CHAPTER IX

                          VIOLATIONS AND INFRACTIONS

1.  VIOLATIONS.  DOE and its contractor personnel are subject to certain
    sanctions if they violate the classified information provisions of the
    Atomic Energy Act of 1954, as amended; Executive Order 12356, its
    predecessors and successors; or their implementing directives.

    a.   Atomic Energy Act of 1954 as amended.  Employees of the U.S.
         Government or contractors, past or present, are subject to
         criminal prosecution when they violate certain provisions of the
         Atomic Energy Act of 1954, as amended, pertaining to the
         unauthorized dissemination of RD or FRD.  If a DOE or DOE
         contractor employee fails to comply with the provisions of this
         Order, and if such noncompliance results in or could result in

         (1)  lawfully or unlawfully, having possession of or access to
              information or other items that incorporate or involve RD or
              FRD and communicating, transmitting, or disclosing to any
              person, or attempting or conspiring to do so with the intent
              of injuring the United States, believing that the information
              or other items will be used to injure the United States;

         (2)  acquiring or attempting or conspiring to acquire any
              information or other items that contain or involve RD or FRD
              with the intent to injure the United States or with the intent
              to secure an advantage with a foreign nation that desires to
              injure the United States;

         (3)  knowingly communicating or attempting or conspiring to
              communicate any RD or FRD, knowing or having reason to believe
              that such data is RD or FRD, to any person not authorized or
              believed not to be authorized access to RD or FRD, the
              employee will have violated the Atomic Energy Act.

    b.   Executive Order 12356.  Sanctions for violating Executive Order
         12356 include reprimand, suspension without pay, removal,
         termination of NSI classification authority, loss or denial of
         access to NSI, or other sanctions in accordance with applicable law
         and agency regulation.  Officers and employees of the U.S.
         Government and its contractors, licensees, and grantees are subject
         to appropriate sanctions if they:

         (1)  knowingly, willfully, or negligently disclose to unauthorized
              persons information properly classified as NSI under Executive
              Order 12356 or predecessor orders;

         (2)  knowingly and willfully classify or continue the
              classification of information as NSI in violation of Executive
              Order 12356 or any implementing directive; or

         (3)  knowingly and willfully violate any other provision of
              Executive Order 12356 or any implementing directive.

2.  INFRACTIONS.  If a DOE or DOE contractor employee fails to comply with
    the provisions of this Order, and if such noncompliance results in or
    could result in (1) failing to classify information, documents; or
    material; (b) misclassifying information, documents, or material; or (c)
    classifying or declassifying information, documents, or material without
    authority, the employee will have committed a security infraction.  A
    DOE employee who commits such an infraction is subject to administrative
    penalty as outlined in DOE 3750.1, WORK FORCE DISCIPLINE; a DOE
    contractor employee who commits such an infraction is subject to such
    penalty as the contractor may impose.

3.  REPORTING REQUIREMENTS.

    a.   Incidents of Significant Security Concern.  The Head of the
         Departmental Element within which an incident of serious security
         concern occurs shall make an immediate oral report to SA-10 and
         SA-20 in accordance with DOE 5000.3A, OCCURRENCE REPORTING AND
         PROCESSING OF OPERATIONS INFORMATION, and shall submit the required
         written security incident reports as soon as possible thereafter.
         SA-10 shall report violations of the Atomic Energy Act pertaining
         to RD or FRD to the Federal Bureau of Investigation and violations
         of Executive Order 12356 concerning NSI to the Information Security
         Oversight Office.

    b.   Other Violations and Infractions of Security Concern.  Heads of
         Departmental Elements shall promptly report other violations and
         infractions of security concern within their elements to the
         Directors of SA-10 and SA-20 in accordance with DOE 5631.5,
         VIOLATIONS OF LAWS, LOSSES, AND INCIDENTS OF SECURITY CONCERN.

4.  CORRECTIVE ACTIONS.  Heads of Departmental Elements wherein violations
    and infractions occur shall take prompt and appropriate corrective
    action, including action to prevent recurrence.