INDEX


DOE C 470.1                                                       Attachment 1
9-28-95                                                                 Page 1


                         CONTRACTOR REQUIREMENTS DOCUMENT


            CONTRACTOR SAFEGUARDS AND SECURITY PROGRAM REQUIREMENTS

The intent of the following requirements is that Department of Energy  (DOE)
contractors and their employees will adhere to the same standards for protection
of materials, information, and other property of interest to the Department's
Safeguards and Security Program against loss, theft, sabotage, or other hostile
acts, as those required of DOE Elements and their personnel.

1.    RISK MANAGEMENT.  The acceptance of some level of risk is inherent in any
      activity.  The nature of the threat, the vulnerability of the potential
      target, and the potential consequences of an adversarial act shall be
      considered in determining the appropriate level of protection against risk.
      Accordingly, safeguards and security programs shall be based on
      vulnerability/risk analyses designed to provide graded protection in
      accordance with the asset's importance.  Risk associated with safeguards
      and security vulnerabilities should be reduced even where not mandated by
      specific requirements, when such reduction is consistent with DOE's mission
      and when supported by appropriate cost/benefit analyses.

2.    SITE-SPECIFIC PROGRAMS.  Safeguards and security programs shall be tailored
      to address site-specific characteristics.  Site-specific protection
      programs shall be documented.  Risks to be accepted by the Department shall
      be identified and documented by vulnerability/risk analyses.

3.    THREAT POLICY.  The Design Basis Threat Policy, issued by the Director of
      Security Affairs, shall be used in the design and implementation of
      protection programs.

4.    COMPARABILITY.  Safeguards and security programs shall be comparable in
      effectiveness to other Federally regulated programs with similar interests,
      when such levels are consistent with DOE protective needs and national
      security interests.

5.    STANDARDIZATION.

      a.    Safeguards and security equipment and systems shall be selected on
            the basis of cost savings or other benefit to DOE such as worker
            safety, compliance with  life safety codes, enhancing mission
            capability, and facilitating contingency efforts.

      b.    New facility designs shall incorporate the use of standardized
            safeguards and security equipment and systems, where possible without
            compromising design flexibility or adherence to performance criteria.

6.    DEVIATIONS.  Alternate or equivalent means of providing adequate safeguards
      and security may be proposed to meet a specific Safeguards and Security
      Program requirement, when justified.  When submitting such a request, the
      contractor shall specify the reasons why it is impractical or unreasonable
      to comply with a requirement.  The following procedures and approval levels
      shall apply to all such deviations from requirements.

      a.    Variances are approved conditions that technically vary from a
            Safeguards and Security Program requirement, but afford equivalent
            levels of protection without compensatory measures.

            (1)   Contractors shall submit requests for variances through
                  established channels.

            (2)   Variances may be approved for an indefinite period.

            (3)   Variances shall be documented in the appropriate safeguards and
                  security planning documents.

      b.    Waivers are approved nonstandard conditions that deviate from a
            Safeguards and Security Program requirement that, if uncompensated,
            would create a potential or real safeguards and security
            vulnerability.  Waivers therefore require implementation of
            compensatory measures for the period of the waiver (e.g., expenditure
            of additional resources to implement enhanced protection measures).

            (1)   Contractors shall submit requests for waivers through
                  established channels.

            (2)   A waiver shall be for a period not to exceed 2 years.

      c.    Exceptions are approved deviations from a Safeguards and Security
            Program requirement that create a safeguards and security
            vulnerability.  Exceptions shall be approved only when correction of
            the condition is not feasible and compensatory measures are
            inadequate to preclude the acceptance of risk.  Contractors shall
            submit requests for exceptions through established channels.

            (1)   Exceptions shall be for a period not to exceed 3 years.

            (2)   The need for an exception shall be validated annually.

            (3)   Exceptions shall be included in Site Profiles, which form the
                  basis for DOE's Annual Report to the President on the Status of
                  Safeguards and Security.

      d.    Documentation.  Specific information to be included to document each
            deviation is provided in Attachment 2.  Approved deviations shall be
            documented in safeguards and security documents.  A deviation request
            approved out of cycle with the safeguards and security plan
            formulation and approval process shall be documented as an attachment
            to the applicable safeguards and security plan.

      e.    Vulnerability Analyses and Performance Testing.  Compensatory
            measures implemented and used as the basis for an exception request
            shall be subject to formal vulnerability assessments and must be
            performance tested and validated by the cognizant Field Element.  The


results of the vulnerability assessment(s) and performance tests shall be
documented in the Site Safeguards and Security Plan.  Performance testing and
documentation, as necessary, may also be required for locally approved variances
and waivers.

      f.    Validations.  Cognizant Heads of Program Offices and Office of
            Safeguards and Security representatives may perform on-site reviews,
            assessments, and validation visits to ascertain the nature and impact
            of deviation requests.

      g.    Corrective Actions.  Contractors shall monitor corrective actions,
            establish schedules, and ensure that funding is effectively managed
            to address safeguards and security interests and monitor compliance
            with schedules.
DOE O 470.1                                                           Attachment 2
9-28-95                                                             Page 1 (and 2)


                             DEVIATION REQUEST FORMAT


1.    Date.  Date the request is signed by the requesting official.

2.    Request Number.  Alphanumeric identifier beginning with "OSS," followed by
      the routing symbol used in the DOE National Telephone Directory, followed
      by the last two digits of the year in the request's date, followed by the
      three-digit number that is next in the sequence of requests from that Field
      Element in that calendar year.  For example, the third request from
      Albuquerque Operations Office during 1995 would be OSS-AL-95-003.

3.    Directive Citation.  Title and date of the directive from which a deviation
      is being requested with a citation (paragraph or other provision) and
      summary of the directive's requirement.

4.    Impacted Entity.  Identification of the specific facility (Safeguards and
      Security Information Management Systems facility code number), process,
      procedure, system, etc.

5.    Deviation Justification.  Specific description of the deviation and the
      associated reason or rationale for the deviation request.  A description of
      the relationship of the subject of the deviation request to other
      safeguards and security interests shall be included if they are
      significantly affected.

6.    Protection Measures.  Description of the current measure(s) used for
      protection and an evaluation of the effectiveness of such measure(s);
      description of alternate/compensatory measure(s) or level(s) of protection
      to be provided as an alternative to the Order requirement(s).

7.    Duration.  Expected duration of the condition for which the deviation is
      requested, including milestones for correcting, alleviating, or eliminating
      the deviant condition, if applicable.  (Note:  Waivers cannot be for more
      than 2 years; exceptions cannot be for more than 3 years.)

8.    Risks.  Evaluation of the risk associated with the deviation, if approved.
      Results of vulnerability analyses and performance tests conducted on
      proposed alternative(s) shall be included.

9.    Signature.  Requesting official's signature.

                                     CHAPTER I

                     SAFEGUARDS AND SECURITY PROGRAM PLANNING

1.    APPLICABILITY.  This chapter applies to contractors that have
      responsibilities for administering and/or protecting the following sites
      and facilities.

      a.    Those that have Category I quantities of special nuclear materials,
            or those that have Category II quantities within the same Protected
            Area that roll-up to a Category I quantity.

      b.    Those that have a radiological/toxicological sabotage threat that
            would cause an unacceptable impact on the national security, the
            health and safety of employees, the public, or the environment.

      c.    Those that have an industrial sabotage threat that would cause an
            unacceptable impact to those DOE programs supporting national defense
            and security.

      d.    Those facilities engaged in intra-site transfer of special nuclear
            material.

      e.    Those facilities possessing classified matter.

      f.    Those facilities engaged in the protection of government property.

      g.    Other facilities/sites that Heads of DOE Elements deem appropriate
            based on vulnerability analyses.

