INDEX
U.S. Department of Energy ORDER
Washington, D.C. DOE 5630.15
8-21-92
SUBJECT: SAFEGUARDS AND SECURITY TRAINING PROGRAM
1. PURPOSE. To establish procedures for standardizing and implementing
the Department of Energy (DOE) Safeguards and Security Training Program
for safeguards and security personnel, and to prescribe the policy,
responsibilities, and authority for that training program.
2. CANCELLATION. DOE N 5630.2, SAFEGUARDS AND SECURITY TRAINING PROGRAM,
of 12-31-91.
3. APPLICATION TO CONTRACTS. Except as excluded under paragraph 4, the
provisions of this Order are to be applied to covered contractors and
they will apply to the extent implemented under a contract or other
agreement. A covered contractor is a seller of supplies or services
involving access to and protection of classified matter, nuclear
materials or other safeguards and security interests under a
procurement contract or subcontract.
4. EXCLUSION. DOE facilities and activities regulated by the Nuclear
Regulatory Commission (NRC) are exempt from the requirements of this
Order. Office of Civilian Radioactive Waste Management (RW) personnel
and activities not directly associated with the NRC licensed facilities
and thus not covered by the NRC directives are subject to the
provisions of this Order.
5. REFERENCES. Refer to Attachment 1.
6. DEFINITIONS. Refer to Attachment 2.
7. POLICY AND OBJECTIVES. DOE and DOE contractor personnel involved in
DOE safeguards and security programs and activities shall be trained to
a level of proficiency and competence that provides high assurance that
the safeguards and security programs of the Department shall be
successful. As a means to providing such assurance, the following key
elements shall be an integral part of the Safeguards and Security
Training Program:
a. Safeguards and security training methodology and courses shall be
standardized throughout DOE. The scope and level of training
provided to individuals shall be tailored to their assigned duties
and responsibilities and shall be based upon an analysis of their
prior safeguards and security experience and training.
b. Safeguards and security training programs shall be based on the
results of job analyses to document the review and codification of
major tasks and skill requirements identified as a result of those
analyses.
c. Knowledge and performance-based testing shall apply to all
required training to measure the skills acquired from the training
programs developed.
d. For specialized skill requirements, such as armorers, personnel
security specialists, nuclear materials custodians, and technical
security countermeasures technicians, performance testing will
form the primary basis for certification.
e. A Training Approval Program shall be developed and implemented to
assure that safeguards and security training conducted at DOE
facilities other than the Safeguards and Security Central Training
Academy (CTA) meet established standards in course content and
presentation, utilize DOE certified instructors, and have
available facilities and equipment to perform such training.
f. Employees, including minorities, women, and persons with
disabilities, shall be provided reasonable opportunities for
career development consistent with existing or anticipated work
force needs.
g. The provisions of this Order shall be fully implemented within 3
years after the date of this Order.
8. RESPONSIBILITIES AND AUTHORITIES.
a. Secretarial Officers shall:
(1) Provide resources for and assure implementation of effective
safeguards and security training programs in support of
Departmental Elements under their individual cognizance.
(2) Require covered DOE contractors to:
(a) Develop, implement, and manage a comprehensive
safeguards and security training program in accordance
with provisions of this Order except paragraph 8.
(b) Provide annual training needs assessments for
CTA-conducted and other Federal agency-conducted
safeguards and security courses to their cognizant DOE
Field Office or Departmental Element.
(c) Develop provisions for the sharing of training
technology, facilities, and resources with other DOE
Elements and contractors in accordance with this Order.
(d) Implement and provide updated information to support the
development and maintenance of a standardized DOE
safeguards and security training records management
system.
(e) Appoint an individual to serve as the primary
point-of-contact for safeguards and security training
programs.
b. Director of Administration and Human Resource Management (AD-1)
shall oversee the development of training policies and their
implementation.
c. Director of Professional and Technical Training and Development
(AD-70) shall:
(1) Serve as liaison with the Office of Personnel Management on
Departmental training matters.
(2) Develop and promulgate Departmentwide policies, standards,
procedures, guidelines, and records and reporting
requirements concerning DOE employee development and
training.
