DOE O 5634.1B, Facility Approvals, Security Surveys, and Nuclear Materials Surveys

U.S. Department of Energy ORDER Washington D.C. DOE 5634.1B 9-15-92 SUBJECT: FACILITY APPROVALS, SECURITY SURVEYS, AND NUCLEAR MATERIALS SURVEYS 1. 2. 3. 4. 5. 6. PURPOSE. To establish Department of Energy (DOE) requirements for granting facility approvals prior to permitting safeguards and security interests on the premises and the conduct of onsite security surveys of facilities with safeguards and securi CANCELLATION. DOE 5634.1A, FACILITY APPROVALS, MATERIALS SURVEYS, of 2-3-88. and/or nuclear material ty interests. SECURITY SURVEYS, AND NUCLEAR SCOPE. The provisions of this Order apply to all Departmental Elements and contractors performing work for the Department as provided by law and/or contract and implemented by the appropriate contracting officer. BACKGROUND. DOE shall assure that all facilities eligible to receive, process, reproduce, store, transmit, or handle classified matter or special nuclear material (SNM) have been granted facility approval prior to permitting access to such matter or material. POLICY. DOE special nuclear materials (SNM) and classified interests shall not be permitted on premises occupied by DOE and/or its contractors, subcontractors, consultants, or other organizations performing work for the DOE until facility approval is granted. Activities involving the possession, use, and production of nuclear materials and classified matter shall be afforded appropriate levels of protection to prevent unacceptable adverse impact to national security or the health and safety of the public. CONCEPT OF OPERATIONS. DOE’s policy for approving facilities and conducting surveys to ensure satisfactory safeguards and security of DOE interests apply equally to all Departmental Elements, contractors, subcontractors and consultants. However, this policy is implemented at a wide range of facilities, and site- and program-specific characteristics must be considered to assure that Departmental safeguards and security interests are provided appropriate and cost-effective protection. In order to allow for effective implementation of Departmental policy on a site-specific or program-specific basis, an exception mechanism is provided that allow facility approval and survey programs to be tailored to address these specific requirements. The exception procedures are outlined in DOE 5630.11, SAFEGUARDS AND SECURITY PROGRAM. DISTRIBUTION: All Departmental INITIATED BY: Elements Office of Safeguards and Security 2 a. b. c. d. DOE 5634.16 9-15-92 Information and requirements regarding cover operations are no longer provided in this Order. The nature of these sensitive classified interests require specialized instructions which shall be provided by the Director of Safeguards and Security (SA-1O) on an as needed basis. Initial facility approval shall be based upon a determination that satisfactory safeguards and security can be afforded DOE interests. Such determination shall be based upon initial and periodic onsite nuclear materials and/or security surveys conducted by DOE safeguards and security personnel, and upon written security and material control and accountability plans approved by the cognizant field element or, in the case of Headquarters, by SA-10.

DOE will determine whether, and to what extent, any contractors performing or proposing to perform work which will involve access to classified information or significant quantities of SNM (as defined in Title 10 Code of Federal Regulations (CFR) 710), are foreign owned, controlled, or influenced. In addition, DOE shall determine on a case-by-case basis whether any degree of foreign ownership, control, or influence might constitute a basis for the compromise of classified information, unauthorized access to or use of SNM, or other related adverse impact on the national security. To assist in these determinations, DOE will use informa- tion provided by the contractor in accordance with Department of Energy Acquisition Regulation (DEAR) 952.204-73, “Foreign Ownership, Control, or Influence Over Contractor (Representation).” The contractor shall also execute a certificate which indicates that the information, provided in accordance with the DEAR clause identified above, is accurate, complete, and correct. Onsite nuclear materials and/or security surveys shall be conducted initially and periodically thereafter, it intervals specified in this Order, to ensure satisfactory safeguards and security of DOE interests. Surveys of each site for which a Master Safeguards and Security Agreement (MSSA) has been written shall be conducted in such a manner as to be consistent with MSSA requirements. 7. REFERENCES. See Attachment 1. 8. DEFINITIONS. See Attachment 2. BY ORDER OF THE SECRETARY OF ENERGY: DOLORES L. ROZZI Director of Administration and Human Resource Management DOE 5634.1B 9-15-92 Attachment 1 Page 1 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. REFERENCES DOE 5630.11, SAFEGUARDS AND SECURITY PROGRAM, of 1-22-88, which establishes policy and responsibilities for the Department of Energy Safeguards and Security Program. DOE 5630.13A, MASTER SAFEGUARDS AND SECURITY AGREEMENT, of 6-8-92, which provides guidance on the establishment of basic safeguards and security requirements. DOE 5632 Series of Orders which prescribe policies, objectives, responsibilities and authorities, requirements, and standards for the physical protection of DOE security interests. DOE 5633.3, CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS, of 2-3-88, which prescribes responsibilities and authorities for control and accountability of DOE nuclear materials. DOE 5670.1A, MANAGEMENT AND CONTROL OF FOREIGN INTELLIGENCE, of 1-15-92, which establishes policy for the management of, and assigns responsibilities and authorities for, foreign intelligence activities of DOE. Atomic Energy Act of 1954, as amended, which describes requirements for the protection of classified information relating to atomic energy. Title 10 CFR 50, “Domestic Licensing of Production and Utilization Facilities,” of 3-3-75, which provides for the licensing of production and utilization facilities, TITLE 10 CFR 710, “Criteria and Procedures for Determining Eligibility for Access to Classified Matter or Significant Quantities of Special Nuclear Material,” of 1-1-82, which establishes criteria and procedures for determining eligibility for access to classified matter or significant quantities of SNM. Title 10 CFR 1016, “Safeguarding of Restricted Data,” of 8-10-83, which establishes criteria and procedures for the protection of restricted data. Executive Order 10450, “Security Requirements for Government Employment,” of 4-27-53, which establishes criteria for investigating and granting authorization for access to classified National Security Information.

Executive Order 10865, “Safeguarding Classified Information Within Industry,” of 2-24-60, which established criteria and procedures for the protection of classified National Security Information within industry. DOE 5634.1B 9-15-92 Attachment 1 Page 2 12. 13. 14. 15. 16. 17. 18. 19. Executive Order 12356, “National Security Information,” of 4-2-82, which establishes Governmentwide policy for safeguarding classified National Security Information. Department of Energy Acquisition Regulation (DEAR) 904.70, ‘Foreign Ownership, Control, or Influence Over Contractors,” which prescribes DOE policies and procedures regarding foreign ownership, control, or influence over contractors. DEAR 952.204-2, ‘Security Requirements,” of 4-84, which outlines contract clause requirements for contractors and subcontractors whose performance involves, or is likely to involve, classified information. DEAR 952.204-73, “Foreign Ownership, Control, or Influence Over Contractor (Representation ),” contract provision. DEAR 952.204-74, of 4-84, “Foreign Ownership, Control, or Influence over Contractor,” contract clause. DOE Safeguards and Security Standards and Criteria, of 9-27-88, which provides baseline guidance to Heads of Departmental Elements, and the managers of facilities for planning and developing protection operations for classified and sensitive matter and the protection of life and property. Design Basis Threat Guidance, of 4-1-92, issued by the Director of Security Affairs, which characterizes the various threats against which Safeguards and Security Programs must be designed. DOE Procedural Guide, “Security Standards for Sensitive Compartmented Information and Facilities,” of 1986, which establishes policy, procedures, and responsibilities for establishing and maintaining the security integrity of Sensitive Compartmented Information Facilities. DOE 5634.1B 9-15-92 Attachment 2 Page 1 1. 2. 3. 5. 6. 7. 8. 9. DEFINITIONS ACCESS PERMIT. An authorization, issued by DOE, affording access by a specifically named person or organization (permittee) to Restricted Data applicable to the civilian uses of atomic energy in accordance with specific terms and conditions. ACCOUNTABILITY. a. The property which enables activities on an automated data processing (ADP) system to be traced to individuals who can then be held responsible for their activities. b. That part of the safeguards and security program which encompasses the measurement and inventory verification systems and records and reports to account for nuclear materials. c. A system which audits the control measures prov through the use of verifiable inventory and the chain. ided classified material establishment of a custodial CLASSIFIED INTEREST. Classified information or material possessed by DOE, a DOE contractor, or any other facility under DOE jurisdiction. This may include SNM owned by DOE. FACILITY An educational institution, manufacturing plant, laboratory, office building; or complex of buildings located on the same site that is operated and protected as one unit by the Department or its contractor(s). FACILITY APPROVAL. A determination that a facility (and/or activities conducted within a facility) is eligible to receive, produce, use, or store classified matter, nuclear materials, or other DOE property of significant monetary value. FACILITY DATA AND APPROVAL RECORD. A standard DOE form (DOE F 5600.2) which is used to record approvals, changes, and deletions of security facilities.

