Attachment 0011 DoDM 5100.76, April 17, 2012, No Restrictions.pdf

Department of Defense

MANUAL

NUMBER 5100.76

April 17, 2012

Incorporating Change 1, Effective May 8, 2018

USD(I)

SUBJECT: Physical Security of Sensitive Conventional Arms, Ammunition, and Explosives

(AA&E)

References: See Enclosure 1

1. PURPOSE. This Manual:

a. Reissues DoD 5100.76-M (Reference (a)) in accordance with the authority in DoD

Directive 5143.01 (Reference (b)) and DoD Instruction 5100.76 (Reference (c)) to prescribe minimum standards and criteria for the physical security of DoD sensitive conventional AA&E in the custody of any DoD Component, DoD contractor, and foreign military sales (FMS) or security cooperation (SC) programs.

b. Establishes requirements to protect sensitive conventional AA&E stored at DoD and DoD contractor AA&E activities adequately during peacetime conditions.

2. APPLICABILITY. This Manual:

a. Applies to:

(1) OSD, the Military Departments, the Office of the Chairman of the Joint Chiefs of

Staff and the Joint Staff, the Combatant Commands, the Office of the Inspector General of the

Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD (hereinafter referred to collectively as the “DoD

Components”).

(2) Sensitive conventional AA&E designated Security Risk Categories (SRC) I-IV and uncategorized (CAT-U) AA&E as described and categorized in this Manual, at AA&E facilities and installations. It also applies to the storage and transportation of classified SRC I-IV AA&E in accordance with DoD 5200.1-R DoD Manual 5200.01 (Reference (d)).

DoDM 5100.76, April 17, 2012

Change 1, 05/08/2018 2

b. Does NOT apply to:

(1) Nuclear weapons.

(2) Devices charged with chemical agents, except as specified in this Manual.

(3) Blank, inert training ammunition, or rim-fire ammunition.

(4) AA&E aboard USS and USNS vessels.

(5) Non-lethal ammunition and other inert, non-explosive munitions items not categorized as SRC III or IV.

(6) Liquid pepper spray used for law enforcement or security that is available as a commercial off-the-shelf product.

(7) Demilitarized weapons, which shall be secured as the DoD Components direct.

(8) Commercially procured SRC III and IV AA&E while at a commercial production facility; however, when such items are placed in transit to a DoD activity, all pertinent requirements of Enclosure 10 of this Manual apply.

3. DEFINITIONS. See Glossary.

4. POLICY. It is DoD policy in accordance with Reference (c) that the security of sensitive conventional AA&E is of the highest importance to the Department of Defense. If AA&E is compromised, sabotaged, stolen, misused, or vulnerable to malicious mischief or acts of terrorists, subversives, criminal elements, or willful interference, it has the potential to jeopardize the safety and security of personnel, activities, missions, and installations worldwide.

Continuous program and policy oversight is required to ensure protection of AA&E within the

Department of Defense.

5. RESPONSIBILITIES. See Enclosure 2.

6. PROCEDURES. See Enclosures 3 through 11.

7. INFORMATION REQUIREMENTS. The response reporting requirements referenced in section 2 of Enclosure 2, section 10 of Enclosure 3, and section 3 of Enclosure 11 does not require licensing with a report control symbol in accordance with Paragraph 9 of Volume 1 of

DoD Manual 8910.01 are exempt from licensing in accordance with paragraph C4.4.7. of DoD

Change 1, 05/08/2018 3

8910.1-M DoD Manual 8910.01 (Reference (e)) and section 5 of Enclosure 11 is exempt from licensing in accordance with Pparagraph 8 C5.5.2.2. of Reference (e).

8. RELEASABILITY. UNLIMITED. This Manual is approved for public release and is available on the Internet from the DoD Issuances Website at http://www.dtic.mil/whs/directives.

Cleared for public release. This manual is available on the Directives Division Website at http://www.esd.whs.mil/DD/.

9. EFFECTIVE DATE. This manual is effective April 17, 2012.

a. This DoDM is effective upon its publication to the DoD Issuances Website.

b. If this DoDM is not otherwise reissued or cancelled in accordance with DoD Instruction

5025.01 (Reference (f)), it will expire effective April 17, 2022 and be removed from the DoD

Issuances Website.

Enclosures

1. References

2. Responsibilities

3. Guidance

4. Physical Security Planning

5. Protection of Arms

6. Protection of Missiles, Rockets, and All SRC of A&E

7. Sensitive Conventional AA&E SRC

8. Inventory, UII Registration, Disposal, and DEMIL

9. Physical Security of AA&E at Contractor Facilities

10. AA&E Transportation Security

11. Reports, Investigative Aids, and Disposition of Records

Glossary

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TABLE OF CONTENTS

ENCLOSURE 1: REFERENCES

ENCLOSURE 2: RESPONSIBILITIES

UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE (USD(I))

DIRECTOR, DEFENSE SECURITY SERVICE (DSS)

INSPECTOR GENERAL OF THE DEPARTMENT OF DEFENSE (IG DoD)

HEADS OF THE DoD COMPONENTS POSSESSING AA&E

ENCLOSURE 3: GUIDANCE

GENERAL

PHYSICAL SECURITY DEVIATIONS

SECURITY OF AA&E DURING TRAINING, IN MUSEUMS, AND ABOARD

PLATFORMS

INSPECTIONS AND AUDITS

PROHIBITIONS

INVESTIGATIONS

TRAINING

SUITABILITY AND SCREENING FOR ACCESS TO AA&E

LAUTENBERG AMENDMENT

AA&E CONTRACT REQUIREMENTS

ENCLOSURE 4: PHYSICAL SECURITY PLANNING

GENERAL

COORDINATION

CONTINGENCY PLANS

SECURITY THREATS

IMPLEMENTATION OF SECURITY PLANS

INTRUSION DETECTION SYSTEMS (IDS)

