INDEX


U.S. Department of Energy                                   ORDER
     Washington, D.C.                                    DOE 5630.15
                                                           8-21-92

SUBJECT:  SAFEGUARDS AND SECURITY TRAINING PROGRAM

1.   PURPOSE.  To establish procedures for standardizing and implementing
     the Department of Energy (DOE) Safeguards and Security Training Program
     for safeguards and security personnel, and to prescribe the policy,
     responsibilities, and authority for that training program.

2.   CANCELLATION.  DOE N 5630.2, SAFEGUARDS AND SECURITY TRAINING PROGRAM,
     of 12-31-91.

3.   APPLICATION TO CONTRACTS.  Except as excluded under paragraph 4, the
     provisions of this Order are to be applied to covered contractors and
     they will apply to the extent implemented under a contract or other
     agreement.  A covered contractor is a seller of supplies or services
     involving access to and protection of classified matter, nuclear
     materials or other safeguards and security interests under a
     procurement contract or subcontract.

4.   EXCLUSION.  DOE facilities and activities regulated by the Nuclear
     Regulatory Commission (NRC) are exempt from the requirements of this
     Order.  Office of Civilian Radioactive Waste Management (RW) personnel
     and activities not directly associated with the NRC licensed facilities
     and thus not covered by the NRC directives are subject to the
     provisions of this Order.

5.   REFERENCES.  Refer to Attachment 1.

6.   DEFINITIONS.  Refer to Attachment 2.

7.   POLICY AND OBJECTIVES.  DOE and DOE contractor personnel involved in
     DOE safeguards and security programs and activities shall be trained to
     a level of proficiency and competence that provides high assurance that
     the safeguards and security programs of the Department shall be
     successful.  As a means to providing such assurance, the following key
     elements shall be an integral part of the Safeguards and Security
     Training Program:

     a.   Safeguards and security training methodology and courses shall be
          standardized throughout DOE.  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 training.

     b.   Safeguards and security training programs shall be based on the
          results of job analyses to document the review and codification of
          major tasks and skill requirements identified as a result of those
          analyses.

     c.   Knowledge and performance-based testing shall apply to all
          required training to measure the skills acquired from the training
          programs developed.

     d.   For specialized skill requirements, such as armorers, personnel
          security specialists, nuclear materials custodians, and technical
          security countermeasures technicians, performance testing will
          form the primary basis for certification.

     e.   A Training Approval Program shall be developed and implemented to
          assure that safeguards and security training conducted at DOE
          facilities other than the Safeguards and Security Central Training
          Academy (CTA) meet established standards in course content and
          presentation, utilize DOE certified instructors, and have
          available facilities and equipment to perform such training.

     f.   Employees, including minorities, women, and persons with
          disabilities, shall be provided reasonable opportunities for
          career development consistent with existing or anticipated work
          force needs.

     g.   The provisions of this Order shall be fully implemented within 3
          years after the date of this Order.

8.   RESPONSIBILITIES AND AUTHORITIES.

     a.   Secretarial Officers shall:

          (1)  Provide resources for and assure implementation of effective
               safeguards and security training programs in support of
               Departmental Elements under their individual cognizance.

          (2)  Require covered DOE contractors to:

               (a)  Develop, implement, and manage a comprehensive
                    safeguards and security training program in accordance
                    with provisions of this Order except paragraph 8.

               (b)  Provide annual training needs assessments for
                    CTA-conducted and other Federal agency-conducted
                    safeguards and security courses to their cognizant DOE
                    Field Office or Departmental Element.

               (c)  Develop provisions for the sharing of training
                    technology, facilities, and resources with other DOE
                    Elements and contractors in accordance with this Order.

               (d)  Implement and provide updated information to support the
                    development and maintenance of a standardized DOE
                    safeguards and security training records management
                    system.

               (e)  Appoint an individual to serve as the primary
                    point-of-contact for safeguards and security training
                    programs.

     b.   Director of Administration and Human Resource Management (AD-1)
          shall oversee the development of training policies and their
          implementation.

     c.   Director of Professional and Technical Training and Development
          (AD-70) shall:

          (1)  Serve as liaison with the Office of Personnel Management on
               Departmental training matters.

          (2)  Develop and promulgate Departmentwide policies, standards,
               procedures, guidelines, and records and reporting
               requirements concerning DOE employee development and
               training.

          (3)  Provide advice, guidance, information, and staff assistance
               regarding employee development and training to DOE
               organizations, managers, supervisors, and employees.