2.    PLANNING REQUIREMENTS.  The following topics shall be essential elements
      for planning Safeguards and Security programs.

      a.    Site-Specific Characteristics.  Protection programs shall be tailored
            to address specific site characteristics and requirements, current
            technology, ongoing programs, operational needs, and to achieve
            acceptable protection levels that cost-effectively reduce inherent
            risks.

      b.    Threat.  The "Design Basis Threat Policy for the Department of Energy
            (DOE) Programs and Facilities (U)" shall be used in conjunction with
            local threat guidance and vulnerability assessments for protection
            and control program planning.

      c.    Protection Strategy

            (1)   A denial strategy shall be used for protection of Category IA
                  special nuclear material and radiological sabotage targets
                  where unauthorized access represents unacceptable risk.
                  Programs shall be designed to prevent unauthorized control
                  (i.e., an unauthorized opportunity to initiate or credibly
                  threaten to initiate a nuclear dispersal or detonation, or to
                  use available nuclear materials to assemble an improvised
                  nuclear device onsite).

            (2)   A containment strategy shall be used to prevent the
                  unauthorized removal of Category II or greater special nuclear
                  material.

            (3)   Should denial or containment fail, a recapture/recovery or
                  pursuit strategy shall be employed.

            (4)   Programs shall be designed to mitigate the consequences of
                  radiological/toxicological sabotage that would cause
                  unacceptable impact to national security or pose significant
                  dangers to the health and safety of employees, the public, or
                  the environment.

            (5)   Strategies for protection and control of classified matter
                  shall incorporate the applicable requirements established in
                  DOE M 5632.1C-1, MANUAL FOR PROTECTION AND CONTROL OF
                  SAFEGUARDS AND SECURITY INTERESTS, of 7-15-94; DOE M 5639.6A-1,
                  MANUAL OF SECURITY REQUIREMENTS FOR THE CLASSIFIED AUTOMATED
                  INFORMATION SYSTEM SECURITY PROGRAM, of 7-15-94; and DOE M
                  471.2-1, MANUAL FOR CLASSIFIED MATTER PROTECTION AND CONTROL.
                  Emphasis shall be placed on security systems capable of
                  detecting or deterring unauthorized disclosure, modification,
                  or loss of classified and sensitive unclassified information
                  and its unauthorized removal from a site or facility.

            (6)   Strategies for protection of government property not covered in
                  subparagraphs (1) and (2) above shall reflect a graded
                  approach.

            (7)   Security countermeasures to address bombings shall consider a
                  range of activities from hand-carried, or mailed, to vehicle-
                  transported devices.

      d.    Graded Protection  Protection-related plans shall describe, justify,
            and document the graded protection provided the various safeguards
            and security interests.

3.    PLANNING DOCUMENTS

      a.    Site Safeguards and Security Plan  This plan is the master planning
            document that shall be prepared for sites with facilities described
            in paragraphs 2a, 2b, 2c, and 2d.  The plan shall depict the existing
            condition of safeguards and security sitewide and by facility, and
            establish improvement priorities, and resource requirements for the
            necessary improvements.  The plan shall contain information that
            describes:

            (1)   protection strategies;

            (2)   site/facility safeguards and security programs in place or
                  planned;

            (3)   plans and procedures designed to implement, manage, and
                  maintain safeguards and security programs;

            (4)   resources needed to sustain the site protection program in its
                  current configuration and during planning revisions;

            (5)   security staff personnel qualifications as outlined in approved
                  position descriptions and/or prescribed in DOE directives;

            (6)   the results of vulnerability analyses and risk assessments,
                  including:

                  (a)   levels of acceptable risks,

                  (b)   assumptions established and used as part of the
                        vulnerability analysis process, and

                  (c)   validation of vulnerability analyses results by
                        performance testing.

            (7)   required corrective actions and how they will mitigate
                  identified vulnerabilities and reduce residual risk;

            (8)   sources of supporting documentation detailing where planning
                  assumptions, relative to the facility, then adversary, and the
                  DOE national security mission can be found; and

            (9)   approved deviations.

      b.    Security Plans.  Facilities not required to prepare site
            safeguards and security plans shall prepare  security plans
            that  describe the protection programs in place.  In addition,
            specialized plans shall be developed to address protection
            programs for classified automated information systems (AIS),
            materials control and accountability, and other protection
            operations.  Requirements for these specialized plans can be
            found in the following directives:

            (1)   Materials Control and Accountability Plans.  See DOE 5633.3B,
                  CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS, of 9-7-94.

            (2)   Classified AIS Security Plans.  See DOE M 5639.6A-1.

      c.    Planning Inputs.  The following documents shall be used to support
            program forecasts and information input used in the protection
            program planning process:

            (1)   Current DOE directives, DOE threat guidance, and applicable
                  intelligence assessment information developed and disseminated
                  by Headquarters Elements.

            (2)   Programmatic guidance and forecasts of significant changes
                  planned in site operations, as communicated through Heads of
                  Field Elements and appropriate Headquarters Elements.

            (3)   Current and projected operational constraints and resources.

            (4)   Protection program policy guidance provided by DOE Elements.

      d.    Plan Review and Approval.

            (1)   Contractors shall provide Site Safeguards and Security Plans,
                  or applicable portions thereof, to Heads of Field Elements for
                  DOE review and approval.

            (2)   The Site Safeguards and Security Plan shall be reviewed and
                  updated annually.  Copies of modifications and updates shall be
                  provided to the Head of the Field Element.
                                    CHAPTER II

                     SAFEGUARDS AND SECURITY TRAINING PROGRAM


1.    APPLICABILITY.  This chapter applies to personnel performing safeguards and
      security tasks and responsibilities.

2.    PROGRAM REQUIREMENTS.

      a.    The Safeguards and Security Training Program shall encompass training
            in the following subjects, as applicable:

            (1)   Program Management.

            (2)   Personnel Security.

            (3)   Protection Operations.

            (4)   Materials Control and Accountability.

            (5)   Information Security.

      b.    Training methodology and courses shall be standardized.
            Development, review, and presentation of training courses for unique
            site-specific requirements shall be the responsibility of cognizant
            sites.

      c.    Training programs shall be based on the results of job analyses to
            document the identification and description of major tasks and skill
            requirements.

      d.    Training shall be provided to individuals to ensure they are
            qualified to perform assigned safeguards or security tasks or
            responsibilities.

            (1)   Initial and refresher training shall be tailored to develop the
                  required knowledge and skills.

            (2)   The scope and level of training provided to individuals shall
                  be tailored to their assigned duties and responsibilities and
                  shall be based on an analysis of their prior safeguards and
                  security experience and training.

            (3)   Knowledge and performance-based testing shall apply to all
                  required training to measure the skills acquired from the
                  training programs developed.