SECURITY FORCES

RESTRICTED AREA POSTING

ACCESS CONTROL

KEY, COMBINATION, AND LOCK CONTROL

SECURITY SEALS

ENCLOSURE 5: PROTECTION OF ARMS

GENERAL

STORAGE AND SUPPLEMENTAL CONTROLS

ARMS PARTS

FACILITIES LOCATED OUTSIDE A MILITARY INSTALLATION

ISSUANCE OF ARMS

Change 1, 05/08/2018 CONTENTS 5

PERSONALLY RETAINED FIREARMS

PRIVATELY OWNED WEAPONS

CONTRACT GUARD WEAPONS AND AMMUNITION

FACILITY CONSTRUCTION CRITERIA

ENCLOSURE 6: PROTECTION OF MISSILES, ROCKETS, AND ALL SRC OF A&E

GENERAL

BULK STORAGE AREAS (MUNITIONS SUPPLY POINTS/STORAGE AREAS)

PERIMETERS, OPENINGS, AND FENCING (SRC I AND II A&E)

EXTERIOR LIGHTING

COMMUNICATIONS

UNIT LEVEL (BASIC LOAD QUANTITIES OR QUANTITIES SUFFICIENT FOR

TRAINING AND OPERATIONAL PURPOSES)

INTRUSION DETECTION (BULK STORAGE AND UNIT LEVEL)

ENCLOSURE 7: SENSITIVE CONVENTIONAL AA&E SRC

GENERAL

MISSILES, ROCKETS, AND A&E

ARMS

CAT-U

COMPUTATION OF SRC

SRC TABLES

ENCLOSURE 8: INVENTORY, UII REGISTRATION, DISPOSAL, AND DEMIL

GENERAL

PHYSICAL INVENTORY CONTROL PROCEDURES

INVENTORY ADJUSTMENTS

DISPOSAL AND DEMIL

INVENTORY WHEN CUSTODY OF KEYS TO UNIT LEVEL ARMS STORAGE

FACILITIES IS TRANSFERRED

PERSONNEL

ENCLOSURE 9: PHYSICAL SECURITY OF AA&E AT CONTRACTOR

FACILITIES

GENERAL

CONTRACTOR-OWNED AA&E PRODUCTION AND STORAGE FACILITIES ..……..50

FACILITY CONSTRUCTION

CONTRACTOR FACILITY SUITABILITY DETERMINATION

ADDITIONAL PROTECTIVE MEASURES

AA&E PRODUCTION LINE SECURITY

IN-TRANSIT SECURITY

CLASSIFIED AA&E

Change 1, 05/08/2018 CONTENTS 6

ACCOUNTABILITY

DISPOSAL AND DEMIL OF AA&E

ARMS PARTS

INCIDENT REPORTS

PHYSICAL SECURITY DEVIATIONS

STANDING PRACTICE PROCEDURES (SPP)

APPENDIX:

AUTHORITY AND CONTRACT CLAUSES RELATING TO DoD AA&E

ENCLOSURE 10: AA&E TRANSPORTATION SECURITY

GENERAL

TASKS

STANDARDS

SPECIAL CONSIDERATIONS FOR SRC I ITEMS

SPECIAL CONSIDERATIONS FOR WATER SHIPMENTS

SPECIAL CONSIDERATIONS FOR SMALL QUANTITY SHIPMENTS

SECURITY OF COMMERCIAL SHIPMENTS TEMPORARILY

AT DoD INSTALLATIONS AND ACTIVITIES

OVERSEAS IN-THEATER MOVEMENTS

AA&E SHIPMENTS FROM DEFENSE CONTRACTORS

FMS

TABULAR DISPLAY OF IN-TRANSIT SECURITY REQUIREMENTS

APPENDIX:

PHYSICAL SECURITY OF AA&E AT MILITARY TERMINALS

ENCLOSURE 11: REPORTS, INVESTIGATIVE AIDS, AND DISPOSITION OF

RECORDS

GENERAL

INCIDENT REPORTS TO THE DoD COMPONENTS

INCIDENT REPORTS TO THE OFFICE OF THE SECRETARY OF DEFENSE

DoD COMPONENT RECORDS

OTHER REQUIRED REPORTING

GLOSSARY

PART I: ABBREVIATIONS AND ACRONYMS

PART II: DEFINITIONS

TABLES

1. Key, Lock, and Combination Storage

2. Utility Risk Factor Values

Change 1, 05/08/2018 CONTENTS 7

3. Casualty or Damage Risk Factor Values

4. Adaptability Risk Factor Values

5. Portability Risk Factor Values

6. Risk Factor Number Values and SRC Conversion

FIGURE

Sample Generic Transportation Plan for the Transfer of AA&E

Change 1, 05/08/2018 ENCLOSURE 1 8

ENCLOSURE 1

REFERENCES

(a) DoD 5100.76-M, “Physical Security of Sensitive Conventional Arms, Ammunition, and

Explosives,” August 12, 2000 (hereby cancelled)

(b) DoD Directive 5143.01, “Under Secretary of Defense for Intelligence (USD(I)),”

November 23, 2005

(b) DoD Directive 5143.01, “Under Secretary of Defense for Intelligence (USD(I)),” October

24, 2014, as amended

(c) DoD Instruction 5100.76, “Safeguarding Conventional Arms, Ammunition, and Explosives

(AA&E),” May 20, 2010 February 28, 2014

(d) DoD 5200.1-R, “Information Security Program,” January 14, 1997

(d) DoD Manual 5200.01, “DoD Information Security Program,” February 24, 2012, as amended

(e) DoD 8910.1-M, “Department of Defense Procedures for Management of Information

Requirements,” June 30, 1998

(e) DoD Manual 8910.01, “DoD Information Collections Manual,” June 30, 2014, as amended

(f) DoD Instruction 5025.01, “DoD Directives Program,” October 28, 2007

(gf) DoD 5200.08-R, “Physical Security Program,” April 9, 2007, as amended

(hg) DoD Instruction 6055.16, “Explosives Safety Management Program,” July 29, 2008, as amended

(ih) DoD 6055.09-M, “DoD Ammunition and Explosives Safety Standards,”

February 29, 2008, as amended

(ji) Defense Transportation Regulation 4500.9-R, “Defense Transportation Regulation, Part II, Cargo Movement,” June 20081

(kj) DoD 4145.26-M, “DoD Contractor’s Safety Manual for Ammunition and Explosives,”

March 13, 2008

(l) DoD 4140.1-R, “DoD Supply Chain Materiel Management Regulation,” May 23, 2003

(k) DoD Manual 4140.01, “DoD Supply Chain Materiel Management Procedures,” date varies by volume.