(3) Provide advice, guidance, information, and staff assistance
regarding employee development and training to DOE
organizations, managers, supervisors, and employees.
(4) When necessary, enter into agreements with other Government
agencies to use their training programs and facilities and to
extend to other agencies the programs and facilities of DOE.
(5) Audit and evaluate training programs and activities conducted
by component organizations throughout DOE focusing especially
on needs assessment, relevancy of training, and training
evaluation.
(6) Be responsible for development of Departmental policies,
standards, and guidance to accomplish a Departmentwide
program of professional and technical training and
professional development to meet the Department's needs for a
technically proficient staff and management for technology
based activities.
(7) Identify specific professional and technical training and
retraining requirements, conduct cost-benefit analyses of
training and development options, and establish facilities
and/or arrange special programs to meet training needs of
technically-proficient professionals.
(8) Develop and maintain information systems, for mission
accomplishment, to correlate such data as potential
retirement plans, skills needs, staff skills inventory, and
budget data for their impact on future planning and program
level-of-effort.
(9) Coordinate with and provide assistance to the Director of
Safeguards and Security in assuring that safeguards and
security training is in accordance with Department and
Government policy.
(10) Develop and issue audit and evaluation program standards and
requirements.
d. Director of Security Affairs (SA-1) provides management direction
and coordination in the development, implementation, and oversight
of the comprehensive Departmental safeguards and security training
program.
e. Director of Safeguards and Security (SA-10) shall:
(1) Develop and issue policy and guidance for safeguards and
security training programs and coordinate with AD-70 to
assure conformance with Departmental training policy.
(2) Assure the development, conduct, and management of uniform
and effective safeguards and security training.
(3) Provide and manage personnel and budget resources for a
standardized safeguards and security training program at the
Safeguards and Security Central Training Academy.
(4) Assure that a safeguards and security Training Approval
Program is developed, implemented and administered.
(5) Conduct annual reviews of safeguards and security training
programs DOE-wide and report findings as part of the Annual
Report to the Secretary on the Status of Safeguards and
Security within the DOE.
(6) Serve as approving authority for certifying that local
safeguards and security training programs meet Departmental
standards.
(7) Establish policy working groups to assist in the policy
development and refinement process.
f. Director of Safeguards and Security Central Training Academy
shall:
(1) Develop safeguards and security related training based on the
direction and guidance provided by SA-10.
(2) Standardize safeguards and security training to include a
training records management system for training
documentation.
(3) Develop and maintain effective training facilities and
operations.
(4) Ensure effective interface with the Office of Security
Evaluations (EH-4), DOE Field Offices, Headquarters Elements,
and contractor training personnel.
(5) Develop and maintain a DOE Safeguards and Security Training
Resource Center for dissemination of training related
information.
(6) Implement and maintain a field assistance capability to
support Headquarters, DOE Field Office, and DOE contractor
training for all safeguards and security activities.
(7) Develop and implement a safeguards and security training
certification and Training Approval Program.
(8) Maintain a professional relationship with other Federal
training agencies, to include the Federal Bureau of
Investigation, Federal Law Enforcement Training Center, and
various Department of Defense training centers.
(9) Coordinate utilization of the safeguards and security
training resources throughout DOE to support safeguards and
security training DOE-wide including the Transportation
Safeguards Training Center, national laboratories, and the
various training centers throughout DOE which support
safeguards and security training objectives.
(10) Establish and chair a safeguards and security Training
Advisory Committee (TAC).
(11) Establish and coordinate Training Working Groups, as
required, to evaluate and recommend specific training and
guidance.
(12) Assess on an annual basis the status of training
Departmentwide in each of the safeguards and security topical
areas and provide the results to SA-10.
g. Director of Naval Nuclear Propulsion Program shall, in accordance
with the responsibilities and authorities assigned by Executive
Order 12344 (statutorily prescribed by Public Law 98-525 (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.
h. Heads of Field Elements shall:
(1) Develop and issue specific guidance for implementation of
this Order.
(2) Assure DOE site-specific safeguards and security training
programs are developed, conducted, certified, and managed in
accordance with this Order.
(3) Review training programs under their cognizance to assure
that all safeguards and security training is maintained at
acceptable levels.