            (4)   For specialized skill requirements, such as armorers, personnel
                  security specialists, nuclear materials custodians, and
                  technical security countermeasures technicians, performance
                  testing shall form the primary basis for certification.

            (5)   10 CFR, Parts 1046 and 1048, address certain specific training
                  requirements for protective force personnel.

      e.    A Training Approval Program (TAP) shall be implemented to standardize
            safeguards and security training conducted at DOE facilities other
            than the Safeguards and Security Central Training Academy. (A
            Training Approval Program Guide will be available to provide details
            on training standardization.)  Site programs shall be examined by
            Central Training Academy representatives on a recurring basis, but no
            less than every 3 years, to verify adherence to DOE objectives,
            standards, and criteria, and to provide program approval
            recommendations to the Director, Safeguards and Security.  Training
            approvals shall remain valid for 3 years.

            (1)   Initial and recurring reviews for training approval shall cover
                  all aspects of local training programs, including program
                  management and structure, course contents, training facilities,
                  observation of course presentations for effectiveness, and
                  evaluation of students.

            (2)   Instructors shall be evaluated for knowledge in assigned
                  training area and effectiveness in presenting assigned course
                  materials.

            (3)   Individuals shall be tested to evaluate skills and knowledge
                  achieved through course participation.

      f.    Instructors shall be certified by the individual responsible for the
            contractor training program.  Certification shall remain valid so
            long as the individual fulfills applicable refresher training.
            Certification shall be based on a records review of qualifications
            and a recommendation by the individual responsible for the training
            program.

      g.    Covered contractors shall implement a standardized training records
            management system as described below.

            (1)   Records shall be maintained to document training provided to
                  personnel participating in the DOE safeguards and security
                  program.  Records of training shall contain course
                  identification, dates accomplished, and scores achieved, where
                  applicable.

            (2)   Records of training provided to individuals shall be retained
                  in electronic or hard copy form.  Records shall be retained
                  according to guidance provided in DOE 1324.5B, RECORDS
                  MANAGEMENT PROGRAM, of 1-12-95, and General Records Schedules
                  issued by the Archivist of the United States.

                  (a)   Records of training provided at the Central Training
                        Academy shall be maintained at the Academy and shall also
                        be maintained by the organization sponsoring the
                        individual.

                  (b)   Records of training provided at DOE Elements shall be
                        maintained at DOE Headquarters or the relevant Operations
                        Office, as appropriate, and shall be provided to the
                        organization sponsoring the individual for inclusion in
                        the individual's record file.

                  (c)   Records of training provided at contractor facilities
                        shall be provided to and retained by the organization
                        sponsoring the individual.

                  (d)   Records of training provided at other government or
                        private facilities shall be obtained and maintained by
                        the organization sponsoring the individual.

                                    CHAPTER III

                           PERFORMANCE ASSURANCE PROGRAM

1.    APPLICABILITY.  The program focus is on all safeguards and security system
      elements used to protect Category I and II special nuclear materials and
      Top Secret matter.

2.    PROGRAM REQUIREMENTS.

      a.    The Performance Assurance Program shall accomplish the following
            goals:

            (1)   Provide for operability and effectiveness tests.

            (2)   Be implemented in a graded manner.  Elements that are
                  determined to be most significant are "critical protection
                  elements."  Such elements shall be:

                  (a)   identified separately for each facility, based on
                        consideration of the assets being protected, protection
                        system, threat, and vulnerability assessments;

                  (b)   performance-tested, as a minimum, on those scenarios
                        evaluated in vulnerability assessments;

                        1     Critical protection elements shall be identified
                              and performance tested at least every 365 days.  A
                              rationale shall be provided to characterize
                              identified critical protection elements.

                        2     Critical protection elements shall include elements
                              and/or integrated systems of equipment and
                              hardware, administrative procedures, protective
                              forces, and/or other staff.

      b.    Performance assurance tests shall be conducted with the highest
            regard for the safety and health of personnel and  protection of the
            environment, Government property, and national security interests.

      c.    The adequacy of new and existing protective systems shall be
            confirmed through testing prior to operational use and periodically
            thereafter.

            (1)   Operability tests provide a simple measure of integrity on a
                  frequent basis.  Operability testing shall consist of checking
                  the system element or total system to confirm, without any
                  indication of effectiveness, that it is operating.  Operability
                  testing intervals may be established based on site-specific
                  conditions and shall be documented in the performance assurance
                  plans.

            (2)   Effectiveness tests provide comprehensive assurance of
                  integrity on an infrequent basis. Performance testing of
                  equipment for effectiveness shall consist of checking systems
                  to confirm the satisfactory performance of the required
                  functions over the expected range of use.  The frequency of
                  performance testing shall be appropriate to operational needs
                  and threat levels.

      d.    At least every 365 days, a performance test encompassing protection
            systems associated with a comprehensive site or facility threat
            scenario shall be conducted to demonstrate overall facility
            safeguards and security system effectiveness.

3.    DOCUMENTATION REQUIREMENTS.

      a.    Performance Assurance Program Plan. This plan may be an integral part
            of the Site Safeguards and Security Plan or other security plan, as
            applicable.  The persons, organizations, or groups responsible for
            corrective actions should be identified.  The Performance Assurance
            Program Plan shall:

            (1)   describe the program and its administration and implementation;

            (2)   identify critical protection elements and describe how the
                  performance of these elements is to be ensured, including the
                  manner in which activities performed by external oversight
                  organizations will be applied and interpreted; and

            (3)   address unsatisfactory results of performance assurance
                  activities, how they are to be captured in the site corrective
                  action program, and how corrections will be implemented.

      b.    Performance Assurance Reports.

            (1)   Performance Assurance Reports shall be prepared to document
                  results from field implementation of performance assurance
                  activities.

            (2)   For evaluations based on tests or oversight activities
                  performed by external organizations, the relevant documentation
                  shall be interpreted and summarized or referenced.

      c.    Document Retention.

            (1)   Program and implementation plans, reports, and supporting
                  information shall be retained as provided by law or contract,
                  and/or as long as useful to the program.

            (2)   Recordkeeping systems shall be capable of providing an audit
                  trail for performance assurance activities and reports.

            (3)   Disposition of documents shall be in accordance with the DOE
                  Records Management Program.
                                    CHAPTER IV

                     SAFEGUARDS AND SECURITY AWARENESS PROGRAM


1.    APPLICABILITY.  A Safeguards and Security Awareness Program shall be
      developed, implemented, and maintained at each facility/site/activity
      having DOE Security Areas, classified matter, and/or special nuclear
      materials.

2.    REQUIREMENTS:  SUMMARY OF SAFEGUARDS AND SECURITY AWARENESS PROGRAM.

      a.    As a condition for unescorted access to DOE Security Areas and/or
            access to classified information or special nuclear materials,
            contractor employees (and other individuals granted DOE access
            authorization) shall receive briefings as required by this chapter.

      b.    Individuals granted DOE access authorizations shall be precluded or
            restricted from access to DOE Security Areas, classified information,
            or special nuclear materials until the briefing requirements of this
            chapter have been satisfied.

      c.    Briefings.  Safeguards and security awareness programs shall include,
            but are not limited to, the development and presentation of four
            briefings.

            (1)   Initial Briefing.

            (2)   Comprehensive Briefing.

