INDEX
CHAPTER III
MATERIALS CONTROL
1. GENERAL. This chapter describes the requirements for material control.
The chapter is subdivided into four functional performance areas:
access controls, material surveillance, material containment, and
detection/assessment. The graded materials control program shall be
formally documented in the Materials Control and Accountability Plan.
Requirements for the control of special nuclear material are stated in
both DOE 5632.1C and this Order. Some requirements stated are in one
Order but not both. All requirements shall be met regardless of the
Order in which they appear.
2. ACCESS CONTROLS. Each facility shall have a graded program for
controlling personnel access to: nuclear materials; nuclear materials
accountability, inventory, and measurement data; and data generating
equipment and other items/equipment where misuse or tampering could lead
to compromise of the safeguards system. The graded access control
system shall consider the quantity and attractiveness of the material in
the area and impacts of threats, as well as other control systems that
are in place and which may mitigate these threats. These access
controls may range from extensive and complex access control systems for
Category IA areas and materials to simple administratively controlled
access systems for Category IV areas. For facilities that have Category
III and IV areas containing Attractiveness Level B and C material
outside of a Protected Area, the facility's management shall assure that
these areas do not possess a Category I or II quantity of special
nuclear material unless a vulnerability assessment demonstrates that an
unauthorized accumulation of a Category I quantity of material from
these facilities is not credible. Personnel security assurance programs
shall be used as a component in the prevention of the theft or diversion
of special nuclear material and shall be considered in assessments of
vulnerability related to theft of Category I quantities of special
nuclear material. Testing of access control systems and procedures
shall be conducted according to testing methodology, testing frequency,
and record maintenance requirements contained in DOE 5630.16A and
applicable Departmental guidance. Performance requirements for access
controls are contained on page I-10, paragraph 4.
a. Materials Access. Each facility shall have a documented program to
ensure that only properly authorized personnel have access to
nuclear materials. This program shall address procedures and
mechanisms to detect/respond to access by unauthorized personnel.
In order to minimize the potential for unauthorized access to
nuclear material, the amount of material in use shall be limited to
that necessary for operational requirements, and excess material
shall be stored in repositories or kept in enclosures designed to
assure that access will be limited to authorized individuals. See
DOE 5632.1C for additional access control and storage requirements
for special nuclear material and DOE M 5632.1C-1, MANUAL FOR
PROTECTION AND CONTROL OF SAFEGUARDS AND SECURITY INTERESTS, for
access authorization requirements for special nuclear material
categories.
b. Data Access. Each facility shall have a graded program to assure
that only authorized persons have the ability to enter, change, or
access material control and accountability data and information.
c. Equipment Access. Each facility shall have a graded program to
control access to data-generating and other equipment used in
material control activities, thereby assisting in providing
assurance of the integrity of equipment and data used for material
control. Such equipment includes measurement equipment, data
recording devices, and tamper-indicating devices. An access
control program comparable to that required for classified computer
systems may be required if such controls are necessary to assure
the integrity of the data system.
d. Other Considerations. Access controls similar to those described
in paragraphs 2b and c above shall be designed to protect against
data/equipment falsification or manipulation and shall detect
unauthorized activities during emergency or other unusual
conditions.
e. Unclassified Computer Systems. Where materials control and
accountability data and data-generating equipment involve
unclassified computer systems, these systems shall meet the
requirements of DOE 1360.2B, UNCLASSIFIED COMPUTER SECURITY
PROGRAM.
3. MATERIAL SURVEILLANCE. Each facility's management shall establish a
graded surveillance program for monitoring nuclear materials and
detecting unauthorized activities or anomalous conditions and for
reporting material and facility status. The objective is the detection
and assessment of conditions that may adversely affect safeguards, e.g.,
to detect anomalies and to report alarm conditions. The surveillance
program shall address both normal and emergency conditions, and shall
provide for periodic testing. Testing for material surveillance systems
and procedures shall be planned and documented in accordance with DOE
5630.16A. Performance requirements for material surveillance of
Category I and II quantities of special nuclear material are contained
on page I-10, paragraph 4.
a. Material Surveillance Mechanisms. Specific material surveillance
methodologies may include the following:
(1) Automated means (e.g., monitoring devices, sensors or other
instrumentation) to detect anomalies and to report alarm
conditions.
