INDEX
U.S. Department of Energy ORDER
Washington, D.C. DOE 5630.17
9-29-92
SUBJECT: SAFEGUARDS AND SECURITY (S&S) STANDARDIZATION PROGRAM
1. PURPOSE. To provide policies, procedures, responsibilities and
authority for the S&S Standardization Program to ensure the most
effective and efficient use and procurement of S&S equipment and
systems.
2. CANCELLATION. DOE 5632.10, SAFEGUARDS AND SECURITY (S&S) EQUIPMENT
STANDARDIZATION, of 1-12-90.
3. APPLICATION TO CONTRACTS. Except as excluded in 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
that is awarded a procurement contract or a subcontract involving
access to classified matter, special nuclear materials, unclassified
sensitive information, or other security interest.
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. See Attachment 1.
6. DEFINITIONS. Definitions of terms commonly used in the S&S Program are
provided in the "Safeguards and Security Definitions Guide" which is
maintained and distributed by the Office of Safeguards and Security.
In addition, the following definitions are pertinent to this Order:
a. S&S Equipment. Includes S&S equipment used by protective
personnel in the performance of their duties; equipment used to
control and account for special nuclear material in storage,
process, and transit; exterior and interior access control and
intrusion detection equipment and systems; and all S&S
safety-related equipment.
b. Standardization. The process to make S&S equipment, systems and
training similar throughout the DOE complex, in order to achieve
cost savings and/or cost avoidance, to facilitate both contingency
efforts and Order compliance, and to promote safety.
c. Common Procurement. Acquisition of identified S&S equipment
through the process described in this Order.
d. Performance Specifications. Minimum criteria required for the
procurement of specific items.
7. POLICY AND OBJECTIVES.
a. It is Departmental policy to standardize S&S equipment and systems
where operational and financial benefits can be achieved.
b. The objectives of this program are to determine where equipment
standardization is appropriate and to achieve cost savings and
other efficiencies through the examination and implementation of
procurement alternatives, including full and open competition
wherever possible.
8. RESPONSIBILITIES AND AUTHORITIES.
a. Secretarial Officers shall:
(1) Assure participation, in coordination with the Director of
Security Affairs (SA-1) and field elements that report to
Secretarial Officers, in efforts to standardize S&S systems
and equipment and to develop performance specifications for
specific S&S items or systems.
(2) In coordination with affected field elements that report to
the Secretarial Officers, make appropriate arrangements for
funding to provide necessary equipment and systems which
adhere to the goals of the S&S Standardization Program.
(3) When possible in the design of new facilities, incorporate
the use of standardized S&S equipment, without impacting the
integrity and flexibility of the new design effort. When new
S&S equipment is identified and approved for standardization,
coordinate with the Director of Safeguards and Security
(SA-10) for incorporation into the S&S Standardization
Program.
b. Director of Procurement, Assistance and Program Management (PR-1)
shall:
(1) Provide guidance and assistance to SA-10 in development of
standardization policy and program implementation to field
elements.
(2) When possible in the design of new facilities, incorporate
the S&S Standardization Program into formal policy.
c. Director of Security Affairs (SA-1) shall:
(1) Issue policy on implementation of the S&S Standardization
Program and provide procedures and requirements for
procurement of standardized items and systems.
(2) Determine, based on recommendations from SA-10, which
equipment and systems are to be part of the standardization
program and whether common procurement or the development of
performance specifications will be pursued.
(3) Approve exceptions to these requirements if adverse impacts
are demonstrated.
d. Director of Safeguards and Security (SA-10) shall:
(1) Identify S&S equipment and systems for standardization and/or
common procurement and recommend these items to SA-1 for
inclusion in the program.
(2) Provide guidance for program implementation, including
coordination with appropriate Departmental elements and
procurement and safety officials in the implementation of the
S&S Standardization Program through common procurement and/or
performance specification development.
(3) Develop policy, in coordination with PR-1, on the
implementation of the S&S Standardization Program, including
the process for identification of items to be included,
surveys of user needs, procedures for purchasing and other
procurement activities, and integration of safety, technology
development, and other pertinent Departmental activities.
(4) Establish, maintain and distribute a data base of
standardized S&S items, to include details on performance
history, design considerations and technical contacts.
(5) Recommend to SA-1, in coordination with cognizant field
element and Secretarial Officer, when an exception should be
granted.
e. Assistant Secretary for Environment, Safety and Health (EH-1)
shall:
(1) Through the Director of Quality and Safety Programs (EH-32)
provide assistance to SA-10 to ensure safety policy is
considered and incorporated into the development of
performance specifications and implementation of common
procurement.
(2) Through the Deputy Assistant Secretary for Security
Evaluations (EH-4) provide independent inspection,
performance testing, and evaluation to assess S&S programs
implemented under this Order.
f. Director of Information Resources Management Policy, Plans, and
Oversight (AD-24) is responsible for the overall management of the
Communications Security (COMSEC), Emissions Security (TEMPEST),
Protected Distribution System (PDS), Secure Voice, and
Unclassified Computer Security (UCS) Programs for the Department,
will provide assistance to SA-10 when appropriate, and assure
these programs integrate the requirements of this Order.
g. Director, Naval Nuclear Propulsion Program (NE-60), shall, in
accordance with the responsibilities and authorities assigned by
Executive Order 12344 (statutorily prescribed by Public Law 98-525
(42 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) Participate in the standardization, common procurement and/or
development of performance specifications in coordination
with the PSO lead element and with SA-1.
(2) In coordination with affected program offices, make
appropriate arrangements for funding to provide necessary
equipment.
