U.S. DEPARTMENT OF ENERGY DOE O 470.1
WASHINGTON D.C. 9-28-95
Chg 1 6-21-96
SUBJECT: SAFEGUARDS AND SECURITY PROGRAM
a. To ensure appropriate levels of protection against unauthorized
access; theft, diversion, loss of custody, or destruction of nuclear
weapons, or weapons components; espionage; loss or theft of classified
matter or Government property; and other hostile acts that may cause
unacceptable adverse impacts on national security or on the health and
safety of Department of Energy (DOE) and contractor employees, the
public, or the environment.
b. To deter, prevent, detect, and respond to unauthorized possession,
use, or sabotage of special nuclear materials.
c. To provide an integrated system of activities, systems, programs,
facilities, and policies for the protection of classified information,
nuclear materials, nuclear weapons, nuclear weapons components, and
DOE and certain DOE contractor property and personnel as required by
the Atomic Energy Act of 1954, as amended, other Federal statutes,
Executive orders, and other directives.
d. To use the Design Basis Threat Policy, issued by the Director of
Security Affairs, in the design and implementation of protection
e. To provide levels of protection in a graded manner in accordance with
the potential risks.
f. To establish safeguards and security programs comparable in
effectiveness to other Federally regulated programs with similar
interests when such levels are consistent with DOE protective needs
and national security interests.
g. To ensure effective planning of graded protection levels and prudent
application of resources.
h. To ensure personnel receive training appropriate for their roles in
support of the program and that persons given access authorization are
aware of Safeguards and Security Program requirements.
i. To standardize safeguards and security equipment and systems to
achieve operational and financial benefits.
2. CANCELLATIONS. The Orders listed below are canceled. Cancellation of an
Order does not, by itself, modify or otherwise affect any contractual
obligation to comply with such an Order. Canceled Orders which are
incorporated by reference in a contract shall remain in effect until the
contract is modified to delete the reference to the requirements in the
a. DOE 5630.11B, SAFEGUARDS AND SECURITY PROGRAM, of 8-2-94.
b. DOE 5630.13A, MASTER SAFEGUARDS AND SECURITY AGREEMENTS, of 6-8-92.
c. DOE 5630.14A, SAFEGUARDS AND SECURITY PROGRAM PLANNING, of 6-9-92.
d. DOE 5630.15, SAFEGUARDS AND SECURITY TRAINING PROGRAM, of 8-21-92.
e. DOE 5630.16A, SAFEGUARDS AND SECURITY ACCEPTANCE AND VALIDATION
TESTING PROGRAM, of 6-3-93.
f. DOE 5630.17, SAFEGUARDS AND SECURITY (S&S) STANDARDIZATION PROGRAM, of
g. DOE 5631.1C, SAFEGUARDS AND SECURITY AWARENESS PROGRAM, of 5-4-94.
h. DOE 5631.4A, CONTROL OF CLASSIFIED VISITS, of 7-8-92.
i. DOE 5634.1B, FACILITY APPROVALS, SECURITY SURVEYS, AND NUCLEAR
MATERIALS SURVEYS, of 9-15-92.
j. DOE 5634.3, FOREIGN OWNERSHIP, CONTROL, OR INFLUENCE PROGRAM, of 6-14-
k. DOE 5639.3, VIOLATION OF LAWS, LOSSES, AND INCIDENTS OF SECURITY
CONCERNS, of 9-15-92.
l. Chapter XI, "Protection Element: Acceptance and Validation Testing,"
in DOE M 5632.1C-1, MANUAL FOR PROTECTION AND CONTROL OF SAFEGUARDS
AND SECURITY INTERESTS, of 7-15-94.
a. DOE Elements. DOE Elements responsible for safeguards and security
activity and/or the protection and control of safeguards and security
b. Contractors. Except for the exclusions in paragraph 3c, the
Contractor Requirements Document (Attachment 1) sets forth
requirements that are to be applied to the covered contractors.
c. Exclusions. DOE facilities and activities regulated by the Nuclear
4. REQUIREMENTS. General Safeguards and Security Program requirements are
listed below and in the chapters appended to this Order. Detailed
requirements for personnel security activities, protection operations,
information security, and materials control and accountability are set
forth in the Orders listed in subparagraph a below. Note that terms
commonly used in the Safeguards and Security Program are defined in the
"Safeguards and Security Definitions Guide," which is maintained by the
Office of Safeguards and Security.
a. Key Safeguards and Security Program Elements.
(1) Program Management, DOE O 470 series.
(2) Personnel Security, DOE O 472 series.
(3) Protection Operations, DOE 5632 and DOE O 473 series.
(4) Materials Control and Accountability, DOE 5633 and DOE O 474
(5) Information Security, DOE 5639 and DOE O 471 series.
b. Risk Management. The determination of the appropriate level of
protection against risk shall consider the nature of the threat, the
vulnerability of the potential target, and the potential consequences
of an adversarial act. Accordingly, safeguards and security programs
shall be based on vulnerability/risk analyses designed to provide
graded protection in accordance with the asset's importance or the
impact of its loss, destruction, or misuse. Risks to be accepted by
the Department shall be identified and documented by
c. Graded Protection. By graded approach, DOE intends that the highest
level of protection be given to security interests whose loss, theft,
compromise, and/or unauthorized use will seriously affect the national
security, and/or the health and safety of DOE and contractor
employees, the public, the environment, or DOE programs. Protection
of other interests shall be graded accordingly. Asset valuation,
threat analysis, and vulnerability assessments shall be considered,
along with the acceptable level of risk and any uncertainties, to
decide how great is the risk and what protection measures are to be
It should be recognized that risks will be accepted (i.e., that
actions cannot be taken to reduce the potential for or consequences of
all malevolent events to zero); however, an acceptable level of risk
will be determined based on evaluation of a variety of facility-
specific goals and considerations. Protection-related plans shall
describe, justify, and document the graded protection provided the
various safeguards and security interests.
d. Site-Specific Programs. Safeguards and security programs shall be
tailored to address site-specific characteristics.
e. Planning. Chapter I sets forth detailed requirements for site-wide
plans to be developed and maintained at the Operations Office, or
equivalent-level, and for other plans to address specific needs.
f. Deviations. Alternate or equivalent means of providing adequate
safeguards and security may be proposed to meet a specific requirement
of this and other Safeguards and Security Program directives. In some
cases, it may be justifiable not to meet a requirement by any means.
The following procedures and approval levels shall apply to all such
deviations from Safeguards and Security Program directives'
requirements. Any extensions to the approved period of time for
deviations shall require reapplication for approval.
(1) Variances are approved conditions that technically vary from a
Safeguards and Security directive's requirement, but afford
equivalent levels of protection without compensatory measures.
(a) Variances shall be approved by the Head of a Field Element.
The Office of Safeguards and Security and appropriate
program offices shall be notified.
(b) For Headquarters Elements, the cognizant Secretarial Officer
shall approve variances with the concurrence of the
Director, Headquarters Operations Division, Office of
Safeguards and Security.
(c) Variances may be approved for an indefinite period.
(2) Waivers are approved nonstandard conditions that deviate from a
Safeguards and Security directive's requirement which, if
uncompensated, would create a potential or real safeguards and
security vulnerability. Waivers therefore require implementation
of compensatory measures for the period of the waiver (e.g.,
expenditure of additional resources to implement enhanced
(a) Waivers shall be approved by Heads of Field Elements
1 the cognizant Secretarial Officer(s) and the Office of
Safeguards and Security are notified 30 days in advance
of such approval;
2 comments provided by Headquarters Elements are
considered before approving the waiver;
3 adequate compensatory measures are in place; and
4 performance testing is accomplished, if appropriate.
(b) Waivers for Headquarters Elements may be approved by the
cognizant Secretarial Officer providing:
1 the Office of Safeguards and Security is notified 30
days in advance of approval and the Director,
Headquarters Operations Division has concurred in the
2 the requirements of subparagraphs 4f(2)(a)3 and 4 above
(c) A waiver shall not exceed 2 years. Extensions may be
requested using the same process.
(3) Exceptions are approved deviations from a Safeguards and Security
directive's requirement that create a safeguards and security
vulnerability. Exceptions shall be approved only when correction
of the condition is not feasible and compensatory measures are
inadequate to preclude the acceptance of risk. An exception must
be approved by both the Secretarial Officer and the Director of
(a) For Field Elements, exception requests shall be submitted
through line management to the cognizant Secretarial Officer
and to the Director of Security Affairs for review and
(b) For Headquarters Elements, exception requests shall be
submitted through the Headquarters Operations Division for
review and approval by the cognizant Secretarial Officer and
the Director of Security Affairs.
(c) Exceptions shall not exceed 3 years. Extensions may be
requested using the same process.
(d) The need for an exception shall be validated annually.
(e) Exceptions shall be included in Site Profiles, which form
the basis for the DOE's Annual Report to the President on
the Status of Safeguards and Security.
(4) Documentation. Specific information to be included to document
each deviation is provided in Appendix 1. Approved deviations
shall be documented in safeguards and security documents. A
deviation request approved out of cycle with the safeguards and
security plan formulation and approval process shall be
documented as an attachment to the applicable safeguards and
(5) Vulnerability Assessments and Performance Testing. Compensatory
measures implemented and used as the basis for an exception
request shall be subject to formal vulnerability assessments and
must be tested and validated by the cognizant Field Element. The
results of the vulnerability assessment(s) and tests shall be
documented in the applicable security plan. Performance testing
and documentation, as necessary, may also be required for
(6) Visits. Office of Safeguards and Security and affected program
office representatives may perform on-site reviews, assessments,
and validation visits to ascertain the nature and impact of
(7) Corrective Actions. Heads of DOE Elements shall monitor
corrective actions, establish schedules, ensure that funding is
effectively managed to address safeguards and security interests,
and monitor compliance with schedules.
(1) Safeguards and security equipment and systems shall be selected
on the basis of providing a benefit to DOE such as worker safety,
compliance with life safety codes, enhancing mission capability,
cost advantages, or facilitating contingency efforts.
(2) New facility designs shall incorporate the use of standardized
safeguards and security equipment and systems where possible
without compromising design flexibility or adherence to
h. Management Review of Safeguards and Security Programs. Individuals
assuming Head of Field Element positions shall complete a status
review for their safeguards and security programs. Within 15 calendar
days of the review, a written report that identifies any significant
deficiencies and corrective actions being taken or planned shall be
sent to the Under Secretary or cognizant Program Office, as
appropriate, with a copy to the Director of Security Affairs.
a. Secretarial Officers.
(1) Provide program and project direction consistent with the
Safeguards and Security directives and policy requirements.
(a) In coordination with the Director of Nonproliferation and
1 Ensure adequate protection is afforded safeguards and
2 Establish action criteria, including curtailment or
suspension of operations, for operations that would
result in an immediate and unacceptable risk to
national security, the health and safety of employees,
the public, or the environment.
(b) Coordinate construction or alteration projects of facilities
having a safeguards or security interest with the Director
of Security Affairs and the Associate Deputy Secretary for
(c) Request establishment of safeguards and security activities
and facility clearance(s) through the Office of Safeguards
and Security. Notify the Office of Safeguards and Security
to terminate registration of such activities and facility
(2) Implement a security program consistent with the Headquarters
Security Plan for Washington, D.C. area facilities and programs.
(3) Approve or disapprove requests for exceptions from Safeguards and
Security directives' requirements in accordance with paragraph
4f(3)(a) to (e).
(4) Ensure that each request for a procurement requiring application
of this Order incorporates the requirements specified in the
Contractor Requirements Document (Attachment 1).
(a) Designate individual(s) to notify contracting officers of
each procurement falling within the scope of this Order.
Unless another individual is designated, the responsibility
is that of the procurement request originator (the
individual responsible for initiating a requirement on DOE F
4200.33, "Procurement Request Authorization").
(b) Ensure the following:
1 The contracting officer provides DOE F 5634.2,
"Contract Security Classification Specification," to
the servicing safeguards and security office.
2 The contract clauses set forth in the DOE Federal
Acquisition Regulation and other relevant sections of
48 CFR Chapter IX are included in contracts, as
3 The contracting officers incorporate provisions
implementing the requirements of this Order in new and
existing contracts that involve access authorizations,
classified information, nuclear and other hazardous
material presenting a potential radiological or
toxicological sabotage threat, or Departmental property
valued at more than $5,000,000.
4 Contractual coverage is in place to permit
implementation of this Order with regard to the
contractor's nuclear materials activities before
initiation of any action involving nuclear materials
with a license-exempt (as defined in 10 CFR Part 50)
5 Non-DOE funded work under their jurisdiction is
provided protection in accordance with the Departmental
safeguards, security, and classification policies.
(c) Appoint within their contracting activity a trained DOE
employee as the Foreign Ownership, Control, and Influence
(5) Ensure that safeguards and security budget proposals are
adequate, and that resources are provided to implement them.
(6) Participate in the development and review of policy and standards
for safeguards and security interests.
(7) Identify technological needs to the Office of Security Affairs
for consideration in the safeguards and security technology
(8) Implement the Classified Visits Program in accordance with
(a) Designate specific facilities where visits may be made only
with the approval of the organization having program
responsibility, and inform Heads of DOE Elements.
(b) Maintain records of individuals approved by their
organizations to have continuing access on the basis of DOE
Q and L access authorizations or Department of Defense or
National Aeronautics and Space Administration
certifications, and notify the Director of Safeguards and
Security when such approvals are granted or canceled.
(9) Approve Site Safeguards and Security Plans and annual revisions
b. The Director of Nonproliferation and National Security shall, in
addition to the duties shown in paragraph 5a, direct and coordinate
the policy and procedures for a comprehensive Safeguards and Security
(1) Through the Director of Security Affairs.
(a) Establish safeguards and security policies, requirements,
standards, and guidance for DOE operations, including design
basis threat, for use in designing and implementing DOE
(b) Provide advice and assistance concerning safeguards and
security programs, and coordinate with appropriate DOE
organizations to correct safeguards and security
(c) Approve all Site Safeguards and Security Plans, and
participate in validation and verification reviews at field
(d) Establish and maintain the DOE Declassification Program and
ensure consistency between classification and safeguards and
(e) Serve as DOE's central point for coordination and liaison
with other agencies, groups, and DOE Elements in the
development and execution of an effective Safeguards and
(f) Coordinate with DOE Elements in the recommended curtailment
or suspension of operations at DOE facilities when
continuation of such operations would result in an
unacceptable risk to national security, the health and
safety of employees, the public, or the environment.
Suspend the facility clearance where the level of the
facility's safeguards and security program has significant
vulnerability, unacceptable risk, or inadequate protection,
and approve removal of facility clearance. Reinstate
facilities when satisfactory conditions exist. Notify other
Federal agencies having concurrent safeguards or security
interests of suspension or reinstatement actions.
(g) Advise Program Offices on their safeguards and security
requirements and budgets before DOE approval. Ensure
differences identified through the review process are
resolved during DOE's internal review budgeting process (or
equivalent process for reprogramming actions).
(h) Through the Director of Safeguards and Security.
1 Serve as the DOE focal point for safeguards and
2 Formulate policies, procedures, and plans to ensure the
effective and efficient protection of nuclear
materials, classified information, and DOE property and
a Base policies, procedures, and plans on the design
basis threat requirements, standards, and
b Provide, as requested, advice and assistance to
Secretarial Officers and Heads of Field Elements
in the implementation of safeguards and security
c Act as DOE's focal point for the collection,
retention, evaluation, and dissemination of
information of safeguards and security
significance, including threat assessment and
protection systems data.
d Develop and maintain guidelines for Site
Safeguards and Security Plans, in consultation
with affected DOE Elements.
e Establish safeguards and security policy and
training quality panels.
f Approve or disapprove exceptions in accordance
with paragraph 4f(3(a) to (e).
3 Provide focus for interagency matters pertaining to
safeguards and security, including wartime protection
planning and law enforcement; provide liaison with the
Nuclear Regulatory Commission, Federal Bureau of
Investigation, Department of Defense, and other Federal
law enforcement and security agencies.
