CHAPTER 3
OPNAVINST 5530.13D 28 May 2021
3-2 g. Train and qualify the security force with the small arms they carry as delineated in references (h) and (m). Document this training in each person's training record.
h. Train the security force in the use of force under per reference (k), Arming and the Use of Force. A statement acknowledging receipt of such training must be signed by each security force member and filed in each person's training record.
i. Drill and evaluate the security force semiannually in their response to threats to AA&E storage areas. Record the date, time and results of security force drills, including deficiencies and corrective action taken; maintain records per table 1-2.
j. Duty supervisors must inspect all security posts, spaces and patrols periodically.
k. Screen persons before they are assigned AA&E security-related duties, whether full time or collateral, as delineated in chapter 1.
l. Equip security forces with two-way radios and establish a duress system to call for assistance. Use code words or gestures with common language or motions and change frequently to preclude discovery.
3. Locks.
a. High security locking systems are required on the entry doors to all AA&E storage structures, armories, magazines and operating buildings if AA&E is stored overnight (see appendix C Tables C-1 through C-3). Interior doorways may use GSA approved Class 5 vault doors. Keyed-alike locks may only be used for field grade locks to secure gates or arms racks located inside a space which meets high security requirements.
Note: No markings will be added to lock exteriors, which might aid in unauthorized opening of the lock. This includes, but not limited to, serial numbers or other markings, which identify the correct key for the lock.
b. Facilities in which aircraft or vehicles are stored with ammunition aboard must be secured with a high security lock or equivalent compensatory measures will be applied. Aircraft or vehicles, stored with ammunition on board that are not in a facility secured by a high security lock, must be secured with a secondary lock and under constant surveillance by an armed guard or watch stander with communication equipment.
c. Doors not normally used for entry must be secured from the inside with locking bars, deadbolts or padlocks after working hours. Panic hardware, when required, must be installed to prevent opening the door by drilling a hole or fishing from the outside. Panic hardware must meet safety, fire and building codes and be approved by the Underwriters Laboratories or, when applicable, meet host country requirements. If panic hardware does not prevent access as
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3-3 required in this paragraph, the door must be secured from the inside as indicated when the building is locked at the completion of the work shift.
d. When an area or container will remain open, lock its padlock to the staple or hasp to prevent its theft or loss.
e. NAVFAC EXWC (Code CI8) issues, tracks, repairs and replaces cylinders, high security locks and keys for high security AA&E stowage. High security locks, cores and keys are restricted from public access and must be properly demilitarized prior to disposal. Note: High security padlocks meeting MIL-DTL-43607J Padlock, Key Operated, High Security, Shrouded Shackle, 29 July 2010 requirements must be ordered by military standard requisitioning and issue procedure requisition NSN 5340-01-510-2351 and processed through NAVFAC EXWC (Code CI8). Ordering instructions for high security padlocks, cores and keys are located on the Navy AA&E Physical Security Web site at https://nossa.dc3n.navy.mil/. For proper disposal, damaged or malfunctioning locks and damaged or unserviceable keys must be sent to:
Commanding Officer ATTN: Code CI8 Naval Facilities Engineering & Expeditionary Warfare Center 1100 23rd Avenue Port Hueneme, CA 93043-4370 (800) 290-7607
f. High security locks (high security padlocks and ILD) or lock cores must be rotated annually. Rotation is accomplished to guard against the use of illegally duplicated keys and for regular maintenance to avoid lockouts or security violations due to malfunctions. Spare locks, cores and keys will be stored in a GSA approved Class 5 security container to prevent access by unauthorized individuals. Operational keys must be stored in a separate GSA approved container. The spare and maintenance keys may be stored in the same security container. Note: Each high security padlock is supplied with two operator keys and one control key. Each Tufloc (shipboard use only) is supplied with two operator keys. Additional keys are available upon request from NAVFAC EXWC (Code CI8).
g. Seal-type locks referred to in this manual must be serially numbered, tamperproof and must be safeguarded when stored. The serial number of a seal must be shown on the government bill of lading. Cable seal locks are authorized in lieu of padlocks on railcars, trucks, trailers, crates and other shipping containers where "locked and sealed" security is specified (cable seal locks provide both the lock and the seal). Cable seal locks are one-time use, serialized, throwaway locks; several meet the Federal specifications identified in reference (t). Further information may be obtained from www.navfac.navy.mil/go/locks/.
