DoDM 5100.76, "Physical Security of Sensitive Conventional Arms

Department of Defense

MANUAL

NUMBER 5100.76

April 17, 2012

Incorporating Change 2, Effective October 5, 2020

USD(I&S)

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 Manual 5200.01 (Reference (d)).

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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 (Reference (e)) and section 5 of Enclosure 11 is exempt from licensing in

accordance with Paragraph 8 of Reference (e).

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8. RELEASABILITY. Cleared for public release. This manual is available on the Directives

Division Website at https://www.esd.whs.mil/DD/.

9. SUMMARY OF CHANGE 1. This administrative change updates the title of the Under

Secretary of Defense for Intelligence to the Under Secretary of Defense for Intelligence and

Security in accordance with Public Law 116-92 (Reference (f)).

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

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 ...................................................................................................8

ENCLOSURE 2: RESPONSIBILITIES .......................................................................................11

UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE AND SECURITY

(USD(I&S))........................................................................................................................11

DIRECTOR, DEFENSE SECURITY SERVICE (DSS) .........................................................11

INSPECTOR GENERAL OF THE DEPARTMENT OF DEFENSE (IG DoD) ....................11

HEADS OF THE DoD COMPONENTS POSSESSING AA&E ...........................................12

ENCLOSURE 3: GUIDANCE .....................................................................................................14

GENERAL ...............................................................................................................................14

PHYSICAL SECURITY DEVIATIONS ................................................................................14

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

PLATFORMS ....................................................................................................................15

INSPECTIONS AND AUDITS ...............................................................................................16

PROHIBITIONS ......................................................................................................................16

INVESTIGATIONS ................................................................................................................17

TRAINING ..............................................................................................................................17

SUITABILITY AND SCREENING FOR ACCESS TO AA&E ............................................17

LAUTENBERG AMENDMENT ............................................................................................18

AA&E CONTRACT REQUIREMENTS ................................................................................19

ENCLOSURE 4: PHYSICAL SECURITY PLANNING ............................................................20

GENERAL ...............................................................................................................................20

COORDINATION ...................................................................................................................20

CONTINGENCY PLANS .......................................................................................................21

SECURITY THREATS ...........................................................................................................21

IMPLEMENTATION OF SECURITY PLANS .....................................................................23

INTRUSION DETECTION SYSTEMS (IDS) .......................................................................23

SECURITY FORCES ..............................................................................................................25

RESTRICTED AREA POSTING............................................................................................26

ACCESS CONTROL...............................................................................................................26

KEY, COMBINATION, AND LOCK CONTROL ................................................................26

SECURITY SEALS .................................................................................................................29

ENCLOSURE 5: PROTECTION OF ARMS...............................................................................31

GENERAL ...................................................................................................................................

STORAGE AND SUPPLEMENTAL CONTROLS ...............................................................31

ARMS PARTS .........................................................................................................................33

FACILITIES LOCATED OUTSIDE A MILITARY INSTALLATION ................................34

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ISSUANCE OF ARMS............................................................................................................34

PERSONALLY RETAINED FIREARMS .............................................................................35

PRIVATELY OWNED WEAPONS .......................................................................................35

CONTRACT GUARD WEAPONS AND AMMUNITION ...................................................35

FACILITY CONSTRUCTION CRITERIA ............................................................................35

ENCLOSURE 6: PROTECTION OF MISSILES, ROCKETS, AND ALL SRC OF A&E ........36

GENERAL ...................................................................................................................................

BULK STORAGE AREAS (MUNITIONS SUPPLY POINTS/STORAGE AREAS) ..........36

PERIMETERS, OPENINGS, AND FENCING (SRC I AND II A&E) ..................................37

EXTERIOR LIGHTING ..........................................................................................................38

COMMUNICATIONS ............................................................................................................38

UNIT LEVEL (BASIC LOAD QUANTITIES OR QUANTITIES SUFFICIENT FOR

TRAINING AND OPERATIONAL PURPOSES) ...........................................................38

INTRUSION DETECTION (BULK STORAGE AND UNIT LEVEL) .................................40

ENCLOSURE 7: SENSITIVE CONVENTIONAL AA&E SRC ................................................40

GENERAL ...............................................................................................................................41

MISSILES, ROCKETS, AND A&E .......................................................................................41

ARMS ......................................................................................................................................42

CAT-U .....................................................................................................................................43

COMPUTATION OF SRC .....................................................................................................43

ENCLOSURE 8: INVENTORY, UII REGISTRATION, DISPOSAL, AND DEMIL ...............46

GENERAL ...............................................................................................................................46

PHYSICAL INVENTORY CONTROL PROCEDURES .......................................................46

INVENTORY ADJUSTMENTS ............................................................................................47

DISPOSAL AND DEMIL .......................................................................................................47

INVENTORY WHEN CUSTODY OF KEYS TO UNIT LEVEL ARMS STORAGE

FACILITIES IS TRANSFERRED ....................................................................................48

PERSONNEL ..........................................................................................................................48

ENCLOSURE 9: PHYSICAL SECURITY OF AA&E AT CONTRACTOR

FACILITIES ............................................................................................................................49

GENERAL ...............................................................................................................................49

CONTRACTOR-OWNED AA&E PRODUCTION AND STORAGE FACILITIES ..……..49

FACILITY CONSTRUCTION ...............................................................................................49

CONTRACTOR FACILITY SUITABILITY DETERMINATION .......................................50

ADDITIONAL PROTECTIVE MEASURES .........................................................................50

AA&E PRODUCTION LINE SECURITY .............................................................................53

IN-TRANSIT SECURITY.......................................................................................................53

CLASSIFIED AA&E...............................................................................................................54

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ACCOUNTABILITY ..............................................................................................................54

DISPOSAL AND DEMIL OF AA&E .....................................................................................54

ARMS PARTS .........................................................................................................................54

INCIDENT REPORTS ............................................................................................................55

PHYSICAL SECURITY DEVIATIONS ................................................................................55

STANDING PRACTICE PROCEDURES (SPP) ...................................................................56

APPENDIX:

AUTHORITY AND CONTRACT CLAUSES RELATING TO DoD AA&E .................57

ENCLOSURE 10: AA&E TRANSPORTATION SECURITY ...................................................59

GENERAL ...............................................................................................................................59

TASKS .....................................................................................................................................61

STANDARDS..........................................................................................................................62

SPECIAL CONSIDERATIONS FOR SRC I ITEMS .............................................................63

SPECIAL CONSIDERATIONS FOR WATER SHIPMENTS ..............................................63

SPECIAL CONSIDERATIONS FOR SMALL QUANTITY SHIPMENTS .........................65

SECURITY OF COMMERCIAL SHIPMENTS TEMPORARILY

AT DoD INSTALLATIONS AND ACTIVITIES ............................................................65

OVERSEAS IN-THEATER MOVEMENTS ..........................................................................66

AA&E SHIPMENTS FROM DEFENSE CONTRACTORS ..................................................66

FMS..........................................................................................................................................66

TABULAR DISPLAY OF IN-TRANSIT SECURITY REQUIREMENTS ...........................67

APPENDIX:

PHYSICAL SECURITY OF AA&E AT MILITARY TERMINALS ..............................72

ENCLOSURE 11: REPORTS, INVESTIGATIVE AIDS, AND DISPOSITION OF

RECORDS ...............................................................................................................................75

GENERAL ...............................................................................................................................75

INCIDENT REPORTS TO THE DoD COMPONENTS ........................................................75

INCIDENT REPORTS TO THE OFFICE OF THE SECRETARY OF DEFENSE ..............75

DoD COMPONENT RECORDS ............................................................................................76

OTHER REQUIRED REPORTING........................................................................................76

GLOSSARY ..................................................................................................................................77

PART I: ABBREVIATIONS AND ACRONYMS ................................................................77

PART II: DEFINITIONS ........................................................................................................78

TABLES

1. Key, Lock, and Combination Storage .................................................................................26

2. Utility Risk Factor Values ..................................................................................................44

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3. Casualty or Damage Risk Factor Values ............................................................................44

4. Adaptability Risk Factor Values .........................................................................................44

5. Portability Risk Factor Values ............................................................................................45

6. Risk Factor Number Values and SRC Conversion ............................................................45

FIGURE

Sample Generic Transportation Plan for the Transfer of AA&E ............................................68

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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 and Security

(USD(I&S)),” October 24, 2014, as amended

(AA&E),” February 28, 2014, as amended

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

amended

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

(f) Public Law 116-92, “National Defense Authorization Act for Fiscal Year 2020,”

December 20, 2019

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

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

amended

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

February 29, 2008, as amended

(j) Defense Transportation Regulation 4500.9-R, “Defense Transportation Regulation, Part II,

Cargo Movement,” June 2008

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

March 13, 2008, as amended

(l) DoD Manual 4140.01, “DoD Supply Chain Materiel Management Procedures,” date varies

by volume.

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

December 15, 1993

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

April 3, 2017

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

February 1, 2006, as amended

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

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

Personnel,” August 21, 2007, as amended

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

February 13, 2017, as amended

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

Systems,” September 27, 2006, as amended

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

Security System,” October 2007

http://www.transcom.mil/dtr/part-ii/

Authorized users only at: https://osdext.osd.mil/sites/ousdi/j_cws/psd/Shared%20Documents/DoD%205100.76-

M%20References/Ref_K.pdf

http://www.wbdg.org/ccb/DOD/UFC/ufc_4_021_02nf.pdf

DoDM 5100.76, April 17, 2012

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

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

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

Cryptographic Modules,” May 25, 2001

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

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

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

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

Filing, and Storage,” June 1 2001

(z) Federal Specification AA-F-358J, “Filing Cabinet, Legal and Letter Size, Uninsulated,

Security,” November 2, 2010

(aa) Federal Specification AA-C-2859, “Cabinet, Security, Weapons Storage,” April 20, 2007

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

amended

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

January 6, 2006

(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, 1990

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

November 27, 2002

(ag) Commercial Item Description, “Padlock (Key Operated),” August 6, 1999

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

August 6, 1999

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

February 20, 2008

http://www.wbdg.org/ccb/DOD/UFGS/UFGS%2028%2020%2001.00%2010.pdf

Contact usdi.pubs@osd.mil for ordering instructions

http://csrc.nist.gov/publications/fips/fips140-2/fips1402.pdf

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

363.pdf

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

358.pdf

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

2859a.pdf

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

2937.pdf

Contact usdi.pubs@osd.mil for ordering instructions

https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/pdf_files/rr-c-

271.pdf

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

2827.pdf

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

59487b.pdf

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

59486b.pdf

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

2940.pdf

DoDM 5100.76, April 17, 2012

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

Engineered Explosives Magazines,” June 2001

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

Drawings,” January 2009

(al) Military Detail Specification MIL-DTL-43607H, “Padlock, Key Operated, High Security,

Shrouded Shackle,” June 5, 2007

(am) Military Detail Specification MIL-DTL-29181, “Hasp, High Security, Shrouded, for High

and Medium Security Padlock,” March 10, 1998, as amended

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

Fabricated Steel Armory,” April 2011

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

Fabricated Steel Magazines,” April 2011

(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, 1990

(ar) Federal Specification AA-V-2737, “Modular Vault System,” April 25, 1990

(as) Federal Specification AA-D-600D, “Door, Vault, Security,” May 25, 2000

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

March 6, 2019

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

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

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

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

October 26, 2012

(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),”

January 10, 2013

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

Justice, as amended”)

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

2078-shr.pdf

https://portal.navfac.navy.mil/portal/page/portal/navfac/navfac_ww_pp/navfac_nfesc_pp/locks/ild_main/ild_intro

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

43607j.pdf

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

29181c.pdf

https://nossa.nmci.navy.mil/nrws3/LinkClick.aspx?fileticket=AknQI7tjHiw%3d&tabid=89&mid=436

http://www.wbdg.org/ccb/FEDMIL/rrf191k.pdf

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

2737.pdf

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

600.pdf

https://www.acquisition.gov/far/

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ENCLOSURE 2

RESPONSIBILITIES

1. UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE AND SECURITY

(USD(I&S)). The USD(I&S) 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&S), 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.

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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 and Security (OUSD(I&S)).

(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 (g)).

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

(h)) and DoD 6055.09-M (Reference (i)).

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 (j)).

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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 (k)).

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 Manual 4140.01 (Reference (m)).

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 (j) and

Enclosure 10 of this Manual.

DoDM 5100.76, April 17, 2012

Change 2, 10/05/2020 14 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 (i), and Military Handbook 1013/1A (Reference (m)).

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 (i) and (m). 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

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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&S).

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;

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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 (g).

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

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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 Manual 5200.02 (Reference (n)) 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).

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(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 (n).

(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 (o)), 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 (n).

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 (j).

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 (p)), 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 (p), 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

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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 (p) and ensure persons

carrying firearms are properly screened in accordance with DoDI 6400.06 (Reference (q)). 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 (q).

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.

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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.

(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 (g).

2. COORDINATION

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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 (r)).

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.

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(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.

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 (s)), Unified Facilities Guide

Specification Division 28, Section 28 20 01.00 10 (Reference (t)), Reference (i) and

Underwriters Laboratories Inc. (UL) Standard for Safety UL-2050 (Reference (u)). 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

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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

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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 (v)).

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 (i).

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

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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 security forces shall be provided with two-way radio communication.

c. Where AA&E is stored off military installations in civilian communities, and where

security checks cannot be conducted by DoD personnel due to legal or operational

considerations, liaison shall be established with local law enforcement or host nation authorities

to ensure that non-duty hour checks are conducted by the local police or host nation authorities.

8. RESTRICTED AREA POSTING. Facilities containing AA&E shall be designated and

posted as a “RESTRICTED AREA.” Areas should be posted except when such action would

conflict with host nation agreements or highlight a concealed area. Where posted in host nation

countries, signs should include host nation language and English. Commanders of military

installations and facilities have the authority to publish and enforce regulations for safeguarding

personnel, facilities, and property in accordance with section 797 of title 50, U.S.C. (Reference

(w)), as implemented by Reference (g) and DoD Instruction 5200.08 (Reference (x)).

9. ACCESS CONTROL

a. Strict personnel and vehicular access control shall be established for areas storing AA&E.

Persons allowed unaccompanied or unescorted access shall have authorization in writing by the

head of the AA&E activity. Access to such areas for all personnel shall be recorded (manually

or electronically). The records of access shall be retained for 1 year and disposed of according to

DoD Component guidance.

b. Vehicles and personnel shall be subject to searches and random inspections upon entry to

and exit from AA&E areas.

c. Privately owned vehicles are prohibited in facilities or installations storing AA&E unless

authorized by the DoD Component and compliance with the requirements of Reference (i). The

use of government leased or rented vehicles for official purposes are not considered privately

owned for the purposes of this Manual.

