U.S. Department of Energy                                  ORDER
     Washington, D.C.                                   DOE 5631.1C


1.  PURPOSE.  To establish policies, responsibilities, and requirements for
    the implementation of a Safeguards and Security Awareness Program for
    the Department of Energy.

    PROGRAM, of 12-31-91.


    a.   General.  This Order applies to Departmental Elements responsible
         for the protection of classified matter and the safeguarding of
         special nuclear materials.

    b.   Application to Contracts.  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 (e.g. management and operating contractor, service
         support contractor, onsite contractor) is a seller of supplies or
         services that has been awarded a procurement contract or
         subcontract involving protection of classified matter or
         safeguarding of special nuclear materials.

    c.   Exclusions.  Departmental facilities and activities subject to
         regulation by the Nuclear Regulatory Commission are exempt from the
         requirements of this Order.

    d.   Deviations.  Deviations from requirements shall be processed
         according to DOE 5630.11A, SAFEGUARDS AND SECURITY PROGRAM.

4.  REFERENCES.  See Attachment 1.


    a.   The formulation and maintenance of a structured safeguards and
         security awareness program is required for all Departmental
         elements and contractors.

    b.   As a condition of access to DOE security areas or classified
         information, all DOE and DOE contractor employees shall attend
         briefings as required by this Order.  Failure of an individual to
         attend specified briefing(s) shall be grounds for denial of access
         to classified information and security areas.

    c.   Safeguards and security awareness programs shall include, but are
         not limited to the following:  initial, comprehensive, refresher,
         and termination briefings.


    a.   Director of Security Affairs.  Approves the policy and requirements
         for regulating the Safeguards and Security Awareness Program.

    b.   Director of Declassification.  Provides safeguards and security
         awareness  materials to Headquarters and Field element Security
         Awareness Coordinators on classification requirements.

    c.   Director Safeguards and Security shall:

         (1)  Develop policies, objectives, standards and guidelines for the
              Safeguards and Security Awareness Program.

         (2)  Maintain oversight of the implementation of the Safeguards and
              Security Awareness Program throughout DOE (including

         (3)  Provide safeguards and security awareness materials to
              Headquarters and field Security Education Coordinators, as

         (4)  Plan and present safeguards and security awareness workshops
              for Safeguards and Security Awareness Coordinators and other
              employees having safeguards and security awareness

         (5)  Coordinate with the Director of Declassification to assure
              that classification requirements are appropriately covered in
              safeguards and security awareness briefings.

         (6)  Appoint a security representative to serve as a DOE-wide
              Safeguards and Security Awareness Program manager.

         (7)  Appoint a Headquarters Safeguards and Security Awareness
              Coordinator who will coordinate and provide oversight of the
              headquarters safeguards and security awareness program.  The
              Coordinator will provide safeguards and security awareness to
              DOE and DOE contractor employees located at Headquarters, in
              coordination with safeguards and security awareness points of

    d.   Heads of Headquarters Elements shall:

         (1)  Ensure that office management and supervisory personnel
              support the safeguards and security awareness point of contact
              identified in Paragraph 6d(3) below.

         (2)  Ensure, as appropriate, through security surveys and oversight
              activities that Departmental elements and contractors
              establish and maintain safeguards and security awareness
              programs in compliance with this Order.

         (3)  Appoint a safeguards and security awareness point of contact
              who will coordinate with the Director of Safeguards and
              Security to assist in identifying and scheduling participants
              in the safeguards and security awareness program and who will
              serve as liaison with the Headquarters Safeguards and Security
              Awareness Coordinator.

    e.   Heads of Field Elements shall:

         (1)  Ensure that support and resources are available as necessary
              to implement the provisions of this Order.