FACILITY REGISTER. An index of security facilities under the administrative or survey responsibility of a DOE Field Office. FINDING. A separate, distinct situation in a surveyed organization that is not in compliance with directives or requirements, a deficiency in the performance of a safety records and security system, or a concern regarding the adequacy of a practice. FOREIGN OWNERSHIP, CONTROL. OR INFLUENCE. Foreign ownership, control, or influence exists when a DOE contractor performing classified work, or having access to significant quantities of special nuclear material, has an institutional or personal relationship with foreign interests. A contractor is considered to be under foreign ownership, control, or influence when the degree of interest, as defined above, is such that a reasonable basis exists for concluding that compromise of classified information or significant quantity of 4. Attachment 2 Page 2 DOE 5634.1B 9-15-92 10. 11. 12. 13. 14. 15. 16. special nuclear material, as defined GRADED SAFEGUARDS. A system designed in 10 CFR 710, may result. to provide varying degrees of physical protection, accountability, and material control to different types,” quantities, physical forms, and chemical or isotopic compositions of nuclear materials consistent with the risks and consequences associated with threat scenarios. MALEVOLENT ACT. An illegal action or an action that is committed with the intent of causing wrongful harm. MASTER FACLITY REGISTER. A central record index which is maintained by the Office of Safeguards and Security (SA-1O) of all safeguards and security facilities and activities under the administrative jurisdiction of DOE Elements. NUCLEAR MATERIALS. a. All materials so designated by the Secretary of Energy, at present: depleted uranium, enriched uranium, plutonium-242, americium-241. americium-243, curium, berkelium, californium, plutonium 238-242; lithium-6, uranium-233, normal uranium, neptunium-237, deuterium, tritium, and thorium. b. Special nuclear material, byproduct material, or source material as defined by Sections 11aa., he., and 11z., respectively, of the Atomic Energy Act, or any other material used in the production, testing, utilization, or assembly of nuclear weapons or components of nuclear weapons that the Secretary determines to be nuclear material under 10 CFR 1017. IO(a). NUCLEAR MATERIALS ACCOUNTING. The principles and/or practices of systematically recording, reporting, and interpreting nuclear material transaction and physical inventory data. NUCLEAR MATERIALS CONTROL. The part of the safeguards program to: assign and exercise responsibility for nuclear material; maintain vigilance over the material; govern its movement, location, and use; monitor the inventory and process status; detect unauthorized activities for all nuclear material; and help investigate and resolve apparent losses of nuclear material. NUCLEAR MATERIALS SURVEY. A comprehensive examination and evaluation of the effectiveness of the control and accountability systems for nuclear materials at DOE facilities. DOE 5634.1B 9-15-92 Attachment 2 Page 3 17. 18. 19. 20. 21. 22. 23. 24. 25. PHYSICAL PROTECTION (PHYSICAL SECURITY)_. The appl preventing malevolent acts against DOE safeguards detecting such acts as they occur, and responding ication of methods for and security interests, to such acts.

PROPERTY PROTECTION FACILITY. A facility where a special standard of protection must be applied. Such a facility may have: property of significant monetary value (>$5,000,000); nuclear materials requiring safeguards controls or special accounting procedures other than those required by A, B or C facilities; significance to DOE program continuity; national security consideration; or potential adverse impact upon the public health and safety. RESPONSIBLE ORGANIZATION. The DOE organization responsible for implementation and oversight of safeguards and security requirements at a DOE facility, including approval of-safeguards and security plans and resolution of deficiencies other than those which are specific to another DOE organization’s security interests. NOTE: If there is more than one DOE organization with security interests at a facility, the organization which is responsible for the programs involving the highest level of security interest is normally the responsible office. However, this responsibility may, by mutual agreement of the offices involved, be accepted by an office which does not have the highest level of security interest but a greater scope interest, as with a long term or traditional interest. SAFEGUARDS. An integrated system of physical protection, material accounting, and material control measures designed to deter, prevent, detect, and respond to unauthorized possession, use, or sabotage of nuclear materials. SAFEGUARDS AND SECURITY ACTIVITY. Any work performed under contract, subcontract, or other agreement which involves access to classified information, nuclear material, or DOE property of significant monetary value by DOE, a DOE contractor, or any other activity under DOE jurisdiction. Also included is the verification of the capabilities of approved Federal locations. SAFEGUARDS AND SECURITY SURVEY The security survey and/or nuclear materials survey, as appropriate. The security survey and nuclear materials survey may be performed independently or as one integrated survey. Integrated safeguards and security survey refers to the combined security and nuclear material survey. SECURITY. An integrated system of activities, systems, programs, facilities, and policies for the protection of Restricted Data and other classified information or matter, nuclear materials, nuclear weapons and nuclear weapon components, and/or Departmental and Departmental contractor facilities, property, and equipment. SECURITY, PHYSICAL. See Physical Protection. SECURITY FACILITY. Any facility which has been approved by DOE for generating, receiving, using, processing, storing, reproducing, transmitting, destroying, or handling classified matter and/or handling nuclear materials. Attachment 2 DOE 5634.1B Page 4 9-15-92 26. 27. 28. 29. 30. 31. 32. 33. SECURITY INTEREST. A general term which includes any of the following which require special protection: classified information, classified matter, special nuclear material and other nuclear materials, secure communications centers, sensitive compartmented information facilities, automatic data processing centers, systems processing, storing, and transmitting classified information, and/or Departmental property. SECURITY SURVEY. Onsite examination of the devices, equipment, personnel, and procedures employed at a facility to safeguard SNM, classified matter, and/or DOE property.

