INDEX
U.S. Department of Energy ORDER
Washington, D.C. DOE 5633.3B
9-7-94
SUBJECT: CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS
1. PURPOSE. To prescribe the Department of Energy (DOE) minimum
requirements and procedures for control and accountability of nuclear
materials at DOE-owned and -leased facilities and DOE-owned nuclear
materials at other facilities which are exempt from licensing by the
Nuclear Regulatory Commission.
2. CANCELLATIONS.
a. DOE 5633.2A, CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS:
RESPONSIBILITIES AND AUTHORITIES, of 9-23-92.
b. DOE 5633.3A, CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS, of
2-12-93.
c. DOE 5633.4, NUCLEAR MATERIALS TRANSACTIONS: DOCUMENTATION AND
REPORTING, of 2-9-88.
d. DOE 5633.5, NUCLEAR MATERIALS REPORTING AND DATA SUBMISSION
PROCEDURES, of 5-22-87.
3. APPLICABILITY/EXCLUSIONS/DEVIATIONS.
a. General. This Order applies to nuclear materials at Department of
Energy-owned and -leased facilities and DOE-owned nuclear material
at other facilities which are exempt from licensing by the Nuclear
Regulatory Commission.
b. Application to Contracts. Except for the exclusions in paragraph
3c, 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
subcontract and either possesses, uses, or ships nuclear materials
at DOE-owned or -leased facilities; or possesses, ships, or uses
DOE-owned nuclear material at an offsite facility exempt from
Nuclear Regulatory Commission licensing and regulation.
c. Exclusions. This Order does not apply to DOE-owned nuclear
materials at Department of Defense facilities or foreign
facilities. To avoid duplicative or conflicting requirements, DOE
facilities, projects, and programs under the cognizance of the
Office of Civilian Radioactive Waste Management and subject to
Nuclear Regulatory Commission regulation shall use the rules,
standards, and criteria specified by the Nuclear Regulatory
Commission or Nuclear Regulatory Commission Agreement State in lieu
of this Order.
d. Deviations. Deviations from the requirements prescribed by this
Order shall be processed in accordance with DOE 5630.11B,
SAFEGUARDS AND SECURITY PROGRAM.
4. REFERENCES AND DEFINITIONS. See Attachment 1 for references.
Definitions of commonly-used terms are provided in the "Safeguards and
Security Definitions Guide," which is maintained by the Office of
Safeguards and Security.
5. POLICY. The nuclear materials subject to this Order shall be controlled
and accounted for in a graded manner consistent with the design basis
threat and with their strategic and monetary importance. Where
applicable, the site-specific safeguards and security planning document
will contain the design basis threat requirements which may reflect some
modifications to meet site-specific needs. Material control and
accountability systems will provide accurate nuclear materials inventory
information; control nuclear materials in order to deter and prevent
loss or misuse; provide timely and localized detection of unauthorized
removals of nuclear materials within specified limits; provide assurance
that all nuclear materials are accounted for and that theft/diversion
has not occurred; and assist in the prevention of radiological and/or
toxicological sabotage involving nuclear materials that could adversely
impact national security, the health and safety of employees, the
public, or the environment. In addition, DOE will:
a. Assure that material control and material accountability measures
are designed to facilitate, to the extent practical, cost effective
integration of the operational mission of the program with
environmental, health, and safety, and physical protection
considerations.
b. Provide accountability and control data on a timely and uniform
basis for nuclear material safeguards and nuclear materials
management.
c. Assure that nuclear materials or equipment supplied to nations or
persons abroad are subject to measures designed to assure that they
are used for official purposes only, pursuant to an agreement for
cooperation or other understanding with the United States.
d. Facilitate the development and implementation of foreign country
and International Atomic Energy Agency safeguards systems.
6. RESPONSIBILITIES AND AUTHORITIES.
a. Heads of Headquarters Elements shall:
(1) Provide oversight for the implementation of material control
and accountability of nuclear materials for all DOE activities
under their jurisdiction in conformity with the policies,
procedures, planning, and other requirements set forth in the
DOE 5630 series of directives, and set policies, procedures,
and requirements for nuclear materials not specifically
covered in the DOE 5630 series.
(2) Ensure that responsibilities and authorities for materials
control and accountability of nuclear materials are addressed
in the Memorandums of Agreement and associated appendices
between Heads of Headquarters Elements and Managers of
Operations Offices.