(ml) Military Handbook 1013/1A, “Design Guidelines for Physical Security of Facilities,”

December 15, 19932

(n) DoD 5200.2-R, “Personnel Security Program,” January 1987

(m) DoD Manual 5200.02, “Procedures For The DoD Personnel Security Program (PSP),”

April 3, 2017

(on) DoD 5220.22-M, “National Industrial Security Program Operating Manual,”

February 1, 2006, as amended

(po) Section 922(g) of title 18, United States Code

(qp) DoD Instruction 6400.06, “Domestic Abuse Involving DoD Military and Certain Affiliated

Personnel,” August 21, 2007, as amended

1 http://www.transcom.mil/dtr/part-ii/ 2 Authorized users only at: https://osdext.osd.mil/sites/ousdi/j_cws/psd/Shared%20Documents/DoD%205100.76-

M%20References/Ref_K.pdf

Change 1, 05/08/2018 ENCLOSURE 1 9

(r) DoD Instruction 6055.17, “DoD Installation Emergency Management (IEM) Program,”

January 13, 2009

(q) DoD Instruction 6055.17, “DoD Emergency Management (EM) Program,” February 13,

(sr) Unified Facilities Criteria 4-021-02NF, “Security Engineering Electronic Security

Systems,” September 27, 2006, as amended3

(ts) Unified Facilities Guide Specification Division 28, Section 28 20 01.00 10, “Electronic

Security System,” October 20074

(ut) Underwriters Laboratories Inc., Standard for Safety, UL-2050, “National Industrial

Security Systems,” August 10, 2003, www.ul.com5

(vu) Federal Information Processing Standards Publication 140-2, “Security Requirements for

Cryptographic Modules,” May 25, 20016

(wv) Section 797 of title 50, United States Code

(xw) DoD Instruction 5200.08, “Security of DoD Installations and Resources and the DoD

Physical Security Review Board (PSRB),” December 10, 2005, as amended

(yx) Federal Specification AA-F-363D, “Filing Cabinet, Security, Maps and Plans, General

Filing, and Storage,” June 1 20017

(zy) Federal Specification AA-F-358J, “Filing Cabinet, Legal and Letter Size, Uninsulated, Security,” November 2, 20108

(aa) Federal Specification AA-C-2859, “Cabinet, Security, Weapons Storage,” April 20, 20079

(ab) Federal Specification FF-L-2937, “Combination Lock, Mechanical,” January 31, 2005, as amended10

(ac) Underwriters Laboratories, Inc. Standard UL 768, “Standard for Combination Locks,”

January 6, 200611

(ad) Department of Homeland Security, “User’s Guide on Security Seals for Domestic Cargo,”

January 2007

(ae) Federal Specification RR-C-271D, “Chains and Attachments, Welded and Weldless,”

September 25, 199012

(af) Federal Specification FF-P-2827, “Padlock, Key Operated, General Field Service,”

November 27, 200213

(ag) Commercial Item Description, “Padlock (Key Operated),” August 6, 199914

3 http://www.wbdg.org/ccb/DOD/UFC/ufc_4_021_02nf.pdf 4 http://www.wbdg.org/ccb/DOD/UFGS/UFGS%2028%2020%2001.00%2010.pdf 5 Contact usdi.pubs@osd.mil for ordering instructions 6 http://csrc.nist.gov/publications/fips/fips140-2/fips1402.pdf 7 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/aa-f-

363.pdf 8 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/aa-f-

358.pdf 9 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/aa-c-

2859a.pdf 10 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/ff-l-

2937.pdf 11 Contact usdi.pubs@osd.mil for ordering instructions 12 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/rr-c-

271.pdf 13 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/ff-p-

2827.pdf

Change 1, 05/08/2018 ENCLOSURE 1 10

(ah) Commercial Item Description, “Padlock Set (Individually Keyed or Keyed Alike),”

August 6, 199915

(ai) Federal Specification AA-V-2940, “Vault System, Armory, Assembled,”

February 20, 200816

(aj) Naval Facilities Engineering Service Center Technical Data Sheet TDS-2078-SHR, “Pre-

Engineered Explosives Magazines,” June 200117

(ak) Naval Facilities Engineering Security Center-Internal Locking Device (ILD) “Engineering

Drawings,” January 200918

(al) Military Detail Specification MIL-DTL-43607H, “Padlock, Key Operated, High Security, Shrouded Shackle,” June 5, 200719

(am) Military Detail Specification MIL-DTL-29181, “Hasp, High Security, Shrouded, for High and Medium Security Padlock,” March 10, 1998, as amended20

(an) Naval Sea Warfare Center Purchase Specification NSWC 3046-93-2, “Pre-Engineered/Pre-

Fabricated Steel Armory,” April 201121

(ao) Naval Sea Warfare Center Purchase Specification NSWC 3046-93-1, “Pre-Engineered/Pre-

Fabricated Steel Magazines,” April 201122

(ap) Section 208, part 555 of title 27, Code of Federal Regulations

(aq) Federal Specification RR-F-191-K, “Fencing, Wire and Post Metal (and Gates, Chain-link

Fence Fabric, and Accessories) (General Specification),” May 14, 199023

(ar) Federal Specification AA-V-2737, “Modular Vault System,” April 25, 199024

(as) Federal Specification AA-D-600D, “Door, Vault, Security,” May 25, 200025

(at) DoD 4000.25-M, “Defense Logistics Management System,” March 1, 2003

(at) DoD Instruction 4140.01, “DoD Supply Chain Materiel Management Policy,” December