          (4)  When necessary, enter into agreements with other Government
               agencies to use their training programs and facilities and to
               extend to other agencies the programs and facilities of DOE.

          (5)  Audit and evaluate training programs and activities conducted
               by component organizations throughout DOE focusing especially
               on needs assessment, relevancy of training, and training
               evaluation.

          (6)  Be responsible for development of Departmental policies,
               standards, and guidance to accomplish a Departmentwide
               program of professional and technical training and
               professional development to meet the Department's needs for a
               technically proficient staff and management for technology
               based activities.

          (7)  Identify specific professional and technical training and
               retraining requirements, conduct cost-benefit analyses of
               training and development options, and establish facilities
               and/or arrange special programs to meet training needs of
               technically-proficient professionals.

          (8)  Develop and maintain information systems, for mission
               accomplishment, to correlate such data as potential
               retirement plans, skills needs, staff skills inventory, and
               budget data for their impact on future planning and program
               level-of-effort.

          (9)  Coordinate with and provide assistance to the Director of
               Safeguards and Security in assuring that safeguards and
               security training is in accordance with Department and
               Government policy.

          (10) Develop and issue audit and evaluation program standards and
               requirements.

     d.   Director of Security Affairs (SA-1) provides management direction
          and coordination in the development, implementation, and oversight
          of the comprehensive Departmental safeguards and security training
          program.

     e.   Director of Safeguards and Security (SA-10) shall:

          (1)  Develop and issue policy and guidance for safeguards and
               security training programs and coordinate with AD-70 to
               assure conformance with Departmental training policy.

          (2)  Assure the development, conduct, and management of uniform
               and effective safeguards and security training.

          (3)  Provide and manage personnel and budget resources for a
               standardized safeguards and security training program at the
               Safeguards and Security Central Training Academy.

          (4)  Assure that a safeguards and security Training Approval
               Program is developed, implemented and administered.

          (5)  Conduct annual reviews of safeguards and security training
               programs DOE-wide and report findings as part of the Annual
               Report to the Secretary on the Status of Safeguards and
               Security within the DOE.

          (6)  Serve as approving authority for certifying that local
               safeguards and security training programs meet Departmental
               standards.

          (7)  Establish policy working groups to assist in the policy
               development and refinement process.

     f.   Director of Safeguards and Security Central Training Academy
          shall:

          (1)  Develop safeguards and security related training based on the
               direction and guidance provided by SA-10.

          (2)  Standardize safeguards and security training to include a
               training records management system for training
               documentation.

          (3)  Develop and maintain effective training facilities and
               operations.

          (4)  Ensure effective interface with the Office of Security
               Evaluations (EH-4), DOE Field Offices, Headquarters Elements,
               and contractor training personnel.

          (5)  Develop and maintain a DOE Safeguards and Security Training
               Resource Center for dissemination of training related
               information.

          (6)  Implement and maintain a field assistance capability to
               support Headquarters, DOE Field Office, and DOE contractor
               training for all safeguards and security activities.

          (7)  Develop and implement a safeguards and security training
               certification and Training Approval Program.

          (8)  Maintain a professional relationship with other Federal
               training agencies, to include the Federal Bureau of
               Investigation, Federal Law Enforcement Training Center, and
               various Department of Defense training centers.

          (9)  Coordinate utilization of the safeguards and security
               training resources throughout DOE to support safeguards and
               security training DOE-wide including the Transportation
               Safeguards Training Center, national laboratories, and the
               various training centers throughout DOE which support
               safeguards and security training objectives.

          (10) Establish and chair a safeguards and security Training
               Advisory Committee (TAC).

          (11) Establish and coordinate Training Working Groups, as
               required, to evaluate and recommend specific training and
               guidance.

          (12) Assess on an annual basis the status of training
               Departmentwide in each of the safeguards and security topical
               areas and provide the results to SA-10.

     g.   Director of Naval Nuclear Propulsion Program shall, in accordance
          with the responsibilities and authorities assigned by Executive
          Order 12344 (statutorily prescribed by Public Law 98-525 (42
          U.S.C. 7158, note)) and to ensure consistency throughout the joint
          Navy/DOE organization of the Naval Nuclear Propulsion Program,
          implement and oversee all policy and practices pertaining to this
          DOE Order for activities under the Director's cognizance.

     h.   Heads of Field Elements shall:

          (1)  Develop and issue specific guidance for implementation of
               this Order.

