U.S. Department of Energy ORDER
Washington, D.C. DOE 5632.1C
SUBJECT: PROTECTION AND CONTROL OF SAFEGUARDS AND SECURITY INTERESTS
1. PURPOSE. To establish:
a. Policy, responsibilities, and authorities for the protection and
control of safeguards and security interests (e.g., special nuclear
material, vital equipment, classified matter, property, facilities,
and unclassified irradiated reactor fuel in transit).
b. DOE M 5632.1C-1, MANUAL FOR PROTECTION AND CONTROL OF SAFEGUARDS
AND SECURITY INTERESTS, which provides supplementary requirements
for the protection and control of safeguards and security
a. DOE 5632.1B, PROTECTION PROGRAM OPERATIONS, of 9-8-92.
b. DOE 5632.2A, PHYSICAL PROTECTION OF SPECIAL NUCLEAR MATERIAL AND
VITAL EQUIPMENT, of 2-9-88.
c. DOE 5632.5, PHYSICAL PROTECTION OF CLASSIFIED MATTER, of 2-3-88.
d. DOE 5632.6, PHYSICAL PROTECTION OF DOE PROPERTY AND UNCLASSIFIED
FACILITIES, of 2-9-88.
e. DOE 5632.9A, ISSUANCE AND CONTROL OF SECURITY BADGES, CREDENTIALS,
AND SHIELDS, of 9-23-92.
f. DOE 5632.11, PHYSICAL PROTECTION OF UNCLASSIFIED IRRADIATED REACTOR
FUEL IN TRANSIT, of 9-15-92.
g. DOE 5635.1A, CONTROL OF CLASSIFIED DOCUMENTS AND INFORMATION, of
h. DOE 5635.2B, PROTECTION OF CLASSIFIED NATIONAL SECURITY COUNCIL
INFORMATION, of 4-19-85.
i. DOE 5635.3, HAND-CARRYING CLASSIFIED MATTER ON AIR CARRIERS, of
a. General. This Order applies to Departmental Elements responsible
for protection and control of safeguards and security interests.
b. Application to Contracts and Access Permittees. Except as excluded
in paragraph 3c below, the provisions of this Order are to be
applied to covered contractors and access permittees, 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 material, or other safeguards and security interests under
a procurement contract or subcontract. All paragraphs of this
Order may be applied to covered contractors except paragraph 6.
(1) Department of Energy (DOE) facilities and activities regulated
by the Nuclear Regulatory Commission are exempt from the
requirements of this Order.
(2) The provisions of this Order do not apply to DOE shipments
mandated by the Nuclear Waste Policy Act (NWPA), as amended,
and managed by the Office of Civilian Radioactive Waste
d. Deviations. Deviations (i.e., variances, waivers, and exceptions)
from the protection requirements prescribed by this Order and DOE M
5632.1C-1 shall be processed in accordance with DOE 5630.11A,
SAFEGUARDS AND SECURITY PROGRAM.
4. REFERENCES AND DEFINITIONS. Definitions of commonly-used terms are
provided in the "Safeguards and Security Definitions Guide," which is
maintained and distributed by the Office of Safeguards and Security.
See DOE M 5632.1C-1 for references.
a. Safeguards and security interests shall be protected and controlled
to preclude or minimize unauthorized access, unauthorized
disclosure, loss, destruction, modifications, theft, compromise, or
b. Protection and control shall be provided in a graded, cost-
effective fashion, in accordance with the potential risks to the
national security and/or the health and safety of DOE and
contractor employees, the public, and the environment.
c. Protection and control afforded safeguards and security interests
shall be based upon Design Basis Threat Policy issued by the
Director of Security Affairs, as well as local threats, and
consideration of emergency situations, including disasters.
d. The Department's shipments of unclassified irradiated reactor fuel
shall be protected from unauthorized access, sabotage, and other
e. Security badge systems employing a standard DOE format shall be
used at DOE and DOE contractor facilities and operations involving
access of 30 or more people to safeguards and security interests
and/or Security Areas. Less than 30 person operations shall only
be excepted from the security badge system requirement when the
nature of activities and involvements permit adherence to a
personal recognition system which provides similar high levels of
assurance that unauthorized persons will not be allowed access to
Security Areas, facilities, classified matter, or other security
f. Physical protection equipment shall not be used for the collection
of intelligence and shall not infringe on the rights of
g. Physical protection requirements established in this Order and DOE
M 5632.1C-1 shall take precedence over any conflicts or
discrepancies that may arise with physical protection requirements
set forth in DOE 6430.1A, GENERAL DESIGN CRITERIA.
h. Safeguards and security credentials and shields, which confer
various legal authorities to the bearer, shall be issued only to
DOE and DOE contractor employees for whom such issuance is deemed
essential in the performance of official duties.