(2) Visual surveillance/direct observation (e.g., two-person rule,
monitoring by external personnel) to provide assurance that
only authorized activities occur and to assess special nuclear
material movements or inventory status. Visual surveillance
requires reasonable assurance that activities are observable
and that the observer will recognize, correctly assess and
report activities that are unauthorized or are inconsistent
with established safeguards requirements. There shall be
documented procedures for implementing the two-person rule.
(3) Process logs, inventory records, or other information to
indicate anomalies and trigger investigatory actions.
b. Material Surveillance Programs. Surveillance procedures shall
describe the methodologies and operational/control points on which
the program is based and shall provide for investigation,
notification, and reporting of anomalies. Alternatives to the
material surveillance requirements specified below may be approved
in accordance with DOE 5630.11B for facilities that rely primarily
on other materials control and accountability and/or security
measures.
(1) Category I and II. The material surveillance program for
Category I and II quantities of special nuclear material shall
assure that materials are in authorized locations and shall
detect unauthorized material flows and transfers. Evaluations
of Category I locations shall be performed to determine system
capabilities to assess material losses from Materials Access
Area and Protected Area boundaries. Evaluations of Category
II locations shall be performed to determine system
capabilities to assess material losses from the Protected Area
boundary. Material surveillance procedures for all areas
having Category I or II quantities of special nuclear material
shall include the following:
(a) Only appropriately authorized and knowledgeable personnel
(i.e., individuals who are capable of detecting incorrect
or unauthorized actions) shall be assigned responsibility
for surveillance of special nuclear material.
(b) Controls shall be sufficient to ensure that one
individual cannot gain access to a secure storage area.
(c) Procedures to ensure constant surveillance of all persons
in secure storage areas (e.g., two-person rule or
equivalent surveillance procedures) shall be in effect at
any time the storage area is not locked and protected by
an active alarm system.
(d) Surveillance shall be sufficient to ensure that
unauthorized or unaccompanied authorized personnel cannot
enter the storage area undetected when the door is
unlocked or open.
(e) When two persons are assigned responsibility for
maintaining direct control of the item(s) outside an
alarmed storage area within a Materials Access Area or
Protected Area, either the two authorized persons shall
be physically located such that they have an unobstructed
view of the item(s) and can positively detect
unauthorized or incorrect procedures, or there shall be a
system of hardware, procedures, and administrative
controls sufficient to ensure no unauthorized
accumulation of a Category I quantity without timely
detection.
(f) Special nuclear material in use or process shall be under
material surveillance procedures, under alarm protection,
or with the approval of responsible Heads of Field
Elements, protected by alternative means which can be
demonstrated to provide equivalent protection.
(2) Category III. The material surveillance program for Category
III quantities shall assure that when materials are not in
locked storage, they are attended, are in authorized
locations, and are not accessed by unauthorized persons.
(3) Category IV. The material surveillance program for Category
IV quantities shall be site-specific and approved by the
Manager, Operations Office.