(3) For matters under their cognizance, ensure that
self-assessment offices conduct independent assessments of the
adequacy of DOE and contractor performance of their
responsibilities for material control and accountability of
nuclear materials.
(4) For matters under their cognizance, ensure an individual(s) is
(are) designated 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").
(5) Through contracting officers require that:
(a) Each contractor and subcontractor under their
jurisdiction who may use or possess nuclear materials as
identified in Figure I-1, page I-2, is required by
contract to develop and maintain current written
procedures for safeguards control and accountability of
nuclear materials.
(b) Each contract under which nuclear materials are to be
supplied contains appropriate safeguards provisions
consistent with DOE policy.
(c) Inventory and scrap levels of nuclear materials held by
contractors and subcontractors under their jurisdiction
are minimized to be consistent with operational needs and
good safeguards practices.
(6) Ensure material control and accountability requirements are
considered in all phases of design of new facilities/
operations under their cognizance.
(7) Ensure appropriate actions are taken to correct safeguards
deficiencies at facilities under their cognizance.
b. Director of Nonproliferation and National Security through the
Director of Security Affairs shall:
(1) Establish DOE-wide policies, procedures, and standards for the
material control and accountability of special nuclear
material and other designated nuclear materials.
(2) Submit reports to the Secretary on the status of the
safeguards program in conjunction with the Annual Report to
the President on the Status of Safeguards and Security of
Domestic Nuclear Weapons Facilities.
c. Director of Safeguards and Security shall:
(1) Develop, after coordination with appropriate Departmental
elements, DOE-wide policies, procedures, and standards, and
provide staff guidance for the safeguarding of nuclear
materials.
(a) Develop and establish policies, procedures, and standards
concerning the documentation of nuclear materials
transactions, inventories, and material balances
affecting DOE Headquarters and field elements,
contractors, and subcontractors.
(b) Develop and establish policies, procedures, and standards
for the submission of information on nuclear materials
transactions, inventories, and material balances to the
Nuclear Materials Management and Safeguards System.
(c) Ensure that DOE policies, procedures, and standards for
special nuclear material safeguards are at least
equivalent in their effectiveness to policies,
procedures, and standards established by the Nuclear
Regulatory Commission.
(d) Assure that the data documentation and collection
policies, procedures, and standards of DOE with respect
to nuclear safeguards are comparable to those of Nuclear
Regulatory Commission.
(e) Provide technical advice, analyses, and recommendations
in developing international safeguards policies and
procedures.
(f) Ensure the maintenance and currency of the DOE 5633.3B
GUIDE OF IMPLEMENTATION INSTRUCTIONS FOR NUCLEAR
MATERIALS MANAGEMENT AND SAFEGUARDS SYSTEM REPORTING AND
DATA SUBMISSION.
(g) Provide specific written guidance that would assist
license-exempt contractors and subcontractors to design,
evaluate, and validate materials control and
accountability systems.
(2) Conduct/participate in special investigations of activities of
license-exempt contractors and other contractors possessing
DOE-owned nuclear materials, as necessary. Coordinate these
special investigations with the appropriate Heads of
Headquarters Elements and Operations Offices.
(3) In consultation with Heads of Headquarters Elements, initiate
and direct programs for providing required technology,
equipment, and procedures to meet safeguards objectives and
for assuring that Government and industry are provided with
chemical and isotopic reference standards and calibration and
test materials which are supportive of safeguards programs.
(4) In connection with activities of license-exempt contractors
and subcontractors, recommend to the responsible authority
corrective action to assure compliance with overall safeguards
policies, procedures, and requirements, and, as appropriate,
recommend other courses of action.
(5) Prepare reports and provide data for reports, through the
Director of Security Affairs and the Director of
Nonproliferation and National Security, to the Secretary on
the status of the safeguards program.
(6) In connection with the maintenance of records and data to
support the implementation of nuclear material accountability,
ensure:
(a) Collection and processing of data relative to nuclear
materials for which the United States has a safeguards or
management interest as required by directives, U.S.
statutes, and international treaty and agreement
provisions.
(b) Issuance of reports to support the nuclear materials
safeguards needs of DOE, Nuclear Regulatory Commission,
other Government organizations, and the International
Atomic Energy Agency.