6. RESPONSIBILITIES AND AUTHORITIES.
a. Heads of Departmental Elements, as appropriate, shall ensure
protection and control of safeguards and security interests.
(1) Provide protection and control in accordance with Departmental
(a) Ensure that contractors and their subcontractors execute
programs and policies that use appropriate safeguards and
security program elements.
(b) Ensure that Departmental and contractor employees receive
appropriate safeguards and security-related training and
are made aware of and understand their responsibilities
for protecting and controlling safeguards and security
(c) Inspect, test, and evaluate the programs, projects, and
facilities of subordinate activities to ensure
effectiveness and compliance with protection and control
(d) Approve the release of SECRET and CONFIDENTIAL
information within their programmatic area of
responsibility, originated by DOE and contractors, to
other Government agencies and their contractors, to
foreign governments, and to international organizations,
as deemed appropriate.
(e) Approve the distribution of classified scientific and
technical reports within their programmatic area of
(f) Ensure that physical security equipment is used only for
the intended purposes.
(g) Ensure the protection of other Federal agency's
classified matter with at least those precautions
prescribed for DOE information of the same
(h) Authorize, in writing, DOE and contractor employees and
other persons under their administrative jurisdiction to
carry classified matter outside facilities within the
(i) Send classified information containing Restricted Data
and/or Formerly Restricted Data that is to be provided to
foreign entities to the Deputy Assistant Secretary for
Military Application, who will channel the information to
the Joint Atomic Information Exchange Group (JAIEG) for
review prior to release.
(j) In coordination with field elements and the Director of
Transportation Management, provide program guidance and
support to responsible field elements on actions to be
taken to assure shipments of irradiated reactor fuel
under their programmatic jurisdiction are provided
physical protection according to this Order.
(k) Recommend to the Director of Security Affairs,
publication in the Federal Register, of property to be
designated for "No Trespassing" posting under section 229
of the Atomic Energy Act of 1954, as amended, or section
662 of the Department of Energy Organization Act. Ensure
that "No Trespassing" notices are posted.
(l) Ensure that upon completion of work under contract,
subcontract, or other agreement a review of classified
matter associated with that effort is accomplished to
reduce the volume of classified matter insofar as
practical and that proper authorizations, if applicable,
are obtained for the elimination or retention of such
(2) Provide appropriate resources to support the protection and
(3) Curtail or suspend operations, when continued operation would
result in an immediate and unacceptable risk to national
security and/or to the health and safety of DOE and contractor
employees, the public, and the environment.
b. Associate Deputy Secretary for Field Management shall:
(1) Have responsibility for strategic planning for all field
elements, and management coordination and oversight of the
multi-purpose Operations Offices as they impact the protection
and control program planning process.
(2) Ensure guidance and requirements for physical protection of
facilities is incorporated into DOE 6430.1A.
c. Director of Nonproliferation and National Security, in addition to
responsibilities in paragraph 6a, shall direct development and
coordination of Departmental policies, and procedures relating to
protection and control of safeguards and security interests.
(1) Ensure the implementation of Executive Order 12356 and its
(2) Determine whether furnishing classified information to foreign
governments will result in a net advantage to the national
security of the United States.
(3) Establish agreements for exchanging classified information
with foreign governments.
(4) Obtain security assurances for the proposed exchange of
classified information with foreign governments.
(5) Through the Director of Security Affairs shall:
(a) Establish policy for the protection and control of
safeguards and security interests.
(b) Support Heads of Departmental Elements, as appropriate,
to obtain resources to support protection and control
(c) Approve Departmental property for "No Trespassing"
posting, and authorize the publication of notices in the
Federal Register describing the properties and facilities
designated for "No Trespassing" posting.