          (2)  Assure DOE site-specific safeguards and security training
               programs are developed, conducted, certified, and managed in
               accordance with this Order.

          (3)  Review training programs under their cognizance to assure
               that all safeguards and security training is maintained at
               acceptable levels.

          (4)  Appoint an individual to serve as the primary
               point-of-contact for the safeguards and security training
               programs under the cognizance of that DOE Field Element.

          (5)  Assess annually the status of training in each of the
               safeguards and security topical areas applicable to their
               programs.

          (6)  Implement a standardized DOE safeguards and security training
               records management system and provide updated information to
               the Safeguards and Security Central Training Academy and
               other Departmental Elements to support the development and
               maintenance of that system.

          (7)  Designate an individual(s) to be responsible for bringing to
               the attention of the contracting officer 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").

          (8)  Assist contractors in utilizing the training resources of the
               Office of Personnel Management and other Federal agencies,
               and to the extent practical, encourage contractors to make
               contractor safeguards and security training programs
               available to Federal employees.

          (9)  Require covered DOE contractors to:

               (a)  Develop, implement, and manage a comprehensive
                    safeguards and security training program in accordance
                    with provisions of this Order except paragraph 8.

               (b)  Provide annual training needs assessments for
                    CTA-conducted and other Federal agency-conducted
                    safeguards and security courses to their cognizant DOE
                    Field Office or Departmental Element.

               (c)  Develop provisions for the sharing of training
                    technology, facilities, and resources with other DOE
                    Elements and contractors in accordance with this Order.

               (d)  Implement and provide updated information to support the
                    development and maintenance of a standardized DOE
                    safeguards and security training records management
                    system.

               (e)  Appoint an individual to serve as the primary
                    point-of-contact for the safeguards and security
                    training programs.

     i.   Procurement Request Originators (the individuals responsible for
          initiating a requirement on DOE F 4200.33) or such other
          individual(s) as designated by the cognizant Head of Departmental
          Element shall bring to the attention of the cognizant contracting
          officer the following:  (1) each procurement requiring the
          application of this Order, (2) requirements for flowdown of
          provisions of this Order to any subcontract or subaward, and (3)
          identification of the paragraphs or other portion of this Order
          with which the awardee, or, if different, a subawardee, is to
          comply.

     j.   Contracting Officers, based on advice received from the
          procurement request originator or other designated individual,
          shall apply applicable provisions of this Order to awards falling
          within its scope.  For awards, other than management and operating
          contracts, this shall be by incorporation or reference using
          explicit language in a contractual action, usually bilateral.

9.   CONCEPT OF OPERATIONS.

     a.   The Safeguards and Security Training Program shall encompass
          training in the following topical areas:

          (1)  Safeguards and Security Program Planning and Management.

          (2)  Protection Program Operations, including Physical Security,
               Security Systems and Protective Forces.

          (3)  Materials Control and Accountability.

          (4)  Information Security, including Computer Security, Technical
               Surveillance Countermeasures, Operations Security, and
               Classified Matter Protection and Control.

          (5)  Personnel Security.

          (6)  Facility Approvals and Surveys.

     b.   Safeguards and security training shall be provided to individuals
          to assure they are qualified to perform the assigned safeguards or
          security task or responsibility.  Initial and refresher training
          shall be tailored to develop the required knowledge and skills.

     c.   The Safeguards and Security Central Training Academy shall provide
          the focus for standardization of training in safeguards and
          security courses and programs.  This shall be accomplished through
          a program of training standardization, certification of key skill
          personnel, development of skills enhancement courses, and approval
          of facility training programs.

     d.   The Safeguards and Security Central Training Academy shall provide
          a state-of-the-art training facility and program adhering to the
          standards of this Order.  The CTA shall develop and provide
          standardized training programs courses for individual safeguards
          and security topical areas as set forth in paragraph 9a and make
          information associated with these training courses available to
          DOE organizations and DOE contractors for use in their training
          programs.  In conjunction with the development of standardized
          courses, the CTA shall also develop standardized procedures for
          testing individuals to assess proficiency, knowledge, and skills
          and make the associated information available to DOE organizations
          and DOE contractors.  Emphasis will be placed on providing
          training to Headquarters and Field Element instructors and
          instructor-candidates.

     e.   A Safeguards and Security draining Resource Center shall be
          maintained as a repository of current and historical reference
          materials to support all aspects of the training program.