14, 2011, as amended

(au) DoD 4160.21-M, “Defense Materiel Disposition Manual,” August 18, 1997

(au) DoD Manual 4160.21, “Defense Materiel Disposition,” October 22, 2015

(av) Parts 223 and 252 of title 48, Code of Federal Regulations

(aw) Subpart 2.101 of the Federal Acquisition Regulation, current edition26

14 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/a-a-

59487b.pdf 15 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/a-a-

59486b.pdf 16 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/aa-v-

2940.pdf 17 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/tds-

2078-shr.pdf 18 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/ild_main/ild_intro 19 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/mil-dtl-

43607j.pdf 20 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/mil-dtl-

29181c.pdf 21 https://nossa.nmci.navy.mil/nrws3/LinkClick.aspx?fileticket=AknQI7tjHiw%3d&tabid=89&mid=436 22 https://nossa.nmci.navy.mil/nrws3/LinkClick.aspx?fileticket=AknQI7tjHiw%3d&tabid=89&mid=436 23 http://www.wbdg.org/ccb/FEDMIL/rrf191k.pdf 24 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/aa-v-

2737.pdf 25 https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/aa-d-

600.pdf 26 https://www.acquisition.gov/far/

Change 1, 05/08/2018 ENCLOSURE 1 11

(ax) DoD 5105.38-M, “Security Assistance Management Manual (SAMM),” October 3, 2003

(ax) DoD Directive 5105.65, “Defense Security Cooperation Agency (DSCA),” October 26,

(ay) Joint Publication 1-02, “Department of Defense Dictionary of Military and Associated

Terms,” current edition

(ay) Office of the Chairman of the Joint Chiefs of Staff, “DoD Dictionary of Military and

Associated Terms,” current edition

(az) DoD Directive 5105.64, “Defense Contract Management Agency (DMCA),” September 27, 2000 January 10, 2013

(ba) Chapter 47 of title 10, United States Code (also known as the “Uniform Code of Military

Justice, as amended”)

Change 1, 05/08/2018 ENCLOSURE 2 12

ENCLOSURE 2

RESPONSIBILITIES

1. UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE (USD(I)). The USD(I) shall oversee implementation of the procedures within this Manual.

2. DIRECTOR, DEFENSE SECURITY SERVICE (DSS). The Director, DSS, under the authority, direction, and control of the USD(I), shall:

a. Conduct AA&E pre-award surveys as required or requested.

(1) Surveys shall include inspections of contractor-owned, contractor-operated (COCO) facilities within the United States to assess compliance with the security requirements in this

Manual for AA&E contracts. Inspections shall be conducted at intervals not to exceed 12 months or more frequently if requested by the procuring command.

(2) The results of the surveys and inspections shall be provided to the appropriate DoD

Component procurement command or activity.

b. Assess contract compliance only when DSS (or Government entry authority) is contractually provided entry authority as required by subparagraphs 4.i.(1) and 4.i.(2) of this enclosure and the contract(s) contains the requisite contract language listed in the Appendix to

Enclosure 9 of this Manual.

c. Coordinate inspections of DoD AA&E COCO facilities manufacturing or possessing SRC

III-IV ammunition and explosives (A&E) with the Bureau of Alcohol, Tobacco, Firearms, and

Explosives (ATF).

d. Conduct inspections of ATF licensed or permit holding DoD contractors that, in addition to manufacturing explosives for the DoD, also manufacture explosives for the commercial market.

e. Facilitate collaboration, coordination, and cooperation with ATF through periodic meetings with ATF at the headquarters and field office levels.

f. Review reports submitted by DoD Components of corrective action taken at COCO facilities to assess and evaluate compliance with this Manual.

3. INSPECTOR GENERAL OF THE DEPARTMENT OF DEFENSE (IG DoD). The IG DoD shall monitor DoD Component compliance with the provisions of this Manual.

Change 1, 05/08/2018 ENCLOSURE 2 13

4. HEADS OF DoD COMPONENTS POSSESSING AA&E. The Heads of DoD Components possessing AA&E shall:

a. Implement the procedures in this Manual and develop supplemental guidance for the protection of AA&E in accordance with Reference (c).

b. Oversee and develop written security policy that prescribes minimum physical security requirements for AA&E items not categorized SRC I-IV and those items listed in subparagraphs

2.b.(2) through 2.b.(7) in the front matter of this manual or outside the scope of this Manual.

(1) Copies of approved DoD Component AA&E security policies for uncategorized

AA&E (CAT-U) shall be provided to the Office of the Under Secretary of Defense for

Intelligence (OUSD(I)).

(2) DoD Component AA&E security policies shall prescribe minimum security requirements for weapon systems and platforms as described in DoD 5200.08-R (Reference (gf)).

c. Exempt arms and ammunition issued to general and flag officers from the requirements of this Manual (except for loss reporting), when appropriate. Where such exemptions are invoked, the affected arms and ammunition shall be safeguarded and accounted for in a manner prescribed in policy by the Heads of the DoD Components and the minimum requirements outlined in

Enclosure 5 of this Manual.

d. Exempt arms and ammunition issued to specified DoD component criminal investigators from the minimum standards outlined in this Manual (except for loss reporting and the requirements outlined in Enclosure 5 of this Manual for personally retained weapons) if compliance would impede mission performance. Where exemptions are invoked, the affected arms and ammunition shall be safeguarded and accounted for in a manner prescribed in policy by the Heads of the DoD Components and the minimum requirements outlined in Enclosure 5 of this Manual.

e. Impose additional protective measures in addition to those prescribed in this Manual where appropriate. Such measures shall not violate or conflict with DoDI 6055.16 (Reference

(hg)) and DoD 6055.09-M (Reference (ih)).

f. Develop physical security programs that implement processes and procedures to assess and evaluate appropriate security measures based on continuous threat assessments, force protection condition (FPCON) levels, physical security surveys and inspections, and vulnerability assessments. DoD Components shall also use risk management principles for mitigating, reducing, or eliminating risks. These programs must be threat-based, cost-effective, and include accountability and inventory control.

g. Plan, program, and budget requisite resources to protect AA&E in their possession and during transportation in accordance with the requirements of this Manual and chapter 205 of the

Defense Transportation Regulation (DTR) (Reference (ji)).