10. KEY, COMBINATION, AND LOCK CONTROL

a. Keys and combinations to AA&E storage areas that include buildings, rooms, racks,

containers, and IDS shall be retained separately from other keys and combinations. They shall

only be accessible to those individuals whose official duties require access to them. A current

roster of personnel who are authorized for key access shall be retained and kept from public

view.

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b. The number of keys and combinations issued shall be held to the absolute minimum.

Master keying and keying alike of locks and the use of a master key system is prohibited for use

in the protection of AA&E.

c. Keys and combinations retained in Standard Form 700, “Security Container Information”

shall not be left unsecured or unattended at any time. This form is available to U.S. Government

agencies. It can be ordered by calling Federal Supply Service customer assistance at (800) 525-

8027, selecting option 3, and referencing stock number 7540-01-214-5372 or at

http://www.gsa.gov/portal/forms/download/9FAD818A86CC7DA685256B9D00493AAA.

d. If the keys or combination are lost or stolen, the affected locks or lock cores shall be

replaced immediately, as appropriate.

e. Combinations shall be changed when the lock is placed into use, whenever a person

knowing the combination no longer requires access, or when the combination has been subject to

compromise. AA&E at risk shall be inventoried and the integrity of the accessible security

systems protecting AA&E shall be verified when keys, locks, or combinations are compromised.

f. Written records of combinations shall be minimized and combinations should be

committed to memory. The DoD activity shall implement a control system that ensures

accountability and control of written combinations, keys, and locks for AA&E storage structures

and facilities. The DoD activity shall appoint a combination, key, and lock custodian to

implement and supervise these programs. Reserve or replacement high-security padlocks, cores,

keys, and written combinations shall not be removed from DoD-controlled space (off

installation) except for cases of operational necessity. When not attended or in use, unclassified

written combinations, operational keys, reserve or replacement high-security padlocks, and cores

shall be secured as described in Table 1. Use of existing containers is authorized until they are

replaced.

Table 1. Key, Lock, and Combination Storage

SRC I and II SRC III and IV

Keys

and combinations

General Services

Administration (GSA)-

approved Class 5 security

container

or GSA-approved

Class 5 weapons container

Containers of at least 12-

gauge steel (or material

equivalent strength) security

with a GSA-approved built in

combination lock

or a built in

combination lock

meeting

Group 1.

In accordance with Federal Specification AA-F-363D (Reference (y)).

In accordance with Federal Specification AA-F-358J (Reference (z)).

In accordance with Federal Specification AA-C-2859 (Reference (aa)).

In accordance with Federal Specification FF-L-2937 (Reference (ab)).

In accordance with UL-768 (Reference (ac)).

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g. Commanders or their designees (e.g., individual unit commanders with AA&E resources

directly within their control) who are storing or securing AA&E shall appoint in writing AA&E

lock, combination, and key custodians. Key and combination control registers shall be retained

to reflect continuous key accountability.

(1) Key and lock custodians shall not be primary or alternate armorers.

(2) Key and lock custodians shall not be persons who are authorized unaccompanied

access to AA&E storage areas.

h. Key and combination registers shall contain:

(1) Printed name and signature of individuals receiving combinations and/or keys.

(2) Date and time of issuance.

(3) Written key unique item identifier (UII) (i.e., serial number) and/or combination

numbers or other identifying information. Registers containing combinations for classified

information or material shall be protected according to the highest classification level being

stored.

(4) Signature of individuals issuing keys and/or combinations.

(5) The date and time the key was returned.

(6) Printed name and signature of individual receiving returned keys and/or changing

combinations.

i. Completed key and combination control registers shall be retained in activity files for a

minimum of 1 year and then disposed of according to DoD Component guidance.

j. Inventories of keys, combinations, and locks shall be conducted semi-annually by a

disinterested party or person not responsible or authorized unaccompanied access for that

particular AA&E resource. Inventory records shall be retained in activity files for 1 year and

then disposed of in accordance with DoD Component guidance.

k. When combinations, codes, or approved electronic equipment is used in lieu of keys, the

control procedures used for keys and combinations outlined in this enclosure shall apply.

l. When individuals such as duty officers are charged with safeguarding/custody of keys

and/or combinations to AA&E areas, they shall sign for the custody of keys, key container, and/

or combinations as applicable. When container custody is transferred, the seals shall be checked

for original container integrity. If the seals are unbroken and intact, it shall not be necessary to

physically count the keys with each change of custody.

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m. Combinations used to protect classified AA&E shall require the custodian to hold a

personnel security clearance commensurate with the highest level of classified information being

protected.

n. A key control training program should be developed to train responsible personnel in lock

and key control procedures and responsibilities. Training should be comprehensive and provide

a strategic understanding of key and lock control and protection requirements. Training should

be provided on an annual basis. More information is available from the DoD Lock Program

Technical Support Hotline at (800) 290-7607, DSN (312) 551-1212, or via the Internet at

https://portal.navfac.navy.mil/go/locks.

o. Unserviceable high-security padlocks, keys, and cylinders shall be controlled until

properly destroyed. These high-security padlocks, cylinders, and keys can be sent to the DoD

Lock Program for disposal at:

(1) Army and Air Force. Ship via registered mail to:

DoD Lock Program (HSPS)

1100 23rd Avenue

Port Hueneme, CA 93043-4370

(2) Navy, Marine Corps, and Coast Guard. Ship via registered mail to:

Commanding Officer

Naval Surface Warfare Center,

Crane, IN 47522-5010

(Code GXQS)

11. SECURITY SEALS

a. Security seals shall be part of an integrated security program to enhance AA&E

accountability. Security seals shall not be used as the single measure of protection for AA&E.

b. An effective security seal control program should be administered by a security seal

custodian and include:

(1) Procurement.

(2) Storage.

(3) Accountability.

(4) Installation and inspection.

(5) Removal and inspection.

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c. For further guidance, refer to the Department of Homeland Security’s Users Guide on

Security Seals for Domestic Cargo (Reference (ad)) or call the DoD Lock Program Technical

Support Hotline (800) 290-7607, (805) 982-1212, or DSN (312) 551-1212.

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ENCLOSURE 5

PROTECTION OF ARMS

1. GENERAL. This enclosure prescribes the criteria and standards for the protection of arms in

the custody of DoD Components. All arms shall be stored in the manner prescribed in this

enclosure or as outlined in Enclosure 6 of this Manual for SRC I-III missiles and rockets and all

SRC of A&E at unit level.

2. STORAGE AND SUPPLEMENTAL CONTROLS

a. The installation/base commander shall determine the necessity for perimeter fencing.

Chains used to secure perimeter gates shall meet Table IV, Type 1, Class 4, of at least 3/8-inch

thickness in accordance with Federal Specification RR-C-271D (Reference (ae)). An example of

equivalent chain is “Type 1 Grade C, Class 4, NSN 4010-00-184-3476, Chains,” which shall be

secured with a general field service padlock in accordance with Federal Specification FF-P-2827

(Reference (af)).

b. Arms stored within structures prescribed in Enclosures 5 and 6 of this Manual at unit level

shall be secured in GSA-approved Class 5 container, banded crates, standard issue (arms racks or

locally fabricated and approved arms racks or metal containers). The DoD Components shall

develop policy for the inspection and approval of locally fabricated arms racks and containers.

The racks must be constructed to prevent easy removal of arms and/or major components.

(1) Hinged locking bars for racks shall have the hinges welded, peened, or otherwise

secured to prevent easy removal of arms and secured with low-security padlocks in accordance

with the Commercial Item Description for a Key-Operated Padlock (Reference (ag)) or the

Commercial Item Description for an Individually Keyed or Keyed Alike Padlock Set (Reference

(ah)).

(2) Chains used to secure weapons racks shall be heavy-duty hardened steel or welded,

straight link, galvanized steel, 5/16-inch thickness or equivalent in accordance with Reference

(ae).

(3) Racks and containers weighing less than 500 pounds (with weapons) shall be

fastened to the structure, or fastened together in groups that have a total weight exceeding 500

pounds, with bolts and chains.

(a) Bolts used to secure racks must be spot-welded, peened, or otherwise secured to

prevent easy removal.

(b) Weapons racks shall be secured with low-security padlocks in accordance with

Reference (ag) or Reference (ah), and chains in accordance with Reference (ae).

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c. Unless continuously guarded or under constant surveillance so that unauthorized entry

into and around arms storage structures can be detected, all SRC II arms storage structures (both

bulk storage and unit level) shall be protected by IDS as specified in Enclosure 4 of this Manual.

All SRC III and IV IDS requirements shall be determined by the respective DoD Component. In

addition, an individual(s) from a supervised armed security force (where allowed by local

jurisdiction) shall check all alarmed SRC II arms storage structures at least once daily during

non-duty hours.

d. SRC III and SRC IV storage facilities not equipped with IDS shall be checked at least

once daily as outlined in paragraph 2.c. of this enclosure.

e. When the storage of arms in an arms storage facility, arms room, modular vault, or

portable armory impedes operational or training requirements, arms may be stored in accordance

with the guidance in subparagraphs 2.e.(1) and 2.e.(2) of this enclosure.

(1) DoD Components may authorize storage of small quantities of SRC IV arms in a

GSA- approved Class 5 security container (Reference (y) and Reference (z)), or weapons storage

container (Reference (aa)) that is secured with a lock meeting specification in accordance with

Reference (ab) that does not contain classified materials. These containers storing SRC IV arms

are exempt from requirements for IDS, security lighting, and security patrol requirements. The

DoD Components shall limit the number stored based on mission and operational requirements

in conjunction with an assessment of the threat and vulnerability conditions. Provisions of this

paragraph only apply to small units (e.g., police, security forces, explosive ordnance

detachments, and DCIOs, or for operational and readiness requirements).

(2) Arms may be stored in secured combat vehicles, aircraft, ships, trailers, or in other

configurations required by operational or training requirements, provided constant surveillance

of the items is established and retained.

f. Firearms stored at rod and gun clubs on DoD installations shall comply with the

requirements of this Manual or as determined by the DoD Component.

g. SRC II-IV arms may be stored in one of the methods listed in subparagraphs 2.g.(1)

through 2.g.(4) of this enclosure.

(1) A GSA-approved assembled armory vault system as described in Federal

Specification AA-V-2940 (Reference (ai). The armory vault system is approved for exterior use

and provides for 15 minutes of protection against multilevel tool attack.

(2) A pre-engineered magazine in accordance with Naval Facilities Engineering Service

Center Technical Data Sheet TDS-2078-SHR (Reference (aj)) and, locked with an internal

locking device (ILD) in accordance with Naval Facilities Engineering Security Center Internal

Locking Device Engineering Drawings (Reference (ak)), or a high-security padlock that meets

Military Detail Specification (MIL-DTL) MIL-DTL-43607H (Reference (al)), and high-security

hasp in accordance with Military Detail Specification MIL-DTL-29181 (Reference (am)).

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(3) A pre-engineered/pre-fabricated steel armory in accordance with Naval Sea Warfare

Center Purchase Specification NSWC 3046-93-2 (Reference (an)), locked with an ILD in

accordance with Reference (ak), or a high-security padlock that meets the specifications in

accordance with Reference (al), and high-security hasp in accordance with Reference (am).

(4) A pre-engineered/pre-fabricated steel magazine in accordance with Naval Sea

Warfare Center Purchase Specification NSWC 3046-93-1 (Reference (ao)), locked with an ILD

in accordance with Reference (ak), or a high-security padlock that meets the specifications in

accordance with Reference (al), and high-security hasp in accordance with Reference (am).

(5) The additional controls listed in subparagraphs 2.g.(5)(a) through 2.g.(5)(d) of this

enclosure are required with using portable armories for the protection of SRC II-IV.

(a) IDS. Portable military armories storing SRC II- IV arms shall be provided with

approved IDS in accordance with this Manual. Facilities without operational IDS require

constant surveillance by armed guards.

(b) Security Patrols. Facilities shall be checked at intervals not exceeding 8 hours.

Facilities should be checked by a security patrol more frequently as determined by the local

threat and vulnerability assessment.

accordance with paragraph 2.h. of this enclosure.

(d) Locks and Hasps. Doors used for access to the portable armory shall be locked

with an approved ILD in accordance with Reference (ak), or a high-security padlock in

accordance with Reference (al) and a high-security hasp in accordance with Reference (am).

h. Security lighting shall be provided for all arms storage areas and facilities. The lighting

shall be sufficient to allow guards or individuals responsible for maintaining surveillance to see

illegal acts such as forced entry or the unauthorized removal of arms. Lighting shall provide a

minimum of 0.2 foot-candles (2 lux) illumination measured on the horizontal plane at ground

level and be sufficient to allow detection of unauthorized activity. Exterior light switches shall

be installed so that they are only accessible to individuals with authorized access.

i. Manhole covers shall be secured to prevent unauthorized entry into facilities or areas that

store arms.

3. ARMS PARTS. Major parts for arms (such as barrels and major subassemblies) shall be

afforded at least the same protection as SRC IV arms. The frame or receiver of an arm

constitutes a weapon and such parts shall be stored according to the applicable SRC (e.g., the

receiver of a .50 caliber machine gun shall be stored as a SRC II arm).

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4. FACILITIES LOCATED OUTSIDE A MILITARY INSTALLATION

a. In addition to meeting the requirements of this Manual, SRC II-IV arms shall have the

bolts removed and secured in a separate GSA-approved Class 5 security container or GSA-

approved weapons container in response to any of the conditions listed in subparagraphs 4.a.(1)

through 4.a.(5) in this enclosure.

(1) Facility does not meet the structural requirements of this Manual (e.g., undergoing

security upgrade).

(2) Increased threat conditions.

(3) Inoperative IDS.

(4) The facility is unattended for extended periods of time with the arms stored inside.

(5) As directed by DoD Component policy.

b. Bolts so removed shall be tagged or marked with the weapons’ UII to ensure return to the

same weapons.

5. ISSUANCE OF ARMS. The Heads of the DoD Components shall prescribe and implement

procedures for issuing arms for training and/or mission performance purposes. Such procedures

shall include:

a. A system to identify and authenticate persons authorized to remove arms from arms

rooms/storage areas.

b. A sign-in, sign-out register/log that reflects the name and signature of the individual

removing or returning the arms, date and time of sign-out and return, and reason for use.

c. Expeditious inquiry of all instances where arms were not returned within stipulated

timeframes.

d. Emergency issuance procedures that ensure the integrity of the accountability system.