         (2)  Appoint a Safeguards and Security Awareness Coordinator who
              will be responsible for the implementation of the provisions
              of this Order.

    f.   Heads of Departmental Elements shall, in addition to the
         requirements provided in Paragraphs 6d and e, 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 assigned to the procurement request originator
         (the individual responsible for initiating a requirement on DOE F
         4200.33, "Procurement Request Authorization."

    g.   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 Headquarters
         or Field Element, shall bring to the attention of the cognizant
         contracting officer the following:  (1) each procurement requiring
         the application of the Directive, (2) requirements for flowdown of
         provisions of this Directive to any subcontract or sub-award, and
         (3) identification of the paragraphs or other portions of this
         Directive with which the awardee, or, if different, a sub-awardee,
         is to comply.

    h.   Contracting officers, based on advice received from the procurement
         request originator or other designated individuals, 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.

    i.   Director, Naval Nuclear Propulsion Program shall, in accordance
         with the responsibilities and authorities assigned by Executive
         Order 12344 (statutorily prescribed by 42 USC 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 the safeguards and security
         awareness program for facilities and activities under the
         Director's cognizance.


    a.   A Safeguards and Security Awareness Coordinator shall possess
         necessary knowledge and skills, such as:

         (1)  Knowledge of applicable DOE safeguards and security orders,
              rules, and regulations;

         (2)  Knowledge of applicable site(s) security orders, rules,
              procedures, and regulations;

         (3)  Knowledge of the demographics of the audience;

         (4)  Knowledge of the site(s) layout;

         (5)  Writing and editing skills;

         (6)  Presentation and speaking skills;

         (7)  Audiovisual preparation skills;

         (8)  Knowledge of recent espionage cases;

         (9)  Knowledge of approaches and recruitment techniques employed by
              hostile intelligence services;

         (10) Knowledge of security-related incidents and concerns; and

         (11) Knowledge of security threats and vulnerabilities.

    b.   Requisite knowledge and skills may be derived from an individual's
         past or current job experience, whether from DOE or DOE contractor
         organizations, other Federal agencies, or commercial sources.


    a.   Purpose.  Initial safeguards and security awareness briefings shall
         be developed and conducted to inform cleared and uncleared
         individuals who will have access to security areas, of local
         security procedures and access control requirements.

    b.   Scheduling.  Each individual shall receive the initial security
         briefing prior to assuming duties.  Initial and comprehensive
         briefings may, at the discretion of the facility, be conducted
         simultaneously.  Under such circumstances, the subject requirements
         shall be included as prescribed by both initial and comprehensive

    c.   Subjects.  Initial briefing subjects shall include, but are not
         limited to:

         (1)  General overview of program and function activities relative
              to the particular facility;

         (2)  General overview of DOE security programs, to include
              personnel security, information security, and physical

         (3)  Local access control procedures;

         (4)  Local escort requirements;

         (5)  Theft or misuse of Government property;

         (6)  Restrictions on the introduction of prohibited articles to DOE

         (7)  Substance abuse policies; and

         (8)  Hostile intelligence threat, foreign contacts, and travel to
              sensitive countries.

    d.   Target Population.  An initial security briefing is required for
         all individuals with access to security areas or security


    a.   Purpose.  The comprehensive briefing is designed to inform
         individuals who are granted a DOE security clearance (access
         authorization) of their security responsibilities.

    b.   Scheduling.  Prior to being granted access to classified
         information or special nuclear materials, an individual shall
         receive a comprehensive briefing.  Comprehensive briefings shall be
         scheduled with a frequency that ensures minimum delay in the
         granting of access.  Additionally, all individuals possessing a
         security clearance who are permanently transferred to another DOE
         facility, shall also receive a comprehensive briefing at the new

    c.   Subjects.  Comprehensive briefing subjects shall include, but are
         not limited to:

         (1)  Authority for DOE classified information programs;

         (2)  Definitions of the categories of classified information;

         (3)  Definitions of the levels of sensitivity of classified

         (4)  General facts concerning classifying and declassifying

         (5)  Information on badge systems and clearance levels;

         (6)  Escorting procedures;

         (7)  Control, storage, marking, reproduction, transmittal and
              destruction of classified matter, including telecommunications
              and facsimile (FAX) transmissions; and

         (8)  Notification to the appropriate security officials of any of
              the following:

              (a)  Illegal or unauthorized access being sought to classified
                   or sensitive information, technology, or special nuclear
                   materials; or the individual's belief that he or she may
                   be the target of attempted exploitation.

              (b)  Any unofficial contact with organizations or individuals
                   from sensitive countries.

              (c)  Actual or imminent security incidents, such as the
                   compromise of classified information, acts of sabotage or
                   terrorism, or approaches or contacts by hostile
                   intelligence organizations.

              (d)  Marriage or name change subsequent to being granted an
                   access authorization.