4 Recommend suspension of the facility clearance of any
facility whose safeguards and security program is
unacceptable in meeting minimum safeguards and security
protection levels and associated risk.
5 Direct the safeguards and security technology
development program to support user needs and policy
6 Participate in staffing line-item construction project
actions for prioritizing projects through validation of
specific projects and participate in program office
Change Control Board actions.
7 Consolidate and coordinate the Annual Report to the
Secretary on the Safeguards and Security Status.
8 Ensure development, conduct, and management of an
effective Safeguards and Security Training Program.
a Develop and issue policy for safeguards and
security training programs and coordinate with the
Assistant Secretary for Human Resources and
Administration to ensure conformance with DOE
b Provide and manage personnel and budget resources
for a standardized training program at the
Safeguards and Security Central Training Academy.
c Ensure that a safeguards and security Training
Approval Program is developed, implemented, and
d Conduct annual reviews of safeguards and security
training programs DOE-wide and report findings as
part of the annual report to the Secretary.
e Approve certifications that local safeguards and
security training programs meet DOE standards.
9 Ensure the development, implementation, and management
of an effective Safeguards and Security Awareness
10 Oversee implementation of the Classified Visits
a Obtain and review security assurances to determine
consistency with agreements for cooperation and
other international agreements, when applicable.
b Maintain a current list of all Department of
Defense and National Aeronautics and Space
Administration officials authorized to certify
personnel under their jurisdiction for access to
Restricted Data, and provide such lists to DOE
c Help identify Heads of DOE Elements and Federal
officials to whom specific requests for visits
should be directed.
d Approve requests for classified visits involving
safeguards and security programmatic matters.
e Certify on DOE F 5631.20, "Request for Visit or
Access Approval," the DOE access authorization
type, number, and date for individuals possessing
a DOE Headquarters access authorization in those
instances in which this form is required.
11 Maintain the Safeguards and Security Information
12 Ensure the development, implementation, and management
of an effective Facility Survey and Clearance Program.
a Designate a trained Facility Survey and Clearance
Program Manager (a DOE employee).
b Approve extended survey schedules for facilities
with Category I quantities of special nuclear
13 Ensure the development, implementation, and management
of an effective FOCI.
a Designate a trained FOCI Program Manager (a DOE
b In coordination with General Counsel, when
appropriate, provide a favorable FOCI
determination to the Lead Responsible Office.
14 Through the Director of Safeguards and Security Central
Training Academy, manage the Academy to achieve program
objectives expressed in Chapter II.
15 Through the Director, New Brunswick Laboratory.
a Manage the Laboratory to achieve program
b Provide state-of-the-art services for measurement
of nuclear materials in support of DOE safeguards
c Assess the effectiveness of DOE facility materials
measurement processes and materials control and
d Provide certified reference materials ensuring
traceability of DOE nuclear materials measurements
to a national and international measurements data
(i) Through the Director of Declassification, arrange and
approve classified visits of foreign nationals sponsored by
a foreign government to the Office of Declassification in
connection with the information classification programs, and
refer security assurances to the Office of Safeguards and
(2) Through the Director of Energy Intelligence.
(a) Appoint a Special Security Officer for line management
security administration of DOE's Sensitive Compartmented
(b) Provide accreditations, in coordination with the Office of
Safeguards and Security, that planned/installed physical and
technical security systems create an environment of
acceptable risk for intelligence-related facilities.
(c) Serve as DOE's point-of-contact involving intelligence and
counterintelligence activities, to include management of
program access. Coordinate with the Director of Security
Affairs concerning security issues, including espionage and
the potential compromise of intelligence-related
(3) Through the Director of Emergency Management, provide timely and
current intelligence threat information to support the Safeguards
and Security Program.
c. The Assistant Secretary for Environment, Safety and Health, through
the Deputy Assistant Secretary for Oversight.
(1) Maintain an inspection, performance testing, and evaluation
program that, in accordance with DOE 5630.12A, SAFEGUARDS AND
SECURITY INSPECTION AND ASSESSMENT PROGRAM, provides independent
oversight of the Department's Safeguards and Security Program.
(2) Ensure participation with the Department of Defense in conducting
joint ATOMAL inspections to verify that Restricted Data and
Formerly Restricted Data released by the United States to NATO
and NATO member nations as ATOMAL information is being protected
(3) Ensure all NATO/ATOMAL Control Points and Subcontrol Points are
inspected to verify NATO and ATOMAL holdings are being
d. Assistant Secretary for Defense Programs shall, in addition to the
responsibilities in paragraph 5a, support the Classified Visits
Program by appointing an approval authority for requests for visits
requiring access to the following:
(1) Nuclear weapon information concerned with the design,
manufacture, or use of atomic weapons, atomic weapon components,
or atomic explosive devices; and nuclear weapon information in
connection with the military application of atomic energy under
sections 144b and c(1) and 91(c) or (4) of the Atomic Energy Act
of 1954, as amended. (NOTE: Approval authority will be
responsible for obtaining endorsements for programmatically
controlled access for specific nuclear weapon information.)
(2) Nuclear materials production facilities or access to sensitive
nuclear materials production information, excluding classified
uranium enrichment technology .
(3) Classified production facilities, excluding visits for classified
uranium enrichment technology, by employees of other Federal
agencies, their contractors, or subcontractors.
e. Assistant Secretary for Human Resources and Administration shall
establish programs and training for communications security,
electronic emissions control (emissions security), and unclassified
f. Deputy Assistant Secretary for International Energy Policy shall serve
as approval authority, in concert with appropriate Headquarters
program staff, for classified visits by foreign nationals.
g. Associate Deputy Secretary for Field Management.
(1) Ensure strategic planning is completed for all Field Elements and
conduct management coordination and oversight of multi-purpose
Operations Offices as they impact the Safeguards and Security
Program planning process.
(2) Ensure requirements for physical protection of facilities are
incorporated into construction contracts.
h. The Director, Office of Nuclear Energy, through the Director of
Uranium Programs, shall approve requests for visits involving access
to uranium enrichment plants and to facilities engaged in uranium
enrichment technology development, including gaseous diffusion, gas
centrifuge, and advanced isotope separation technologies. (Managers
of Field Elements may approve visits to facilities under their
jurisdiction for contractors requiring access because of their
continuing programmatic association or for contractor personnel
administered under contracts with the Field Elements.)
i. Director, Naval Nuclear Propulsion Program, shall implement and
oversee all policy and practices pertaining to this Order for
activities under the Director's cognizance.
j. Heads of Field Elements shall ensure that all operations under their
jurisdiction are implemented consistent with acceptable safeguards and
security practices and in accordance with the Safeguards and Security
k. Albuquerque, Chicago, Idaho, Nevada, Oak Ridge, Richland, Oakland, and
Savannah River Operations Offices; Pittsburgh and Schenectady Naval
Reactors; Rocky Flats Office; Strategic Petroleum Reserve Office; and
the Office of Safeguards and Security, Headquarters Operations
(1) Lead Responsible Offices.
(a) Ensure safeguards and security surveys of facilities under
their purview are conducted.
(b) Establish written delegations of authorities and
responsibilities for administration of the facility survey,
registration and clearance, and FOCI programs.
(c) Designate a Facility Clearance Operations Manager (DOE
employee) to manage the local program.
(d) Designate a FOCI manager (DOE employee) to manage the local
(e) Ensure the designation of a trained DOE employee as the FOCI
point of contact in each contracting/procurement
(f) Ensure the designation of a trained DOE employee as the FOCI
point of contact in the Chief Counsel office.
(g) Develop local implementing procedures for the facility
survey, registration and clearance, and FOCI programs.
(h) Grant approval for facilities and register safeguards and
(i) Terminate facility clearances and registrations of
safeguards and security activities under their cognizance.
(j) Maintain information in the Safeguards and Security
Information Management System for all facilities for which
they are either the Lead Responsible Office or at which they
have registered a safeguards and security activity.
(k) Ensure affected Departmental Elements are notified when an
activity is suspended or terminated.
(l) Provide written notification to an approved facility
whenever there is a change in the Lead Responsible Office.
(2) Surveying Offices.
(a) Ensure that an effective program is instituted to plan,
conduct, and follow up safeguards and security surveys and
(b) Designate a Facility Survey Operations Manager (a DOE
(c) Develop local implementing procedures for the administration
and conduct of surveys and self-assessments.
(d) Provide input to the Safeguards and Security Information
Management System current data for all surveyed facilities.
(e) Provide sufficient resources for the survey program to
support professional, administrative, technical, and
clerical staffing requirements, equipment and materials,
logistics requirements, and training and development.
(f) Ensure that prior to working independently, persons assigned
to perform survey and review duties possess appropriate
knowledge, skills, and ability.
l. General Counsel.
(1) Appoint a trained DOE employee to serve as the FOCI
(2) Upon request by the Office of Safeguards and Security, ensure
review of all complex FOCI cases; e.g., FOCI cases involving
Proxy Agreements and Voting Trusts.
m. Procurement Request Originators are the individuals responsible for
initiating a requirement on DOE F 4200.33, "Procurement Request
Authorization," or such other individuals(s) as designated by
cognizant Heads of DOE Elements. Procurement Request Originators
shall notify the cognizant contracting officers of the following:
(1) Each procurement requiring the application of this Order.
(2) Requirements for flow-down of this Order to any subcontract or
(3) Identification of the paragraphs or other portions of this Order
with which the awardee or, if different, a subawardee is to
n. Contracting Officers at all levels shall:
(1) Incorporate contract provisions implementing the applicable
requirements of Safeguards and Security directives in new or
existing contracts, and
(2) Not award contracts requiring access authorizations until a
Facility Clearance is granted.
6. CONTACT. Comments and inquiries may be directed to the Materials Control
and Accountability Program Manager, 301-903-2536, or to the points of
contact provided in the chapters.
BY ORDER OF THE SECRETARY OF ENERGY:
ARCHER L. DURHAM
Assistant Secretary for
Human Resources and Administration
DEVIATION REQUEST FORMAT
1. Date. Date the request is signed by the requesting official.
2. Request Number. Alphanumeric identifier beginning with "OSS," followed by
the routing symbol used in the DOE National Telephone Directory, followed
by the last two digits of the year in the request's date, followed by the
three-digit number that is next in the sequence of requests from that
Field Element in that calendar year. For example, the third request from
Albuquerque Operations Office during 1995 would be OSS-AL-95-003.
3. Directive Citation. Title and date of the directive from which a
deviation is being requested with a citation (paragraph or other
provision) and summary of the directive's requirement.
4. Impacted Entity. Identification of the specific facility (Safeguards and
Security Information Management Systems facility code number), process,
procedure, system, etc.
5. Deviation Justification. Specific description of the deviation and the
associated reason or rationale for the deviation request. A description
of the relationship of the subject of the deviation request to other
safeguards and security interests shall be included if they are
6. Protection Measures. Description of the current measure(s) used for
protection and an evaluation of the effectiveness of such measure(s);
description of alternate/compensatory measure(s) or level(s) of protection
to be provided as an alternative to the Order requirement(s).
7. Duration. Expected duration of the condition for which the deviation is
requested, including milestones for correcting, alleviating, or
eliminating the deviant condition, if applicable. (Note: Waivers cannot
be for more than 2 years; exceptions cannot be for more than 3 years.)
8. Risks. Evaluation of the risk associated with the deviation, if approved.
Results of vulnerability analyses and performance tests conducted on
proposed alternative(s) shall be included.
9. Signature. Requesting official's signature.
DOE O 470.1 i
TABLE OF CONTENTS
CHAPTER I - SAFEGUARDS AND SECURITY PROGRAM PLANNING
3. Planning Requirements..............................................I-1
5. Implementation Assistance..........................................I-5
CHAPTER II - SAFEGUARDS AND SECURITY TRAINING PROGRAM
3. Program Requirements..............................................II-1
CHAPTER III - PERFORMANCE ASSURANCE PROGRAM
3. Program Requirements.............................................III-1
4. Documentation Requirements.......................................III-1
CHAPTER IV - SAFEGUARDS AND SECURITY AWARENESS PROGRAM
3. Program Requirements..............................................IV-1
4. Documentation Requirements........................................IV-3
CHAPTER V - FACILITY CLEARANCES AND REGISTRATION OF SAFEGUARDS
AND SECURITY ACTIVITIES
3. Requirements: General.............................................V-1
4. Requirements: Lead Responsible Office.............................V-2
5. Requirements: Safeguards and Security Information
6. Requirements: Facility Clearances.................................V-3
7. Requirements: Facility Data and Approval Record...................V-6
8. Requirements: Activity Registration...............................V-7
9. Requirements: Contract Security Classification Specification......V-8
10. Requirements: Facility Importance Ratings.........................V-8
11. Implementation Assistance..........................................V-8
ii DOE O 470.1
CHAPTER VI - FOREIGN OWNERSHIP, CONTROL, OR INFLUENCE PROGRAM
4. Eligibility Requirements..........................................VI-3
5. Requirements: Processing Contractors for FOCI Determinations.....VI-4
6. Requirement: Accepting a FOCI Determination Rendered by
Another Federal Agency.......................................VI-5
7. Requirements: Schedule of Requirements for Processing
8. Requirements: Significant Changes................................VI-6
9. Requirements: Adverse Determination..............................VI-7
10. Requirements: Methods to Negate or Reduce Unacceptable FOCI......VI-7
11. Requirements: Methods to Negate or Reduce Risk in Foreign
12. Requirements: Annual Reviews and Compliance.....................VI-12
CHAPTER VII - INCIDENTS OF SAFEGUARDS AND SECURITY CONCERN
CHAPTER VIII - CONTROL OF CLASSIFIED VISITS PROGRAM
3. Requirements: Classified Visit Procedures......................VIII-1
4. Requirements: Classified Visits by DOE Employees, Contractors and
5. Requirements: Visits to Department of Defense and National
Aeronautics and Space Administration Facilities..............VIII-3
6. Requirements: Restricted Data Visits by Nuclear Regulatory Commission
7. Requirements: Restricted Data Visits by Department of Defense and
National Aeronautics and Space
8. Requirements: Other Classified Visits by Department of Defense and
National Aeronautics and Space
9. Requirements: Classified Visits by Employees of
Other Federal Agencies.....................................VIII-5
10. Requirements: Congressional and State Classified Visits........VIII-5
11. Requirements: Emergency Visits to Classified Areas and FacilitiesVIII-6
12. Requirements: Classified Visits by Foreign Nationals to DOE
Attachment VIII-1 - Access to Restricted Data in Possession of Other
DOE O 470.1 iii (and iv)
CHAPTER IX - SURVEY PROGRAM
3. Types of Surveys..................................................IX-1
4. Scope of Surveys..................................................IX-2
5. Requirements: Frequency of Surveys...............................IX-2
6. Requirements: Survey Conduct.....................................IX-4
7. Requirements: Survey Reports.....................................IX-5
8. Requirements: Rating System......................................IX-6
9. Reporting Requirements: Marginal and Unsatisfactory Composite
10. Requirements: Corrective Actions.................................IX-9
CHAPTER X - SELF-ASSESSMENT PROGRAM
SAFEGUARDS AND SECURITY PROGRAM PLANNING
1. OBJECTIVE. To establish a standardized approach to protection program
planning that will provide an information baseline for use in integrating
complex-wide safeguards and security considerations, facilitate managers'
evaluation of program elements and resources for needed improvements, and
establish cost-benefit bases for analyses and comparisons.
2. APPLICABILITY. This chapter applies to the following DOE-owned and
-leased sites and facilities and to covered contractor-owned and -leased
a. Those that have Category I quantities of special nuclear materials, or
those that have Category II quantities within the same Protected Area
that roll up to a Category I quantity.
b. Those that have a radiological/toxicological sabotage threat that
would cause an unacceptable impact on the national security, the
health and safety of employees, the public, or the environment.
c. Those that have an industrial sabotage threat that would cause an
unacceptable impact to those DOE programs supporting national defense
d. Those facilities engaged in intra-site transportation of special
e. Those facilities possessing classified matter.
f. Those facilities engaged in the protection of government property.
g. Other facilities/sites that Heads of DOE Elements deem appropriate.