(c) Headquarters level overview of key materials control and
accountability data including: materials control and
materials accounting survey reports; inventory
differences; and shipper/receiver differences.
(d) Maintain historical records of nuclear material
transactions, material balances, and inventories in
support of safeguards and other programs of the
Government.
(e) Review and approve proposed methods for submission of
nuclear materials data to the Nuclear Materials
Management and Safeguards System by use of
telecommunications systems in lieu of the required forms
referred to in Chapter II, if the proposed methods
satisfy all applicable requirements.
(f) Establish and deactivate Reporting Identification Symbols
for organizations sponsored by Heads of Headquarters
Elements and Operations Offices.
(7) In connection with international agreements, recommend
corrective action to assure compliance with overall safeguards
policies, procedures, and standards.
(8) Develop and implement materials control and accountability
training programs for DOE and DOE contractor safeguards
personnel. Ensure that minorities, women, and persons with
disabilities are accorded equal opportunity to receive this
training.
d. Director of Arms Control and Nonproliferation shall:
(1) Manage programs for technical cooperation with the
International Atomic Energy Agency as part of the Office of
Arms Control and Nonproliferation's safeguards role in
guarding against the diversion of nuclear materials and
equipment which had been supplied for peaceful purposes to the
manufacture of nuclear weapons, nuclear explosive devices, or
any other military purpose.
(2) Conduct onsite safeguards and security reviews of nuclear
materials distributed abroad to the extent provided for in
international, multinational, and bilateral agreements, and
participate in international discussions regarding safeguards
policies and procedures with other DOE organizations involved
in international programs.
(3) In coordination with Heads of Headquarters Elements, ensure
compliance of DOE facilities with the terms of the "Agreement
Between the United States of America and the International
Atomic Energy Agency for the Application of Safeguards in the
United States of America" and its associated Protocol.
(4) In connection with international agreements, recommend
corrective action to assure compliance with overall safeguards
policies, procedures, and standards, and when appropriate
recommend suspension of any agreements that do not meet DOE
policy in regard to such arrangements.
(5) Provide technical advice, analyses, and recommendations in
developing international safeguards policies and procedures.
Manage programs for technical cooperation with the
International Atomic Energy Agency in its safeguards role in
guarding against the diversion of nuclear materials and
equipment to the manufacture of nuclear weapons, nuclear
explosive devices, or any other military purpose.
e. Director, 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.
f. Heads of Field Elements shall:
(1) Implement material control and accountability of nuclear
materials for all DOE activities under their jurisdiction in
conformity with the policies, procedures, planning, and other
requirements set forth in the DOE 5630 series, and set
policies, procedures, and requirements for nuclear materials
not specifically covered in the 5630 series.
(a) Require that a Material Control and Accountability Plan
be developed for each facility possessing nuclear
materials and approve that plan and subsequent changes.
Require development and compliance with procedural
directives implementing the Material Control and
Accountability Plan.
(b) Assure cost-effective overall protection at each site,
through integration, to the extent practicable, of
materials control and accountability systems, procedures,
and operations with the associated physical protection
systems, procedures, and operations.
1 Utilize the design basis threat guidance to
formulate site-specific threat statements for
inclusion in applicable site-specific safeguards and
security planning documents.
2 Assure vulnerability assessments are required for
Category I special nuclear material locations and
for Category II locations where rollup to Category I
is credible.
3 Approve a classified list of threats and targets
developed by each contractor under their
jurisdiction as appropriate for design and/or
evaluation and validation of materials control and
accountability systems.
4 Develop procedures for the conduct and reporting of
nuclear materials surveys in accordance with DOE
5634.1B, FACILITY APPROVALS, SECURITY SURVEYS, AND
NUCLEAR MATERIALS SURVEYS. Conduct oversight tests
and evaluations of material control and accounting
provisions of contractors' safeguards programs.
(c) Ensure the maintenance of records and issuance of
periodic reports reflecting nuclear materials
transactions and inventories under their jurisdiction.
(d) Ensure material control and accountability requirements
are considered in all phases of design of new facilities/
operations.
(e) Ensure appropriate actions are taken to correct
safeguards deficiencies.
(f) Assure that system assessment requirements are identified
and met for facilities possessing nuclear material.
