INDEX
CHAPTER I
RESPONSIBILITIES AND AUTHORITIES
1. DIRECTOR OF SECURITY AFFAIRS (SA-1) establishes policies, procedures,
and standards for DOE nuclear materials and security surveys and
facility approvals.
2. DIRECTOR OF SAFEGUARDS AND SECURITY (SA-10) shall:
a. Develop, for review and approval by SA-1, policies, standards, and
procedures for DOE nuclear materials and security surveys and
facility approvals.
b. Review nuclear materials and security survey reports submitted by
each field element.
c. Conduct surveys of facilities for which Headquarters is the
surveying organizatIon and transmit copies of survey reports to
responsible Heads of Field Elements and appropriate Headquarters
program organizations.
(1) Advise cognizant Headquarters Elements, SA-1, and the Office
of the Inspector General (IG-1), of any significant problems
identified as a result of reviews of Headquarters Element
activities and nuclear materials and security survey reports,
and recommend appropriate measures to correct noted
deficiencies.
(2) Assure that surveys examine the adequacy and effectiveness of
the protective measures afforded all interests.
(3) Assure findings resulting from security and/or nuclear
materials surveys are documented.
d. Review and approve exceptions to this Order according to DOE
5630.11.
e. Provide policy guidance to all Departmental Elements in the
implementation of the survey and facility approval system.
f. Oversee surveys for Headquarters-administered contracts; furnish
the surveying organization complete information concerning
Headquarters interests when survey coverage is requested; initiate
necessary action to implement suggestions resulting from surveys
of Headquarters facilities; and notify the surveying organization,
when applicable, of such implementations.
g. Maintain the Master Facility Register, including the recording of:
(1) Facility register changes in a timely and accurate manner;
and
(2) At a minimum, the facility's name, location, importance
rating, classified mailing address, security officer's name,
and the identification of responsible and surveying
organizations.
h. Maintain a file of facilities either under
Headquarters-administered contracts or for which Headquarters is
the surveying organization.
i. Approve physical and technical security criteria for sensitive
compartmented information facilities prior to initiation of new
construction and ensure that appropriate surveys are performed
prior to occupancy.
j. For Headquarters Elements, ensure that, as a prerequisite for the
granting of a facility approval, each contractor has executed a
certificate which includes a statement of the nature and degree of
foreign ownership, control, or Influence, or a statement that
there is no foreign involvement.
k. Review information provided by field elements or by Headquarters
procurement for Headquarters interests and, in coordination with
the Office of the General Counsel (GC-1) and Director of
Procurement Assistance and Program Management (PR-1), determine
whether the degree of foreign ownership, control, or influence may
constitute a reasonable basis for compromise of classified
information, unauthorized access to or use of special nuclear
material, or other adverse impact on the national security.
l. For facilities under Headquarters-administered contracts:
(1) Grant facility approvals;
(2) Approve security plans, when required;
(3) Terminate facility approvals;
(4) Prepare and distribute facility data and approval records;
and
(5) Ensure the conduct of Initial and periodic surveys.
3. SECRETARIAL OFFICERS shall:
a. For facilities under Headquarters-administered contracts, request
SA-10 to:
(1) Determine the adequacy of safeguards and security, and grant
facility approvals; and
(2) Terminate the safeguards and security activities, upon
completion of the classified work and removal of special
nuclear material (SNM) or classified matter.
b. For facilities under their programmatic or administrative
jurisdiction, take action to ensure acceptable safeguards and
security. Such action may include curtailing or suspending
operations when such operations would result in an immediate and
unacceptable risk to national security or public health and
safety.
c. Ensure that contracting officers incorporate contract and
solicitation provisions implementing the requirements of this
Order in new or existing contracts which involve SNM or classified
information.
d. Ensure that corrective actions required as a result of nuclear
materials and/or security surveys of facilities under their
administrative jurisdiction are implemented and that the Director,
SA-10, and other responsible Heads of Field Elements, if
appropriate, are promptly notified of the implementing action.
e. Ensure those procurements which involve classified information and
that require the security provisions of DEAR 952.204-2 are brought
to the attention of the contracting officer. Unless another
individual is designated, the responsibility is that of the
procurement request originator.
f. Provide sufficient resources for the survey programs to support
professional, administrative, technical, and clerical staffing
requirements, equipment and materials, logistics requirements, and
training and development.
g. Take such action, as may be appropriate, to ensure acceptable
safeguards and security, including curtailment or suspension of
operations when such operations would result in an immediate and
unacceptable risk to national security or public health and
safety.