3. PLANNING REQUIREMENTS. The following topics shall be essential elements
for planning safeguards and security programs.
a. Site-Specific Characteristics. Protection programs shall be tailored
to address specific site characteristics and requirements, current
technology, ongoing programs, and operational needs, and to achieve
acceptable protection levels that reduce inherent risks on a
b. Threat. The "Design Basis Threat Policy for the Department of Energy
(DOE) Programs and Facilities (U)" shall be used with local threat
guidance and vulnerability assessments for protection and control
c. Protection Strategy.
(1) Strategies for the physical protection of special nuclear
materials and vital equipment shall incorporate the applicable
requirements established in DOE M 471.2, MANUAL FOR CLASSIFIED
MATTER PROTECTION AND CONTROL.
(a) Protection strategy may be graduated to address varying
circumstances and may range from denial to containment to
recapture/recovery to pursuit.
(b) A denial strategy shall be used for the protection of
Category IA special nuclear materials and certain
radiological sabotage targets where unauthorized access
presents an unacceptable risk.
(c) Programs shall be designed to prevent unauthorized control
(i.e., an unauthorized opportunity to initiate or credibly
threaten to initiate a nuclear dispersal or detonation, or
to use available nuclear materials for onsite assembly of an
improvised nuclear device).
(d) A containment strategy shall be used to prevent the
unauthorized removal of Category II or greater special
(e) Should denial and/or containment fail, a recapture/recovery
or pursuit strategy would then be required.
(f) Forces shall be capable of rapid reaction in implementing
recapture or recovery contingencies.
(g) Programs must be designed to prevent acts of
radiological/toxicological sabotage that would cause
unacceptable impact to national security or pose significant
dangers to the health and safety of employees, the public,
or the environment, and/or mitigate the consequences of acts
of radiological/toxicological sabotage that would cause
unacceptable impact to national security or pose significant
dangers to the health and safety of employees, the public,
or the environment.
(2) Strategies for the protection and control of classified matter
shall incorporate the applicable requirements established in DOE
M 5632.1C-1, MANUAL FOR PROTECTION AND CONTROL OF SAFEGUARDS AND
SECURITY INTERESTS; DOE M 5639.6A-1, MANUAL OF SECURITY
REQUIREMENTS FOR THE CLASSIFIED AUTOMATED INFORMATION SYSTEM
SECURITY PROGRAM; and DOE M 471.2-1, MANUAL OF SECURITY
REQUIREMENTS FOR THE CLASSIFIED AUTOMATED INFORMATION SYSTEM
SECURITY PROGRAM. Security systems shall be used that detect or
deter unauthorized disclosure, modification, or the loss of
availability of classified and sensitive, but unclassified,
information and its unauthorized removal from a site or facility.
(3) Strategies for the protection of Government property not covered
in subparagraphs (1) and (2) above shall reflect a graded
(4) Security countermeasures to address bombings shall consider a
range of activities from hand-carried, mailed, and vehicle-
d. Graded Protection. Protection-related plans shall describe, justify,
and document the graded protection provided the various safeguards and
a. Site Safeguards and Security Plan. This plan is an Operations Office
or equivalent-level master planning document that shall be prepared
for sites with facilities described in paragraphs 2a, 2b, 2c, and 2g.
The plan shall depict the existing condition of safeguards and
security sitewide and by facility, and shall establish improvement
priorities and resource requirements for the necessary improvements.
Plans shall contain information that describes:
(1) protection strategies;
(2) site/facility safeguards and security programs in place and/or
(3) plans and procedures designed to implement, manage, and maintain
safeguards and security programs;
(4) resources needed to sustain the site protection program in its
current configuration and during planning revisions;
(5) security staff personnel qualifications as outlined in approved
position descriptions and/or prescribed in DOE directives;
(6) the results of vulnerability analyses and risk assessments:
(a) levels of acceptable risks;
(b) assumptions established and used as part of the
vulnerability assessment process;
(c) validation of vulnerability analyses results by performance
(7) required corrective actions and how those actions will mitigate
identified vulnerabilities and reduce residual risk;
(8) sources of supporting documentation detailing where planning
assumptions, relative to the facility, the adversary, and the DOE
national security mission can be found; and
(9) approved deviations.
b. Security Plans. At locations where a Site Safeguards and Security
Plan is not required due to the limited scope of safeguards and
security interests, a security plan shall be developed to describe the
protection program in place. In addition, specialized plans shall be
developed to address protection programs for classified automated
information systems, materials control and accountability, and other
protection operations. Requirements for specialized plans that may or
may not be components of Site Safeguards and Security Plans are set
forth in the applicable DOE O 470 and 5630 series of directives.
(1) Materials Control and Accountability Plans. See DOE 5633.3B,
CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS, of 9-7-94, for
requirements for this type of plan.
(2) Classified Automated Information System (AIS) Security Plans.
See DOE M 5639.6A-1 for requirements for this type of plan.
c. Planning Inputs. The following documents shall be used to support
program forecasts and information input used in the protection program
(1) Current DOE directives, DOE threat guidance, and applicable
intelligence assessment information developed and disseminated by
(2) Programmatic guidance and forecasts of significant changes
planned in site operations, as communicated through Heads of
Field Elements and appropriate Headquarters Elements.
(3) Current and projected operational constraints and resources.
(4) Protection program policy guidance provided by DOE Elements.
d. Plan Review and Approval.
(1) Heads of Field Elements shall approve and forward Site Safeguards
and Security Plans to the applicable program office for
coordination. Changes to the Plans that significantly alter the
agreed-on protection philosophy or performance standards of
protection systems shall require approval by the Head of the
Field Element and concurrence by the cognizant program office and
the Director of Security Affairs. Other plans shall be approved
by the Head of Field Element or as stipulated in the applicable
(2) The Site Safeguards and Security Plan shall be reviewed and
updated annually. Copies of modifications and updates will be
provided to the Office of Safeguards and Security for review and
5. IMPLEMENTATION ASSISTANCE. The Office of Safeguards and Security will
develop and maintain, after appropriate coordination with affected
elements, guidelines to assist facilities in safeguards and security
6. CONTACT. Comments and inquiries on this chapter may be directed to the
Materials Control and Accountability Program Manager at (301) 903-2536.
Inquiries pertaining to implementation may be directed to the Field
Operations Division at (301) 903-4243.
SAFEGUARDS AND SECURITY TRAINING PROGRAM
1. OBJECTIVE. To train DOE and DOE contractor personnel to a level of
proficiency and competence that ensures they are qualified to perform
assigned safeguards and security tasks and/or responsibilities, thus
providing high assurance that the safeguards and security programs of the
Department are successful.
2. APPLICABILITY. This chapter applies to personnel performing tasks and
responsibilities addressed in this and other Safeguards and Security
directives associated with protecting nuclear weapons, weapons components,
special nuclear materials, classified matter, and/or government property.
3. PROGRAM REQUIREMENTS.
a. The Safeguards and Security Training Program shall encompass training
in the following Safeguards and Security Program key elements.
(1) Program Management.
(2) Personnel Security.
(3) Protection Operations.
(4) Materials Control and Accountability.
(5) Information Security.
b. Training methodology and courses shall be standardized. The scope and
level of training provided to individuals shall be tailored to their
assigned duties and responsibilities and shall be based upon an
analysis of their prior safeguards and security experience and
c. Training programs shall be based on the results of job analyses to
document the identification and description of major tasks and skill
d. Knowledge and performance-based testing shall apply to all required
training to measure the skills acquired from the training programs
e. For specialized skill requirements, such as armorers, personnel
security specialists, nuclear materials custodians, and technical
surveillance countermeasures technicians, performance testing shall
form the primary basis for certification.
f. The Training Approval Program (TAP) is a process to formally recognize
safeguards and security training programs that are conducted by an
organization other than the Safeguards and Security Training Academy
to ensure established objectives, standards, and criteria are met.
(1) A Training Approval Program shall be implemented to ensure
standardization of safeguards and security training conducted at
DOE facilities other than the Safeguards and Security Central
Training Academy. (The "Guide for Implementation of DOE 5630.15,
Safeguards and Security Training Program" provides details on
Training Approval Program implementation.)
(2) Developed and refined safeguards and security training program
objectives, standards, and criteria shall be distributed to
facilitate development of training programs.
(3) Site programs shall be examined by representatives of the Office
of Safeguards and Security on a recurring basis, but no less than
every 3 years, to verify adherence to DOE objectives, standards,
and criteria, and to provide program approval recommendations to
the Director of Safeguards and Security.
(4) Initial and recurring reviews for training approval shall cover
all aspects of local training programs to include program
management and structure, course contents, training facilities,
observation of course presentations for effectiveness, and
evaluation of students.
(5) Instructors shall be evaluated for knowledge in their assigned
training area and effectiveness in presenting assigned course
(6) Individuals shall be tested to evaluate skills and knowledge
achieved through course participation.
(7) Training approvals shall remain valid for a period of 3 years.
g. Training shall be provided to individuals to qualify or improve their
qualifications to perform assigned safeguards and/or security tasks or
responsibilities. Initial and refresher training shall be tailored to
the required knowledge and skills.
h. The Safeguards and Security Central Training Academy shall provide a
state-of-the-art training facility and program, emphasizing training
for DOE Element instructors and instructor-candidates, as follows.
(1) Standardization of training in safeguards and security courses
and programs through certification of key skill personnel,
development of skills enhancement courses, and approval of
facility training programs.
(2) Standardization of training courses for the key program elements.
Information associated with these training courses would be
available to DOE Elements and contractors for use in their
(3) Standardization of testing procedures to assess proficiency,
knowledge, and skills. Associated information would be made
available to DOE Elements and contractors.
(4) Development and maintenance of a repository of information
pertaining to relevant external sources of training and training
materials, as well as data regarding needs that cannot be
satisfied by DOE resources.
(5) Maintenance of a library of current and historical reference
materials to support all aspects of the training program.
(6) Effective relationships with other Federal training facilities
and operational safeguards and security functions to further
(7) Review of DOE and contractor safeguards and security training
programs to assess adherence to established quality standards in
course content and presentation.
i. A Safeguards and Security Training Advisory Committee shall be chaired
by the Director of the Central Training Academy.
(1) Members shall include two senior level officials from the Office
of Safeguards and Security, two senior officials from DOE
Operations Offices who are nominated by the chair and approved by
the Director of Safeguards and Security, and two senior
contractor personnel to serve as technical advisors. Technical
advisors shall be nominated by the chair and approved by the
Director of Safeguards and Security. Members and technical
advisors shall serve for 2 years or as decided by the Director of
Safeguards and Security. The chair of the Committee shall hold
meetings at least semi-annually.
(2) The Committee shall:
(a) review, evaluate, and recommend specific subject areas and
curriculum content required to establish standardized
(b) recommend and assist in obtaining resources required to
support the standardized training program;
(c) review the implementation status of safeguards and security
training policy and guidance; and
(d) annually review and validate the Central Training Academy's
operations, course schedule, course approval and
certification procedures, and strategic plans.
j. Central Training Academy instructors shall be certified by the
Director of the Academy.
(1) Certification shall remain valid so long as the individual
fulfills all required refresher training.
(2) Certification shall be based on a records review of
qualifications and a recommendation by the individual responsible
for the training program.
(3) Instructors of courses provided by other DOE Elements and
contractors shall be certified by the individual responsible for
the DOE Element or contractor training program.
k. Development, review, and presentation of training courses for unique
site-specific requirements shall be the responsibility of cognizant
sites. Course materials shall be available upon request for review
and approval by the cognizant Departmental Element and/or the Training
Approval Program team.
l. The Central Training Academy, DOE Elements, and covered contractors
shall implement a standardized training records management system as
(1) Records shall be maintained to document training provided to
personnel participating in the DOE safeguards and security
program. Records of training shall contain course
identification, dates accomplished, and scores achieved where
(2) Records of training provided to individuals shall be retained in
electronic or hard copy form. Records shall be retained
according to guidance provided in DOE 1324.5B, RECORDS MANAGEMENT
PROGRAM, of 1-12-95, and General Records Schedules issued by the
Archivist of the United States.
(a) Records of training provided at the Central Training Academy
shall be maintained at the Academy and shall also be
maintained by the organization sponsoring the individual.
(b) Records of training provided at DOE Elements shall be
maintained at DOE Headquarters or the relevant Operations
Office, as appropriate, and shall be provided to the
organization sponsoring the individual for inclusion in the
individual's record file.
(c) Records of training provided at contractor facilities shall
be provided to and retained by the organization sponsoring
(d) Records of training provided at other government or private
facilities shall be obtained and maintained by the
organization sponsoring the individual.
4. CONTACT. Comments and inquiries on this chapter may be directed to the
Materials Control and Accountability Program Manager at (301) 903-2536.
PERFORMANCE ASSURANCE PROGRAM
1. OBJECTIVE. To demonstrate the effectiveness of the protection posture for
Category I and Category II quantities that roll up to the Category I
category of special nuclear material and Top Secret matter by
systematically evaluating systems that provide essential protection
2. APPLICABILITY. The program applies to safeguards and security systems and
their essential components (e.g., equipment, hardware, administrative
procedures, protective forces, personnel) that are used to protect
Category I and II special nuclear materials and/or Top Secret matter.
3. PROGRAM REQUIREMENTS. Performance assurance shall be provided for systems
and/or system components for those systems providing essential protection
for Category I and Category II special nuclear material and/or Top Secret
a. Performance assurance programs shall provide for operability and
effectiveness tests of systems and/or components of systems. Systems
and/or essential components of systems whose failure would reduce
protection to an unacceptable level shall be tested at a frequency
that provides high assurance of reliability for those systems and/or
components. Testing frequencies shall reflect site-specific
conditions, operational needs, and threat levels. Testing frequencies
shall be documented.
(1) Operability tests provide a simple measure of integrity on a
frequent basis. Operability testing shall consist of checking
the system element or total system to confirm, without any
indication of effectiveness, that it is operating.
(2) Effectiveness tests provide comprehensive assurance of integrity
on an infrequent basis. Performance testing of equipment for
effectiveness shall consist of checking systems to confirm the
satisfactory performance of the required functions over the
expected range of use.
b. The adequacy of new and existing protective systems shall be confirmed
through testing prior to operational use and periodically thereafter.
c. At least every 365 days, a performance test encompassing protection
systems associated with a comprehensive site or facility threat
scenario shall be conducted to demonstrate overall facility safeguards
and security system effectiveness.
4. DOCUMENTATION REQUIREMENTS.
a. Performance Assurance Program Plan. This plan may be an integral part
of the Site Safeguards and Security Plan or other security plan, as
applicable. The plan shall describe the program and its
administration and implementation by:
(1) identifying protection elements for the protection of Category I
and II special nuclear material and Top Secret matter;
(2) describing how the performance of these elements is to be
ensured, including the manner in which activities performed by
DOE O 470.1 Chg 1 IV-1
SAFEGUARDS AND SECURITY AWARENESS PROGRAM
a. As a condition for access to classified information, special nuclear materials, and/or
unescorted access to DOE Security Areas, excepting Property Protection Areas,
individuals shall receive briefing(s). In addition, as a condition for access to classified
information, individuals shall execute the Classified Information Nondisclosure
b. Individuals shall be precluded or restricted from unescorted access to such DOE Security
Areas and/or from access to classified information or special nuclear materials until the
requirements of this chapter have been satisfied.
2. APPLICABILITY. A safeguards and security awareness program shall be developed,
implemented, and maintained at each DOE and covered contractor site/facility having such
DOE Security Areas, classified matter, and/or special nuclear materials.