              (e)  Arrests, charges (including dismissals) or detention by
                   Federal, State, or other law enforcement authorities, for
                   any Federal law, State law, county or municipal law,
                   regulation or ordinance (including traffic violations for
                   which a fine of  more than $250 was imposed).

         (9)  Legal and administrative sanctions imposed for infractions and
              violations of security regulations and criteria.

         (10) Intelligence services targeting and recruitment methods.

         (11) Security systems requirements.

         (12) General facts about the protection of special nuclear
              materials (SNM).

    d.   Target Population.  All individuals shall be provided a
         comprehensive briefing upon receipt of a security clearance and
         prior to access to classified information or special nuclear

    e.   Documentation.  As a condition of access, all individuals
         possessing a security clearance, shall complete Standard Form 312
         (SF-312), "Classified Information Nondisclosure Agreement".  The
         completed SF-312 satisfies documentation requirements contained on
         page 6 in paragraph 12.  Failure of an individual to execute the SF
         312 shall be grounds for denial of access to classified matter.


    a.   Purpose.  The refresher security briefing is intended to reinforce
         information on security policy and information relating to security
         responsibilities for individuals who possess DOE access

    b.   Scheduling.  Refresher briefings are mandatory for all individuals
         possessing active DOE access authorizations.

         (1)  Annual refresher briefings shall normally be conducted each
              calendar year at approximately 12-month intervals.

         (2)  Responsible security offices shall coordinate attendance at
              refresher briefings with security or administrative
              representatives of organizational elements within the scope of
              their security authority.

    c.   Subjects.  Refresher briefing subjects may be similar but
         not limited to those listed for the comprehensive briefing and may
         include the following examples:

         (1)  The insider threat;

         (2)  The hostile intelligence threat;

         (3)  Need-to-know;

         (4)  Document control procedures;

         (5)  DOE policy on substance or illegal drug use;

         (6)  Contact with persons or organizations from sensitive

         (7)  Travel to sensitive countries; and

         (8)  Trustworthiness, honesty, and emotional or mental illness.

    d.   Target Population.  All individuals possessing DOE access
         authorizations shall be provided annual refresher briefings.


    a.   Purpose.  The termination briefing is designed to remind
         individuals of their continuing security responsibilities when
         their access authorizations are terminated.

    b.   Scheduling.  Termination briefings shall be given either on the
         last day of employment, the last day the person possesses a
         security clearance, or when the person no longer requires access to
         classified matter, whichever is sooner.

    c.   Subjects.  Individuals whose clearance is being terminated shall be
         informed of:

         (1)  The items contained in the termination statement on the
              ongoing need to protect sensitive and classified information,

         (2)  The subjects as contained in the nondisclosure agreement

         (3)  The penalties for unauthorized disclosure of classified

    d.   Target Population.  Any individual whose security clearance is
         being terminated.

    e.   Documentation.  The completion of DOE F 5631.29, "Security
         Termination Statement," satisfies the documentation requirements
         contained in paragraph 12 below.


    a.   Security briefing attendance records shall be maintained for all
         cleared individuals.  Recordkeeping systems shall be capable of
         providing an audit trail which clearly verifies the individual's

    b.   In recurring requirements, such as refresher briefings, records
         shall be maintained until the next occurrence of the briefing.

13. ASSISTANCE.  Questions pertaining to this Order should be directed to
    Lynn Gebrowsky, Personnel Security Policy, Procedures/Analysis Branch,


                                  ARCHER L. DURHAM
                                  Assistant Secretary for
                                  Human Resources and Administration