4. MATERIAL CONTAINMENT. Each facility shall have a documented program to
provide controls for nuclear materials operations relative to Materials
Access Areas, Protected Areas, Materials Balance Areas, other authorized
storage repositories, and processing areas.
a. Materials Access Area and Protected Area. The facility shall have
controls to assure that Category I quantities of special nuclear
material are used, processed or stored only within a Materials
Access Area contained in a Protected Area and that Category II
quantities of special nuclear material are used, processed, or
stored only within a Protected Area. The containment program
shall:
(1) Be formally documented;
(2) Comply with the graded safeguards concept;
(3) Identify authorized activities and locations for nuclear
materials;
(4) Identify mechanisms used to detect unauthorized activities;
(5) Identify material types, forms, and amounts authorized to be
removed from the Materials Access Area or Protected Area;
(6) Identify containment controls for normal and emergency
conditions; and
(7) Require a periodic audit of the containment program to ensure
compliance and system effectiveness.
b. Materials Balance Area. Each facility shall have controls to
ensure that nuclear materials used, processed, or stored within a
Materials Balance Area are controlled in accordance with the graded
safeguards concept. Additionally, these controls shall ensure that
materials are removed only via authorized pathways/portals and are
subject to transfer and verification procedures as identified on
page II-11, paragraph 5. The controls for Materials Balance Areas
shall:
(1) Be formally documented;
(2) Identify geographical boundaries and functions of the
Materials Balance Areas;
(3) Identify material types, forms, and quantities permitted in
each Materials Balance Area;
(4) Describe the administrative controls for each Materials
Balance Area;
(5) Define custodial responsibilities for nuclear materials
contained within a Materials Balance Area;
(6) Identify personnel authorized to receive/ship nuclear
material;
(7) Identify the material flows into and out of the Materials
Balance Area;
(8) Ensure that material transfer procedures are followed; and
(9) Ensure that material quantities transferred across Materials
Balance Area boundaries are based on measured values
consistent with page II-16, paragraph 5b(5).
c. Storage Repositories. The facility shall have controls for nuclear
materials held in storage repositories consistent with the graded
safeguards concept. The controls for storage repositories are
contained in DOE M 5632.1C-1.
d. Processing Areas. The facility shall have controls for nuclear
materials being used or stored in processing areas. The controls
for in-process areas shall:
(1) Be formally documented;
(2) Describe activities and locations for storing material;
(3) Identify components used to detect unauthorized activities or
conditions;
(4) Include procedures for moving material into or out of the
processing area;
(5) Describe control procedures for both normal and emergency
conditions;
(6) Describe response actions to be taken in abnormal situations;
and
(7) Provide for audit of the processing controls on a periodic
basis to assure system effectiveness.
5. DETECTION/ASSESSMENT. Each facility shall have the capability to detect
and assess the unauthorized removal of nuclear materials, consistent
with the graded safeguards concept. The system shall be interfaced with
the facility's physical protection and other organizational systems, as
appropriate, and shall be able to detect removal of special nuclear
material from its authorized location (theft/diversion/errors) and
provide notification to the protective force and other organizations to
respond when such events are detected.
a. Tamper-Indicating Devices. The reliance on tamper-indicating
devices as a safeguards measure is directly dependent on the
environment in which the tamper-indicating device resides and the
material being tamper-safed. Each facility shall have a documented
program, administered by the materials control and accountability
organization, for control of tamper-indicating devices and to
assure that tamper-indicating devices are used to the extent
possible to detect violations of container integrity. DOE-wide
standardized tamper-indicating devices should be used when
available through DOE standardized procurement (see DOE 5630.17,
SAFEGUARDS AND SECURITY (S&S) STANDARDIZATION PROGRAM). Testing of
tamper-indicating device integrity, location, and application and
the tamper-indicating device record system shall be conducted
according to testing methodology, testing frequency, and record
maintenance requirements contained in DOE 5630.16A and applicable
Departmental directives and guidance. Performance requirements for
tamper-indicating devices are contained on page I-10, paragraph 4,
of this Order. The "Safeguards Seal Reference Manual," issued by
Office of Safeguards and Security, can facilitate in the selection,
application, and verification of tamper-indicating devices. The
tamper-indicating device control program shall specify, as a
minimum, the following elements:
(1) Acquisition/procurement/destruction;
(2) Types of tamper-indicating devices utilized;
(3) Assurance of unique tamper-indicating devices identification;
(4) Storage;
(5) Issuance;
(6) Personnel authorized to apply, remove, and dispose of
tamper-indicating devices;
(7) Containers on which tamper-indicating devices are to be
applied;
(8) Procedures for application of tamper-indicating devices;
(9) Frequency and method of tamper-indicating devices
verification;
(10) Response procedures for tamper-indicating devices violations;
(11) Assurance that tamper-indicating devices cannot be reused
after violation;
(12) Frequency and method of internal program audits; and
(13) Procedures for reporting tamper-indicating device violations.
