INDEX


                                 CHAPTER III

                              MATERIALS CONTROL

1.  GENERAL.  This chapter describes the requirements for material control.
    The chapter is subdivided into four functional performance areas:
    access controls, material surveillance, material containment, and
    detection/assessment.  The graded materials control program shall be
    formally documented in the Materials Control and Accountability Plan.
    Requirements for the control of special nuclear material are stated in
    both DOE 5632.1C and this Order.  Some requirements stated are in one
    Order but not both.  All requirements shall be met regardless of the
    Order in which they appear.

2.  ACCESS CONTROLS.  Each facility shall have a graded program for
    controlling personnel access to:  nuclear materials; nuclear materials
    accountability, inventory, and measurement data; and data generating
    equipment and other items/equipment where misuse or tampering could lead
    to compromise of the safeguards system.  The graded access control
    system shall consider the quantity and attractiveness of the material in
    the area and impacts of threats, as well as other control systems that
    are in place and which may mitigate these threats.  These access
    controls may range from extensive and complex access control systems for
    Category IA areas and materials to simple administratively controlled
    access systems for Category IV areas.  For facilities that have Category
    III and IV areas containing Attractiveness Level B and C material
    outside of a Protected Area, the facility's management shall assure that
    these areas do not possess a Category I or II quantity of special
    nuclear material unless a vulnerability assessment demonstrates that an
    unauthorized accumulation of a Category I quantity of material from
    these facilities is not credible.  Personnel security assurance programs
    shall be used as a component in the prevention of the theft or diversion
    of special nuclear material and shall be considered in assessments of
    vulnerability related to theft of Category I quantities of special
    nuclear material.  Testing of access control systems and procedures
    shall be conducted according to testing methodology, testing frequency,
    and record maintenance requirements contained in DOE 5630.16A and
    applicable Departmental guidance.  Performance requirements for access
    controls are contained on page I-10, paragraph 4.

    a.   Materials Access.  Each facility shall have a documented program to
         ensure that only properly authorized personnel have access to
         nuclear materials.  This program shall address procedures and
         mechanisms to detect/respond to access by unauthorized personnel.
         In order to minimize the potential for unauthorized access to
         nuclear material, the amount of material in use shall be limited to
         that necessary for operational requirements, and excess material
         shall be stored in repositories or kept in enclosures designed to
         assure that access will be limited to authorized individuals.  See
         DOE 5632.1C for additional access control and storage requirements
         for special nuclear material and DOE M 5632.1C-1, MANUAL FOR
         PROTECTION AND CONTROL OF SAFEGUARDS AND SECURITY INTERESTS, for
         access authorization requirements for special nuclear material
         categories.

    b.   Data Access.  Each facility shall have a graded program to assure
         that only authorized persons have the ability to enter, change, or
         access material control and accountability data and information.

    c.   Equipment Access.  Each facility shall have a graded program to
         control access to data-generating and other equipment used in
         material control activities, thereby assisting in providing
         assurance of the integrity of equipment and data used for material
         control.  Such equipment includes measurement equipment, data
         recording devices, and tamper-indicating devices.  An access
         control program comparable to that required for classified computer
         systems may be required if such controls are necessary to assure
         the integrity of the data system.

    d.   Other Considerations.  Access controls similar to those described
         in paragraphs 2b and c above shall be designed to protect against
         data/equipment falsification or manipulation and shall detect
         unauthorized activities during emergency or other unusual
         conditions.

    e.   Unclassified Computer Systems.  Where materials control and
         accountability data and data-generating equipment involve
         unclassified computer systems, these systems shall meet the
         requirements of DOE 1360.2B, UNCLASSIFIED COMPUTER SECURITY
         PROGRAM.

3.  MATERIAL SURVEILLANCE.  Each facility's management shall establish a
    graded surveillance program for monitoring nuclear materials and
    detecting unauthorized activities or anomalous conditions and for
    reporting material and facility status.  The objective is the detection
    and assessment of conditions that may adversely affect safeguards, e.g.,
    to detect anomalies and to report alarm conditions.  The surveillance
    program shall address both normal and emergency conditions, and shall
    provide for periodic testing.  Testing for material surveillance systems
    and procedures shall be planned and documented in accordance with DOE
    5630.16A.  Performance requirements for material surveillance of
    Category I and II quantities of special nuclear material are contained
    on page I-10, paragraph 4.

    a.   Material Surveillance Mechanisms.  Specific material surveillance
         methodologies may include the following:

         (1)  Automated means (e.g., monitoring devices, sensors or other
              instrumentation) to detect anomalies and to report alarm
              conditions.

