Approved by
Order of the Federal
Environmental, Industrial
and Nuclear Supervision Service
dated December 27, 2011 No. 747
FEDERAL RULES AND REGULATIONS
IN THE FIELD OF ATOMIC ENERGY USE
"RULES OF PHYSICAL PROTECTION OF RADIOACTIVE SUBSTANCES AND
RADIOACTIVE SOURCES DURING TRANSPORTATION"
(NP-073-11)
I. Purpose and scope
1. These federal rules and regulations in the field of atomic energy use "Rules of physical
protection of radioactive substances and radioactive sources during transportation" (hereinafter
referred to as the Rules) have been developed in accordance with Federal Law dated November 21,
1995 No. 170-FZ "On the use of atomic energy" (Collected legislation of the Russian Federation, 1995,
No. 48, Art. 4552; 1997, No. 7, Art. 808; 2001, No. 29, Art. 2949; 2002, No. 1, Art. 2; No. 13, Art. 1180;
2003, No. 46, Art. 4436; 2004, No. 35, Art. 3607; 2006, No. 52, Art. 5498; 2007, No. 7, Art. 834; No. 49,
Art. 6079; 2008, No. 29, Art. 3418; No. 30, Art. 3616; 2009, No. 1, Art. 17; No. 52, Art. 6450; 2011, No.
29, Art. 4281; No. 30, Art. 4590; No. 30, Art. 4596; No. 45, Art. 6333; No. 48, Art. 6732; No. 49, Art.
7025), Decree of the Government of the Russian Federation dated December 1, 1997 No. 1511 "On
approval of the Regulation on development and approval of Federal rules and regulations in the field
of atomic energy use and list of Federal rules and regulations in the field of atomic energy use"
(Collected legislation of the Russian Federation, 1997, No. 49, Art. 5600; 1999, No. 27, Art. 3380; 2000,
No. 28, Art. 2981; 2002, No. 4, Art. 325; No. 44, Art. 4392; 2003, No. 40, Art. 3899; 2005, No. 23, Art.
2278; 2006, No. 50, Art. 5346; 2007, No. 14, Art. 1692; No. 46, Art. 5583; 2008, No. 15, Art. 1549)
taking into consideration the accumulated experience of Russian and foreign experts in the physical
protection of radioactive substances (hereinafter referred to as RSb) and radioactive sources
(hereinafter referred to as RS) during transportation.
2. These Rules establish the requirements for physical protection of RSb and RS obligatory for
performance by all legal entities and individuals participating in the organization and implementation
of physical protection of RSb and RS during transportation by all modes of transport in the Russian
Federation.
3. These Rules apply to exercising physical protection during transportation of:
a) RSb which are accounted for in the system of state accounting and monitoring of RSb and
radioactive waste;
b) RS (their components) having a radionuclide source (hereinafter - RNS) with RSb and nuclear
materials in quantities which are subject to accounting in the system of state accounting and
monitoring of RSb and radioactive waste.
4. These Rules shall not apply to the provision of physical protection in the transportation of RSb
or RS used in activities related to the development, manufacture, testing, operation and disposal of
nuclear weapons and nuclear power installations for military purposes.
The terms and definitions are given in the Appendix to these Rules.
II. General
5. Physical protection of RSb and RS shall be carried out from the departure of vehicles from the
territory of the consignor's facility.
6. Physical protection of RSb and RS during transportation shall be carried out with taking into
account the measures applied in accordance with the safety rules during transportation and shall not
interfere with the said measures.
7. For the transportation of RSb and RS, an organization of the consignor, or that of the
consignee, or that of the carrier shall be determined as responsible for their physical protection
(hereinafter - the organization responsible for physical protection).
8. The purpose of physical protection of RSb, RS during transportation is to prevent theft of RSb,
RS and sabotage against RSb, RS, which may lead to exposure of people and the environment to
radiation beyond the established limits.
9. The physical protection of RSb and RS during transportation shall be aimed at:
deterrence of unauthorized acts;
timely detection of unauthorized acts;
retarding (delaying) the intrusion (advancement) of adversaries;
responding to adversaries and their neutralization.
10. Deterrence of unauthorized acts shall be ensured by:
measures of controlled access to vehicles, packages and overpacks, as well as physical
protection information;
application of physical protection equipment;
measures to inform the public about the reliable protection of RSb and RS during transportation
and responsibility for unauthorized acts, as well as other measures to reduce the confidence of
adversaries in successful implementation of threats.
11. Detection of unauthorized acts shall be ensured by:
application of sealing devices and means of security alarm system;
actions of physical protection personnel;
measures for control of movement of vehicles with RSb and RS along routes.
12. Retarding (delaying) the intrusion and advancement of adversaries shall be ensured by:
application of engineering means and designs of vehicles to prevent unauthorized entry into
vehicles and opening packages with RSb and RS;
actions of physical protection personnel.