SENSITIVE COMPARTMENTED INFORMATION (SCI). Classified information concerning or derived from intelligence sources, methods, or analytical processes, which is required to be handled within formal access control systems established by the Director of Central Intelligence. SENSITIVE COMPARTMENTED INFORMATION FACILITY (SCIF). An accredited area, room, group of rooms, or installation where sensitive compartmented information may be stored, used, and/or electronically processed. SIGNIFICANT SYSTEM ALARM Any facility safeguards and security capability that identifies and communicates an indication of a malevolent act involving radiological or industrial sabotage, espionage, or the theft or diversion of classified matter or nuclear materials which could be used to construct an improvised nuclear device, a nuclear device, or unauthorized detonation of a weapon or test device. SIGNIFICANT VULNERABILITY. The loss of, or discovered way to bypass, an essential safeguards and security system component or set of components for which there is no effective backup. SOURCE MATERIAL. Depleted uranium, normal uranium, thorium, or any other material determined, pursuant to the provisions of Section 61 of the Atomic Energy Act of 1954, as amended, to be source material; or ores containing one or more of the foregoing materials in such concentration as may be determined by regulation. SPECIAL NUCLEAR MATERIAL (SNM) Plutonium, uranium-233, or uranium enriched in the isotope 235, and any other material which, pursuant to the provisions of Section 51 of the Atomic Energy Act of 1954, as amended, has been determined to be special nuclear material, but which does not include source material; or it also includes any material artificially enriched by any of the foregoing, not including source material. 34. 35. SUGGESTION. Information a field element provides to identify potential program enhancements. SURVEYING ORGANIZATION. The DOE safeguards and security organization which has responsibility for conducting a security and/or nuclear materials survey of a DOE facility. DOE 5634.1B Attachment 2 9-15-92 Page 5 (and 6) DOE 5634.1B 9-15-92 i TABLE OF CONTENTS Page CHAPTER I - RESPONSIBILITIES AND AUTHORITIES Director of Security Affairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 2. Director of Safeguards and Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 3. Secretarial Officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-3 4. Heads of Field Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5. Director of Information Resources Management . . . . . . . . . . . . . . . . . . . . . . 6. Director of Procurement, Assistance and Program Management . . . . . . . . . 7. Director, Naval Nuclear Propulsion Program .......................... CHAPTER II - FACILITY IMPORTANCE RATINGS, APPROVALS, AND RECORDS 1. Facility Importance Ratings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . c. Facility Register . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2. Facility Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Accepting Existing DOE Facility Approval . . . . . . . . . . . . . . . . . . . . . . c. Granting New Facility Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . d. Verification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . e. Terminating Facility Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3. Facility Data and Approval Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Submission of the Facility Data and Approval Record . . . . . . . . . . . c. Attachment to the Facility Data and Approval Record . . . . . . . . . . . d. Nonsubmission of a Facility Data and Approval Record . . . . . . . . . . e. Distribution ............................................ Attachment II-1 - Facility Data and Approval Record . . . . . . CHAPTER III - GENERAL SURVEY REQUIREMENTS Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. Types of Surveys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. Initial Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Periodic Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . c. Special Survey ............................................ d. Termination Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . e. Shipment Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3. Coverage ........................................... a. Initial and Periodic Surveys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Special Surveys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . c. Termination Surveys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . d. Shipment Surveys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4. Pre-Survey Planning and Scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5. Coordination of Nuclear Materials and Security Surveys . . . . . . . . . . . . I-4 I-6 I-6 I-6 II-1 II-1 II-1 II-3 II-3 II-3 II-3 II-4 II-6 II-7 II-8 II-8 II-8 II-8 II-9 II-9 II-11 III-1 II1-1 III-1 III-1 III-1 III-1 III-1 III-1 III-1 III-1 III-2 III-2 III-2 III-3 1. a. 1. ii DOE 5634.1B 9-15-92 6. Survey Documentation and Reports ................................ 7. Distribution .................................................. Attachment III-1 - Safeguards and Security Survey Report ..... CHAPTER IV - SECURITY SURVEYS 1. Purpose ................................................. Exemptions ............................................ 3. Frequency ................................................. 4. Survey Report Content .......................................... 5. Training and Qualifications ...................................... 6. Compliance Segment ........................................... 7. Performance Segment ..............................................

Attachment IV-1 - Geographic Responsibilities for Surveys ..... CHAPTER V - NUCLEAR MATERIALS SURVEYS 1. Purpose ............................................... Frequency ............................................. 3. Survey Report Content ...................................... 4. Training and Qualifications .................................. Compliance Segment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6. Performance Segment ..................................... CHAPTER VI - SURVEY RATINGS AND FOLLOW UP ACTIONS 1. 2. 3. 4. 5. 6. 7. 8. 9. Rating System ............................................. Satisfactory ............................................ b. Marginally Satisfactory .................................... c. Unsatisfactory ........................................... Identified Protection Needs ................................. Use of the “Marginally Satisfactory” Rating ...................... Use of Unsatisfactory Rating .................................. Corrective Actions and Survey Ratings ............................ Deficiencies in Documentation ............................. Compliance ............................................ Performance . . ..................................... Survey Follow Up and Corrective Actions ............................ III-3 III-4 III-5 IV-1 IV-1 IV-1 IV-2 IV-3 IV-3 IV-3 IV-5 V-1 V-1 V-3 V-4 V-4 VI-1 VI-1 VI-1 VI-1 VI-1 VI-1 VI-1 VI-2 VI-2 VI-2 VI-2 VI-2 2. 2. 5. a. V-1 DOE 5634.1B 9-15-92 I-1 CHAPTER I RESPONSIBILITIES AND AUTHORITIES approvals. 2. DIRECTOR OF SAFEGUARDS AND SECURITY (SA-1O) shall: 1. DIRECTOR OF SECURITY AFFAIRS (SA-1) establishes policies, procedures, and standards for DOE nuclear materials and security surveys and facility a. Develop, for review and approval by SA-1, policies, standards, and procedures for DOE nuclear materials and security surveys and facility approvals. b. Review nuclear materials and security survey reports submitted by each field element. c. Conduct surveys of facilities for which Headquarters is the surveying organization and transmit copies of survey reports to responsible Heads of Field Elements and appropriate Headquarters program organizations. (1) Advise cognizant Headquarters Elements, SA-1, and the Office of the Inspector General (IG-1), of any significant problems identified as a result of reviews of Headquarters Element activities and nuclear materials and security survey reports, and recommend appropriate measures to correct noted deficiencies. (2) Assure that surveys examine the adequacy and effectiveness of the protective measures afforded all interests. (3) Assure findings resulting from security and/or nuclear surveys are documented. d. Review and approve exceptions to this Order according to DOE 5630.11.. e. Provide policy guidance to all Departmental Elements in the implementation of the survey and facility approval system. materials f. Oversee surveys for Headquarters-administered contracts; furnish the surveying organization complete information concerning Headquarters interests when survey coverage is requested; initiate necessary action to implement suggestions resulting from surveys of Headquarters facilities; and notify the surveying organization, when applicable, of such implementations. I-2 DOE 5634.1B 9-15-92 g. Maintain the Master Facility Register, including the recording of: (1) Facility register changes in a timely and accurate manner; and

