BfS SAFETY CODES AND GUIDES - TRANSLATIONS. Edition 08/08. Contents. Bundesamt für Strahlenschutz Salzgitter

Transcription

1 BfS SAFETY CODES AND GUIDES - TRANSLATIONS Edition 08/08 Contents Requirements Relating to the Physical Protection Service and Physical Protection Officers at Nuclear Facilities and Installations of July 4, 2008 Anforderungen an den Objektsicherungsdienst und an Objektsicherungsbeauftragte in kerntechnischen Anlagen und Einrichtungen vom 4. Juli 2008 Bundesamt für Strahlenschutz Salzgitter

2 The German original of this translation was published in Gemeinsames Ministerialblatt 2008, No. 39. In case of discrepancies the German text shall prevail.

3 Requirements Relating to the Physical Protection Service and Physical Protection Officers at Nuclear Facilities and Installations of July 4, Circular of the Federal Ministry for the Environment, Nature Conservation and Nuclear Safety of July 4, RS I /17 und RS I /17.1 I. Requirements Relating to the Physical Protection Service at Nuclear Facilities and Installations (Date: May 7, 2008) 1 Scope The requirements shall apply to the physical protection service at nuclear power plants as well at nuclear facilities with material of the category I according to INFICIRC/225/ Rev.4 (corrected). They shall be applied analogously at other nuclear facilities and installations with licenses pursuant to 5, 6, 7 and 9 of the Atomic Energy Act in relation to the requirements of security. This physical protection service shall supplement the structural and technical security measures of the applicant /licensee. 2 Duties of the physical protection service The physical protection service shall guard the facility, identify and impede disturbances by third parties and report such disturbances to the competent authorities. Its duties shall be laid down in service instructions and comprise in particular: 2.1 Duties with respect to security features - Operation of engineered security features - Checking and assessment of annunciations - Checking of the operability of the security features - Reporting of indicated alarm signals or identified disturbances 2.2 Duties to be fulfilled by guards and patrols - Surveillance of the security-related premises - Guards and patrols in the outer security area and, if necessary, also guards in the inner security area - Observation of the approaches of the outer security area - Checking of the integrity of the confinements including the safeguards of passages and the security fence system - Identity checks at/in outer security areas and, if necessary, also at inner security areas - Observation of the airspace in the area of the facility, especially when a restricted area for air traffic is erected - Reporting of possible injuries of the restricted area for air traffic 2.3 Duties during checks and escorts - Checking of the identity and right of access of persons - Checking of the transportation of materials and vehicle traffic - Search of persons and vehicles for unauthorized items - Escorting of persons and vehicles - Keeping, issuing and handling of security relevant keys - Briefing of police, fire brigade and rescue workers 2.4 Duties on the occasion of special hazards or failures of security features - Intensification of general surveillance and checks - Manning of special guards and patrols in/at the outer and inner security areas - Assumption of additional and compensation of failed surveillance and checking functions - Service's own security 2.5 Duties on the occasion of disturbances or other interference by third parties - Reconnaissance and verification of alerts - Alerting of outside protective teams and their briefing about the actual situation when they arrive at the facility - Delaying resistance For this purpose, the members of the physical protection service shall sign an employment contract obliging them, within the scope of their duty to accept certain hazards, to offer delaying resistance to intruders until the police can intervene efficiently 3. In this context, it may become necessary in an extreme emergency to use violence by virtue of the powers to which everybody is entitled (as last resort use of firearms); this will be the case if the life or health of persons is jeopardized by an intruder, it has to be feared that intruders may reach parts of the facility which are particularly vulnerable in terms of safety, there is a danger that nuclear fuel will be diverted there is a danger that parts of the facility will be destroyed, leading to a possible release of radioactive materials, unless the respective danger can be excluded in some other way. The cases mentioned above are intended to illustrate, along the lines of a regulation of powers, the situations in which the use of firearms may be permissible to offer delaying resistance and should be read in close connection with the specific nuclear hazards of the facility in question. In agreement with the shift supervisor, the physical protection service shall also offer delaying resistance to counteract identified disturbances or attempted disturbances by persons entitled to access. - Implementation of further immediate measures in accordance with the alert rules. 2.6 Duties at central location A guard book shall be recorded, which gives information about the members of the physical protection service who were on duty, about their assignments (staff roster) and the work carried out. A book of the keys shall be recorded in which the issuing of security relevant keys is documented. The guard book and the book of the keys shall be kept for a period of at least five years after the last entry. 