13. Responding to adversaries and their neutralization shall be ensured by actions of physical
protection personnel and external response forces.
14. For fulfillment of the physical protection objectives, the following shall be implemented:
identification of threats and model of adversaries;
establishing categories of RNS being transported by their potential radiation hazard;
establishing levels of physical protection of packages and overpacks, consignment of packages
and overpacks in single vehicles and totality of consignments in the case of transportation by several
trucks in a column, in several cars of a railway train, or in several compartments of a vessel;
identification of physical protection measures provided for under these Rules based on the
established levels of physical protection threats and models of adversaries and characteristics of the
route(s) of transportation as based on the results of assessment of the efficiency of physical
protection;
ensuring the interaction of the organization responsible for physical protection with the security
unit (if security personnel are used in transportation) and external response forces;
planning and preparation of transportation;
exercising physical protection in the course of transportation.
15. Ensuring the interaction of the organization responsible for physical protection with security
units and external response forces shall be carried out on the basis of approved plans of interaction
(regulations on interaction) with the relevant authorities or organizations.
16. The organizations of the consignor, consignee and carrier shall protect information on
transportation of RSb and RS and physical protection measures in accordance with the legislation of
the Russian Federation.
17. Physical protection of RSb and RS during transportation in the territory of a radiation facility
shall be exercised according to the requirements of the rules of physical protection of RS, storage
facilities, RSb.
18. The personnel of physical protection during transportation shall be trained and have the
necessary qualifications confirmed by issuance of a permit to work related to discharge of obligations
on physical protection.
An integral part of the trailing process shall be the formation of a culture of physical protection
in the physical protection personnel.
Information about the physical protection personnel training or retraining and receipt or
confirmation of admission to work related to duties on ensuring physical protection shall be
documented and kept in the organization from which the persons of the physical protection personnel
are appointed, for at least three years.
19. The physical protection personnel involved in RSb and RS transportation operations shall
have written instructions on how to proceed with physical protection in normal and emergency
situations.
20. The physical protection personnel shall be briefed prior to transportation with recording of
the briefing information.
III. Levels of physical protection of consignments of radioactive substances,
radioactive sources
21. In order to differentiate the RSb and RS physical protection measures during transportation,
physical protection levels shall be set based on the potential radiation hazard of the RNS being
transported.
22. The potential radiation hazard is due to the possible radiation exposure of the personnel
involved in the transportation operation, public and environment during unauthorized acts against
the transported RSb or RS.
23. Physical protection levels shall be established:
for each package, overpack;
for consignment of packages and overpacks in a single vehicle;
for the totality of consignments of packages and overpacks in a group of vehicles, in the case of
transportation by several trucks in a column, in several cars of a railway train, or in several
compartments of a vessel.
24. The level of physical protection of a package or overpack shall be determined on the basis
of the category of RNS contained therein in terms of potential radiation hazard.
25. RNS categorization shall be carried out according to the potential radiation hazard to
humans determined on the basis of the A/D criterion of RNS activity A to the established limit of RNS
activity D.
Five RNS hazard categories are established:
Category 1: A/D >= 1000 - extremely hazardous for humans.
Category 2: 10 <= A/D < 1000 - very hazardous for humans.
Category 3: 1 <= A/D < 10 - hazardous for humans.
Category 4: 0,01 <= A/D < 1 - unlikely hazardous for humans.
Category 5: A/D < 0.01 - very unlikely hazardous for humans.
26. The procedure for categorization of RNS and the frequency of revision of the established
categories shall be determined by the consignor in accordance with the methodology of categorization
of RNS taking into account the requirements of safety rules for the transportation of radioactive
materials and rules of accounting and monitoring of RSb and radioactive waste.
27. Three RSb and RS physical protection levels are established:
level "А" of physical protection - for a package or overpack with RSb or RS with RNS of category
1;
level "B" of physical protection - for a package or overpack with RSb or RS with RNS of category
2;
level "C" of physical protection - for a package or overpack with RSb or RS with RNS of category
3;
28. For a package or a overpack with RSb or RS with RNS of categories 4 and 5, for RSb and
radioactive waste in the form of radioactive material with low specific activity (LSA-1) and an object
with surface radioactive contamination (OSRC-1), RSb and RS transported in cleared packages
(according to the safety rules for radioactive materials during transportation), the requirements for
physical protection shall be established by the management of the organization responsible for
physical protection in accordance with the rules for handling RSb and RS as tangible values.
29. The level of physical protection of a consignment of packages and overpacks in one vehicle
shall be determined by the maximum level of physical protection in the totality of packages or
overpacks.