Change 1, 05/08/2018 ENCLOSURE 2 14

h. Establish procedures for the review of all military AA&E storage facility construction, renovation, and modification projects in accordance with Enclosure 5 of this Manual.

i. Monitor solicitations and contracts involving SRC I-IV AA&E, listed in the appendix to

Enclosure 9 of this Manual, at COCO facilities for compliance with security requirements outlined in this Manual. Any additional requirements imposed by a DoD-procuring command or activity shall be specified in section H, “Special Clauses Section,” of AA&E contracts.

Additionally, the Heads of the DoD Components possessing AA&E shall review:

(1) Solicitations and contracts for inclusion of entry authority to prime contractor and subcontractor facilities to enable the Government to conduct security surveys, inspections, and investigations.

(2) Solicitations and contracts for inclusion of appropriate authority and contract clauses that apply to DoD AA&E in accordance with the appendix to Enclosure 9 of this Manual.

(3) All contracts manufacturing A&E for compliance with the explosive safety requirements of DoD 4145.26-M (Reference (kj)).

j. Coordinate with DSS after corrective actions have been taken by contract facilities or deviations are approved for COCO facilities in accordance with this Manual.

k. Identify a single office of record that shall provide current information identifying its

AA&E contractor and subcontractor addresses, contract numbers, AA&E items and categories involved, and special protection requirements for all contractor locations where SRC I-IV are produced or stored.

l. Review physical inventories of AA&E in accordance with Enclosure 8 of this Manual and

DoD 4140.1-R DoD Manual 4140.01 (Reference (l)).

m. Include all protective measures outlined in this Manual in FMS or SC programs and contracts.

n. Ensure that shipments of AA&E are in accordance with chapter 205 of Reference (ji) and

Enclosure 10 of this Manual.

Change 1, 05/08/2018 15 ENCLOSURE 3

ENCLOSURE 3

GUIDANCE

1. GENERAL

a. AA&E facilities should be consolidated to the maximum extent possible within the scope of operational, safety, and mission requirements to reduce vulnerabilities and protection costs.

b. AA&E should be removed from designated storage areas for as short a period of time as possible and in the smallest possible quantity to minimize potential threats and reduce vulnerabilities.

c. AA&E should be segregated into smaller storage areas by assigned SRC, and provided the degree of physical security protection required by this Manual for each SRC in order to reduce costs for protection and inventory control.

d. AA&E facilities and installations shall be constructed according to the security structural requirements in this Manual, Reference (ih), and Military Handbook 1013/1A (Reference (ml)).

AA&E facilities should meet or exceed a minimum of 10 minutes’ resistance to forced entry against an unlimited supply of hand and battery-operated tools. Review of these requirements shall be conducted by qualified engineers and trained physical security specialists prior to design, contract award, and acceptance for new construction and major renovations to ensure compliance with the criteria of this Manual and References (ih) and (ml). Resources used for upgrading existing facilities should be prioritized in the following order:

(1) AA&E facilities and installations storing SRC I items.

(2) AA&E facilities and installations storing SRC II items.

(3) AA&E facilities and installations storing SRC III and IV items.

e. When operations unique to an activity, such as a Government-owned AA&E manufacturing facility, necessitate a divergence from the requirements of this Manual, the threat, operating environment, and conditions shall be evaluated to tailor the security requirements of this Manual to include compensatory measures implemented for the protection of AA&E. The security requirements shall be based on risk management, practicality, cost, and mission performance. Waivers and exceptions to the requirements of this Manual shall be submitted according to the provisions for deviations in this Enclosure.

2. PHYSICAL SECURITY DEVIATIONS

a. DoD Components possessing AA&E may deviate from the construction standards of this

Manual for existing facilities if they specify equivalent levels of protection. Exceptions to policy

Change 1, 05/08/2018 16 ENCLOSURE 3 or waivers, as defined in the Glossary, for non-construction requirements prescribed herein shall be requested in writing by activities storing AA&E and approved in accordance with procedures designated by DoD Components. The approval of these requests will be in accordance with procedures established by the DoD Component and this Manual:

(1) Waivers and exceptions shall be individually considered. Blanket waivers and exceptions shall not be authorized. Waivers and exceptions shall not be used to reduce or eliminate security measures outlined in this Manual. The commander or director of an AA&E storage facility, where a waiver or exception is approved in accordance with the procedures developed by the DoD Component, shall ensure that prescribed compensatory measures are implemented as required to ensure the protection of AA&E.

(a) Waivers may be approved for temporary relief from a specific requirement(s) specified in this Manual pending action to conform to a requirement. A waiver shall be granted for a 12-month period and shall specify the approval rationale as well as the equivalent compensatory measures that shall substitute for the waived security requirement(s). DoD

Components may grant a 12-month extension to previously approved waivers. Afterwards, the waiver shall be processed immediately as an exception to policy.

(b) Exceptions may be approved for permanent relief from a requirement specified in this Manual. Exceptions shall be granted only when compliance with a requirement from this

Manual would unduly impede mission performance as described and documented in the exception request. As with waivers, approved exceptions shall specify the rationale for granting the exception. In addition, approved exceptions shall specify the alternative or compensatory security measure(s) that shall provide equivalent protection of the excepted security requirement(s). Exceptions shall be reviewed every 3 years by the granting authority.

(2) Waivers and exception requests involving surface transportation of AA&E shall be coordinated in advance with the Military Surface Deployment and Distribution Command

(SDDC). All waivers and exception requests shall be forwarded by SDDC to the OUSD(I).

Copies of such approved waivers and exceptions shall be forwarded to;

Commander, Military Surface Deployment and Distribution Command

ATTN: AMSSD-SBI-BP, 1 Soldier Way

Scott Air Force Base, IL 62225

b. Inspection findings and deficiencies resulting in noncompliance with the requirements in this Manual will be corrected as soon as practical. For those findings and deficiencies that can be corrected within 90 days, no waiver is necessary; however, compensatory measures shall be taken during the 90-day interval. For those deficiencies that cannot be corrected within 90 days, a request for waivers or exceptions is to be submitted in accordance with paragraph 2.a of this enclosure.