4. HEADS OF FIELD ELEMENTS shall:
a. Establish written delegations of authorities and responsibilities
for the administration of the facility approval and nuclear
materials and security survey programs.
b. Ensure that nuclear materials and/or security surveys are
conducted as specified in this Order and in accordance with
safeguards and security interests under their administrative
jurisdiction. Ensure prompt submission of survey reports to
SA-10, responsible Heads of Field Elements, and the appropriate
Secretarial Officer(s), and that such survey reports are properly
classified.
c. Ensure that procurement request originators (organizations
initiating a requirement on DOE F 4200.33, "Procurement
Authorization Request") notify contracting officers when
acquisitions involve safeguards and security concerns.
d. Ensure that prior to the initiation of any action involving
nuclear materials with a license-exempt (as defined in 10 CFR 50)
contractor, appropriate contractual coverage is in place to permit
the implementation of this Order with regard to the contractor's
classified matter and/or nuclear materials activities.
e. Develop procedures for the administration and conduct of nuclear
materials and security surveys in accordance with this Order.
f. Ensure that prior to an initial nuclear materials and/or security
survey, a security agreement is executed that includes a statement
of the degree of foreign ownership, control or influence, or a
statement of no foreign involvement. When foreign ownership,
control, or influence is established, notify SA-10 and forward the
certification statement and all supporting foreign ownership,
control, or influence information, including the review and
rationale for acceptance or nonacceptance for final adjudication.
g. In coordination with GC-1 and SA-1, restrict or deny award of
contract in cases where foreign ownership, control, or influence
is such that:
(1) A reasonable basis exists for concluding that compromise of
classified information, unauthorized access to or use of SNM,
or other adverse impact on the national security may result;
and
(2) The foreign ownership, control, or influence cannot be
satisfactorily avoided or mitigated.
h. Ensure that corrective action(s) is taken for findings disclosed
during nuclear materials and security surveys and notify SA-10,
responsible Secretarial Officers, and other Heads of Field
Elements of the action(s), as appropriate.
i. Ensure that contracting officers incorporate contract and
solicitation provisions implementing the requirements of this
Order in new or existing contracts which involve classified matter
and/or nuclear material activities.
j. Ensure that surveys examine the adequacy and effectiveness of the
protective measures afforded:
(1) Secure communications centers;
(2) Automatic data processing centers and remote interrogation
points; and
(3) Sensitive compartmented information facilities.
k. Approve each new or updated facility security and nuclear
materials control and accountability plan and submit copies to
SA-10 for incorporation into the Master Facility Register. Also
submit copies to the surveying organization if different from the
responsible organization.
l. Conduct surveys of selected security shipments for which they are
responsible, take corrective actions resulting from these surveys,
and submit copies of such reports to SA-10 for incorporation in
the Master Facility Register.
m. Grant facility approval for facilities under their administrative
jurisdiction.
n. Prepare and submit facility data approval records to SA-10, as
required.
o. Assign importance ratings to facilities based on criteria
contained in this Order.
p. Maintain a register of all security and nuclear materials
facilities for which they are either the responsible or surveying
organization including recording:
(1) Facility register changes in a timely and accurate manner;
and
(2) At a minimum, the facility's name, its importance rating,
location and classified mailing address, and the security
officer's name.
q. When site or program considerations make strict implementation of
this Order not feasible, develop an alternate approach using the
exception procedure cited in DOE 5630.11.
r. Develop detailed facility approval, suspension, and termination
procedures to accommodate a need to retain possession of
classified matter or nuclear materials at facilities under their
jurisdiction.
5. DIRECTOR OF INFORMATION RESOURCES MANAGEMENT (AD-20), THROUGH THE
DIRECTOR OF INFORMATION TECHNOLOGY SERVICES AND OPERATIONS (AD-25),
shall conduct communication security (COMSEC) audits and surveys and
emission security (TEMPEST) inspections of secure communications
centers and crypto facilities.
6. DIRECTOR OF PROCUREMENT, ASSISTANCE AND PROGRAM MANAGEMENT (PR-1)
shall, in coordination with GC-1 and SA-10, maintain solicitation and
contract articles implementing this order and procedures to protect DOE
contractual arrangements from foreign ownership, control, or influence,
where these could constitute a reasonable basis for concluding that the
compromise of classified information, unauthorized access to or use of
SNM, or other related adverse actions could impact on the national
security.
7. 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
United States Code (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.