(3) Assure that DOE area offices and contractors comply with
established standards.
(4) Assure the procurement request packages, for each procurement
requiring the application of this Order, include:
(a) Identification of the Order and the specific
requirements or paragraphs with which a contractor or
other awardee is to comply.
(b) Requirements for the flowdown of provisions to any
subcontract or subaward.
(5) If an adverse impact would result, submit requests for
exceptions of specific standardization requirements to SA-1
for approval. Disapproval by SA-1 may be appealed to S-3.
i. Procurement Request Originators (the individuals responsible for
initiating a requirement on DOE F 4200.33 "Procurement Request
Authorization") or such other individuals(s) as designated by the
cognizant Heads of Departmental Elements 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; (3) identification of the paragraphs or
other portion of this Order with which the awardee, or, if
different, a subawardee, is to comply; and (4) identify need for
and process any exceptions to this Order prior to submitting a
procurement request to the Contracting Officer.
j. Contracting Officers shall ensure items submitted for procurement
are in accordance with the criteria in this Order, or that an
exception has been granted.
k. Chief Financial Officer (CR-1) shall assist in the transfer of
funds for common procurement from other Allotment and AFP holders.
9. REQUIREMENTS.
a. Equipment and systems in the S&S Standardization Program shall be
selected on the basis of compliance with DOE and DOE adopted life
safety codes, providing a cost savings or other benefit to the
Department. Other criteria to be considered in the determination
are reducing maintenance costs, increasing worker safety,
enhancing mission capability, facilitating contingency efforts,
and reducing training costs.
b. Items will be standardized either through the development and
issuance of Headquarters and Field Element approved performance
specifications or by common procurement.
c. New facility designs will incorporate the use of standardized S&S
equipment and systems where possible without compromising design
flexibility and still meet performance criteria.
d. Information regarding flowdown provisions for these requirements
(as established by the procurement request originator) may be
transmitted in a written communication to the Contracting Officer
rather than a procurement request package.
10. SUPPLEMENTARY MANUALS AND GUIDANCE. Supplementary requirements to this
Order shall be published as a DOE Manual. The manual shall contain
standards and procedures for the identification and procurement of S&S
equipment and systems. Such a manual will be coordinated and published
through the Departmental Directives System.
BY ORDER OF THE SECRETARY OF ENERGY:
DOLORES L. ROZZI
Director of Administration
and Human Resource Management
REFERENCES
1. Atomic Energy Act of 1954 (42 U.S.C. 2201k) as amended:
a. Chapter 12, "Control of Information," sections 141-146, inclusive,
which sets forth the principles for the control of Restricted
Data.
b. Chapter 14, "General Authority," section 161, "General
Provisions," which sets forth the authority necessary to perform
the functions of the Department and the Nuclear Regulatory
Commission.
c. Chapter 18, "Enforcement," sections 221-233, which sets forth the
authority necessary to protect Restricted Data and to safeguard
property and establish criminal penalties for violation of
provisions of the Atomic Energy Act.
d. Chapter 18, "Enforcement," section 229, "Trespass Upon Commission
Installations," which sets forth the authority to issue
regulations and establishes penalties for violating these
regulations relating to the entry upon or carrying, transporting,
or otherwise introducing or causing to be introduced any dangerous
weapon, explosive, or other dangerous instrument or material
likely to produce substantial injury or damage to persons or
property, into or upon any facility, or installation, or real
property of the Department or the Nuclear Regulatory Commission.
2. DOE EV 061945, Department of Energy Explosives Safety Manual, which
provides information and guidance related to the safe use and storage
of explosives.
3. Department of Energy Organization Act, as amended, Section 661 which
sets forth authority to carry firearms and make arrests while
protecting the Strategic Petroleum Reserve.
4. Federal Specification W-A-450-C, "Interim Federal Specification, Alarm
Systems," which provides specifications for interior alarm systems.
5. Federal Specification AA-D-6008, which provides specifications for
vaults.
6. "Design Basis Threat Policy for the Department of Energy (DOE) Programs
and Facilities" (U), of March 1992, issued by the Assistant Secretary
for Security Affairs, which identifies and characterizes the range of
potential generic adversary threats to the Department's nuclear
programs and facilities which could adversely impact national security
and the health and safety of the public. This document is classified
and is available through the local S&S office.
7. National Institute of Justice Standard 0101.02, Ballistic Resistance of
Police Body Armor, 2-28-84, which identifies levels of protection for
personnel protective armor.
8. Title 5 Code of Federal Regulations (CFR) Part 1320, Paperwork
Reduction Act, which directs the identification and clearance of
information collections levied on the public, including contractors,
state and local government units, and persons who perform services for
the Department on an individual basis.
9. Title 10 CFR Part 100, Reactor Site Criteria, which guides the
evaluation of the suitability of proposed sites for power and test
reactors.
10. Title 10 CFR Part 1046, Physical Protection of Security Interests;
Subpart B, Protective Force Personnel, Appendix A, which provides
medical and physical fitness qualification standards for Departmental
contractor employees at Government-owned facilities, whether or not
privately operated.
11. Title 10 CFR Part 1049, which provides guidance on limited arrest
authority and use of force for SPR Protective Force Officers.
12. Title 41 CFR Chapter 101, Federal Property Management Regulations,
which sets forth introductory material concerning the Federal Property
Management Regulations System; its content; types; publications,
including Federal specifications and standards; authority;
applicability; numbering; deviation procedures; as well as agency
consultation, implementation, and supplementation.
13. DOE 5630.11, SAFEGUARDS AND SECURITY PROGRAM, of 1-22-88, which
provides policies for the Safeguards and Security Program.