INDEX
U.S. Department of Energy ORDER
Washington, D.C. DOE 5631.1C
5-4-94
SUBJECT: SAFEGUARDS AND SECURITY AWARENESS PROGRAM
1. PURPOSE. To establish policies, responsibilities, and requirements for
the implementation of a Safeguards and Security Awareness Program for
the Department of Energy.
2. CANCELLATION. DOE 5631.1B, SECURITY EDUCATION BRIEFING AND AWARENESS
PROGRAM, of 12-31-91.
3. APPLICABILITY/EXCLUSIONS/DEVIATIONS.
a. General. This Order applies to Departmental Elements responsible
for the protection of classified matter and the safeguarding of
special nuclear materials.
b. Application to Contracts. 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 (e.g. management and operating contractor, service
support contractor, onsite contractor) is a seller of supplies or
services that has been awarded a procurement contract or
subcontract involving protection of classified matter or
safeguarding of special nuclear materials.
c. Exclusions. Departmental facilities and activities subject to
regulation by the Nuclear Regulatory Commission are exempt from the
requirements of this Order.
d. Deviations. Deviations from requirements shall be processed
according to DOE 5630.11A, SAFEGUARDS AND SECURITY PROGRAM.
4. REFERENCES. See Attachment 1.
5. POLICY.
a. The formulation and maintenance of a structured safeguards and
security awareness program is required for all Departmental
elements and contractors.
b. As a condition of access to DOE security areas or classified
information, all DOE and DOE contractor employees shall attend
briefings as required by this Order. Failure of an individual to
attend specified briefing(s) shall be grounds for denial of access
to classified information and security areas.
c. Safeguards and security awareness programs shall include, but are
not limited to the following: initial, comprehensive, refresher,
and termination briefings.
6. RESPONSIBILITIES AND AUTHORITIES.
a. Director of Security Affairs. Approves the policy and requirements
for regulating the Safeguards and Security Awareness Program.
b. Director of Declassification. Provides safeguards and security
awareness materials to Headquarters and Field element Security
Awareness Coordinators on classification requirements.
c. Director Safeguards and Security shall:
(1) Develop policies, objectives, standards and guidelines for the
Safeguards and Security Awareness Program.
(2) Maintain oversight of the implementation of the Safeguards and
Security Awareness Program throughout DOE (including
contractors).
(3) Provide safeguards and security awareness materials to
Headquarters and field Security Education Coordinators, as
appropriate.
(4) Plan and present safeguards and security awareness workshops
for Safeguards and Security Awareness Coordinators and other
employees having safeguards and security awareness
responsibilities.
(5) Coordinate with the Director of Declassification to assure
that classification requirements are appropriately covered in
safeguards and security awareness briefings.
(6) Appoint a security representative to serve as a DOE-wide
Safeguards and Security Awareness Program manager.
(7) Appoint a Headquarters Safeguards and Security Awareness
Coordinator who will coordinate and provide oversight of the
headquarters safeguards and security awareness program. The
Coordinator will provide safeguards and security awareness to
DOE and DOE contractor employees located at Headquarters, in
coordination with safeguards and security awareness points of
contact.
d. Heads of Headquarters Elements shall:
(1) Ensure that office management and supervisory personnel
support the safeguards and security awareness point of contact
identified in Paragraph 6d(3) below.
(2) Ensure, as appropriate, through security surveys and oversight
activities that Departmental elements and contractors
establish and maintain safeguards and security awareness
programs in compliance with this Order.
(3) Appoint a safeguards and security awareness point of contact
who will coordinate with the Director of Safeguards and
Security to assist in identifying and scheduling participants
in the safeguards and security awareness program and who will
serve as liaison with the Headquarters Safeguards and Security
Awareness Coordinator.
e. Heads of Field Elements shall:
(1) Ensure that support and resources are available as necessary
to implement the provisions of this Order.
