the responsibilities identified in the applicable job analysis, and proficiency in the
skills and abilities necessary to perform those jobs. As applicable, these include, but are not
limited to the following:
a. knowledge of teaching methods and instructional techniques;
b. knowledge of applicable assigned subject/topical areas for the level of instruction
delivered;
c. ability to develop course objectives, lesson plans, training aids, and student evaluations;
and
d. skill in presenting a complete instructional lesson plan/course. CHAPTER III
SPECIAL RESPONSE TEAM
1. PROGRAM REQUIREMENTS. The mission of a SRT is to resolve incidents that require
force options that exceed the capability of SPO-I and -II personnel and/or existing physical
security systems. SRTs must be capable of effective and ready response as dictated by site- or
activity-specific vulnerability assessments. SRTs must be trained and equipped to conduct
interdiction, interruption, neutralization operations; and containment, denial, recapture,
recovery, and pursuit strategies directed against an adversary.
a. SRTs are required at facilities or sites that receive, use, transport, or process Category
I quantities of SNM.
b. Authorization for an SRT capability at Departmental sites or facilities not meeting
requirements in paragraph 1a, above, must be approved by the DOE site manager, with
notification of such approval sent to the cognizant LPSO/Administrators, NNSA and
for DOE HQ, the Director, OSA. Such requests must be based on a site vulnerability
assessment demonstrating the need [e.g., a radiological/toxicological sabotage
(RAD/TOX/SAB) target that could have adverse impact on national security, the health
and safety of employees, the public, or the environment].
c. A DOE SRT must be staffed with currently DOE-certified SPO-III personnel.
2. CONCEPT OF OPERATIONS. An SRT must be capable of effective, aggressive, and timely
resolution of adversary actions as established in the DBT using force options (including, but not
limited to, open air, mobile, stronghold, and emergency assault using dynamic and covert
techniques) and team techniques for interdiction, interruption, neutralization, containment,
denial, recapture, recovery, and pursuit operations.
a. Team Availability. An SRT capability must be available on a continuous basis. The
SRT may either be a full-time PF assigned unit, a PF unit constituted during an S&S
incident, or be provided by a local, State, and/or Federal law enforcement agency.
b. Plans. SRT operations and tactical response must be integrated into the SSSP.
c. Team Composition. Sites or activities requiring an SRT must consider the functional
capabilities listed below when developing and deploying an SRT. The specific SRT
composition, positions, staffing levels, and functional capabilities must be dependent on
the SSSP, site or facility mission, vulnerability analyses, protection strategies, and
performance testing results.
(1) assaulter,
(2) precision rifle/forward observer team member,
(3) TE specialist,
(4) assault leader, and
(5) team commander.
3. SPO-III SELECTION CRITERIA. SPO-Is and -IIs may volunteer and/or be selected for
SRT duties; however, each individual must also meet selection criteria in order to be assigned
as an SRT member. SRT members may be required to meet more or higher qualification
standards than those required of SPO-Is and -IIs. Such standards must be in writing and
approved by the cognizant local DOE authority for S&S, as applicable. Before being assigned
to an SRT, SPO-III candidates must meet the following minimum standards:
a. be trained and qualified in those SPO-I and -II job tasks identified in the site-approved
training program;
b. be formally evaluated by site PF management as having the potential to successfully
accomplish SPO-III duties and SRT missions;
c. be capable of performing the duties and completing the training requirements as
specified in Chapter II, paragraph 2c and Chapter IV, paragraph 5;
d. be capable of maintaining the offensive combative standard in 10 CFR 1046;
e. successfully complete the DOE SPO-III Basic Qualification Course (BQC), as
approved by the OSS; and
f. successfully complete any additional site-specific training and qualification that may be
required for job performance at a specific site or facility, which is beyond the scope of
initial SPO-III training.
4. TRAINING. The formal training program for SPO-IIIs must be in compliance with Chapter
IV.
5. EQUIPMENT. SRT equipment requirements are delineated in Chapter VI.
6. PROGRAM CERTIFICATION/RECERTIFICATION. SRT programs must be
certified/recertified annually by the cognizant local DOE authority for S&S, as applicable. An
SRT program is considered certified/recertified when the site has completed validation of the
following:
a. all assigned SRT members have met the requirements of Chapter IV, paragraphs 4
through 6;
b. the cognizant local DOE authority for S&S, as applicable, has determined that the site
SRT program is in compliance with this Manual; and forwarded documentation of the
satisfactory completion of site certification/recertification to the cognizant
LPSO/Administrators, NNSA, or for DOE HQ, the Director, OSS.
7. USE OF LAW ENFORCEMENT AGENCIES. A local, State, and/or Federal law
enforcement agency may be used to meet the intent of this chapter when that agency
successfully meets both site-specific and DOE training and certification requirements contained
herein (or equivalent law enforcement training and certification); the agency has been integrated
into the SSSP; the agency's capabilities have been validated through performance testing; and
the cognizant local DOE authority for S&S, as applicable; or for DOE HQ, the Director, OSS,
has determined that these requirements have been met. The local DOE authority for S&S, as
applicable, must ensure that a vulnerability analysis and an annual integrated PF/law
enforcement agency force-on-force exercise are conducted to determine the augmenting law
enforcement agency's response requirements and its continued ability and capability to respond
to threats. CHAPTER IV
TRAINING AND QUALIFICATION
1. PURPOSE. The overall objective of the formal PF training and qualification program is to
develop and maintain, in an effective and efficient manner, the competencies needed by PF
personnel to perform the tasks required to fulfill the PF mission. The formal training program,
as addressed in this chapter, includes all organized, documented training activities that are the
responsibility of the designated training organization. This includes training activities conducted
by supervisors, which are also developed and managed through the training organization.
2. TRAINING AND QUALIFICATION.
a. FOs/SAs. The cognizant local DOE authority for S&S, as applicable; responsible for
Federal PF personnel must establish a formal training and qualification program to meet
FO/SA qualification requirements based on assigned functions, DOE and/or Office of
Personnel Management requirements for the position assignment, and this Manual.
These requirements will ensure that FOs/SAs are competent to perform the tasks within
their assigned responsibilities. The qualification requirements will be supported by a
formal training program that develops and maintains the knowledge, skills, and abilities
required to perform assigned tasks. The qualification and training programs will be
based on criteria established by the S&S CTA as outlined in DOE O 470.1, Chapter
III; DOE O 360.1A; and this Manual. Field Elements must establish additional FO/SA
training criteria, as needed by site-specific requirements. DOE personnel responsible
for training FO/SA personnel must prepare and annually review a JA detailing the
required actions or functions for each specific job assignment. The JA must be used as
a basic input document for local training requirements; approved by the cognizant local
DOE authority for S&S, as applicable; and reviewed and updated as applicable, on an
annual basis.
b. Contractor PF Personnel. Contractors responsible for contractor PF personnel must
establish a formal qualification program to meet PF qualification requirements which
ensure that PF members are competent to perform the tasks within their assigned
responsibilities. The qualification requirements will be supported by a formal training
program that develops and maintains the knowledge, skills, and abilities required to
perform assigned tasks. The qualification and training programs will be based on
criteria established by the S&S CTA as outlined in DOE O 470.1, Chapter III; this
Manual; and 10 CFR 1046. Field Elements must establish additional PF training
criteria as needed by site-specific requirements. Departmental contractors responsible
for training PF personnel must prepare and annually review a JA detailing the required
actions or functions for each specific job assignment. The JA must be used as a basic
input document for local training requirements; approved by the cognizant local DOE
authority for S&S, as applicable; and reviewed, and updated as applicable, on an
annual basis.
c. Program Requirements. The formal training and qualification program must
(1) be based on a valid and complete set of job tasks, with identified levels of skills
and knowledge needed to perform the tasks;
(2) be aimed at achieving a well-defined, minimum level of competency required to
perform each task acceptably;
(3) employ standardized lesson plans with clear performance objectives as a basis
for instruction;
(4) include valid performance-based testing to determine and certify job readiness
(i.e., qualification);
(5) be documented so that individual and overall training status is easily accessible
[individual training records must be retained until 1 year after termination of the
employee as a PF member, unless a longer retention period is specified by
other requirements]; and
(6) take into account the learning characteristics and entry-level competencies of
trainees.
3. SOs.
a. Training Requirements. Prior to initial assignment to SO duty, each person must
successfully complete the DOE Basic SO training program, as approved by the OSS.
Additional site-specific training requirements may be included. Site-specific
requirements must be based on a site-specific JA and include SO task areas found in
Chapter II, paragraph 1, as appropriate. The site-specific JA and training requirements
must be approved by the cognizant local DOE authority for S&S, as applicable. As
applicable, the SO training program must include, but not necessarily be limited to, the
following types of instruction:
(1) orientation and standards of conduct;
(2) security education and operations, covering classified and sensitive information
protection requirements, response to and reporting of incidents of security
concern, and the protection of Government property;
(3) safety training;
(4) legal requirements and responsibilities;
(5) weaponless self-defense;
(6) intermediate force weapons;
(7) communications, including methods and procedures;
(8) vehicle operations, including safety and routine and emergency operation;
(9) post and patrol operations, including site-specific plans, Orders, policies, and
procedures;
(10) nuclear material control and accountability;
(11) awareness of the parameters of WMD incidents; and
(12) donning and use of assigned PPE.
b. Refresher Training.
(1) Formal Program. Except as stated in paragraph (3), below, each SO must
successfully complete formal annual refresher training to maintain the minimum
level of competency required for the successful performance of tasks
associated with SO job responsibilities. The type and intensity of training must
be based on a site-specific JA and approved by the cognizant local DOE
authority for S&S, as applicable.
(2) Remedial Training. Failure to achieve a minimum level of competency must
result in the SO's placement in a formal remedial training program. The
remedial training program must be tailored to provide the SO with the
necessary training to afford a reasonable opportunity to meet the level of
competency as determined by the JA. Failure to demonstrate competency at
the completion of the remedial program must result in loss of SO status.
(3) Training Exemption. Formal annual refresher training may be exempted when
an SO satisfactorily demonstrates a knowledge, skill, or ability. Such
exemption(s) must be documented.
4. SPOs.
a. Training Requirements. Prior to initial assignment to duty, each SPO trainee must
successfully complete the DOE basic SPO training program, as approved by the OSS.