6. PERSONALLY RETAINED WEAPONS

a. DoD Components, dependent on situation, shall also prescribe physical security measures

or delineate compensatory measures in accordance with this Manual for those persons identified

in paragraphs 4.c. and 4.d. of Enclosure 2 of this Manual. This includes guidance and

procedures to prevent loss, theft, and unauthorized carry or use. Firearms shall be returned or

retrieved from the person assigned for accountability and safekeeping when, at any time, the

security of the firearm could be compromised.

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b. Personnel authorized to retain, transport, and store Government-issued firearms at their

personal residences and/or Government or non-Government locations shall be provided with a

safety-lock device that prevents the firearm from being loaded and instructions for its proper use.

7. PRIVATELY OWNED WEAPONS. DoD Components shall establish policy and procedures

commensurate with the requirements for the protection of SRC IV arms in this Manual for the

accountability and storage of privately owned weapons and ammunition that are stored in DoD

AA&E facilities on installations.

8. CONTRACT GUARD WEAPONS AND AMMUNITION. DoD Components shall establish

policy and procedures for the protection of contract guard weapons when stored on DoD

installations. When stored on DoD installations, these items shall be protected in accordance

with this Manual.

9. FACILITY CONSTRUCTION CRITERIA

a. New construction, major renovations, or use of existing facilities not previously storing

arms, other than approved GSA-approved containers, vaults, Type II magazines, and Type II

armories, built at AA&E facilities and installations shall be constructed according to this

Manual, Reference (i), and Reference (m). New facility construction design shall provide a

minimum of 10 minutes’ resistance to forced entry against an unlimited supply of hand tools or

battery-operated tools.

b. These requirements shall continue to be met or exceeded should applicable an UFC be

less protective.

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ENCLOSURE 6

PROTECTION OF MISSILES, ROCKETS, AND ALL SRC OF A&E

1. GENERAL

a. Missiles, rockets, and A&E listed in Enclosure 7 of this Manual shall be stored in

structures that meet the explosive safety requirements outlined in Reference (i) and provided

security protection in accordance with this Manual. Individuals issued or in possession of

missiles, rockets, ammunition, or explosives are responsible for the security of such property

while it is entrusted to their care.

b. Missiles, rockets, and A&E items installed in or on platforms are considered in use and

shall be protected as part of the overall weapon system on which they are installed and protected

in accordance with Reference (g) and this Manual.

c. The requirements of this Manual shall be included in the development and security

requirements for weapons systems.

2. BULK STORAGE AREAS (MUNITIONS SUPPLY POINTS/STORAGE AREAS)

a. Bulk storage areas are considered to be depot activities, pre-stock points, and ammunition

supply points at which bulk quantities of missiles, rockets, and A&E are stored. Storage is

usually in original containers.

b. If operational necessity dictates and existing facilities do not meet the criteria of

Reference (i) or this Manual, SRC III and IV A&E may also be stored in pre-engineered

explosives magazines as specified in Reference (aj), Reference (ao), or a similarly constructed

DoD Component-prescribed structure.

c. Type II magazines, in accordance with section 208, part 55 of title 27, Code of Federal

Regulations (Reference (ap)) that have been approved for a reduced explosive safety quantity

distance arc can only store the quantity and types of explosive ordnance demonstrated in the

sympathetic detonation test for that container. Only the explosive items listed in the sympathetic

detonation test listed for the particular magazine can be placed inside that magazine.

d. All SRC categories shall normally be stored in original containers, banded, and/or sealed

to reflect the integrity of the contents. Where practical, containers weighing less than 500

pounds should be fastened to the structure, or fastened together in groups that have a total weight

exceeding 500 pounds, with bolts or chains secured with approved padlocks in accordance with

Reference (ag) or Reference (ah). Where such fasteners hinder operational requirements, the

facility manager may waive this requirement.

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e. Storage structures shall be secured with either high-security padlocks and hasps or ILDs

as necessary to ensure protection is afforded according to level of threat. The use of the ILD

should be considered for installation and use in new construction and major renovations of

magazines storing SRC I and SRC II A&E as necessary to ensure protection is afforded

according to the level of threat and SRC category. Contact the DoD Lock Program Technical

Support Hotline at (800) 290-7606, DSN (312) 551-1212 or via the Internet at

https://portal.navfac.mil/go/locks for more information.

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

a. Fence fabric shall be chain link, i.e., galvanized, aluminized, or plastic-coated woven

steel, 2-inch square mesh made from 9-gauge diameter wire, excluding coating that meets

Federal Specification RR-F-191K (Reference (aq)). In Europe, fencing may be North Atlantic

Treaty Organization Standard Design Fencing (2.5-3mm gauge, 76mm grid opening, 2-meter

height, and 3.76-meter post separation).

b. The minimum height of the fence fabric shall be 6 feet excluding top guard/outrigger.

The bottom of the fence will extend 2 inches into the ground. Surfaces will be stabilized in areas

where loose sand, shifting soils, or surface waters may cause erosion and thereby assist an

intruder in penetrating the area. Where surface stabilization is not possible, or is impracticable,

concrete curbs, sills, or other similar type anchoring devices, extending below ground level will

be provided.

c. Clear zones shall be established to extend a minimum of 12 feet on the outside and 30 feet

on the inside (or to the maximum extent within available land space if minimum requirements

cannot be met).

d. The perimeter fence shall have the minimum number of vehicular and pedestrian gates,

based on operational requirements. Unless continuously guarded, gates shall be secured with

chains in accordance with Reference (ae), or equivalent chain. Chains shall be secured with a

general field service padlock in accordance with Reference (af). Hinge pins shall be peened,

welded, or otherwise secured.

e. Drainage structures and water passages penetrating or passing under installed fencing with

a cross-sectional area opening greater than 96 square inches or greater with the smallest

dimension being more than 6 inches shall be barred.

f. If an installation’s SRC I and II storage areas have adequate perimeter fencing, it is not

required to fence the inner (actual) storage area if the entrance(s) to the storage area is (are)

protected by an IDS integrated with CCTV monitoring.

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4. EXTERIOR LIGHTING

a. Exterior building and door lighting shall be provided for all structures storing SRC I and II

items. The lighting shall be sufficient to allow detection of unauthorized activity.

b. Switches for exterior lights shall be installed in such a manner that they are accessible

only to individuals with authorized access. The necessity for perimeter lighting shall be

determined by the DoD Components.

c. Facilities used to store A&E shall require illumination in accordance with paragraph 2.h.

of Enclosure 5 of this Manual.

5. COMMUNICATIONS. Storage areas shall have a primary and backup means of

communications that permit notification of emergency conditions. The backup system shall be a

different mode than the primary. Radio may be one of the modes of communication. The

communication systems shall be tested with results documented daily or where unique

circumstances exist in accordance with DoD Component established procedures.

6. UNIT LEVEL (BASIC LOAD QUANTITIES OR QUANTITIES SUFFICIENT

FOR TRAINING AND OPERATIONAL PURPOSES)

a. Unit-level stocks are typically limited quantities housed in a building or facility as

described in this section when needed for the purposes of continuous use, tactical configuration,

mission requirements, or other storage that may impede training or readiness.

b. SRC I-III missiles and rockets and all A&E SRCs shall be stored in accordance with the

guidance for bulk storage areas listed in paragraph 2 of this enclosure or in a manner listed in

subparagraphs 6.b.(1) through 6.b.(6) of this enclosure when the requirements outlined in

Reference (i) for the appropriate type A&E are met.

(1) An existing arms room constructed in accordance with this manual, Reference (m), or

a DoD Component-specified structure.

(2) A GSA-approved outdoor assembled armory vault system in accordance with

Reference (ai).

(3) Indoor modular vaults, including GSA-approved modular vault systems in

accordance with Federal Specification AA-V-2737 (Reference (ar)) with armory vault doors in

accordance with Federal Specification AA-D-600D (Reference (as)).

(4) A GSA-approved Class 5 weapons storage container in accordance with Reference

(y), Reference (z), or Reference (aa).

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(5) A pre-engineered magazine as described in Reference (aj) or Reference (ao) when

operational necessity dictates and existing facilities do not meet the criteria of this Manual or

Reference (m) for SRC III and IV A&E.

(6) Secured combat vehicles, aircraft, ships, trailers, or in other configurations required

by operational or training requirements, provided constant surveillance of the items is established

and maintained. The DoD Components shall prescribe additional security measures for this type

of storage that shall prescribe protection requirements commensurate with this Manual.

c. Facility Construction

(1) Personnel doors shall be constructed in a manner listed in subparagraph 6.c.(1)(a) or

(b).

(a) GSA-approved Class 5 Armory Vault Doors as described in Reference (as).

(b) Solid hardwood or laminated wood of at least 1 3/4-inch thickness with 12-gauge

steel plate on the outside face, or standard 1 3/4-inch thick, hollow metal, industrial-type

construction with a minimum 14-gauge skin plate thickness, internally reinforced with

continuous vertical steel stiffeners spaced 6 inches on center.

(2) Door bucks, frames, and keepers shall be rigidly anchored and provided with anti-

spread filler reinforcement to prevent disengagement of the lock bolt by prying or jacking of the

door frame. Door frames shall be designed and installed in a manner that prevents removal of

the frame facing. Their construction requirements shall be as exacting as those for the actual

doors. For example, where metal doors are used, the frame and thresholds shall also be metal.

Door hinges shall be located on the inside and shall be of the fixed-pin security type or

equivalent.

(3) Existing access doors (except for GSA-approved Class 5 vault doors, which have

built-in three position dial combination lock and doors of GSA-approved Class 5 Weapons

storage containers) shall be equipped with a locking device listed in subparagraph 6.c.(3)(a) or

(b).

(a) High-security padlock in accordance with the specifications in Reference (al) and

high-security hasp in accordance with the specifications in Reference (am).

(b) Integrated ILD in accordance with the specifications in Reference (ak).

(4) New construction or planned upgrades to access doors for SRC I and II missiles and

rockets should consider the use and installation of ILDs or GSA-approved armory vault doors.

d. Missiles and rockets shall normally be stored in original containers, banded and sealed to

protect the integrity of the contents. Where practical, containers weighing less than 500 pounds

should be fastened to the structure, or fastened together in groups that have a total weight

exceeding 500 pounds, with bolts or chains secured with approved padlocks in accordance with

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Reference (ag) or Reference (ah). Where such fasteners hinder operational requirements, the

facility manager may waive this requirement.

e. Windows and other openings shall be kept to a minimum and where used on facilities

storing A&E shall comply with the requirements of Reference (i).

f. Exterior building and door lighting shall be provided for all structures storing SRC I and II

material. The lighting shall be in accordance with requirements outlined in paragraph 2.h. of

Enclosure 5 of this Manual. The Heads of the DoD Components shall determine the necessity

for security lighting of structures housing SRC III and IV A&E.

g. Two or more units may share the same storage facility. Where applicable, stocks shall be

separated and identified by unit. One unit shall be designated as responsible for the security of

the entire facility.

7. INTRUSION DETECTION (BULK STORAGE AND UNIT LEVEL)

a. Each magazine and/or structure (permanent and portable) storing SRC I and II missiles

and rockets, and SRC I and II AA&E, shall be equipped with an IDS as described in Enclosure 4

of this Manual. The exceptions are storage areas that are continuously manned or under constant

surveillance to detect unauthorized entry into and around the storage structures. For areas with

an IDS, an individual from a supervised and armed security force (where allowed by local

jurisdiction) shall randomly check all alarmed structures at least once daily during non-duty

hours, or more often based on threat or risk assessment.

b. Structures containing SRC III missiles and rockets, and SRC III and IV A&E, do not

require IDS. However, they do require security force checks daily during non-duty hours. IDS

for portable pre-engineered explosive magazines that contain SRC III and IV shall be determined

by the responsible DoD Component. If SRC III and IV structures/containers are equipped with

IDS, daily security force checks during non-duty hours are not required.

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ENCLOSURE 7

SENSITIVE CONVENTIONAL AA&E SRC

1. GENERAL. This enclosure outlines processes for identifying the SRC of AA&E based on

utility, casualty or damage effect, adaptability, and portability. The SRC identification process

supports the minimum security requirements to protect AA&E adequately. This enclosure

includes SRC I-IV and provides guidance for uniform identification and coding of AA&E items.

a. On the basis of their relative utility, attractiveness, and availability to criminal and

terrorist elements, AA&E shall be categorized according to the risks involved. Any single

container that contains a variety of spare parts that can be assembled to perform the basic

function of the end item shall be categorized the same as the end item.

b. Section 2 of this enclosure lists those missiles and rockets determined to be sensitive and

assigns appropriate risk categories to them. Conventional missiles and rockets that meet the

definition of SRC I shall be included automatically in that category as they come into the

inventory.

c. Sensitive Conventional AA&E, rocket, and missile SRC and actions for physical security

accountability and transportation shall be standardized throughout the Department of Defense.

These items shall be integrated into standard catalog data by all DoD Components and shall be

included in applicable documents that address physical security, accountability, storage,

transportation, and other related functional activities. DoD Component item managers through

joint-Service coordination shall use the processes outlined in section 4 of this enclosure for

determining the SRC of AA&E for uniform identification and codification of AA&E items.

Examples are in sections 2 and 3 of this enclosure.

d. To ensure a uniform approach to AA&E item identification and coding, DoD Components

shall incorporate the criteria into their respective cataloging policies and procedures.

Additionally, the criteria shall become part of the Federal cataloging system.

e. The DoD Components shall periodically review A&E coding by means of routine catalog

data changes. The exception to applying the methodology specified in this enclosure shall be

when a joint-Service agreement is reached on a case-by-case basis to place an item in a higher or

lower SRC than that indicated by the total numerical value, or when evidence of theft, diversion,

or misuse requires higher coding.

f. The OUSD(I&S), based on threat assessment, evaluated risk, and geographical location,

may determine the requirements for items to be placed in higher risk category or application of

additional security measures. When this method for determining increased protection is applied,

a DoD-wide message shall be prepared and provided to DoD Components.

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g. Items represented as examples for each SRC are provided for general reference. The

specific SRC category of all AA&E should be verified through appropriate supply and logistics

systems to ensure accurate designation and incorporation of security measures.

2. MISSILES, ROCKETS, AND A&E

a. Missiles and Rockets

(1) SRC I. Man-portable missiles and rockets in a ready-to-fire configuration or when

jointly stored or transported with the launcher tube and/or grip-stock and the explosive round,

although not in a ready-to-fire configuration, shall be considered SRC I weapon items.

Examples include:

(a) Stinger missiles.

(b) Dragon, Javelin, light antitank weapon (66mm), shoulder-launched multi-purpose

assault weapon rocket (83mm), M136 (AT4) anti-armor launcher and cartridge (84mm).

