INDEX
U.S. Department of Energy ORDER
Washington, D.C. DOE 5630.14A
6-9-92
SUBJECT: SAFEGUARDS AND SECURITY PROGRAM PLANNING
1. PURPOSE. To establish a standardized approach to protection program
planning, and to prescribe Department of Energy (DOE) policy,
objectives, responsibilities, and authority for that planning process.
2. CANCELLATION. DOE 5630.14, SAFEGUARDS AND SECURITY PROGRAM PLANNING,
of 11-16-88.
3. SCOPE. The provisions of this Order apply to Departmental Elements and
contractors performing work for the Department as provided by law
and/or contract and as implemented by the appropriate contracting
officers.
4. APPLICABILITY.
a. Facilities which have Category I quantities of special nuclear
material (SNM), or those facilities that have Category II
quantities within the same protected area that roll-up to a
Category I quantity;
b. Facilities which have a radiological sabotage threat which would
cause an unacceptable impact on the health and safety of the
public;
c. Facilities which have an industrial sabotage threat which would
cause an unacceptable impact to those DOE programs supporting
national defense and security; and/or
d. Other facilities that Heads of Departmental Elements deem
appropriate.
5. POLICY. It is Department policy to:
a. Protect DOE interests from theft or diversion of SNM, sabotage,
espionage, loss or theft of classified/controlled matter or
Government property, and other hostile acts which may cause
unacceptable adverse impacts on national security or on the health
and safety of the public.
b. Provide, in a graded manner, levels of protection appropriate to
particular safeguards and security interests in accordance with
the potential risks to national security and the health and safety
of the public.
c. Reduce identified safeguards and security vulnerabilities to
acceptable levels.
d. Use a systematic process of planning for determining and achieving
an appropriate level of safeguards and security.
e. Consider operational safety requirements and safety impacts in
protection program planning.
6. REFERENCE. DOE 5630.13A, MASTER SAFEGUARDS AND SECURITY AGREEMENTS, of
6-8-92, which establishes Department policy, requirements,
responsibilities, and authorities for the development and
implementation of Master Safeguards and Security Agreements (MSSAs).
7. CONCEPT OF OPERATIONS.
a. This Order consolidates various protection program plans,
previously required reports, and planning-type documents into one
planning document - the site safeguards and security plan. Site
plans and master plans are no longer required.
b. The site safeguards and security plan is the master planning
document for each DOE site. The plan is composed of three
volumes: (1) the MSSAs; (2) the Facility Descriptions and
Operational Plans; and (3) the Resource Plans. Taken together,
the three volumes of the site safeguards and security plan depict
the existing condition of safeguards and security sitewide and by
facility, establish improvement priorities, and provide for an
estimate of resources required for carrying out the necessary
improvements.
c. The MSSA volume of the site safeguards and security plan contains
all of the MSSAs for the site.
d. The Facility Descriptions and Operational Plans describe the site
protection strategies, significant facility protection systems and
programs currently in place.
e. Resource Plans present a 5-year projection of the upgrades and
their associated costs in addressing the vulnerabilities and
risk(s) agreed to in the MSSAs. The plans will include expected
risk reduction over the 5-year span.
f. The site safeguards and security plan (all 3 volumes) will be
reviewed and updated annually. Modifications to the MSSA will be
made in accordance with DOE 5630.13A. Modifications to the
facility description and operational plan and resource plan will
be made by adding to, or replacing, pages in the site safeguards
and security plan. The resource plan will be revised annually to
maintain a rolling 5-year perspective. Copies of modifications
and updates for all 3 volumes will be provided to the Office of
Safeguards and Security (SA-10) and appropriate Secretarial
Officers for review, comment, and approval as appropriate.
g. The Office of Safeguards and Security, with appropriate
coordination with Headquarters and Field Elements, will issue and
maintain a site safeguards and security plan planning guide that
contains guidelines for development of site safeguards and
security plans, including content and format of MSSAs, the
facility descriptions and operational plans, and the resource
plans in an effort to assure completeness and consistency and to
eliminate redundancy among the three volumes.
8. RESPONSIBILITIES AND AUTHORITIES.
a. Director of Security Affairs (SA-1) shall:
(1) Establish Safeguards and Security policies, design basis
threat statements, standards, requirements, and guidance.
(2) Support commitments made in the site safeguards and security
plans to the fullest extent possible through the budget
process.