(d) Through the Director of Safeguards and Security shall:
1 Develop directives, guides, and/or handbooks for the
protection and control of safeguards and security
2 Provide staff assistance to Departmental Elements,
as requested, for the implementation of protection
and control programs.
3 Conduct research and development in physical
protection technology and equipment, in concert with
Heads of Departmental Elements to meet present and
future safeguards and security requirements.
4 Maintain national-level liaison with the Federal
Bureau of Investigation and other Federal law
enforcement and security agencies with respect to
matters of physical protection policy, law
enforcement, and response to safeguards and security
incidents at Department of Energy facilities.
5 Develop physical security policy and procedures for
sensitive compartmented information facilities.
Provide certifications, in conjunction with the
Director of Energy Intelligence, that
planned/installed physical security systems create
an environment of acceptable risk for intelligence-
6 Ensure that the protection and control afforded
safeguards and security interests is comparable to
that required by other Federal agencies with similar
7 Advise the Assistant Secretary for Defense Programs
on the adequacy of security measures to physically
protect security shipments outside the United States
(i.e., shipments of special nuclear material subject
to Departmental-administered Atomic Energy Act
Mutual Defense Agreements and of Department of
Energy classified matter).
8 Administer and oversee implementation of Executive
Order 12356, "National Security Information,"
pertaining to special access programs, personnel,
and physical security requirements for the control
and protection of National Security Information.
a Authorize, in writing, DOE and contractor
employees to hand-carry classified matter to
and from foreign countries.
b Authorize the transmission of classified matter
by other-than-prescribed means.
9 Designate a Classified Matter Protection and Control
Program Manager, who is a DOE employee knowledgeable
in the control of classified and sensitive
information, including violations of laws, losses,
and incidents of security concern, to manage the
Department's Classified Matter Protection and
(6) Through the Director of Energy Intelligence shall:
(a) Certify that physical security systems serve to create an
environment of acceptable risk for Sensitive
Compartmented Information Facilities.
(b) Process National Security Council matter containing
Sensitive Compartmented Information received and
dispatched from DOE.
(c) Develop,in conjunction with the Director of Security
Affairs, procedures and systems for protection of Foreign
Intelligence Information and Sensitive Compartmented
Information held within DOE and DOE contractor
(7) Through the Director of Emergency Management, shall coordinate
the emergency preparedness program with the protection and
control program for emergencies created by malevolent threats
or acts and disasters.
d. Assistant Secretary for Defense Programs, in addition to the
responsibilities outlined in paragraph 6a, through the Deputy
Assistant Secretary for Military Application, shall:
(1) Ensure security shipments going outside the United States are
coordinated with the Director of Safeguards and Security
(i.e., shipments of special nuclear material subject to
Departmental-administered Atomic Energy Act Mutual Defense
Agreements and of Department of Energy classified matter).
(2) Review and coordinate, with the Director of Safeguards and
Security, the development of physical protection technology
for the transportation of special nuclear material, nuclear
weapons, and nuclear weapons components.
(3) Develop requirements and procedures for controlling access to
nuclear weapon data (see DOE 5610.2, CONTROL OF WEAPON DATA).
(4) Channel all matters containing Restricted Data or Formerly
Restricted Data being sent to foreign entities to the Joint
Atomic Information Exchange Group (JAIEG) for review prior to
e. Assistant Secretary for Human Resources and Administration, in
addition to the responsibilities outlined in paragraph 6a, through
the Director of the Executive Secretariat shall process all:
(1) National Security Council matter received and dispatched by
DOE, with the exception of matter which contains Sensitive
Compartmented Information, or matter submitted by the National
Security Council or other Federal agencies to the Office of
Declassification for classification review.
(2) Classified matter for the Secretary, Deputy Secretary, and
f. Assistant Secretary for Environment, Safety, and Health, in
addition to the responsibilities outlined in paragraph 6a, shall:
(1) Oversee compliance of transportation activities with the
National Environmental Policy Act.