4. Key, Combination and Lock Control.
OPNAVINST 5530.13D 28 May 2021
3-4 a. The CO or designee must appoint in writing an AA&E key, combination and lock or access control custodian who will assure proper custody and handling of AA&E keys, combinations and locks. He or she may be assigned responsibility for all keys, combinations and locks or just those to AA&E spaces. Key, combination and lock custodians must not be unit armorers or persons authorized unescorted access to AA&E storage areas. Commands that do not use combination locks for safeguarding AA&E are not required to identify combination in their appointment.
(1) Key and lock custodians must not be primary or alternate armorers.
(2) Key and lock custodians must not be persons who are authorized unaccompanied access to AA&E storage areas.
(3) Explosive ordnance disposal detachment personnel authorized unaccompanied access may be designated as AA&E key, combination and lock custodians. This only applies to detachments where response to life and public safety mission requirements and limited manning does not allow for assignment of personnel without unaccompanied access to be assigned AA&E key, combination and lock custodian duties. In these instances, access to AA&E storage facilities must be protected by IDS or CCTV and positive two-person controls must be maintained at all times.
b. Maintain keys and combinations to AA&E storage areas that include buildings, rooms, racks, containers and IDS separately from other keys and combinations and allow access only to those individuals whose official duties require it. Keep a current roster of these individuals within the unit or activity, protected from public view. Roster must include name of individual authorized to receive keys, serial number or other identifying information and AA&E location. Keep the number of keys and combinations to a minimum (e.g., do not have more keys in inventory than needed as they increase inventory requirements, storage requirements and the risk of a security compromise). Master keying, keying alike of locks and the use of a master key system is prohibited for high security applications protecting AA&E.
c. Keys must never be left unattended or unsecured. When not attended or in use - that is, in the physical possession of authorized personnel keys to SRC I and II AA&E must be stored in GSA approved Class 5 security containers or weapons storage containers (shore facilities only). Keys to SRC III and IV AA&E may be secured in containers of at least 12-gauge steel or equivalent (other existing containers may continue to be used). This container must be secured with a GSA approved, built-in three position changeable combination lock or a built-in combination lock meeting the requirements of reference (u).
d. Shipboard key and combination storage must be per chapter 5, subparagraph 10.
e. For ships, operational keys to AE spaces must be kept on welded or brazed rings separate from rings with keys to weapons storage spaces. The purpose is to prevent theft, loss or
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3-5 unauthorized reproduction of one key ring which could provide access to both weapons and ammunition.
Note: RFI AA&E lockers for response forces are exempt from the separation requirement for ammunition and weapons.
f. Keys, combinations and locks must be inventoried semiannually by a disinterested third party or a person not responsible for AA&E or authorized for unaccompanied access to AA&E. Maintain inventory records per table 1-2. A recommended template for the key inventory is located on the Navy AA&E Physical Security Web site at https://nossa.dc3n.navy.mil/. At a minimum, the inventory must:
(1) List the date of inventory.
(2) Printed name and signature of the person conducting the inventory.
(3) Complete 8 digit alphanumeric serial number (including 3 digit sub-serial number for high security padlock keys) of each key to show quantity of operating keys and control keys (where applicable) and spare keys. Combination information (as applicable).
(4) List the lock location and date of last rotation of each lock. Inventories must include all spare locks, cores and inoperable locks.
g. Maintain a key and combination control register to ensure continuous accountability of keys and combinations. All transfers of AA&E keys from person to person are required to be recorded in the key control register for accountability purposes. Retain completed registers per table 1-2. The key and combination control register must contain:
(1) Printed name and signature of the individual receiving the key or combination.
(2) Date and time of issuance.
(3) Key serial number, UII or combination numbers other identifying information. Registers containing combinations for classified information or material must be protected according to the highest classification being stored.
(4) Printed name and signature of the person issuing the key or combinations.
(5) Date and time the key was returned.
(6) Printed name and signature of the individual receiving the returned key or changing combinations.
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3-6 Note: Automated key issuance systems using access cards, fingerprints or other means of individual identification are not authorized for control of high security keys. When electronic systems are used for key control records, the control procedures used for keys outlined in this instruction must apply. A recommended template for the key control register is located on the Navy AA&E Physical Security Web site at https://nossa.dc3n.navy.mil/.
h. When individuals, such as duty officers, are charged with the responsibility for safeguarding or custody of keys or combinations to AA&E areas, they will sign for the custody of keys, a sealed container of keys and combinations as applicable. When container custody is transferred, the seals must be checked and verified against the original container custody log. If seals are unbroken and intact, it is not necessary to physically count the keys with each change of custody. In afloat commands, they may sign for key rings as long as the weld has not been broken and the proper number of keys on the ring is verified.
i. Combinations used to protect classified AA&E must require the custodian to hold a personnel security clearance commensurate with the highest level of classified information being protected.
j. Keys to armories, racks, containers or magazines must not be removed from the installation or ship except to provide for explosive ordnance disposal emergency response, protected storage elsewhere or for access to Navy storage locations that are not co-located on the facility where the keys are secured.