     f.   The Director of CTA shall manage the Academy and shall assure the
          achievement of program objectives.  The Director shall ensure the
          establishment and maintenance of a professional CTA instructor
          cadre and shall institute procedures and controls for the
          effective and efficient utilization of these resources.

     g.   The Safeguards and Security Training Advisory Committee (TAC)
          shall review programs and training issues and provide
          authoritative advice and recommendations on training programs,
          courses, training requirements, and personnel qualifications as
          described in paragraph 10.

     h.   The Director of CTA shall be responsible for review of DOE and DOE
          contractor safeguards and security training programs to assess
          adherence to established quality standards in course content and
          presentation.  The Director of CTA shall provide recommendations
          to SA-10 for approving site training programs and courses which
          meet the established standards as described in paragraph 11.

     i.   Instructors of courses at the CTA shall be certified by the
          Director of CTA.  Such certifications remain valid so long as the
          individual fulfills all required refresher training.
          Certification requires a record review of qualifications and a
          recommendation by the individual responsible for the training
          program.  Instructors of courses provided by other DOE elements
          and DOE contractors shall be certified by the individual
          responsible for the DOE element or contractor training program.

     j.   Personnel performing safeguards and security duties at DOE and DOE
          contractor facilities shall receive training applicable to their
          assigned duties which has been reviewed by CTA and approved by
          SA-10 to ensure adherence to Departmental standards.

     k.   Development, review, and presentation of training courses for
          unique site-specific requirements shall be the responsibility of
          cognizant sites.

     l.   The CTA will develop and maintain a repository of information
          pertaining to relevant external sources of training and training
          materials, as well as data regarding needs which cannot be
          satisfied by Departmental resources.  For sensitive U.S.
          Government training available from sources outside of DOE,
          coordination will be made with the cognizant SA-10 representative.

     m.   The CTA, Headquarters and Field Elements, including contractors,
          shall implement a standardized training records management system
          as described in paragraph 12.

     n.   The CTA shall establish and maintain effective relationships with
          other Department and Agency training facilities and operational
          safeguards and security functions to further the objectives of
          providing effective and efficient training.

10.  TRAINING ADVISORY COMMITTEE.

     a.   The purpose of the TAC is to accomplish the following goals and
          objectives:

          (1)  Review, evaluate, and recommend specific subject areas and
               curriculum content required to establish standardized
               training.

          (2)  Recommend and assist in obtaining resources required to
               support the standardized training program.

          (3)  Review the implementation status of safeguards and security
               training policy and guidance.

          (4)  Provide annual review and validation of the CTA's operations,
               course schedule, course approval and certification
               procedures, and strategic plans.

     b.   The TAC shall be chaired by the Director of CTA.  The committee
          membership shall include two senior level officials from SA-10 and
          two senior officials from DOE Field Offices who are nominated by
          the chair and approved by SA-10.  In addition, there shall be 2
          technical advisors who shall be senior personnel from DOE
          contractor organizations.  Technical advisors shall be nominated
          by the chair and approved by SA-10. Membership and technical
          advisors shall be for a period of 2 years, or for a time period
          decided by SA-10.  The committee may establish subcommittees and
          working groups to address specific issues and problems.  Working
          groups will serve in an advisory capacity to the safeguards and
          security TAC regarding development, resource requirements, and
          implementation for standardized training, and to perform research
          on and analyses of pertinent training issues.  These working
          groups will operate in support of the CTA and provide feedback to
          other SA-10 directed Safeguards and Security Program Policy
          Working Groups in specific areas of overlapping interest.

     c.   The TAC shall meet at least semiannually and at the call of the
          chair.

11.  TRAINING APPROVAL PROGRAM.  Training approval is a process to formally
     recognize safeguards and security training programs and courses, other
     than CTA programs and courses, that have satisfied established
     objectives, standards, and criteria.  Safeguards and security training
     program objectives, standards and criteria shall be developed, refined
     and distributed to Headquarters and Field Elements with interests in
     safeguards and security training programs to facilitate development of
     training programs.  Site programs shall be examined by representatives
     of CTA on a recurring basis, but no less than every 3 years, to verify
     adherence to Departmental standards and objectives.

     a.   Initial and recurring reviews for training approval shall consist
          of a review of all aspects of local training programs to include
          such areas as program management and structure, course contents,
          training facilities, observation of course presentations for
          effectiveness, and evaluation of students.

     b.   Instructors shall be evaluated for knowledge in assigned training
          area and effectiveness in presenting assigned course materials.

     c.   Individuals will be tested to evaluate skills and knowledge
          achieved through course participation.

     d.   Training approvals shall remain valid for a period of 3 years.