         (2)  Visual surveillance/direct observation (e.g., two-person rule,
              monitoring by external personnel) to provide assurance that
              only authorized activities occur and to assess special nuclear
              material movements or inventory status.  Visual surveillance
              requires reasonable assurance that activities are observable
              and that the observer will recognize, correctly assess and
              report activities that are unauthorized or are inconsistent
              with established safeguards requirements.  There shall be
              documented procedures for implementing the two-person rule.

         (3)  Process logs, inventory records, or other information to
              indicate anomalies and trigger investigatory actions.

    b.   Material Surveillance Programs.  Surveillance procedures shall
         describe the methodologies and operational/control points on which
         the program is based and shall provide for investigation,
         notification, and reporting of anomalies.  Alternatives to the
         material surveillance requirements specified below may be approved
         in accordance with DOE 5630.11B for facilities that rely primarily
         on other materials control and accountability and/or security
         measures.

         (1)  Category I and II.  The material surveillance program for
              Category I and II quantities of special nuclear material shall
              assure that materials are in authorized locations and shall
              detect unauthorized material flows and transfers.  Evaluations
              of Category I locations shall be performed to determine system
              capabilities to assess material losses from Materials Access
              Area and Protected Area boundaries.  Evaluations of Category
              II locations shall be performed to determine system
              capabilities to assess material losses from the Protected Area
              boundary.  Material surveillance procedures for all areas
              having Category I or II quantities of special nuclear material
              shall include the following:

              (a)  Only appropriately authorized and knowledgeable personnel
                   (i.e., individuals who are capable of detecting incorrect
                   or unauthorized actions) shall be assigned responsibility
                   for surveillance of special nuclear material.

              (b)  Controls shall be sufficient to ensure that one
                   individual cannot gain access to a secure storage area.

              (c)  Procedures to ensure constant surveillance of all persons
                   in secure storage areas (e.g., two-person rule or
                   equivalent surveillance procedures) shall be in effect at
                   any time the storage area is not locked and protected by
                   an active alarm system.

              (d)  Surveillance shall be sufficient to ensure that
                   unauthorized or unaccompanied authorized personnel cannot
                   enter the storage area undetected when the door is
                   unlocked or open.

              (e)  When two persons are assigned responsibility for
                   maintaining direct control of the item(s) outside an
                   alarmed storage area within a Materials Access Area or
                   Protected Area, either the two authorized persons shall
                   be physically located such that they have an unobstructed
                   view of the item(s) and can positively detect
                   unauthorized or incorrect procedures, or there shall be a
                   system of hardware, procedures, and administrative
                   controls sufficient to ensure no unauthorized
                   accumulation of a Category I quantity without timely
                   detection.

              (f)  Special nuclear material in use or process shall be under
                   material surveillance procedures, under alarm protection,
                   or with the approval of responsible Heads of Field
                   Elements, protected by alternative means which can be
                   demonstrated to provide equivalent protection.

         (2)  Category III.  The material surveillance program for Category
              III quantities shall assure that when materials are not in
              locked  storage, they are attended, are in authorized
              locations, and are not accessed by unauthorized persons.

         (3)  Category IV.  The material surveillance program for Category
              IV quantities shall be site-specific and approved by the
              Manager, Operations Office.