(2) Ensure that responsibilities and authorities for material
control and accountability of nuclear materials are addressed
in the Memorandums of Agreement and associated appendices
between Heads of Headquarters Elements and Field Elements.
(3) Monitor material control indicators and review and analyze
reportable occurrences experienced in operations under their
jurisdiction.
(a) Ensure that contractors and subcontractors under their
jurisdiction analyze all nuclear material control
indicators, determine the probable cause of all nuclear
material alarms, and take such corrective action as is
deemed necessary.
(b) Report malevolent acts and other reportable occurrences
to the Office of Safeguards and Security and affected
Heads of Headquarters Elements consistent with the
requirements of this Order and DOE 5000.3B, OCCURRENCE
REPORTING AND PROCESSING OF OPERATIONS INFORMATION.
(c) Require, as appropriate, each contractor, facility, and
DOE Element under their reporting jurisdiction to
determine the reasons for shipper-receiver differences,
evaluate the significance of all such differences, and
take appropriate corrective action.
(4) Assure nuclear material control and accountability upgrade
needs are identified, documented, and coordinated with
affected Heads of Headquarters Elements consistent with
budgetary schedules.
(5) Provide materials control and accountability systems review
and approval for all facilities prior to beginning new
operations that might alter the performance of existing
materials control and accountability systems.
(6) Require each DOE contractor and DOE element under their
reporting jurisdiction to:
(a) Prepare and distribute promptly the appropriate forms
(see Chapter II), for documenting nuclear materials
transactions, inventories, and material balances and for
submitting the information to the Nuclear Materials
Management and Safeguards System, in accordance with the
DOE 5633.3B GUIDE OF IMPLEMENTATION INSTRUCTIONS FOR
NUCLEAR MATERIALS MANAGEMENT AND SAFEGUARDS SYSTEM
REPORTING AND DATA SUBMISSION.
(b) Prepare additional data and reports required by the field
element in the performance of its mission.
(c) If notified of selection under the provisions of the
U.S./International Atomic Energy Agency Safeguards
Agreement, prepare and submit material balance reports
(DOE/NRC F 742, "Material Balance Report") indicating the
sources of receipts shown on line 22 ("From Other
Materials") and the destinations of removals shown on
line 71 ("Degradation to Other Materials").
(d) Assure that for exports other than for mutual defense,
the receiver's copies of DOE/NRC F 741, "Nuclear Material
Transaction Report", DOE/NRC F 741A, "Nuclear Material
Transaction Report (Continuation Page)," the special
preprinted version of DOE/NRC F 740M, "Concise Note", and
other appropriate versions of DOE/NRC F 740M, as
required, are included with the actual shipment.
(e) Assure that both shipper's and receiver's transaction
data is provided to the Nuclear Materials Management and
Safeguards System in those cases where the shipper or
receiver is a foreign entity.
(f) Provide review of Nuclear Materials Management and
Safeguards System output sufficient to verify data
processed by the system.
(g) Assure that material balances held in contractors'
systems are reconciled with corresponding Nuclear
Materials Management and Safeguards System balances and
that data corrections are implemented to bring the
systems into agreement.
(h) Review proposed internal or computer-generated equivalent
forms referred to in Chapter II, and if the proposed
equivalents are found to provide for all the information
on nuclear materials transactions, material balances, and
inventories in the proper format, approve their use in
lieu of the specified forms.
(i) Assure that the appropriate reporting procedures are
followed by contractors under their jurisdiction.
(j) Assure that all required data is provided to the Nuclear
Materials Management and Safeguards System in accordance
with the instructions in the DOE 5633.3B GUIDE OF
IMPLEMENTATION INSTRUCTIONS FOR NUCLEAR MATERIALS
MANAGEMENT AND SAFEGUARDS SYSTEM REPORTING AND DATA
SUBMISSION.
(7) Assure that this Order shall be implemented under existing and
new contracts for operating facilities under the scope of this
Order. Designate an individual(s) to be responsible for
bringing to the attention of the contracting officer each
procurement falling within the scope of this Directive.
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).
(8) Through contracting officers require that:
(a) Each contractor and subcontractor under their
jurisdiction who may use or possess designated nuclear
materials are required by contract to develop and
maintain current written procedures for control and
accountability of nuclear materials;
(b) Each contract under which nuclear materials are to be
supplied contains appropriate safeguards provisions
consistent with DOE policy; and
(c) Inventory and scrap levels of nuclear materials held by
contractors and subcontractors under their jurisdiction
are minimized to be consistent with operational needs and
good safeguards practices.