Additional site-specific training requirements must be included. Site-specific
requirements must be based on a site-specific JAs and must include SPO task areas
found in Chapter II, paragraph 2b, as appropriate. The site-specific JA and training
program must be approved by the cognizant local DOE authority for S&S, as
applicable. As applicable, the SPO training program must include, but not necessarily
be limited to, those types of instruction identified for SOs in paragraph 3a of this
chapter and the following types of instruction:
(1) firearms training, including safety, marksmanship, and manipulation skills with all
weapons reasonably expected to be employed within SPO duty assignments;
(2) orientation and standards of conduct;
(3) physical fitness training;
(4) facility operations familiarity;
(5) nuclear material control and accountability;
(6) safety training;
(7) legal requirements and responsibilities, including use of deadly force; limited
arrest authority (see 10 CFR 1047 and 1049); and fresh pursuit (see
Attachment 2);
(8) tactical training, including individual and appropriate team tactics and use of
assigned tactical equipment;
(9) weaponless self-defense and intermediate force weapons;
(10) communications, including methods and procedures;
(11) vehicle operations, including safety, routine, emergency, and pursuit operation;
(12) post, patrol, and response operations, including site-specific protection
strategies, plans, POs, GOs, policies, and procedures;
(13) procedures and requirements for investigations, search of persons and property
for evidence and recognition, seizure, and preservation of evidence;
(14) the DBT and potential adversaries' characteristics, tactics, and motives; and
(15) actions required of first responders to WMD incidents.
b. Refresher Training.
(1) Formal Program. Except as stated in paragraph (3), below, each SPO must
successfully complete formal annual refresher training to maintain the level of
competency required for the successful performance of tasks associated with
SPO job responsibilities. The type and intensity of training must be determined
by a site-specific JA and approved by the cognizant local DOE authority for
S&S, as applicable.
(2) Remedial Training. Failure to achieve a minimum level of competency will
result in the SPO's placement in a remedial training program. The remedial
training program must be tailored to provide the SPO with the necessary
training to afford a reasonable opportunity to meet the level of competency
required by the JA. Failure to demonstrate competency at the completion of
the remedial program must result in loss of SPO status.
(3) Training Exemption. Except for firearms and physical fitness requirements and
training in the areas of protection strategies, use of force, pursuit driving,
individual and team tactics, and CBW; portions of formal annual refresher
training may be exempted when a SPO satisfactorily demonstrates a
knowledge, skill, or ability. Such exemption(s) must be documented.
5. SPO-IIIs.
a. Prerequisites. Before attending the DOE SPO-III BQC, each SPO must
(1) be trained and qualified in those SPO-I and -II job tasks identified in the site-
approved training program;
(2) successfully complete any and all SPO-II training and qualification that may be
required for site-specific SPO-III job requirements;
(3) successfully meet the offensive combative standard in 10 CFR 1046;
(4) qualify with a minimum of 80 or 90 percent accuracy, as applicable, with all
weapons reasonably expected to be used by a SPO-III on duty on the
applicable DOE firearms qualification courses in DOE M 473.2-1, and where
applicable, approved site-specific firearms qualification courses; and
(5) successfully complete a site-specific tactical obstacle course.
b. Training Requirements. Prior to initial assignment to duties as an SRT member, a SPO
must successfully complete the DOE SPO-III BQC. Additional site-specific training
requirements must be included and be based on a site-specific job analysis. The site-
specific JA and training program must be approved by the cognizant local DOE
authority for S&S, as applicable. As applicable, the SPO-III training program must
include, but not necessarily be limited to, those types of instruction identified for SPO-Is
and IIs in paragraph 4a of this chapter and the following types of instruction:
(1) firearms training in the following areas: live-fire shooting-on-the-move
techniques; one-hand handgun manipulation and malfunction clearing
techniques; semi- and full-automatic fire with appropriate firearms (where
applicable); individual and team tactics in a live-fire shoot house (LFSH); and
qualification with assigned duty weapons;
(2) Close Quarters Battle (CQB) training, including live-fire team operations in
stronghold and emergency assaults under both day and night conditions in an
LFSH;
(3) small unit tactics, including team and individual movement techniques under both
day and night conditions;
(4) mobile and open-air assaults, including live-fire team operations under both day
and night conditions;
(5) tactical obstacle course that tests physical fitness and marksmanship skills,
(6) decisional shooting techniques, including shoot/no-shoot scenarios;
(7) training in the use and deployment of diversionary devices; and
(8) training and use of tactical equipment deployed in support of SRT operations
[e.g., night vision devices (NVDs), range finders, global positioning systems,
ladders, video systems, ascending/descending systems, etc.].
c. Specialized Training. Team members may volunteer and/or be selected for the
following specialized SPO-III duties for which the following minimum requirements
must be met:
(1) PRFOT Training. Prior to initial assignment to duty as a PRFOT member, each
assigned SPO-III must successfully complete the DOE PRFOT training course,
as approved by the OSS. Initially, and thereafter on a quarterly basis, each
PRFOT member must participate in live- and dry-fire training. Live- and dry-
fire training must be integrated into and conducted in conjunction with SRT
training via controlled use of force, tactical movement training, and night
operations.
(2) TE Specialist Training. Prior to initial assignment to TE Specialist duties, each
SPO-III assigned must successfully complete the DOE Basic TE course, as
approved by the OSS. Initially, and thereafter on a quarterly basis, each TE
specialist must participate in TE training. This will include, as a minimum,
mechanical entry techniques. When a site or facility vulnerability assessment,
performance test, and/or SSSP dictate a recapture strategy and/or
interdiction/neutralization operations requirements for which mechanical entry
alone will not meet required response times, the site or facility must develop an
explosive TE capability. Prior to conducting explosive TE operations, TE
specialists must successfully complete an explosive TE course approved by the
OSS.
d. Maintenance Training. After assignment to duties as a member of an SRT, an SPO-III
must, as a minimum, train semiannually in all of the following: decisional shooting,
CQB, LFSH operations, tactical obstacle course, night operations, team tactical
movement, and force options (i.e., open air, mobile, emergency, and stronghold
assaults). Requirements for semiannual maintenance training may be satisfied through
combined training of two or more of these areas.
e. Refresher Training.
(1) Formal Program. Except as stated in paragraph (3), below, each SPO-III
must successfully complete formal annual refresher training to maintain the
minimum level of competency required for the successful performance of tasks
associated with SPO-III job responsibilities and assigned special skills. The
type and intensity of training must be based on a site-specific JA and approved
by the cognizant local DOE authority for S&S, as applicable.
(2) Remedial Training. Failure to achieve a minimum level of competency
must result in the SPO-III's placement in a formal remedial training
program. The remedial training program must be tailored to provide
the SPO-III with the necessary training to afford a reasonable
opportunity to meet the level of competency determined by the JA.
Failure to demonstrate competency at the completion of the remedial
program must result in loss of SPO-III status.
(3) Training Exemption. Except for firearms and physical fitness
requirements, and training in the areas of protection strategies, force
options, pursuit driving, individual and team tactics, special skills, CQB,
and CBW, portions of formal annual refresher training may be
exempted when a SPO-III satisfactorily demonstrates a knowledge,
skill, or ability. Such exemption(s) must be documented.
f. Site SPO-III Training Certification. In order for a site to be authorized to conduct the
DOE SPO-III BQC on-site, the CTA must determine and certify the site's capability to
conduct the course while meeting applicable SPO-III training requirements. Such
determination will be accomplished through the use of a standard evaluation
system/format developed by the CTA. Such certification will be valid for a period of
three years. Determination through various means (e.g., results of annual site SRT
program certification/recertification reviews, annual and/or special S&S surveys/self-
assessments activities, Office of Security Evaluations inspections) that the on-site SPO-
III BQC does not meet requisite training requirements, must result in the cancellation of
the authority to conduct the course until the site is found to be in compliance with the
requirements.
6. WEAPONS QUALIFICATIONS. SPOs must qualify semiannually with all assigned weapons
and special skills weapons (as designated by job assignment or SRT position) using the DOE
daylight and reduced lighting qualification and other applicable (e.g., Shooting-on-the Move,
LFSH, etc.) courses in DOE M 473.2-1. Where DOE firearms qualification courses do not
exist or do not cover site-specific deployment of a weapons system (e.g., belt-fed machine gun,
grenade launcher, aerial firing platform, etc.) site-specific supplemental qualification courses
must be developed by the cognizant local DOE authority for S&S, as applicable; and
submitted to the Director, OSS, for review and approval.
7. SPECIAL SKILLS. Personnel assigned specialized responsibilities outside the scope of
normal SO, SPO, and SRT duties must successfully complete the appropriate basic, refresher,
and periodic training. This training must be designed to enable the individual to achieve and
maintain the minimum level of skill and knowledge needed to competently perform the tasks
associated with the specialized job responsibilities, as well as maintain mandated certification, if
applicable. Such personnel include, but are not limited to, flight crews, instructors, armorers,
CAS operators, crisis negotiators, investigators, canine handlers, and law enforcement
specialists. The scope of such duties and the type and intensity of such specialized training must
be based on site-specific JA and needs and approved by the cognizant local DOE authority for
S&S, as applicable. Where certification requirements for special skills positions have not been
established by the S&S CTA, site-specific certification procedures must be approved by the
cognizant local DOE authority for S&S, as applicable.
8. SUPERVISORS. PF personnel who are assigned supervisory responsibilities must
successfully complete the appropriate basic and annual training necessary to achieve and
maintain the minimum level of skill and knowledge to competently perform their supervisory
responsibilities. The required tasks and minimum levels of competency must be based on a
site-specific JA and the specialized task areas listed in Chapter II, paragraph 4.
9. INSTRUCTORS. All PF personnel assigned instructor duties must be currently certified to the
level of training delivered.
a. Certification Requirements. At a minimum, the following PF instructor certification
requirements must be met:
(1) Each instructor assigned to deliver PF training must successfully complete the
DOE Basic Instructor Training Course, as approved by the OSS, or an
equivalent OSS-recognized basic instructor course.
(2) Each instructor assigned to deliver PF firearms training must successfully
complete the DOE Firearms Instructor Certification (FIC) Course, as
approved by the OSS, for the level of firearms training delivered.
(3) Each instructor assigned to deliver the SPO-III BQC must successfully
complete the DOE SPO-III Instructor Certification Course, as approved by
the OSS, and any other OSS-approved courses for the level of instruction
delivered (e.g., PRFOT Instructor and LFSH Instructor Certification Courses).
(4) To maintain certification, instructors must instruct in at least two classes or two
course iterations, or a combination of both, per calendar year. Documentation
of these yearly instructional activities must be maintained.
b. Recertification. The following minimum PF instructor recertification requirements must
be met:
(1) PF contractor training management must evaluate each PF instructor for
competency at least once every 3 years.