3. PROGRAM REQUIREMENTS.
a. Safeguards and Security Awareness Coordinator. Each affected DOE Element shall
appoint a Safeguards and Security Awareness Coordinator who shall ensure that the
requirements of this Chapter are met.
b. Classified Information Nondisclosure Agreement. Prior to being granted access to
classified information, individuals granted DOE access authorizations shall execute a
Classified Information Nondisclosure Agreement. A refusal to execute the Classified
Information Nondisclosure Agreement shall be grounds for the denial of access to
c. Briefings. Safeguards and security awareness programs shall include, but are not limited
to, the development and presentation of four briefings.
(1) Initial Briefing.
(2) Comprehensive Briefing.
(3) Refresher Briefing.
(4) Termination Briefing.
d. Topics. Safeguards and security awareness programs shall incorporate the dissemination of
information concerning the following:
(1) Applicable DOE safeguards and security directives and procedures.
IV-2 DOE O 470.1 Chg 1
(2) Site-specific (and/or operations-specific) safeguards and security policies, procedures,
(3) Other matters of safeguards and security interest, such as:
(a) recent espionage cases,
(b) approaches and recruitment techniques employed by foreign intelligence services,
(c) safeguards or security incidents and considerations, and
(d) safeguards or security threats and vulnerabilities.
e. Initial Briefing.
(1) Individuals approved for unescorted access to Security Areas (except Property
Protection Areas) shall receive an Initial Briefing.
(2) Briefing topics shall include, but are not limited to:
(a) overview of DOE safeguards and security disciplines, to include Personnel
Security, Information Security, and Physical Security;
(b) local access control procedures and escort requirements;
(c) protection of Government property;
(d) prohibited articles; and
(e) reporting of incidents of safeguards and security concern.
f. Comprehensive Briefing.
(1) Prior to being granted access to classified information or special nuclear materials,
individuals granted DOE access authorizations shall receive a Comprehensive
Briefing to inform them of their safeguards and security responsibilities. When such
individuals are assigned to another DOE site, they shall receive Comprehensive
Briefings at the new site.
(2) Briefing topics shall include, but are not limited to, the following:
(a) Information Security.
(b) Physical Security.
(c) Personnel Security.
(d) Reporting/notification requirements.
DOE O 470.1 Chg 1 IV-3 (and IV-4)
(e) Legal and administrative sanctions imposed for incurring a security infraction or
committing a violation.
(f) General information concerning the protection of special nuclear materials.
g. Refresher Briefings. Individuals who possess DOE access authorizations shall receive
Refresher Briefings to reinforce and update awareness of safeguards and security policies
and their responsibilities. Refresher Briefings are mandatory for all individuals possessing
DOE access authorizations and shall be implemented each calendar year at approximately
h. Termination Briefings. Individuals shall receive Termination Briefings to inform them of
their continuing security responsibilities after their access authorizations are terminated. A
Termination Briefing shall be implemented on the individual's last day of employment, the
last day the individual possesses an access authorization, or the day it becomes known that
the individual no longer requires access to classified information or special nuclear
materials, whichever is sooner. Termination Briefings shall be based on the information
contained in DOE F 5631.29, "Security Termination Statement," and the Classified
Information Nondisclosure Agreement.
i. Manual. A Manual for this program shall be developed and maintained by the Office of
Safeguards and Security for distribution to DOE Elements and covered contractors having
DOE Security Areas, classified matter, and/or special nuclear materials to facilitate the
implementation of this chapter.
4. DOCUMENTATION REQUIREMENTS.
a. Recordkeeping. Records shall be maintained to identify all individuals who have received
briefings by type and date of briefing. Recordkeeping systems shall be capable of
providing an audit trail.
(1) A completed Classified Information Nondisclosure Agreement may serve as
documentation for the Comprehensive Briefing.
(2) In recurring requirements, such as the Refresher Briefing, records shall be maintained
until the next occurrence of the briefing.
(3) A completed DOE F 5631.29 satisfies documentation requirements for the
5. CONTACT. Comments and inquiries on this chapter may be directed to the Safeguards and
Security Awareness Program Manager at (301) 903-3602.
FACILITY CLEARANCES AND REGISTRATION OF
SAFEGUARDS AND SECURITY ACTIVITIES
1. OBJECTIVES. To ensure proper levels of protection consistent with
Departmental standards to prevent unacceptable, adverse impact on national
security or on the health and safety of DOE and contractor employees, the
public, or the environment are afforded safeguards and security
2. APPLICABILITY. This chapter applies to DOE Elements and personnel
performing safeguards and security tasks and responsibilities addressed in
this chapter and in other Safeguards and Security directives.
3. REQUIREMENTS: GENERAL.
a. Nuclear and other hazardous materials presenting a potential
radiological or toxicological sabotage threat, classified matter, and
property protection interests shall not be permitted on premises
occupied by the Department or its contractors until facility clearance
b. Safeguards and security activities involving access authorizations
shall be registered to assist in ensuring proper levels of protection
consistent with Departmental standards to prevent unacceptable,
adverse impact on national security or on the health and safety of DOE
and contractor employees, the public, or the environment.
c. If no need exists for a contractor's office locations to receive,
process, reproduce, store, transmit, or handle classified information
or nuclear material, but access authorizations are required for the
contractor to perform the work within DOE-approved facilities, the
contractor (identified as a non-possessing facility) must be cleared.
As used in this Order, the term facility clearance refers to both
possessing and non-possessing facilities.
d. Facility clearance shall be based upon a determination that
satisfactory safeguards and security measures can be afforded the
safeguards and security activities. The determination of a valid
facility clearance shall be based upon an approved safeguards and
security plan, results of surveys, and a favorable FOCI determination,
e. Approval for other Federal agency safeguards and security activities
to be conducted at Department-owned or -operated facilities shall be
based upon a determination that the safeguards and security measures
to be provided are consistent with Departmental policy. Before
acceptance of non-DOE safeguards and security activities, the
Department and the requesting agency shall exchange appropriate
classification and protection information. The exchange shall be
documented in an agreement, which shall include appropriate
reimbursement for safeguards and security costs incurred by the
f. Facility clearance for work for others safeguards and security
activities at other than Department-owned or -operated facilities that
are channeled through a Departmental entity shall be based upon
validation of the other agency's facility clearance.
(1) Before commencement of non-DOE funded work, conduct, as required
by DOE 5650.2B, IDENTIFICATION OF CLASSIFIED INFORMATION, a
review of the work request and certify that the sponsoring
organization has either provided the appropriate classification
guidance or has stated in writing that the non-DOE funded work
will not entail classified activities.
(2) Ensure, prior to commencement of the non-DOE funded work
involving access authorizations, that safeguards and security
activities have been recorded as security interests on DOE
F 5634.2 or DD F 254, "Contract Security Classification
(3) Ensure, before acceptance of any work for another Federal agency,
that appropriate reimbursement for safeguards and security costs
4. REQUIREMENTS: LEAD RESPONSIBLE OFFICE.
a. The Lead Responsible Office grants facility clearance for eligible
facilities under its cognizance.
b. If more than one Departmental Element has a registered activity at a
facility, the organization responsible for the activity involving the
highest classification level and category of activity is normally the
Lead Responsible Office. However, this responsibility may, by mutual
agreement, be accepted by a Responsible Office that does not have the
highest classification level and category of activity, but has a
greater scope of activity, such as with long term or traditional
c. Any change in the Lead Responsible Office must include a transfer of
appropriate documentation (e.g., safeguards and security plans, FOCI
case files, status of unresolved findings).
d. Ensure safeguards and security surveys are accomplished using either
internal assets or through a Memorandum of Understanding with another
5. REQUIREMENTS: SAFEGUARDS AND SECURITY INFORMATION MANAGEMENT SYSTEM.
Surveying and Lead Responsible Offices shall maintain information in the
Safeguards and Security Information Management System for facilities over
which they have responsibility, survey cognizance, or registered
safeguards and security activities.
a. The Safeguards and Security Information Management System shall
reflect facility information, activity information, and survey
b. Changes shall be accurately recorded and coordinated with the Lead
Responsible Office in a timely manner.
c. Lead Responsible and Surveying Offices shall ensure that the
Safeguards and Security Information Management System maintained at
the Office of Safeguards and Security reflects established facilities
and safeguards and security activities, under their jurisdiction, via
prompt submission of accurate DOE F 5634.3 and DOE F 5634.2 and shall
periodically review the Safeguards and Security Information Management
System database to confirm the information contained therein is
6. REQUIREMENTS: FACILITY CLEARANCES. Facility clearances are recorded by
Lead Responsible Offices, on DOE F 5634.3, "Facility Data and Approval
Record" (see paragraph 7 of this chapter).
a. Granting Approval. Approval of a facility is based on the following:
(1) A favorable foreign ownership, control, or influence
determination, in accordance with Chapter VI.
(2) A Facility National Agency Check, which has been requested or
completed on those facilities that do not possess a Department of
Defense (DOD) facility clearance, in accordance with Chapter VI.
(3) For contractors, contract(s) containing appropriate security
(4) Approved safeguards and security plans, as appropriate.
(5) If nuclear materials are involved, an established Reporting
Identification Symbol code for Nuclear Materials Management and
Safeguards System reporting.
(6) For the facility to possess classified matter, nuclear and other
hazardous material presenting a potential radiological or
toxicological sabotage threat, or over $5,000,000 of DOE
property, not including facilities or land values, at its
location, an initial survey or other survey resulting in a report
that comprehensively addresses the security interest, conducted
no more than 6 months before the facility clearance date, with a
composite facility rating of satisfactory.
(7) Appointment of a Facility Security Officer and, if applicable,
Materials Control and Accountability Representative. The
Facility Security Officer must possess a access authorization
equivalent with the facility clearance.
(8) Access authorizations for appropriate personnel. Key management
personnel must be determined case by case. The Lead Responsible
Office FOCI Operations Manager, in conjunction with the Facility
Clearance Operations Manager, is responsible for determining an
organization's key management personnel. Key management
personnel must possess access authorizations equivalent with the
level of the facility clearance. Other officials, to be
determined by the Lead Responsible Office, must possess
appropriate access authorization for classified information or
special nuclear materials.
b. Accepting a Contractor's Existing Federal Agency Facility Clearance.
A contractor holding facility clearance from another Federal agency
may be approved by DOE for processing, using, or storing classified
matter, contingent on the following.
(1) The Federal agency facility clearance is at the appropriate
classification level and encompasses the DOE activity. The other
Federal agency's facility clearance shall not be accepted if it
is based on a Special Security Agreement, Security Control
Agreement, Limited Facility Clearance, or Reciprocal Clearance.
(2) The cognizant Federal agency agrees that it shall not cancel the
facility clearance without prior notification to the Lead
(3) The last survey report is acceptable in those areas that could
affect the DOE activity.
(4) The cognizant Federal agency agrees to furnish the Lead
Responsible Office copies of its periodic survey reports or
memoranda covering the DOE activity.
(5) Each employee to be granted access to DOE classified information
has, as a minimum, a Federal security clearance equivalent to
that required by DOE, or reconciliation through interagency
coordination on a case-by-case basis.
(6) If Restricted Data (RD) or Formerly Restricted Data (FRD) are
involved, the cognizant Federal agency has provided assurance of
compliance with the requirements of the Atomic Energy Act of
1954, as amended, including the mandatory personnel clearance
(7) The requirements identified above have been documented in a
letter or memorandum of agreement between the Lead Responsible
Office and the cognizant Federal agency.
c. Verification of Federal Agencies. Verification of the capability of
another Federal agency is based on written assurance from that agency
(1) classified matter shall be afforded protection according to
Executive Order 12958, "National Security Information," and its
implementing Information Security Oversight Office directives;
(2) the requirements of the Atomic Energy Act of 1954, as amended,
pertaining to access to Restricted Data and Formerly Restricted
Data, including the mandatory personnel clearance requirements,
shall be met.
When Restricted Data or Formerly Restricted Data is involved, this
written assurance shall include coordination and reconciliation
procedures to limit the manner in which this data is to be
d. Suspension of Facility Clearance. The facility clearance for a
contractor determined to be under FOCI shall be suspended pending
final resolution and implementation of the security measures required
to negate or reduce the foreign involvement. The contractor shall
also be advised that failure to adopt required security deemed
appropriate pending final resolution, may result in termination of its
facility clearance. When findings or other deficiencies indicate
suspension of a facility clearance is necessary, the responsible Head
of Departmental Element, in coordination with the Office of Safeguards
and Security, as appropriate, may suspend the facility clearance
pending validated corrective actions. Once a decision is made to
suspend the facility clearance, all affected Departmental Elements
shall be notified by the Lead Responsible Office. The contractor
subject to suspension action shall be notified that its facility
clearance has been suspended, that performance on existing classified
contracts may continue unless notified by DOE to the contrary, and
that the award of new classified contracts will not be permitted until
that facility clearance has been restored to a fully valid status.
e. Reinstatement. Following a survey to validate that corrective actions
have been accomplished that restore a facility's safeguards and
security posture to a composite satisfactory facility rating, the
facility clearance may be reinstated. The Lead Responsible Office
must complete a DOE F 5634.3 to enact the reinstatement.
f. Terminating Approval. When a facility has completed all safeguards
and security activities involving work requiring access
authorizations, nuclear and other hazardous material presenting a
potential radiological or toxicological sabotage threat, classified
matter, or over $5,000,000, exclusive of facility and land values) of
Departmental property, the Lead Responsible Office shall ensure (1) a
termination survey, as identified in Chapter IX, is conducted to
verify appropriate disposition, destruction, or return of classified
matter, nuclear and other hazardous material presenting a potential
radiological or toxicological sabotage threat, or Departmental
property to DOE custody and (2) termination of all affected access
authorizations. The Lead Responsible Office shall then terminate the
When a facility has been determined to have significant unresolved
deficiencies or is under FOCI, the primary consideration shall be the
safeguarding of classified information and/or special nuclear
material. The Lead Responsible Office is responsible for taking
whatever interim action it believes necessary to safeguard classified
information and/or special nuclear material, in coordination with
other affected DOE offices as appropriate. If the facility does not
have possession of classified information and/or special nuclear
material, and does not have a current or impending requirement for
such access, the facility clearance shall be terminated. If final
agreement by the parties with regard to the security measures to
resolve deficiencies or to negate or reduce the foreign involvement to
an acceptable level, as determined by DOE, are not attained within a
prescribed period of time, the facility clearance shall be terminated.
7. REQUIREMENTS: FACILITY DATA AND APPROVAL RECORD.
a. Purpose. The Facility Data and Approval Record is used to register
pertinent facility information on the Safeguards and Security
Information Management System. The Lead Responsible Office shall
record a single DOE F 5634.3 to reflect the highest approved
safeguards and security activity. Prompt entry on the Safeguards and
Security Information Management System and accuracy of reported
information are essential to the continued integrity of the safeguards
and security program.
b. Preparation. A DOE F 5634.3 shall be prepared by the procurement
request originator, who forwards the completed form to the cognizant
Departmental safeguards and security organization. Upon receipt, the
responsible Operations Office safeguards and security organization or
the Office of Safeguards and Security shall evaluate, survey, and
approve the facility based upon an approved safeguards and security
plan, safeguards and security surveys with a composite rating of
satisfactory, and, if appropriate, a favorable FOCI determination.
(1) If a subcontract is established between a DOE prime contractor
and another contractor for work involving access authorizations,
classified matter, or nuclear and other hazardous material
presenting a potential radiological or toxicological sabotage
threat, it is the responsibility of the prime contractor to
ensure proper preparation of a DOE F 5634.3.