            (3)   Refresher Briefing.

            (4)   Termination Briefing.

      d.    Topics.  Safeguards and security awareness programs shall incorporate
            the dissemination of information concerning the following:

            (1)   Applicable DOE safeguards and security regulations, directives,
                  procedures, and guides.

            (2)   Site-specific (and/or operations-specific) safeguards and
                  security policies, procedures, and requirements.

            (3)   Other matters of safeguards and security interest, such as:

                  (a)   recent espionage cases,

                  (b)   approaches and recruitment techniques employed by foreign
                        intelligence services,

                  (c)   safeguards or security incidents and considerations,

                  (d)   safeguards or security threats and vulnerabilities, and

                  (e)   classified information.  If the discussion of briefing
                        topics involves the exchange of classified information,
                        the presentation must be limited to individuals who
                        possess a DOE access authorization or other agency
                        security clearance.

      e.    Initial Briefing.

            (1)   Individuals approved for unescorted access to Security Areas
                  shall receive initial briefings.

            (2)   Briefing topics shall include, but are not limited to:

                  (a)   overview of DOE safeguards and security disciplines,
                        including personnel security, information security, and
                        physical security;

                  (b)   local access control procedures and escort requirements;

                  (c)   protection of Government property;

                  (d)   prohibited articles; and

                  (e)   reporting of incidents of safeguards and security
                        concern.

      f.    Comprehensive Briefing.

            (1)   Prior to being granted access to classified information or
                  special nuclear materials, individuals granted DOE access
                  authorizations shall receive comprehensive briefings to inform
                  them of their safeguards and security responsibilities.  When
                  such individuals are assigned to another DOE facility, they
                  shall receive comprehensive briefings at the new facility.

            (2)   Briefing topics shall include, but are not limited to, the
                  following.

                  (a)   Information Security.

                  (b)   Physical Security.

                  (c)   Personnel Security.

                  (d)   Reporting/Notification Requirements.

                  (e)   Legal and administrative sanctions imposed for incurring
                        a security infraction or committing a violation.

                  (f)   General information concerning the protection of special
                        nuclear materials.

      g.    Refresher Briefings.  Individuals who possess DOE access
            authorizations shall receive refresher briefings to reinforce and
            update awareness of safeguards and security policies and their
            responsibilities.  Refresher briefings are mandatory for all
            individuals possessing DOE access authorizations and shall be
            implemented each calendar year at approximately 12-month intervals.

      h.    Termination Briefings.  Individuals shall receive termination
            briefings to inform them of their continuing security
            responsibilities after their access authorizations are terminated.  A
            termination briefing shall be implemented on the individual's last
            day of employment, the last day the individual possesses an access
            authorization, or the day it becomes known that the individual no
            longer requires access to classified information or special nuclear
            materials, whichever is sooner.  Termination briefings shall be based
            on the information contained in DOE F 5631.29, "Security Termination
            Statement," and Standard Form 312 (SF-312), "Classified Information
            Nondisclosure Agreement."

      i.    Safeguards and Security Awareness Coordinator.  The contractor shall
            appoint a Safeguards and Security Awareness Coordinator who shall
            formulate and/or maintain a safeguards and security awareness
            program.

3.    DOCUMENTATION REQUIREMENTS.

      a.    Recordkeeping.  Records shall be maintained in a manner that
            identifies all individuals who have received briefings by type and
            date of briefing and calendar date.  Recordkeeping systems shall be
            capable of providing an audit trail.

      b.    Documentation.

            (1)   A completed SF-312 may serve as the documentation for the
                  comprehensive briefing.

            (2)   In recurring requirements, such as the refresher briefing,
                  records shall be maintained until the next occurrence of the
                  briefing.

            (3)   The completion of DOE F 5631.29 satisfies documentation
                  requirements for the termination briefing.


                                     CHAPTER V

                     FACILITY CLEARANCES AND REGISTRATION OF
                        SAFEGUARDS AND SECURITY ACTIVITIES


1.    APPLICABILITY.  This chapter applies to safeguards and security activities
      involving access authorizations, classified information, nuclear or other
      hazardous material that presents  a potential radiological or toxicological
      sabotage threat, and/or Departmental property with a value of $5,000,000 or
      more.

2.    REQUIREMENTS:  GENERAL.

      a.    Nuclear and other hazardous materials presenting a potential
            radiological or toxicological sabotage threat, classified matter, and
            property protection interests shall not be permitted on premises
            occupied by the Department or its contractors until facility
            clearance is granted.

      b.    Safeguards and security activities involving access authorizations
            shall be registered to assist in ensuring proper levels of protection
            consistent with Departmental standards to prevent unacceptable,
            adverse impact on national security or on the health and safety of
            DOE and contractor employees, the public, or the environment.

      c.    If no need exists for a contractor's office locations to receive,
            process, reproduce, store, transmit, or handle classified information
            or nuclear material, but access authorizations are required for the
            contractor to perform the work within DOE-approved facilities, the
            contractor (identified as a non-possessing facility) must be
            registered.  As used in this Contractor Requirements Document, the
            term facility clearance refers to both possessing and non-possessing
            facilities.

      d.    Facility clearance shall be based upon a determination that
            satisfactory safeguards and security can be afforded the safeguards
            and security activities.  The determination of a valid facility
            clearance shall be based upon an approved safeguards and security
            plan, results of surveys, and a favorable FOCI determination, as
            appropriate.

      e.    Approval for other Federal agency safeguards and security activities
            to be conducted at Department-owned or -operated facilities shall be
            based on a determination that the safeguards and security measures to
            be provided are consistent with Departmental policy.

      f.    Facility clearance for work-for-others safeguards and security
            activities at other than Department-owned or -operated facilities
            that are channeled through a Departmental entity shall be based on
            the validation of the other agency's facility clearance.

            (1)   Before commencement of non-DOE funded work, conduct, as
                  required by DOE 5650.2B, IDENTIFICATION OF CLASSIFIED
                  INFORMATION, of 12-31-91, a review of the work request and
                  certify that the sponsoring organization has either provided
                  the appropriate classification guidance or has stated in
                  writing that the non-DOE funded work will not entail classified
                  activities.

            (2)   Ensure, prior to commencement of the non-DOE funded work
                  involving access authorization, that safeguards and security
                  activities have been recorded as security interests on DOE
                  F 5634.2, "Contract Security Classification Specification," or
                  DD F 254, "Contract Security Classification Specification."

            (3)   Ensure, before acceptance of any work for another Federal
                  agency, that appropriate reimbursement for safeguards and
                  security costs is negotiated.

3.    REQUIREMENTS:  FACILITY CLEARANCES.

      a.    Granting Approval.  Approval of a facility is based on the following:

            (1)   A favorable foreign ownership, control or influence (FOCI)
                  determination, in accordance with Chapter VI of this contractor
                  requirements document.

            (2)   A Facility National Agency Check, which has been requested or
                  completed on those facilities that do not possess a Department
                  of Defense (DOD) facility clearance, in accordance with this
                  chapter.

            (3)   For contractors, contract(s) containing appropriate security
                  clauses.

            (4)   Approved safeguards and security plans, as appropriate.

            (5)   If nuclear materials are involved, an established Reporting
                  Identification Symbol code for Nuclear Materials Management and
                  Safeguards System reporting.