3 ) The obligation of the physical protection service to offer delaying resistance, which is provided for in the employment contracts, may, in the cases described theoretically in the second sentence of this subparagraph, include the use of firearms even if this is not explicitly provided for in the employment contract, if the use of firearms is the only suitable, necessary, acceptable and reasonable means in the prevailing individual circumstances; in each individual case, this decision requires an additional assessment of the prevailing boundary conditions by the member of the physical protection service does not use his firearms in spite of his obligation to offer delaying resistance and in spite of the fact that all the prerequisites mentioned in the preceding sentence are met, this non-fulfillment of his obligations may result in consequences under the relevant provisions of labor law and penal law (failure to discharge a legal duty). 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4 Beyond the regular documentation in the guard book activities resulting from the performance of the duties according to sections 2.1 to 2.5 shall be reported and especially detected variation from the standard and if applicable the measurements taken shall be reported comprehensibly. A documentation in electronic form shall be acceptable. 2.7 Additional duties Members of the physical protection service may only be assigned additional duties belonging to other spheres of work if such assignments do not interfere with their original work within the scope of physical protection with respect to the permanent alert reinforcement, on - the security status of the facility - the size of the facility - the number and layout of areas relevant for security. 3.5 The applicant/licensee shall demonstrate how a sufficient level of physical protection in terms of personnel and administrative features is ensured by an emergency service if the planned physical protection personnel is not available at all or not available in sufficient numbers. The emergency service may consist of the facility's own personnel or outside personnel. 3 Organization / Number of shift personnel on duty 3.1 For each service shift, a shift supervisor of the physical protection service shall be appointed who shall direct the physical protection service. He shall be responsible to the physical protection officer. 3.2 The planning of shift personnel on duty shall be effected in such a way that both the number of shift personnel and their preparedness for action are ensured at all times. In this context, special care shall be taken to ensure a smooth change of shifts (overlapping time). 3.3 In order to cope with sudden occurrences of hazards or the failure of security features which require immediate intervention by the personnel, an alert reinforcement shall be provided on the premises of the facility. In order to preserve the preparedness of this reinforcement, it shall only be assigned such additional duties as will not prevent its immediate intervention capability. The alert reinforcement must not be used to compensate for long-term failures of engineered security features; for such assignments, off duty personnel should be used. 3.4 The implementation of the duties in accordance with section 2 shall be effected by the physical protection service as a whole. The number of the shift personnel of the physical protection service shall depend on the scope of the following major duties and circumstances (Requirements providing a framework for the corresponding specifications are listed in the annex): with respect to engineered security features (e.g. physical protection center, internal guard house), for instance on: - the scope of operation of engineered systems - communication duties - documentation duties with respect to guard and patrol service, on - characteristic features of the premises - kind, extend and characteristics of the structural and engineered security features, in particular of the confinements with respect to checks and escorts, on - the number of personnel at the facility - the traffic volume of outside contractors, suppliers and visitors - checking systems, engineered features - necessary additional checks (e.g. preliminary checks, additional gates, construction sites, inspections) - the local circumstances, in particular the number and size of security areas 4 Requirements relating to members of the physical protection service 4.1 Members of the physical protection service must - have undergone a verification of the reliability according to provisions of the Ordinance on Screening of the Reliability of Persons; no concerns about their employment shall exist, - be healthy, reliable and capable of coping with heavy workloads, - submit a declaration of secrecy with respect to official matters which shall be valid for a certain period of time and - sign an employment contract containing an obligation to offer delaying resistance. 