(2) SRC II. Missiles and rockets that are crew-served or require platform-mounted

launchers and other equipment to function include HYDRA-70 rockets and the tube-launched

optically wire guided (TOW) missile.

(3) SRC III. Missiles and rockets that require platform-mounted launchers and complex

hardware and software equipment to function include the HELLFIRE missile.

b. A&E

(1) SRC I. Complete explosive rounds for SRC I missiles and rockets include those

items listed in section 2.a.(1) of this enclosure.

(2) SRC II. Examples include:

(a) Hand or rifle grenades (high-explosive and white phosphorous).

(b) Antitank or antipersonnel mines (each with an unpacked weight of 50 pounds or

less).

trinitrotoluene (TNT) with an unpacked weight of 100 pounds or less.

(d) Warheads for sensitive missiles and rockets weighing less than 50 pounds each.

(3) SRC III. Examples include:

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(a) Ammunition, .50 caliber and larger with explosive-filled projectile (unpacked

weight of 100 pounds or less).

(b) Incendiary grenades and fuses for high-explosive grenades.

(d) Supplementary charges.

(e) Bulk explosives.

(f) Detonating cord.

(g) Warheads for sensitive missiles and rockets weighing more than 50 pounds, but

less than 100 pounds each.

(4) SRC IV. Examples include:

(a) Ammunition with non-explosive projectile (unpacked weight of 100 pounds or

less).

(b) Fuzes (other than those for high-explosive grenades).

(d) Incendiary destroyers.

(e) Riot control agents (100 pound package or less). Excludes liquid pepper spray

that is procured or manufactured through commercial sources.

(f) Ammunition for weapons not otherwise categorized in paragraph 3.c. in this

enclosure.

(g) Explosive compounds of sensitive missiles and rockets (except warheads).

(h) Warheads for precision-guided munitions weighing more than 50 pounds

(unpacked weight).

3. ARMS

a. SRC II. Examples include:

(1) M-16/M4s

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(2) Light automatic weapons up to and including M249, M2, and 40mm MK19 machine

guns.

(3) SRC II weapons frames and receivers; and weapons components such as silencers,

mufflers, and noise suppression devices.

b. SRC III. Examples include:

(1) Functional launch tube with umbilical squib installed and grip stock for the Stinger

missile.

(2) Launch tube, sight assembly, and grip stock for missiles.

(3) Tracker for the Dragon missile.

(4) Mortar tubes up to and including 81mm.

(5) Grenade launchers (single shot).

(6) Rocket and missile launchers with an unpacked weight of 100 pounds or less.

(7) Flame throwers.

(8) The launcher, missile guidance set, or the optical sight for the TOW and the Javelin

Command Launch Unit.

c. SRC IV. Examples include:

(1) Single shot and semi automatic (non-automatic) shoulder-fired weapons such as

shotguns and bolt action rifles and weapons barrels.

(2) Handguns.

(3) Recoil-less rifles up to and including 106mm.

4. CAT-U. Examples include, AA&E such as those items with numerical ratings of 13-16.

AA&E that are uncategorized and/or generally exceed an unpacked weight of 100 pounds shall

have security policy developed by the responsible DoD Component.

5. COMPUTATION OF SRC. The DoD Components shall use Tables 2 through 6 to determine

the numerical value of each risk factor (utility, casualty or damage, adaptability, and portability)

and compute the overall risk and SRC. To determine the numerical rating corresponding to risk,

select one value from each table (Tables 2 through 5) and then total the four numbers. Use the

total to obtain the overall SRC value from risk factor SRC Conversion table (Table 6).

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Table 2. Utility Risk Factor Values

Utility

Risk

Factor

Description

High 1 High-explosive, concussion, and fragmentation devices.

Moderate 2 Small arms ammunition.

Low 3

Ammunition items not described in section 4 of this

enclosure. Non-lethal munitions, civil disturbance chemicals,

incendiary devices.

Impractical 4

Practice, inert, or dummy munitions; small electric explosive

devices; fuel thickening compound; or items possessing other

characteristics that clearly and positively negate potential use

by terrorist, criminal, or dissident factions.

Table 3. Casualty or Damage Risk Factor Values

Casualty or

Damage Effect

Risk

Factor

Description

High 1

Extremely damaging or lethal to personnel; devices that

would probably cause death to personnel or major material

damage.

Moderate 2

Moderately damaging or injurious to personnel; devices that

could probably cause personnel injury or material damage.

Low 3 Temporarily incapacitating to personnel.

None 4

Flammable items and petroleum based products readily

available from commercial sources.

Table 4. Adaptability Risk Factor Values

Adaptability

Risk

Factor

Description

High 1

Usable as is without modification. Easy to employ without

the use of other system components.

Moderate 2

Slight modification. Other system components required; or

can be used with slight modification.

Low 3

Major modification. Other components not available in the

commercial market are required; or can be used with

modification that changes the configuration.

Impractical 4

Requires specified functions or environmental sequences

that are not readily reproducible, or construction makes it

incapable of producing high order detonation; for example,

gas grains and impulse cartridges.

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Table 5. Portability Risk Factor Values

Portability

Risk

Factor

Description

High 1 Items easily carried/concealed by one person.

Moderate 2

Items that can be carried by one person for a short

distance despite their shape, size, and weight.

Low 3

Items that require at least two persons to carry because

of their shape, size, and weight.

Impractical 4

Material handling equipment required. The weight, size,

and shape of these items preclude the movement without

materials-handling equipment.

Table 6. Risk Factor Numerical Values and SRC Conversion

Numerical Rating

(Sum totals from

Decision Tables 3-6)

Risk Factor

Evaluation

SRC

(4-5) High sensitivity II

(6-8)

Moderate

sensitivity

III

(9-12) Low sensitivity IV

(13-16) Non-sensitive U

SRC I calculation is not included since it is specifically defined.

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ENCLOSURE 8

INVENTORY, UII REGISTRATION, DISPOSAL, AND DEMILITARIZATION

1. GENERAL. The control of AA&E is critical to their protection. In order to control and

maintain accountability of AA&E effectively, the requirements in subparagraphs 1.a. through

1.c. of this section shall be met to ensure that AA&E are properly safeguarded:

a. Inventories of weapons and ammunition at the unit level should not be conducted by unit

armorers, persons authorized unaccompanied access, or by the same person two consecutive

months in a row.

b. DoD Components shall establish procedures for item managers to ensure adequacy of

requisition verification of SRC I missiles and rockets. The procedures shall include positive

steps for rejecting unauthorized requisitions. Procurement contracts shall provide for individual

items serialization.

c. Statistical sampling of items outlined in DoD Instruction 4140.01, (Reference (at)) can be

used based on DoD Component implementation policy and consistent with this enclosure.

2. PHYSICAL INVENTORY CONTROL PROCEDURES. In accordance with Reference (m),

the items listed in subparagraphs 2.a. through 2.c. of this enclosure require inventories.

a. SRC I missiles and rockets and SRC II-IV arms (includes other sensitive conventional

arms in addition to small arms). Physical inventories shall be performed in accordance with

Reference (m) and subparagraphs 2.a.(1) through 2.a.(4) of this enclosure.

(1) Unit-level personnel shall conduct a 100 percent monthly physical count by serial

number or UII.

(2) Installation-(post, camp, base, station) level personnel shall conduct a 100 percent

semi-annual count by serial number or UII.

(3) Depot-level personnel shall conduct a 100 percent annual physical inventory.

(4) Where the items are banded and crated, the inventory shall consist of a 100 percent

count, as reflected by the number of items listed on the crates. Any evidence of tampering shall

be cause for a crate to be opened and a 100 percent count taken of the contents. Inventory

records shall be retained for a minimum of 2 years.

b. SRC II or III missiles and rockets. Each DoD Component having custody of SRC II and

III missiles and rockets shall establish and maintain records that provide continuous

accountability (receipt, storage, shipment, and destruction/demilitarization (DEMIL)). These

records shall include and reflect missiles and rockets issued for training; missiles and rockets

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returned unexpended from training; and expended residue as applicable. Additionally, the DoD

Components shall establish requisition verification procedures as specified in section 1 of this

enclosure for SRC I missiles and rockets. Physical inventories shall be performed in accordance

with Reference (at) and subparagraphs 2.b.(1) through 2.b.(4) of this enclosure.

(1) Unit-level personnel shall conduct a 100 percent quarterly physical count by serial

number or UII.

(2) Installation-(post, camp, base, station) level personnel shall conduct a 100 percent

semi-annual count by serial number or UII.

(3) Depot-level personnel shall conduct a 100 percent annual physical count.

(4) Where the items are banded and crated, the inventory shall consist of a 100 percent

count, as reflected by the number of items listed on the crates. Any evidence of tampering shall

be cause for a crate to be opened and a 100 percent count taken of the contents. Inventory

records shall be retained for a minimum of 2 years.

c. SRC I-IV A&E at units, installations, and depots. Physical inventories shall be performed

in accordance with Reference (at) and subparagraphs 2.c.(1) through 2.c.(4) of this enclosure.

(1) Unit-level personnel shall conduct a 100 percent monthly physical count of the

contents of any unsealed containers. This also applies to items issued and stored outside AA&E

storage areas.

(2) Installation-(post, camp, base, station) level personnel shall conduct 100 percent

semiannual physical count of the contents of any unsealed containers.

(3) Depot-level personnel shall conduct inventories as a minimum as prescribed in

Reference (at).

(4) Where the items are banded and crated, the inventory shall consist of a 100 percent

count, as reflected by the number of items listed on the crates. Any evidence of tampering shall

be cause for a crate to be opened and a 100 percent count taken of the contents. Inventory

records shall be retained for a minimum of 2 years.

3. INVENTORY ADJUSTMENTS. When processing inventory adjustments, no AA&E loss

shall be attributed to an accountability or inventory discrepancy unless determined through

investigation that the loss was not the result of theft.

4. DISPOSAL AND DEMIL. Disposal and DEMIL of all excess and surplus AA&E shall be

accomplished in accordance with DoD Manual 4160.21 (Reference (au)) and the explosives

safety requirements in Reference (i). AA&E being disposed of (e.g., FMS, transfer to law

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enforcement agencies) shall be stored and transported in accordance with this Manual until

custody is transferred to a non-DoD entity or activity.

5. INVENTORY WHEN CUSTODY OF KEYS TO UNIT LEVEL ARMS STORAGE

FACILITIES IS TRANSFERRED. The Heads of the DoD Components shall prescribe and

implement inventory procedures that ensure physical counts of arms and ammunition by both

incoming and outgoing key custodians each time the custody of the keys is transferred. For

boxes and containers that are sealed or locked, the inventory shall consist of a 100 percent count

as reflected by the number of items listed on the boxes and containers. Evidence of tampering

shall cause the boxes to be opened and the contents counted. Inventory results shall be retained

until completion of the next UII inventory.

6. PERSONNEL. Personnel who are responsible for the accountability of AA&E shall be made

aware of the importance of accurate receipt, dispatch, and inventory records. The requirement

for scheduled inventories shall be emphasized to ensure compliance with established policy.

Personnel shall follow procedures for processing inventory adjustment gains and losses as

prescribed in Reference (m).

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ENCLOSURE 9

PHYSICAL SECURITY OF AA&E AT CONTRACTOR FACILITIES

1. GENERAL. AA&E in the custody of contractor owned facilities shall be protected according

to the provisions of this Manual through the express terms of the contract. Any additional

requirements imposed by a DoD procuring command or activity shall be specified in section H,

“Special Clauses Section,” of the contract. DoD Components shall furnish additional guidance

issued for the protection of AA&E to the OUSD(I&S) Director of Security.

2. CONTRACTOR-OWNED AA&E PRODUCTION AND STORAGE FACILITIES. These

facilities include areas where, through contract with the DoD Components, arms, ammunition,

and/or explosives are manufactured, retrofitted, modified, or developed. This enclosure outlines

the additional requirements not further defined in this Manual that apply specifically to

contractor-owned facilities. In addition to this enclosure, all other requirements in this Manual

and Reference (i) which are applicable to the SRC of AA&E being controlled, stored, or

otherwise in the control of the contractor shall be applied.

3. FACILITY CONSTRUCTION. AA&E in production and/or storage at contractor-owned

facilities shall be secured in one of the structures listed in subparagraphs 3.a. through 3.i. of this

enclosure as prescribed and authorized by the procuring command/activity:

a. A structure built in accordance with Reference (i).

b. A structure that complies with Reference (k).

c. A portable explosives magazine as specified in Reference (aj).

d. A structure built according to the procuring command/activity’s applicable Military

Department or UFC construction requirements for AA&E as supplemented by guidance in this

Manual.

e. A storage structure built in accordance with Reference (m) to meet appropriate threat and

delay time requirements.

f. An existing structure if approved by the procuring command/activity. The procuring

command/activity shall coordinate with the supporting DSS field office for those facilities

approved for use by the procuring command/activity. The procuring command/activity shall

ensure alternative or compensatory measures are implemented prior to approval of existing

structures that are not compliant with this Manual. The procuring command/activity shall

maintain a list and provide a copy to the DSS supporting field office.

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g. A GSA-approved modular vault (see Reference (ar)) with a GSA-approved Class 5

Armory Vault Door in accordance with Reference (as).

h. A GSA-approved Class 5 map and plan container (see References (y) and (z)), or GSA-

approved Class 5 weapons storage container (see Reference (aa)), for the storage of SRC III and

IV arms only.

i. A Type II Magazine (for storage of SRC III and IV A&E only) pursuant to Reference (ap).

4. CONTRACTOR FACILITY SUITABILITY DETERMINATION

a. Procuring command/activity approval (authorization) of any of the structures in section 3

of this enclosure shall be based on one or all of the items in subparagraphs 4.a.(1) through 4.a.(4)

of this enclosure.

(1) Type and quantity of the AA&E in possession of the contractor commensurate with

all applicable safety requirements.

(2) Knowledge of the contractor’s AA&E storage and production structures based on

past contract performance.

(3) Structural information provided by the contractor or DSS representative.

(4) Procuring command/activity on-site visit.

b. The procuring command/activity shall issue a written facility suitability determination to

the contractor to show compliance by the contractor with the structural requirements of this

Manual. The procuring command or activity may accept suitability determinations made by

another procuring command /activity as long as the structural integrity of the same facility is

unchanged. If more than one structure is involved for a given contract, the determination may

encompass all of the applicable structures to avoid the necessity of a separate suitability

determination for each storage structure. The suitability determination process must begin at the

pre-award stage of the contract.

