INDEX


                                 CHAPTER VI

                    SURVEY RATINGS AND FOLLOW-UP ACTIONS

1.   RATING SYSTEM.  Permissible composite nuclear materials or security
     survey ratings are SATISFACTORY, MARGINALLY SATISFACTORY, and
     UNSATISFACTORY.  The following composite survey ratings shall reflect a
     balance of performance and compliance results as determined by the
     surveying organization.

     a.   Satisfactory.  The safeguards and security element being evaluated
          meets identified protection needs or provides plausible assurance
          that those protection needs will be met should they arise.

     b.   Marginally Satisfactory.  The safeguards and security element
          being evaluated only partially meets identified protection needs
          or provides questionable assurance that those protection needs
          will be met should they arise.

     c.   Unsatisfactory.  The safeguards and security element being
          evaluated does not meet identified protection needs or does not
          provide adequate assurance that those protection needs will be met
          should they arise.

2.   IDENTIFIED PROTECTION NEEDS.  Identified protection needs are those
     defined by DOE Orders as modified by approved MSSAs, facility
     safeguards and security plans, approved safeguards and security
     upgrades, and documented and approved exceptions to DOE requirements.
     These modifiers specify site-specific considerations and tailor the
     safeguards and security program to the local mission and operating
     environment.  They shall be comprehensive and supportable relative to
     threat and safeguards and security interests (i.e., targets).

3.   USE OF THE "MARGINALLY SATISFACTORY" RATING.  A facility shall not be
     assigned a survey rating of Marginally Satisfactory for consecutive
     survey periods unless the following conditions apply:

     a.   The previous survey which resulted in a composite survey rating of
          Marginally Satisfactory identified different deficiencies and
          reasons for the rating.

     b.   The deficiencies and reasons which were the basis for the previous
          Marginally Satisfactory composite survey rating were related to
          the completion of a major line-item construction project.  In that
          case, acceptable interim measures must have been implemented and
          physically verified pending completion of the construction.  These
          interim measures shall be documented in the survey report.

4.   USE OF UNSATISFACTORY RATING.  If either of the conditions cited in
     paragraphs 3a or b, above, are not met, an Unsatisfactory rating shall
     be assigned.

5.   CORRECTIVE ACTIONS AND SURVEY RATINGS.  A composite nuclear materials
     and/or security survey rating which must be based on conditions
     existing when the rating was assigned.  Shall be stated in the survey
     report, ratings shall not be based upon future corrective actions.  If
     corrective actions have been taken in the interval between the
     performance of the onsite survey and the assignment of the composite
     survey rating, the final rating should reflect these actions.

6.   DEFICIENCIES IN DOCUMENTATION.  A facility's failure to comply with
     procedural documentation requirements, of and by itself, shall not
     normally be the basis for a reduction in a composite rating.  Ratings
     of less than Satisfactory in any area shall be based on verified
     weaknesses in the safeguards and security system or deficiencies in
     performance in an operational area.

7.   COMPLIANCE.  The compliance segment rating of a facility reflects the
     judgments of the surveying organization as to the assurance with which
     the facility's safeguards and security system protects the DOE
     interests located at that facility as measured against related DOE
     directives (see page V-4, paragraph 5).

8.   PERFORMANCE.  The rating for the set of exercises, system studies, and
     technical evaluations, constituting the performance segment of the
     survey, shall be based on an evaluation of the degree to which the
     elements of the safeguards or security system meet protection
     objectives.

9.   SURVEY FOLLOW-UP AND CORRECTIVE ACTIONS.

     a.   When a nuclear materials and/or security survey report contains
          findings, the surveyed organization shall submit a response
          identifying corrective action(s) for each finding to the
          responsible and surveying organizations not later than 30 days
          after receiving the survey report.

     b.   When a survey report indicates a composite rating of Satisfactory
          and contains findings requiring corrective action, the responsible
          organization shall provide to SA-10, the appropriate Secretarial
          Officers, and the surveying organization (if appropriate), a
          quarterly status report of corrective actions.  Notification shall
          be by memorandum and shall include the identification of the
          facility, a description of the deficiency, and a description of
          corrective actions taken to date or planned (with associated
          milestone dates).

     c.   When a survey report has a composite rating of Marginally
          Satisfactory, the responsible organization shall notify the
          Director, SA-10, the surveying organization (if appropriate), and
          the applicable DOE Field Office and Secretarial Officer(s) within
          15 working days after completion of the survey of interim
          corrective actions taken, or to be taken, to correct identified
          risks or vulnerabilities.  If interim corrective actions are
          instituted, the surveying organization shall physically verify
          them for adequacy.  If the surveying organization differs from the
          responsible organization, the surveying organization shall
          promptly notify the responsible organization of the rating.  The
          responsible organization shall then take appropriate corrective
          and notification actions outlined above or authorize the surveying
          organization to take those actions.  If the surveying organization
          is unable to contact the responsible organization and a serious
          threat exists or is imminent, the surveying organization shall
          take action to protect the safeguards and security interest(s)
          until the responsible organization is notified.  Subsequent action
          shall be taken on the basis of agreement between the two
          organizations.

     d.   When a survey report has a composite rating of Unsatisfactory, and
          the rating is indicative of a significant vulnerability, such as
          unacceptable risk in the area of SNM theft, radiological or
          industrial sabotage or espionage, the DOE Field Office Manager
          shall immediately, in coordination with the cognizant Program
          Secretarial Officer or as soon as possible, but not later than
          within 24 hours:  (1) take action to shut down/suspend operation
          of the facility or activity, pending remedial action; or (2)
          provide the rationale for continuing this critical operation to
          the cognizant Secretarial Officer and SA-10 and identify those
          immediate interim corrective actions being undertaken to mitigate
          identified risks or vulnerabilities.  For all other Unsatisfactory
          ratings, the DOE Field Office Manager of the responsible
          organization shall notify the cognizant Secretarial Officer and
          SA-10 within 15 working days of interim corrective actions taken,
          or to be taken, to correct identified risks or vulnerabilities.

     e.   When either a Marginally Satisfactory or Unsatisfactory composite
          rating is assigned, the responsible office shall provide to SA-10
          and the applicable DOE Field Office and Secretarial Officer(s)
          quarterly status reports on completed or planned corrective
          actions (with associated milestone dates) until all have been
          completed.  When the responsible organization determines that the
          composite survey rating should be upgraded to Satisfactory, the
          surveying organization shall physically verify the completion and
          adequacy of corrective actions for those deficiencies which
          contributed to the Marginally Satisfactory or Unsatisfactory
          composite rating.  The responsible organization shall then notify
          the Director, SA-10, and the cognizant Secretarial Officer(s) that
          the rating should be upgraded.

     f.   A finding associated with a significant vulnerability shall not be
          considered closed until associated corrective action has been
          completed and SA-10 and the Secretarial Officer(s) are notified.
          A commitment by the facility to institute corrective action does
          not constitute completion of that corrective action.