4.2 Education and training of the physical protection service Within three years after employment the members of the physical protection service shall prove the successful conclusion - of an examination according to the Ordinance on the Examination Conferring the Title of an "Examined Security Professional" of August 20, 1982 (BGBl. I, p. 1232) - of a professional training as protection and safety officer according to the Ordinance of July 23, 2002 (BGBl.I, p. 2757), - of an examination of further training as "Examined protection and safety specialist", which has been performed by a Chamber of Industry and Commerce according to the core curriculum containing the educational objectives of the German Association of Chambers of Industry and Commerce of August 2005, or - of a qualification at least equivalent to these examinations with a conclusion in the area of protection and safety under public law. Management personnel of the physical protection service must be professionally experienced and be qualified for personnel management In addition, the members of the physical protection service shall, on account of the higher security requirements to be met by them, undergo a more comprehensive education and training, including education in the practical use of the intended firearms as far as the physical protection service is equipped with firearms. This training, which may also be attended without interrupting one's normal work, shall comprise in particular: - knowledge of the facility that is necessary for ensuring its security; - behavior during task missions in the case of attacks, in particular assessment of the necessity, appropriateness and reasonableness of delaying resistance in various situations; - the principles governing cooperation with the police force, tactical behavior, safeguarding of the scene of the crime, use of technical features; Page 2 of 7

5 - assessment and communication of hazard situations to the extent required for the physical protection service, taking into consideration the possible approaches and tactics of intruders; - the operation of the security features; - unarmed self-defense The education and further training for members of the physical protection service should be implemented in cooperation with the competent police authority; for this purpose, a regular exchange of information with the police force shall be ensured At least one further training event should be held every three months, including target practice and law classes Practical exercises shall be performed regularly Full particulars are regulated by the relevant guideline for training. 4.3 Exercises with the police Cooperation with the police force shall be practiced and strengthened by means of mutual exercises which also address the security features. The nuclear supervisory authority shall be notified well in advance of the planning and holding of these exercises. 5 Equipment of the physical protection service 5.1 All members of the physical protection service shall be provided with the same clothing which shall be suitable and weatherproof. Although the clothing should indicate that its wearers are members of the physical protection service, it is not intended to serve as a means of identification. When determining the clothing, care shall be taken to ensure that, as far as possible, any confusion with the uniforms of the police force of the federal states or the federation, as well as of the armed forces is ruled out. 5.2 Members of the physical protection service shall carry a pistol along with at least one spare magazine when performing surveillance duties (e.g. patrols), when checking persons and vehicles, when acting as escorts or when on duty within the permanent alert reinforcement, provided they perform duties outside the stand-by rooms. In the guard rooms, the pistols shall be ready for use permanently at the "man". For the service's own security and as a precaution against disturbances in the inner security area, pistols may also be held available in the physical protection center. The pistols and the ammunition for application shall correspond to the relevant actual Technical Guidelines "Pistol with caliber 9 mm x 19" and "Rounds 9 mm x 19, reduced toxic matter" of the Federal Police and the police of the federal states. For the reinforcement of the physical protection service in particular cases an additional armament beyond it may be necessary if the physical protection service can not act effective due to the site-specific circumstances in the case of demand and if this deficit can not be resolved using other measurements in an adequate manner. A decision thereof shall be taken by the competent authorities of the federal state if necessary with participation of the Federal Ministry competent for nuclear safety and radiation protection. - a signal transmitter (e.g. dead man's control) - a chemical mace Further equipment may include: - a truncheon - electric torches - optical observation equipment - guard and tracker dogs - a hand-held metal detector. First-aid equipment shall be available in the guard room. 5.4 Weapons and equipment shall be subjected to functional checks and maintenance at regular intervals. When members are off duty, firearms shall be unloaded and locked away in specially secured rooms or receptacles on the premises. Weapons and ammunition shall be stored in principle separately according to the Law on Arms. 5.5 When members are on duty, pistols shall be carried in a loaded and un-cocked state (round in the stock) with the equipment and/or mode for carrying. In corresponding situations involving an increased danger, the carrier shall decide