30. In case of transportation of the totality of consignments of packages and overpacks within a
group of vehicles, in the case of transportation by several trucks in a column, in several cars of a railway
train, or in several compartments of a vessel, the level of physical protection for the specified set of
consignments shall be established based on the maximum level of physical protection of consignments
of packages or overpacks in individual vehicles, cars, compartments.
31. Information on the established levels of physical protection shall be documented and kept
by the consignor for at least one year after the completion of the transportation operation.
IV. Requirements for level "C" of physical protection
32. Physical protection of level "C " shall be subject to the requirements of Section II of the Rules
and this section.
33. The organization responsible for physical protection shall determine, depending on the type
and nature of the consignments, the means of transport used, length and conditions of the route,
need for the participation of accompanying persons or performance of the functions of accompanying
persons by drivers of the vehicles. Accompanying persons may be employees of the consignor,
consignee, or carrier.
34. The organization responsible for physical protection shall organize interaction with external
response forces along the route(s) of transportation.
35. Packages or overpacks shall be transported either in a closed freight compartment or in an
open body (platform, deck) of a vehicle. In the latter case, the package or overpack shall be of the
design of a freight container or be placed in a freight container. The freight compartment, freight
container, as well as the package or overpack having the design of a freight container shall be equipped
with locks and seals to detect unauthorized interference.
It shall be permitted to transport RS weighing more than 2000 kg in an open vehicle body while
ensuring the sealing of the RS package for detection of unauthorized interference.
36. Physical protection planning for transportation shall include the identification of primary
and secondary routes, taking into account the conditions in the areas and along the routes of
transportation.
When planning, it is necessary to avoid movement through the territory of emergency areas,
natural disasters and complex crime situation, to keep to the minimum the time of transportation,
number of transshipments between vehicles, stops and parking on the way, as well as number of
people aware of the transportation.
37. Transportation shall be carried out on the basis of a physical protection plan developed by
the organization responsible for physical protection during the transportation which shall be
documented and kept in the specified organization for at least one year from the date of completion
of transportation.
38. Prior to transportation, the consignor shall notify the consignee in advance of the planned
shipment with RSb, RS and the date of its delivery, as well as receive confirmation of the consignee's
readiness to accept the consignment within the specified time. The consignor shall document the
details of the dispatch of the notice and the receipt of the confirmation.
The consignee shall document the receipt of a notice of planned shipment with RSb, RS and the
dispatch of a confirmation to the consignor to accept the consignment. The specified data shall be
kept by the consignor and consignee for at least one year from the date of documentation.
39. Prior to the transportation, accompanying persons shall check the integrity of locks and seals
of freight compartments of vehicles, freight containers, packages and overpacks, as well as the
absence of foreign objects or devices in vehicles that may interfere with transportation or contribute
to commission of unauthorized acts. Information on implementation of the check shall be
documented by the consignor and kept for at least one year from the date of documentation.
40. The consignor shall document the date and time of shipment of the vehicles and, upon
completion of the transportation, the receipt of a notification of delivery of the consignment. The
consignor shall keep the above information for at least one year.
41. Accompanying persons shall have means of communication for exchanging messages with
the consignor and (or) consignee on the progress of transportation, as well as for communication with
external response forces on the route of transportation. In case of transportation of RSb and RS by a
column of several trucks or in several cars of one railway train, communication between
accompanying persons in each truck (car) shall also be provided.
When exchanging messages with the consignee and (or) consignor and external response
forces, a system of conventional messages shall be used to keep confidential the information on the
progress of transportation, status of RSb and RS, nature of the incidents, and actions taken.
42. Accompanying persons shall check the condition of the locks and seals of freight
compartments, containers, packages and overpacks at parking lots and stops (if allowed by stoppage
time), as well as monitor the vehicles, preventing unauthorized entry into the truck bodies, cars, or
compartments.
43. The consignor shall monitor the movement of vehicles along the route by periodically
exchanging messages with the accompanying persons by means of communication. Information on
communication sessions shall be documented and kept for a year.
It is allowed to supplement monitoring of movement of vehicles using navigation tracking
systems, but the application of such means shall not replace message exchange by means of
communication.
44. Upon arrival of the RSb, RS consignment to the destination, accompanying persons shall
verify the authority of the consignee to accept the consignment, check, together with representatives
of the consignee, the condition of locks and seals of freight compartments, freight containers,
packages and overpacks, hand over the consignment with marks in the shipping documents and
inform the consignor about the completion of transportation.
The consignee shall document the receipt and dispatch of a notice of receipt to the consignor
and keep this information for at least one year.
V. Requirements for level "B" of physical protection
32. Physical protection of level "B " shall be subject to the requirements of Sections III, IV of the
Rules and this section.
46. The organization carrying out transportation of RSb and RS shall have a special permission
(license) for transportation issued according to the current legislation of the Russian Federation.