REFERENCES 1. Atomic Energy Act of 1954, as amended, Section 161, "General Provisions," which establishes policy for the protection and use of special nuclear materials and the protection of Restricted Data. 2. Title 10 CFR 710, Criteria and Procedures for Determining Eligibility for Access to Classified Matter or Significant Quantities of Special Nuclear Material, which is used in those cases in which there are questions of eligibility for DOE access. 3. Title 10 CFR 725, Permits for Access to Restricted Data, which establishes procedures and standards for the issuance of such permits. 4. Executive Order 12356, "National Security Information," of 8-1-82, which establishes the responsibility of Federal agencies to implement security education programs. 5. Information Security Oversight Office Directive Number 1, National Security Information, of 8-1-82, which implements Executive Order 12356. 6. Presidential Decision Directive/NSC-12, "Security Awareness and Reporting of Foreign Contacts," of 8-5-93, which establishes the responsibility for maintaining a formalized security awareness program and to assure the reporting of hostile contacts. 7. National Security Decision Directive 84, "Safeguarding National Security Information," of 3-11-83, which establishes the responsibility for each agency of the executive branch to ensure that all persons are required to sign a classified information nondisclosure agreement as a condition of access to classified matter. 8. DOE 1240.2B, UNCLASSIFIED VISITS AND ASSIGNMENTS BY FOREIGN NATIONALS, of 8-21-92, which establishes DOE authorities, responsibilities, and policies and prescribes administrative procedures for visits and assignments by foreign nationals to DOE facilities for purposes involving unclassified matter. 9. DOE 1324.2A, RECORDS DISPOSITION, of 9-13-88, which prescribes policies, procedures, standards, and guidelines for the orderly disposition of records of the DOE and its contractors. 10. DOE 1500.3, FOREIGN TRAVEL AUTHORIZATION, of 11-10-86, which establishes policy and procedures governing official and unofficial foreign travel. 11. DOE 5630.11A, SAFEGUARDS AND SECURITY PROGRAM, of 12-7-92, which establishes the policy and responsibilities for the Department of Energy safeguards and security program. 12. DOE 5630.13A, MASTER SAFEGUARDS AND SECURITY AGREEMENTS, of 6-8-92, which establishes the DOE policy, requirements, responsibilities, and authorities for the development and implementation of Master Safeguards and Security Agreements (MSSAs). 13. DOE 5631.2C, PERSONNEL SECURITY PROGRAM, of 9-15-92, which establishes the policy, responsibilities, and authorities for implementing the DOE personnel security program. 14. DOE 5631.4A, CONTROL OF CLASSIFIED VISITS, of 7-8-92, which prescribes DOE standards and procedures for controlling visitors to DOE, DOE contractor, subcontractor, and access permittee facilities. 15. DOE 5639.3, VIOLATION OF LAWS, LOSSES, AND INCIDENTS OF SECURITY CONCERN, of 9-15-92, which sets forth DOE procedures to assure timely and effective action relating to violations of criminal laws, losses, and incidents of security concern to DOE. 16. DOE 5632.5, PHYSICAL PROTECTION OF CLASSIFIED MATTER, of 2-3-88, which establishes policy and objectives for the physical protection of classified matter and establishes baseline physical protection requirements and standards. 17. DOE 5632.6, PHYSICAL PROTECTION OF DOE PROPERTY AND UNCLASSIFIED FACILITIES, of 2-9-88, which establishes policy and procedures for the physical protection of DOE property and unclassified facilities and establishes baseline physical protection requirements and standards. 18. DOE 5632.9A, ISSUANCE, CONTROL AND USE OF BADGES, PASSES, AND CREDENTIALS, of 9-23-92, which establishes and prescribes DOE policies and procedures for the issuance, control, and use of badges, passes, and credentials. 19. DOE 5633.3A, CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS, of 2-12-93, which prescribes minimum requirements and procedures for control and accountability of nuclear materials. 20. DOE 5634.1B, FACILITY APPROVALS, SECURITY SURVEYS, AND NUCLEAR MATERIALS SURVEYS, of 9-15-92 which establishes requirements for granting facility approvals prior to permitting safeguards and security interests on the premises and the conduct of on-site security and/or nuclear material surveys of facilities with safeguards and security interests. 21. DOE 5635.1A, CONTROL OF CLASSIFIED DOCUMENTS AND INFORMATION, of 2-12-88, which provides uniform standards and operating procedures for safeguarding and controlling classified documents and information, to ensure that classified documents are furnished only to authorized persons, and to prevent loss or compromise of classified information. 22. DOE 5650.2B, IDENTIFICATION OF CLASSIFIED INFORMATION, of 12-31-91, which specifies responsibilities, authorities, policy, and procedures for the management of the DOE classification system. 23. DOE 5670.3, COUNTERINTELLIGENCE PROGRAM, of 9-4-92, which establishes requirements for the Counterintelligence Program, to include a foreign contacts and travel briefing/debriefing program.