(2) Through the Assistant Secretary for Security Evaluations,
provide independent inspection, and evaluation to assess the
implementation of protection and control programs for
activities and facilities under Departmental cognizance.
g. Assistant Secretary for Environmental Management, in addition to
the responsibilities outlined in paragraph 6a, shall serve as the
primary point-of-contact with the transportation industry and with
Federal, state, and local agencies in implementing the Department's
transportation policies and standards for hazardous material other
than nuclear explosives, special nuclear material, or other
classified matter. Through the Deputy Assistant Secretary for
Compliance and Program Coordination, the Director of
Transportation, Emergency Management, and Analytical Services,
(1) Provide inspections and evaluations of irradiated reactor fuel
shipping activities and inform the appropriate Operations
Office Managers and Heads of Headquarters Elements of the
results in a timely manner, and coordinate with appropriate
Departmental Elements to correct deficiencies including those
which have a programmatic or budgetary impact, all in
coordination with the Office of Security Evaluations.
Evaluate the adequacy of physical protection measures for
irradiated reactor fuel shipments outside the United States
and advise the Director of Security Affairs of the results.
(2) Coordinate with the Director of Emergency Management and
provide staff assistance to Heads of Departmental Elements in
the development of emergency plans and procedures prepared
under DOE 5500.1B, EMERGENCY MANAGEMENT SYSTEM, to respond to
accidents or malevolent threats or acts against irradiated
reactor fuel in transit.
(3) Review and comment on field elements' physical protection
plans for irradiated reactor fuel in transit.
h. Director, Naval Nuclear Propulsion Program, 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/
Department of Energy organization of the Naval Nuclear Propulsion
Program, shall implement and oversee all policy and practices
pertaining to this Order for activities under the Director's
i. Heads of Field Elements, in addition to the responsibilities in
paragraph 6a above, shall:
(1) In conjunction with responsible Headquarters Elements, assure
irradiated reactor fuel under their jurisdiction is provided
the required physical protection while in transit.
(a) Coordinate shipments of irradiated reactor fuel with
other Heads of Field Elements when shipments cross
(b) Approve irradiated reactor fuel physical protection
transportation plans and conduct surveys of the
irradiated reactor fuel in transit.
(c) Assure emergency plans and implementing procedures for
the physical protection of irradiated reactor fuel in
transit are coordinated with the carriers, Office of
Special Programs (Transportation Management Division),
and the Office of Emergency Response and Preparedness for
proper response to emergencies created by natural
disasters, accidents, vandalism, or malevolent threats or
(d) Notify States of pending shipments of unclassified
irradiated reactor fuel, as appropriate.
(2) Managers, Operations Offices, Managers, Field Offices, and the
Director, Headquarters Operations Division, shall:
(a) Ensure the designation and appointment of TOP SECRET
control officers and alternates as custodians and notify
Headquarters, Office of Safeguards and Security, of the
selection and position titles of the designees.
(b) Request the approval of the Headquarters Office of
Safeguards and Security for DOE and contractor employees
on official Departmental business to hand-carry
classified matter to and from foreign countries.
(c) Designate a Classified Matter Protection and Control
Operations Manager, who is a DOE employee knowledgeable
in control of classified and sensitive information,
including violations of laws, losses, and incidents of
security concern, to manage the local Classified Matter
Protection and Control Program.
a. General. The Department's diverse safeguards and security
interests are to be protected from malevolent acts (e.g., sabotage)
and from events such as disasters and civil disorders. Details of
the protection and control requirements set forth in this Order are
found in DOE M 5632.1C-1.
b. Threat. The "Design Basis Threat Policy for the Department of
Energy Programs and Facilities (U)" shall be used to identify and
characterize the range of potential adversary threats to
Departmental programs and facilities. Field Elements should review
and develop, as appropriate, supplementary local threat policy to
take into account site-specific and regional-specific threat
c. Graded Protection. By graded approach, DOE intends that, in the
development and implementation of protection and control programs,
the level of effort and magnitude of resources expended for the
protection of a particular security interest are commensurate with
the security interest's importance or the impact of its loss,
destruction, or misuse. Interests whose loss, theft, compromise,
and/or unauthorized use will have serious impact on the national
security, program continuity, and/or the health and safety of DOE
and contractor employees, the public, the environment, or
Department of Energy programs, shall be given the highest level of
protection. For example, use of a weapon of mass destruction by a
terrorist(s) could have consequences so grave as to demand the
highest reasonably attainable standard of security. Protection of
other interests shall be graded accordingly. Protection-related
plans shall describe, justify, and document the graded protection
provided the various interests. 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 applied. Heads
of Departmental Elements shall provide a rational, cost-effective,
and enduring protection framework using risk management as the
underlying basis for making security-related decisions.