            (6)   For the facility to possess classified matter, nuclear and
                  other hazardous material presenting a potential radiological or
                  toxicological sabotage threat, or over $5,000,000 of DOE
                  property, not including facilities or land values, at its
                  location, an initial survey or other survey resulting in a
                  report that comprehensively addresses the security interest,
                  conducted no more than 6 months before the facility clearance
                  date, with a composite facility rating of satisfactory.

            (7)   Appointment of a Facility Security Officer and, if applicable,
                  Materials Control and Accountability Representative.  The
                  Facility Security Officer must possess a personnel clearance
                  equivalent with the facility clearance.

            (8)   Access authorizations for appropriate personnel.  Key
                  management personnel must be determined case by case.  Key
                  management personnel must be cleared to the level of the
                  facility clearance.  Other officials, to be determined by the
                  Lead Responsible Office, must possess appropriate access
                  authorization for classified information or special nuclear
                  materials.

      b.    Accepting a Contractor's Existing Federal Agency Facility Clearance.
            A contractor facility holding facility clearance from another Federal
            agency may be approved by DOE for processing, using, or storing
            classified matter, contingent upon the actions required by DOE O
            470.1.

4.    REQUIREMENTS:  FACILITY DATA AND APPROVAL RECORD.  A DOE F 5634.3,
      "Facility Data and Approval Record," shall be prepared by the procurement
      request originator, who forwards the completed form, through their own
      safeguards and security organization, to the cognizant Departmental
      safeguards and security organization.

      a.    If a subcontract is established between a DOE prime contractor and
            another contractor for work involving access authorizations,
            classified matter or nuclear and other hazardous material presenting
            a potential radiological or toxicological sabotage threat, it is the
            responsibility of the prime contractor to ensure the proper
            preparation of a DOE F 5634.3.

      b.    The prime contractor is responsible for forwarding information on the
            DOE F 5634.3 requiring updating to the cognizant Departmental
            safeguards and security organization.

5.    REQUIREMENTS:  CONTRACT SECURITY CLASSIFICATION SPECIFICATION.

      a.    New Activity.  If a new activity for work involving access
            authorizations is being considered, the DOE F 5634.2 (or the DD F
            254, "Contract Security Classification Specification") must be
            submitted by the procurement request originator to the Contracting
            Officer's Representative.

      b.    Preparation.  A DOE F 5634.2 shall be initially prepared by the
            procurement request originator, who forwards the completed form to
            the cognizant Departmental Element Safeguards and Security
            organization.  If a DD Form 254, "Contract Security Classification
            Specification" has been used by the agency sponsoring the activity,
            it shall be annotated with the facility code and submitted instead of
            the DOE F 5634.2.

                                    CHAPTER VI

                 FOREIGN OWNERSHIP, CONTROL, OR INFLUENCE PROGRAM


1.    APPLICABILITY.  Foreign ownership, control, or influence (FOCI)
      determinations are required of the following.

      a.    Contractors, which include any industrial, educational, commercial,
            or other entity, grantee, or licensee, including an individual, that
            has executed an agreement with the Federal Government for the purpose
            of performing under a contract, license, or other arrangement that
            requires access authorizations.  This includes subcontractors of any
            tier, consultants, agents, grantees, and cooperative agreement
            participants.

      b.    All tier parents, if the contractor is owned or controlled by another
            firm(s).

2.    REQUIREMENTS.

      a.    A facility clearance, which includes a FOCI determination, can only
            be requested for the successful offeror/bidder if insufficient lead
            time is expected between selection and contract award to allow
            deferral of the review.

      b.    Contractors shall submit to the Contracting Officer information and
            documentation that define the extent and nature of any foreign
            ownership, control, or influence over the contractor and, if
            applicable, tier parents.

      c.    Contractors and any tier parents, subject to the FOCI requirements
            must submit the following to the Lead Responsible Office:

            (1)   Written notification of a change in the extent and nature of
                  FOCI that affects the information in the FOCI representation
                  and certification.

            (2)   Complete, current, and accurate information, certifications,
                  and explanatory documentation that define the extent and nature
                  of any relevant FOCI whenever:

                  (a)   there is any change in ownership or control,

                  (b)   5 years have elapsed since the previously provided FOCI
                        representation and certification were executed, or

                  (c)   the Lead Responsible Office advises that it considers
                        that a relevant change in the nature of the FOCI has
                        occurred.

            (3)   Written notification of anticipated changes that include, but
                  are not limited to, the following:

                  (a)   action to terminate the contractor organization or any of
                        its parents for any reason;

                  (b)   imminent adjudication of or reorganization in bankruptcy
                        of the contractor organization or any tier parents;

                  (c)   discussions or consultations with foreign interests that
                        may reasonably be expected to lead to the introduction or
                        increase of FOCI; or

                  (d)   negotiations for the sale of securities to a foreign
                        interest that may lead to the introduction or increase of
                        FOCI.

3.    REQUIREMENTS:  REPORTING SIGNIFICANT CHANGES.  When a changes in the extent
      and nature of FOCI that would affect the information in a contractor's
      and/or any tier parents' most recent DOE FOCI submission(s) has occurred,
      the contractor/parent shall immediately provide written notification and
      supporting documentation relevant to the changes to the DOE Lead
      Responsible Office.  A significant FOCI increase/change that warrants
      processing of the contractor/parent for a new FOCI determination includes,
      but is not necessarily limited to, the following:

      a.    A new threshold or factor that did not exist when the previous
            determination was made (e.g., a "no" answer changes to a "yes"
            answer), and any additional factors associated with the questions on
            the FOCI representation and certification.

      b.    A previously reported threshold or factor that was favorably
            evaluated by the Lead Responsible Office has increased to a level
            requiring a determination by the Office of Safeguards and Security.

      c.    A previously reported financial threshold or factor that was
            favorably evaluated has increased by 5 percent or more; or a shift
            has occurred of 5 percent or more by country location or end user
            (i.e., for revenue) or lenders (i.e., indebtedness).

      d.    A previously reported foreign ownership threshold or factor that was
            favorably evaluated by the Office of Safeguards and Security has
            increased to the extent that a method of negation or reduction is
            necessary.

      e.    Any changes in the ownership or control of the contractor and/or any
            tier parents.

4.    REQUIREMENTS:  METHODS TO NEGATE OR REDUCE UNACCEPTABLE FOCI.  The affected
      U.S. organization(s), or its legal representatives may propose a plan to
      negate or reduce unacceptable FOCI, but the primary responsibility for
      approving such a plan rests with the Office of Safeguards and Security.  A
      plan may consist of one or more of the insulating measures identified in
      DOE O 470.1, Chapter VI.