(2) The Contracting Officer's Representative shall be responsible for
validating information on the initial and subsequent DOE F 5634.3
and forwarding the form to the responsible DOE safeguards and
security organization for approval.
c. Approval. DOE F 5634.3 shall be approved by the Lead Responsible
d. Registration. The DOE F 5634.3, "Facility Data and Approval Record,"
must be completed by the Lead Responsible Office in order to register:
(1) facility clearance;
(2) a significant change in a facility (e.g., a change in name,
address, Lead Responsible Office, classified mailing/shipping
address, nuclear materials categorization, or classification
level and category of information authorized);
(3) facility clearance termination;
(4) suspension of a facility clearance; or
(5) reinstatement of a suspended facility clearance.
e. Attachments. A copy of the facility's safeguards and security
plan(s), survey report(s), and pertinent correspondence shall be
maintained with DOE F 5634.3 for facility clearance. For facility
termination a copy of the certificate of non-possession must be
8. REQUIREMENTS: ACTIVITY REGISTRATION. Activity registration is recorded
on DOE F 5634.2, "Contract Security Classification Specification." (See
paragraph 9 of this chapter.)
a. Accepting Existing DOE Facility Clearance.
(1) A Departmental Element seeking to establish an activity shall
check the Safeguards and Security Information Management System
to determine whether the contractor or prospective contractor
currently holds a facility clearance. In coordination with the
Lead Responsible Office, an organization may accept the existing
facility clearance, provided:
(a) the new activity shall be protected adequately under the
facility's existing safeguards and security program as
outlined in the applicable, approved safeguards and security
(b) the existing facility clearance is compatible with the level
of the new activity; and
(c) the facility holds a composite facility rating of
satisfactory on the basis of the last safeguards and
security survey report.
(2) When an activity will exceed the current facility clearance or a
facility clearance does not exist, the actions required in
paragraph 6 must be completed, as appropriate. The upgrading of
a facility clearance may also require the transfer of the
functions of the Lead Responsible Office.
b. Suspension of an Activity at a Facility. When current deficiencies
indicate to responsible management officials that suspension is
necessary for a specific activity, the Departmental Element
establishing an activity, in coordination with the Lead Responsible
Office, may suspend the activity and the ability of the facility to
accept new safeguards and security activities pending correction of
those deficiencies and validation of those corrective actions.
c. Reinstatement. Upon completion of a survey that validates corrective
actions, the suspended activity may be reinstated. A DOE F 5634.2 is
required to enact the reinstatement.
d. Terminating an Activity at a Facility. When a registered activity is
terminated at an approved facility, the organization that established
the activity must ensure that all affected access authorizations are
terminated, and all nuclear and other hazardous material presenting a
potential radiological or toxicological sabotage threat, DOE property,
and/or classified matter is appropriately reallocated, disposed of,
destroyed, or returned to an appropriate organization. A certificate
of non-possession shall be obtained from the Lead Responsible Office
and maintained by the organization that established the activity.
9. REQUIREMENTS: CONTRACT SECURITY CLASSIFICATION SPECIFICATION.
a. New Activity. If a new activity for work involving access
authorizations is being considered, the DOE F 5634.2 (or the DD F 254,
Contract Security Classification Specification) must be submitted by
the procurement request originator, to the Contracting Officer's
Representative. These forms are used to register pertinent activity
information on the Safeguards and Security Information Management
System. The Contracting Officer's Representative shall validate the
information on the DOE F 5634.2 (or DD F 254) and forward the form to
the responsible DOE safeguards and security organization for approval.
b. Preparation. A DOE F 5634.2 shall be initially prepared by the
procurement request originator, who forwards the completed form to the
cognizant Departmental Element Safeguards and Security organization.
If a DD F 254, "Contract Security Classification Specification," has
been used by the agency sponsoring the activity, it shall be annotated
with the facility code and submitted instead of the DOE F 5634.2.
10. REQUIREMENTS: FACILITY IMPORTANCE RATINGS. Importance ratings shall be
used to identify relative importance of facilities on the Safeguards and
Security Information Management System and to determine survey frequency.
A detailed explanation of these ratings is located in the Safeguards and
Security Survey and Self-Assessment Guide.
11. IMPLEMENTATION ASSISTANCE. The Office of Safeguards and Security will
develop an implementation plan for the implementation of DOE F 5634.2 and
DOE F 5634.3 in the Safeguards and Security Information Management System.
This implementation plan will be provided to each Lead Responsible Office
and Survey Office, who shall use this plan to develop a local
12. CONTACT. Comments and inquiries regarding this chapter may be directed to
the Technical and Operations Security Program Manager at (301) 903-5217.
FOREIGN OWNERSHIP, CONTROL, OR INFLUENCE PROGRAM
1. OBJECTIVE. It is DOE policy to obtain information that indicates whether
offerors/bidders or contractors are owned, controlled, or influenced by a
foreign person and whether as a result the potential for an undue risk to
the common defense and national security may exist.
2. APPLICABILITY. Foreign ownership, control, or influence (FOCI)
determinations are required of the following.
a. Contractors, which include any industrial, educational, commercial, or
other entity, grantee, or licensee, including an individual, that has
executed an agreement with the Federal Government for the purpose of
performing under a contract, license, or other arrangement that
requires access authorizations. However, the foregoing does not
include individuals performing work under a consulting agreement.
This includes subcontractors of any tier, consultants, agents,
grantees, and cooperative agreement participants.
b. All tier parents, if the contractor is owned or controlled by another
a. A favorable FOCI determination must be rendered on the prospective
contractor and, if applicable, its tier parents, prior to the Lead
Responsible Office granting a facility clearance or contract requiring
access authorizations. Unless established thresholds are exceeded,
the Lead Responsible Office shall render the FOCI determination(s) on
the contractor and, if applicable, tier parents.
b. While the Lead Responsible Office will conduct a preliminary review of
the FOCI representations and certifications of each firm in the
competition range in a procurement request, a facility clearance,
which requires a FOCI determination, can only be requested for the
successful offeror/bidder if there is expected to be insufficient lead
time between selection and contract award to allow deferral of the
FOCI determination and facility registration.
c. Prior to the award of a contract requiring access authorizations to an
offeror/bidder that does not possess a facility clearance, the
offeror/bidder shall be required to submit to the Contracting Officer
information and documentation that define the extent and nature of any
foreign ownership, control, or influence over the offeror/bidder and,
if applicable, its tier parents. The Contracting Officer cannot award
the contract/agreement until he/she receives notification from the
Lead Responsible Office that a favorable FOCI determination was
d. A contractor with a facility clearance is required to ensure that the
following notification for its organization and each of its tier
parents is immediately provided to the Lead Responsible Office.
(1) Written notification of a change in the extent and nature of FOCI
that affects the information in the FOCI representation and
(2) Complete, current, and accurate information, certifications, and
explanatory documentation that define the extent and nature of
any relevant FOCI whenever:
(a) there is any change in ownership or control;
(b) 5 years have elapsed since the previously provided FOCI
representations and certification were executed; or
(c) the Lead Responsible Office advises that it considers that a
relevant change in the nature of the FOCI has occurred.
(3) Written notification of anticipated changes that include, but are
not limited to, the following:
(a) action to terminate the contractor organization or any of
its parents for any reason;
(b) imminent adjudication of or reorganization in bankruptcy of
the contractor organization or any tier parents;
(c) discussions or consultations with foreign interests that may
reasonably be expected to lead to the introduction or
increase of FOCI; or
(d) negotiations for the sale of securities to a foreign
interest that may lead to the introduction or increase of
e. Contracting Officers must provide written notification to the
servicing safeguards and security office in each of the following
(1) A FOCI determination is required on an offeror/bidder and, if
applicable, its tier parents. The Contracting Officers will send
the servicing safeguards and security office the FOCI
representations and certifications and supporting documentation,
which have been reviewed for completeness.
(2) A requested FOCI review is no longer needed.
(3) A FOCI determination was rendered on an offeror/bidder that was
not the successful bidder.
(4) Within 30 days of the termination or completion of all work by
the contractor on a contract requiring access authorizations.
f. The Lead Responsible Office shall provide the successful
offeror/bidder with written notification that:
(1) DOE has reviewed the FOCI submission and determined the
organization is not under FOCI; or
(2) the contractor and any tier parents must keep the FOCI
(3) identifies the Lead Responsible Office. This office is the only
office to which the contractor and any tier parents will provide
new FOCI representation and certification or written notification
of anticipated or significant changes.
g. When established thresholds are exceeded, the Office of Safeguards and
Security reviews FOCI cases submitted by a Lead Responsible Office to
determine eligibility for a FOCI determination.
h. When a tier parent has not entered into a contract requiring access
authorizations or is performing work on a contract requiring a lower
level access authorization, the Lead Responsible Office shall obtain
appropriate Board Resolutions from the contractor and its parent
organization(s) to exclude the parent organization(s) from having any
i. If a contractor, offeror/bidder, and/or tier parent is determined to
be under FOCI, the Lead Responsible Office shall ensure that the
contractor is advised of the existence of FOCI and the security
measures, if any that would be necessary to negate or reduce that
foreign involvement and its effect.
j. When the offeror or bidder requiring access authorizations is a local,
State, or Federal governmental agency or department, the affected
contract must contain a security clause stating that if the
governmental agency or department subcontracts any work requiring
access authorizations to a commercial entity, their acquisition
regulation, including FOCI policies will be followed. In the absence
of their own FOCI policies, the DOE will render the FOCI
k. To the extent permitted by law, information submitted in confidence as
business/financial information shall be protected as Official Use
Only, exempt from public release under the Freedom of Information Act.
4. ELIGIBILITY REQUIREMENTS. An organization will be considered under FOCI
when a foreign person has the power, direct or indirect, whether or not
exercised, and whether or not exercisable through ownership of the
organization's and/or it tier parents' securities, through indebtedness,
by contractual arrangements, or other means, to direct or decide matters
affecting the management or operations of that organization in a manner
that may result in the compromise of classified information or
unauthorized access to nuclear and other hazardous material presenting a
potential radiological or toxicological sabotage threat or that may
adversely affect the performance of contracts requiring access
authorizations. Eligibility requirements include, but are not limited to,
a. A organization effectively owned or controlled by a foreign government
is ineligible for award of a contract if it is necessary for the
organization to be given access to information in a proscribed
category in order to perform the contract unless the foreign
government ownership occurred prior to October 23, 1992. The
Secretary of Energy may determine that a waiver from this requirement
is essential to the national security interest of the U.S.
b. A organization that is owned, controlled, or influenced by a foreign
person from a sensitive country identified in DOE 1500.3, FOREIGN
TRAVEL AUTHORIZATION, of 11-10-86, and DOE 1240.2B, UNCLASSIFIED
VISITS AND ASSIGNMENTS BY FOREIGN NATIONALS, of 8-21-92 shall not be
eligible, in some cases, for a favorable FOCI determination. The
Office of Safeguards and Security will make the determination.
c. An organization that is owned, controlled, or influenced by a foreign
person from a nonsensitive country shall be eligible for a favorable
FOCI determination provided action can be taken to effectively negate
or reduce associated FOCI risk to an acceptable level. The Office of
Safeguards and Security will make the determination.
d. Key management personnel determined to require access authorizations,
as set forth in Chapter V, paragraph 6a(8) must possess an access
authorization to the level of the facility clearance.
5. REQUIREMENTS: PROCESSING CONTRACTORS FOR FOCI DETERMINATIONS.
a. The Contracting Officer will verify whether the offeror/bidder has a
facility clearance through the Safeguards and Security Information
Management System. If an offeror/bidder does not possess a facility
clearance, the DOE contracting office shall request a complete FOCI
package from the organization, and all tier parents. If the parent(s)
has a facility clearance, a new FOCI package is not necessary. This
package is reviewed for completeness by the DOE Contracting Officer
and submitted to the servicing safeguards and security office.
b. Prior to a FOCI determination being rendered, the Lead Responsible
Office must accomplish the following.
(1) Receive written confirmation of a contractor's facility clearance
from the Defense Investigative Service (DIS)/Central Verification
Activity (CVA). When the contractor has a Limited Facility
Clearance (formerly "Reciprocal" clearance) or DIS/CVA cannot
verify the contractor's clearance and provides a telephone number
to call for verification, the FOCI submission must be immediately
forwarded to the Office of Safeguards and Security for
(2) Request the Office of Safeguards and Security to obtain a
Facility National Agency Check (FNAC) if the contractor does not
have an active DOE or DOD facility clearance requiring access
authorizations. However, the Lead Responsible Office can render
the FOCI determination pending the results of the FNAC, under the
(a) The responses to the FOCI questions do not exceed the
thresholds established by the Office of Safeguards and
(b) Exclusion procedures are invoked when the contractor
requiring access authorizations is controlled by a parent(s)
either not requiring access authorizations or requiring a
lower-level access authorization.
(3) If the FOCI case exceeds established thresholds, the Lead
Responsible Office shall forward the case file to the Office of
Safeguards and Security with a recommended determination.
Forwarded case files shall contain certifications from the
offeror/bidder/contractor and any tier parents and shall document
the reasons the case has been forwarded. The Office of
Safeguards and Security shall review the package to determine if
it concurs with the Lead Responsible Office's recommendation.
The Office of Safeguards and Security, in coordination with
General Counsel when appropriate, shall provide a final FOCI
determination to the Lead Responsible Office.
6. REQUIREMENT: ACCEPTING A FOCI DETERMINATION RENDERED BY ANOTHER FEDERAL
AGENCY. DOE will accept another Federal agency's FOCI determination when
the requirements for accepting a facility clearance in Chapter V,
paragraph 6b, are met.
7. REQUIREMENT: SCHEDULE OF REQUIREMENTS FOR PROCESSING FOCI DETERMINATIONS.
a. The Lead Responsible Office shall observe the following schedule in
processing FOCI determinations.
(1) Initial review and verification procedures shall be accomplished
within 15 working days of the receipt of a FOCI submission from
the contracting officer.
(2) Within an additional 20 working days, one of the following
actions will be taken.
(a) A FOCI determination will be rendered by the Lead
Responsible Office if FOCI thresholds are not exceeded.
(b) If required, additional information, shall be requested
either verbally or in writing from the
(c) The FOCI case, which has been reviewed for completeness,
shall be forwarded to the Office of Safeguards and Security
if established thresholds are exceeded.
b. For cases forwarded to the Office of Safeguards and Security for
action, the foregoing schedule shall also be observed.
c. If for any reason a FOCI determination has not been rendered within 90
working days of receipt:
(1) The Lead Responsible Office shall either (i) provide written
notification to the submitting contracting officer with a copy to
the Office of Safeguards and Security regarding the reason for
the delay in processing/completing the submission or (ii) return
the submission to the submitting contracting officer if the
contractor has been non-responsive to the Lead Responsible
Office's request for additional information or implementation or
required security measures.
(2) The Office of Safeguards and Security shall either (i) provide
written notification to the Lead Responsible Office regarding the
reason for the delay in processing/completing the submission or
(ii) return the submission to the Lead Responsible Office if the
contractor has been non-responsive to the Office of Safeguards
and Security's request for additional information or
implementation of required security measures.
8. REQUIREMENTS: SIGNIFICANT CHANGES. When changes in the extent and nature
of FOCI that would affect the information in a contractor's and/or any
tier parents' most recent DOE FOCI submission(s) have occurred, the
contractor/parent shall immediately provide written notification and
supporting documentation relevant to the changes to the DOE Lead
Responsible Office. A significant FOCI increase/change that warrants
processing of the contractor/parent for a new FOCI determination includes,
but is not necessarily limited to, the following.
a. A new threshold or factor that did not exist when the previous
determination was made (e.g., a "no" answer changes to a "yes"
answer), and any additional factors associated with the questions on
the FOCI representation and certification.
b. A previously reported threshold or factor that was favorably evaluated
by the Lead Responsible Office has increased to a level requiring a
determination by the Office of Safeguards and Security.
c. A previously reported financial threshold or factor that was favorably
evaluated has increased by 5 percent or more; or a shift has occurred
of 5 percent or more by country location of end user (i.e., for
revenue and/or net income) or lenders (i.e., indebtedness).
d. A previously reported foreign ownership threshold or factor that was
favorably evaluated by the Office of Safeguards and Security has
increased to the extent that a method of negation or reduction (see
paragraphs 10 and 11) is necessary.
e. Any changes in the ownership or control of the contractor and/or any
9. REQUIREMENTS: ADVERSE DETERMINATION. When an offeror/bidder or
contractor determined to be under FOCI will not implement the necessary
security measures, as determined by DOE, to negate or reduce foreign
involvement to an acceptable level, an adverse determination will be
rendered by the Office of Safeguards and Security. When a contractor with
a FOCI determination experiences significant changes in its FOCI resulting
in a determination that the contractor is under FOCI, the contractor's
facility clearance shall be suspended and may be terminated, as set forth
in Chapter V, paragraphs 6d to f.