(2) At a minimum, the facility’s name, location, importance rating, classified mailing address, security officer’s name, and the identification of responsible and surveying organizations. h. Maintain a file of facilities either under Headquarters-administered contracts or for which Headquarters is the surveying organization. i. Approve physical and technical security criteria for sensitive compartmented information facilities prior to initiation of new construction and ensure that appropriate surveys are performed prior to occupancy. J. For Headquarters Elements, ensure that, as a prerequisite for the granting of a facility approval, each contractor has executed a certificate which includes a statement of the nature and degree of foreign ownership, control, or influence, or a statement that there is no foreign involvement. k. Review information provided by field elements or by Headquarters procurement for Headquarters interests and, in coordination with the Office of the General Counsel (GC-1) and Director of Procurement, Assistance and Program Management (PR-1), determine whether the degree of foreign ownership, control, or influence may constitute a reasonable basis for compromise of classified information, unauthorized access to or use of special nuclear material, or other adverse impact on the national security. 1. For facilities under Headquarters-administered contracts: (1) Grant facility approvals; (2) Approve security plans, when required; (3) Terminate facility approvals; (4) Prepare and distribute facility data and approval records; and (5) Ensure the conduct of initial and periodic surveys. DOE 5634.1B 9-15-92 3. SECRETARIAL OFFICERS shall: I-3 a. b. c. d. e. f. g. For facilities under Headquarters-administered contracts, request SA-10 to: (1) Determine the adequacy of safeguards and security, and grant facility approvals; and (2) Terminate the safeguards and security activities, upon completion of the classified work and removal of special nuclear material (SNM) or classified matter. For facilities under their programmatic or administrative jurisdiction, take action to ensure acceptable safeguards and security. Such action may include curtailing or suspending operations when such operations would result in an immediate and unacceptable risk to national security or public health and safety. Ensure that contracting officers incorporate contract and solicitation provisions implementing the requirements of this Order in new or existing contracts which involve SNM or classified information. Ensure that corrective actions required as a result of nuclear materials and/or security surveys of facilities under their administrative jurisdiction are implemented and that the Director, SA-10, and other responsible Heads of Field Elements, if appropriate, are promptly notified of the implementing action. Ensure those procurements which involve classified information and that require the security provisions of DEAR 952.204-2 are brought to the attention of the contracting officer. Unless another individual is designated, the responsibility is that of the procurement request originator. Provide sufficient resources for the survey programs to support professional, administrative, technical, and clerical staffing requirements, equipment and materials, logistics requirements, and training and development.

Take such action, as may be appropriate, to ensure acceptable safeguards and security, including curtailment or suspension of operations when such operations would result in an immediate and unacceptable risk to national security or public health and safety. I-4 4. HEADS OF FIELD ELEMENTS DOE 5634.1B 9-15-92 shall: a. b. c. d. e. f. g. Establish written delegations of authorities and responsibilities for the administration of the facility approval and nuclear materials and security survey programs. Ensure that nuclear materials and/or security surveys are conducted as specified in this Order and in accordance with safeguards and security interests under their administrative jurisdiction. Ensure prompt submission of survey reports to SA-10, responsible Heads of Field Elements, and the appropriate Secretarial Officer(s), and that such survey reports are properly classified. Ensure that procurement request originators (organizations initiating a requirement on DOE F 4200.33, “Procurement Authorization Request”) notify contracting officers when acquisitions involve safeguards and security concerns. Ensure that prior to the initiation of any action involving nuclear materials with a license-exempt (as defined in 10 CFR 50) contractor, appropriate contractual coverage is in place to permit the implementation of this Order with regard to the contractor’s classified matter and/or nuclear materials activities. Develop procedures for the administration and conduct of nuclear materials and security surveys in accordance with this Order. Ensure that prior to an initial nuclear materials and/or security survey, a security agreement is executed that includes a statement of the degree of foreign ownership, control or influence, or a statement of no foreign involvement. When foreign ownership, control, or influence is established, notify SA-10 and forward the certification statement and all supporting foreign ownership, control, or influence information, including the review and rationale for acceptance or nonacceptance for final adjudication. In coordination with GC-1 and SA-1, restrict or deny award of contract in cases where foreign ownership, control, or influence is such that: (1) A reasonable basis exists for concluding that compromise of classified information, unauthorized access to or use of SNM, or other adverse impact on the national security may result; and (2) The foreign ownership, control, or influence cannot be satisfactorily avoided or mitigated. DOE 5634.1B 9-15-92 I-5 h. i. j. q. k. l. m. n. o. p. Ensure during that corrective action(s) is taken for findings disclosed nuclear materials and security surveys and notify SA-10, responsible Secretarial Officers, and other Heads of Field Elements of the action(s), as appropriate. Ensure that contracting officers incorporate contract and solicitation provisions implementing the requirements of this Order in new or existing contracts which involve classified matter and/or nuclear material activities. Ensure that surveys examine the adequacy and effectiveness of the protective measures afforded: (1) Secure communications centers; (2) Automatic data processing centers and remote interrogation points; and (3) Sensitive compartmented information facilities. Approve each new or updated facility security and nuclear materials control and accountability plan and submit copies to SA-10 for incorporation into the Master Facility Register. Also submit copies to the surveying organization if different from the responsible organization.

Conduct surveys of selected security shipments for which they are responsible, take corrective actions resulting from these surveys, and submit copies of such reports to SA-10 for incorporation in the Master Facility Register. Grant facility approval for facilities under their administrative jurisdiction. Prepare and submit facility data approval records to SA-10, as required. Assign importance ratings to facilities based on criteria contained in this Order. Maintain a register of all security and nuclear materials facilities for which they are either the responsible or surveying organization including recording: (1)1 Facility register changes in a timely and accurate manner; (2) At a minimum, the facility’s name, its importance rating. and location and classified officer’s name. When site or program consi mailing address, and the security derations make strict implementation of this I-6 DOE 5634.1B 9-15-92 Order not feasible, develop an alternate approach using the exception procedure cited in DOE 5630.11. r. Develop detailed facility approval, suspension, and termination procedures to accommodate a need to retain possession of classified matter or nuclear materials at facilities under their jurisdiction. 5. DIRECTOR OF INFORMATION RESOURCES MANAGEMENT (AD-20). THROUGH THE DIRECTOR OF INFORMATION TECHNOLOGY SERVICES AND OPERATIONS (AD-25) , shall, conduct communication security (COMSEC) audits and surveys and emission security (TEMPEST) inspections of secure communications centers and crypto facilities. 6. DIRFCTOR OF PROCUREMENT, ASSISTANCE AND PROGRAM MANAGEMENT (PR-1) shall, in coordination with GC-1 and SA-10, maintain solicitation and contract articles implementing this Order and procedures to protect DOE contrac- tual arrangements from foreign ownership, control, or influence, where these could constitute a reasonable basis for concluding that the compromise of classified information, unauthorized access to or use of SNM, or other related adverse actions could impact on the national security. 7. DIRECTOR, NAVAL NUCLEAR PROPULSION PROGRAM (NE-60) , shall, in accordance with the responsibilities and authorities assigned by Executive Order 12344 (statutorily prescribed by Public Law 98-525 (42 United States Code (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. DOE 5634.1B 9-15-92 II-1 a. Purpose. Importance ratings assigned to security interests provide a means of identifying the relative importance of such facilities and activities on facility registers and the Master Facility Register. The responsible organization shall assure that all facilities eligible to receive, process, reproduce, store, transmit, destroy, or use SNM or classified matter (including SNM owned by DOE) have been granted facility approval prior to permitting classified matter or SNM on the premises. b. Criteria. Facility importance rati following criteria: (1) Class “A” facility importance facilities which are: (a) Judged by Heads of Field Elements to be engaged in (b) (c) (d) (e) (f) (g) ngs are assigned using the ratings are assigned those administrative activities considered to be essential to the direction and continuity of the overall DOE nuclear weapons program; Engaged in research and assembly, or storage of