5.    REQUIREMENTS: ANNUAL CERTIFICATION.

      a.    At the end of each year of operation, the Trustees, Proxy Holders, or
            other principals, as appropriate, shall submit to the Lead
            Responsible Office an annual implementation and compliance report.
            Failure of the cleared U.S. organization to ensure compliance with
            the terms of the applicable security arrangement may result in the
            organization's facility clearance being suspended pending resolution
            of the FOCI.

      b.    Each contractor holding a facility clearance shall certify annually
            to the Lead Responsible Office that (i) no significant changes have
            occurred in the extent and nature of FOCI that would affect the
            organization's answer to the questions provided in its FOCI
            representations; (ii) no changes have occurred in the organization's
            ownership; and (iii) no changes have occurred in the organization's
            officers, directors, and executive personnel.

      c.    When the contractor is controlled by parent organizations that have
            been excluded, the contractor must also provide annually to the Lead
            Responsible Office written certification from an authorized official
            from each such excluded parent that (i) no significant changes have
            occurred in the extent and nature of FOCI that would affect the
            organization's answer to the questions provided in its FOCI
            representations; (ii) no changes have occurred in the organization's
            ownership; and (iii) no changes have occurred in the organization's
            officers, directors, and executive personnel.

                                    CHAPTER VII

                   INCIDENTS OF SAFEGUARDS AND SECURITY CONCERN


1.    APPLICABILITY.

      a.    When an inquiry establishes credible information that fraud, waste
            and/or abuse has occurred, which does not involve a national security
            interest has occurred, the Office of the Inspector General shall be
            notified for information and/or action.

      b.    When an inquiry establishes that a potential compromise or
            unauthorized disclosure of classified information, the applicable
            provision of DOE O 471.2, INFORMATION SECURITY PROGRAM, shall be
            followed.

      c.    Employees with information indicating possible fraud, waste, abuse,
            or other forms of wrongdoing in the Department's programs or
            operations shall inform the Inspector General immediately upon
            obtaining such  information.

2.    REQUIREMENTS.

      a.    Loss, compromise, or unauthorized disclosure of classified
            information, and alleged or suspected violations of laws pertaining
            to safeguards and security shall be reported promptly through the
            appropriate DOE Element to the Office of Safeguards and Security,
            Secretarial Officer, and when appropriate, the local Federal Bureau
            of Investigation office.

      b.    Unclassified reports and notifications of safeguards and security
            incidents shall be made in accordance with DOE O 232.1, OCCURRENCE
            REPORTING AND PROCESSING OF OPERATIONS INFORMATION; and DOE O 471.2,
            INFORMATION SECURITY PROGRAM.  Reports which contain classified
            information shall contain all of the information required by DOE O
            232.1, but shall not be entered on the Occurrence Reporting and
            Processing System.  Classified reports shall be sent by approved
            methods for transmitting classified information.  Reporting intervals
            for incidents of safeguards and security concern must be in
            accordance with DOE O 232.1.

      c.    Federal Bureau of Investigation personnel shall be admitted to areas
            and afforded access to Restricted Data or other classified
            information as necessary for them to perform their duties.  Such
            personnel shall be provided escort, as necessary, for safety reasons
            or to facilitate the investigative progress.

      d.    When Federal Bureau of Investigation personnel are given access to
            classified information, they will be immediately advised of the
            classification and the category of the information.  Appropriate
            document and data classification, marking information, and protection
            and control requirements shall be made available to them through
            local liaison channels.

                                   CHAPTER VIII

                       CONTROL OF CLASSIFIED VISITS PROGRAM


1.    APPLICABILITY.  The requirements in this chapter apply to contractor
      personnel who visit DOE facilities that entail access to classified
      information.

2.    REQUIREMENTS:  CLASSIFIED VISIT PROCEDURES.  A contractor's basic
      procedures for the control of all classified visits to DOE facilities shall
      ensure the following.

      a.    Verification of the identity, access authorization (security
            clearance), and need-to-know of the visitor.

      b.    Observance of limitations on access to classified information or
            facilities.

      c.    Timely notification (10 days) of visits.

      d.    Prompt transmittal of "Request for Visit or Access Approval" (DOE F
            5631.20), when applicable.  (This form is no longer required for DOE
            and DOE contractor employees who visit DOE facilities.  These
            employees may use their DOE picture identification badge as evidence
            of a DOE access authorization.  However, DOE F 5631.20 is still
            required for programmatic approval for sigma access and for employees
            of other Federal agencies who visit DOE facilities.)

      e.    Timely notification to those concerned for approval of access to
            weapon data (classified Secret or Top Secret), Top Secret information
            (nonweapon data), sensitive nuclear materials production information,
            atomic vapor laser isotope separation technology, uranium enrichment
            technology, or facilities specifically designated by Headquarters
            Elements.

      f.    Use of continuing visitor access approval as  necessary for
            individuals who  visit DOE facilities frequently.  This approval
            cannot exceed a period of 1 year, but the approval may be renewed
            annually, if necessary.

      g.    Operational approval of visits.

      h.    Maintenance of records of all classified visits by non-DOE personnel
            and foreign nationals.

      i.    Referral to the Director of Public and Consumer Affairs of any
            nonroutine, written, or visual material proposed for public release
            resulting from visits.

3.    REQUIREMENTS:  CLASSIFIED VISITS BY DOE EMPLOYEES, CONTRACTORS AND
      SUBCONTRACTORS.

      a.    The visitor is responsible for making administrative arrangements and
            obtaining approval from the Field Element or Secretarial Officer, as
            appropriate.  (The authority granting such approval is responsible
            for informing the office to be visited.)

      b.    When the amount of visitor traffic between DOE contractor or
            subcontractor facilities due to mutual program interests is
            significant, contractors or subcontractors  may be authorized,
            subject to the limitations in subparagraph c below, to arrange for
            the visits without obtaining DOE approval if such authorization will
            be advantageous to DOE.

      c.    The following procedures are required when access to weapon data
            (classified Secret or Top Secret), Top Secret information (nonweapon
            data), sensitive nuclear materials production information, atomic
            vapor laser isotope separation technology, uranium enrichment
            technology, or specific facilities designated by Headquarters
            Elements having program direction is required.

            (1)   A determination of the need for access shall be made by the DOE
                  official sponsoring the visit.

            (2)   Approval of the access during visits under the auspices of a
                  Headquarters Element should be obtained from the Headquarters
                  Element exercising jurisdiction over the facility or office to
                  be visited.

            (3)   Approval of this access during visits under the auspices of
                  Field Elements shall be obtained from the responsible Field
                  Element for field visits, and for visits to Headquarters, from
                  the organization being visited.

4.    REQUIREMENTS:  VISITS TO DEPARTMENT OF DEFENSE AND NATIONAL AERONAUTICS AND
      SPACE ADMINISTRATION FACILITIES.

      a.    A DOE F 5631.20 shall be forwarded directly by contractors, through
            DOE Elements, to the commanding officer or the director of the
            facility after first verifying the visitor's clearance at the DOE
            Element.

      b.    DOE Top Secret approvals shall be specifically certified in the event
            access to Top Secret information is required.

      c.    Any exchange of Restricted Data occurring during the course of the
            visit shall be accomplished as stated in paragraph 7 below.