(4) Appoint an individual to serve as the primary
point-of-contact for the safeguards and security training
programs under the cognizance of that DOE Field Element.
(5) Assess annually the status of training in each of the
safeguards and security topical areas applicable to their
programs.
(6) Implement a standardized DOE safeguards and security training
records management system and provide updated information to
the Safeguards and Security Central Training Academy and
other Departmental Elements to support the development and
maintenance of that system.
(7) Designate an individual(s) to be responsible for bringing to
the attention of the contracting officer each procurement
falling within the scope of this Order. Unless another
individual is designated, the responsibility is that of the
procurement request originator (the individual responsible
for initiating a requirement on DOE F 4200.33, "Procurement
Request Authorization").
(8) Assist contractors in utilizing the training resources of the
Office of Personnel Management and other Federal agencies,
and to the extent practical, encourage contractors to make
contractor safeguards and security training programs
available to Federal employees.
(9) Require covered DOE contractors to:
(a) Develop, implement, and manage a comprehensive
safeguards and security training program in accordance
with provisions of this Order except paragraph 8.
(b) Provide annual training needs assessments for
CTA-conducted and other Federal agency-conducted
safeguards and security courses to their cognizant DOE
Field Office or Departmental Element.
(c) Develop provisions for the sharing of training
technology, facilities, and resources with other DOE
Elements and contractors in accordance with this Order.
(d) Implement and provide updated information to support the
development and maintenance of a standardized DOE
safeguards and security training records management
system.
(e) Appoint an individual to serve as the primary
point-of-contact for the safeguards and security
training programs.
i. Procurement Request Originators (the individuals responsible for
initiating a requirement on DOE F 4200.33) or such other
individual(s) as designated by the cognizant Head of Departmental
Element shall bring to the attention of the cognizant contracting
officer the following: (1) each procurement requiring the
application of this Order, (2) requirements for flowdown of
provisions of this Order to any subcontract or subaward, and (3)
identification of the paragraphs or other portion of this Order
with which the awardee, or, if different, a subawardee, is to
comply.
j. Contracting Officers, based on advice received from the
procurement request originator or other designated individual,
shall apply applicable provisions of this Order to awards falling
within its scope. For awards, other than management and operating
contracts, this shall be by incorporation or reference using
explicit language in a contractual action, usually bilateral.
9. CONCEPT OF OPERATIONS.
a. The Safeguards and Security Training Program shall encompass
training in the following topical areas:
(1) Safeguards and Security Program Planning and Management.
(2) Protection Program Operations, including Physical Security,
Security Systems and Protective Forces.
(3) Materials Control and Accountability.
(4) Information Security, including Computer Security, Technical
Surveillance Countermeasures, Operations Security, and
Classified Matter Protection and Control.
(5) Personnel Security.
(6) Facility Approvals and Surveys.
b. Safeguards and security training shall be provided to individuals
to assure they are qualified to perform the assigned safeguards or
security task or responsibility. Initial and refresher training
shall be tailored to develop the required knowledge and skills.
c. The Safeguards and Security Central Training Academy shall provide
the focus for standardization of training in safeguards and
security courses and programs. This shall be accomplished through
a program of training standardization, certification of key skill
personnel, development of skills enhancement courses, and approval
of facility training programs.
d. The Safeguards and Security Central Training Academy shall provide
a state-of-the-art training facility and program adhering to the
standards of this Order. The CTA shall develop and provide
standardized training programs courses for individual safeguards
and security topical areas as set forth in paragraph 9a and make
information associated with these training courses available to
DOE organizations and DOE contractors for use in their training
programs. In conjunction with the development of standardized
courses, the CTA shall also develop standardized procedures for
testing individuals to assess proficiency, knowledge, and skills
and make the associated information available to DOE organizations
and DOE contractors. Emphasis will be placed on providing
training to Headquarters and Field Element instructors and
instructor-candidates.
e. A Safeguards and Security draining Resource Center shall be
maintained as a repository of current and historical reference
materials to support all aspects of the training program.
f. The Director of CTA shall manage the Academy and shall assure the
achievement of program objectives. The Director shall ensure the
establishment and maintenance of a professional CTA instructor
cadre and shall institute procedures and controls for the
effective and efficient utilization of these resources.