(2) The instructor evaluation must consist of verification of:
(a) Instructor knowledge of:
1 OSS-approved teaching methods and instructional techniques;
2 Applicable assigned subject/topical areas for the level of
instruction delivered; and
3. Requirements for developing course objectives, lesson plans,
training aids, and student evaluations.
(b) Skill in presenting a complete instructional lesson plan/course.
Note: Verification of compliance with the requirements in paragraphs (a) and
(b) above must consist of observation of instructor performance during
actual curriculum delivery or by performance testing activities.
(c) Verification of instructor attendance in at least one professional
development course, approved by the cognizant local DOE authority
for S&S, as applicable;, in the instructor's respective subject matter
area (e.g., factory firearms instructor, diversionary devices instructor,
CBW instructor, etc.) during the 3-year period.
10. FIREARMS INSTRUCTORS. Prior to initial assignment to duty as a firearms instructor, all
PF personnel must successfully complete the DOE basic FIC Course.
(1) Prerequisite Training. Prior to attending the FIC Course, PF personnel must do
the following:
(a) Successfully qualify with a 90 percent score on the DOE Daylight Handgun and
Semi-Automatic Rifle Qualification Courses and provide documentation of
successful qualification to the DOE S&S CTA;
(b) Successfully complete all handgun and rifle Limited Scope Performance Tests
(LSPTs) in the DOE FIREARMS QUALIFICATION COURSES
SUPPLEMENT with 100 percent accuracy; and
(c) Successfully complete the DOE Basic Instructor Training Course.
(2) Refresher Training. Each firearms instructor must successfully complete formal annual
refresher training to maintain the minimum 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 site-specific JA and approved by the
cognizant local DOE authority for S&S, as applicable.
(3) Recertification. The following minimum DOE Firearms Instructor recertification
requirements must be met:
(a) Pass a comprehensive, knowledge-based , site-specific evaluation on live-fire
range operations annually.
(b) Complete limited scope performance tests (LSPTs) with a minimum score of
100% for each firearm system they instruct annually.
(c) Conduct at least one site specific safety briefing every 12 months.
(d) Qualify with a minimum score of 80% for each firearms system they instruct
annually.
(e) Be assigned and conduct duties of either a lead instructor, line instructor, or
range safety officer twice annually.
11. ARMORERS. All DOE sites with armed PF personnel, including the CTA, shall have (on-site,
under contract off-site, or in association with another DOE site) an armorer with the
knowledge, capability, and responsibility for inspecting, maintaining, and repairing all firearms
available for use on the site.
a. Certification. Prior to initial assignment to duty as a DOE Armorer:
(12) The DOE Armorer must successfully complete the DOE Basic Armorer
Certification Course, as approved by the OSS.
(2) The DOE Armorer must successfully complete the DOE Advanced Armorer
Certification Course, as approved by the OSS, for those advanced firearms
available for use on the site.
(3) The DOE Armorer should successfully complete a factory armorer course for
the specific weapons systems employed for site use, where available.
b. Recertification. The following minimum DOE Armorer recertification requirements
must be met:
(1) The CTA must evaluate each armorer for competency and recertification at
least once every 2 years.
(2) The evaluation must consist of verification of:
(a) Armorer knowledge of all firearms in inventory and available for use on
the site, in the following areas:
1 Conducting firearms inspections;
2 Performing required firearms repairs;
3 Use of written procedures and technical specifications;
4 Updating of firearms maintenance records;
5 Maintaining firearms in a serviceably clean and good condition,
free from unapproved modifications;
6 Use of proper tools necessary to perform required
maintenance, repairs, and inspection duties;
7 Use of a proper tag-out system for firearms in need of repair,
and proper segregation of tagged-out firearms; and
8 Adherence to separate storage requirements for live-firearms
and ESS firearms.
Note: Verification of compliance with the requirements in paragraph (a) above 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.
(b) Armorer currency in factory armorer certification requirements for the
specific weapons systems available for use on site.
c. Refresher Training. Each armorer must successfully complete formal refresher
training, where applicable, to maintain the minimum level of competency
required for the successful performance of tasks associated with site-specific
armorer responsibilities. The type and intensity of training must be based on
emerging and changing maintenance and repair technologies associated with
site-specific employed firearms and developed, when applicable, by the CTA in
conjunction with firearms factory guidelines. Refresher training may be
conducted during the CTA armorer recertification and/or factory armorer
recertification process.
12. FOs AND SAs. Federal personnel must be trained as FOs/SAs in accordance with the
requirements established by DOE and/or the Office of Personnel Management. FO training
must be consistent with standards established for SPOs.
13. TRAINING EXERCISES. Exercises 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 approved by the
cognizant local DOE authority for S&S, as applicable, and must be determined by the training
needs analysis conducted as part of the training program. At a minimum, the following elements
must be included in the training exercise program:
a. Exercises involving each PF shift and each SRT shift must be conducted monthly.
These exercises must be planned and conducted so as to provide site-specific training
to the PF in the prevention of the successful completion of potential adversarial acts
defined in the DBT and the approved site-threat statement.
b. The cognizant local DOE authority for S&S, as applicable; must request the Federal
Bureau of Investigation (FBI), other Federal, State, and local law enforcement agencies
that would assist the PF during a site security incident to participate in training exercises
at least annually.
c. Reports of each training exercise, summarizing results and problems areas, must be
prepared for management review and to aid in planning PF activities, developing
corrective actions, and in the training needs analysis process.
d. Sites possessing Category I SNM, Category II SNM with potential roll-up to Category
I, and RAD/TOX concerns must plan a force-on-force (FOF) training exercise
involving a WMD scenario at least every 3 years. Where possible, this exercise should
involve joint inter-agency national-level participation (e.g., the FBI, Federal Emergency
Management Agency, state emergency management agencies, etc., as applicable.) The
OSS will serve as the focal point for liaison with national level agencies to promote their
participation. CHAPTER V
SECURITY HELICOPTER FLIGHT OPERATIONS
1. PURPOSE. The primary purpose for security helicopter flight operations is to provide timely
and effective response to a security incident. DOE security helicopters may be used for
response force (i.e., PF, SRT, and Federal, State, and local law enforcement agency
personnel) transport, command, control, communications, surveillance, and as a firing platform
when required. This chapter addresses security helicopter program operational requirements
and rules of engagement during use of security helicopters as firing platforms.
2. OPERATIONAL REQUIREMENTS.
a. General. Helicopters employed in support of security operations provide an airborne
dimension to response force capabilities against a threat posed by adversaries who may
attempt theft or sabotage of nuclear weapons or SNM, and/or sabotage vital facilities
and equipment. The decision to use security helicopters is based on site-specific
considerations with concurrence of the cognizant LPSO/Administrators, NNSA.
Helicopter operations must be conducted in accordance with DOE O 440.2,
AVIATION. Site-specific security helicopter operational mission requirements must
be documented in a site-specific Aviation Implementation Plan (AIP). The AIP must
be approved by the cognizant local DOE authority for S&S, as applicable.
b. Mission Readiness. To meet mission requirements, a security helicopter must be fully
operational and ready to respond to a security emergency on notice with a 90 percent
availability rate, excluding weather conditions.
c. Emergency Security Helicopter Operations. During a security incident, helicopters may
be employed to transport, insert, and relocate response forces to and from the scene of
a security incident or staging area, as directed by the senior on-scene commander
and/or by standard operating procedure. Additional emergency response functions
must be fully documented in a AIP and may include, but are not limited to, directed fire;
command, control, communications, and surveillance; resupply; and support of
facility/site protection strategies, including recapture, recovery, and fresh pursuit
operations.
d. Routine Security Helicopter Operations. Routine helicopter operations may include the
following:
(1) pilot proficiency, training, and testing program;
(2) training for emergency response, tactical insertion of PF personnel, and
observation and pursuit of airborne and ground intruders;
(3) site surveillance, search, and observation;
(4) transport of PF personnel;
(5) escort of convoys transporting SNM; and
(6) command, control, and communications of ground security activities in routine
operations.
e. Special Use of Security Helicopters. Such use must be based upon site-specific
mission requirements, which are approved by the local cognizant DOE authority for
S&S, as applicable, and documented in a AIP.
3. USE OF HELICOPTERS AS FIRING PLATFORMS (RULES OF ENGAGEMENT). The
primary purpose for employing helicopters to support security operations is to provide a rapid
response capability for transporting and inserting PF personnel (i.e., an SRT) during a security
incident. However, firing from a helicopter can be a viable and effective means of supporting
security operations, and the AIP may incorporate aerial firing under the following conditions:
a. Authority to include aerial firing in response plans must be granted only following
development of site-specific rules of engagement which are consistent with DOE policy
on the use of force.
b. Firing must be done only by specifically trained and qualified SRT personnel with
weapons attached to a gun mount that provides field-of-fire limitations.
c. A Safety Analysis Review (SAR) of aerial firing must be completed. The SAR must be
reviewed for currency any time aerial firing requirements are changed, but at a minimum
of at least annually.
d. The cognizant Field Element safety officer must approve, in writing, the technical and
operational procedures and SAR for aerial firing.
e. The cognizant local authority for DOE, as applicable, is the final approval authority at
each site. Copies of the approved technical and operational procedures for aerial firing
must be provided to the Senior DOE Aviation Management Official; the cognizant
LPSO/Administrators, NNSA, and the Director, OSS.
f. Site-specific aerial firing qualification and/or familiarization course(s)s must be
developed and submitted, through the cognizant local DOE authority for S&S, to the
Director, OSS, for review and approval. CHAPTER VI
EQUIPMENT AND FACILITIES
1. EQUIPMENT. PFs must be equipped to effectively, efficiently, and safely perform both
routine and emergency duties. Equipment must be tailored to counter adversaries identified in
the DBT and site-specific threat guidance or as specified in the SSSP. The equipment must
provide the PF the ability to move in a tactically sound, safe, and timely manner and in sufficient
number under all expected environmental conditions; transfer information between PF
personnel; and detect the presence of adversaries under all environmental conditions. PF
equipment must be available in sufficient quantities and properly maintained to support the PF
mission.
a. Uniforms. Contractor PF personnel must be required to be distinctively uniformed
while on duty and to be identified with their function by appropriate emblems or
badges. The uniform must enhance efficient performance of both routine and
emergency duties and must promote a professional image.
(1) SOs must wear uniforms that conform to site standards in respect to assigned
duties and posts (e.g., SOs assigned to interior administrative posts may wear
non-field-type uniforms, while SOs assigned to exterior posts may wear field-
type uniforms).