5.    REQUIREMENTS:  RESTRICTED DATA VISITS BY NUCLEAR REGULATORY COMMISSION
      EMPLOYEES.

      a.    Visits to DOE facilities by Nuclear Regulatory Commission employees,
            consultants, contractors, or subcontractors  who require access to
            weapon data, sensitive nuclear materials production information,
            atomic vapor laser isotope separation technology, or uranium
            enrichment technology, or entry into a DOE classified weapon or
            production facility shall:

            (1)   be arranged through the respective Headquarters Element that
                  will coordinate the visits;

            (2)   if to classified weapon or production facilities, have prior
                  approval of the Assistant Secretary for Defense Programs; and

            (3)   have DOE F 5631.20 or the Nuclear Regulatory Commission
                  equivalent with necessary clearances certified by the Director
                  of Security, Nuclear Regulatory Commission.

      b.    Visits involving access to other Restricted Data not requiring  prior
            approval from the appropriate Headquarters official exercising
            jurisdiction over the facility or office to be visited may be
            arranged directly by Nuclear Regulatory Commission with the cognizant
            DOE Element, provided this procedure does not conflict with the
            existing visitor control procedures of the division or office having
            program responsibility.  A DOE F 5631.20 or Nuclear Regulatory
            Commission equivalent is required.

      c.    The Nuclear Regulatory Commission identification badge shall not be
            used as authority for visits in lieu of the aforementioned specific
            visit approval arrangements.

6.    REQUIREMENTS:  RESTRICTED DATA VISITS BY DEPARTMENT OF DEFENSE AND NATIONAL
      AERONAUTICS AND SPACE ADMINISTRATION EMPLOYEES.

      a.    Access to Restricted Data is contingent upon submission of a DOE F
            5631.20, National Aeronautics and Space Administration Form-405,
            "Request for Access Approval," or a memorandum or electronic message
            signed by or in the name of the certifying official.  The request
            shall be forwarded for approval or other action to the DOE official
            with jurisdiction over the information to which access is desired.

      b.    The request for access shall include the following:

            (1)   Name(s) of person(s) and organization represented (if not Armed
                  Forces, relationship to the Department of Defense or National
                  Aeronautics and Space Administration).

            (2)   Information to which access is desired.  Access to critical
                  nuclear weapon design information must be specified when it is
                  required.

            (3)   The security clearance or access authorization status of each
                  person.

            (4)   Certification that the person needs the access in the
                  performance of duty.

            (5)   Anticipated date of visit and names of persons to be visited,
                  as appropriate (if a conference is involved, the date, place,
                  and sponsor of the conference shall be specified).

            (6)   Statement of determination that permitting the person(s) access
                  will not endanger the common defense and security.

            (7)   Citizenship and date of birth.

            (8)   For requests from National Aeronautics and Space
                  Administration, a certification that the matter to which access
                  is desired relates to "aeronautical and space activities."

      c.    The approving official must possess or have been delegated the
            authority to approve such access.  The approving official must
            satisfy himself/herself:

            (1)   as to person's identity,

            (2)   that the person's clearance or access authorization is at least
                  equal to the classification of the information to which access
                  is desired.

      d.    Access to Restricted Data in the custody of  DOE contractors and
            subcontractors may be authorized by Heads of DOE Elements in
            accordance with the following:

            (1)   The person's identity has been established.

            (2)   The person's clearance or access authorization, as indicated in
                  the request, is at least equal to the classification of the
                  information to which access is desired.

            (3)   Access to certain programs or information is handled in
                  accordance with the following:

                  (a)   Weapons Production Programs.  For access to weapons
                        programs, nuclear materials production facilities, or
                        sensitive nuclear materials production information, the
                        requests shall be referred to the Assistant Secretary for
                        Defense Program.

                  (b)   Uranium Enrichment.  For access to uranium enrichment
                        plants or facilities engaged in uranium enrichment
                        technology development, including advanced isotope
                        separation technology, the request shall be referred to
                        the Office of Uranium Programs.

                  (c)   Naval Nuclear Propulsion Information.  When access is
                        desired to Naval Nuclear Propulsion Information, the
                        request shall be referred to the Office of Naval
                        Reactors.

      e.    Control of access by members of the Armed Services or Department of
            Defense or National Aeronautics and Space Administration personnel or
            contractors to Restricted Data in the custody of another Federal
            agency is the responsibility of the appropriate official or his/her
            designee named in DOE O 470.1.  Federal officials named are
            responsible for maintaining a central index to record access
            approvals.

7.    REQUIREMENTS:  OTHER CLASSIFIED VISITS BY DEPARTMENT OF DEFENSE AND
      NATIONAL AERONAUTICS AND SPACE ADMINISTRATION EMPLOYEES .

      a.    Requests for such visits to  contractor and subcontractor facilities
            are approved by Heads of Field Elements or, in the case of
            Headquarters Elements, by the head of the element concerned after
            assuring that such visitor possesses appropriate military or National
            Aeronautics and Space Administration security clearance and requires
            the information in the performance of his/her duties.

      b.    Certification of security clearance may be made by memorandum,
            electronic message, DOE F 5631.20, or National Aeronautics and Space
            Administration Form 405.

8.    REQUIREMENTS:  CLASSIFIED VISITS BY EMPLOYEES OF OTHER FEDERAL AGENCIES.

      a.    Requests for visits to DOE facilities by employees, contractors, or
            subcontractors of Federal agencies other than the Department of
            Defense, National Aeronautics and Space Administration, or Nuclear
            Regulatory Commission are approved by the Field Elements or, for
            Headquarters, by the organization concerned.

      b.    Restricted Data may not be exchanged with persons in this category
            unless they possess appropriate DOE access authorization.

      c.    Classified information other than Restricted Data may be exchanged
            with such individuals if they possess Q or L access authorizations
            or security clearances under the provisions of Executive Order 10450,
            "Security Requirements for Government Employment," and require the
            information in the performance of their duties.

9.    REQUIREMENTS:  CONGRESSIONAL AND STATE CLASSIFIED VISITS.

      a.    Requests for visits to DOE, contractor, or subcontractor facilities
            by members or employees of Congress or congressional committees and
            by Governors or their staffs may be approved by Heads of DOE Elements
            provided the following are established.

            (1)   The visitors' identities.

            (2)   Access authorization or security clearance.

            (3)   "Need-to-know."

      b.    The Assistant Secretary for Congressional and Intergovernmental
            Affairs shall be advised of requests and action taken on the requests
            for such visits.

10.   REQUIREMENTS:  EMERGENCY VISITS TO CLASSIFIED AREAS AND FACILITIES.

      a.    In an emergency, requests for visit approval may be made by telephone
            or electronic message.

      b.    Telephonic requests must be confirmed by memorandum or electronic
            message.

11.   REQUIREMENTS:  CLASSIFIED VISITS BY FOREIGN NATIONALS TO DOE FACILITIES.

      a.    Visits by foreign nationals possessing Department of Defense or
            National Aeronautics and Space Administration security clearances
            will be arranged in accordance with paragraph 6 above.

      b.    Visits by foreign nationals possessing security clearances granted by
            Federal agencies other than the DOE, Department of Defense, or
            National Aeronautics and Space Administration shall be arranged in
            accordance with paragraph 7 above.

      c.    Visits by foreign nationals who are sponsored by a foreign government
            shall be arranged as follows.

            (1)   If the visit is in connection with the military application of
                  atomic energy under sections 144b and c(1) and 91c(1) or (4) of
                  the Atomic Energy Act of 1954, as amended, the  Assistant
                  Secretary for Defense Programs shall make all arrangements for
                  the visit, including  appropriate approvals and security
                  assurances.

