Escorting Responsibilities Module 80111 Rev. F1
ISMS • The Integrated Safety Management System (ISMS) is a systematic, common sense approach to working safely. The objective of ISMS is to integrate working safely into management and work practices at all levels, addressing all types of work and all types of hazards to ensure safety for the workers, the public, and the environment. ISMS integrates working safely into planning and execution of work.
Purpose • This training will define the security requirements for escorting uncleared individuals at the formerly operating Portsmouth Gaseous Diffusion Plant (PORTS), U.S. Department of Energy (DOE) facility.
Scope • This training applies to all PORTS DOE contractor and subcontractor personnel who hold a DOE access authorization (clearance) whose responsibility is to escort uncleared personnel inside the Limited Area (LA) and/or Controlled Access Area (CAA). • The Atomic Energy Act of 1954 section 234B authorizes the U.S. Department of Energy to take regulatory actions under Title 10 C.F.R. Part 824, Procedural Rules for the Assessment of Civil Penalties for Classified Information Security Violations against DOE contractors for violations of classified information security requirements. DOE’s Enforcement Program encourages Departmental contractors to identify and correct classified information security deficiencies at an early stage, before they contribute to, or result in more serious events. Criminal and/or civil penalties (fines) not to exceed $110,000 per offense, per day may be levied against violators.
Objectives • Identify escort qualifications • Define escort responsibilities • Transferring escort responsibility • Reporting security incidents
Supporting Documents • FSS-1300, Record Life Cycle and Retrieval • FSS-4330, Reporting Security Incidents and Conducting Inquiries into Incidents of Security Concern
Escort Qualifications • The following qualifications must be met prior to escorting: • Must complete the Comprehensive Security Briefing • Must possess the appropriate security clearance
Escort and Escorted Individual • Have the need-to-know (operational necessity to perform job related duties) prior to entering a security area.
Escort Responsibilities • Ensure that appropriate measures are taken to prevent a compromise of classified matter and/or Special Nuclear Material (SNM). • Escorts are required to be knowledgeable of the security area NOTE: Escorts cannot participate in any work, training, or activity that might mitigate the continuous site, sound, and physical control required for escorting. • Maintain continuous site (line of sight) and sound (of unaided voice) and physical control of escorted individual(s). • Ensure that escorted individual has a need-to-know for the security area or the Safeguards and Security (S&S) interests.
Escort Responsibilities NOTE: Standard site escort ratio is five uncleared individuals to one cleared escort (5:1). Non-standard ratios may be approved for certain security areas and/or projects by the Wastren-EnergX Mission Support, LLC, WEMS Security Manager and/or designee. • Verify and maintain escort ratios. • Prominently display the “yellow” escort badge on outer most garment, above the waist and below the neck, identifying that an individual is being escorted. • The “yellow” escort badges can be issued at the WEMS Security Office or at most guard portals • Do not display the “yellow” escort badge unless actively performing escort duties
Escort Responsibilities • Prior to escorting, verbally challenge escorted individual(s) on whether they possess any controlled or prohibited articles (e.g. camera cell phones, thumb drives, alcohol, etc.). • Ensure full compliance with site specific security requirements, security plans, and procedures.
Escort Responsibilities • Ensure that escorted individual(s) enter only areas that have been authorized. • Approved by WEMS Security Office by enrollment of individual’s badge in the Modular Access Control (MAC) System or by placement on the Electronic Access Authorization List (EAAL) • Notify the facility manager that an escorted individual will be in the facility • Review applicable security plans • Confirm that there is no potential for classified matter, special nuclear material, or sensitive activities to be disclosed • Confirm that building personnel have been informed of the presence of an escorted individual
Transferring Escort Responsibility Escorts: • Ensure that the new escort meets all of the qualifications listed in Section A of FSS-4251 Escorting Responsibilities. • Ensure that the new escort “accepts” the escort responsibilities: • Introduce the escort and escorted individual to each other • Transfer “yellow” escort badge.
Transferring Escort Responsibility New Escort: • Follow escort responsibilities in Section B of FSS-4251 Escorting Responsibilities. B
Reporting Security Incidents Escort: • In the event that an incident of security concern (IOSC) occurs, immediately report to the WEMS Security Manager and/or designee, or contact the WEMS Security Office at (740) 897-3430. • Reference FSS-4330, Reporting Security Incidents and Conducting Inquiries into Incidents of Security Concern. • If unable to contact WEMS Security, contact the Plant Shift Superintendant (PSS) at (740) 897-3025.
Reporting Security Incidents • In case of emergency, dial911 on any plant phone to reach the PSS, protective force, or fire protection service. • When using a cellular phone, dial 740-897-2444. Dialing 911 on a cell phone will connect you to the local law enforcement authorities and would significantly delay response times.
Records • Records generated or received must be submitted to WEMS Records Management and Document Control for records retention and disposition according to FSS-1300, Record Life Cycle and Retrieval. WEMS employees and contractors must not conceal or destroy any information, including non-compliance or potential non-compliance records.
Source Documents • DOE O 471.6, Admin Ch. 1, Information Security • DOE O 472.2, Personnel Security • DOE O 473.3, Protection Program Operations • FSS-4201, Visitor Control • FSS/PORTS-73/R2, Safeguards and Security Plan for the Portsmouth Gaseous Diffusion Plant, Piketon, Ohio • 10 CFR 824, Procedural Rules for the Assessment of Civil Penalties for Classified Information Security Violations
Definitions/Acronyms • Access Authorization (Security Clearance)- An administrative determination that an individual is eligible for access to classified matter or special nuclear material on a “need-to-know” basis. • Controlled Access Area (CAA)- A security area regulated by the Nuclear Regulatory Commission equivalent to a DOE Limited Area. • Classified Information- Information, either Restricted Data or National Security Information, which must be safeguarded in the interests of national security or foreign relations of the U.S. • Classified Matter- Documents or materials containing classified information. • CMPC- Classified Matter Protection and Control • DOE- U.S. Department of Energy • Escort- An authorized individual assigned the responsibility to monitor persons who have a “need-to-know” but do not have the appropriate clearance for access authorization within security area in order to prevent these persons from accessing classified matter and to ensure adherence to security measures. Escorting may be accomplished by a combination of direct accompaniment, video surveillance, monitored physical barriers, or other equivalent methods as determined by WEMS Security to be appropriate for the situation. At PORTS this is normally accomplished by maintaining uncleared individuals under continuous sight and sound, and physical control.
Definitions/Acronyms • EAAL- Electronic Access Authorization List • FSS- Facility Support Services • IOSC- Incident of Security Concern • Limited Area (LA)- An area designated for the protection of classified matter and/or Category III quantities of SNM. • M- Manual • MAC- Modular Access Control • “Need-to-Know”- A determination, by an individual having responsibility for classified information, that a proposed recipient’s access to such information or matter is necessary in the performance of official or contractual duties of employment. “Need-to-Know” should be limited as much as possible, and mere curiosity never qualifies as “Need-to-Know”.
Definitions/Acronyms • Physical Control- Physical control involves the application of both administrative controls (uninterrupted visual observation of all available ingress and egress paths) and physical barriers (walls, ceilings or other barriers) which in combination govern the areas in which the escorted individual may have access and thus the site interests that may be accessible to the escorted individual. • PSS — Plant Shift Superintendant • PORTS — Portsmouth Gaseous Diffusion Plant • SNM — Special Nuclear Materials • S&S — Safeguards and Security • WEMS — Wastren-EnergX Mission Support, LLC
Examination • Prepare for the exam