Note: Unauthorized possession of keys, key blanks, keyways or locks adopted by a DoD component to protect AA&E is a criminal offense punishable by fine or imprisonment of up to 10 years or both (18 U. S. C., Section 1386).
k. High security locks protecting AA&E spaces must not be part of a master key system or keyed alike. Locks protecting AA&E spaces must be individually keyed so that each key fits only one high security lock.
l. If keys or combinations are lost or stolen, replace the affected locks or cores immediately.
Note: Combinations will be changed when locks are placed into use and whenever persons knowing the combination no longer require access unless other sufficient conditions exist to prevent that individual’s access to the lock or when the combinations have been subject to compromise.
m. Keys to high security padlocks and TUFLOCs that are not permanently stamped with an alphanumeric serial number have not been processed by NAVFAC EXWC (Code CI8) and are not authorized for use. These keys and their associated padlocks are not registered in the DoN Key and Lock Program and their use must be discontinued. The keys and locks must be sent to NAVFAC EXWC (Code CI8) at the address listed in paragraph 3.e to be rekeyed and recorded.
OPNAVINST 5530.13D 28 May 2021
3-7 Note: Keys for the ILD are currently supported by NAVFAC EXWC (Code CI8). Request for keys or support for this lock should be directed to:
Commanding Officer ATTN: Code CI8 Naval Facilities Engineering and Expeditionary Warfare Center 1100 23rd Avenue Port Hueneme, CA 93043-4370 (800) 290-7607
n. New high security keys and padlocks must be ordered using the NSN’s listed in appendix C. Requests for other lock and key support may be directed to NAVFAC EXWC (Code CI8) for supply and support as needed.
o. When custody of keys and combinations are transferred to a new key and combination custodian, both out-going and in-coming custodians will perform an inventory of all keys and combinations and verify all personnel access lists.
p. NAVFAC EXWC (Code CI8) must be notified of any permanent transfer of custody for locks and keys to ensure Navy custody records are updated for continued accountability and support for those assets.
q. Written records of combinations must be minimized and combinations must be committed to memory. Commands will implement a control system that ensures accountability and control of written combinations, keys and locks for AA&E storage structures and facilities. Reserve or replacement high-security padlocks, cores, keys and written combinations must 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 must be secured as described in reference (a).
5. Access Control.
a. Per references (a) and (f), personnel allowed unaccompanied or unescorted access to AA&E storage spaces will be limited to those personnel needed for associated, essential operations. Those persons must be designated in writing by the CO only after a favorable Access National Agency Check with Written Inquiries or National Agency Check with Law and Credit is completed and they have been screened as required in chapter 1. Access to such areas for all personnel will be recorded (manually or electronically). The record of access must be retained for 1 year. The CO may delegate authority to approve visiting personnel with escorted access.
OPNAVINST 5530.13D 28 May 2021
3-8 b. Personnel assigned to escort others in AA&E spaces must themselves meet the requirements for unaccompanied or unescorted access to those spaces, to include being on the appropriate authorized access list. A visitor’s access log will be maintained listing the name of the person(s) allowed access, the person escorting, the person authorizing access, the time of access and the purpose. Maintain access logs per table 1-2.
c. Strict access control will be maintained at all gates or entrances leading into AA&E storage areas. Use a pass, badge, access roster or sign in and out system to properly identify authorized personnel. Maintain entry records per table 1-2. Privately owned vehicles (POV) are prohibited; exceptions may be allowed at Navy sites only at the discretion of the CO. General recreation is prohibited; however, hunting and fishing for control of game populations or other wildlife controls may be authorized by the CO per OPNAV-M 5090.1, paragraph 12-3.10 and reference (e), paragraph 2-1.6.4.
d. Security force personnel will check property passes of vehicles entering or leaving and perform routine or random inspections of vehicles and personnel entering, within or departing AA&E areas.
