INDEX
CHAPTER VII
PERFORMANCE TESTING
1. PERFORMANCE TESTS. Performance tests shall be used to realistically
evaluate, and verify the effectiveness of protective force programs;
identify and provide training for personnel; identify areas requiring
system improvements; validate implemented improvements; and motivate
protective force personnel. Such tests shall adhere to the policy and
requirements found in DOE 5630.16A, SAFEGUARDS AND SECURITY ACCEPTANCE
AND VALIDATION TEST PROGRAM. All major functions of the protective
force shall be tested. The following are the major types of protective
force tests:
a. Limited Scope Performance Test. Limited Scope Performance Tests
may be either scheduled or unannounced. They may be used to
determine the level of protective force skill or capability in the
area tested or to verify different aspects of the protective force
program. They may be conducted to realistically test any operation
or procedure, verify a policy requirement, or to verify possession
of a requisite knowledge or skill to perform a specific task that
falls within the scope of protective force responsibility. The
tests may involve large numbers of protective force personnel
working together, or they may involve only individuals or small
teams. When individuals or small teams are tested, repetitions of
the test may be conducted with each individual or team. Examples
of these tests include individual and team tactical movement,
defensive and offensive positioning, arrest and control techniques,
building clearing, handling civil disturbances, containment
operations, command and control activities, or any individual
components of these activities. Any element of protective force
responsibility, as determined by site procedures and job task
analysis, may be tested.
b. Alarm Response and Assessment Performance Test. An Alarm Response
and Assessment Performance Test is a no prior notice test to
evaluate on-duty protective force response to a specific location
under safeguards and security alarm protection. Test scenarios
shall be based on simulated adversary actions consistent with the
Design Basis Threat Policy and vulnerability analyses. The purpose
of these tests is to evaluate protective force readiness and
response to an alarm condition. These tests shall take into
consideration all aspects of the response, including
communications, personal protective measures, equipment
availability and serviceability, and any protective force and
facility coordination activities that may be necessary for
effective mitigation of an event. The tests shall be
pre-coordinated with facility representatives and trusted agents to
ensure that safety requirements are fulfilled, security is not
compromised, and operational disruption is minimized. Upon
commencement of a test, responding protective force personnel shall
be advised of the test. Handguns shall not be unholstered and
auxiliary weapons shall not have a round chambered.
c. Force-on-Force Exercise. A force-on-force exercise is a major test
of the overall effectiveness of all elements involved in response
to a Design Basis Threat and site-specific threats. These tests
shall be held at all facilities meeting the requirements listed in
paragraph 8a, page 4. Exercises shall be pre-planned, announced in
advance to all participating parties, and conducted during
specified time periods (exercise windows). Personnel shall be
designated and briefed in advance to act as adversaries. All
weapons shall be unloaded, and simulated weapons systems shall be
used. For this reason, when an exercise involves an operating
facility as opposed to a test area, a "shadow force" of protective
force personnel shall be deployed for protection of the security
interest. Interface procedures to include rules of conduct for all
participants, controller actions, exercise boundaries, and
off-limit areas shall be developed. In addition, communication
procedures shall be developed between the simulated and shadow
forces to ensure no compromise of safeguards and security during
the exercise.
d. Command Post Exercise. A command post exercise is conducted to
observe and evaluate a crisis management team's overall handling of
a simulated safeguards and/or security emergency. The exercise may
involve a local Emergency Operations Center or multiple centers to
include the DOE Emergency Operations Center. Exercises may be
announced or unannounced, and may vary in scope and time as
dictated by the purpose of the exercise. A security command post
exercise shall be based upon the "Design Basis Threat Policy for
Department of Energy (DOE) Programs and Facilities (U)" and the
site-specific threat. The exercise will be used to evaluate both
tactical and technical assessments and decisions. Lines of
authority, the interrelationship of various organizational
components in crisis mitigation, and the timeliness of reporting
and decisionmaking will be considered in the overall evaluation.
Facility and equipment availability will also be evaluated.
e. Command Field Exercise. A command field exercise is an extension
of a command post exercise and is conducted to test the
interrelationship of site managers in directing the tactical
engagement of a protective force to a simulated emergency.
Procedures, tactical intelligence, communications, logistics, and
field and site support systems' interfaces are the focus of a
command field exercise. Such exercises are pre-planned and
announced in advance to all participating personnel. They may be
combined with force-on-force exercises.
f. Joint Training Exercises. When site or facility vulnerability
analysis and performance testing indicates a need for outside
agency support for the successful mitigation of a safeguards and
security incident, the support anticipated from outside agencies
shall be covered, where possible, by a formal, written Memorandum
of Agreement. Such support shall be tested annually by a joint
training exercise, where possible. The frequency of testing of
outside resources shall be based upon the degree of support
anticipated and shall be approved by the cognizant local
Departmental authority for safeguards and security.
2. TEST PLAN. A written test plan shall be prepared for protective force
performance testing activities. The plan shall consider and include, as
appropriate:
a. The specific element of the protective force being tested;
b. The objective of the test;
c. Applicable pass/fail criteria;
d. Specific safety considerations;
e. Specific safeguards and security considerations;
f. Test results documentation and after action reviews; and
g. Classification of the proposed test and anticipated results, as
appropriate.
3. SAFETY. Protective force performance tests shall be conducted with the
highest regard for the safety and health of personnel, protection of the
environment, and protection of Government property. Specific safety
considerations and requirements for conducting protective force
performance tests are found in DOE 5480.16, FIREARMS SAFETY.
4. COORDINATION. When the protective force command post exercise and
command field exercise performance tests involve demonstrations of
site-level emergency response capabilities, the development and conduct
of the exercise should be coordinated with the appropriate site-level
emergency management organizations.
5. TESTING FREQUENCY. Performance testing shall be conducted as outlined
in Figure VII-1.
============================================================================
| TYPE OF EXERCISE | MINIMUM TEST FREQUENCY |
|------------------------------------------------|-------------------------|
| Limited Scope Performance Test | AS REQUIRED |
| Alarm Response and Assessment Performance Test | 2/YEAR/ALARMED LOCATION |
| Force-On-Force Exercise | 1/YEAR/FACILITY |
| Command Post Exercise | 1/YEAR/SITE |
| Command Field Exercise | 1/YEAR/SITE |
| Joint Training Exercise | AS REQUIRED |
|________________________________________________|_________________________|
Figure VII-1
NOTE: Annual requirements for Force-On-Force Exercise, Command Post
Exercise, and Command Field Exercise may be combined where determined
appropriate in Site Safeguards and Security Plans. Requirements for
Alarm Response and Assessment Performance Tests may also be satisfied
through combined testing of multiple alarms in the same or proximate
location(s).