b. Portal Monitoring. The minimum portal monitoring requirements are
in DOE 5632.1C. In addition to those requirements, the detection
level of the monitors shall be based upon detection of the typical
special nuclear material product in the area and the credible
number of removals associated with theft of a Category I quantity
of material. All detectors and related calibration standards shall
be maintained and controlled to ensure that portal monitors are
capable of meeting detection requirements. Periodic performance
testing of portal monitors shall be conducted in accordance with
page I-10, paragraph 4b. Planning and documentation of performance
testing shall meet the requirements of DOE 5630.16A. Performance
requirements for portal monitors (both special nuclear material and
metal) are contained on page I-10, paragraph 4. Controls shall be
established to prevent unauthorized access to portal monitor
instrumentation and cabling. A written response plan shall be
prepared and implemented to provide evaluation and resolution of
all alarm conditions, including requirements for notification in
accordance with DOE 5000.3B (and the requirements contained on page
I-13, paragraph 5,) in the event of unresolved alarms or malevolent
actions. Controls shall be established to ensure detection
capabilities during emergency conditions.
c. Waste Monitors.
(1) For purpose of detecting the theft or diversion of special
nuclear material, all liquid, solid, and gaseous waste streams
leaving an Materials Access Area shall be monitored for
special nuclear material. (Additional monitoring may be
required for environmental or waste management purposes. The
additional monitoring should be performed in accordance with
applicable environmental and waste management regulations.)
Monitoring instrumentation may be semi-quantitative, provided
that the monitors used are capable of detecting gamma/neutron
radiation characteristics of the specified material type. The
facility's waste monitoring equipment shall be maintained and
controlled to ensure that the equipment is capable of
detecting specified amounts of special nuclear material.
Instrumentation used to monitor waste and equipment removed
from a Materials Access Area must be able to detect, in
combination with other detection elements, the removal of a
Category I quantity of special nuclear material through a
credible theft or diversion scenario.
(2) A response plan for evaluating and resolving situations
involving any discharge exceeding facility-specific limits
approved by the Manager, Operations Office, shall be
established and implemented. The plan shall provide for
reporting in accordance with DOE 5000.3B and the requirements
contained on page I-13, paragraph 5 of this Order, if the
situation is not satisfactorily resolved or if there is an
indication of malevolent action.
d. Daily Administrative Checks. A facility-specific daily
administrative checks program shall be implemented for each
Category I Materials Balance Area (or multiple Materials Balance
Areas where rollup to a Category I quantity of special nuclear
material is credible). The scope and extent of the checks shall be
determined and approved by the Operations Office based upon
recognized vulnerabilities. The administrative checks program
shall specify the detection objectives, performance procedures,
documentation requirements, and response actions.
e. Other Detection/Assessment Mechanisms. For each facility, systems
capable of detecting and/or assessing special nuclear material
removals shall be established consistent with the loss detection
elements evaluation requirements on page I-10, paragraph 4.
Detection/assessment mechanisms may be based on item
identification, number of items, verification of intact
tamper-indicating devices, confirmation that no access has
occurred, process monitoring, near-real time accountability,
control procedures for use and movement of material, or any other
approved technique for identifying anomalies. These monitoring and
control systems shall provide sufficient information to correctly
assess the alarm, localize the removal, and estimate the quantity
and form of the diverted or stolen material.