Engaged in research and development, manufacture, nuclear weapons or weapon development, manufacture, production, assemblies; production, assembly, or operation of military reactors; Engaged in major research and development in uranium enrichment or operation of major uranium enrichment facilities; Involved in research and development, manufacture or production, and assembly of non-nuclear weapon components, assemblies, and parts essential to the weapons or military reactors programs; Receiving, handling, and storing Top Secret documents (exclusive of keying material for secure communications) over an extended period; or Possessors of Category I quantities of SNM owned by DOE. CHAPTER II 1. FACILITY IMPORTANCE RATINGS. FACILITY IMPORTANCE RATINGS, APPROVALS, AND RECORDS II-2 DOE 5634.1B 9-15-92 (2) Class “B” facility importance ratings are assigned to the following facilities: (a) (b) (c) (d) (e) Possessing security interests other than the type categorized for Class “A” facilities and which handle and store Secret weapon data documents or Secret research and development reports; Other than the type categorized for Class “A” facilities, in the uranium enrichment program; Possessing Category II quantities of SNM owned by DOE; DOE national laboratories with security interests other than the type categorized for Class “A” facilities; or Emergency operations centers (except those unmanned, which are Class “C” facilities). (3) Class “C” facility importance ratings are assigned to facilities which are: (a) Engaged in manufacturing, research and development, administrative or consultant activities, including machine and specialty shops, automatic data processing, printing and photographic work, and design engineering where the security interests are limited in scope; (b) Possessors of Categories III and IV quantities of SNM; (c) Established for classified bid negotiations or quotations; (d) Authorized to retain classified matter (except SNM) other than that noted under paragraphs 1b(2)(a) and (b), above, after completion or other agreement; or (e) Federal records centers holding DOE security interests. (4) Class “AP” (Access Permit) facility importance ratings are assigned to those facilities at which restricted data is received, originated, or stored under an access permit. (5) Class "PP" (Property Protection) facility importance ratings are assigned to those facilities at which a special standard of protection must be applied when significant monetary value, DOE program continuity, national security considerations, or protection of the public health and safety constitutes an important DOE responsibility. Basic considerations include physical protection to prevent or deter acts of arson, civil disorders, riots, sabotage, terrorism, vandalism, and theft or destruction of DOE property and facilities. DOE 5634.1B II-3 9-15-92 c. Facility Register The responsible field element and the surveying organization, if not the same, shall maintain a facility register on those facilities as follows for which it has responsibility: (1) The facility register: (a) Accurately reflects facilities with Class A, B, or C property protection, and access permit facility importance ratings; (b) At a minimum, reflects the facility’s name, its importance rating, location and classified mailing address, security officer’s name, and identifies the responsible and surveying organizations; and (c) Is controlled appropriate to its contents.

(2) Changes shall be timely and properly coordinated with the responsible organization, or surveying organization if different. (3) Responsible and surveying organizations shall confirm the accuracy of the Master Facility Register maintained at Headquarters and that it reflects established facilities and security interests under their jurisdiction, via prompt submission of accurate facility data and approval records (DOE F 5600.2, “Facility Data and Approval Record” (see Attachment II-l)). 2. FACILITY APPROVAL. a. Purpose. To ensure that all facilities eligible to receive, process, reproduce, store, transmit, use, or destroy SNM or classified matter have been granted facility approval based upon a validated satisfactory safeguards and security system prior to permitting classified matter or classified and unclassified SNM on the premises. The requirements for establishing facility approvals are outlined below. b. Accepting Existing DOE Facility Approval. The organization seeking to establish an S&S activity shall check the Master Facility Register to determine whether the location already has DOE facility approval. If already approved, the responsible organization may accept the existing DOE facility approval, provided: (1) the existing safeguards and security program at the facility accommodates the new DOE activity; and (2) the responsible organization determines that, on the basis of the latest survey report, the existing safeguards and security program is compatible with the level of the new activity. Additional requirements shall be established and completed prior to the initiation of the S&S activity when the existing safeguards and security program cannot meet the requirements of the added DOE activity. These additional requirements may include the conduct of vulnerability analyses and validation exercises and shall be DOE 5634.1B 9-15-92 II-4 c. documented in approved security and/or Nuclear Material Control and Accountability plans. As appropriate, the existing MSSA, and security and material control and accountability plans shall be revised to reflect the new or added activity. Granting New Fac ility Approval. (1) Approval of a New Facility or Activities DOE Facility.at a Its Contractors, Subcontractors, Consultants, or Access Permitters The following conditions shall be in effect prior to approval: (a) (b) (c) (d) (e) When SNM is present, all facilities subject to facility approval shall have DOE approved site-specific security and material control and accountability plans and an established Reporting Identification Symbol (RIS) for Nuclear Materials Management and Safeguards System reporting. For SNM, approval is based upon an initial security survey and material control and accountability survey, both with a satisfactory composite rating. For classified information, approval is based on an initial survey report, conducted by geographical survey office, with a satisfactory composite rating. For those security activities covered under facility MSSAs which are to be protected in a graded fashion, the facility shall have completed a vulnerability analyses of the proposed security activity. The facility shall have this analysis available for review during the survey. The date of the nuclear materials and security survey and site-specific security/material control and accountability plan upon which the granting of facility approval is based shall not be more than 12 months prior to the granting of facility approval.

DOE 5634.1B 9-15-92 (f) (9) (h) (i) (2) II-5 When the level of classified information is raised from Confidential to Secret or Top Secret, or the category of SNM holdings is raised from Category III to Category II or I, facility approval at the higher level shall be based upon a survey with a satisfactory composite rating. In addition to the above requirements, facility approval for access permitters is based on a review of the access permittee’s written statement of its proce- dures for the safeguarding of Restricted Data and for the security education of its employees consistent with the requirements of 10 CFR 1016, “Safeguarding of Restricted Data.” Access authorizations shall be in place at the responsible organization for persons included in a new activity. Adequate classification guidance pertaining to the new security activity will be available to assure protection of the interest. Accepting an Existing U.S. Government Agency Facility Approval for Work at One of Its Contractors When a DOE Facility Approval Does Not Exist. (a) Work remains under the programmatic cognizance of DOE, however, security survey and oversight is ceded to the other U.S. Government agency. Whenever practicable, a DOE security facility approval shall be established. However, accepting another U.S. Government agency facility approval for work under DOE cognizance may be considered when: The activity is short-term or of minor significance to the Department; A security facility approval by another agency already exists; It is not economically prudent for the responsible or another field element to complete the facility approval and survey requirements; and The activity does not involve SNM or access to Restricted Data. 1 2 3 4 II-6 DOE 5634.1B 9-15-92 (b) Facility approval is based upon an existing U.S. Government agency facility clearance at the Confidential or Secret classification level and provided that: The U.S. Government agency facility clearance encompasses the DOE classified activity and the last survey or inspection report is noted as satisfactory in those areas which could affect the DOE interest. The U.S. Government agency cognizant security office furnishes to the responsible DOE security office copies of its periodic inspection reports or periodic memoranda covering the DOE classified activity, citing that a satisfactory survey was conducted. The U.S. Government agency cognizant security office agrees that it will not cancel the facility clearance without prior notification to the DOE security office requesting security support. All employees granted access to DOE classified information have, as a minimum, U.S. Government security clearances based on a National Agency check. Requirements identified in paragraph 2c(2) (a) 1 through 4, above, are documented in a letter or memorandum of agreement between the DOE responsible security office and the U.S. Government cognizant security office prior to the establishment of a security activity. (c) If the foregoing provisions cannot be met or when SNM or DOE Top Secret, or Secret, or Confidential Restricted Data is involved, facility approval is based upon the provisions of paragraph 2c(1), page II-4. (d) When an existing U.S. Government agency cleared facility also has a DOE facility approval, the latter is used, when practicable, instead of the other U.S. Government agency facility clearances.