3. SECURITY OF AA&E DURING TRAINING, IN MUSEUMS, AND ABOARD

PLATFORMS. AA&E shall be protected in accordance with guidance issued by the responsible

DoD Component during training and operational exercises; while it is on display in museums;

Change 1, 05/08/2018 17 ENCLOSURE 3 and while it is on-board military vehicles and aircraft. The specific criteria and standards for protection shall be based on the physical security standards established in this Manual and

Reference (gf).

4. INSPECTIONS AND AUDITS. Inspections and audits provide tools for the oversight, management, and control of AA&E items. DoD Components responsible for the protection of

AA&E shall develop policies that outline inspection and audit requirements to ensure that physical security of AA&E is maintained.

a. Physical security inspections shall be conducted at intervals determined by the DoD

Component. Inspections of AA&E storage facilities shall be conducted at intervals not to exceed

18 months and shall include at a minimum:

(1) Review of physical security measures and policy compliance.

(2) Review of existing deviations from policy.

(3) Review of suitability and screening of personnel with access to AA&E in accordance with section 8 of this enclosure.

(4) Inventory and accountability procedures.

(5) Facility design and construction.

b. Audits of AA&E storage facilities shall include at a minimum:

(1) Review of records of lost, stolen, or missing AA&E.

(2) Review of accountability and inventory procedures.

(3) Review of internal processes developed to ensure compliance with AA&E protective and accountability measures.

5. PROHIBITIONS

a. Reserve Officer Training Corps (ROTC) or Junior ROTC units, and gun clubs shall not store SRC I and II AA&E at their facilities. ROTC units may only possess SRC II AA&E during authorized training with active DoD Components.

b. National Guard and Reserve units are not authorized to store SRC I missiles and rockets permanently at their facilities. The installation commander may approve temporary storage (not to exceed 90 days) of SRC I missiles and rockets at ammunition supply points when security measures, as outlined in this Manual, are incorporated or where security is provided by armed guards. National Guard and Reserve units are authorized temporary custody (not to exceed 14

Change 1, 05/08/2018 18 ENCLOSURE 3 days) of SRC I AA&E when training on military installations. DoD Components may approve periods exceeding these requirements where supplemental security measures are in place to meet operational needs.

6. INVESTIGATIONS. DoD Components that possess AA&E shall conduct thorough investigations for lost, stolen, and missing AA&E to determine the circumstances of the loss or theft and to determine responsibility as appropriate. Before any loss can be attributed to any inventory or accountability discrepancy, it must first be determined through an investigation that the loss was not the result of theft, abandonment, or misappropriation. Additional requirements for reporting are outlined in Enclosure 11 of this Manual.

7. TRAINING

a. DoD Components possessing AA&E shall establish a continuing training and education program for those personnel responsible for the accountability and protection of AA&E. The training program shall be designed to:

(1) Provide instruction for the implementation of physical protective and procedural measures that protect AA&E and in the preparation of written reports surrounding the discovery of a loss, suspected theft, and accountability procedures for AA&E.

(2) Fulfill the requirements identified by activities assigned to safeguard AA&E.

(3) Fit the requirements of the different groups of personnel responsible for the protection of AA&E.

b. The DoD Components shall provide annual refresher briefings to all personnel who are responsible for the control and safeguarding of AA&E.

8. SUITABILITY AND SCREENING FOR ACCESS TO AA&E. DoD Components shall be selective in assigning personnel to duties involving the control of AA&E. Only personnel who are mature, stable, and have shown a willingness and capability to perform assigned tasks in a dependable manner shall be assigned duties that involve the responsibility for control, accountability, and shipment of AA&E. DoD Components shall comply with the provisions of

DoD 5200.2-R DoD Manual 5200.02 (Reference (nm)) and this Manual to ensure that persons assigned custody, maintenance, transportation, disposal, or security responsibilities for AA&E on military installations in the United States and its territories, and for personnel assigned such duties overseas, shall receive investigations and periodic reinvestigations as listed for each category of person in paragraphs 8.a. and 8.b. of this enclosure.

a. U.S. Citizens

(1) Military Personnel. National Agency Check with Law and Credit (NACLC).

Change 1, 05/08/2018 19 ENCLOSURE 3

(2) DoD Civilian Personnel. Access National Agency Check and Inquiries.

(3) Contractor Personnel (Including Sub-contractors). NACLC.

b. Drivers of vehicles transporting AA&E

(1) Personnel operating a vehicle or providing security to a vehicle transporting SRC I and II AA&E (including contractor personnel transporting such items on military installations in the United States and its territories, or U.S. citizens assigned to such duties overseas in direct support of installation requirements) shall receive a background investigation as provided for in this section and Reference (nm).

(2) Designated commercial carrier employees providing protective security service must possess a SECRET clearance to transport AA&E and items classified SECRET, as provided for in DoD 5220.22-M (Reference (on)), and carrier-issued identification.

c. Foreign national personnel providing services related to the handling, storage, or shipment of AA&E in overseas locations shall receive an investigation according to the policy and procedures governing locally hired employees subject to status of forces agreements, export licenses, or laws of the host government. The DoD Components assume responsibility for permitting access to DoD systems, information, material, and areas when an investigation conducted by the host country does not meet the investigative standards in Reference (nm).

d. Within the United States, including Alaska, Hawaii, and the U.S. territories of Puerto Rico and Guam, commercial carrier employees transporting AA&E or classified AA&E shall possess a SECRET clearance. Commercial carrier employees transporting uncategorized AA&E shall comply with investigative requirements prescribed by chapter 205 of Reference (ji).

e. Outside the United States, local national personnel transporting SRC I-IV AA&E shall receive an investigation; however, the type of background investigation may vary based on treaties and or host nation agreements that exists between the DoD Component and the host country and in accordance with DoD Component policy.