10. REQUIREMENTS: METHODS TO NEGATE OR REDUCE UNACCEPTABLE FOCI. The
affected U.S. organization(s), or its legal representatives may propose a
plan to negate or reduce unacceptable FOCI; however, DOE reserves the
right and has the obligation to impose any security method, safeguard, or
restriction it believes necessary to ensure that unauthorized access to
classified information and/or special nuclear materials is precluded. A
plan may consist of one or more of the insulating measures prescribed in
paragraph 11 as appropriate. It may also consist of other measures
employed in conjunction with, or apart from, these methods, such as:
a. physical or organizational separation of the component performing the
work requiring access authorizations,
b. modification or termination of agreements with foreign persons,
c. diversification or reduction of agreements with foreign persons,
d. diversification or reduction of revenue from foreign persons,
e. assignment of specific security duties and responsibilities to
selected officials of the organization,
f. creation of special executive-level committees to consider and oversee
classified information and/or special nuclear material.
11. REQUIREMENTS: METHODS TO NEGATE OR REDUCE RISK IN FOREIGN OWNERSHIP
a. National Interest Determination. An organization cleared under a
Special Security Agreement and its cleared employees may only be
afforded access to "proscribed information" with special
authorization. This special authorization must be manifested by a
favorable national interest determination that must be
program/project/contract-specific. Access to proscribed information
must be predicated on compelling evidence that release of such
information to an organization cleared under the Special Security
Agreement arrangement advances the national security interests of the
United States. The authority to make this determination shall not be
permitted below the Assistant Secretary. In all majority ownership
cases, national interest determination will be prepared and sponsored
by the Contracting Officer whose contract or program, is involved and
it shall include the following information.
(1) Identification of the proposed awardee and a synopsis of its
foreign ownership (include solicitation and other reference
numbers to identify the action).
(2) General description of the procurement and performance
(3) Identification of national security interest involved and the
ways in which award of the contract helps advance those
(4) The availability of any other U.S. company with the capacity,
capability, and technical expertise to satisfy acquisition,
technology base, or industrial base requirements and the reasons
any such company should be denied the contract.
(5) A description of any alternate means available to satisfy the
requirement, and the reasons alternative means are not
A national interest determination shall be initiated by the
Contracting Officer. A company may assist in the preparation of the
determination, but the Contracting Officer is not obligated to pursue
the matter unless it believes further consideration to be warranted.
The Contracting Officer shall, if it is supportive of the national
interest determination, forward the case through appropriate channels.
If the proscribed information is under the classification or control
jurisdiction of another agency, the approval of the cognizant agency
is required (e.g., NSA for COMSEC, DCI for SCI).
It is the responsibility of the cognizant approval authority to ensure
that pertinent security, counterintelligence, and acquisitions
interests are thoroughly examined.
b. Board Resolution for Noncontrolling Foreign Minority Cases. When a
foreign person(s) owns voting stock, directly or indirectly, but is
not permitted representation in the U.S. organization (that is, to
hold a position as or appoint any of the U.S. organization's
management and/or allowed to transfer any of its employees on any of
its foreign-owned parent's or other foreign-owned affiliate's
employees to the U.S. organization), resolutions by the U.S.
organization's board of directors and other actions as described below
may be considered to negate or reduce the FOCI.
(1) Resolutions shall address the following.
(a) Acknowledge and describe all FOCI elements; identify foreign
persons and describe the type and number of foreign-owned
(b) Acknowledge the organization's obligations to comply with
all security program and export control requirements.
(c) Certify that foreign persons shall not require, shall not
have, and can be effectively precluded from access to all
classified information or nuclear and other hazardous
material presenting a potential radiological or
toxicological sabotage threat entrusted to or held by the
U.S. organization; certify that the foreign persons will not
be permitted representation in the U.S. organization or to
influence the organization's policies and practices in the
performance of contracts requiring access authorization(s).
(2) Criteria. The following criteria must also be satisfied for a
board resolution to serve as the sole method accepted to negate
or effectively reduce the risk of compromise arising from foreign
ownership within the levels prescribed herein.
(a) Identified U.S. person(s) own a majority of the stock.
(b) A foreign person is not the single largest shareholder.
(3) Publication of the Resolution(s). The U.S. organization shall be
required to distribute to its directors and its principal
officers copies of such resolutions and report in its corporate
records the completion of such distribution. In addition, the
substance of the foregoing resolution(s) shall be brought to the
attention of all personnel possessing or being processed for an
(4) Verification. Compliance with the resolution(s) shall be
verified during periodic surveys.
c. Security Control Agreement for Noncontrolling Foreign Minority Cases.
When a foreign person(s) owns voting stock, directly or indirectly,
and is permitted representation in the U.S. organization (that is, to
hold a position as or appoint any of the U.S. organization's
management and/or allowed to transfer any of its employees on any of
its foreign-owned parent's or other foreign-owned affiliate's
employees to the U.S. organization), the Security Control Agreement,
as set forth in 11d(4), may be considered to negate or reduce the
d. Controlling Foreign Majority Cases. A controlling foreign majority
case is one in which foreign person(s) own a majority of the voting
securities of the U.S. organization or, if less than 50 percent is
foreign-owned, it can be reasonably determined that foreign person(s)
or their representatives are in a position to effectively control or
dominate the business management of the U.S. organization.
(1) Voting Trust Agreement. A voting trust agreement is an
acceptable method to negate or reduce risks associated with a
controlling foreign majority case. Under this arrangement, the
following requirements must be met.
(a) Foreign stockholders must transfer legal title of
foreign-owned stock to the trustees, and the U.S.
organization to be cleared must be organized, structured,
and financed to operate as a viable business entity
independent from the foreign stockholder(s).
(b) The Voting Trust Agreement must unequivocally provide for
the exercise of all prerogatives of ownership by the
trustees with complete freedom to act independently and
without consultation with, interference by, or influence
from foreign stockholders.
(c) There shall be at least three trustees, and all must become
members of the U.S. organization's board of directors. In
addition, the trustees must:
1 be U.S. citizens residing within the limits of the U.S.
and capable of assuming full responsibility for voting
the stock and exercising the management prerogatives
relating thereto in such a way as to effectively
insulate foreign stockholder(s) from the cleared U.S.
2 be completely disinterested individuals with no prior
involvement with either the cleared U.S. organization,
its foreign-owned tier parent(s), and any of its
3 be issued and be able to maintain an access
authorization to the level of the facility clearance or
safeguards and security activity;
4 be approved by the Office of Safeguards and Security
when a vacancy occurs due to the resignation or removal
of a trustee and a successor trustee is appointed by
the remaining trustees;
5 prior to being accepted as trustees by the Office of
Safeguards and Security, be advised by the Office of
Safeguards and Security of the duties and their
responsibilities on behalf of DOE to insulate the
cleared U.S. organization from the foreign person(s),
and indicate, in writing, their willingness to accept
(d) The voting trust agreement may, however, limit the authority
of the trustees by requiring approval from the foreign
stockholder(s) with respect to the following.
1 The sale or disposal of the cleared U.S. organization's
assets or a substantial part thereof.
2 Pledges, mortgages, or other encumbrances on the
capital stock they hold in trust.
3 Corporate mergers, consolidations, or reorganizations.
4 The dissolution of the cleared U.S. organization.
5 The filing of a bankruptcy petition.
(e) Trustees must assume full responsibility for the voting
stock and for exercising all management prerogatives
relating thereto in such a way as to ensure that the foreign
stockholder(s), except for the approvals enumerated above,
will be effectively insulated from the cleared U.S.
organization and continue solely in the status of
(f) The Certification and Visitation Approval Procedure
Agreement of paragraph 11b(3) is required under this
(2) Proxy Agreement. A proxy agreement is an acceptable method to
negate or reduce risks associated with controlling foreign
majority cases. Under this arrangement, the voting rights of
stock owned by foreign persons are conveyed to proxy holders by
an irrevocable proxy agreement. Legal title to the stock remains
with the foreign persons. All other provisions of the voting
trust agreement as they apply to trustees (see paragraph 11b(1))
and the terms of the agreement shall apply to the proxy holders.
Conditions for consideration of use of a proxy agreement are the
same as required for a voting trust agreement. Proxy agreements
must be coordinated with General Counsel.
(3) Visitation Approval Procedure Agreement. In every case where a
voting trust agreement or proxy agreement is employed to negate
or reduce risks associated with foreign ownership, a visitation
approval procedure agreement shall be executed between the
cleared U.S. organization, the foreign persons, the Office of
Safeguards and Security, and as appropriate, trustees, proxy
holders, or other designated individuals. The visitation
approval procedure agreement must identify who may visit, for
what purposes, when advance approval is necessary, and the
approval authority. The cleared U.S. organization shall submit
individual requests to the approval authority for each visit.
The visitation approval procedure agreement shall provide that,
as a general rule, visits between foreign stockholder(s) and the
cleared U.S. organization are not authorized; however, as an
exception to the general rule, the approval authority may approve
such visits in connection with regular day-to-day business
operations pertaining strictly to purely commercial products or
services and not pertaining to contracts requiring access
(4) Special Security Agreement and Security Control Agreements. The
Special Security Agreement and the Security Control Agreements
are substantially identical arrangements that impose substantial
industrial security and export control measures within an
institutionalized set of corporate practices and procedures;
require active involvement of senior management and certain Board
members in security matters (who must be cleared, U.S. citizens);
provide for the establishment of a Government Security Committee
to oversee classified and export control matters; and preserve
the foreign stockholder's right to be represented on the Board
with a direct voice in the business management of the company
while denying unauthorized access to classified information.
(a) The Special Security Agreement may be considered to negate
or reduce the FOCI for a U.S. organization effectively owned
or controlled by a foreign person. However, access to
proscribed information is permitted only with the written
permission of the agency with classification or control
jurisdiction over the proscribed information (e.g., NSA for
COMSEC, DCI for SCI). A determination to disclose
proscribed information to a company cleared under a Special
Security Agreement requires that a favorable national
interest determination be rendered prior to contract award.
Additionally, DOE must have entered into a General Security
Agreement with the foreign government involved (that is the
country to which the foreign ownership stems).
(b) The Security Control Agreement may be considered to negate
or reduce the FOCI for an organization not effectively owned
or controlled by a foreign person. Limitations on access to
classified information are not required under a Security
12. REQUIREMENTS: ANNUAL REVIEWS AND COMPLIANCE.
a. Annual Review. Representatives of the Lead Responsible Office shall
meet annually with senior management officials of organizations
operating under a Voting Trust Agreement, Proxy Agreement, Special
Security Agreement, or Security Control Agreement to review the
effectiveness of the pertinent security arrangement and to establish
common understanding of the operating requirements and how they will
be implemented within the cleared organization.
b. Annual Certification.
(1) At the end of each year of operation, the trustees, proxy
holders, or other principals as appropriate of those
organizations operating under a DOE-approved Voting Trust
Agreement, Proxy Agreement, Special Security Agreement, or
Security Control Agreement shall submit to the Lead Responsible
Office an annual implementation and compliance report. Failure
of the cleared U.S. organization to ensure compliance with the
terms of the applicable security arrangement may result in the
organization's facility clearance being suspended pending
resolution of the FOCI.
(2) Each contractor holding a facility clearance shall certify
annually to the Lead Responsible Office that (i) no significant
changes have occurred in the extent and nature of FOCI that would
affect the organization's answer to the questions provided in its
FOCI representations; (ii) no changes have occurred in the
organization's ownership; and (iii) no changes have occurred in
the organization's officers, directors, and executive personnel.
(3) When the contractor is controlled by parent organizations that
have been excluded, the contractor must also provide annually to
the Lead Responsible Office written certification from an
authorized official from each such excluded parent that (i) no
significant changes have occurred in the extent and nature of
FOCI that would affect the organization's answers to the
questions provided in its FOCI representations; (ii) no changes
have occurred in the organizations's ownership; and (iii) no
changes have occurred in the organization's officers, directors,
and executive personnel.
13. CONTACT. Comments and inquiries regarding this chapter may be directed to
the Technical and Operations Security Program Manager, telephone (301)
INCIDENTS OF SAFEGUARDS AND SECURITY CONCERN
a. Programs and procedures shall be established to deter, detect, and
ensure the prompt reporting of incidents of safeguards and security
concern to DOE.
b. A systematic inquiry shall be conducted to review the circumstances
surrounding an incident of safeguards and security concern to develop
all pertinent information and to determine whether an infraction,
criminal violation, or loss has occurred. Inquiries shall not be used
as a means of holding in abeyance a decision to initiate a full-scale
2. APPLICABILITY. Incidents of safeguards and security concern are events
that, at the time of occurrence, have yet to be determined to be a
violation of law, but that are of such concern to the safeguards and
security program as to warrant immediate review, inquiry, and subsequent
assessment and reporting.
a. Safeguards and security representatives may conduct preliminary
inquiries of incidents of Safeguards and Security concerns, however,
they shall not investigate criminal violations except when DOE
investigators are deputized agents of State or local law enforcement
agencies. Such deputized agents shall consult with the Federal Bureau
of Investigation when investigating criminal violations involving DOE
and contractor activities, operations, or personnel.
b. When an inquiry establishes that an alleged or suspected violation of
law involving a national security interest has occurred, the
appropriate DOE Element shall refer the incident to the Federal Bureau
of Investigation and/or the appropriate law enforcement agency.
c. When an inquiry establishes credible information that fraud, waste
and/or abuse has occurred, which does not involve a national security
interest has occurred, the Office of the Inspector General shall be
notified for information and/or action.
d. When an inquiry establishes that a potential compromise or
unauthorized disclosure of classified information has occurred, the
applicable provisions of DOE O 471.2, INFORMATION SECURITY PROGRAM,
shall be followed.
e. Employees with information regarding possible fraud, waste, abuse, or
other forms of wrongdoing in the Department's programs or operations
shall inform the Inspector General immediately upon obtaining such
a. Safeguards and security directors shall ensure that inquiries are
conducted to establish the circumstances surrounding as suspected or
alleged criminal violation involving a national security interest or
loss involving a national security interest. The authority to conduct
such inquiries remains with the Head of the Field Element and, in the
case of Headquarters, with the Office of Safeguards and Security.
(1) Inquiry officials (with previous inquiry experience) familiar
with appropriate policies and procedures shall be appointed in
writing by the Head of the DOE Element. The inquiry official is
not authorized to detain individuals for interviews or obtain
sworn statements; however, he/she may conduct consensual
interviews and obtain signed statements. The inquiry official is
responsible for maintaining records of inquiry (e.g., log of
events, notes, recordings, statements).
(2) Whenever possible, the responsibility for an incident shall be
fixed upon an individual rather than upon a position or office.
When individual responsibility cannot be established, and the
facts show that a responsible official allowed conditions to
exist that led to an incident of safeguards and security concern,
responsibility shall be fixed upon such responsible official.
Infractions shall be issued in accordance with DOE O 471.2 for a
violation of procedures after a determination has been made by
the Department of Justice or appropriate authority not to
prosecute the violation.
(3) An inquiry shall be instituted within 48 hours from the initial
report of the alleged or suspected violation to the Office of
Safeguards and Security and cognizant Secretarial Officer.
b. Loss, compromise, or unauthorized disclosure of classified
information, and alleged or suspected violations of laws pertaining to
safeguards and security shall be reported promptly through the
appropriate DOE Element to the Office of Safeguards and Security, the
Secretarial Officer, and when appropriate, the local Federal Bureau of
(1) The method and sequence for reporting safeguards and security
incidents will depend upon the situation as well as the immediacy
of action that may be required to mitigate the situation.