d. Verification. Verification of capability of other U.S. Government agencies and their contractors to protect classified information for reference or use in work not under DOE cognizance is as follows: (1) Approval to transmit classified information shall be based upon a written assurance from the Government agency that DOE classified matter in its possession or in the possession of its contractors, subcontractors, or consultants will be afforded physical protection and safeguards in accordance with Executive Order 10865, “Safeguarding Classified Information Within Industry,” as amended, Executive Order 12356, “National Security Information," 1 2 3 4 5 DOE 5634.1B 9-15-92 and its implementing Information Security Oversight Office directive; and that the mandatory personnel clearance requirements of the Atomic Energy Act of 1954, as amended, pertaining to access to Restricted Data, be met. II-7 (2) When an agreement between DOE and another Government agency specifically limits the dissemination of certain categories of DOE classified information within that agency, e.g., Restricted Data, the responsible organization shall request the agency, on execution of the agreement, to furnish a statement of its procedures to ensure such limitation. e. Terminating Facility Approval. (1) When a facility has completed its activities involving SNM or classified matter, the responsible organization assures destruction or return of matter or material returned to DOE custody through a termination survey or by correspondence that includes the following: (a) Security termination statements; (b) Written certification of nonpossession of classified matter or SNM; (c) Cancellation of personnel clearances or access authorizations which are no longer needed; (d) Discontinuance of physical security and material control and accountability measures; and (e) Preparation of a DOE F 5600.2 (see Attachment II-1), canceling facility approval. (2) A certificate of possession and periodic surveys are required if the facility is authorized to retain classified matter after termination of a contract agreement. The responsible organization shall: (a) Maintain appropriate documentation to support receipts of destruction or certificates of nonpossession. II-8 DOE 5634.1B 9-15-92 (b) Establish guidelines for terminating facility approval and coordinating termination activities with appropriate contracting, program, security, and safeguards organizations. 3. FACILITY DATA AND APPROVAL RECORD. a. b. c. Purpose. To register pertinent facility information on the Master Facility Register, which must be in agreement. Prompt submission of Facility Data and Approval Records and accuracy of reported information are essential to the continued integrity of the system. Submission of the Facility Data and Approval Record A DOE F 5600.2, “Facility Data and Approval Record,” is submitted to SA-10 by the responsible organization when: (1) Granting initial facility approval; (2) Accepting existing facility approval for an additional activity(ies); (3) There is a significant change in a registered facility or activity within a facility (e.g., a change in name, address, facility importance rating, responsible organization, classified mailing address, contract or purchase order number, classification, Restricted Data authorization, or nature or scope of work); - (4) Facility approval for a registered terminated; (5) Activities are surveyed for DOE by agencies; or facility or activity (ies) is

DOD or other Government (6) When SNM is to be placed in the facility. Attachment to the Facility Data and Approval Record. When submitting DOE F 5600.2, attach a copy of the following: (1) Initial survey reports to the facility data and approval record granting facility approval; (2) Report of survey in memorandum form and pertinent correspondence, when applicable, to the facility data and approval record granting facility approval; and (3) Termination survey report, if conducted, to the Facility Data and Approval Record terminating facility approval. DOE 5634.1B II-9 (and II-10) 9-15-92 d. Nonsubmission of a Facility Data and Approval Record. Nonsubmission of a Facility Data and Approval Record increases the risk that an activity will not be encompassed by the normal safeguards and security administration expected at a cleared facility and may be missed during the normal oversight provided by a periodic or termination survey. However, after appropriate consideration, a Facility Data and Approval Record need not be submitted for the following: (1) An organization holding a contract with a facility executes a purchase order or contract amendment for additional work or material similar to that registered under the contract, unless such purchase order or amendment requires substantial changes in existing security or nuclear material control and accountability programs. (2) An invitation to bid tendered by a field element is consonant with the activity(ies) previously registered by that field element. e. Distribution. The organization preparing the Facil Approval Record shall forward the original and two SA-10, which will make appropriate distribution to Elements having safeguards and security activities ity Data and copies to other Departmental DOE 5634.1B 9-15-92 Attachment II-1 Page II-11 (and II-12) FACILITY DATA AND APPROVAL RECORD DOE 5634.1B 9-15-92 III-1 CHAPTER III GENERAL SURVEY REQUIREMENTS 1. PURPOSE. To provide the basis for evaluating the adequacy and effectiveness of safeguards and security programs and the protection afforded DOE safeguards and security activities. 2. TYPES OF SURVEYS. a. b. c. d. e. Initial Survey. An onsite examination of a facility prior to granting facility approval. Periodic Survey. An onsite examination of a facility conducted at scheduled intervals. Special Survey. An onsite examination of a facility conducted for a specific purpose. Termination Survey. An onsite examination of a facility conducted when the safeguards and security activities are removed from a facility or the contractor is changed for a facility, or to assure proper disposition of nuclear material and closeout of records. Shipment Survey. An examination of protection afforded security interests during shipment. 3. COVERAGE. a. b. c. Initial and Periodic Surveys cover the protection afforded DOE safeguards and security interests within a facility, including an evaluation of the adequacy and effectiveness of material control and accountability (MC&A) and security programs and a thorough examination of policies and procedures to ensure compliance/ performance with appropriate safeguards and security directives and agreements. All facilities are subject to the compliance and performance segments of surveys, as described in Chapters IV and V. Special Surveys evaluate the following: (1) Existing protection for additional activities; (2) Need for changes in material control and accountability and security procedures and measures due to changing conditions; and

(3) New material control and accountability and security measures taken as a result of findings identified under a previous survey(s). Germination Surveys evaluate actions taken to ensure termination of safeguards and security interests, execution of an appropriate III-2 DOE 5634.1B 9-15-92 security termination statement, and submission of a certificate of possession or nonpossession, as appropriate. Termination of facility approvals for Class “A” facilities, facilities possessing classified material, and/or SNM, require an onsite termination survey. For other facilities, termination may be by survey or correspondence. d. Shipment Surveys provide a basis for evaluating the adequacy of protection afforded DOE classified matter or SNM during shipment. Shipments which move between sites by rail, truck, air, or ship are subject to survey based on an approved security plan unless the shipment is made via a commercial carrier(s) licensed by the Nuclear Regulatory Commission (NRC). Movements of SNM between security areas at the same site shall be surveyed during the security survey of the site protection system. Each type of security shipment shall be surveyed initially and at least once every 12 months thereafter by the organization having administrative jurisdiction over the shipment. Shipment survey reports shall provide sufficient detail to enable a proper evaluation of the report and its findings. 4. PRE-SURVEY PLANNING AND SCHEDULING. Certain activities should be accomplished prior to the conduct of a security or nuclear materials survey. These are normally done by the surveying organization, the responsible organization (if different from the surveying), the facility being surveyed, and SA-10. The following activities are necessary: a. b. c. d. e. Determine the extent of, and establish procedures for, reviewing exceptions and other program departures. Review files for relevant information, issues, and topics to include in the survey. Such files include those pertaining to: previous surveys, security and MC&A plans, exceptions, and correspondence. Define the scope of the survey by identifying the program areas to be inspected, the methodology, and the resources to be used. The scope should allow for review of areas of concern that may arise during the survey process. Coordinate all planned survey activities in advance with parties involved in advance and establish communications channels. Such coordination should specifically include an agreed participation in a pre-survey briefing. Schedule the survey to allow prioritization of and changes to survey coverage of facilities. DOE 5634.1B III-3 9-15-92 5. COORDINATION OF NUCLEAR MATERI LS AND SECURITA Y SURVEYS. a. Security and nuclear materials surveys may be conducted simultaneously or separately. When performed separately, the surveying organization shall prepare an agreement outlining the responsibility of each survey that include the following: (1) Assessing system performance against applicable threats; (2) Evaluating different components of the safeguards and security system; and (3) Rating items on Headquarters-approved survey report forms (DOE F 5634,2, ‘Safeguards and Security Survey Report’ (see Attachment III-1)). b. When nuclear materials and security surveys are conducted separately at Class “A” and “B” facilities, they should be performed within a 2-month period. 6. SURVEY DOCUMENTATION AND REPORTS.