(2) SPO and SRT uniforms must conform to site standards that enhance SPOs'
abilities to respond to and resolve security incidents in an effective manner.
b. Duty Equipment. The equipment items to be issued PF personnel must be determined
by assigned duties on a site-specific basis. At a minimum, the following duty equipment
must be provided:
(1) SOs. Each SO must be assigned and required to carry while on duty a
portable radio with carrier and a flashlight with carrier. The issuance of
additional equipment, such as intermediate force weapons, must be determined
by assigned duties on a site-specific basis.
(2) SPOs. Each SPO must be assigned and required to carry while on duty a
handgun and ammunition, a holster (of a secure type), an ammunition carrying
device of sufficient capacity, a portable radio with carrier; handcuffs with case
or other restraining devices, an intermediate force weapon (with case, if
applicable), and a flashlight with carrier. The issuance of any additional
equipment items must be determined by assigned duties on a site-specific basis.
Equipment must be secured to the SPO so that it is easily accessible and does
not hamper movement during emergencies.
(3) SPO-IIIs. Each SPO-III must be assigned a handgun and ammunition; a
holster (of a tactical type), an ammunition carrying device of sufficient capacity;
fire resistant hood and gloves; a flashlight with carrier; goggles/eye protection;
tactical boots; a CBW mask; handcuffs with case and/or other restraining
devices; and equipment designed to accommodate the duty functions (e.g.,
tactical vests).
(4) SRT Equipment. Equipment must be selected to facilitate the ability of the SRT
to effectively, efficiently, and safely perform both normal and emergency
response duties. In general, team equipment must be provided to facilitate and
hasten a rapid response, be operable in all local weather conditions, allow for
reliable communication and information transfer, and assist in the detection of
adversaries under all light conditions. Site-specific equipment relevant to the
accomplishment of site-specific mission requirements must also be made
available. PRFOT members, TE specialists, SRT commanders, and assault
leaders each may require additional specialized equipment to meet mission
requirements. Sites must ensure that all necessary specialized individual and
team equipment needs are met and maintained.
(5) Alternative to Deadly Force. Armed PF personnel must be assigned equipment
that provides an alternative (i.e., intermediate force), in the appropriate
circumstances, to the use of deadly force (e.g., side-handle or collapsible
baton, chemical agents, etc.).
(6) Nonlethal Area Weapons. Nonlethal area weapons such as chemical agents, if
available for PF use, must be of the type commensurate with the intended use
and must not pose danger to personnel or facilities beyond that required for the
success of the PF mission. Chemical agents must not be kept in active
inventory past their expiration dates.
(7) Personal Protective Armor. Personal protective armor must be readily
available for SPO-II and -III personnel. Protective armor must be worn by
SPOs or be stationed or positioned in such a manner that it may be quickly
donned in support of response requirements without impact to response times.
Protective armor for SPO-II personnel must provide at least Type III-A
protection level, as established by National Institute of Justice (NIJ) Standard
0101.03 (4/87). Protective armor for SPO-III personnel must provide at least
Type III protection level, as established by NIJ Standard 0101.03.
(8) Tactical Vests. Tactical vests must be readily available for use by SRTs and
other designated personnel. They must be designed to accommodate the duty
functions of the wearer and enhance effectiveness.
(9) Protective Masks. Protective masks must be available for SPO-I, -II, and -III
personnel, and Special Agents, i.e., they must be carried by PF personnel or be
stationed or positioned in such a manner that they may be quickly donned in
support of response requirements without impact to response times.
(a) Protective masks must be of a type that does not unduly hinder
performance of emergency duties, including accurate firing of all
assigned firearms, and must be individually fit-tested. They must be
rated for nuclear/biological/chemical protection.
(b) Protective masks must be a full-face, flexible-plate mask with hood and
drinking tube; or a clear-vision, low profile, bi-ocular mask with hood
and drinking tube. They must have North Atlantic Treaty Organization
threading for filter canisters or connecting hoses.
(c) Designated SPO-II personnel and Special Agents who man posts with
duties that require response in support of denial, recapture, and
recovery protection strategies, and interdiction and neutralization
operations; CAS operators; and SPO-III personnel must be provided
protective masks that are compatible for use with night vision devices.
(d) Each mask must be equipped with either filters or air purifying
respirator breathing assist units. Dependent upon PF mission
requirements, self contained breathing apparatus may be required.
(e) Each mask must have an individual carrier case which allows PF
personnel to carry their masks on their persons.
(10) CBW PPE. PF personnel assigned to first responder duties during incidents
involving adversary use of CBW must be provided additional CBW PPE. The
specific number of first responder personnel who must be provided PPE will be
determined by evaluating the SSSP, vulnerability assessments, protection
strategies, and performance testing results.
(a) At a minimum, CBW PPE must consist of the applicable protective
masks discussed in paragraph (9) above, and protective gloves, boots,
and a Nerve Agent Antidote/Decontamination Kit.
(b) SPO-IIIs and those SPO-II personnel and Special Agents who directly
support the implementation of recapture protection strategies and
interdiction/interruption operations must also be provided an outer
garment that provides protection from CBW, in addition to the PPE
listed above. The garment may consist of either a one- or two-piece
jumpsuit. The outer shell of the suit must be of a camouflage pattern
indigenous to the terrain and environment of the PF's assigned area of
operations.
(11) Optical Devices.
(a) Corrective Lenses.
1 Eyeglasses worn by PF personnel must be of the safety glass
type and meet ANZI Z87.1 standards.
2 SPOs whose uncorrected distant vision in the better eye is not
at least 20/40 must carry an extra pair of eyeglasses or
corrective lenses.
(b) Observation Devices. Binoculars must be available for PF use to
permit observation and detection of unauthorized activity and to aid in
the conduct of response operations during both day and night
conditions. At those facilities possessing Category I and II SNM, night
vision devices must be available for PF use to permit observation and
detection of unauthorized activity and to aid in the conduct of response
operations during reduced light conditions.
(c) Protective Mask Optical Inserts. PF personnel whose uncorrected
distant vision in the better eye is not at least 20/40 must be provided
with corrective lens inserts that can be accommodated by the issued
mask.
(12) Batteries. A sufficient number of batteries for PF equipment (e.g., radios,
hand-held metal and SNM transfriskers and monitors, flashlights, cameras,
night vision devices, etc.) must be available and maintained in a charged
condition to support routine, emergency, and response operations.
(13) Equipment Storage. Individual, special purpose, and duty equipment must be
stored and/or carried so as to be readily available in sufficient numbers for use
in its intended fashion according to approved PF response plans, POs, GOs,
and procedures. Adequate and secure storage space must be available for all
individually carried equipment.
(14) Equipment Maintenance. Equipment must be maintained in a serviceable
condition, in keeping with generally accepted practices for the particular type of
equipment. As appropriate, preventive maintenance must be conducted and
records maintained.
c. Firearms, Ammunition, Pyrotechnics, and Explosives. Firearms, ammunition,
pyrotechnics, and explosives must be available in sufficient quantity to permit PFs to act
according to response plans. Firearms, ammunition, and pyrotechnics, and explosives
must be of a type suitable for the intended use, deployed in a manner commensurate
with that use, and controlled in a manner consistent with DOE M 440.1-1, DOE
EXPLOSIVES SAFETY MANUAL. The firearms, ammunition, pyrotechnics, and
explosives used must pose the minimum danger to personnel, noncombatants, and
facilities commensurate with success of the PF 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 in accordance
with DOE M 232.1-1A, OCCURRENCE REPORTING AND PROCESSING OF
OPERATIONS INFORMATION.
(1) Operational Considerations.
(a) General. Firearms must be in serviceable condition at all times. Semi-
automatic pistols must be carried in the round in the chamber
configuration. Other duty and auxiliary firearms configurations (loaded
or unloaded) must be as specified by the cognizant local DOE authority
for S&S.
(b) Sights. All firearms with adjustable sights, which are not assigned to
individuals, must have the sights set in a manner that ensures that PF
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. Verification of sight adjustment and bullet impact
must be made at least semiannually. This must be accomplished by live
fire or through the use of a sighting device that simulates bullet impact.
Such sighting devices must be approved by the cognizant local DOE
authority for S&S.
(c) Spare Firearms. There must be a minimum of 10 percent spare
firearms of each type of firearm deployed on site (e.g., duty,
engagement simulations systems [ESS], training) to provide for the
replacement of malfunctioning firearms and to provide firearms to PF
personnel responding according to approved site response and
contingency plans.
(d) ESS Firearms. All weapons/firearms used during ESS exercises and
training activities must be permanently modified and dedicated for ESS
use only. ESS weapons/firearms include multiple integrated laser
engagement systems (MILES), dye-marking cartridge systems (DMC),
blank-fire, and inert systems.
(e) PF Firearms, Ammunition, and Explosives. Firearms, ammunition, and
explosives used by PFs must be based on consideration of the DBT,
assigned missions, the SSSP and vulnerability assessment, and
approved by the cognizant local DOE authority for S&S. Use of
explosives must be in accordance with DOE O 440.1A and DOE M
440.1-1. The types of diversionary pyrotechnics used must be
approved by the Director, OSS.
(f) Firearms Trigger Safety Locks.
1 Trigger safety locks must be issued to any DOE or contractor
employees issued firearms who, for any reason, are permitted
to take the firearms off site and may not maintain continuous
immediate possession or direct control of the firearms.
2 A trigger safety lock must be used (installed and locked) any
time a firearm is taken off site and leaves the immediate physical
possession or immediate control of the individual to whom the
firearm has been issued.
3 Any firearm shipped or transported off site (e.g., Federal
Express, in baggage that is to be checked, etc.) must be locked
with a trigger safety lock or placed in a locked container.
Firearms shipped by bulk must be secured in a locked or
banded container. Those firearms not capable of firing live
ammunition (i.e., ESS, including dedicated blank-fire, multiple
integrated laser engagement systems, and dye-marking
cartridge firearms) are not required to be individually locked
with a trigger safety but must be secured in a locked or banded
container.
(g) Firearms Modifications. Modifications to firearms must be conducted
by a DOE-certified armorer.
1 Approved Modifications. Written approval must be requested
and received from the cognizant local DOE authority for S&S
before a DOE firearm (live-fire or ESS firearm) may be
modified. Modifications on the DOE Firearms Modification
List (FML), as approved by the OSS, may be conducted after
the local DOE authority for S&S has granted approval.
2 Non-Approved Modifications. Requests for modifications not
on the FML must be submitted in writing to the OSS with the
following information:
a a general description of the modification;
b the purpose/objective of the modification;
c a detailed, step-by-step description of the process to
accomplish the modification, with mechanical and/or
illustrative drawings;
d a description of the post-modification testing to be
conducted; and
e the number of firearms to be modified.