(3) Concur in MSSAs.
b. Director of Safeguards and Security (SA-10), shall:
(1) Formulate safeguards and security policies, design basis
threat statements, standards, requirements, and guidance.
(2) Issue and maintain guidelines for site safeguards and
security plans in consultation with Secretarial Officers.
(3) Review and comment upon MSSAs, review and comment on the
facility description and operational plan, and in accord with
the program office review, comment upon the resource plan to
assure it is consistent with the MSSA.
(4) Support commitments made in site safeguards and security
plans to the fullest extent possible through the budget
process.
(5) Assist in determining safeguards and security project
priorities.
c. Director of Threat Assessment (IN-30) shall disseminate to
appropriate Departmental Elements any current intelligence that is
important to protection program planning.
d. Director of Security Evaluations (EH-4) shall verify, through
inspections and evaluations, compliance with this Order.
e. Director of Information Resources Management (AD-20) shall approve
safeguards for Communications Security (COMSEC), Emission Security
(TEMPEST), and Protected Distribution Systems, both at
Headquarters and in the field.
f. Secretarial Officers shall:
(1) Provide programmatic guidance and information to assist in
developing the site safeguards and security plans.
(2) Approve MSSAs applicable to their programs.
(3) Review and comment on the facility description and
operational plan and review, comment, and (except for the
Office of the Deputy Assistant Secretary for Naval Reactors)
approve, on an as-designated basis, the resource plans
applicable to their program, including plan consistency with,
and impact on, programmatic activities and budgets.
(4) Support, through the budget process, commitments made in site
safeguards and security plans to the fullest extent possible.
(5) Coordinate within Headquarters the review and comment of the
site safeguards and security plan.
(6) Determine safeguards and security project priorities with the
assistance of the Office of Safeguards and Security.
g. Director, Naval Nuclear Propulsion Program shall, in accordance
with the responsibilities and authorities assigned by Executive
Order 12344 (statutorily prescribed by 42 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. The Director shall report
annually to the Secretary on the status of Safeguards and Security
programs within the Naval Nuclear Propulsion Program.
h. Heads of Field Elements shall:
(1) Have primary field responsibility for compliance with this
Order by all sites under their jurisdiction.
(2) Approve the site safeguards and security plans (all three
volumes) for all sites under their jurisdiction and forward
the plans to the Office of Safeguards and Security and
appropriate Secretarial Officers for coordinated Headquarters
review, comment, and approval as appropriate.
(3) Take appropriate action to ensure that site safeguards and
security plans incorporate acceptable protection at
reasonable costs to DOE safeguards and security interests.
If this requires actions that alter the protection philosophy
or performance standards of protection systems agreed to in
approved MSSAs, Heads of Field Elements shall process
revisions in accordance with DOE 5630.13A.
(4) Direct the contractor to annually review and consolidate
changes and updates to site safeguards and security plans for
sites under their jurisdiction for submittal to the Office of
Safeguards and Security and appropriate Secretarial Officers.
(5) Plan funding and staffing requirements consistent with site
safeguards and security plans and available or anticipated
budget levels.
(6) Implement, enforce, and maintain the protection measures and
provisions of site safeguards and security plans for sites
under their jurisdiction.
(7) Document decisions made during the planning process and
maintain current supporting documentation, including
vulnerability analyses, cost-benefit analyses, studies,
surveys, appraisals, inspections, and other appropriate tests
and examinations.
(8) Integrate relevant aspects of the site safeguards and
security plans with any other planning documents.
9. REQUIREMENTS.
a. The site safeguards and security plan planning guide will be
issued within 30 days of the approval date of this Order. An
implementation schedule will also be issued with the planning
guide. However, sites with multiple MSSAs will not be expected to
be in full compliance with this Order until 1 year after the final
MSSA is issued.
b. The following shall be used to support program forecasts and
information input used in the protection program planning process:
(1) Current DOE Orders, DOE threat guidance, and applicable
intelligence assessment information developed and
disseminated by Headquarters.
(2) Programmatic guidance and forecasts of significant changes
planned in site operations, as communicated through
appropriate Heads of Departmental Elements.
(3) Current and projected operational constraints and resources.
(4) Protection program policy guidance provided by Heads of
Departmental Elements.
BY ORDER OF THE SECRETARY OF ENERGY:
DONALD W. PEARMAN, JR.
Acting Director
Administration and Human
Resource Management