6. Arms Stowage. The criteria of this chapter is intended for sites where AA&E is maintained on a permanent basis during daily peacetime conditions, contingency sites and exercises. For sites not specifically covered in this instruction and expeditionary environments, commands will establish procedures to protect AA&E consistent with the intent of this chapter.
a. Safes, Arms Racks and Storage Containers. Arms in an armory will be stored in banded crates, standard or locally made arms racks, lockers, cages or a Class 5 GSA approved container (Weapons rack design, whether commercially procured or locally fabricated, must be lockable and able to prevent the removal of the weapon by disassembly or other means without leaving visual evidence of damage to the rack). Additionally, shipboard weapons stowage lockers or racks must meet ship design requirements for both security and shock.
(1) Secure arms racks and cages with low security padlocks (see appendix C). In facilities not continuously manned, arms racks and containers weighing under 500 pounds (empty weight) will be fastened to the structure or fastened together in groups totaling over 500 pounds. This can also be accomplished with chains secured with bolts (spot weld, peen or otherwise secured to prevent easy removal) or low security padlocks. Empty safes that are over 500 pounds are not required to be bolted or secured to the structure. Chains will be heavy duty hardened steel or welded, straight link, galvanized steel, of at least 5/16-inch thickness or equivalent per reference (a). An example of an equivalent chain is type 1, grade C, class 4, NSN 4010-00-149-5583, NSN 4010-00-184-3476 or NSN 4010-00-171-4427. Where such fastenings hinder operational requirements, the facility manager may waive this requirement. Additionally, where prefabricated armories (e.g., Armag) that are equipped with individual cages and only specific persons on an approved access list have access to each cage, this requirement is waived
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3-9 (2) Hinged locking bars for racks will have the hinges welded, peened or otherwise secured to prevent easy removal of arms. Racks must be constructed to prevent removal of the weapon or disassembly of major components.
(3) When weapons are in transit, stored in depots or warehouses or held for contingencies, crates or containers will be fastened together in groups totaling at least 500 pounds and banded or locked and sealed.
(4) For consolidated arms rooms that use internal cages, the cages must be treated as individual lockers (and not require lockers internal to the cage) if they are operated as a storage container and not as a separate armory point for individual issue. Armorer control and limited access must be maintained.
b. IDS. IDS is required as detailed in chapter 2 and appendix B.
c. Security Lighting, Locks and Keys and Security Patrols are covered in chapter 2 and appendix C.
d. Facilities Located Off a Military Installation. In addition to meeting the requirements of this instruction, SRC II through IV arms must have the bolts removed and secured in a separate GSA approved Class 5 security container or GSA approved weapons container under any of the conditions identified in subparagraphs 6d(1) through 6d(5). This does not pertain to ready for issue arms at Recruiting Stations and Reserve Centers:
(1) Facility does not meet structural requirements of reference (a).
(2) Increased threat conditions.
(3) Inoperative IDS.
(4) The facility is unattended for extended periods of time with arms stored inside.
(5) At the discretion of the CO having direct security responsibility for the facility. Note: Removed bolts will be tagged with the weapon's serial number to ensure return to the same weapon. Etching of weapon's serial number on the removed parts is prohibited.
7. Clearing Barrels. Clearing barrels provide personnel a safe and effective means to properly clear, load and unload their assigned weapon(s). CO’s and OIC’s will ensure:
a. Clearing barrels are placed at or near AA&E facilities, guard facilities, RFI points and ranges. If written range procedures include the clearing of weapons on the firing line installed clearing barrels can be omitted.
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3-10 b. Clearing barrels will be positioned away from high traffic and populated areas to ensure safety of bystanders in the event of a negligent discharge.
c. Weapons clearing procedures for all weapons approved to be cleared at the designated point will be displayed prominently near the clearing barrel.
d. A designated supervisor will supervise all weapons clearing.
e. Further guidance concerning weapons clearing procedures is provided in Navy Tactical Reference Publication 3-07.2.2, Weapons Handling Standard Procedures and Guidelines, Jan 2015.
f. For guidance concerning clearing barrel construction requirements refer to Marine Corps Order 8020.10A Marine Corps Explosives Safety Management Program Aug 2018.
8. Restricted Area Posting. Facilities containing AA&E must be designated and posted as a restricted area per references (a) and (h).
9. Arms Parts. Major parts for arms (such as barrels, major subassemblies) must be afforded at least the same protection as SRC IV arms. The frame or receiver of an arm constitutes a weapon and such parts must be stored according to the applicable SRC (e.g. the receiver of a .50 caliber machine gun must be stored as a SRC II arm).