The request will be forwarded to the CTA for review by its
armorer section. The CTA will provide written comments
and/or a recommendation to OSS and the applicable local
DOE authority for S&S. Upon review and concurrence on the
CTA's recommendation, the modification may be approved by
the local DOE authority for S&S. Upon such approval, the
modification must be submitted to the OSS for inclusion on the
FML.
3 ESS Firearms Modifications. Firearms must not be routinely
modified and transferred from ESS applications to live-fire use
and back. If a factory "drop-in" kit is used to modify a firearm
to be capable of using DMC, a DOE-certified armorer
specifically trained in the installation of such a kit must conduct
the modification. Dedicated ESS firearms must not be
reactivated for live-fire usage without the approval of the local
cognizant DOE authority for S&S.
(2) Standardization of Firearms. Standardization of firearms is required to increase
the efficiency of standard and centralized training and enhance inter site
assistance in the event of a security incident or other situation requiring
supplemental or replacement forces.
a. Procurement of PF firearms must involve the following firearm systems:
(1) Handgun: Glock Inc., Model 22, 40 caliber.
(2) Duty Rifle: Military M-16 family of rifles.
(3) Shotgun: Remington, Model 870, 12 gauge.
(4) Precision Rifle: Remington, Model 700 Action.
(5) 40mm Grenade Launcher: Military Model 203.
(6) Belt-Fed Machine Guns: Fabrique National Model 240 and
249.
If the DOE is unable to obtain any needed firearms through interagency
agreements pursuant to the Economy Act, the DOE will comply with
the requirements of the Federal Acquisition Regulation (FAR) Subpart
6.3 in determining how to procure its firearms requirements.
b. Due to the multiple agencies and contracts involved in this centralized
procurement effort, the OSS will provide liaison with DOE field
organizations for acquisition of listed firearms. All Departmental
elements which require any of the firearm types listed in paragraph
c.(2)4a above, must coordinate procurement with the OSS. DOE
field organizations must provide information regarding the type of
firearm, number of items, delivery date and site point of contact to the
OSS. Replacement of current inventories is intended to occur as
current firearms become due for replacement. The standard list
provides needed firearms capability for the majority of Departmental
missions within site-specific conditions; however, operational, safety, or
other requirements may dictate the need for an alternative firearm.
Deviations from or additions to this list must be approved by the
Director, SO, or the Director of Defense Nuclear Security, NNSA, as
applicable. However, if the DOE/NNSA is unable to obtain any
needed firearms through interagency agreements pursuant to the
Economy Act, DOE will comply with the requirements of the FAR,
Subpart 6.3, in determining how to procure its firearms requirements.
(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 controlled within established security areas.
Alternatively, they may be stored in a vault-type room if an intrusion detection
system is in use to detect a penetration into the area and the alarm response
capability is such that unauthorized removal is unlikely.
(a) Bulk Storage. Bulk quantities of ammunition, pyrotechnics, or
explosives, which are not used on a routine basis and/or are stored for
long periods of time, must be stored in facilities that meet design criteria
specified in DOE M 440.1-1. These storage facilities must be located
within a designated security area.
(b) Storage Containers. Firearms, ammunition, pyrotechnics, and
explosives must be stored in General Services Administration-
approved firearms storage containers that are bolted or otherwise
secured to the structure or under alarm coverage. Where the weight of
the storage container would deter removal of the container, the
requirement to bolt or secure is not applicable. Firearms not in such
containers or under alarm coverage must be locked in racks, chained,
or cabled to prevent easy, rapid, unauthorized removal.
(c) Firearms Storage.
1 Whenever practical, firearms must be stored separately from
explosives and 1,000 rounds or more of ammunition.
2 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.
3 Off-site storage of firearms must be specified and authorized by
the head of the Field Element.
4 Dedicated ESS firearms must be stored separately from live
firearms. Separate storage may be accomplished by placing
live firearms and ESS firearms in separate, secured storage
containers in the same location or by storing in separate
locations.
(d) Storage of Ammunition. Live ammunition and ESS-related ammunition
(i.e., blank fire, DMC, dummy rounds, etc.) must be stored separately.
Separate storage may be accomplished by placing live and ESS
ammunition in separate, secured storage containers in the same location
or by storing in separate locations.
(e) 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 on-duty PF personnel. Firearms,
ammunition, pyrotechnics, and explosives must be readily accessible to
PF 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.
(f) Pre-positioned Pyrotechnics and Explosives. In support of PF
response plans and strategies, limited quantities of pyrotechnics and
explosives may be pre-positioned at approved locations (e.g., PF
posts, response vehicles, etc.) other than bulk storage magazine areas.
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 PF 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. PF personnel charged with the
responsibility of employing and overseeing the storage of pyrotechnics
and explosives must be trained in their use and storage, as required in
DOE M 440.1-1.
(3) Firearms and Ammunition Maintenance/Inspection. Firearms available for duty
or contingency operations must be inspected by a DOE-certified armorer prior
to initial use and at least twice a year thereafter to determine serviceability.
Firearms must be cleaned and maintained in a manner that meets or exceeds the
manufacturer's recommendations.
(a) The trigger pull for firearms must be at least that specified by the
manufacturer as the minimum for safe operation.
(b) Firearms maintenance checks must be documented.
(c) Stored firearms must be inspected prior to return to active inventory.
(d) Duty ammunition must be exchanged for fresh ammunition at least
annually.
(4) Pyrotechnics and Explosives Inspection. Pyrotechnics, explosives, and any
associated equipment available for use during routine or contingency operations
must be inspected by qualified PF personnel prior to each use and at least on a
quarterly basis to ensure they are properly stored, stable, and within current
shelf-life and use requirements. Inspections must follow applicable
requirements in DOE M 440.1-1.
(5) Inventory of Firearms, Ammunition, Pyrotechnics, and Explosives. Firearms,
ammunition, pyrotechnics, and explosives inventories must be maintained that
allow efficient and effective arming and training of on-duty PF personnel.
(a) Live-Firearms Inventory. Operational firearms inventories should be
limited to the number of armed personnel issued that type of firearm
and/or the number required for mounting in posts and vehicles, plus 10
percent to accommodate maintenance and contingency requirements.
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 issued firearms must be
inventoried by a number count at the beginning of each shift. All
firearms in storage must be inventoried by a number count on a weekly
basis. An inventory of all firearms, listing the type of firearm, the
manufacturer, and its serial number must be conducted on a monthly
basis. Firearms that are not identified for duty or contingency use may
be inventoried by container in the event a complete container inventory
has been conducted previously and the container is secured by a serial-
numbered security seal.
(b) Dedicated ESS Firearms Inventory. Departmental safety instructions
require that firearms used for ESS activities be permanently modified
and not routinely transferred between live and non-lethal uses.
Additional inventories of dedicated firearms may be maintained to
support ESS training activities. (NOTE: The Glock Model 22 cannot
be converted to DMC use; however, a handgun specifically designed
for this purpose is available from Glock Incorporated.) An appropriate
inventory of these firearms may also be purchased and maintained.
Dedicated ESS firearms must be inventoried by a number count prior
to and after each use. An inventory of dedicated ESS firearms, listing
the type of firearm, the manufacturer, and its serial number must be
conducted on a monthly basis. 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) Ammunition, Pyrotechnics, and Explosives Inventory. The Department
currently has a standardization program for ammunition that consists of
a scheduled procurement coordinated by the CTA through the DOE
Albuquerque Operations Office. This program will not be affected by
the standardization of Departmental firearms. DOE facilities must
continue to procure all duty and training ammunition included in the
standard procurement through this program. Ammunition must be
inventoried annually. Pyrotechnics and explosives must be inventoried
on a monthly basis. Pre-positioned pyrotechnics and explosives must
be inventoried by a number count at the beginning of each shift.
Pyrotechnics and explosives stored in bulk, which are not identified for
duty or contingency use, may be inventoried by container if a complete
container inventory has been conducted previously and the container is
secured by a serial-numbered security seal.
(d) Inventory Shortages. After conducting a preliminary inquiry involving
an indication of an unaccounted for, missing, or stolen firearm, a
significant quantity of ammunition (excess of 100 rounds), or any
amount of pyrotechnics and explosives; PF management must
immediately report such a shortage to the cognizant DOE authority for
S&S, who must report to the OSS within 24 hours. The cognizant
local DOE authority for S&S, as applicable, must then prepare and
transmit an Occurrence Report in accordance with DOE M 232.1-1A.
d. PF Vehicles.
(1) Type. PF vehicles must exhibit a degree of reliability commensurate with their
intended function. Vehicles must enhance the efficiency, speed, and safety of
both routine and emergency duties under all expected weather conditions.
Vehicles must be of a type and size suitable for the intended use and, in the
case of armored vehicles, offer assurance of continued operation and a safe
level of protection to occupants under small arms fire, up to and including North
Atlantic Treaty Organization 7.62 millimeter full-metal jacket. Vehicles must be
distinctly marked and equipped with necessary emergency response equipment
(e.g., external warning lights, sirens, radios, and spotlights).
(2) Maintenance. Vehicles must be maintained in serviceable condition, with
preventive maintenance performed at intervals that meet or exceed the
manufacturer recommendations. Vehicle maintenance records must be
maintained as long as the vehicle is used to support the PF mission.
(3) Inspection. PF vehicles in use must be inspected at the beginning of each shift
to ensure they are in safe, operating condition. At a minimum, the following
areas must be inspected and found to meet safe operating requirements [i.e.,
horn, tires, lights (including emergency response lights, when applicable), and
brakes (including parking brake)].
e. Communications Equipment.
(1) Basic Requirements. PF communications equipment must provide multichannel
capability with clear transmissions. It must also exhibit the necessary degree of
reliability commensurate with its intended use. Communications equipment must
be readily available in sufficient numbers to equip PF personnel. Duress alarms
must be provided at all PF posts. Duress alarm requirements may be met
through the use of either portable radios equipped with duress capabilities or
fixed duress systems.
(2) Special Requirements.
(a) Facilities Containing Category I or II Quantities of SNM. Fixed PF
posts at such facilities must have both normal telephone service and
two-way radio communication with the CAS/SAS, as well as points
from which backup forces may be dispatched. Administrative controls
must be established to ensure proper use of this system in an
emergency.
(b) SRTs. SRTs must be equipped with digital encryption two-way radio
communication. Dedicated channels for SRT operations must include
separate SRT elements (e.g., tactical operations center, crisis
negotiations, PRFOT channels, etc.).
(c) Tests. Daily tests of PF communication systems must be conducted. If
equipped with duress capabilities, the duress system must be tested
weekly. Fixed duress systems must also be tested weekly.