9. LAUTENBERG AMENDMENT

a. The 1968 Gun Control Act and subsequent 1996 Lautenberg Amendment, which are codified in section 922(g) of title 18, United States Code (U.S.C.) (Reference (po)), prohibit anyone who, among other reasons, has been convicted in any court of a crime that is punishable by imprisonment for a term exceeding 1 year; has been convicted in any court of a misdemeanor crime of domestic violence; or is subject to a court order finding the person to represent a credible threat to the physical state of an intimate partner or child, to ship, transport, possess, or receive firearms or ammunition. Reference (po), as enacted and amended, contains a public interest exception for all but one of the nine disqualification categories; specifically subsection

922(g)(9), the Lautenberg Amendment, makes it a felony for anyone who has ever been

Change 1, 05/08/2018 20 ENCLOSURE 3 convicted of a domestic violence misdemeanor prior to or after the passage of the September 30, 1996, law to possess firearms or ammunition. There is no exception for law enforcement and military personnel with qualifying convictions. It is illegal to provide a firearm or ammunition to anyone convicted of such a domestic violence misdemeanor.

b. DoD Components shall comply with the provisions of Reference (po) and ensure persons carrying firearms are properly screened in accordance with DoDI 6400.06 (Reference (qp)). All

DoD Components shall post notices about the Lautenberg Amendment and the procedures for implementation in all facilities in which Government firearms or ammunition are stored, issued, disposed of, and transported pursuant to Reference (qp).

c. Heads of DoD Components will require that commanders and civilian equivalents evaluate the need to suspend arming authorizations of DoD personnel who are under investigation or have been arrested or apprehended for crimes or incidents involving domestic violence. If suspension is warranted, any Government-issued firearms or ammunition shall be retrieved until the matter is resolved and until a final determination is made. Heads of DoD

Components shall additionally require that commanders and civilian directors use discretion in allowing persons with firearms suspensions to carry non-lethal weapons.

10. AA&E CONTRACT REQUIREMENTS

a. The DSS shall be notified by the Defense Contract Management Agency when pre-award surveys are required to allow for DSS participation as necessary. Upon receipt of contract facility pre-award survey and inspection results from DSS, required corrective action or deviation requirements shall be coordinated with contractors within 90 calendar days, as outlined in Enclosure 9 of this Manual. DSS shall be notified, as appropriate, of actions taken by contractors, subcontractors, and Government administrative contracting officers (ACOs) in response to DSS-reported AA&E security deficiencies and recommendations.

b. The appropriate SRC (I-IV) of the end product, and Government-furnished equipment and material shall be reflected in all applicable AA&E contracts and subcontracts. The contract or subcontract must reflect the appropriate SRC to ensure complete understanding by DSS industrial security representatives, the ACO, and prime and subcontractors concerned.

c. Oversight of COCO AA&E facilities outside the United States shall be in accordance with host nation agreements, treaties, and laws.

Change 1, 05/08/2018 21 ENCLOSURE 4

ENCLOSURE 4

PHYSICAL SECURITY PLANNING

1. GENERAL. To make the most effective use of resources, thorough and comprehensive security planning must be undertaken. Planning should be a continuing process and should be tailored to the local, general, and specific threats to AA&E.

a. In assessing local requirements for physical protection, factors that shall be considered include:

(1) Annual local threat or vulnerability assessments prepared by the installation or facility, including information from local law enforcement agencies.

(2) Location, size, and vulnerability of storage and production facilities.

(3) Vulnerability of AA&E to theft or loss.

(4) Geographic location.

(5) Availability and responsiveness of security forces.

(6) Level of protection provided by:

(a) Physical security protection measures.

(b) Security forces.

(c) Security in depth and integrated security.

(d) Facility construction.

(7) Impact on mission capability.

b. A local threat analysis and vulnerability assessment shall be conducted at each conventional AA&E facility prior to its occupation, use, or before major renovation. Threat assessments conducted for AA&E facilities should include information provided by the Defense

Intelligence Agency AA&E threat assessment outlined in Reference (c). Threat analysis and vulnerability assessments shall be updated annually or as new threats and/or vulnerabilities become known. The vulnerability assessment shall include the specific threats, capabilities-based threat assessment, physical security surveys and inspection, security measures, and the results of security and response force exercises in accordance with Reference (gf).

2. COORDINATION

Change 1, 05/08/2018 22 ENCLOSURE 4

a. In developing a security plan, coordination and close liaison should be conducted among the DoD facility; adjacent DoD facilities; DoD Components; local, State, and Federal law enforcement agencies; and host nation agencies. To the extent permissible, such interaction should allow for an exchange of intelligence, security measures, contingency plans, and other information, which enhances security and protection.

b. On an installation, the host activity shall assume responsibility for coordinating the physical security of all tenants, regardless of DoD Component represented, as outlined in support agreements and installation security plans.

c. The purpose of such coordination is to ensure effective planning for security requirements.

Authority, jurisdiction, and responsibility must be set forth in a manner that ensures protection and avoids duplication of effort.

d. Protection of AA&E should be addressed in security plans as required by the DoD

Components.

3. CONTINGENCY PLANS. In most instances, it shall be necessary to augment security for

AA&E during periods of increased vulnerability such as natural disasters, national emergencies, civil uprisings, or periods of increased threat from terrorists or criminal elements. This includes periods of heightened security during the elevation of FPCON levels when increased security measures may be required. Contingency plans shall include provisions for increasing the physical security measures for storage areas commensurate with the local commanders’ assessment of the threat and situation. Transportation security plans for AA&E shall be modified under increased threat conditions to include enhanced security measures, which can be applied on a regional basis in accordance with DoDI 6055.17 (Reference (rq)).

4. SECURITY THREATS

a. Security plans shall provide for the identification of local threats and should make full use of the investigative and intelligence resources available in the local and regional geographical areas to anticipate all threats, which include internal and external threats to the physical security protection of AA&E assets.

b. In order to identify these threats effectively, liaison shall be established with:

(1) Local law enforcement agencies.

(2) Supporting defense criminal investigative organizations (DCIOs).

(3) Local supporting DoD counterintelligence offices.