4.  MATERIAL CONTAINMENT.  Each facility shall have a documented program to
    provide controls for nuclear materials operations relative to Materials
    Access Areas, Protected Areas, Materials Balance Areas, other authorized
    storage repositories, and processing areas.

    a.   Materials Access Area and Protected Area.  The facility shall have
         controls to assure that Category I quantities of special nuclear
         material are used, processed or stored only within a Materials
         Access Area contained in a Protected Area and that Category II
         quantities of special nuclear material are used, processed, or
         stored only within a Protected Area.  The containment program
         shall:

         (1)  Be formally documented;

         (2)  Comply with the graded safeguards concept;

         (3)  Identify authorized activities and locations for nuclear
              materials;

         (4)  Identify mechanisms used to detect unauthorized activities;

         (5)  Identify material types, forms, and amounts authorized to be
              removed from the Materials Access Area or Protected Area;

         (6)  Identify containment controls for normal and emergency
              conditions; and

         (7)  Require a periodic audit of the containment program to ensure
              compliance and system effectiveness.

    b.   Materials Balance Area.  Each facility shall have controls to
         ensure that nuclear materials used, processed, or stored within a
         Materials Balance Area are controlled in accordance with the graded
         safeguards concept.  Additionally, these controls shall ensure that
         materials are removed only via authorized pathways/portals and are
         subject to transfer and verification procedures as identified on
         page II-11, paragraph 5.  The controls for Materials Balance Areas
         shall:

         (1)  Be formally documented;

         (2)  Identify geographical boundaries and functions of the
              Materials Balance Areas;

         (3)  Identify material types, forms, and quantities permitted in
              each Materials Balance Area;

         (4)  Describe the administrative controls for each Materials
              Balance Area;

         (5)  Define custodial responsibilities for nuclear materials
              contained within a Materials Balance Area;

         (6)  Identify personnel authorized to receive/ship nuclear
              material;

         (7)  Identify the material flows into and out of the Materials
              Balance Area;

         (8)  Ensure that material transfer procedures are followed; and

         (9)  Ensure that material quantities transferred across Materials
              Balance Area boundaries are based on measured values
              consistent with page II-16, paragraph 5b(5).

    c.   Storage Repositories.  The facility shall have controls for nuclear
         materials held in storage repositories consistent with the graded
         safeguards concept.  The controls for storage repositories are
         contained in DOE M 5632.1C-1.

    d.   Processing Areas.  The facility shall have controls for nuclear
         materials being used or stored in processing areas.  The controls
         for in-process areas shall:

         (1)  Be formally documented;

         (2)  Describe activities and locations for storing material;

         (3)  Identify components used to detect unauthorized activities or
              conditions;

         (4)  Include procedures for moving material into or out of the
              processing area;

         (5)  Describe control procedures for both normal and emergency
              conditions;

         (6)  Describe response actions to be taken in abnormal situations;
              and

         (7)  Provide for audit of the processing controls on a periodic
              basis to assure system effectiveness.

5.  DETECTION/ASSESSMENT.  Each facility shall have the capability to detect
    and assess the unauthorized removal of nuclear materials, consistent
    with the graded safeguards concept.  The system shall be interfaced with
    the facility's physical protection and other organizational systems, as
    appropriate, and shall be able to detect removal of special nuclear
    material from its authorized location (theft/diversion/errors) and
    provide notification to the protective force and other organizations to
    respond when such events are detected.

    a.   Tamper-Indicating Devices.  The reliance on tamper-indicating
         devices as a safeguards measure is directly dependent on the
         environment in which the tamper-indicating device resides and the
         material being tamper-safed.  Each facility shall have a documented
         program, administered by the materials control and accountability
         organization, for control of tamper-indicating devices and to
         assure that tamper-indicating devices are used to the extent
         possible to detect violations of container integrity.  DOE-wide
         standardized tamper-indicating devices should be used when
         available through DOE standardized procurement (see DOE 5630.17,
         SAFEGUARDS AND SECURITY (S&S) STANDARDIZATION PROGRAM).  Testing of
         tamper-indicating device integrity, location, and application and
         the tamper-indicating device record system shall be conducted
         according to testing methodology, testing frequency, and record
         maintenance requirements contained in DOE 5630.16A and applicable
         Departmental directives and guidance.  Performance requirements for
         tamper-indicating devices are contained on page I-10, paragraph 4,
         of this Order.  The "Safeguards Seal Reference Manual," issued by
         Office of Safeguards and Security, can facilitate in the selection,
         application, and verification of tamper-indicating devices.  The
         tamper-indicating device control program shall specify, as a
         minimum, the following elements:

         (1)  Acquisition/procurement/destruction;

         (2)  Types of tamper-indicating devices utilized;