g. The Safeguards and Security Training Advisory Committee (TAC)
shall review programs and training issues and provide
authoritative advice and recommendations on training programs,
courses, training requirements, and personnel qualifications as
described in paragraph 10.
h. The Director of CTA shall be responsible for review of DOE and DOE
contractor safeguards and security training programs to assess
adherence to established quality standards in course content and
presentation. The Director of CTA shall provide recommendations
to SA-10 for approving site training programs and courses which
meet the established standards as described in paragraph 11.
i. Instructors of courses at the CTA shall be certified by the
Director of CTA. Such certifications remain valid so long as the
individual fulfills all required refresher training.
Certification requires a record review of qualifications and a
recommendation by the individual responsible for the training
program. Instructors of courses provided by other DOE elements
and DOE contractors shall be certified by the individual
responsible for the DOE element or contractor training program.
j. Personnel performing safeguards and security duties at DOE and DOE
contractor facilities shall receive training applicable to their
assigned duties which has been reviewed by CTA and approved by
SA-10 to ensure adherence to Departmental standards.
k. Development, review, and presentation of training courses for
unique site-specific requirements shall be the responsibility of
cognizant sites.
l. The CTA will develop and maintain a repository of information
pertaining to relevant external sources of training and training
materials, as well as data regarding needs which cannot be
satisfied by Departmental resources. For sensitive U.S.
Government training available from sources outside of DOE,
coordination will be made with the cognizant SA-10 representative.
m. The CTA, Headquarters and Field Elements, including contractors,
shall implement a standardized training records management system
as described in paragraph 12.
n. The CTA shall establish and maintain effective relationships with
other Department and Agency training facilities and operational
safeguards and security functions to further the objectives of
providing effective and efficient training.
10. TRAINING ADVISORY COMMITTEE.
a. The purpose of the TAC is to accomplish the following goals and
objectives:
(1) Review, evaluate, and recommend specific subject areas and
curriculum content required to establish standardized
training.
(2) Recommend and assist in obtaining resources required to
support the standardized training program.
(3) Review the implementation status of safeguards and security
training policy and guidance.
(4) Provide annual review and validation of the CTA's operations,
course schedule, course approval and certification
procedures, and strategic plans.
b. The TAC shall be chaired by the Director of CTA. The committee
membership shall include two senior level officials from SA-10 and
two senior officials from DOE Field Offices who are nominated by
the chair and approved by SA-10. In addition, there shall be 2
technical advisors who shall be senior personnel from DOE
contractor organizations. Technical advisors shall be nominated
by the chair and approved by SA-10. Membership and technical
advisors shall be for a period of 2 years, or for a time period
decided by SA-10. The committee may establish subcommittees and
working groups to address specific issues and problems. Working
groups will serve in an advisory capacity to the safeguards and
security TAC regarding development, resource requirements, and
implementation for standardized training, and to perform research
on and analyses of pertinent training issues. These working
groups will operate in support of the CTA and provide feedback to
other SA-10 directed Safeguards and Security Program Policy
Working Groups in specific areas of overlapping interest.
c. The TAC shall meet at least semiannually and at the call of the
chair.
11. TRAINING APPROVAL PROGRAM. Training approval is a process to formally
recognize safeguards and security training programs and courses, other
than CTA programs and courses, that have satisfied established
objectives, standards, and criteria. Safeguards and security training
program objectives, standards and criteria shall be developed, refined
and distributed to Headquarters and Field Elements with interests in
safeguards and security training programs to facilitate development of
training programs. Site programs shall be examined by representatives
of CTA on a recurring basis, but no less than every 3 years, to verify
adherence to Departmental standards and objectives.
a. Initial and recurring reviews for training approval shall consist
of a review of all aspects of local training programs to include
such areas as program management and structure, course contents,
training facilities, observation of course presentations for
effectiveness, and evaluation of students.
b. Instructors shall be evaluated for knowledge in assigned training
area and effectiveness in presenting assigned course materials.
c. Individuals will be tested to evaluate skills and knowledge
achieved through course participation.
d. Training approvals shall remain valid for a period of 3 years.