10. Resale Facilities and Exchanges. Minimum standards for Exchange Resale Facilities are:
a. Store AA&E per this manual.
b. Use only empty ammunition boxes for display.
c. Keep arms in display racks that are locked with low security locking devices (see appendix C) and kept under constant visual surveillance during open hours. Display only one model of each type of arm. Move all arms from sales areas to an approved arms storage area after open hours.
d. Conduct a 100 percent count daily and a 100 percent inventory by serial number weekly. Retain records for 3 years.
e. Comply with Federal legislation, State laws and local ordinances. Prominently display State laws and local ordinances next to where sales take place.
11. Navy Museums and Unit Displays. AA&E will be safeguarded per this manual unless it is certified as demilitarized under OPNAVINST 8026.2C and OPNAVINST 8020.14A. However,
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3-11 historically significant items must be protected without damaging their operational or aesthetic value.
a. Storage. Secure arms and ammunition in an armory or appropriate container as detailed in this manual.
b. Display. Only antique or unique weapons may be displayed. Current arms must not be displayed if they are functional. They must only be displayed if they are modified to render them temporarily or permanently inoperable, such as by removal of firing pins or other key internal components (store these components separately in a secure container).
(1) On exhibit cases containing weapons, use locking hardware and break-resistant glass or plastic with secure mounting hardware. Other methods include attachment with wire to secure stanchions.
(2) Use an IDS with point sensors (preferably a balanced magnetic switch) on all doors and other man-passable openings and area (volumetric) sensors covering weapons display areas.
(3) For items exhibited in static outdoor displays, remove minor caliber weapons up to 25 millimeter (mm) from vehicles and mounts (they may be replaced with reproductions). Medium and major caliber weapons (3 inch and larger) should be rendered inoperable.
(4) Museum personnel must check arms displays every 2 hours during public visitation hours; security personnel must check the structure every 8 hours during closed hours.
c. Inventory arms by count every month and by serial number every quarter. Keep records for 3 years.
12. Low Risk AA&E. Physical security measures for low risk AA&E are minimum standards for AA&E which does not fit within an established SRC. This may include large naval weapons (e.g., aircraft-mounted 20-30 mm cannons) or nonlethal weapons. Level of risk can be determined for any ammunition or explosive item by using tables 8-1 through 8-5 in chapter 8. CO must evaluate the need to protect low risk AA&E according to the local threat and changing risk factors.
13. Minimum Security Measures for Low Risk AA&E.
a. As a minimum, the installation CO will designate AA&E storage areas as Level One Restricted Areas per reference (h) and provide the requisite protection, or alternative security measures which are deemed equivalent.
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3-12 b. If feasible, classified low risk AA&E will be protected following reference (c). At a minimum, low risk AA&E classified secret or confidential will receive protection at least equivalent to that provided for SRC II and III respectively.
c. The security force will patrol open storage areas containing low risk AA&E at irregular intervals not to exceed 4 hours.
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4-1 CHAPTER 4 ASHORE SECURITY REQUIREMENTS
1. Regionalization of Facilities. Security of shore based facilities relies on the facilities, structures, base security and personnel support as detailed in chapters 2 and 3. In areas where AA&E physical security functions and positions have been regionalized, the location or function of these services cannot impact the final requirements of this manual (i.e., response forces must be effectively dispatched to meet response time requirements. IDS alarm function and acknowledgement must be confirmed and records available for inspection etc.).
2. Host and Tenant Activity Relationships and Responsibilities. On facilities that are split between multiple commands, the requirements of chapter 1, paragraph 2 must be noted. While each tenant is responsible for the proper security of their AA&E, the host facility is responsible for coordination of the protective measures. This includes formal coordination that ensures the completion of AA&E physical security survey(s), either collectively or by individual tenants and the designation of responsibilities and duties of personnel that may share authority across commands (such as key custodians, accountability officers, etc.). Components of these coordination efforts are to be included in appropriate memorandum of understanding or agreement(s), Inter-service support agreement(s) and other formal documentation which details the responsibilities of the host and tenant(s). Navy facilities located OCONUS that are unable to implement certain requirements of this manual or supporting instructions based on the security requirements in that nation or status-of-forces agreements are required to address and request waivers and exceptions from this policy in their physical security plans.
3. Personnel with AA&E Duties. AA&E duties include, but are not limited to, activities such as key custodian, accountability, transportation, inventory, issuance, receipt, security response, etc. A list of personnel that have designated AA&E duties must be maintained by command to ensure that requisite training is provided and received.
4. Contractor Personnel. When contractor personnel are used to augment the government workforce in support of AA&E duties, contractor personnel screening, training, access control and other requirements of this manual must be included in contractual requirements and verified by the contracting command. Care must be taken to ensure that inherently government functions and duties are not contract