(9) Review and approve deviations to requirements of this Order
according to procedures contained in DOE 5630.11B, SAFEGUARDS
AND SECURITY PROGRAM.
g. Heads of Departmental Elements (the senior ranking official at a
DOE office location) shall include in a procurement request
package, for each procurement requiring the application of this
Order, the following: (1) identification of the Order; (2)
identification of the specific requirements with which a contractor
or other awardee is to comply, or, if this is not practicable,
identification of the specific paragraphs or other portions of this
Order with which a contractor or other awardee is to comply; and
(3) requirements for the flowdown of provisions of this Order to
any subcontract or subaward. For application to awarded management
and operating contracts, Heads of Departmental Elements may set
forth this information in a written communication to the
contracting officer rather than in a procurement request package.
h. Manager, Oak Ridge Operations Office, in addition to the
requirements specified in paragraph 6f, above, shall:
(1) Forward applicable copies of Nuclear Regulatory Commission and
"Agreement State" licensee nuclear material transaction
reports promptly to other concerned DOE elements and to
appropriate foreign entities. In addition, the Manager shall
maintain records that document all transfers of U.S. nuclear
material to and from foreign entities and issue required
inventory reports.
(2) Maintain sufficient records to document the transfer of any
U.S.-supplied special nuclear material to foreign entities,
the receipt of any U.S.-origin nuclear material into the U.S.,
and the transfer of any U.S.-origin nuclear material between
foreign countries, including special nuclear material produced
therein, in accordance with appropriate agreements. Retain
all transfer documents, records, and reports for audit
purposes.
(3) Perform comparisons of U.S. export and import data with data
supplied by foreign entities. Differences between foreign and
U.S. data shall be investigated and reconciled by interacting
with representatives of the relevant foreign entities and
domestic nuclear facilities.
(4) Extract information from documents used to transfer U.S.
nuclear material from one foreign country to another and
submit such data to the International Nuclear Materials
Tracking System (INMTS) in accordance with "INMTS Data Entry
Procedures."
i. Manager, Albuquerque Operations Office, in addition to the
requirements specified in paragraph 6f, above, shall:
(1) Report inventory data on nuclear material transferred to the
Department of Defense under 42 U.S.C. Section 2121(b), as
amended, with the exception of material specified in paragraph
6j, below to be reported by the Pittsburgh Naval Reactors
Office.
(2) Report inventory data on material loaned by the U.S. to a
foreign nation under 42 U.S.C. Section 2121(c), as amended.
(3) Maintain memorandum inventory accounts for all transfers of
nuclear material to the Department of Defense under 42 U.S.C.
Section 2121(b)-(c), with the exception of Navy cores and
associated items. The Manager shall provide guidance and
instruction for the documentation and reporting, as necessary,
to those offices making such transfers.
j. Manager, Pittsburgh Naval Reactors Office, in addition to the
requirements specified in paragraph 6f, above, shall:
(1) Report inventory data on material transferred to the
Department of Defense for nonweapons Naval reactor programs
under 42 U.S.C. Section 2121(b), as amended.
(2) Maintain memorandum inventory accounts for transfers of
nuclear materials in Navy cores and associated items to the
Department of Defense under 42 U.S.C. Section 2121(b).
(3) Provide guidance, through the Director, Naval Reactors, for
documentation and reporting of transfers to the Department of
Defense of Navy cores and associated items under 42 U.S.C.
Section 2121(b), as amended.
k. Manager, Schenectady Naval Reactors Office, in addition to the
requirements of paragraph 6f, above, shall provide guidance,
through the Director, Naval Reactors, for documentation and
reporting of transfers to the Department of Defense of Navy cores
and associated items under 42 U.S.C. Section 2121(b), as amended.
7. IMPLEMENTATION. This Order will be implemented within 60 days after the
effective date.
8. ASSISTANCE. Questions concerning this Order should be directed to the
Chief, Materials Control and Accountability Branch, at 301-903-2536.
BY ORDER OF THE SECRETARY OF ENERGY:
ARCHER L. DURHAM
Assistant Secretary for
Human Resources and Administration