12. DOE SAFEGUARDS AND SECURITY TRAINING RECORDS MANAGEMENT SYSTEM.
a. 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.
Additional information regarding forms and the computerized
Departmental Training Information System is provided in DOE
3410.1B, TRAINING.
b. 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 1324.2A, RECORDS DISPOSITION and
General Records Schedules issued by the Archivist of the United
States.
(1) Records of training provided at CTA shall be maintained at
CTA and shall also be maintained in each individual's file at
the Headquarters, DOE Field Office, Departmental Element, or
contractor facility.
(2) Records of training provided at DOE Field Office facilities
shall be maintained at the DOE Field Office and shall be
provided to the organization sponsoring the individual for
inclusion in the individual's record file.
(3) Records of training provided at contractor facilities shall
be provided to and retained by the organization sponsoring
the individual.
(4) Records of training provided at other Government or private
facilities shall be secured and maintained by the
organization sponsoring the individual.
BY ORDER OF THE SECRETARY OF ENERGY:
DOLORES L. ROZZI
Director of Administration
and Human Resource Management
REFERENCES
1. DOE 1324.2A, RECORDS DISPOSITION, of 9-13-88, which assigns
responsibilities and authorities and prescribes policies, procedures,
standards, and guidelines for the orderly disposition of records of the
DOE and its management and operating contractors.
2. DOE 1324.6, AUTOMATED OFFICE ELECTRONIC RECORDKEEPING, of 7-8-87, which
provides requirements for managing electronic records: records created,
stored, or transmitted using personal computers, word processors, and
associated electronic office equipment.
3. DOE 3220.3A, HUMAN RESOURCE DEVELOPMENT FOR MANAGEMENT AND OPERATING
CONTRACTORS, of 5-18-92, which prescribes policy, assigns
responsibilities, and provides guidance for human resource development
programs of management and operating contractors.
4. DOE 3410.1B, TRAINING, of 2-29-88, which prescribes policy, assigns
responsibilities, and provides guidance and instructions for
establishing, maintaining, monitoring, and evaluating DOE employee
development and training programs and activities.
5. DOE 5630.11, SAFEGUARDS AND SECURITY PROGRAM, of 1-22-88, which
establishes the policy and responsibilities for the DOE Safeguards and
Security Program.
6. DOE 5632.7, PROTECTIVE FORCES, of 2-9-88, which prescribes policies and
requirements for training protective forces charged with the protection
of security interests at DOE facilities.
7. Title 5, United States Code (U.S.C.), section 4103, which provides
authority for agencies to establish, operate, and maintain training
programs.
8. Executive Order 11478 which provides that equal opportunity be an
integral part of every aspect of personnel policy and practice in the
employment, development, and advancement of civilian employees of the
Federal Government.
9. Federal Personnel Manual (FPM), chapter 410, which contains policy,
basic requirements, and guidance relating to the training of Federal
employees.
10. General Records Schedules, General Records Schedules Transmittal No. 2,
National Archives and Records Administration, 10-30-89, which provides
information on records disposal.
DEFINITIONS
1. Certification. The verification that a standard of knowledge or skill
level pertaining to a safeguards or security discipline has been
demonstrated by testing.
2. Instructor. Any person assigned the task of instruction in a formal
training program who has been certified by the Director of CTA, or by
the individual responsible for the DOE element or contractor training
program.
3. Performance-Based Training. A systematic approach to training which is
based on tasks and the related knowledge and skills required for job
performance. This term is synonymous with the Instructional System
Design, Systematic Approach to Training, Criterion Referenced
Instruction, Training System Design, and Competency-Based Training.
4. Qualification. The verification that a specific standard of knowledge
or experience pertaining to a specified job or task has been
demonstrated based on specific test requirements.
5. Training Approval Program. A Department of Energy (DOE), Office of
Safeguards and Security, program to formally recognize safeguards and
security training programs and courses conducted by an organization
other than the Central Training Academy that have satisfied established
objectives, standards, and criteria for a quality safeguards and
security training program.
NOTE: Other standardized safeguards and security terminology may be found
in the "Safeguards and Security Definitions Guide" published and maintained
by the Office of Safeguards and Security (SA-10).