(4) Local Federal Bureau of Investigation (FBI) offices.

Change 1, 05/08/2018 23 ENCLOSURE 4

(5) ATF offices.

(6) Host nation agencies when located overseas.

c. The DoD Component security plans shall address actions to counter theft or pilferage by employees authorized access to AA&E. These actions include:

(1) Trustworthiness Determination. This includes appropriate background checks and adjudication as outlined in Enclosure 3 of this Manual.

(2) Internal Controls. This should include:

(a) Monitoring of storage areas.

(b) Inspection programs within storage areas and during ingress and egress of employees and other authorized personnel.

(c) Inventory management and accountability.

5. IMPLEMENTATION OF SECURITY PLANS. The DoD Components shall develop written guidance for the implementation of security plans and requirements pertinent to each installation, unit, or activity.

6. INTRUSION DETECTION SYSTEMS (IDS)

a. Where required, as specified in this Manual, the IDS shall be either an approved DoD

Component standardized system, a DoD Component commercial equivalent, or an integrated system. IDS design should include the design specifications and requirements specified in the

Unified Facilities Criteria (UFC) 4-021-02NF (Reference (sr)), Unified Facilities Guide

Specification Division 28, Section 28 20 01.00 10 (Reference (ts)), Reference (ih) and

Underwriters Laboratories Inc. (UL) Standard for Safety UL-2050 (Reference (ut)). The IDS shall consist of an interior point sensor on doors and other accessible openings and interior volumetric sensors. Additional levels of protection, when practical, should be considered, such as vibration sensors on walls to detect boundary penetration attempts or duress signaling for SRC

I and II AA&E facilities. See Enclosure 9 of this Manual for additional IDS requirements for contractor AA&E facilities.

b. Approval of non-DoD or Military Service standardized IDS shall be obtained from:

(1) For Army Sites:

Office of the Provost Marshal General (DAPM-MPD-PS)

2800 Army Pentagon

Change 1, 05/08/2018 24 ENCLOSURE 4

Washington, DC 20310-2800

(2) For Navy Sites:

Chief of Naval Operations (N46)

716 Sicard Street SE, Suite 1000

Washington, DC 20373-5140

(3) For Air Force Sites:

HQ AFSFC Requirements Branch

AFSFC/SFXR

1517 Billy Mitchell Blvd

Lackland AFB, TX 78236 https://afsfmil.lackland.af.mil/Organization/AFSFC/SFO/org_afsfc_index.htm

(4) For Marine Corps Sites:

Commandant of the Marine Corps

Headquarters, U.S. Marine Corps

Security Division (PSC)

Pentagon, Room 4A324

Washington, DC 20380-0001

(5) For Defense Logistics Agency Sites:

Headquarters, Defense Logistics Agency

Director of Public Safety (DES-S)

8725 John J. Kingman Road

Suite 3533

Fort Belvoir, VA 22060-6221

c. DoD standardized systems, or the commercial equivalent approved by the DoD

Component, shall replace non-DoD standardized or non-approved systems on a programmed, phased-in basis. Systems shall be replaced or upgraded when they are no longer cost-effective to maintain. All alarm signals shall annunciate at a central control or monitoring station from which an armed police or security response force can be dispatched directly.

d. Where an IDS is installed in a facility outside a military installation, arrangements shall be made to connect to local police or commercial monitoring companies that can immediately direct a response to activated alarms. Response agreements and requirements shall be documented in applicable contracts and/or support agreements.

e. A daily log shall be retained of all alarms received. Logs shall be retained for a minimum of 90 days and shall be reviewed to identify and correct IDS reliability problems. Logs can be

Change 1, 05/08/2018 25 ENCLOSURE 4 retained manually by an operator or electronically generated, stored, and printed by the IDS. The log shall reflect the information requirements listed in subparagraphs 6.e.(1) through 6.e.(3) of this enclosure.

(1) Nature of the alarm (e.g., nuisance, system failure, unauthorized entry, or tamper).

(2) Date, time, and location of alarm.

(3) Action taken in response to the alarm and final adjudication.

f. IDS transmission lines shall have electronically monitored line supervision in order to detect evidence of tampering or attempted compromise. Any visible lines must be inspected monthly and the inspection documented by the owner or user. Documentation shall include date and time of check, status, and the name and initials of the person who conducted the check.

These records shall be kept for 1 year in active status. If line security is unavailable, two independent means of alarm signal transmission from the alarm area to the monitoring station shall be provided and any visible lines must be inspected weekly. Where possible, one of the two independent means of alarm signal transmission should be a secure wireless link. The dual transmission equipment shall continuously monitor the integrity of communications links.

Wireless links shall be protected, at a minimum, by means specified in Federal Information

Processing Standards Publication 140-2 (Reference (vu)).

g. Upon loss of the alarm signal transmission, the system shall immediately initiate notification to the monitoring facility via the other communication link. IDS shall have a protected independent backup source that provides a minimum of 8 hours of power.

h. Systems shall be tested monthly to ensure the proper functioning of the alarm sensors.

For bulk storage areas (e.g., depots, weapon stations), such checks shall be performed at least quarterly. A log shall be retained documenting such tests and shall be kept for 1 year.

i. Installation of IDS at A&E facilities shall comply with electrical and lightning protection requirements in Reference (ih).

j. Provisions of telephone or radio communication between a central control station and alarm zones to provide for controlled entry by authorized personnel should be considered as an adjunct to the IDS.

7. SECURITY FORCES

a. Security forces, or other personnel authorized by the DoD Component Head, shall check

AA&E storage areas during non-duty hours in accordance with this Manual. The checks shall be recorded and consist of an inspection of all buildings, including all access openings in the storage areas. Records of such checks shall be retained in unit files for a minimum of 90 days. These forces should be able to respond to alarm annunciations as soon as possible but not to exceed 15

Change 1, 05/08/2018 26 ENCLOSURE 4 minutes of alarm notification. The use of closed-circuit television (CCTV) should be used to provide immediate assessment of alarm annunciations until arrival of security forces.

b. DoD…