himself to change the situation of the gun. 6 Engagement of security companies The applicant/licensee may entrust a security company with the duties of the physical protection service. In such a case, the applicant/licensee shall take immediate action to ensure the security of the facility if the security company violates its obligations in such a way that both the security and the protection of the facility may be jeopardized. The applicant's/ licensee's responsibility to take security measures to ensure the necessary protection against disturbances and other interference by third parties shall remain in full effect even if an outside security company is hired. Contracts with security companies for facilities shall include, among other things: - Agreements relating to the fulfillment of the demands contained in these Requirements or, if the licensee performs certain duties itself, the exact designation of the duties assumed and the obligation to increase, upon the licensee's request and at short notice, the number of the shift service personnel of the physical protection service in the case of a serious hazard situation or an imminent danger - Exact specification of the total number of personnel, the number of shift service personnel and the minimum number of the personnel of the physical protection service - Agreement on the delivery of the guard books - Mandatory reporting of unusual observations and occurrences directly to the physical protection officer of the facility - Obligation to keep secrecy - Clause enabling termination by the applicant/ licensee in the case of non-performance of the security contract. 7 Proofs Fulfillment of these Requirements shall be demonstrated to the competent licensing or supervisory authority, respectively. 5.3 In addition, when performing any of the duties listed in sections to above, members of the physical protection service shall carry - a walkie-talkie Page 3 of 7

6 8 Exemptions In substantiated exceptional cases, the licensing or supervisory authority may permit deviations from these Requirements provided the circumstances of the case in question justify such an approach. 9 Transitional provisions Members of the physical protection service who are employed when this Requirement enters into force do not require a proof of qualification to continue their activity. The requirements for the qualification of the personnel of the physical protection service shall apply to persons who start to fulfill their respective function as member of the physical protection service after this Requirement was announced. A transition period for the equipment of the members of the physical protection service with pistols and, if applicable for the reinforcement of the physical protection service, with additional weapons including the required training shall end at 24 months after the announcement of this Requirement. Annex The following mean number of the shift service personnel of the physical protection service is based on the security standard of a nuclear power plant; it is assumed that the required security measures are fulfilled to a far-reaching extent by the use of engineered security systems. Relieves and breaks have not been taken into consideration. The mean number of shift service personnel to be assumed for the performance of the following functions is 15 people: 1. Guard supervisor of the physical protection service 2. Physical protection center 3. Surveillance duties 4. Checks of persons and vehicles 5. Escort service 6. Permanent alert reinforcement The duties specified in Items 1, 2, 3 and 6 above shall be performed 24 hours a day. Outside normal working hours, the duties specified in Items 4 and 5 may be performed by a smaller number of personnel or may be waived. As the duties involved depend on the respective functions, the number of shift service personnel cannot be considered to be a minimum number; on the contrary, the number of shift service personnel may be decreased if operating personnel is entrusted with individual functions. With respect to the functions specified in Items 3 and 4, the number of shift service personnel can be influenced in particular by the engineered safety features and the administrative and/or organizational procedures employed at the facility concerned. II. Requirements Relating to Physical Protection Officers for Nuclear Facilities and Installations (Date: May 7, 2008) 1 Introduction 1.1 The Requirements shall apply to the physical protection officer in nuclear facilities as well as in nuclear installations with material of the category I according to INFCIRC/225/Rev. 4 (corrected). They shall be applied analogously at other nuclear facilities and installations with licenses pursuant to 5, 6, 7 and 9 of the Atomic Energy Act in relation to the requirements of security. 1.2 The licensee entrusts a physical protection officer with the duties which are incumbent on him and which relate to the security of the facility. The necessary powers shall be conferred upon this officer. 1.3 Only such persons may be appointed as physical protection officers who are authorized to deal with or manage or otherwise handle, in the course of business, classified matters up to and including the security grading SECRET and who have undergone a verification of the reliability according to provisions of the Ordinance on Screening of the Reliability of Persons. They must have acquired the expertise needed for their duties The appointment of the physical protection officer together with declaration of the duties and powers as well as of the necessary expertise and the sufficient authorization to have access to classified matters shall be provided for approval to the nuclear licensing or supervisory authority in advance. The same shall apply to all changes. 