(2) Appoint a Safeguards and Security Awareness Coordinator who
will be responsible for the implementation of the provisions
of this Order.
f. Heads of Departmental Elements shall, in addition to the
requirements provided in Paragraphs 6d and e, 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 assigned to the procurement request originator
(the individual responsible for initiating a requirement on DOE F
4200.33, "Procurement Request Authorization."
g. 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 Headquarters
or Field Element, shall bring to the attention of the cognizant
contracting officer the following: (1) each procurement requiring
the application of the Directive, (2) requirements for flowdown of
provisions of this Directive to any subcontract or sub-award, and
(3) identification of the paragraphs or other portions of this
Directive with which the awardee, or, if different, a sub-awardee,
is to comply.
h. Contracting officers, based on advice received from the procurement
request originator or other designated individuals, 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.
i. Director, Naval Nuclear Propulsion Program shall, in accordance
with the responsibilities and authorities assigned by Executive
Order 12344 (statutorily prescribed by 42 USC 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 the safeguards and security
awareness program for facilities and activities under the
Director's cognizance.
7. SAFEGUARDS AND SECURITY AWARENESS COORDINATOR.
a. A Safeguards and Security Awareness Coordinator shall possess
necessary knowledge and skills, such as:
(1) Knowledge of applicable DOE safeguards and security orders,
rules, and regulations;
(2) Knowledge of applicable site(s) security orders, rules,
procedures, and regulations;
(3) Knowledge of the demographics of the audience;
(4) Knowledge of the site(s) layout;
(5) Writing and editing skills;
(6) Presentation and speaking skills;
(7) Audiovisual preparation skills;
(8) Knowledge of recent espionage cases;
(9) Knowledge of approaches and recruitment techniques employed by
hostile intelligence services;
(10) Knowledge of security-related incidents and concerns; and
(11) Knowledge of security threats and vulnerabilities.
b. Requisite knowledge and skills may be derived from an individual's
past or current job experience, whether from DOE or DOE contractor
organizations, other Federal agencies, or commercial sources.
8. INITIAL SECURITY BRIEFING.
a. Purpose. Initial safeguards and security awareness briefings shall
be developed and conducted to inform cleared and uncleared
individuals who will have access to security areas, of local
security procedures and access control requirements.
b. Scheduling. Each individual shall receive the initial security
briefing prior to assuming duties. Initial and comprehensive
briefings may, at the discretion of the facility, be conducted
simultaneously. Under such circumstances, the subject requirements
shall be included as prescribed by both initial and comprehensive
criteria.
c. Subjects. Initial briefing subjects shall include, but are not
limited to:
(1) General overview of program and function activities relative
to the particular facility;
(2) General overview of DOE security programs, to include
personnel security, information security, and physical
security;
(3) Local access control procedures;
(4) Local escort requirements;
(5) Theft or misuse of Government property;
(6) Restrictions on the introduction of prohibited articles to DOE
facilities;
(7) Substance abuse policies; and
(8) Hostile intelligence threat, foreign contacts, and travel to
sensitive countries.
d. Target Population. An initial security briefing is required for
all individuals with access to security areas or security
interests.
9. COMPREHENSIVE BRIEFING.
a. Purpose. The comprehensive briefing is designed to inform
individuals who are granted a DOE security clearance (access
authorization) of their security responsibilities.
b. Scheduling. Prior to being granted access to classified
information or special nuclear materials, an individual shall
receive a comprehensive briefing. Comprehensive briefings shall be
scheduled with a frequency that ensures minimum delay in the
granting of access. Additionally, all individuals possessing a
security clearance who are permanently transferred to another DOE
facility, shall also receive a comprehensive briefing at the new
facility.
c. Subjects. Comprehensive briefing subjects shall include, but are
not limited to:
(1) Authority for DOE classified information programs;
(2) Definitions of the categories of classified information;
(3) Definitions of the levels of sensitivity of classified
information;
(4) General facts concerning classifying and declassifying
information;
(5) Information on badge systems and clearance levels;
(6) Escorting procedures;
(7) Control, storage, marking, reproduction, transmittal and
destruction of classified matter, including telecommunications
and facsimile (FAX) transmissions; and
(8) Notification to the appropriate security officials of any of
the following:
(a) Illegal or unauthorized access being sought to classified
or sensitive information, technology, or special nuclear
materials; or the individual's belief that he or she may
be the target of attempted exploitation.
(b) Any unofficial contact with organizations or individuals
from sensitive countries.
(c) Actual or imminent security incidents, such as the
compromise of classified information, acts of sabotage or
terrorism, or approaches or contacts by hostile
intelligence organizations.
(d) Marriage or name change subsequent to being granted an
access authorization.