d. Protection Planning. Protection planning is essential to all
Departmental facilities and contractor facilities used for
Department of Energy work. Sites, as appropriate, shall develop a
Site Safeguards and Security Plan as required by DOE 5630.14A,
SAFEGUARDS AND SECURITY PROGRAM PLANNING. Sites and facilities not
covered by DOE 5630.14A should use the Order as guidance when
developing local security plans.
(1) Protection Strategy. A protection strategy shall be
developed and delineated by each DOE site and approved by the
Head of the Field Element for all safeguards and security
interests. The strategy used will be determined by the impact
that a malevolent act would have on the national security,
program continuity, the health and safety of DOE and
contractor employees, the public, and/or the environment.
(NOTE: Safeguards and security programs shall provide a high
degree of assurance of the capability to deter, detect,
assess, delay, prevent, and/or inhibit unauthorized access to
nuclear weapons, nuclear test devices, or completed nuclear
assemblies, Category II or greater quantities of special
nuclear material, and Vital Equipment. The safeguards and
security system shall be capable of responding, denying
access, preventing removal, and/or recovering these
Departmental assets from an adversary, while providing command
and control to protective forces. Strategies for the
protection and control of classified matter shall incorporate
the applicable requirements established in DOE M 5632.1C-1.)
(2) Contingency/Emergency Planning. Plans that address protection
measures shall be developed and in place for events such as a
threat guidance event, natural disasters, civil emergencies,
personnel shortfalls (e.g., work force shortfalls, work force
disruptions, walkouts, disputes), call-out of off-duty
employees, and other credible situations.
(3) Outside Agency Protection Support Planning. Plans shall
document the support to be expected from outside agencies in
response to security incidents. Required actions of outside
agencies shall be determined and documented, as appropriate,
in Memoranda of Understanding. Each Memorandum of
Understanding shall be reviewed with the appropriate
agency(ies) at least annually to ensure its validity.
e. Protection Program Elements. Applications of protection system
elements shall be tailored and integrated to provide the levels of
protection appropriate for safeguards and security interests.
Effective physical protection shall rely on the interaction between
security systems, protective personnel, and administrative
procedures. In addition, physical protection programs shall be
integrated with other Safeguards and Security Program elements,
such as Material Control and Accountability and Information
Security, to achieve total system integration. See the DOE 5633
series of directives regarding Material Control and Accountability
and DOE 5639 series for Information Security.
(1) Security Areas and Restricted Access Areas.
(a) Security Areas, described more fully in DOE M 5632.1C-1,
shall be established when the nature, size, revealing
characteristics, sensitivity, monetary value, or
importance of safeguards and security interests is such
that access to them cannot otherwise be effectively
controlled. Limited Areas, Protected Areas, Exclusion
Areas, Vital Areas, and Material Access Areas shall be
defined by barriers and access to them shall be
controlled. Property Protection Areas may be defined by
barriers and access to them may be controlled.
(b) Restricted Access Areas, described in DOE M 5632.1C-1,
may be established for the purpose of controlling access
based on the appropriate access authorization and/or
official duties. Examples include:
1 Sensitive Compartmented Information Facilities.
2 Central and Secondary Alarm Stations.
3 Secure Communications Areas.
4 Automated Information System Centers.
(2) Intrusion Detection System and Assessment Capability.
Intrusion detection systems may be used to detect unauthorized
entry and/or presence in Security Areas and Restricted Areas.
Visual observations by protective personnel may be used in
place of or to complement an intrusion detection system
depending on the requirements for the area being protected.
See DOE M 5632.1C-1, page IV-3, for their required use at
Protected Areas, Vital Areas, Material Access Areas, and
(3) Access Controls and Entry/Exit Inspections.