1.5 The internal decision-making sphere of the physical protection officer must be specified in such a way that the officer will not be impeded in the performance of his duties. 2 Duties 2.1 The physical protection officer shall be centrally responsible for compliance with the requirements of the security concept when security measures (planning, implementation, maintenance) are executed. He shall involve the other competent departments at required scale. He shall be entrusted with the following duties: - Participation in the planning of structures, plant components and technical security devices as well as in the planning and determination of alternative measures when failures or limited functions occur - Continuous checking of the facility for potential security-related dangers and, if necessary, initiation of suitable corrective action - Management and supervision of the physical protection service, including education and training - Preparation, updating and availability of the required physical protection documents - Provision of information and advice in security matters to members of the operating personnel - Initiation of reliability screenings - Development and updating of the regulations of access to the security areas - Cooperation with the competent authorities responsible for the security of facilities - Technical participation in the conclusion of contracts with outside security companies Page 4 of 7

7 2.2 The perception of the duties of physical protection shall not be impeded by duties unrelated to security. 3 Powers In order to enable the physical protection officer to perform his duties within the existing organization of the facility, the licensee shall entrust him with all necessary powers and rights of participation and shall make available to him the necessary personnel and equipment. This includes in particular: - the right of direct communication with the management board and plant management, - decisions on the right of access to the security areas if necessary in consultation with the plant management, - the necessary powers to issue instructions, to perform checks and to sign documents within the scope of his internal sphere of decision-making, - the provision of the necessary number of employees and the necessary material aids in order to perform his physical protection duties, - the right to participate in technical discussions concerning security-related decisions, especially with respect to the planning of construction work, the assignment of personnel and the conclusion of contracts with security companies, - negotiations with authorities with respect to securityrelated matters. All these persons must - have undergone official reliability screening, - have acquired sufficient knowledge of the technical features and physical layout of the facility, - be familiar with the security and protective measures to the extent required, - have been provided with the necessary powers. 5.3 The physical protection officer and his permanent deputy shall keep each other informed on a continuous basis. The other deputies shall be informed of the current tasks and problems to the extent required for the performance of their duties. 5.4 The nuclear licensing or supervisory authority shall be asked for approval of the entire deputization clauses as well as any changes of these clauses. 6 Exceptions In justified cases the nuclear licensing and supervisory authority may allow exceptions from this requirement if the circumstances of the corresponding case justify these exceptions. 4 Expertise The physical protection officer shall have acquired the expertise needed for his sphere of work. This includes in particular knowledge of - the acts, ordinances, decrees and guidelines which are essential for his work, and knowledge of the organization of the authorities, - the facility to the extent required with a view to security, - the possible modes of procedure and techniques in the field of security, - possible hazard situations as well as corresponding countermeasures, - the practices of security protection, - personnel management. Reference points for the temporal and functional complexity of the training in order to acquire the necessary expertise shall be issued by the competent Federal Ministry in coordination with the nuclear licensing and supervisory authority. 5 Deputization 5.1 The physical protection officer shall have at least one deputy who is able to take over his entire sphere of duties at any time (permanent deputy). The provisions applying to the physical protection officer shall also apply to the deputy. 5.2 As a provision for the case of the simultaneous absence of the physical protection officer and his permanent deputy from the facility, persons authorized to make decisions shall be assigned to act as deputies who can be reached 24 hours a day and will be on the premises after 60 minutes at the latest; for urgent measures which cannot be delayed, a person on the premises shall be appointed and authorized to initiate these measures. Page 5 of 7