(e) Arrests, charges (including dismissals) or detention by
Federal, State, or other law enforcement authorities, for
any Federal law, State law, county or municipal law,
regulation or ordinance (including traffic violations for
which a fine of more than $250 was imposed).
(9) Legal and administrative sanctions imposed for infractions and
violations of security regulations and criteria.
(10) Intelligence services targeting and recruitment methods.
(11) Security systems requirements.
(12) General facts about the protection of special nuclear
materials (SNM).
d. Target Population. All individuals shall be provided a
comprehensive briefing upon receipt of a security clearance and
prior to access to classified information or special nuclear
material.
e. Documentation. As a condition of access, all individuals
possessing a security clearance, shall complete Standard Form 312
(SF-312), "Classified Information Nondisclosure Agreement". The
completed SF-312 satisfies documentation requirements contained on
page 6 in paragraph 12. Failure of an individual to execute the SF
312 shall be grounds for denial of access to classified matter.
10. REFRESHER BRIEFINGS.
a. Purpose. The refresher security briefing is intended to reinforce
information on security policy and information relating to security
responsibilities for individuals who possess DOE access
authorizations.
b. Scheduling. Refresher briefings are mandatory for all individuals
possessing active DOE access authorizations.
(1) Annual refresher briefings shall normally be conducted each
calendar year at approximately 12-month intervals.
(2) Responsible security offices shall coordinate attendance at
refresher briefings with security or administrative
representatives of organizational elements within the scope of
their security authority.
c. Subjects. Refresher briefing subjects may be similar but
not limited to those listed for the comprehensive briefing and may
include the following examples:
(1) The insider threat;
(2) The hostile intelligence threat;
(3) Need-to-know;
(4) Document control procedures;
(5) DOE policy on substance or illegal drug use;
(6) Contact with persons or organizations from sensitive
countries;
(7) Travel to sensitive countries; and
(8) Trustworthiness, honesty, and emotional or mental illness.
d. Target Population. All individuals possessing DOE access
authorizations shall be provided annual refresher briefings.
11. TERMINATION BRIEFINGS.
a. Purpose. The termination briefing is designed to remind
individuals of their continuing security responsibilities when
their access authorizations are terminated.
b. Scheduling. Termination briefings shall be given either on the
last day of employment, the last day the person possesses a
security clearance, or when the person no longer requires access to
classified matter, whichever is sooner.
c. Subjects. Individuals whose clearance is being terminated shall be
informed of:
(1) The items contained in the termination statement on the
ongoing need to protect sensitive and classified information,
(2) The subjects as contained in the nondisclosure agreement
(SF-312).
(3) The penalties for unauthorized disclosure of classified
matter.
d. Target Population. Any individual whose security clearance is
being terminated.
e. Documentation. The completion of DOE F 5631.29, "Security
Termination Statement," satisfies the documentation requirements
contained in paragraph 12 below.
12. RECORDKEEPING AND DOCUMENTATION.
a. Security briefing attendance records shall be maintained for all
cleared individuals. Recordkeeping systems shall be capable of
providing an audit trail which clearly verifies the individual's
attendance.
b. In recurring requirements, such as refresher briefings, records
shall be maintained until the next occurrence of the briefing.
13. ASSISTANCE. Questions pertaining to this Order should be directed to
Lynn Gebrowsky, Personnel Security Policy, Procedures/Analysis Branch,
301-903-3200.
BY ORDER OF THE SECRETARY OF ENERGY:
ARCHER L. DURHAM
Assistant Secretary for
Human Resources and Administration
REFERENCES
1. Atomic Energy Act of 1954, as amended, Section 161, "General
Provisions," which establishes policy for the protection and use of
special nuclear materials and the protection of Restricted Data.
2. Title 10 CFR 710, Criteria and Procedures for Determining Eligibility
for Access to Classified Matter or Significant Quantities of Special
Nuclear Material, which is used in those cases in which there are
questions of eligibility for DOE access.
3. Title 10 CFR 725, Permits for Access to Restricted Data, which
establishes procedures and standards for the issuance of such permits.
4. Executive Order 12356, "National Security Information," of 8-1-82, which
establishes the responsibility of Federal agencies to implement security
education programs.
5. Information Security Oversight Office Directive Number 1, National
Security Information, of 8-1-82, which implements Executive Order 12356.