2. FACILITIES.
a. Permanent PF Posts. Permanent (routine and emergency duty) PF posts that control
access to areas containing nuclear weapons, nuclear test devices, complete nuclear
assemblies, or Category I or II quantities of SNM must meet the following
requirements:
(1) Location. The posts must be located so that the efficiency of routine duties is
enhanced, the likely routes of adversary ingress and egress are clearly
observable, and protected routes or methods of approach are available to PF
personnel.
(2) Human Factors Requirements. The posts must provide adequate human
engineering so that PF personnel occupying the posts can perform their duties
efficiently. Routine duty fixed posts must provide occupants with adequate
protection from weather and temperature variations and facilities to meet PF
personal hygiene needs. Supervisors must ensure PF personnel assigned to
fixed posts without personal hygiene facilities are provided regular opportunities
for relief from post duties to visit such facilities at another location.
(3) Exterior Construction. Exterior walls, windows, and doors must be
constructed of, or reinforced with, materials that have a bullet-penetration
resistance equivalent to the "high-power rifle" rating given in Underwriter
Laboratories Standard 752, "Bullet-Resisting Equipment."
(4) Lighting. Lighting must be capable of providing a minimum of 2 foot- candles
luminescence at ground level for at least a 30-foot diameter circle around the
post and 0.2 foot-candles for at least 150 feet in all directions.
(5) Vehicular Access Control. Where automated gates are used to control
vehicular access to a security area, the gates and openings must be constructed
to permit gate operation from inside the post.
b. Training Facilities. Managers of sites/facilities with PF program requirements must
ensure that training facilities are sufficient to conduct realistic PF training and
qualification programs in a safe manner, as required in DOE O 440.1A, WORKER
PROTECTION MANAGEMENT FOR DOE FEDERAL AND CONTRACTOR
EMPLOYEES. This includes facilities for SPO-I, -II, and -III and FO/SA (where
applicable) weapons and physical fitness training and qualifications and maintenance,
special skills, and site-specific training and qualifications. The use of local, State, and
Federal law enforcement agency and Department of Defense/National Guard training
facilities is an acceptable alternative to DOE-owned facilities; as long as required DOE
certifications and safety requirements in DOE O 440.1A and DOE-STD-1091-96 are
maintained. An MOU/MOA delineating such use must be completed by the
appropriate cognizant local DOE authority for S&S, as applicable, and approved by
the head of the Field Element. CHAPTER VII
PERFORMANCE TESTING
1. PERFORMANCE TESTS (PTs). PTs must be used to realistically evaluate, and verify the
effectiveness of PF programs; identify needed training and provide training for personnel;
identify areas requiring system improvements; validate implemented improvements; and
motivate PF personnel. Such tests must adhere to the requirements found in Chapter III of
DOE O 470.1 and in this chapter. All major functions of the PF must be tested. The following
are the major types of PF PTs:
a. LSPT. LSPTs may be either scheduled or unannounced. They must be used to
determine the level of PF skill or capability in the area tested or to verify different
aspects of the PF program. LSPTs must be conducted to realistically test any
operation or procedure, verify a policy requirement, or verify possession of a requisite
knowledge or skill to perform a specific task that falls within the scope of PF
responsibility. The tests may involve large numbers of PF personnel working together,
or they may involve only an individual or small team. When individuals or small teams
are tested, repetitions of the test may be conducted with each individual or team.
Examples of these tests include individual and team tactical movement, defensive and
offensive positioning, arrest and control techniques, building clearing, handling civil
disturbances, containment operations, command and control activities, or any individual
components of these activities. Any element of PF responsibility, as determined by site
procedures and job task analysis, may be tested. LSPTs may involve the use of
dedicated ESS (MILES, DMC, blank-fire, or inert systems), and such use must meet
the operational and safety requirements involving the conduct of FOF exercises in
paragraph 1c, below, where applicable.
b. Alarm Response and Assessment Performance Test (ARAPT). An ARAPT is
conducted with no prior notice to evaluate on-duty PF response to a specific location
under S&S alarm protection. ARAPT scenarios must be based on simulated adversary
actions consistent with the DBT and site-specific vulnerability assessments. The
purpose of these tests is to evaluate PF readiness and response to alarm conditions.
These tests must take into consideration all aspects of PF response, including
communications, personal protective measures, equipment availability and
serviceability, and any PF and facility coordination activities that may be necessary for
effective mitigation of a security incident. ARAPTs must be coordinated with facility
representatives and trusted agents to ensure that safety requirements are fulfilled,
security is not compromised, and operational disruption is minimized. Upon
commencement of an ARAPT, responding PF personnel must be advised of the test.
Handguns must not be unholstered and auxiliary weapons must not have a round
chambered.
c. FOF Exercise. A FOF exercise is a major test of the overall effectiveness of all
elements involved in response to a DBT and site-specific threats. FOF exercises must
be held at all facilities meeting the requirements in DOE O 473.2, paragraph 4e. FOF
scenarios must include the parameters of the various adversary weapons, equipment,
and methodologies postulated in the DBT. Scenario content must be controlled on a
strictly need-to-know basis to foster realistic exercise activities and evaluation.
Exercises must be planned, announced in advance to all participating parties, and
conducted during specified time periods. Personnel must be designated and briefed in
advance to act as adversaries. All weapons used by exercise participants must be
dedicated ESS weapons. For this reason, when an exercise involves an operating
facility as opposed to a test area, a "shadow force" of PF personnel must be deployed
for protection of the S&S interests. Interface procedures, including rules of conduct for
all participants, controller actions, exercise boundaries, and off-limit areas, must be
developed. Procedures for communication between the simulated and shadow forces
must be developed to ensure no compromise of S&S during the exercise. All exercise
participants, controllers, and the shadow force must be briefed on the interface and
communication procedures.
d. Command Post Exercise (CPX). A CPX is conducted to observe and evaluate a crisis
management team's overall handling of a simulated safeguards and/or security or a
natural disaster incident. A CPX may involve a local Emergency Operations Center
(EOC) or multiple centers, including the DOE Headquarters EOC. CPXs may be
either announced or unannounced and may vary in scope and time as dictated by the
purpose of the exercise. A security-related CPX must be based on the DBT and the
site-specific threat. The CPX must be used to evaluate both tactical and technical
assessments and decisions. Lines of authority, the interrelationship of various
organizational components in crisis mitigation, and the timeliness of reporting and
decision making will be considered in the overall evaluation. Facility and equipment
availability must also be evaluated.
e. Command Field Exercise (CFX). A CFX is an extension of a CPX and is conducted
to test the interrelationship of site management in directing the tactical engagement of a
PF to a simulated incident. Procedures, tactical intelligence, communications, logistics,
and the interfaces between field and site support systems are the focus of a CFX. Such
exercises must be planned and announced in advance to all participating personnel.
They may be combined with FOF exercises.
f. Joint Training Exercise (JTX). When site or facility vulnerability analysis and
performance testing indicate a need for outside agency support for the successful
mitigation of an S&S incident, and such support is properly documented in the SSSP,
the support expected from outside agencies must be covered by a formal, written
MOU/MOA. A site must conduct an annual JTX consisting of a FOF exercise with
these agencies to determine the agencies' abilities and capabilities to respond to site
threats, as documented in the SSSP. The frequency of testing outside resources
beyond the annual FOF exercise requirement must be based on the degree of support
anticipated and approved by the cognizant local DOE authority for S&S, as applicable.
2. PT PLAN AND REPORT REQUIREMENTS. A written test plan and an after-action report
must be prepared to document PF performance testing activities. Both must be reviewed for
classification purposes.
a. The PT Plan must address, as applicable:
(1) The specific element of the PF being tested;
(2) The objective of the test;
(3) Specific, applicable pass/fail criteria;
(4) Specific and general safety considerations (general considerations may be
satisfied by referring to approved performance test procedures discussed in
paragraph 3, below); and
(5) Specific S&S considerations.
b. The PT Report must address, as applicable:
(1) Detailed results of the exercise, including a pass/fail determination;
(2) Lessons learned; and
(3) Required corrective actions and/or mitigation factors to address identified
vulnerabilities.
3. SAFETY. PF PTs must be conducted with the highest regard for the safety and health of
personnel, protection of the environment, and protection of Government property. Specific
safety considerations and requirements for conducting PF PTs are found in DOE STD-1091-
96, Firearms Safety. Site-specific procedures addressing the conduct of PTs, the use of ESS,
and safety considerations, must be prepared by PF management and submitted to the cognizant
local DOE authority for S&S, as applicable; for review and approval and incorporated into the
site Performance Assurance Program.
4. COORDINATION. When a CPX or CFX involves a demonstration of site-level emergency
response capabilities, the development and conduct of the exercise must be coordinated with
the appropriate site-level emergency management organizations.
5. TESTING FREQUENCY. Performance testing must be conducted as stated in Table VII-1.
NOTE: Annual requirements for FOF, CPX, CFX, and JTX exercises may be combined
where determined appropriate in SSSPs. Requirements for ARAPTs may be satisfied through
combined testing of multiple alarms in the same or proximate location(s) and required monthly
PF shift and SPO-III shift training exercises.
Table VII-1. Testing Frequency.
Type of Performance Test
Minimum Performance Test Frequency
LSPT
As required
ARAPT
1/quarter/alarmed location
FOF
1/year/facility
CPX
1/year/site
CFX
1/year/site
JTX
As required per SSSP, 1/year/site as applicable (See
Chapter IV, paragraph 13d and paragraph 1f of this
chapter.)
CHAPTER VIII
EXECUTIVE PROTECTION PROGRAM
1. PURPOSE. The purpose of the DOE Executive Protection Program (EPP) is to prevent
intentional or unintentional injury to the Secretary of Energy and, when designated by the
Secretary, the Deputy Secretary of Energy.
2. SCOPE. Measures, including the use of armed PF personnel, may be provided for the
protection of the Secretary and/or Deputy Secretary within or outside the United States. The
Secretary must determine the extent and nature of any protection measures to be performed.
Executive protection operations and services will not be provided to the Secretary and/or
Deputy Secretary without the knowledge and specific approval of the Secretary.
3. REQUIREMENTS.
a. Requests for executive protection operations and services will be submitted in writing to
the EPP manager, DOE Headquarters, at least 10 working days prior to
implementation. When there is less than 10 working days notice of impending travel by
the Secretary or Deputy Secretary, requests for executive protection must be submitted
as soon as possible. The request must include:
(1) a description of known or potential threats and
(2) the nature, extent, and duration of proposed executive protection activities to
be conducted.
b. The EPP manager must forward recommendations for protection measures to the
Secretary, or the Secretary's designated representative, for approval.
c. Executive protection operations and services must be conducted by PF personnel
approved by the EPP manager and trained for this activity.
d. Only those DOE personnel who have been deputized as U.S. Marshals by the U.S.