(2) Unclassified reports and notifications of safeguards and security
incidents shall be made in accordance with DOE O 232.1 and DOE O
471.2. Reports that contain classified information shall contain
all of the information required by DOE O 232.1, but shall not be
entered on the Occurrence Reporting and Processing System.
Classified reports shall be sent by approved methods for
transmitting classified information. Reporting intervals for
incidents of safeguards and security concern must be in
accordance with DOE O 232.1.
c. Federal Bureau of Investigation personnel shall be admitted to areas
and afforded access to Restricted Data or other classified information
as necessary for them to perform their duties. Such personnel shall
be provided escort, as necessary, for safety reasons or to facilitate
the investigative progress.
(1) When Federal Bureau of Investigation personnel are given access
to classified information, they will be immediately advised of
the classification and the category of the information.
Appropriate document and data classification, marking
information, and protection and control requirements shall be
made available to them through local liaison channels.
(2) The availability of DOE standard security badges and advance
notification arrangements shall be determined by agreement
between the DOE and Federal Bureau of Investigation organizations
involved. This authority does not extend to Sensitive
Compartmented Information, which requires special access
4. CONTACT. Comments and inquiries on this chapter may be directed to the
Technical and Operations Security Program Manager at (301) 903-5217.
CONTROL OF CLASSIFIED VISITS PROGRAM
a. To ensure that only authorized persons with the appropriate access
authorization and need-to-know receive access to classified
information in connection with visits involving the release or
exchange of classified information.
b. To limit foreign visitor access to classified information to that
prescribed in approved Agreements for Cooperation and other bilateral
2. APPLICABILITY. The requirements in this chapter apply to DOE personnel,
covered contractors, and others who visit DOE facilities that entail
access to Restricted Data and other classified information, and to DOE
personnel and covered contractors that visit other specified Federal
3. REQUIREMENTS: CLASSIFIED VISIT PROCEDURES. Basic procedures for the
control of all classified visits shall ensure the following:
a. Verification of the identity and need-to-know of the visitor.
b. The person's clearance or access authorization is at least equal to
the classification of the information to which access is desired.
c. Observance of limitations on access to classified information or
facilities. Access to certain programs or information is handled in
accordance with the following:
(1) Weapons Production Programs. For access to weapons programs,
nuclear materials production facilities, or sensitive nuclear
materials production information, requests shall be referred to
the Assistant Secretary for Defense Programs.
(2) Uranium Enrichment. For access to uranium enrichment plants or
facilities engaged in uranium enrichment technology development,
including advanced isotope separation technology, the request
shall be referred to the Office of Uranium Programs.
(3) Naval Nuclear Propulsion Information. When access is desired to
Naval Nuclear Propulsion Information, the request shall be
referred to the Office of Naval Reactors.
d. Timely notification of visits.
e. Prompt transmittal of "Request for Visit or Access Approval" (DOE F
5631.20), when applicable. (This form is no longer required for DOE
and DOE contractor employees who visit DOE facilities. These
employees may use their DOE picture identification badge as evidence
of a DOE access authorization. However, DOE F 5631.20 is still
required for programmatic approval for sigma access and for employees
of other Federal agencies who visit DOE facilities.)
f. Timely notification to those concerned for approval of access to
weapon data (classified Secret or Top Secret), Top Secret information
(nonweapon data), sensitive nuclear materials production information,
atomic vapor laser isotope separation technology, uranium enrichment
technology, or facilities specifically designated by Headquarters
g. Use of continuing visitor access approval as necessary for individuals
who visit DOE facilities frequently. This approval cannot exceed a
period of 1 year, but the approval may be renewed annually, if
h. Operational approval of visits.
i. Maintenance of records of all classified visits by non-DOE personnel
and foreign nationals.
j. Referral to the Director of Public and Consumer Affairs of any
nonroutine, written, or visual material proposed for public release
resulting from visits.
k. The Director of Safeguards and Security shall maintain liaison with
the Department of Defense, National Aeronautics and Space
Administration, and other Federal agencies in order to:
(1) ensure that DOE is notified of changes in those positions whose
occupants are authorized to initiate access requests; and
(2) provide assistance in identifying DOE Elements and Federal
offices to which specific requests shall be directed.
4. REQUIREMENTS: CLASSIFIED VISITS BY DOE EMPLOYEES, CONTRACTORS AND
a. The visitor is responsible for making administrative arrangements and
obtaining approval from the Departmental Element, as appropriate.
(The authority granting such approval is responsible for informing the
office to be visited.)
b. Contractors or subcontractors with mutual program interests may be
authorized, subject to the limitations in subparagraph c below, to
arrange for visits without obtaining DOE approval if such
authorization will be advantageous to the DOE.
c. The following procedures are required when access to weapon data
(classified Secret or Top Secret), Top Secret information (nonweapon
data), sensitive nuclear materials production information, inertial
confinement fusion data, atomic vapor laser isotope separation
technology, uranium enrichment technology, or specific facilities
designated by Headquarters Elements having program direction is
(1) Approval of the access during visits under the auspices of a
Headquarters Element shall be obtained from the Headquarters
Element exercising jurisdiction over the facility or office to be
(2) Approval of this access during visits under the auspices of Field
Elements shall be obtained from the responsible Field Element for
field visits and for visits to Headquarters from the organization
5. REQUIREMENTS: VISITS TO DEPARTMENT OF DEFENSE AND NATIONAL AERONAUTICS
AND SPACE ADMINISTRATION FACILITIES. Both agencies accept DOE access
authorizations for Restricted Data and other classified information under
their jurisdiction on the same basis as DOE, provided access authorization
and "need-to-know" are properly certified.
a. DOE Top Secret approvals shall be specifically certified in the event
access to Top Secret information is required.
b. A DOE F 5631.20, "Request for Visit or Access Approval" shall be
forwarded directly to the military or civilian official with
jurisdiction over the information to which access is desired.
c. Any exchange of Restricted Data occurring during the course of the
visit shall be accomplished as stated in paragraph 7 below.
6. REQUIREMENTS: RESTRICTED DATA VISITS BY NUCLEAR REGULATORY COMMISSION
a. Visits to DOE facilities by Nuclear Regulatory Commission employees,
consultants, contractors, or subcontractors who require access to
weapon data, sensitive nuclear materials production information,
atomic vapor laser isotope separation technology, or uranium
enrichment technology, or entry into a DOE classified weapon or
production facility shall:
(1) be arranged through the respective Headquarters Element that will
coordinate the visits;
(2) if to classified weapon or production facilities, have prior
approval of the Assistant Secretary for Defense Programs;
(3) have DOE F 5631.20 or the Nuclear Regulatory Commission
equivalent with necessary clearances certified by the Director of
Security, Nuclear Regulatory Commission.
b. Visits involving access to other Restricted Data not requiring prior
approval from the appropriate Headquarters official exercising
jurisdiction over the facility or office to be visited may be arranged
directly by Nuclear Regulatory Commission with the cognizant DOE
Element, provided this procedure does not conflict with the existing
visitor control procedures of the division or office having program
responsibility. A DOE F 5631.20 or Nuclear Regulatory Commission
equivalent is required.
c. The Nuclear Regulatory Commission identification badge shall not be
used as authority for visits in lieu of the aforementioned specific
visit approval arrangements.
7. REQUIREMENTS: RESTRICTED DATA VISITS BY DEPARTMENT OF DEFENSE AND
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION EMPLOYEES.
a. Access to Restricted Data is contingent upon submission of a DOE F
5631.20, National Aeronautics and Space Administration Form-405,
"Request for Access Approval," or a memorandum or electronic message
signed by or in the name of the certifying official. The request
shall be forwarded for approval or other action to the DOE official
with jurisdiction over the information to which access is desired.
b. The request for access shall include the following:
(1) Name(s) of person(s) and organization represented (if not Armed
Forces, relationship to the Department of Defense or National
Aeronautics and Space Administration).
(2) Facility and information to which access is desired. Access to
critical nuclear weapon design information must be specified when
it is required.
(3) The security clearance or access authorization status of each
person, including clearance date.
(4) Purpose of visit and certification that the person needs the
access in the performance of duty.
(5) Anticipated date of visit and names of persons to be visited, as
appropriate. (If a conference is involved, the date, place, and
sponsor of the conference shall be specified.)
(6) Citizenship, date of birth, and social security number.
(7) For requests from National Aeronautics and Space Administration,
a certification that the matter to which access is desired
relates to "aeronautical and space activities."
c. The approving official must possess or have been delegated the
authority to approve such access.
d. Control of access by members of the Armed Services or by Department of
Defense or National Aeronautics and Space Administration personnel or
contractors to Restricted Data in the custody of another Federal
agency is the responsibility of the appropriate official or his/her
designee named in Chapter VIII, Attachment VIII-1.
e. Headquarters Elements shall retain for 3 years a copy of each visit
request they have approved. Separate records shall be maintained for
approvals of access under emergency conditions.
8. REQUIREMENTS: OTHER CLASSIFIED VISITS BY DEPARTMENT OF DEFENSE AND
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION EMPLOYEES .
a. Requests for such visits to DOE and contractor and subcontractor
facilities are approved by Heads of Field Elements or, in the case of
Headquarters Elements, by the head of the element concerned after
ensuring that such visitor possesses appropriate military or National
Aeronautics and Space Administration security clearance and requires
the information in the performance of his/her duties.
b. Certification of security clearance may be made by memorandum,
electronic message, DOE F 5631.20, or National Aeronautics and Space
Administration Form 405.
9. REQUIREMENTS: CLASSIFIED VISITS BY EMPLOYEES OF OTHER FEDERAL AGENCIES.
a. Requests for visits to DOE facilities by employees, contractors, or
subcontractors of Federal agencies other than the Department of
Defense, National Aeronautics and Space Administration, or Nuclear
Regulatory Commission are approved by the Field Elements or, for
Headquarters, by the organization concerned.
b. Restricted Data may not be exchanged with persons in this category
unless they possess appropriate DOE access authorization.
c. Classified information other than Restricted Data may be exchanged
with such individuals if they possess Q or L access authorizations or
security clearances under the provisions of Executive Order 10450,
"Security Requirements for Government Employment," and require the
information in the performance of their duties.
10. REQUIREMENTS: CONGRESSIONAL AND STATE CLASSIFIED VISITS.
a. Requests for visits to DOE, contractor, or subcontractor facilities by
members or employees of Congress or congressional committees and by
Governors or their staffs may be approved by Heads of DOE Elements
provided the following are established.
(1) The visitors' identities.
(2) Access authorization or security clearance.
b. The Assistant Secretary for Congressional and Intergovernmental
Affairs shall be advised of requests and action taken on the requests
for such visits.
11. REQUIREMENTS: EMERGENCY VISITS TO CLASSIFIED AREAS AND FACILITIES.
a. In an emergency, requests for visit approval may be made by telephone
or electronic message.
b. Telephonic requests must be confirmed by memorandum or electronic
12. REQUIREMENTS: CLASSIFIED VISITS BY FOREIGN NATIONALS TO DOE FACILITIES.
Classified visits by foreign nationals sponsored by a foreign government
shall be arranged as follows.
a. If the visit is in connection with the military application of atomic
energy under sections 144b and c(1) and 91c(1) or (4) of the Atomic
Energy Act of 1954, as amended, the Assistant Secretary for Defense
Programs shall make all arrangements for the visit, including
appropriate approvals and security assurances.
b. If the visit is to the Office of Declassification in connection with
the information classification program under DOE 5650.2B, the Director
of Declassification shall make arrangements for the visit, including
appropriate approvals and security assurances.
c. If the visit is not in connection with programs covered in the above
paragraphs, the Deputy Assistant Secretary for International Energy
Policy shall arrange for the visit in concert with the appropriate
Headquarters staff other than those listed above, and shall coordinate
with the Director of Safeguards and Security for the necessary
d. If the visit will include discussions on naval nuclear propulsion
matters, the Director of Naval Reactors shall be informed and review
the visit for approval. The Director of Safeguards and Security may
be requested to obtain the necessary security assurances.
e. Security assurances received under the above paragraphs shall be
retained for 5 years.
13. CONTACT. Comments and inquiries on this chapter may be directed to the
Personnel Security Policy Program Manager at (301) 903-3200.
ACCESS TO RESTRICTED DATA
IN POSSESSION OF OTHER FEDERAL AGENCIES
The following Federal officials are authorized to permit their Federal and
contractor employees possessing DOE access authorizations to grant access to
Restricted Data in their possession to members of the Armed Forces and
Department of Defense and National Aeronautics and Space Administration
employees and their contractors, in accordance with section 143 of the Atomic
Energy Act of 1954, as amended, and subsection 304(b) of the National
Aeronautics and Space Act of 1958.
The Assistant to the President
Director, Office of Management and Budget
Executive Secretary, National Security Council
Director, Central Intelligence Agency
Director, Federal Emergency Management Agency
Secretary of State
Secretary of the Treasury
Attorney General of the United States
Secretary of the Interior
Secretary of Agriculture
Secretary of Commerce
Secretary of Labor
Secretary of Health and Human Services
Secretary of Transportation
Secretary of Education
Chairman, Federal Communications Commission
Administrator, Agency for International Development
President, National Academy of Sciences and National Research Council
Director, National Science Foundation
Chairman, Tennessee Valley Authority
Director, United States Information Agency
Comptroller General of the United States
1. POLICY/OBJECTIVES. To ensure proper levels of protection consistent with
Departmental standards to prevent unacceptable, adverse impact on national
security or on the health and safety of DOE and contract employees, the
public, or the environment are afforded safeguards and security
activities. The adequacy of safeguards and security measures shall be
validated through various means, such as:
a. surveys conducted by the DOE Surveying Office prior to initiation of
safeguards and security activities and periodically thereafter;
b. periodic facility self-assessments;
c. program reviews by Facility Survey Operations Managers and other
appropriate Departmental Elements; and
d. inspections and assessments by the Deputy Assistant Secretary for
Independent Oversight and Appraisals.
2. APPLICABILITY. The Survey Program applies to all facilities that are
eligible to have access to, use, store, or transmit nuclear and other
hazardous material presenting a potential radiological or toxicological
sabotage threat and/or classified information, that require access
authorizations, or that possess over $5,000,000 of DOE property, exclusive
of facilities and land values.
3. TYPES OF SURVEYS.
a. Initial. A comprehensive survey conducted at the facility before
b. Periodic. A comprehensive survey conducted at the facility at
c. Special. A survey conducted at the facility for a specific, limited
purpose such as for a technical security reason (i.e., Technical
Surveillance Countermeasures surveys or services), a detailed review
of a problem area, an unannounced survey, shipment of nuclear
materials or classified material, or change in the contractor
operating a government-owned facility. Shipments between sites by
rail, truck, air, or ship are subject to survey unless the shipment is
made via commercial carrier licensed by the Nuclear Regulatory
d. Termination. A survey of a facility conducted when all safeguards and
security activities have been removed, access authorizations
terminated, and close out of required records accomplished, to ensure
proper disposition of classified matter and nuclear and other
hazardous material presenting a potential radiological or
toxicological sabotage threat. Termination of facility clearances for
facilities possessing Top Secret matter or special nuclear material
require an onsite termination survey. For other facilities,
termination may be by onsite survey or correspondence.
4. SCOPE OF SURVEYS.
a. Compliance. The compliance segment of a facility survey reflects the
status of a facility's safeguards and security system as measured
against implementation of applicable Federal statutes, regulations,
policy, and approved safeguards and security plans.
b. Performance. The performance segment of a facility survey reflects
the degree to which the elements of the safeguards and security system
meet protection objectives based upon operational testing of the
c. Comprehensive. Comprehensive surveys cover the protection afforded
safeguards and security activities and interests within a facility,
including an evaluation of the adequacy and effectiveness of
safeguards and security programs and a thorough examination of
policies and procedures to ensure compliance and performance. All
applicable topical areas, identified on DOE F 5634.1, "Safeguards and
Security Survey Report," must be surveyed, except as identified in
d. Other. The scope of special and termination surveys shall be
determined by coordination between the Lead Responsible Office and the
Surveying Office. The basis for scope determinations shall be
established by the nature or status of operations at the facility,
activity, or element being surveyed. These surveys need not cover all
topical areas identified on DOE F 5634.1.