            (2)   If the visit is to the Office of Declassification in connection
                  with the information classification program under DOE 5650.2B,
                  IDENTIFICATION OF CLASSIFIED INFORMATION, of 12-31-91, the
                  Director of Declassification shall make arrangements for the
                  visit, including appropriate approvals and security assurances.

            (3)   If the visit is not in connection with  programs covered in the
                  above paragraphs, the Deputy Assistant Secretary for
                  International Energy Policy shall arrange for the visit in
                  concert with the appropriate Headquarters staff other than
                  those listed above, and shall coordinate with the Director of
                  Safeguards and Security for the necessary security assurances.

            (4)   If the visit is in connection with naval nuclear propulsion
                  matters, the Director of Naval Reactors shall make arrangements
                  for the visit, and shall have the Director of Safeguards and
                  Security obtain the necessary security assurances.

            (5)   Security assurances received under the above paragraphs shall
                  be retained for 5 years.
                                    CHAPTER IX

                                  SURVEY PROGRAM


1.    APPLICABILITY.  The Survey Program applies to all facilities that are
      eligible to have access to, use, store, or transmit nuclear and other
      hazardous material presenting a potential radiological or toxicological
      sabotage threat and/or classified information, that require access
      authorizations, or that possess over $5,000,000 of DOE property, exclusive
      of facilities and land values.

2.    REQUIREMENTS:  CORRECTIVE ACTIONS.

      a.    When a survey contains findings, the surveyed organization shall
            submit a response identifying corrective action(s) for each finding
            to the Responsible and Surveying Offices no later than 30 working
            days after the formal receipt of findings.  The corrective action(s)
            should be based on documented root cause analysis, risk assessment,
            and cost-benefit analysis.

      b.    Contractors shall provide quarterly reports of corrective action(s)
            for each finding to the Responsible and Surveying Offices.
                                     CHAPTER X

                              SELF-ASSESSMENT PROGRAM


1.    APPLICABILITY.  This program applies to contractor facilities for which a
      DOE F 5634.3, "Facility Data and Approval Record," is recorded.  The level
      of detail of the self-assessment may be specified by the Lead Responsible
      Office.

2.    REQUIREMENTS.

      a.    Self-assessment programs shall be conducted and documented for all
            cleared facilities.  The self-assessment program shall:

            (1)   include reviews of all applicable DOE F 5634.1, "Safeguards and
                  Security Survey Report," topical and subtopical areas of the
                  facility's safeguards and security program/system;

            (2)   be conducted between the periodic surveys conducted by the
                  Surveying Office; and

            (3)   be conducted using personnel knowledgeable of the programmatic
                  or topical area.

      b.    Self-assessment reports shall:

            (1)   address reviewed topical areas;

            (2)   be used as organizational management tools/aids in determining
                  the status of safeguards and security performance and
                  compliance with applicable safeguards and security order
                  requirements;

            (3)   be available for review by the Surveying Office during surveys;
                  and

            (4)   list findings resulting from self-assessment activities.

      c.    Findings resulting from self-assessments shall be processed as
            follows:

            (1)   Reviewed during the surveys by the Surveying Office.

            (2)   Addressed by facility/organization management through a
                  documented corrective action plan.

            (3)   Reviewed and the status of findings tracked until closed.

            (4)   Reported to the Lead Responsible Office if:

                  (a)   a vulnerability to national security, classified
                        information, nuclear materials, or Departmental property
                        results, or may result, in a significant anomaly that
                        could have significant programmatic impact or embarrass
                        the Department; or

                  (b)   the self-assessment is used to extend the Surveying
                        Office's periodic survey frequency.

            (5)   be documented in survey reports when deficiencies still exist
                  and have not been adequately addressed.
DOE O 470.1                                                           Attachment 1
9-28-95                                                                     Page i

                                 TABLE OF CONTENTS

                                                                              Page

CHAPTER I - SAFEGUARDS AND SECURITY PROGRAM PLANNING

       1.   Applicability......................................................I-1
       2.   Planning Requirements..............................................I-1
       3.   Planning Documents.................................................I-2

CHAPTER II - SAFEGUARDS AND SECURITY TRAINING PROGRAM

       1.   Applicability.....................................................II-1
       2.   Program Requirements..............................................II-1

CHAPTER III - PERFORMANCE ASSURANCE PROGRAM

       1.   Applicability....................................................III-1
       2.   Program Requirements.............................................III-1
       3.   Documentation Requirements.......................................III-2

CHAPTER IV - SAFEGUARDS AND SECURITY AWARENESS PROGRAM

       1.   Applicability.....................................................IV-1
       2.   Requirements:  Summary of Safeguards and Security
            Awareness Program.................................................IV-1
       3.   Documentation Requirements........................................IV-3

CHAPTER V - FACILITY CLEARANCES AND REGISTRATION OF SAFEGUARDS
AND SECURITY ACTIVITIES

       1.   Applicability......................................................V-1
       2.   Requirements: General..............................................V-1
       3.   Requirements:  Facility Clearances.................................V-2
       4.   Requirements:  Facility Data and Approval Record...................V-3
       5.   Requirements:  Contract Security Classification Specification......V-3

CHAPTER VI - FOREIGN OWNERSHIP, CONTROL, OR INFLUENCE PROGRAM

       1.   Applicability.....................................................VI-1
       2.   Requirements......................................................VI-1
       3.   Requirements:  Reporting Significant Changes......................VI-2
       4.   Requirement:  Methods to Negate or Reduce Unacceptable FOCI.......VI-2
       5.   Requirements:  Annual Certification...............................VI-3

CHAPTER VII - INCIDENTS OF SAFEGUARDS AND SECURITY CONCERN

       1.   Applicability....................................................VII-1
       2.   Requirements.....................................................VII-1

Attachment 1                                                           DOE O 470.1
Page ii                                                                    9-28-95


CHAPTER VIII - CONTROL OF CLASSIFIED VISITS PROGRAM

       1.   Applicability...................................................VIII-1
       2.   Requirements:  Classified Visit Procedures......................VIII-1
       3.   Requirements:  Classified Visits by DOE Employees, Contractors and
            Subcontractors..................................................VIII-1
       4.   Requirements:  Visits to Department of Defense and National
            Aeronautics and Space Administration Facilities.................VIII-2
       5.   Requirements:  Restricted Data Visits by Nuclear Regulatory
            Commission and Employees........................................VIII-2
       6.   Requirements:  Restricted Data Visits by Department of Defense and
            National Aeronautics and Space Administration Employees.........VIII-3
       7.   Requirements:  Other Classified Visits by Department of Defense and
            National Aeronautics and Space Administration Employees.........VIII-5
       8.   Requirements:  Classified Visits by Employees of
            Other Federal Agencies..........................................VIII-5
       9.   Requirements:  Congressional and State Classified Visits........VIII-5
      10.   Requirements:  Emergency Visits to Classified Areas
            and Facilities..................................................VIII-6
      11.   Requirements:  Classified Visits by Foreign Nationals to DOE
            Facilities......................................................VIII-6

CHAPTER IX - SURVEY PROGRAM

       1.   Applicability.....................................................IX-1
       2.   Requirements:  Corrective Actions.................................IX-1

CHAPTER X - SELF-ASSESSMENT PROGRAM

       1.   Applicability......................................................X-1
       2.   Requirements.......................................................X-1

       Attachment 2, "Deviation Request Format"