Marshals Service are authorized to carry firearms in support of an executive protection
operation within the United States and its possessions.
e. Approval for selected executive protection personnel to bear arms in a foreign country
must be obtained from the foreign government by the EPP manager through the
appropriate Department of State Regional Security Officer. ATTACHMENT 1
REFERENCES
1. Title 18 United States Code (U.S.C.), relating to
a. Espionage (sections 792 to 798);
b. Treason and subversive activity (sections 2381 to 2385);
c. Sabotage (sections 2151 and 2153 to 2156);
d. Theft or destruction of Government property (sections 33, 81, 641, 659, 831, 844,
1361 to 1363, 1366, 2071, 2112, and 2114);
e. Extortion and threats (sections 876 to 878);
f. Riots (section 2101);
g. Crime against a person (sections 111, 113, 114, 1111, 1112, 1114, and 2111.);
h. Assassinating, kidnaping, or assaulting any agency head or deputy (section 351).
i. Powers of marshals and deputies (section 3053).
j. Conspiracy (section 371); and
k. Counterfeit badge/identification (sections 499, 701, 911, and 912).
2. The Atomic Energy Act of 1954, as amended (42 U.S.C. 2011, et seq.)
a. Chapter 12, "Control of Information," sections 141-146 (42 U.S.C. 2161 to 2166),
which set forth the principles for the control of Restricted Data.
b. Chapter 14, "General Authority."
(1) Section 161, "General Provisions" (42 U.S.C. 2201), which sets forth the
authority necessary to perform the functions of DOE.
(2) Section 161k (42 U.S.C. 2201k), which provides statutory authority for DOE
and contractor personnel to carry firearms and to make arrests without warrant.
c. Chapter 18, "Enforcement."
(1) Sections 221 to 233 (42 U.S.C. 2271 to 2281), which set forth the authority
necessary to protect Restricted Data and property, and establish criminal
penalties for violation of the Atomic Energy Act.
(2) Section 229 (42 U.S.C. 2278a), which sets forth the authority to issue
regulations and establishes penalties for violating these regulations relating to the
entry upon or carrying, transporting, or otherwise introducing or causing to be
introduced any dangerous weapon, explosive, or other dangerous instrument or
material likely to produce substantial injury or damage to persons or property,
into or upon any DOE property.
(3) Section 236, which makes criminal destroying or physically damaging DOE
nuclear facilities or fuel, using or tampering with machinery to cause an
unauthorized interruption of normal operations of such facilities, or attempting to
commit any of these acts.
3. Title 42 U.S.C. 7270a, which provides statutory authority for DOE and contractor employees
at the Strategic Petroleum Reserve to carry firearms and to make arrests without warrant.
4. Title 50 U.S.C., relating to Department of Defense security regulations and Orders and the
penalty for violation (section 797).
5. Title 10 CFR Part 860, Trespassing on Department of Energy Property, which makes
trespassing on posted DOE property criminal.
6. Title 10 CFR Part 1046, Physical Protection of Security Interests, which sets forth policies and
procedures applicable to DOE contractor personnel and establishes their requirements for
medical and physical fitness qualification, physical fitness training medical examination and
certification, access authorization, and security training, qualification, and certification.
7. Title 10 CFR Part 1047, Limited Arrest Authority and Use of Force by Protective Force (PF)
Officers, which establishes policy concerning arrests and associated use of force by DOE and
contractor PF personnel assigned to protect nuclear weapons, SNM, classified matter, nuclear
facilities, and related property.
8. Title 10 CFR Part 1049, Limited Arrest Authority and Use of Force by PF Officers of the
Strategic Petroleum Reserve, which establishes policy concerning arrests and associated use of
force by SPR PF personnel, and requirements for training and qualification to carry firearms.
9. Title 14 CFR Part 61, Certification: Pilots, Flight Instructors, and Ground Instructors, which
prescribes the requirements for issuing pilot and flight instructor certificates and ratings, the
conditions under which those certificates and ratings are necessary, and the privileges and
limitations of those certificates and ratings.
10. Title 14 CFR 108.11, Carriage of Weapons, which provides requirements for the carrying of
weapons aboard an airplane.
11. Title 14 CFR Part 135, Operating Requirements: Commuter and On-Demand Operations,
which governs helicopter operations.
12. DOE O 232.1A, OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS
INFORMATION, of 7-21-97, which establishes a system for reporting occurrences related to
DOE-owned or operated facilities and processing that information to provide for appropriate
corrective action.
13. DOE O 440.2, AVIATION, of 9-25-95, which provides aviation requirements and
responsibilities.
14. DOE O 440.1A, WORKER PROTECTION MANAGEMENT FOR DOE FEDERAL AND
CONTRACTOR EMPLOYEES, of 3-27-98, which establishes PF firearms program safety
requirements and responsibilities.
15. DOE 5610.14, TRANSPORTATION SAFEGUARDS SYSTEM PROGRAM
OPERATIONS, of 5-12-93, which establishes policy for and implementation of the
management and operation of the Transportation Safeguards System program.
16. DOE M 440.1-1, DEPARTMENT OF ENERGY EXPLOSIVES SAFETY MANUAL, of
9-30-95, which provides information and guidance related to the safe use and storage of
explosives.
17. DOE O 470.1, SAFEGUARDS AND SECURITY PROGRAM, of 9-28-95, which
establishes requirements and responsibilities for the Safeguards and Security Program.
18. DOE O 471.2A, INFORMATION SECURITY PROGRAM, of 3-27-97, which establishes
requirements and responsibilities for the protection of classified and sensitive information.
19. DOE O 472.1B, PERSONNEL SECURITY ACTIVITIES, of 3-24-97, which establishes
requirements and responsibilities for the Personnel Security Program and the Personnel Security
Assurance Program.
20. DOE M 473.2-1, FIREARMS QUALIFICATION COURSES MANUAL, of 7-8-97, which
provides standardized courses of fire to ensure that all PF personnel authorized to carry
firearms under 42 U.S.C. 2201k or 42 U.S.C. 7270a are consistently qualified.
21. DOE 5632.1C, PROTECTION AND CONTROL OF SAFEGUARDS AND SECURITY
INTERESTS, of 7-15-94, which establishes policy, requirements, and responsibilities for the
protection and control of safeguards and security interests.
22. DOE M 5632.1C-1, MANUAL FOR PROTECTION AND CONTROL OF
SAFEGUARDS AND SECURITY INTERESTS, of 7-15-94, which provides detailed
requirements to implement DOE 5632.1C.
23. Design Basis Threat for Department of Energy Programs and Facilities (U), of 4-12-99,
issued by the Director, Office of Security Affairs, which identifies and characterizes the
potential generic adversary threats to the DOE programs and facilities which could adversely
impact national security, the health and safety of employees, the public, or the environment.
24. General Records Schedules, Schedules 11, 18, 20, and 23 of National Archives and Records
Administration; and DOERS, as applicable.
25. National Security Decision Directive-281, CLASSIFIED TITLE, of 8-27-87, which codifies
policies for national nuclear command and control operations.
26. Presidential Decision Directive-39, U.S. COUNTERTERRORISM POLICY, of 6-21-95,
which establishes policy, requirements, and responsibilities to deter, defeat, and respond to
terrorist attacks on U.S. territory and resources, both people and facilities.
27. Public Law 106-65, National Defense Authorization Act for Fiscal Year 2000; Title 32, which
establishes the policy, requirements, and responsibilities for the National Nuclear Security
Administration.
28. DOE N 473.1, Carrying of Semiautomatic Pistols with a Round in the Chamber, of 10-28-99,
which establishes the requirements for DOE PF who carry a semiautomatic pistol to have a
round in the chamber.
29. DOE N 473.2, Standardization of Firearms, of 3-02-00, which establishes requirements for the
standardization and limitations of DOE PF firearms inventories maintained in support of
safeguards and security activities.
30. DOE N 473.3, Standardization of Chemical Protective Equipment for PFs and Special Agents,
of 3-29-00, which establishes requirements for the standardization and procurement of
chemical protective equipment for use by DOE PFs and Special Agents. ATTACHMENT 2
GUIDELINES FOR FRESH PURSUIT
1. PURPOSE. The purpose of these guidelines, which have been approved by the U.S. Attorney
General, is to set forth the procedures to be followed by Department of Energy (DOE) Federal
and contractor Protective Force (PF) personnel, when pursuing suspected criminals across
jurisdictional lines.
2. POLICY. It is DOE policy to prevent the escape and effect the arrest of fleeing suspected
criminals in a safe and expeditious manner. The following procedures are intended to provide
protective personnel with flexibility when in fresh pursuit of a fleeing suspected criminal. Each
site must prepare site-specific guidelines that take into account the geography, equipment, and
functions of the facility/site and that address procedures to be used to provide emergency
notification to jurisdictions that may be entered in a fresh pursuit situation. The manager of the
DOE Field Element must submit the guidelines through the cognizant LPSO/Administrators,
NNSA, to the Director, Office of Security Affairs (OSA), for approval.
3. DEFINITIONS. The following definitions are applicable to this attachment.
a. Felony. Any offense enumerated in Title 10 CFR, section 1047.4(a)(1)(i), as well as
any offense constituting a felony under the laws of the jurisdiction in which the facility is
located and with respect to which a PF would have arrest authority under 10 CFR
1047.4(d) and (e).
b. Fresh Pursuit. Pursuit (with or without a warrant) for the purpose of preventing the
escape or effecting the arrest of any person who commits a misdemeanor or felony or is
suspected of having committed a misdemeanor or felony. Fresh pursuit implies pursuit
without unreasonable delay but need not be immediate pursuit. (Although fresh pursuit
implies pursuit without unreasonable delay, for the purpose of preventing the escape or
effecting the arrest of fleeing suspected criminals who are in unauthorized
control/possession of nuclear weapons, weapons components, and/or SNM, such
pursuit must be effected immediately.)
c. In the Presence of. The criminal act must have taken place in the physical presence of
(under the observation of) the PF officer. A PF officer is authorized to make an arrest
for any misdemeanor listed in 10 CFR 1047.4(a)(1)(ii) if the offense is committed in the
presence of the PF officer.
d. Jurisdictional Lines. For the purposes of these guidelines, must include, but are not be
limited to, the property lines of a DOE facility/site.
e. Misdemeanor. Any offense enumerated in 10 CFR 1047.4(a)(1)(ii), as well as any
offense constituting a misdemeanor under the laws of the jurisdiction in which the facility
is located and with respect to which a PF officer would have arrest authority under 10
CFR 1047.4(d) and (e).
f. PF Officer. As defined in 10 CFR 1047.3(g), any person authorized by DOE authority
to carry firearms under section 161k of the Atomic Energy Act.
g. Reasonable Grounds to Believe. At the moment of arrest, either the facts and
circumstances within the knowledge of the PF officer, or of which the PF officer had
reasonably trustworthy information, were sufficient to cause a prudent person to believe
that the suspect had committed or was committing the offense. A PF officer is
authorized to make an arrest for any felony listed in 10 CFR 1047.4(a)(1)(i) is the
offense is committed in the presence of the PF officer or if the PF officer has reasonable
grounds to believe (e.g., information from another PF or law enforcement officer,
communications from a PF dispatcher or central alarm station operator) that a suspect
had committed or was committing a felony.