5. REQUIREMENTS: FREQUENCY OF SURVEYS.
a. Initial surveys are not required for non-possessing facilities.
Termination surveys of non-processing facilities are not required;
however, a review shall be conducted and documented to verify that
access authorizations have been terminated.
b. Periodic surveys shall be conducted in accordance with the following
(1) Facilities possessing classified matter or Category III or
greater nuclear and other hazardous material presenting a
potential radiological or toxicological sabotage threat shall be
surveyed once every 12 months.
(2) Facilities possessing property protection interests shall be
surveyed once every 24 months.
(3) Facilities that do not possess classified matter but do issue
access authorizations to employees to satisfy contractual
obligations shall be reviewed at least once every 5 years and not
necessarily through an on-site survey. The review shall validate
access authorizations and FOCI information.
(4) For facilities containing only Category IV nuclear materials as
defined in DOE 5633.3B, the materials control and accountability
topical area shall be surveyed at least once every 24 months. If
the total inventory consists entirely of source material, less
than 10 tons of heavy water, less than 350 grams of special
nuclear materials, or any combination of these, a survey of the
materials control and accountability topical area is not
c. The results of prior surveys may affect the scheduling frequency. An
extended survey schedule (up to 24 months) may be implemented by the
Surveying Office after consultation with the Lead Responsible Office
if the facility has:
(1) a facility security staff trained and knowledgeable in safeguards
and security requirements, as evidenced by past performance in
(2) an ongoing self-assessment program covering all survey topics and
sub-topics with the results reported to the Lead Responsible
(3) no significant deficiencies resulting from self-assessments or
surveys (including no less than a satisfactory rating at the
topic levels); and
(4) an approved site safeguards and security plan.
Schedules for facilities with Category I special nuclear materials may
be extended if all conditions above have been met.
d. Reviews, including inspections, conducted by Departmental Elements
other than the Surveying Office or other Government oversight offices,
may be used to meet survey requirements. Topics and subtopics on DOE
F 5634.1 that are not addressed during reviews must be surveyed by the
Surveying Office. When using reviews to meet the requirements of the
survey, the following guidelines shall be followed.
(1) The review must have been conducted within the surveyed period.
(2) Portions of the review used must be attached to the survey.
(3) Topics and subtopics not covered by the review must be surveyed.
(4) If ratings were not assigned, ratings must be assigned for those
reviews that are used. After the review is conducted, the
Surveying Office shall analyze the impact of any deficiencies and
e. Special surveys shall be conducted as determined by the Lead
6. REQUIREMENTS: SURVEY CONDUCT.
a. Survey Responsibility. The Lead Responsible Office must ensure
surveys are conducted. The responsibility for conducting surveys may
be transferred to another Surveying Office and documented on DOE F
5634.3. Secretarial Officers shall function as the Surveying Office
for those offices identified in Chapter I, paragraph 7, by ensuring
that periodic surveys are completed. Lead Responsible Offices for
facilities that ship nuclear materials are responsible for conducting
b. Survey Team Composition. Survey teams are composed of inspectors and
support service personnel. All survey teams shall be led by a Federal
employee. Team personnel for surveys shall possess qualifications,
experience, and training sufficient to accomplish effective and
thorough surveys. New inspectors must attend basic survey training.
c. Planning. The survey process and requirements shall be documented in
locally approved survey guidelines. Surveying Offices shall
coordinate planning with the Lead Responsible Office and other
organizations with registered safeguards and security activities.
d. Coordination of Surveys.
(1) Safeguards and security surveys should be conducted in an
integrated manner. If performed separately, the Surveying Office
shall document the responsibility for each survey activity and
coordinate submission of a single survey report that includes a
composite facility rating.
(2) Survey field activities conducted separately must be completed
within 30 working days of each other, except as identified in
paragraph 3c above.
e. Validation. To ensure accuracy, survey results shall be validated by
discussion, observations, or exercises during the survey period.
f. Closeout. A final closeout briefing shall be conducted with the
surveyed organization to present, at a minimum, the following items.
(1) Each finding.
(2) Topical ratings and the overall composite rating.
(3) Corrective action reporting requirements.
7. REQUIREMENTS: SURVEY REPORTS.
a. Report Content. Reports shall describe the conduct, results, and
evaluation of the safeguards and security program and shall include
the following minimum requirements.
(1) A completed DOE F 5634.1.
(2) An executive summary containing:
(a) a statement reflecting survey scope, period of coverage, and
survey methodologies used;
(b) a description of the facility, function, and scope of
(c) a discussion of major points that had, or might have, a
significant effect on the facility's safeguards and security
program, including strengths, weaknesses, and the
correlation of results from the survey; and
(d) the overall composite facility rating with supporting
(3) The report, which must include:
(a) a copy of the current DOE F 5634.3;
(b) identification of each active DOE F 5634.2 (or DD 254);
(c) a description of the facility's safeguards and security
program by topical area as identified on the DOE F 5634.1;
(d) the methodology used to evaluate the facility;
(e) a description of the function and scope of operations and
the protective measures employed (descriptions in safeguards
and security plans may be referenced when no changes have
(f) identification of all new findings;
(g) the status of corrective actions for all open findings and
status of all open and closed findings from the previous
(h) concluding analysis of each topical area; and
(i) a justification and rationale of the factors responsible for
the composite facility rating.
b. Termination Survey Reports. Termination survey reports shall include
the following minimum information/reported action.
(1) Verification of non-possession of classified matter or nuclear
and other hazardous material presenting a potential radiological
or toxicological sabotage threat.
(2) Verification that personnel access authorizations no longer
needed have been canceled and validation that termination
statements have been completed by affected employees.
(3) Verification of deletion of all safeguards and security
(4) Termination of facility clearance.
c. Distribution. Within 60 working days after final closeout of the
survey, the Surveying Office shall distribute the final survey report
to all Departmental Elements with a registered activity and to all
appropriate Headquarters Elements. For Departmental Elements or other
government agencies with limited safeguards and security activities,
survey results may be transmitted by memorandum.
8. REQUIREMENTS: RATING SYSTEM. The composite facility rating shall be based
on the effectiveness and adequacy of the safeguards and security at a
facility and reflect a balance of performance and compliance as determined
by the Surveying Office. Ratings are not assigned for termination
a. Types of Ratings.
(1) Satisfactory. The safeguards and security element being
evaluated meets protection objectives or provides plausible
assurance that protection needs are being met.
(2) Marginal. The safeguards and security element being evaluated
only partially meets protection objectives or provides
questionable assurance that protection needs are being met.
(3) Unsatisfactory. The safeguards and security element being
evaluated does not meet protection objectives or does not provide
adequate assurance that protection needs are being met.
b. Basis for Ratings.
(1) Ratings are based on conditions existing at the end of survey
activities. Ratings shall not be based upon future or planned
(2) If corrective actions are taken before assignment of the survey
rating at closeout, the final rating shall reflect validated
corrective actions only.
(3) Marginal or unsatisfactory ratings in any topical area shall be
based on validated weaknesses in the safeguards and security
system or deficiencies in performance in an operational area.
Failure to comply with procedural documentation requirements, of
and by itself, shall not normally be the basis for a reduction in
c. Use of Marginal Ratings. A facility composite rating or topical area
rating shall not be marginal for consecutive survey periods unless one
of the following conditions apply.
(1) The previous survey that resulted in a marginal rating identified
different deficiencies and reasons for the rating.
(2) The deficiencies and reasons that were the basis for the previous
marginal rating were related to the completion of a major
line-item construction project or upgrade program. In that case,
acceptable interim measures must have been implemented and
physically validated pending completion of the project. These
interim measures and milestones for construction completion shall
be documented in the survey report.
(3) If neither of the above conditions apply, an unsatisfactory
rating shall be assigned.
d. Survey Report. Ratings shall be based on the impact of deficiencies.
All ratings must be stated and justified in the survey report.
9. REPORTING REQUIREMENTS: MARGINAL AND UNSATISFACTORY COMPOSITE RATINGS.
Reporting requirements identified below are initiated by the final close-
a. Marginal. Within 15 working days following a survey closeout that
results in an overall composite rating of marginal, the Lead
Responsible Office shall notify the Office of Safeguards and Security,
and the applicable Departmental Elements. Notification shall contain
(1) Identification of the facility (including both the facility code
and reporting identification symbol - if applicable).
(2) A list of findings describing the deficiencies.
(3) A description of corrective actions taken to date or planned with
(4) A justification statement addressing the overall composite rating
and status of the safeguards and security program at the
(5) A statement identifying risks or vulnerabilities.
(6) A statement acknowledging physical validation of adequacy of
interim corrective actions taken to date.
(7) A statement outlining steps that shall lead to the upgrading of
the overall composite rating to satisfactory.
If the Surveying Office is not the same as the Lead Responsible
Office, the Surveying Office shall notify the Lead Responsible Office
of results and rating(s) within 72 hours of survey closeout. The Lead
Responsible Office shall then take corrective and notification actions
outlined in this chapter or authorize the Surveying Office to take
If the Surveying Office is unable to contact the Lead Responsible
Office and a serious threat exists or is imminent, the Surveying
Office shall take action to protect safeguards and security activities
until the Lead Responsible Office can be notified. Subsequent action
shall be taken on the basis of agreement between the two organizations
and shall be fully documented in the survey report.
b. Unsatisfactory. When a survey results in an overall composite rating
of unsatisfactory, the Operations Office Manager of the Lead
Responsible Office shall coordinate with Secretarial Officers and
other Heads of Operations Offices within 24 hours to:
(1) take action to suspend the activity and/or the facility clearance
pending remedial action or
(2) provide the rationale for continuing this critical operation to
the Office of Security Affairs, the Office of Safeguards and
Security, Secretarial Officers, and as directed, applicable
Operations Offices. In addition to providing the rationale, the
Lead Responsible Office must identify those immediate interim
corrective actions being undertaken to mitigate identified risks
If the Surveying Office is not the same as the Lead Responsible
Office, the Surveying Office shall notify the Lead Responsible
Office of the results and rating(s) within 8 hours of survey
If the Surveying Office is unable to contact the Lead Responsible
Office, action shall be taken to protect safeguards and security
activities until the Lead Responsible Office can be notified.
Subsequent action will be taken on the basis of agreement between
the two organizations and shall be fully documented in the survey
c. Change of Rating. When the Lead Responsible Office determines that
the composite survey rating shall be upgraded, the Lead Responsible
Office shall then notify the Office of Safeguards and Security and the
appropriate Secretarial Officer.
10. REQUIREMENTS: CORRECTIVE ACTIONS.
a. When a survey contains findings, the surveyed organization shall
submit a response identifying corrective action(s) for each finding to
the Responsible and Surveying Offices no later than 30 working days
after formal receipt of findings. The corrective action(s) should be
based on documented root cause analysis, risk assessment, and cost-
b. When a survey indicates a composite rating of satisfactory but
contains findings requiring corrective action, the Lead Responsible
Office shall enter the findings and status of corrective actions in
the Safeguards and Security Information Management System and
quarterly provide electronic status notification to the Office of
Safeguards and Security, the appropriate Secretarial Officers, and the
Surveying Office (if appropriate).
c. When a survey has a composite rating of marginal, the Lead Responsible
Office shall notify the Director, Office of Safeguards and Security,
the Surveying Office (if appropriate), and the applicable Operations
Office and Secretarial Officer(s) within 15 working days after
completion of the survey.
(1) The notification must address interim corrective actions taken,
or to be taken, to correct identified risks or vulnerabilities.
(2) If interim corrective actions are instituted, the Surveying
Office shall physically verify them for adequacy.
(3) If the Surveying Office is not the same as the Lead Responsible
Office, the Surveying Office shall promptly notify the Lead
Responsible Office of the rating. The Lead Responsible Office
shall then take appropriate corrective and notification actions
outlined above or authorize the Surveying Office to take those
(4) If the Surveying Office is unable to contact the Lead Responsible
Office and a serious threat exists or is imminent, the Surveying
Office shall take action to protect the safeguards and security
interest(s) until the Lead Responsible Office is notified.
Subsequent action shall be taken on the basis of agreement
between the two organizations.
d. When a survey has a composite rating of unsatisfactory, and the rating
indicates a significant vulnerability, such as unacceptable risk of
special nuclear material theft, radiological sabotage, toxicological
sabotage, or industrial sabotage or espionage, the Operations Office
Manager shall coordinate with the cognizant Program Secretarial
Officer 24 hours to:
(1) take action to shut down/suspend operation of the facility or
activity, pending remedial action or
(2) apprise the cognizant Secretarial Officer and the Office of
Safeguards and Security of the rationale for continuing this
critical operation and identify those immediate interim
corrective actions being undertaken to mitigate identified risks
For all other unsatisfactory ratings, the Operations Office Manager of
the Lead Responsible Office shall notify the cognizant Secretarial
Officer and the Office of Safeguards and Security within 15 working
days of interim corrective actions taken, or to be taken, to correct
identified risks or vulnerabilities.
e. When either a marginal or unsatisfactory composite rating is assigned,
the Lead Responsible Office shall provide to the Office of Safeguards
and Security and the applicable Operations Office and Secretarial
Officer(s) quarterly status reports on completed or planned corrective
actions (with associated milestone dates) until all have been
completed. When the Lead Responsible Office determines that the
composite survey rating should be upgraded to satisfactory, the
Surveying Office shall physically verify the completion and adequacy
of corrective actions. The Lead Responsible Office shall then notify
the Director, Office of Safeguards and Security, and the Cognizant
Secretarial Officer(s) that the rating should be upgraded.
f. A finding associated with a significant vulnerability shall not be
considered closed until associated corrective action has been
completed and the Office of Safeguards and Security and the
Secretarial Officer(s) are notified. A commitment by the facility to
institute corrective action does not constitute completion of that
11. CONTACT. Comments and inquiries regarding this chapter may be directed to
the Technical and Operations Security Program Manager at (301) 903-5217.
1. OBJECTIVE. A safeguards and security self-assessment program shall be
implemented to ensure internal monitoring of compliance and performance
with safeguards and security requirements.
2. APPLICABILITY. This program applies to Departmental and contractor
facilities for which a DOE F 5634.3 is recorded. The level of detail of
the self-assessment may be specified by the Lead Responsible Office.
a. Self-assessment programs shall be conducted and documented for all
approved facilities. The self-assessment program shall:
(1) include reviews of all applicable DOE F 5634.1 topical and
subtopical areas of the facility's safeguards and security
(2) be conducted between the periodic surveys conducted by the
Surveying Office; and
(3) be conducted using personnel knowledgeable of the programmatic or
b. Self-assessment reports shall:
(1) address reviewed topical areas;
(2) be used as organizational management tools/aids in determining
the status of safeguards and security performance and compliance
with applicable safeguards and security Order requirements;
(3) be available for review by the Surveying Office during surveys;
(4) list findings resulting from self-assessment activities.
c. Findings resulting from self-assessments shall be processed as
(1) Reviewed during the surveys by the Surveying Office.
(2) Addressed by facility/organization management through a
documented corrective action plan.
(3) Reviewed and the status of findings tracked until closed.
(4) Reported to the Lead Responsible Office if:
(a) a vulnerability to national security, classified
information, nuclear materials, or Departmental property
results, or may result, in a significant anomaly that could
have significant programmatic impact or embarrass the
(b) the self-assessment is used to extend the Surveying Office's
periodic survey frequency.
(5) Documented in survey reports when deficiencies still exist and
have not been adequately addressed.
4. CONTACT. Comments and inquiries regarding this chapter may be directed to
the Technical and Operations Security Program Manager at (301) 903-5217.