a. The survey report shall describe the state of the safeguards and security program. The report shall reflect the ratings on Headquarters-approved survey report forms as well as the performance ratings based upon exercises, where appropriate. As locally determined, work papers shall support the contents of the survey report. b. The narrative portion of the survey report shall outline strengths and weaknesses, correlate the results from the compliance and performance (where required) survey segments, and discuss both compliance and performance ratings. The report shall explain in detail the factors responsible for the assignment of a less than satisfactory rating. c. Findings shall be identified and correlated with items on the survey report forms approved by SA-10. The terms “findings” and “suggestions” may be used in the survey report. The term “finding” shall be used to refer to deficiencies, or concerns reached during the survey. The term “suggestion” may be used to refer to non-mandatory potential program enhancements for observations cited in the survey report. d. Survey results shall be validated by discussion, observations, or exercises during the survey process to ensure accuracy. e. As determined locally, survey work papers pertaining fully documented in the survey report should be retai minimum, until the next survey is completed. f. Survey observations of conditions in facility operati to findings not ned, as a ons systems which III-4 DOE 5634.1B 9-15-92 may adversely impact the health and safety of employees and/or the public shall be reported expeditiously to management and the responsible organization’s environmental, safety, and health organization for follow-up action. g. Survey reports for Class “PP” facilities and terminations may be in memoranda form. h. Findings shall be documented and monitored until resolved. Quarterly reporting on unresolved findings shall be made by the responsible organization to the cognizant Secretarial Officer(s) and SA-10. The first quarterly report shall be issued not later than 90 days after receiving written corrective action information from the surveyed facility. 7. DISTRIBUTION. a. Within 60 working days after the completion of the survey, the surveying organization(s) shall forward one copy of each survey report to the responsible organization, one copy to SA-10, copies to the appropriate Secretarial Officer(s), and one copy to the surveyed organization, as determined locally. b. Heads of Field Elements or SA-10 (for Headquarters) may make internal distribution of survey reports, as appropriate. DOE 5634.1B 9-15-92 Attachment III-1 III-5 U. S. DEPARTMENT OF ENERGY SAFEGUARDS AND SECURITY SURVEY REPORT Attachment III-1 III-6 DOE 5634.1B 9-15-92 DOE 5634.1B 9-15-92 IV-1 CHAPTER IV SECURITY SURVEYS 1. PURPOSE. To assure that facilities maintain effective safeguards and security programs by requiring surveys which provide monitoring and evaluation. 2. EXEMPTIONS . Each field element and SA-10 shall conduct surveys of the facilities within its assigned geographic area, except in cases when a responsible field element may elect to perform this function itself. In the latter case, the responsible field element shall coordinate its decision with the field element having geographic responsibility. (Attachment IV-1 outlines geographic responsibilities for security surveys.)

a. The Pittsburgh Naval Reactors Office, Schenectady Naval Reactors Office, and the Strategic Petroleum Reserve Project Office are exempt from conducting security surveys for other field elements within their immediate geographic areas. However, this exemption is not all inclusive since travel restrictions based on budget restraints may dictate that field elements request these organizations to conduct the surveys for them. In such cases, mutually acceptable agreements are encouraged. b. When the volume of survey work assigned by geographical areas exceeds the ability of the surveying organization to absorb the work, and the problem cannot be resolved between affected DOE Field Offices, SA-10 shall be notified. The affected surveying organization shall provide SA-10 with a current list of facilities/interests within its assigned geographical area, survey delay times, survey schedules, staffing status, and other pertinent information. If the proposed delays are not satisfactory, SA-10 will coordinate a resolution with the affected DOE Field Office and Secretarial Officer(s), recommending temporary reassignment of surveys, personnel, or resources to the Heads of Departmental Elements. 3. FREOUENCY. Security surveys are conducted with the following schedule: a. Class “A” and “B” facilities shall be surveyed at least once every 12 months. b. Class “C” and Class “AP” facilities shall be surveyed at least once every 18 months, except for those facilities containing security interests listed in paragraph 3c, below. c. Secure communication centers, classified automatic data processing centers, remote interrogation points, sensitive compartmented information facilities, and selected security shipments shall be surveyed at least once every 12 months. IV-2 DOE 5634.1B 9-15-92 d. Property Protection (Class "PP”) facilities shall be surveyed at least once every 24 months, except those facilities containing security interests listed in paragraph 3c, above. e. Those safeguards and security interests documented in a facility Master Safeguards and Security Agreement as requiring protection against industrial or radiological sabotage shall be surveyed at least once every 12 months. 4. SURVEY REPORT CONTENT. Initial and periodic security survey reports consist of a narrative section reflecting both the compliance and Performance segments of the survey and a completed survey report form as supplied by SA-10. A copy of an approved survey report form-is shown in Attachment III-I. Locally developed survey forms may be used to supplement the approved survey report form. a. A report on the results of a survey of a security interest should include such items as: (1) A statement of the survey scope and period of coverage; (2) A statement regarding the facility’s function and scope of operations related to security interests; (3) An assessment of management (if appropriate) relative to security, program planning and review, and security control exercised by the facility; (4) Corrective actions on findings, including status of prior, unresolved findings; and (5) Discussion of major points which had, or might have, a significant effect on security controls at the facility. b. A periodic survey report need not contain a complete narrative description of each component and element of the security program unless significant changes have occurred or 5 years have elapsed since the last description. The phrases “no change” or “as previously reported” may be used. However, the new report shall identify the survey report which provides the latest description of the unchanged item. When a complete report is warranted, paragraph 4a, above, applies.

c. Special and termination survey reports may be written in memoranda form. d. Within 60 working days after completion of the survey, the surveying organization shall forward one copy of each survey report to the responsible organization, one copy to SA-10, copies to the Secretarial Officer(s) as directed, and one copy to the surveyed organization as determined locally. When the special survey is the basis for granting 5. 6. 7. DOE 5634.1B IV-3 (and IV-4) 9-15-92 e. f. g. facility approval for a new or expanded S&S activity or for continuing facility approval for an existing activity, and time is of the essence, the surveying organization shall: (1) Advise the responsible organization by telephone or teletype of the results of the survey; (2) Confirm this action by memorandum; and/or (3) Submit. a formal survey report, as appropriate. The surveying organization is not required to send a copy of a survey report to a responsible organization when the only security activity at the facility involves an individual S&S activity (e.g., consultant, responsible reviewer, or a person with a personal service contract). In this case, the surveying organization should advise the responsible organization by memorandum that the S&S activity has been included in the survey report, the date of survey, composite survey rating, and findings, if applicable. The surveying organization shall forward copies of each termination survey report, including the certificate of nonpossession/possession, to the responsible organization, SA-10, and the cognizant Secretarial Officer, as appropriate. The surveying organization shall forward one copy of the portions of the survey report regarding secure communications centers or crypto facilities to the Director of Information Technology Services and Operations (AD-25). TRAINING AND QUALIFICATIONS. Team personnel for security surveys shall possess qualifications and training sufficient to accomplish effective and thorough surveys. COMPLIANCE SEGMENT. The compliance segment of the security survey shall address how well the facility meets requirements contained in DOE direc- tives and the applicable facility Security Plan and/or Master Safeguards and Security Agreement. The results shall be entered on an approved security survey report form. PERFORMANCE SEGMENT. Surveys of facilities shall include a performance evaluation to assess the capability of the safeguards and security system to meet performance objectives. The performance evaluation shall determine system performance against scenarios for applicable threats/targets. DOE 5634.1B 9-15-92 Attachment IV-1 Page IV-5 (and IV-6) Geographic Responsibilities for Surveys Headquarters or Field Elements Survey Area DOE Albuquerque Field Office Arizona, Kansas, New Mexico, Oklahoma, Texas, Jackson County in Missouri DOE Chicago Field Office Connecticut, Illinois, Indiana, Iowa, Maine, Massachusetts, Michigan, Minnesota, Nebraska, New Hampshire, New Jersey, New York, North Dakota, Ohio, Pennsylvania, Rhode Island, South Dakota, Vermont, Wisconsin DOE Idaho Field Office DOE Nevada Field Office DOE Oak Ridge Field Office DOE Richland Field Office Rocky Flats Office DOE San Francisco Field Office DOE Savannah River Field Office Office of Safeguards and Security, Headquarters DOE Idaho, Montana, Utah, Wyoming Hawaii, Nevada, Johnston Atoll, Aleutian Islands Arkansas, Kentucky, Louisiana, Mississippi, Puerto Rico, Tennessee, West Virginia, Missouri (except Jackson County), Virgin