4. AUTHORIZED PURSUIT ACROSS JURISDICTIONAL LINES.
a. Misdemeanors. A PF officer may engage in the fresh pursuit of a suspected
misdemeanant across jurisdictional lines only if the alleged misdemeanor was
committed, or is being committed, in his/her presence. If the alleged misdemeanor was
not committed in the presence of a PF officer, PF officers must not pursue the
suspected misdemeanant across jurisdictional lines. Instead, the PF officers must
attempt to obtain a description of the suspected misdemeanant, as well as a description
and license tag number of any vehicle being used by the suspected misdemeanant, and
must convey this information (in accordance with the specific notification procedures
issued by the manager of the DOE Field Element) to the State and other local law
enforcement authorities for the jurisdiction into which the suspected misdemeanant has
fled.
b. Felonies. PF officers may engage in the fresh pursuit of a suspected felon across
jurisdictional lines if
(1) the alleged felony is being committed, or was committed, in the presence of a
PF officer or
(2) any PF officer has reasonable grounds to believe that the person pursued is
committing, or has committed, the alleged felony.
5. FRESH PURSUIT PROCEDURES.
a. Responsibility. Responsibility for decisions respecting fresh pursuit must follow the PF
command structure. In making fresh pursuit decisions, PF officers must consider
applicable Federal and State laws; DOE directives, guidelines, and regulations; and PF
plans, POs, GOs, guidelines, and training.
b. Safety Considerations.
(1) Safety is a primary consideration when engaged in fresh pursuit of a suspected
criminal. In determining whether to pursue, as well as the method and means of
pursuit, a PF officer will weigh the seriousness of the alleged offense and the
necessity for immediate apprehension against the risk of injury to himself/herself,
other PF officers, and the public. If at any time during the pursuit the risk of
injury to pursuing PF officers or the public surpasses the necessity for
immediate apprehension, the pursuit must be terminated.
(2) PF officers will use the minimum force necessary under the circumstances to
apprehend a suspected criminal.
(3) The use of physical and/or deadly force in a fresh pursuit situation, regardless of
whether jurisdictional lines have been crossed, must be in strict conformance
with 10 CFR 1047.6 and 1047.7 and other requirements applicable to the use
of force on DOE facilities. Such use may include, as appropriate, firing at or
from a moving vehicle, aircraft, or water craft; the ramming and disabling of
pursued vehicles by precision immobilization techniques (PIT); and the use of
tire deflating devices. Such use is only appropriate when a pursuit situation
involves the attempted recovery of SNM under unauthorized control or to
prevent adversary use of explosives against a DOE facility. The use of
ramming/PIT techniques and tire deflating devices to terminate such a pursuit
must be considered application of deadly force and must be in conformance
with 10 CFR 1047.7.
(4) If hostages are present in a pursuit situation in which recovery of SNM is
involved, the safety and welfare of hostages must be considered; however, due
to the ramifications of unauthorized use of SNM to the national security, the
public, and the environment, the hostages' presence must not deter or impact
immediate pursuit and recovery of the SNM.
c. Vehicular Pursuit.
(1) Vehicles used in fresh pursuit must be operated in as safe a manner as is
practicable.
(2) To the extent practicable, vehicles used must be "marked" and be equipped
with visual and audible emergency equipment.
(3) Vehicles occupied by non-PF personnel must not be used in fresh pursuit
situations unless the situation mandates an immediate pursuit, and the extreme
circumstances prohibit the occupant's disembarkation.
(4) The number of pursuing vehicles that cross a jurisdictional line should be limited
to that necessary to provide sufficient personnel to deal with the situation.
Under no circumstance should the number of pursing PF officers be such that
the facility is left without sufficient security protection.
(5) There is an inherent danger associated with the use of roadblocks; thus, unless
exigent circumstances mandate immediate apprehension of the suspected
criminal, PF officers generally must not attempt roadblocks without the
authorization of the appropriate law enforcement officials of the jurisdiction
entered and must not be use roadblocks to apprehend suspected
misdemeanants. Under no circumstances will a roadblock be used without the
concurrence of the supervisor of the pursuing PF officers.
(6) There is an inherent danger associated with the use of ramming/PIT and tire
deflating devices; thus, unless exigent circumstances mandate immediate
disabling of the suspect vehicle (i.e., unauthorized control of SNM, possession
of explosives), PF officers generally must not attempt ramming/PIT or use tire
deflation devices without the authorization of a PF supervisor. However, such
authorization is not required when requesting such authorization may effect the
timely termination of the pursuit. Ramming/PIT must not be used to apprehend
suspected misdemeanants. Specific guidelines regarding the use of
ramming/PIT and tire deflation devices in fresh pursuit situations must be
developed and approved by the manager of the Field Element. Guidelines for
the use of ramming/PIT and tire deflation devices must be included in the
site-specific guidelines submitted by the manager of the Field Element to the
Director, OSA, for approval.
d. Aerial Assistance. Where DOE has aerial capability (e.g., helicopters, fixed-wing
aircraft), specific guidelines regarding the use of aircraft in fresh pursuit situations,
including pursuit, observation, reporting, and deployment of response forces, must be
developed and approved by the manager of the Field Element, in coordination with
appropriate State and other local officials. Such aerial pursuit guidelines must be
included in the site-specific guidelines submitted by the manager of the Field Element to
the Director, OSA, for approval.
e. Water Craft Assistance. Where DOE has waterborne capability, specific guidelines
regarding the use of water craft in fresh pursuit situations, including pursuit, observation,
reporting, and deployment of response forces, must be developed and approved by the
manager of the Field Element in coordination with appropriate State and other local
officials. Such water craft pursuit guidelines must be included in the site-specific
guidelines submitted by the manager of the Field Element to the Director, OSA, for
approval.
f. Communications.
(1) At all times during a fresh pursuit situation, the PF officers involved must make
every attempt practicable to maintain open communications and to relay as
much factual information as possible to the PF dispatcher.
(2) Upon the engagement of a fresh pursuit situation, the PF dispatcher must
immediately notify supervisors in the PF command structure and the officer in
charge of on-site PF operations.
(3) When it becomes apparent to the pursuing PF officers that jurisdictional line(s)
might be crossed, this information must be transmitted immediately to the law
enforcement authorities of the jurisdiction to be entered in accordance with the
site-specific emergency notification procedures. To the extent possible, such
notification must include a description of the fleeing suspect and/or vehicle, the
alleged criminal violation for which the suspect is being pursued, and the
location and direction of travel of the suspect.
g. Coordination with Other Law Enforcement Authorities. When other Federal, State or
other local law enforcement authorities with jurisdiction in the area into which the
suspected criminal has fled join the pursuit, they must be primarily responsible for the
continued pursuit.
(1) The PF dispatcher, supervisors in the PF command structure, and the officer in
charge of on-site PF operations must coordinate the pursuit efforts of PF
officers with other Federal, State, and/or other local law enforcement
authorities who assume primary responsibility.
(2) PF officers participating in the pursuit must continue to participate in pursuit
operations until otherwise instructed by the PF dispatcher, respective
supervisors in the PF command structure, or the officer in charge of on-site PF
operations.
(3) At least one PF officer unit will remain available to assist the other pursuing
Federal or State and other local law enforcement authorities until the pursuit is
concluded or otherwise terminated. That PF officer will thereafter provide such
law enforcement authorities with all relevant information regarding the
circumstances surrounding the incident.
h. Arrests.
(1) When other Federal law enforcement authorities [e.g., Federal Bureau of
Investigation (FBI) or United States Marshal] are involved with PF officers in
the apprehension of a suspected criminal (regardless of whether on or off DOE
property), PF officers must relinquish arresting authority to the other Federal
law enforcement authorities.
(2) When State or other local law enforcement authorities are involved with PF
officers in the off-site apprehension of a suspected criminal, the issue of which
law enforcement official is in charge in order to effect an arrest is generally not a
matter of policy but one of common sense dictated by the circumstances. Such
an assessment includes an evaluation of the expertise of those present; which
agency has first established control; and the disruptive effect, if any, of transfer
of control. The determination of which jurisdiction should make the arrest is,
therefore, left to the discretion of the officers involved. To the extent
practicable, guidelines addressing this issue should be prepared on a
site-by-site basis in coordination with State and other local law enforcement
authorities. Such guidelines must be included in the site-specific guidelines
submitted by the manager of the Field Element to the Director, OSA, for
approval.
(3) When a suspected felon is apprehended (regardless of whether on or off DOE
property), or when a suspected misdemeanant is apprehended on DOE
property, the PF officer must immediately notify the appropriate U.S.
Attorney's Office and escort the suspect to the nearest U.S. District Court or
U.S. Magistrate for arraignment (unless otherwise directed by local Federal law
enforcement authorities; e.g., the FBI or a U.S. Marshal). Under no
circumstances must a suspected felon be removed to another jurisdiction
without first being processed through the Federal criminal justice system where
the suspected felon was apprehended.
(4) The pursuing PF officers must ensure that any Government property retrieved
during pursuit or at the time of apprehension is properly secured and a chain of
custody is established. CONTRACTOR REQUIREMENTS DOCUMENT
DOE M 473.2-2, PROTECTIVE FORCE PROGRAM MANUAL
This Contractor Requirements Document is issued to identify requirements applicable to contractors.
All requirements in DOE M 473.2-2, PROTECTIVE FORCE PROGRAM MANUAL, apply to
contractors that have responsibilities for administering the DOE Protective Force Program for the
purpose of protecting safeguards and security interests. The requirements in this Manual must flow
down to all subcontractors that have responsibilities for administering the Protective Force Program for
the purpose of protecting DOE safeguards and security interests.