(a) Access to classified matter and special nuclear materials
shall be limited to persons who possess an appropriate
access authorization and who require such access in the
performance of their official duties, on a need-to-know
(b) A person without appropriate access authorization
(security clearance), who is otherwise authorized to
enter a Limited Area, Exclusion Area, or Protected Area
(including Material Access Area or Vital Area within a
Protected Area) shall be escorted at all times within the
Security Area by an individual with the appropriate
(c) Personnel, hand-carried items, vehicles, and vehicle
contents shall be subject to inspections, as applicable,
at Security Area entry control points to deter the
introduction of prohibited articles. Personnel, hand-
carried items, vehicles, and vehicle contents shall be
subject to inspections, as applicable, at Security Area
exit control points to deter the unauthorized removal of
safeguards and security interests.
(4) Barriers. Permanent physical barriers shall be installed to
control, deny, impede, or delay unauthorized access into
Limited Areas, Protected Areas, Exclusion Areas, Material
Access Areas, and Vital Areas.
(5) Locks. Security locks shall be used to secure safeguards and
(6) Secure Storage. Secure storage for the interest under
protection shall be provided in a graded manner.
(7) Protective Personnel/Protective Force. Protective personnel
are an essential part of the physical protection program.
Such personnel include the Protective Force as well as other
persons having administrative or other protective duties.
Protective force policy, responsibilities and requirements are
stated in DOE 5632.7A, PROTECTIVE FORCES.
(a) Voice communications systems used for security purposes
shall be reliable and provide intelligible voice
communications for all applicable modes of operation.
(b) Security system data transmission lines shall be
protected in a graded manner from substitution and
(9) Testing and Maintenance.
(a) Physical protection systems' effectiveness shall be
determined through system acceptance and validation
testing that is consistent with DOE 5630.16A, SAFEGUARDS
AND SECURITY ACCEPTANCE AND VALIDATION TESTING PROGRAM.
(b) A program of scheduled testing and maintenance according
to DOE 4330.4B, MAINTENANCE MANAGEMENT PROGRAM, shall be
implemented to ensure an effective, operable security
system. The program shall include identification of
critical components and subsystems. The time interval
between tests shall be determined on a graded basis
according to the asset under protection and shall be
(10) Posting. Signs reflecting information on the Atomic Weapons
and Special Nuclear Rewards Act; prohibited articles; the
inspection of vehicles, packages, or persons either entering
or exiting; and trespassing, if applicable, shall be posted.
Signs prohibiting trespassing shall be posted around the
perimeter and at each entrance to a Security Area except when
one Security Area is located within a larger posted Security
Area. Also, notices shall be posted in each area where
physical protection surveillance equipment is operational.
f. Physical Protection Equipment Usage. Programs and procedures shall
be developed to deter and/or detect misuse of physical protection
equipment (e.g., video assessment equipment). Violations shall be
reported to the local cognizant authority for safeguards and
security. Physical protection equipment, when used in accordance
with this policy, is not considered technical surveillance
equipment and, therefore, is not subject to the policy requirements
for technical surveillance equipment.
g. Security Badges. Security badge systems shall indicate individuals
access limitations and/or approvals for the purpose of controlling
entrance and exit to Security Areas and facilities and for
Safeguards and Security-related identification purposes. Access
limitations indicated by badges shall not be used alone for the
release of classified and/or sensitive matter. Need-to-know
determinations shall be made before granting individuals access to
h. Credentials and Shields. The design of safeguards and security
credentials and shields will be approved on a case-by-case basis by
the office of primary responsibility. DOE and DOE contractor
employees shall provide support and assistance to DOE-credentialed
personnel in the performance of their official duties.
8. ASSISTANCE. Questions concerning this Order should be directed to the
Chief, Physical Security Branch, at 301-903-4244, or to the Classified
Matter Protection and Control Program Manager, at 301-903-4805.
9. IMPLEMENTATION. The majority of requirements in this directive is the
same as those contained in the superseded directives. Implementation
Plans for any requirements that cannot be implemented within 6 months of
the effective date of this Order or within existing resources shall be
developed by Heads of Field Elements and submitted to the Office of
Safeguards and Security.
BY ORDER OF THE SECRETARY OF ENERGY:
ARCHER L. DURHAM
Assistant Secretary for
Human Resources and Administration