Oregon, Washington, Alaska (except Aleutian Islands) Colorado California Alabama, Florida, Georgia, North Carolina, Canal Zone, South Carolina Delaware, District of Columbia, Maryland, Virginia, offices in foreign countries Islands DOE 5634.1B 9-15-92 V-1 CHAPTER V NUCLEAR MATERIALS SURVEYS 1. PURPOSE. To assure that facilities are maintaining effective safeguards and security programs. This Order requires and describes the conduct of surveys which provide such monitoring and evaluation. 2. FREQUENCY. a. Nuclear materials surveys of each license-exempt (as defined in 10 CFR 50) contractor and Government-operated facility shall be performed annually for Category I, II, and III materials, and biennially for Category IV nuclear materials, unless: (1) The total value of the nuclear materials inventory at any time does not exceed $150,000 and the value of nuclear material receipts for any 12-month period is less than $500,000; (2) The total inventory consists entirely of source material, less than 10 tons of heavy water, less than 350 grams of SNM, or any combination of these; or b. Surveys of contractor facilities meeting the criteria in paragraphs 2a(1) and (2), above, shall be conducted at the discretion of the DOE Field Office Manager. Definitions of Categories I, II, III and IV are contained in DOE 5633.3. 3. SURVEY REPORT CONTENT. Initial and periodic nuclear materials survey reports consist of a narrative section reflecting the results of both the compliance and performance segments of the survey. For those facilities holding Category II and larger quantities of SNM, an approved survey report form, as provided by Attachment III-1, shall be utilized. Locally developed survey forms may be used to supplement the approved survey report form. a. A report on the results of a survey of nuclear materials control and accountability should include such items as: (1) A statement of the survey scope and period of coverage; (2) A statement regarding the facility’s function and scope of operations related to nuclear materials; (3) An assessment of the effectiveness of management (if appropriate) relative to nuclear material control and DOE accountability (MC&A) program planning and review, and the safeguards control exercised by the facility; V-2 DOE 5634.1B 9-15-92 (4) Corrective actions on findings, including status of prior, unresolved findings; and (5) Discussion of major points which had, or might have, a significant effect on inventory procedures and safeguards control at the facility. b. The nuclear materials survey report shall include results from: (1) Assessing the ability of the safeguards system to detect and respond to theft and/or diversion of nuclear materials; (2) Reviewing and evaluating: (a) Practices and procedures for the inventory of nuclear materials and the records system reconciliation; (b) Measurements and statistical programs, system; (c) Site’s nuclear materials accounting information system; (d) Nuclear material control practices and procedures; (e) Internal control system; and (f) Program planning and procedures; (3) Reviewing the training and qualification records of material balance area custodians, material handlers, and accountability clerks responsible for nuclear material data generation and/or transmission; and (4) Reviewing the facility’s vulnerability assessment program and material control and accountability internal control system.

c. In addition to the requirements in paragraphs 3a and b, above, during periodic nuclear material surveys, DOE personnel shall, as appropriate for the type and quantity of nuclear material in the inventory: (1) Ascertain facility compliance with written procedures and objectives of DOE directives on control and accountability of nuclear materials and the material control and accountability plan; (2) Review and evaluate the cause, magnitude, reasonableness, and disposition of accidental losses, normal operational losses/measured discards, approved write-offs, inventory differences, and shipper/receiver differences; (3) Audit the nuclear material records and reports to verify the accuracy of the facility’s material status reports and subsidiary DOE 5634.1B 9-15-92 V-3 (4) records; and Observe inventory procedures and practices and control the independent tests of the inventory to confirm the facility’s statement of the quantity of material on hand. DOE Field Offices may develop and use statistically based sampling plans appropriate for their site-specific needs to establish that stated nuclear material quantities are accurate. Inventory testing shall be based on a graded safeguards concept, and documentation shall be maintained to support the survey inventory testing criteria, sampling plans, test results, and conclusions. For those populations that do not conform to conventional weighing and sampling methods (or non-destructive assay analyses), confirmation of the con- tained nuclear materials shall be consistent with accepted estimation techniques, whether independently performed or observed by survey personnel. Inventory exemptions for highly radioactive materials are contained in DOE 5633.3. d. A periodic survey report need not contain a complete narrative description of each procedure and element of the Material Control and Accountability program unless significant changes have occurred or 5 years have elapsed since the last description. The phrases “no change” or “as previously reported” may be used. However, the new report shall identify the survey report which provides the latest description of the unchanged item. e. Within 60 working days after completion of the survey, the surveying organization shall forward one copy of each survey report to SA-10, copies to the Secretarial Officer(s) as directed, and one copy to the surveyed organization as determined locally. When a special nuclear materials survey is a part of the basis for granting facility approval for a new or expanded safeguards and security activity involving SNM, or for continuing facility approval for an existing activity where SNM is present, and time is of the essence, the surveying organization shall comply with the requirements of Chapter paragraphs 4d(1), (2), and (3). 4. TRAINING AND QUALIFICATIONS. Team personnel for shall possess qualifications and training suffic effective and thorough surveys. IV, page IV-3, nuclear materials surveys ient to accomplish V-4 5. 6. DOE 5634.1B 9-15-92 COMPLIANCE SEGMENT. The compliance segment of the nuclear materials survey shall address how well the facility meets requirements contained in DOE directives and the applicable facility Material Control and Accountability plan and/or MSSA. Results shall be entered on an approved nuclear materials survey report form. PERFORMANCE SEGMENT. Surveys of facilities shall include a performance evaluation to assess the capability of the safeguards and security system to meet performance objectives. The performance evaluation shall determine system performance against scenarios for applicable threats/targets.

DOE 5634.1B 9-15-92 VI-1 1. 2. 3. CHAPTER VI SURVEY RATINGS AND FOLLOW-UP ACTIONS 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. b. c. 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. 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. 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. 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). 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. USE OF UNSATISFACTORYY RATING. If either of the conditions cited in paragraphs 3a or b, above, are not met, an Unsatisfactory rating shall be assigned. 4. VI-2 DOE 5634.1B 9-15-92 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 correc- tive 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. b. c. 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. 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). 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 DOE 5634.1B 9-15-92 organization differs from organization shall promptly VI-3 (and VI-4) the responsible organization, the surveying 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 organizaiton 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. With 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.