5. ADDITIONAL PROTECTIVE MEASURES

a. Security Locks and Hasps

(1) Access doors to storage and production structures shall be secured with a key-

operated high-security padlock (see Reference (al)) and hasp (see Reference (am)). GSA-

approved Class 5 vault doors and doors of GSA-approved Class 5 weapons storage containers,

and doors of Type II magazines are excluded from this requirement. High-security locks and

hasps may be provided to the contractor as Government-furnished equipment, or the contractor

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may procure these items from the Defense Supply Center, Philadelphia, as directed by the

procuring activity.

(2) The lock and hasp requirement is intended for production structures where AA&E is

to be left unattended overnight. If AA&E is removed at the end of the duty day from structures

identified in section 2 of this enclosure, no special lock is required to be installed on the

production structure.

b. Combination, Key, and Lock Control. The contractor shall implement a control system

that ensures accountability and control of AA&E locks, keys, and combinations.

(1) The contractor shall appoint a key and lock custodian to implement and supervise the

control and use of locks, keys, and combinations.

(2) AA&E storage structure keys shall be retained separately from other keys and

accessible only to those persons whose duties require access to AA&E.

(3) The number of keys shall be held to the minimum necessary and must be signed for

by those persons authorized access.

(4) When not attended or in use, keys shall be stored in approved containers as described

in Table 1 in Enclosure 4 of this Manual. Reserve or replacement locks, cores, and keys shall be

secured in the same manner as addressed in Table 1 in Enclosure 4 of this Manual.

c. Access Control. The contractor shall ensure that only appropriately cleared persons and

authorized persons are granted access to AA&E. Vehicular and pedestrian entry into and exit

from the production and storage areas shall be controlled. Privately owned vehicles shall not be

parked within 100 feet of storage and production structures.

d. Security Lighting. Exterior building and door lighting shall be provided for all structures

containing SRC I and II items. The lighting shall be sufficient to allow security forces to detect

unauthorized activity. Switches for exterior lights shall be installed in such a manner that they

are accessible only to individuals with authorized access.

e. Perimeter Fencing. The need for perimeter fencing of structures containing SRC I and II

items shall be determined by the procuring command/activity after consultation with the AA&E

contractor and/or the DSS representative. Guidelines for fencing are contained in Reference

(aq). Perimeter fence chains as described in Reference (ae) shall be secured with a general field

service padlock (see Reference (af)).

f. Intrusion Detection/Alarm System

(1) Structures storing SRC I and II missiles and rockets, SRC I and II A&E, and SRC II-

IV arms shall be protected by an IDS unless the areas where they are located are continuously

manned or under constant surveillance so that unauthorized entry can be detected. The necessity

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for non-duty hour security checks of these structures shall be determined by the procuring

command/activity after consultation with the AA&E contractor and/or the DSS representative.

(2) All materials and equipment used in the IDS shall be listed in Reference (u) under the

specific alarm configuration/application, or be a system approved by the procuring commands

DoD Component authority listed in paragraph 6.b. of Enclosure 4 of this Manual. A list of

manufacturers of UL-listed IDS equipment is available from the UL Website at

http://www.ul.com or from:

Underwriters Laboratories, Inc.

Publication Stock

333 Pfingsten Road

Northbrook, IL 60062

(3) All IDS material and equipment shall be installed according to the criteria established

in Reference (u). Reference (u) provides the technical requirements for installation,

maintenance, testing, and operation of alarm equipment installed in an area or on an object that

contains material for which physical security protection is necessary and required by this

Manual.

(4) IDS transmission lines shall have line security (electronically monitored to detect

evidence of tampering or attempted compromise). If line security is unavailable, two

independent means of signal transmission from the alarmed area to the monitoring station shall

be provided. Where feasible, one of the two independent means of alarm signal transmission

shall be either a long-range radio or cellular telephone link. The dual transmission equipment

shall continuously monitor the integrity of both the telephone wire line and cellular or long-range

links. Upon loss of either communications path, the system shall immediately initiate

notification to the monitoring facility via the remaining communications link. The AA&E

contractor shall test the alarm sensors monthly to ensure the proper functioning of the system. A

log of such test shall be retained for a period of 1 year.

(5) 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. Such station may

be either a commercial central station listed with UL, an AA&E contractor proprietary station, or

a local law enforcement monitoring station, or Government Contract Monitoring Station as

specified in Reference (u).

(6) Alarm systems must comply with Reference (u) unless an exception is granted by the

government procuring command/activity. Each alarmed area must be issued a certificate by the

UL-listed alarm installing company or DoD Component approving office as listed in Enclosure

(7) The response force shall respond within 15 minutes after receipt of an alarm signal

and consist of one of the types of responses listed in subparagraphs 5.f.(7)(a) through 5.f.(7)(c)

of this enclosure.

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(a) In-house AA&E Contractor Response Force. This refers to the AA&E contractor

employee(s) on-site at the AA&E facility during non-duty hours. It also refers to a contract

guard on-site during non-duty hours at the AA&E facility. These response forces are the

responsibility of the AA&E contractor, rather than being controlled by a commercial central

station or local law enforcement.

(b) Response Force Dispatched By a Commercial Central Station. Such force

remains on the premises until a designated representative of the AA&E contractor arrives to

assess the nature of the alarm and takes appropriate measures to ensure the security of the AA&E

or for a period of not less than 1 hour. If the AA&E contractor representative fails to arrive

within 1 hour, the central station (by contractual agreement) shall provide an incident report to

the AA&E contractor within 24 hours of the incident. The report shall include the name of the

subscriber, date and time of the alarm, and name of the contractor representative(s) notified to

respond.

enforcement agency monitoring station to contact his or her designated representative within 15

minutes of alarm activation. If off site, the contractor’s representative shall arrive at the

premises within 1 hour of the alarm notification to assess the nature of the alarm and take

appropriate measures to ensure the security of the AA&E. Arrangements shall also be made for

the law enforcement authority to notify the contractor when the contractor’s representative fails

to arrive within 1 hour as required.

(8) The AA&E contractor shall arrange for constant manning/surveillance of AA&E

storage areas by security personnel during duty and non-duty hours when the IDS is inoperative

due to equipment failure/repair, and/or during emergency conditions. When classified AA&E is

involved, security personnel shall be cleared to the level of classified access.

6. AA&E PRODUCTION LINE SECURITY. The contractor shall assess the security

vulnerabilities involving AA&E manufacturing/production operations in order to prevent the

theft or pilferage of munitions during manufacturing. The contractor shall develop appropriate

production line security countermeasures. Such protective measures shall be in writing and

provided to the DSS for review. Procedures shall be included outlining protective measures to

be employed when the production line(s) is left unattended. CCTV, metal detectors at exit

points, additional barriers, and changes in production line processes are examples of protective

measures that may be employed.

7. IN-TRANSIT SECURITY. The procuring command/activity shall advise the contractor of

requisite transportation security requirements for shipments of AA&E to Government activities,

other contractors, or subcontractors according to Enclosure 10 of this Manual and applicable

provisions of Chapter 205 of Reference (j) that the contractor shall follow. Contractors shall

ensure that internal movement (transportation on a contractor’s facility) of SRC I and II AA&E

includes the contractor’s ability to communicate with security and safety personnel.

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8. CLASSIFIED AA&E. Contractors manufacturing, storing, transporting, or in possession of

classified AA&E shall be cleared in accordance with Reference (n). Classified AA&E, if also

categorized according to Enclosure 7 of this Manual, shall be stored and transported according to

the provisions of this Manual. All other classified AA&E not categorized according to

Enclosure 7 shall be protected in accordance with Reference (o).

9. ACCOUNTABILITY. The procuring command/activity shall require the contractor to be

accountable for AA&E produced/manufactured or under their control. The contractor is

accountable for AA&E items with which they are furnished in support of a DoD contract as well.

The contractor shall provide the procuring command/activity with a written procedure of how

accountability shall be established and retained, including inventories at specified frequencies. A

copy of these procedures shall be furnished to DSS upon approval by the procuring

command/activity.

10. DISPOSAL AND DEMIL OF AA&E. The procuring command/activity shall provide

instructions to the contractor concerning the disposal and DEMIL of residual AA&E. AA&E

awaiting such disposal may be stored outside in an “open” manner (excluding SRC I and II

AA&E) provided the conditions in subparagraphs 10.a. through 10.e. of this enclosure are met.

a. The items remain under constant surveillance (e.g., CCTV, physical presence of contract

employees, or contract employees who are able to maintain constant visual observation of the

AA&E).

b. The items are enclosed in a fenced area with 24-hour access control. The fence must be

constructed according to the guidelines in Reference (aq).

c. The items are banded and crated, with proper accountability and inventory procedures in

place as prescribed by the procuring command/activity.

d. The open storage area is lighted during the hours of darkness or times of reduced visibility

to enhance surveillance.

e. The surveillance system in place provides for the immediate detection of illegal activity,

notification to monitoring locations, and 15-minute response as described in subparagraph 5.f.(7)

of this enclosure.

11. ARMS PARTS. Major parts for arms (such as barrels and major subassemblies) shall be

afforded at least the same protection as SRC IV arms. An arms frame or receiver constitutes a

weapon and such parts shall be stored according to the applicable category (e.g., the receiver of a

.50 caliber machine gun shall be stored as a SRC II arm).

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12. INCIDENT REPORTS

a. Contractors shall report the incidents listed in subparagraphs 12.a.(1) through 12.a.(6) of

this enclosure, no later than 72 hours after discovery, to the office of the appropriate DSS

Regional Director for Industrial Security and the Government procuring command/activity (these

points of contact can be found at http://www.dss.mil):

(1) All AA&E thefts and losses.

(2) Significant damage (e.g., explosion, fire, flood, other natural disasters) to AA&E

and/or AA&E structures.

(3) Any attempted or actual armed robbery of AA&E items.

(4) Forced entry or attempted forced entry into AA&E areas.

(5) Evidence of illegal trafficking of AA&E.

(6) Evidence of terrorist activity directed against AA&E areas as determined by local,

State, or Federal law enforcement, or responsible DoD Component.

b. The contractor shall also notify local law enforcement and the local FBI office of any of

the incidents described in this section immediately upon discovery. After the initial

notifications, the contractor shall send a written report of the incident to the appropriate DSS

office.

13. PHYSICAL SECURITY DEVIATIONS

a. Deviations from this Manual.

(1) Waivers may be approved for temporary relief from a specific requirement in this

Manual pending action to conform to such requirement. Waivers shall be granted for a period

not to exceed 12 months and may be extended only after a review of circumstances confirms the

necessity of the extension. Waiver requests shall include a statement as to why the contractor is

unable to meet the requirements in this Manual and shall outline compensatory measures

proposed by the contractor that shall provide equivalent protection of AA&E at contractor

facilities.

(2) 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

extension request. As with waivers, approved exceptions shall specify the rationale for granting

the exception. In addition, approved exceptions shall specify the alternative or compensatory

measure(s) that shall provide equivalent protection of the exception security requirement(s).

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Exceptions shall be reviewed every 3 years or at contract renewal by the Government procuring

command/activity and DSS.

b. The procuring command/activity shall coordinate waiver requests with the office of the

appropriate DSS Regional Director for Industrial Security. The procuring command/activity

shall forward the waiver request, with recommendations, to its major command for decision.

Copies of approved waivers and exceptions shall be provided to the office of the appropriate

DSS Regional Director for Industrial Security.

c. Blanket deviations or exceptions shall not be authorized.

14. STANDING PRACTICE PROCEDURES (SPP)

a. Contractors shall prepare and maintain written procedures to implement the requirements

in this Manual. These SPP shall be sufficient in scope to provide employees with the procedures

necessary to ensure the safeguarding of AA&E. The office of the DSS Regional Director for

Industrial Security shall review SPP to determine their adequacy. Contractors shall modify SPP

that DSS judges inadequate. A copy of the SPP shall be provided to the office of the DSS

Regional Director for Industrial Security, as appropriate, upon request.

b. Contractors shall develop training programs on SPP for those responsible for safeguarding

AA&E on an annual basis. SPP training records can be incorporated into other training records

and shall be retained for 1 year.

Appendix

Authority and Contract Clauses Relating to DoD AA&E

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APPENDIX TO ENCLOSURE 9

AUTHORITY AND CONTRACT CLAUSES RELATING TO DoD AA&E

1. AUTHORITY. The AA&E program falls under parts 223 and 252 of title 48, CFR

(Reference (av)).

2. CONTRACT CLAUSES. Some clauses of Reference (av) that are relevant to the Industrial

Security Representative and/or contracting activity include:

a. Clause 223.7200 – Definition of AA&E. This clause means those items within the scope

of Enclosure 7 of this Manual.

b. Clause 223.7201 – Policy. This clause establishes the conditions in which the

requirements of this Manual shall or shall not apply to contracts:

(1) The requirements of this Manual shall apply to contracts when:

(a) AA&E is provided to the prime contractor or subcontractor as Government-

furnished property; or

(b) The contractor’s principal development, production, manufacture, or purchase of

AA&E is for DoD use.

(2) The requirements need not apply to contracts when:

(a) The AA&E acquired under the contract is a commercial item within the meaning

of subpart 2.101 of the Federal Acquisition Regulation (Reference (aw)); or

(b) The contract shall be performed in a Government Owned Contractor Operated

ammunition production facility. However, if subcontracts issued under such a contract shall

meet the criteria of subparagraph 2.b.(1) of this appendix, the requirements in this Manual shall

apply.

c. Clause 223.7202 – Pre-award Responsibilities. This clause specifies that when an

acquisition includes AA&E, technical or requirements personnel must state in the purchase

request that AA&E is involved and which physical security measures in this Manual apply.

d. Clause 223.7203 – Contract Clause. This clause instructs the procuring activity to include

clause 252.223-7007, “Safeguarding Sensitive Conventional Arms, Ammunition, and

Explosives,” in all solicitations and contracts in which this Manual applies. This clause also

instructs the procuring activity to complete paragraph (b) of clause 252.223-7007 of Reference

(av).

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e. Clause 252.223-7007 – Safeguarding AA&E. This clause:

(1) Requires the identification of the AA&E that is subject to this Manual by name,

national stock number, and sensitivity risk category.

(2) Obligates the contractor to comply with the requirements in this Manual as specified

in the Statement of Work.

(3) Obligates the contractor to allow DSS, and other appropriate Government

representatives, access to its facilities and those of its subcontractors at all reasonable times to

conduct surveys, inspections, and investigations necessary to review compliance with the

physical security standards of the contract.

(4) Requires the contractor to notify DSS within 10 workdays when it issues a

subcontract and to ensure the clause is included in every contract, including all sub-tier contracts.

3. ADDITIONAL REQUIREMENTS. The contractor is also advised that it must comply with

applicable Federal, State, and local laws, ordinances, codes, and regulations, including obtaining

all required licenses and permits in connection with the performance of the contract.