47. Accompanying persons exercising physical protection duties with respect of RSb, RS shall
participate in transportation of RSb, RS.
48. The organization responsible for physical protection shall arrange RSb and RS transportation
monitoring prior to the start of the vehicle movement. The monitoring shall be carried out throughout
the transportation time by an employee having means of communication with the accompanying
persons and authorized to exchange messages on the course of transportation and to receive
messages on detection of unauthorized acts and in case of emergency situations.
49. The organization responsible for physical protection, based on the characteristics of the
route(s) and possible threats, shall determine the conditions of transportation for which it is necessary
to provide physical protection of RSb and RS with the use of security personnel and (or) escort vehicles.
The involvement of security personnel and the use of escort vehicles shall be documented in terms of
physical protection.
50. The physical protection plan for RSb and RS during transportation shall include:
responsibility and duties of accompanying persons for the implementation of physical
protection;
duties of security personnel (if employed in transportation);
measures for the preparation and implementation of transportation;
measures for hiding and protecting the information on preparation and transportation;
response measures in case of unauthorized acts and in emergency situations;
procedure for use of means of communication and tracking of transportation;
measures and procedures for communication and interaction between the consignor,
consignee, carrier, employee monitoring the transportation of RSb and RS, and external response
forces along the route of transportation.
51. The physical protection plan for transportation shall be approved by the management of the
organization responsible for physical protection and kept for at least one year after the completion of
the RSb and RS transport operations to which it applies.
52. The employee in charge of monitoring the transportation of RSb and RS shall monitor the
progress of the transportation of RSb and RS on the route by exchanging messages through a
communication channel with persons accompanying the consignment and using a navigation tracking
system.
53. The hardware of the navigation tracking system and the means of communication used by
the consignee, consignor and carrier shall have sets of relevant design and operational
documentation. The organizations which have the specified hardware shall provide their availability
and operability.
VI. Requirements for level "A" of physical protection
54. Physical protection of level "A " shall be subject to the requirements of Sections II, IV, V of
the Rules and this section.
55. Transportation shall be carried out with the employment of accompanying persons and
security personnel.
56. During transportation, it shall be possible to send from any point of the route an alarm signal
by accompanying persons to the employee monitoring the transportation of RSb and RS. To this effect,
means of alarm call signaling and data transmission facilities shall be installed on the vehicle with RSb
and RS, or portable means of alarm call signaling shall be worn by the accompanying persons. The
employee monitoring the transportation of RSb and RS shall have the means of receiving data and
displaying alarm signals.
57. The employee monitoring the transportation of RSb and RS shall be able to record or
document the negotiations with the accompanying persons, document the information on the receipt
of alarm signals from the alarm systems, as well as on the monitoring of the movement of vehicles
along the route using the navigation tracking system. These records and (or) documents shall be kept
for at least one year from the date of completion of transportation.
VII. Notification on unauthorized acts
58. In case of detection of a breach related to unauthorized acts or loss of RSb, RS, the consignor
shall send a notification to the on-duty officer of the interregional territorial administration of the
Federal Environmental, Industrial and Nuclear Supervision Service, relevant authority regulating the
use of atomic energy (if the consignor is under authority of such authority), territorial authority of
internal affairs, and territorial authority of security service via a channel of any type of communication
within 1 hour after detection of the violation.
59. Within 24 hours after detection of a breach, a document signed by the management of the
consignor and containing the following information shall be submitted through any kind of
communication to the same addresses to which the notice was sent:
location of the incident or breach detection and description of the circumstances associated
with the loss, theft of RSb and RS, or commission of sabotage, attempts to commit such acts;
type, categories, quantitative characteristics of RSb and RS in respect of which unauthorized
acts were carried out, as well as the type of missing or found RSb and RS;
measures taken, their result and a plan of further actions to solve the problems that have arisen.
Appendix
to the Rules of physical protection of
radioactive substances
and radioactive sources
during transportation
approved by Order of the Federal
Environmental,
Industrial and Nuclear Supervision Service
dated December 27, 2011 No. 747
TERMS AND DEFINITIONS
The following terms and their definitions are used in this document:
External response forces are forces that are called to assist in the neutralization of adversaries
during transportation of RSb and RS.
Category of RNS in terms of their potential radiation hazard is a characteristic of RNS defined by
their radiation hazard to employees (personnel) and public in case of a possible radiation accident.
Physical protection personnel are the persons exercising the functions of protection of RSb, RS
during transportation and accompanying persons discharging the duties of physical protection of RSb,
RS during transportation.
Threat to RSb and RS during transportation is a potential possibility for adversaries to commit a
sabotage against RSb, RS, or theft of RSb, RS during transportation.
Level of physical protection is the result of assessment of the potential radiation hazard and
possible consequences of unauthorized acts against a consignment of RSb, RS.