6. Presidential Decision Directive/NSC-12, "Security Awareness and
Reporting of Foreign Contacts," of 8-5-93, which establishes the
responsibility for maintaining a formalized security awareness program
and to assure the reporting of hostile contacts.
7. National Security Decision Directive 84, "Safeguarding National Security
Information," of 3-11-83, which establishes the responsibility for each
agency of the executive branch to ensure that all persons are required
to sign a classified information nondisclosure agreement as a condition
of access to classified matter.
8. DOE 1240.2B, UNCLASSIFIED VISITS AND ASSIGNMENTS BY FOREIGN NATIONALS,
of 8-21-92, which establishes DOE authorities, responsibilities, and
policies and prescribes administrative procedures for visits and
assignments by foreign nationals to DOE facilities for purposes
involving unclassified matter.
9. DOE 1324.2A, RECORDS DISPOSITION, of 9-13-88, which prescribes policies,
procedures, standards, and guidelines for the orderly disposition of
records of the DOE and its contractors.
10. DOE 1500.3, FOREIGN TRAVEL AUTHORIZATION, of 11-10-86, which establishes
policy and procedures governing official and unofficial foreign travel.
11. DOE 5630.11A, SAFEGUARDS AND SECURITY PROGRAM, of 12-7-92, which
establishes the policy and responsibilities for the Department of Energy
safeguards and security program.
12. DOE 5630.13A, MASTER SAFEGUARDS AND SECURITY AGREEMENTS, of 6-8-92,
which establishes the DOE policy, requirements, responsibilities, and
authorities for the development and implementation of Master Safeguards
and Security Agreements (MSSAs).
13. DOE 5631.2C, PERSONNEL SECURITY PROGRAM, of 9-15-92, which establishes
the policy, responsibilities, and authorities for implementing the DOE
personnel security program.
14. DOE 5631.4A, CONTROL OF CLASSIFIED VISITS, of 7-8-92, which prescribes
DOE standards and procedures for controlling visitors to DOE, DOE
contractor, subcontractor, and access permittee facilities.
15. DOE 5639.3, VIOLATION OF LAWS, LOSSES, AND INCIDENTS OF SECURITY
CONCERN, of 9-15-92, which sets forth DOE procedures to assure timely
and effective action relating to violations of criminal laws, losses,
and incidents of security concern to DOE.
16. DOE 5632.5, PHYSICAL PROTECTION OF CLASSIFIED MATTER, of 2-3-88, which
establishes policy and objectives for the physical protection of
classified matter and establishes baseline physical protection
requirements and standards.
17. DOE 5632.6, PHYSICAL PROTECTION OF DOE PROPERTY AND UNCLASSIFIED
FACILITIES, of 2-9-88, which establishes policy and procedures for the
physical protection of DOE property and unclassified facilities and
establishes baseline physical protection requirements and standards.
18. DOE 5632.9A, ISSUANCE, CONTROL AND USE OF BADGES, PASSES, AND
CREDENTIALS, of 9-23-92, which establishes and prescribes DOE policies
and procedures for the issuance, control, and use of badges, passes, and
credentials.
19. DOE 5633.3A, CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS, of
2-12-93, which prescribes minimum requirements and procedures for
control and accountability of nuclear materials.
20. DOE 5634.1B, FACILITY APPROVALS, SECURITY SURVEYS, AND NUCLEAR MATERIALS
SURVEYS, of 9-15-92 which establishes requirements for granting facility
approvals prior to permitting safeguards and security interests on the
premises and the conduct of on-site security and/or nuclear material
surveys of facilities with safeguards and security interests.
21. DOE 5635.1A, CONTROL OF CLASSIFIED DOCUMENTS AND INFORMATION, of
2-12-88, which provides uniform standards and operating procedures for
safeguarding and controlling classified documents and information, to
ensure that classified documents are furnished only to authorized
persons, and to prevent loss or compromise of classified information.
22. DOE 5650.2B, IDENTIFICATION OF CLASSIFIED INFORMATION, of 12-31-91,
which specifies responsibilities, authorities, policy, and procedures
for the management of the DOE classification system.
23. DOE 5670.3, COUNTERINTELLIGENCE PROGRAM, of 9-4-92, which establishes
requirements for the Counterintelligence Program, to include a foreign
contacts and travel briefing/debriefing program.