         (3)  Assurance of unique tamper-indicating devices identification;

         (4)  Storage;

         (5)  Issuance;

         (6)  Personnel authorized to apply, remove, and dispose of
              tamper-indicating devices;

         (7)  Containers on which tamper-indicating devices are to be
              applied;

         (8)  Procedures for application of tamper-indicating devices;

         (9)  Frequency and method of tamper-indicating devices
              verification;

         (10) Response procedures for tamper-indicating devices violations;

         (11) Assurance that tamper-indicating devices cannot be reused
              after violation;

         (12) Frequency and method of internal program audits; and

         (13) Procedures for reporting tamper-indicating device violations.

    b.   Portal Monitoring.  The minimum portal monitoring requirements are
         in DOE 5632.1C.  In addition to those requirements, the detection
         level of the monitors shall be based upon detection of the typical
         special nuclear material product in the area and the credible
         number of removals associated with theft of a Category I quantity
         of material.  All detectors and related calibration standards shall
         be maintained and controlled to ensure that portal monitors are
         capable of meeting detection requirements.  Periodic performance
         testing of portal monitors shall be conducted in accordance with
         page I-10, paragraph 4b.  Planning and documentation of performance
         testing shall meet the requirements of DOE 5630.16A.  Performance
         requirements for portal monitors (both special nuclear material and
         metal) are contained on page I-10, paragraph 4.  Controls shall be
         established to prevent unauthorized access to portal monitor
         instrumentation and cabling.  A written response plan shall be
         prepared and implemented to provide evaluation and resolution of
         all alarm conditions, including requirements for notification in
         accordance with DOE 5000.3B (and the requirements contained on page
         I-13, paragraph 5,) in the event of unresolved alarms or malevolent
         actions.  Controls shall be established to ensure detection
         capabilities during emergency conditions.

    c.   Waste Monitors.

         (1)  For purpose of detecting the theft or diversion of special
              nuclear material, all liquid, solid, and gaseous waste streams
              leaving an Materials Access Area shall be monitored for
              special nuclear material.  (Additional monitoring may be
              required for environmental or waste management purposes.  The
              additional monitoring should be performed in accordance with
              applicable environmental and waste management regulations.)
              Monitoring instrumentation may be semi-quantitative, provided
              that the monitors used are capable of detecting gamma/neutron
              radiation characteristics of the specified material type.  The
              facility's waste monitoring equipment shall be maintained and
              controlled to ensure that the equipment is capable of
              detecting specified amounts of special nuclear material.
              Instrumentation used to monitor waste and equipment removed
              from a Materials Access Area must be able to detect, in
              combination with other detection elements, the removal of a
              Category I quantity of special nuclear material through a
              credible theft or diversion scenario.

         (2)  A response plan for evaluating and resolving situations
              involving any discharge exceeding facility-specific limits
              approved by the Manager, Operations Office, shall be
              established and implemented.  The plan shall provide for
              reporting in accordance with DOE 5000.3B and the requirements
              contained on page I-13, paragraph 5 of this Order, if the
              situation is not satisfactorily resolved or if there is an
              indication of malevolent action.

    d.   Daily Administrative Checks.  A facility-specific daily
         administrative checks program shall be implemented for each
         Category I Materials Balance Area (or multiple Materials Balance
         Areas where rollup to a Category I quantity of special nuclear
         material is credible).  The scope and extent of the checks shall be
         determined and approved by the Operations Office based upon
         recognized vulnerabilities.  The administrative checks program
         shall specify the detection objectives, performance procedures,
         documentation requirements, and response actions.

    e.   Other Detection/Assessment Mechanisms.  For each facility, systems
         capable of detecting and/or assessing special nuclear material
         removals shall be established consistent with the loss detection
         elements evaluation requirements on page I-10, paragraph 4.
         Detection/assessment mechanisms may be based on item
         identification, number of items, verification of intact
         tamper-indicating devices, confirmation that no access has
         occurred, process monitoring, near-real time accountability,
         control procedures for use and movement of material, or any other
         approved technique for identifying anomalies.  These monitoring and
         control systems shall provide sufficient information to correctly
         assess the alarm, localize the removal, and estimate the quantity
         and form of the diverted or stolen material.