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ENCLOSURE 10

AA&E TRANSPORTATION SECURITY

1. GENERAL. This enclosure prescribes transportation security standards and procedures for

security of conventional AA&E as described in Enclosure 7 of this Manual.

a. Classified AA&E in transit shall be protected according to this enclosure and Reference

(d).

b. AA&E in transit via the Defense Transportation System (DTS), or its approved carrier,

shall be provided security according to the transportation security requirements described in

Chapter 205 of Reference (j). Additional security requirements shall be specified in times of

increased threat (e.g., an increased FPCON level declared by the Head of the DoD Component).

The security requirements may be modified during military contingency operations/deployments

by the affected Component Heads with advice and assistance from the U.S. Transportation

Command (USTRANSCOM) and its subordinate commands.

c. To the extent possible, organic/unit movement of AA&E shall be provided the same

degree of protection as commercial shipments in accordance with Chapter 205 of Reference (j).

d. The DoD Component’s headquarters may authorize alternative security procedures for

small quantities of arms and associated ammunition as determined by the DoD Component for

marksmanship training and/or competition on a case-by-case basis. Such items must be in the

custody of a designated individual.

e. Transportation security requirements for AA&E by Explosive Ordnance Detail or

explosive or munitions emergency response specialists conducting explosive destruction or

recovery and return to DoD inventory of munitions or explosives items found on or off of the

installation, shall be determined in accordance with DoD Component policy and established

guidelines. During emergency response, the explosives or munitions emergency response

specialist(s) shall maintain accountability and control of all AA&E materials in their possession

until such items are consumed or returned to the installation-approved AA&E storage locations.

f. The DoD Components shall establish personnel security policy and implementing

instructions for driver personnel engaged in transportation of SRC I-IV AA&E and

Uncategorized Hazard Class 1.1, 1.2, and 1.3 A&E.

g. AA&E awaiting shipment in military terminals shall be protected as specified in the

appendix to this enclosure.

h. DoD activities involved with AA&E shipments shall implement a seal control program to

ensure accountability/control of seals. A seal custodian shall be appointed to manage the

program. Additional guidance on obtaining and using authorized seals may be obtained by

calling the DoD Lock Program Technical Support Hotline (800) 290-7607, (805) 982-1212, or

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DSN (312) 551-1212 or via the Internet at https://portal.navfac.navy.mil/go/locks. Seal control

shall include:

(1) Procurement.

(2) Storage.

(3) Accountability.

(4) Installation.

(5) Inspection.

(6) Response to seal anomalies.

(7) Removal and inspection.

(8) Disposal.

(9) Accounting.

i. Escort services for AA&E shipments moving on an installation shall include:

(1) SRC I. Commercial/Organic/Unit Move: Escort service between all points on the

installation during and after normal duty hours.

(2) SRC II-IV. Escort service, except as noted in paragraph 1.e. of this enclosure, is

subject to the installation commander’s discretion based on the threat, FPCON levels, local on-

station AA&E routing procedures, distances between origin and destination points, road

conditions, weather, case-by-case on station routing instructions, etc.

(3) UNCATEGORIZED Hazard Class 1.1, 1.2, and 1.3. Same as for SRC II-IV.

j. Shipments including inbound/outbound SRC I and II AA&E-laden Government motor

vehicles transiting between facilities such as depots, weapons stations, research and development

facilities, posts/camps, bases, stations, and COCO facilities shall be provided escorts. To the

maximum extent possible SRC I and SRC II shall be provided the same degree of protection as

commercial shipments in accordance with Chapter 205 of Reference (j) and DoD Component

policy.

k. Additional methods of transportation of AA&E require joint coordination among

OUSD(I&S); Office of the Under Secretary of Defense for Acquisitions, Technology, and

Logistics; and USTRANSCOM. See Chapter 205 of Reference (j) for approved methods.

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l. The shipper shall verify the SRC and corresponding controlled inventory item code (CIIC)

through appropriate Military Service logistics systems to ensure accurate designation of SRC and

CIIC and incorporation of security measures prior to shipment.

2. TASKS

a. Within their respective areas of responsibility, the Combatant Commanders shall:

(1) Include the security requirements in this enclosure in applicable tariffs, tenders,

agreements, or contracts for the transportation of conventional AA&E.

(2) Promulgate rules and requirements for in-transit security of DoD shipments within

their area of operations according to the requirements in this enclosure.

(3) Establish oversight programs to ensure the adequacy of in-transit security provided to

DoD shipments by commercial carriers.

b. USTRANSCOM, in addition to the tasks in paragraph 2.a. of this enclosure of this

Manual shall:

(1) In coordination with the USD(I&S) and the DoD Components, develop, administer,

and maintain joint transportation security requirements for the commercial movement of AA&E

via all modes.

(2) In coordination with the USD(I&S) and the DoD Components, develop, administer,

and maintain policy and procedures for the protection of DoD AA&E awaiting transportation in

commercial terminals.

(3) Serve as the DoD focal point for the execution of AA&E in transit security by

commercial carriers; monitor the performance of such carriers in providing specified security

services to AA&E shipments.

(4) Prescribe, in accordance with Chapter 205 of Reference (j), security clearance and/or

background check requirements for personnel engaged in the transportation of SRC I-IV AA&E

and Uncategorized Hazard Class 1.1, 1.2, and 1.3 A&E. The personnel include:

(a) Commercial carrier drivers.

(b) Military escort personnel.

(d) For foreign personnel see requirements outlined in paragraph 8 of Enclosure 4 of

this Manual.

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3. STANDARDS

a. When used for transporting AA&E, the doors of approved intermodal containers (Military

vans (MILVAN), sea vans (SEAVAN), or container express) shall be securely closed and sealed.

End-opening containers shall be placed door-to-door during rail shipments. Barriers on the rail

cars shall be used to protect side-opening containers and deter the opening of such cars. AA&E

shall be placed in the rear of containers behind non-AA&E items, where compatible, to reduce

the opportunity for theft.

(1) In the event of contingencies, exercises, or rotational unit movements where it is not

practical to use approved intermodal containers, only armored vehicles that are locked and sealed

shall be used to ship AA&E. The AA&E shall be provided double barrier protection by placing

it in separate and locked and sealed containers, affixed to the interior of the locked and sealed

armored vehicles in a manner that precludes easy removal.

(2) If contingency operations dictate that armored vehicles are to be shipped fully

uploaded, double-barrier protection shall be provided to the extent possible, and the vehicles

shall be locked and sealed.

b. AA&E shipments shall normally be processed through military-operated and managed air

and ocean terminals or through DoD-approved commercial air and ocean terminals. A listing of

such terminals is available from SDDC. Any other method of shipment must be approved by the

USD(I&S).

c. The in-transit protection of AA&E at commercial and military terminals shall be

conducted in accordance with chapter 205 of Reference (j) and applicable SDDC Freight Traffic

Rules. Instances of noncompliance within the United States shall be reported to the SDDC

Operations Center AA&E hotline at (800) 524-0331. Instances of noncompliance outside the

United States shall be reported to the theater combatant command or to the designated theater

service support command.

d. Shipments of AA&E (as categorized in Enclosure 7 of this Manual) and uncategorized

ammunition or explosives that are Division Hazard Class 1.1, 1.2, and 1.3 A&E shall be

prepared, inspected, sealed, released, and provided in-transit surveillance according to chapters

204 and 205 of Reference (j). Shipments shall be checked upon receipt by the receiving activity

(consignee) to ensure that seals are intact and for any signs of theft, tampering, or damage. If

there are such signs, an immediate inventory shall be performed to determine the extent of

theft/loss, tampering, or damage.

(1) If the seals are intact, and there are no signs of damage or tampering, inventory

quantity verification of SRC I and II shipments shall be conducted within 24 hours upon receipt.

(2) SRC III and IV shipments shall be subjected to inventory quantity verification within

48 hours of receipt.

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e. Instructions shall be provided to rail carriers transporting SRC I and II items requiring

them to notify consignees of shipment arrivals at the specified rail yards and/or of the arrivals at

the consignees’ activities immediately.

4. SPECIAL CONSIDERATIONS FOR SRC I ITEMS

a. Missile rounds shall be packaged separately from launch and control equipment. Missiles

shall not be shipped in the same conveyance with launch and control equipment when shipment

is by commercial motor carrier. Missiles and launch and control equipment may not be loaded

into the same freight container (e.g., MILVAN). SRC I items onboard pre-positioned ships are

exempt from this restriction.

b. Separately packaged launch and control equipment may be transported in the same

aircraft or on the same ocean vessel. Missile and launch and control equipment in the possession

of military units may be transported together at the discretion of the unit’s higher headquarters.

Where satellite monitoring is not available, missile shipments shall include Security Escort

Vehicle Service.

c. UII accountability shall be retained at all times from shipper to consignee. Each container

shall be checked, sealed, and locked by two agents of the shipper (in each other’s presence)

before delivery to the carrier. This two-person integrity is required at each transshipment point

and terminal whenever the shipment loses its original identity (e.g., when two or more shipments

are consolidated into another container for further movement or if repacking is required).

d. Items moved by unit or organization transportation shall be placed in the custody of a

commissioned officer, warrant officer, noncommissioned officer (E-5 or above), or DoD civilian

of equivalent grade.

e. Overseas commands may use local nationals for security surveillance to accompany U.S.

personnel when status of forces agreements prohibit the arming of U.S. personnel.

5. SPECIAL CONSIDERATIONS FOR WATER SHIPMENTS

a. AA&E shall be transported via the DTS using Military Sealift Command (MSC)-

controlled vessels or U.S. flag vessels, with at least two ship’s officers who are U.S. citizens

accepting security responsibility for the AA&E. When the requirements of this enclosure cannot

be met, MSC may approve use of foreign flag chartered vessels provided:

(1) Full responsibilities placed upon the carrier for the shipment must be delineated in

applicable tariffs, tenders, agreements, or contracts between the carrier and USTRANSCOM

and/or the DoD Component utilizing the carrier’s services.

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(2) The carrier and ship’s personnel are reasonably vetted according to MSC-established

guidelines and MSC-specific security and accountability measures that shall compensate for lack

of direct U.S. control.

(3) SRC I-III AA&E shipments shall be direct-voyage to destination. There shall be no

port calls between departure port and port of destination.

(4) AA&E shall not be left unattended after being offloaded. AA&E shall be taken into

custody by U.S. personnel who shall check the seals and the condition of the shipment.

b. Commanders at all levels shall assess the threat and vulnerability of AA&E shipments that

transit through their area of responsibility. A risk assessment shall be conducted and include:

(1) The type of sealift assigned to the mission (U.S. Government, contractor, foreign flag

carriers, etc.).

(2) The SRC of the AA&E.

(3) The Hazard Classification of the A&E.

(4) The threat assessment and FPCON. Commanders at all levels shall employ

appropriate threat mitigation actions, including: crew screening; use of electronic seals,

transponders, or other technologies; assignment of embarked security forces (Mobile Security

Force) and/or Fleet Antiterrorist Support Teams; embarked security detachments; and combat

escorts.

c. Before the voyage, the shipping activity shall provide a written stow plan detailing the

location of the AA&E aboard ship and its protection requirements to the ship’s captain.

(1) Stow plans must consider security concerns such as cargo compatibility segregation,

securing of ordnance cargo in locked and sealed containers, and the stowage of SEAVANS and

MILVANS so that doors are not accessible to stevedores or ship’s crew.

(2) Break-bulk cargo should be stowed in this priority:

(a) Lockers, refrigerated boxes, or deep tanks that can be locked and sealed.

(b) Bins that can be boxed solidly with plywood or other appropriate materials, and

stowed in the upper decks of hatches immediately fore and aft of the ship’s house.

d. AA&E shall be stowed in separate, locked containers, inaccessible to unauthorized

personnel during ocean transit. The containers shall be subject to periodic surveillance by the

vessel’s captain and/or the ship’s officers as prescribed in Chapter 205 of Reference (j).

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e. AA&E shipments shall be direct-voyage to destination. If the cargo must be offloaded en-

route, it shall be provided constant surveillance by DoD personnel, if available, or by U.S. citizen

crew-members pending reloading.

6. SPECIAL CONSIDERATIONS FOR SMALL QUANTITY SHIPMENTS

a. Small quantities of arms (15 or fewer) may be shipped through the United States Postal

Service (USPS) Registered Mail and approved DoD carriers in accordance with Chapter 205 of

Reference (j) within CONUS. Small quantity shipments through the USPS shall not include

machine guns.

b. Small quantity shipments of 150 pounds. or less of CIIC 4, 7, P, U, and Division (Div)

1.4, 1.5, 1.6 A&E may be shipped via the approved carriers as outlined in Reference (j) that

includes.

(1) Ammunition is UNCLASSIFIED Hazard Class/ Div 1.4 or less.

(2) Individual requisitions are limited to 4,000 rounds or less.

(3) Ammunition will be packed in unit packages of 4,000 rounds or less.

(4) Each completed package does not exceed 150 pounds.

(5) No more than five packages or 20,000 rounds will be shipped per each conveyance

and each package must be destined for a separate consignee.

c. DoD Components may further limit the type and quantity maximums for small shipments

of AA&E.

d. Small arms and missile components, excluding components containing live ammunition

and explosive sub-assembling, may be sent by registered mail (return receipt requested) when the

package size and weight meet USPS requirements and meets the requirements of Chapter 205 of

Reference (j).

7. SECURITY OF COMMERCIAL SHIPMENTS TEMPORARILY AT DoD

INSTALLATIONS AND ACTIVITIES

a. Shipments of DoD AA&E arriving at DoD installations and activities after normal

working hours and/or during non-delivery hours shall be accepted by consignees and provided

appropriate secure holding protection commensurate with the sensitivity category of the

delivered items. Additional information regarding security-related carrier assistance obligations

is available in chapter 205 of Reference (j).

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b. DoD installations and activities shall provide a secure holding area for AA&E shipments

during emergency conditions (e.g., vehicle breakdowns, criminal/terrorist threats) according to

this Manual and Chapter 205 of Reference (j). These holding areas shall be sited according to

the explosives safety requirements of Reference (i).

8. OVERSEAS IN-THEATER MOVEMENTS

a. Combatant Commanders, based on mission requirements, host nation rules, FPCON level,

and the local threat assessment are responsible for providing adequate security in theater.

b. AA&E in transit shall be provided commensurable protection as closely as possible to the

requirements for movements established in chapter 205 of Reference (j)

c. When the transportation protective service(s) required by the DTR is not available, an

equivalent service(s) shall be specified for commercial in-theater shipments. When such service

cannot be reasonably obtained, compensatory measures shall be taken to reduce risk and achieve

equivalent security standards.