12.  DOE SAFEGUARDS AND SECURITY TRAINING RECORDS MANAGEMENT SYSTEM.

     a.   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 applicable.
          Additional information regarding forms and the computerized
          Departmental Training Information System is provided in DOE
          3410.1B, TRAINING.

     b.   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 1324.2A, RECORDS DISPOSITION and
          General Records Schedules issued by the Archivist of the United
          States.

          (1)  Records of training provided at CTA shall be maintained at
               CTA and shall also be maintained in each individual's file at
               the Headquarters, DOE Field Office, Departmental Element, or
               contractor facility.

          (2)  Records of training provided at DOE Field Office facilities
               shall be maintained at the DOE Field Office and shall be
               provided to the organization sponsoring the individual for
               inclusion in the individual's record file.

          (3)  Records of training provided at contractor facilities shall
               be provided to and retained by the organization sponsoring
               the individual.

          (4)  Records of training provided at other Government or private
               facilities shall be secured and maintained by the
               organization sponsoring the individual.

BY ORDER OF THE SECRETARY OF ENERGY:



                                       DOLORES L. ROZZI
                                       Director of Administration
                                         and Human Resource Management




REFERENCES 1. DOE 1324.2A, RECORDS DISPOSITION, of 9-13-88, which assigns responsibilities and authorities and prescribes policies, procedures, standards, and guidelines for the orderly disposition of records of the DOE and its management and operating contractors. 2. DOE 1324.6, AUTOMATED OFFICE ELECTRONIC RECORDKEEPING, of 7-8-87, which provides requirements for managing electronic records: records created, stored, or transmitted using personal computers, word processors, and associated electronic office equipment. 3. DOE 3220.3A, HUMAN RESOURCE DEVELOPMENT FOR MANAGEMENT AND OPERATING CONTRACTORS, of 5-18-92, which prescribes policy, assigns responsibilities, and provides guidance for human resource development programs of management and operating contractors. 4. DOE 3410.1B, TRAINING, of 2-29-88, which prescribes policy, assigns responsibilities, and provides guidance and instructions for establishing, maintaining, monitoring, and evaluating DOE employee development and training programs and activities. 5. DOE 5630.11, SAFEGUARDS AND SECURITY PROGRAM, of 1-22-88, which establishes the policy and responsibilities for the DOE Safeguards and Security Program. 6. DOE 5632.7, PROTECTIVE FORCES, of 2-9-88, which prescribes policies and requirements for training protective forces charged with the protection of security interests at DOE facilities. 7. Title 5, United States Code (U.S.C.), section 4103, which provides authority for agencies to establish, operate, and maintain training programs. 8. Executive Order 11478 which provides that equal opportunity be an integral part of every aspect of personnel policy and practice in the employment, development, and advancement of civilian employees of the Federal Government. 9. Federal Personnel Manual (FPM), chapter 410, which contains policy, basic requirements, and guidance relating to the training of Federal employees. 10. General Records Schedules, General Records Schedules Transmittal No. 2, National Archives and Records Administration, 10-30-89, which provides information on records disposal.
DEFINITIONS 1. Certification. The verification that a standard of knowledge or skill level pertaining to a safeguards or security discipline has been demonstrated by testing. 2. Instructor. Any person assigned the task of instruction in a formal training program who has been certified by the Director of CTA, or by the individual responsible for the DOE element or contractor training program. 3. Performance-Based Training. A systematic approach to training which is based on tasks and the related knowledge and skills required for job performance. This term is synonymous with the Instructional System Design, Systematic Approach to Training, Criterion Referenced Instruction, Training System Design, and Competency-Based Training. 4. Qualification. The verification that a specific standard of knowledge or experience pertaining to a specified job or task has been demonstrated based on specific test requirements. 5. Training Approval Program. A Department of Energy (DOE), Office of Safeguards and Security, program to formally recognize safeguards and security training programs and courses conducted by an organization other than the Central Training Academy that have satisfied established objectives, standards, and criteria for a quality safeguards and security training program. NOTE: Other standardized safeguards and security terminology may be found in the "Safeguards and Security Definitions Guide" published and maintained by the Office of Safeguards and Security (SA-10).