9. AA&E SHIPMENTS FROM DEFENSE CONTRACTORS

a. AA&E procurement contracts (including subcontracts) shall include/specify applicable

DTR transportation security requirements for AA&E destined to DoD activities, DoD

contractors, and DoD subcontractors. AA&E destined to foreign co-production contractors from

DoD contractors shall also, by contract provision, be provided necessary transportation security

according to the DTR.

b. AA&E shipments to DoD activities or DoD contractors by foreign contractors shall, by

contract provision, be provided equivalent DTR-specified transportation security to the nearest

U.S.-controlled port facility, and full DTR-specified protection from that point to destination.

10. FMS

a. FMS shipments of AA&E shall be made in accordance with paragraph C7.17. of DoD

Directive 5105.65 (Reference (ax)).

b. FMS sensitive conventional AA&E shipments shall be shipped through the DTS to

military-controlled ports of embarkation. While within the United States such shipments

destined to foreign governments shall be moved via SDDC-cleared commercial munitions

carriers. Non-sensitive AA&E may be shipped through carriers compliant with Department of

Transportation regulations.

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(1) Shipments returning for maintenance, testing, or co-production agreements shall

contractually be provided equivalent security to that required by the DTR (Reference (j)) while

in transit overseas and within the United States.

(2) Transportation plans for AA&E FMS shipments are required as part of the FMS

negotiation process. A sample transportation plan format is provided in this enclosure (see

Figure).

(a) Such plans shall be coordinated in advance with the applicable Military

Department Security Assistance Command or the Defense Security Cooperation Agency.

(b) SDDC shall be contacted for assistance in developing the in-transit security

portion of the transportation plan.

11. TABULAR DISPLAY OF IN-TRANSIT SECURITY REQUIREMENTS. Transit security

requirements are outlined in tabular format in Figures 205-4 through 205-8 of Reference (j).

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Figure. Sample Generic Transportation Plan for the Transfer of AA&E

1. AUTHORIZATION: [List the FMS Case Designator, Export License Number,

Authorization Letter, or International Traffic In Arms Regulations (ITAR) Exemption.]

2. PURPOSE. This transportation plan describes procedures for the transfer by commercial

carrier of the [Insert name and nomenclature (if applicable) of the article or technical data]

between the United States and [Insert recipient country] as authorized by [Insert the FMS

Case designator, License Number, Authorization Letter, or Exemption, as applicable. If an

International Traffic in Arms Regulation Exemption is cited, identify the underlying FMS

Case, License, etc.]

[Guidance: If there is to be a single shipment under the FMS case or license, the format and

requirements of this basic plan should be used. If there are to be recurring shipments, this

format should be used as a generic plan to describe the requirements and terms of reference

that shall be standard to all the recurring shipments (such as packaging and procedures for

responding to searches by port security and customs officials); the details for each shipment

shall appear in an annex to the basic plan using a Notice of Consignment. For generic plans,

state the contents of annexes if used. A transportation plan shall be used for consignments up

to the SECRET classification. Consignments classified at the TOP SECRET level shall be

transferred via U.S. Government courier.]

3. DESCRIPTION OF CONSIGNMENT. [Provide a specific, detailed description of the

material to be transferred. List end items, parts, sub-assemblies, software, test equipment,

technical documents, etc., along with nomenclature and UII as applicable. No classified

information should appear in the description. The description may be appended to the plan as

an attachment when the plan is used for a single shipment or included in a Notice of

Consignment for recurring classified shipments.]

4. IDENTIFICATION OF RESPONSIBLE GOVERNMENT AND/OR COMPANY

REPRESENTATIVES. [Identify the names and/or titles, organizations, the appropriate

licensing officials, and each individual’s responsibility in the transfer activities (e.g., actions

to verify shipment licenses, verify security arrangements, coordinate with security and/or

Customs officials). Include depot or company security, licensing officials, and the designated

government representatives (DGRs) of the dispatching country who shall verify arrangements

and approve the consignment releases. Include the mailing addresses, telephone, fax, and cell

phone numbers (business and non-business hours), and e-mail addresses for each country

representative of the receiving country who shall sign receipts and assume final security

responsibility for classified consignments. Freight forwarders and other commercial agents

shall not be designated to act as a government representative as they are transfer agents. This

information may be placed in an attachment or in the Notice of Consignment for recurring

classified shipments when the information is different for each.]

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Figure. Sample Generic Transportation Plan for the Transfer of AA&E, Continued

5. IDENTIFICATION OF COMMERCIAL ENTITIES TO BE INVOLVED IN EACH

SHIPMENT. [Identify all commercial entities such as freight forwarders, customers, brokers,

commercial carriers (trucking companies, airlines, surface ships, etc.), and DTS-contracted

carriers. Include the security clearance levels and storage capability for facilities used.

Include the names and/or positions of points of contact (and their alternates) with their

addresses; telephone, fax, and cell phone numbers (business and non-business hours); e-mail

addresses; and their specific functions/responsibilities. Include the captain’s name or other

on-board responsible representative briefed on the shipment. For recurring shipments with

the information varying for each shipment, place the details in the Notice of Consignment for

recurring classified shipments.]

6. PACKAGING THE CONSIGNMENT. [Fully describe how the material shall be

packaged, ensuring conformity with the national security rules of the dispatching

organization. Explain the requirements for dispatch documentation, inventories, seals,

receipts, storage, and security containers. State any unique requirements of the sending and

receiving governments. List the specific requirements in the Notice of Consignment for

recurring shipments with differing details.]

7. ROUTING OF THE CONSIGNMENT. [Briefly identify the routing, including point of

origin (military depot, contractor facility, etc.), any stops or layovers, the locations of transfer

of custody (if applicable), and the final destination. Include names and addresses of freight

forwarder facilities, ports, railheads, airports, airline terminals, etc. Describe the specific

activities at each individual location for which handling and/or security oversight

arrangements must be undertaken (e.g., the transfer from service trucks to aircraft holds), as

indicated in subparagraphs 7.a. through 7.e. of this figure. These arrangements require

advance coordination between the shipper and transport officials and with the security and

Customs officials at the point of origin, at stops and layovers, and at transfer points. Similar

coordination is also necessary with the officials of the receiving government. Provide the

courier and/or escort with a written description of the arrangements including points of

contact and alternates. Include the courier/escort’s responsibilities and describe any special

security arrangements required due to unique transfers, stops, layovers, or processing points.

For example, for a required layover, arrangements must be made for security storage of the

consignment including arrangements with local government officials. Contingency stopovers

must be considered and appropriately addressed in plans. Provide the following information

regarding specific activities at each listed location:

a. Procedures and responsibilities for notification of DGR, the carrier and port security

officials, and Customs in each country. Include the schedule for the shipment (e.g., date,

time, carrier, flight number, port).

b. Procedures and responsibilities for verifying and oversight of loading and

sealing/locking the consignments on the carrier. Describe procedures at loading points, and

any transfer points, including verifying tally records, surveillance responsibilities, and

witnessing of the inventory and loading.

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Figure. Sample Generic Transportation Plan for the Transfer of AA&E, Continued

c. Procedures for accessibility by the courier to the consignment while en-route such as

priority disembarking from an aircraft at a stop. These procedures shall be arranged in

coordination with the freight forwarder/transfer agent, and port and carrier security

authorities.

d. Procedures for unloading at destinations, change of custody, and receipt arrangements,

including pre-arranged representatives of the dispatching government (if applicable) and the

recipient government’s DGR. If there are recurring shipments to varying locations and/or the

arrangements are different for each shipment, use a Notice of Classified Consignment for

further details.

e. For emergency contacts of dispatching and recipient points of contact requiring

notification, list phone, fax, and cell phone numbers (business and non-business hours).

Include the e-mail addresses. For recurring shipments, place the information in a Notice of

Classified Consignment annex.]

8. COURIERS/ESCORTS. [When couriers and/or escorts are used, identify them by name

and title, organization, passport number and expiration date, and/or secondary identification.

Include the identity of the dispatching company or government official who shall verify the

courier/escort’s identity. Describe the documentation required by or to be provided to the

courier or escort. Include the procedures for ensuring the courier or escort is knowledgeable

of customs and security rules and requirements. Provide the procedures for customs searches

and contact information for points of contact and alternates. Include the identity of customs

and security officials with whom prior arrangements have been made.

A courier or escort must accompany a consignment unless the commercial carrier possesses

an appropriate facility security clearance and is under contract to provide a courier and/or

escort with a proper personnel security clearance. Couriers and escorts shall not be third party

persons (e.g., contract couriers) and must be cleared at the classification level of the material

shipped. They shall be briefed on their security responsibilities and shall acknowledge

acceptance of those responsibilities by signature. Briefings shall be tailored to the mode of

transfer (e.g., commercial air, ships, trucks). Couriers must be provided the specific names of

the receiving government’s DGR, as well as the person’s identification credentials. Each

courier or escort shall be issued a “Courier Authorization” and shall be provided a list of

planned and emergency secure storage locations, including the points of contact and their

contact information. Include as an enclosure to the Transportation Plan, the Courier

Certificate and security responsibility briefings from Multinational Industrial Security

Working Group Document No.1, “Arrangements for the International Hand Carriage of

Classified Documents, Equipment and/or Components.” Both are contained in the

International Programs Security Requirements Handbook available on the DSS Website at

http://www.dss.mil/ and the Defense Institute of Security Assistance Management Website at

http://disam.osd.mil/. For recurring shipments, describe the requirements for the courier

and/or escorts and the details for each shipment, including the identity of the couriers and/or

escorts in the Notice of Classified Consignment.]

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Figure. Sample Generic Transportation Plan for the Transfer of AA&E, Continued

9. RECIPIENT RESPONSIBILITIES. [Describe the specific responsibilities of the recipient

government for making arrangements with its port security and customs officials to facilitate

the shipment’s entry. Include the identification and contact information for points of contact

and alternates at debarkation locations. Indicate locations for government-to-government

transfer. Explain the procedures for moving consignments when the port of entry is different

than the final destination. State that it is the responsibility of the recipient government’s DGR

to inventory the material and receive the consignments at the specified location, including

specifically how:

a. The recipient organization shall notify its government security authority and the DGR of the

dispatching organization of any deviations in the routes or procedures in the Transportation Plan.

b. The recipient organization shall notify its security authority and the DGR of the

dispatching organization of any discrepancies in documentation, any damage and/or

tampering with the shipment, or any shortages/missing items.

c. The recipient organization or government shall advise the DGR of the dispatching

organization of any known or suspected compromise of classified material or any other

exigencies that may have placed the consignment in jeopardy.

d. The recipient DGR shall sign for the contents of the package and return a copy of the

receipt to the dispatching organization.]

10. DOCUMENTATION. [Identify the documentation that is related to the shipment,

including the packing list, receipts, inventories, letters of offer and acceptance, export

licenses, bills of lading, airway bills, signature and tally records, and other items, such as

declarations, that are required by law and/or regulation.]

11. RETURN OF MATERIAL. [Identify any requirements for the return of classified

material to the manufacturer or government entity in the dispatching country (e.g., for

warranty, repair, test, calibration). The information shall usually be general in nature.

However, a return Transportation Plan and method shall be documented in the original

Transportation Plan. The specific information required for an individual return shipment shall

be subsequently described in a Notice of Classified Consignment.]

12. TRANSFER DOCUMENTATION. [Identify the documentation that is related to the

shipment, including the packing list, receipts, inventories, letters of offer and acceptance,

export licenses, bills of lading, airway bills, signature and tally records, and other items such

as declarations that are required by law and/or regulation.]

Appendix

Physical Security of AA&E at Military Terminals

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APPENDIX TO ENCLOSURE 10

PHYSICAL SECURITY OF AA&E AT MILITARY TERMINALS

1. GENERAL. This appendix prescribes standards for the protection of conventional AA&E at

military transportation terminals. When terminals provide separate, long-term (over 30 days)

storage capabilities, the criteria of Enclosures 5 and 6 of this Manual, as applicable, pertain to the

structures storing the AA&E.

2. PROTECTION PRIORITIES. The DoD Components responsible for military terminals shall

include the protection of AA&E in overall security plans and allocate and prioritize resources

according to the AA&E order of priority:

a. SRC I cargo.

b. SRC II cargo.

c. SRC III, IV, and uncategorized cargo.

3. SRC IDENTIFICATION. The DoD Components responsible for military terminals shall

establish procedures to ensure prompt identification of SRC cargo in order to provide the

protection required by this Manual. When cargo cannot be immediately identified upon arrival,

it shall be protected as SRC I pending resolution.

4. TEMPORARY STORAGE (LESS THAN 30 DAYS)

a. Fencing and Lighting. SRC I-IV cargo may be temporarily stored outside in dedicated

storage areas that are fenced and lighted. The fence shall meet the requirements of Reference

(aq). The lighting shall be sufficient to allow detection of unauthorized activity.

b. Supplemental Controls. Temporary storage areas, or individual conveyances containing

SRC I-II items, shall be provided with IDS and CCTV as specified in Enclosure 4 or be under

constant surveillance (continually monitored CCTV or human surveillance). Additionally, when

IDS or CCTV is used, a supervised armed guard patrol of the areas or conveyances shall be made

at least once during non-duty hours.

5. CARGO MOVEMENT

a. SRC I and II. Each SRC I conveyance, or integrated grouping of five or fewer

conveyances moved within a terminal, shall be under the constant surveillance of at least one

terminal or contractor employee (under contract to the terminal to handle cargo).

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b. SRC III and IV. Constant surveillance of the cargo in movement within the terminal shall

be maintained by either terminal or contractor employee (under contract to the terminal to handle

cargo). Where the terminal area is physically separated from a long-term storage area,

movement between these areas shall be under the constant surveillance of at least one terminal or

contractor employee (under contract to the terminal to handle cargo) for each conveyance.

c. Terminal Movements. Where the terminal areas are physically separated from a long-

term storage area, movement between these areas shall be under constant employee surveillance,

with at least two drivers meeting applicable requirements of Enclosure 3 for each conveyance.

6. TERMINAL AREA SECURITY

a. Waterfront and Ships at Berth. When AA&E is on board ships at berth, or present at

piers, the area shall be patrolled by a security patrol as prescribed for the highest category of

cargo or patrolled at irregular intervals not to exceed 30 minutes, whichever is more stringent. If

an integrated CCTV and IDS system is employed, security patrols of the area shall be conducted

once every 4 hours during non-duty hours. Waterborne patrols shall be used to augment land-

based patrols where feasible.

b. Terminal Gates and Perimeter Areas. Unless continuously guarded, gates shall be secured

with locking devices approved by the DoD Components. Hinge pins shall be welded, peened, or

otherwise secured. Secured gates and perimeter areas require IDS protection or security patrol

checks at least once every 4 hours. When IDS is used, patrol intervals may extend to 24 hours.

7. SEALS

a. Only seals meeting standards identified in Reference (ad) shall be installed on AA&E

conveyances that have had the original shipping seals removed. Seal checks and inspections for

evidence of breakage or tampering shall be a part of regular patrol or surveillance procedures and

of pier loading procedures. Seals applied to SRC I and II shipments shall be verified by seal

number once every 8 hours during non-duty hours.

b. Lead seals are no longer authorized.

8. GUARD COMMUNICATIONS. Guards shall be provided primary and backup

communications (external and internal) to permit notification of emergency conditions. The

backup system shall be a different mode from the primary. Guards shall use radio as one of the

communication modes. Communication systems shall be tested daily.

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9. TERMINAL ENTRY CONTROLS

a. Terminals shall require strict pedestrian and vehicle control systems. Entry records shall

be retained for a minimum of 90 days. Pedestrians and vehicles shall be subject to random

inspection and a visitor control system shall be implemented. Where feasible, entry to the

AA&E storage and processing areas shall be separately controlled from the terminal

administrative areas. Unless allowed by the terminal commander, privately owned vehicles shall

not be permitted into AA&E storage and processing areas.

b. Piers, waterfronts, and AA&E storage and processing areas shall be appropriately

designated and posted as “RESTRICTED OR CONTROLLED AREAS.”

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ENCLOSURE 11

REPORTS, INVESTIGATIVE AIDS, AND DISPOSITION OF RECORDS

1. GENERAL. This enclosure does not take the place of the submission of internal DoD

Component reporting requirements concerning transportation, item/packaging discrepancies, and

discrepancies involving FMS. This enclosure does not apply to privately owned weapons.

2. INCIDENT REPORTS TO THE DoD COMPONENTS

a. Each DoD Component shall establish procedures and requirements for stolen, lost, or

recovered AA&E to be reported to their supporting DCIO and a centralized office responsible for

Component-wide physical security, and theft and loss prevention.

b. AA&E gains or losses due to inventory adjustments shall also be reported to Component

central offices. Notification shall be furnished in a manner commensurate with the seriousness

or nature of the incident.

c. Specifically, the confirmed theft, loss, recovery, or inventory adjustment of items listed in

subparagraphs 2.c.(1) through 2.c.(6) of this enclosure shall be reported:

(1) Missiles, rockets, and arms as described in this Manual.

(2) Five thousand rounds or more of ammunition smaller than 40 millimeters (mm)

(20,000 rounds or more of .38 caliber/9 mm).

(3) Five rounds or more of ammunition 40 mm and larger.

(4) Individual mortar, grenade, and missile rounds.

(5) Items with 10 or more pounds of net explosive weight.

(6) DoD Component will determine additional item reporting requirements based on the

sensitivity and potential threat posed by items. These items may include but are not limited to

silencers, mufflers, noise suppression devices, and/or sniper rifle systems.

3. INCIDENT REPORTS TO OFFICE OF THE SECRETARY OF DEFENSE. All significant

incidents of confirmed theft or loss of AA&E as listed in this section (including inventory

adjustment losses) shall be reported as soon as possible, but not later than 72 hours after

occurrence or discovery, to the Office of the Under Secretary of Defense for Intelligence,

Director of Security. Incidents to be reported include those listed in Section 2 of this Enclosure

and the incidents listed in subparagraphs 3.a. through 3.e of this enclosure.

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a. Attempted or armed robberies of AA&E facilities.

b. Forced entries or attempted forced entries into AA&E facilities.

c. Evidence of theft of AA&E.

d. Incidents involving AA&E that cause significant news coverage, or appear to have the

potential to cause such coverage.

e. Evidence of trafficking/bartering involving AA&E, illegal drugs, etc., regardless of the

quantity of AA&E involved.

4. DoD COMPONENT RECORDS. Each DoD Component shall maintain records of reports

received and dispatched in accordance with this enclosure for 3 years except for Man Portable

Air Defense Systems, which are to be retained permanently. These records shall include:

a. A summary of the circumstances in each incident.

b. Dates, locations, and units involved (Active Duty, Reserve, National Guard, or Civilian

Marksmanship).

c. Explanation for the loss or recovery (e.g., inventory adjustment, theft, in-transit, training,

operational).

5. OTHER REQUIRED REPORTING

a. The DoD Components shall establish procedures to report confirmed thefts, losses, and

recoveries of DoD arms to the National Crime Information Center and local law enforcement

promptly through their servicing DCIO. Additionally, the confirmed theft, loss, or recovery of

DoD small arms shall be reported to the DoD Small Arms Central Registry in accordance with

Reference (m).

b. The DoD Components shall report all confirmed thefts and losses of AA&E as described

in this enclosure within 72 hours to the ATF Stolen Firearms Program at (888) 930-9275. ATF

shall also be advised of the recovery of previously reported AA&E thefts and losses.

c. Loss, compromise, or suspected compromise of classified information or AA&E material

at contractor facilities shall also be reported to the appropriate DSS Regional Director.

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GLOSSARY

PART I. ABBREVIATIONS AND ACRONYMS

AA&E arms, ammunition, and explosives

A&E ammunition and explosives

ACO administrative contracting officer

ATF Bureau of Alcohol, Tobacco, Firearms, and Explosives

CAT-U Uncategorized

CCTV closed circuit television

CFR Code of Federal Regulations

CIIC controlled item inventory code

COCO contractor-owned contractor-operated

DCIO defense criminal investigative organization

DEMIL demilitarization

DGR designated government representative

Div. Division

DSS Defense Security Service

DTR Defense Transportation Regulation

DTS Defense Transportation System

FBI Federal Bureau of Investigation

FMS foreign military sales

FPCON force protection condition

GSA General Services Administration

IDS intrusion detection system

IG DoD Inspector General of the Department of Defense

ILD internal locking device

MILVAN military van (container)

MSC Military Sealift Command

MIL-DTL Military Detail Specification

NACLC National Agency Check with Local Agency Check and Credit Check

OUSD(I&S) Office of the Under Secretary of Defense for Intelligence and Security

ROTC Reserve Officer Training Corps

SC Security Cooperation

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SDDC Surface Deployment and Distribution Command

SEAVANS sea van (container)

SEV security escort vehicle

SPP standard practice procedures

SRC security risk category

TNT trinitrotoluene

TOW tube launched optically tracked weapon

UFC unified facilities criteria

UII unique item identifier

UL Underwriters Laboratory, Inc.

U.S.C. United States Code

USD(I&S) Under Secretary of Defense for Intelligence and Security

USPS United States Postal Service

USTRANSCOM United States Transportation Command

USNS United States Naval Ship

USS United States Ship

PART II. DEFINITIONS

These terms and their definitions are for the purpose of this Manual.

ammunition. Defined in Reference (c).

arms. A weapon that will be or is designed to expel a projectile or flame by the action of an

explosive, and the frames or receivers of any such weapon.

cable seal. A one-piece or two-piece seal in which the cable is placed through the locking

hardware of the truck trailer or railcar door, and the bullet nose is inserted into the barrel end of

the cable until securely anchored. Once locked, any force exerted to separate the lockpoint from

the lockbody shall strengthen the connection. Removal requires destruction of the seal.

container. A box or other device in which cargo is stored, protected, and handled as a unit in

transit (e.g., container express, MILVAN, SEAVAN, and other approved commercial

containers). This term also is used interchangeably with the term “containerization” to mean

shipping that uses containers that can easily be transferred between trucks, trains, or ships

without handling of contents.

container express. A reusable container used for shipment of troop support cargo, quasi-military

cargo, household goods, or personal baggage.

containerization. A box or other device in which cargo is stored, protected, and handled as a unit

in transit (e.g., container express, MILVAN, SEAVAN, or other approved commercial

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containers). This term also refers to shipping that uses containers that can be easily interchanged

between trucks, trains, and ships, without handling of contents.

CONUS. Defined in Joint Publication 1-02 (Reference (ay)).

DCIOs. Includes, Defense Criminal Investigative Service, the U.S. Army Criminal Investigative

Command, the Naval Criminal Investigative Service, and the Air Force Office of Special

Investigations.

Defense Contract Management Agency. As defined in DoD Directive 5105.64 (Reference (az).

exception. An approved deviation from this Manual’s required standards when those standards

cannot be met. When standards cannot be met, compensatory measures are required to provide

security equivalent to the standards mandated herein.

explosives. Any chemical compound, mixture, or device, the primary or common purpose of

which is to function by explosion. The term includes, but is not limited to, individual landmines,

demolition charges, blocks of explosives (dynamite, TNT, C-4, and other high explosives), and

other explosives consisting of 10 pounds or more (e.g., gunpowder or nitroguanidine).

high-security hasp. A high-security hasp is a shrouded hasp that meets the military specification

of Reference (am).

high-security padlock. A key -operated padlock that meets military specification of Reference

(al), national stock number: 5340-01-510-2351 (Navy, United States Marine Corps, and Coast

Guard), or national stock number: 5340-01-217-5068 (for all other Services), designed to resist

forced entry. It is used in conjunction with a high-security hasp.

IDS. An electronic security system that provides alarm protection of facilities and consists of

various types of sensors and a central monitoring station that detect unauthorized intrusion into a

room, structure, facility, or area.

ILD. A key-operated high-security locking system approved to SRC I and II AA&E and

structures protecting chemical and nuclear weapons. Provides 10 minutes’ forced entry

protection against unlimited hand and battery-operated tools and 15 minutes surreptitious entry

protection.

independent power supply. A self-contained power source; normally a battery or redundant

power provided by auxiliary generator.

MILVAN. Defined in Reference (ay).

OCONUS. Defined in Reference (ay).

prohibited (restricted) person. A person prohibited (restricted) from access to AA&E for one or

more of the following reasons:

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Is under indictment or has chapter 47 of title 10, U.S.C. (Reference (ba)) charges pending

against them and is referred to a special or general court-martial that involves a crime punishable

by imprisonment for a term exceeding 1 year;

Is a fugitive from justice;

Is determined to be an unlawful user of any controlled substance or misuse/abuse of alcohol;

Is a foreign national illegally in the United States;

Has been adjudicated as having a mental illness or has been committed to any mental

institution within the 7 years preceding the person’s access to AA&E (other than for combat-

related mental illness);

Is an alien (other than lawfully admitted for permanent residence) who is a national of a

country that the Department of State has determined (and the determination remains in effect)

repeatedly provides support for acts of international terrorism;

Has by court martial received a dishonorable discharge, bad conduct discharge, or has been

administratively separated with an other than honorable conditions discharge; or

Has been found guilty of a qualifying conviction as outlined in section 922(g) of Reference

(p).

restricted area. An area (land, sea, or air) in which there are special restrictive measures

employed to prevent or minimize incursions and/or interface, where special security measures

are employed to prevent unauthorized entry. Restricted areas may be of different types,

depending on the nature and varying degree of importance of the security interest, or other matter

contained therein. Restricted areas must be authorized by the installation/activity

commander/director, properly posted, and shall employ physical security measures.

Additionally, controlled areas may be established adjacent to restricted areas for verification and

authentication of personnel.

safety-lock device. A device that, when installed on a firearm and secured by a key or a

mechanically, electronically, or an electro-magnetically operated combination lock, prevents the

firearm from being discharged without first deactivating or removing the device from the lock.

mechanical, an electrical, or an electro-magnetic locking mechanism incorporated into the design

of the firearm that prevents its discharge by those who do not have access to the key or other

unlocking devices.

seal. A device or material that indicates tampering or entry. Seals are used to secure conveyance

doors, intermodal container doors, and item shipping and storage container covers and lids (e.g.,

wire, strap, bolt and cable, and padlock seals). A number-5 American wire gauge steel wire twist

or wire cable of larger or equivalent thickness when used with an approved steel trap seal, can be

used to secure conveyance doors when bolt and cable seals are not available or when a door

closure mechanism does not accommodate use of bolt or cable seals.

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SEAVAN. A commercial- or Government-owned (or leased) shipping container that is moved

via ocean transportation without bogey wheels attached.

Security Escort Vehicle Service (SEV). Provides enhanced in-transit highway safety and

security surveillance for DoD shipments of AA&E, and other items and hazardous material

originating and terminating at secure DoD/DoD contractor locations. SEV is a transportation

protective service consisting of either two trained and certified DoD contractors or trained DoD-

approved commercial munitions carrier employees with a SECRET clearance or two trained and

certified DoD civilian, National Nuclear Security Administration personnel, or military

personnel with National Agency Check. DoD civilian employees or military personnel may be

required to comply with additional clearance, reliability, and trustworthiness criteria in

accordance with Service security regulations. SDDC, in conjunction with USTRANSCOM,

shall dictate the SEV service provider to be used as stipulated in Table 205-1 of Reference (j).

Contingency requirements may result in DoD-approved commercial munitions carrier employees

with one SECRET-cleared and one in the process of obtaining a SECRET clearance. SEV

personnel who require a clearance cannot be used if their applications have not been submitted,

been rejected, or denied a personal security clearance. A driver’s SECRET clearance application

shall expire 90 days following submission of the initial request when one or more of the

following circumstances exist: The initial background check has not been completed; an interim

SECRET clearance has not been granted; or a driver whose SECRET clearance application has

expired cannot be employed in the transport of DoD AA&E or classified shipments. SEV

personnel may be armed during periods of enhanced risk, as directed by the Commander,

USTRANSCOM.

security forces. Includes armed personnel that can include DoD military and civilian security

guards; police (including contract security personnel); and State, local, and campus security

officers.

sensitive items. Defined in Reference (at).

small quantity shipments. Defined as: (a) 15 or fewer SRC II-IV small arms (including

M4/M16 rifles) per shipment; (b) non-explosive SRC III missile components weighing 200

pounds or less; or (c) SRC III and IV ammunition shipments weighing 200 pounds or less.

Type II magazines. Mobile and portable indoor and outdoor magazines for the storage of high

explosives, subject to the limitations prescribed by paragraph 208 of section 555 of Reference

(ap). Other types of explosive materials may also be stored in Type II magazines.

uncleared dual driver. An accessorial service that provides two, un-cleared drivers (no security

clearance) for DoD shipments of 150 miles or more where no protective services are needed.

United States. Defined in Reference (ay).

waiver. A temporary relief pending corrective action, not to exceed 1 year, from specific

compliance requirements outlined in this Manual. Waivers must include compensatory measures

that reduce risk during the waiver period.