U.S. Department of Energy ORDER
Washington, D.C. DOE 5630.12A
SUBJECT: SAFEGUARDS AND SECURITY INSPECTION AND ASSESSMENT PROGRAM
1. PURPOSE. To establish an independent inspection and assessment program
to determine the effectiveness of the Department's safeguards and
security policies and procedures, including their implementation across
2. CANCELLATION. DOE 5630.12, SAFEGUARDS AND SECURITY INSPECTION AND
EVALUATION PROGRAM, of 2-3-88.
3. BACKGROUND. The effectiveness of the Department's safeguards and
security programs shall be determined through a program of independent
inspections and assessments conducted by the Assistant Secretary for
Environment, Safety and Health (EH-1) through the Deputy Assistant
Secretary for Security Evaluations (EH-4).
a. Title 42, United States Code (U.S.C.), 2283, Atomic Energy Act of
1954 (as amended), "Protection Of Nuclear Inspections," which
establishes the legal requirement for oversight.
b. DOE 5630.11, SAFEGUARDS AND SECURITY PROGRAM, of 1-22-88, which
establishes the policy and responsibilities for the safeguards and
c. DOE 5630.13, MASTER SAFEGUARDS AND SECURITY AGREEMENTS, of 2-3-88,
which establishes the policy, requirements, responsibilities, and
authorities for the development of Master Safeguards and Security
d. DOE 5630.14, SAFEGUARDS AND SECURITY PROGRAM PLANNING, of 11-16-88,
which establishes a standardized approach to protection program
planning, and to prescribe Department of Energy policy, objectives,
responsibilities, and authority for that planning process.
e. DOE 5632.1A, PROTECTION PROGRAM OPERATIONS, of 2-9-88, which
establishes Department of Energy policies for the physical
protection of security interests and baseline physical protection
f. "SAFEGUARDS AND SECURITY STANDARDS AND CRITERIA," of 10-88, which
establishes standards and associated criteria for evaluating
safeguards and security systems.
a. Closeout Briefings provide a summary of the inspection results to
DOE management. A DOE Field Office closeout briefing is normally
conducted by the EH-4 inspection team prior to their departure and
another is conducted for the Lead Program Secretarial Officer as
soon as possible following their return to Headquarters.
b. Draft Inspection Reports contain inspection observations, findings,
analyses, and ratings. Draft inspection reports are provided to
managers as appropriate to allow timely discharge of their
respective duties and responsibilities.
c. Findings are concise, factual statements of key observations and
conclusions resulting from an inspection and/or assessment
d. Lead Program Secretarial Officer is the Program Secretarial Officer
(PSO) assigned line management responsibility and accountability
for Headquarters and field operations and to which one or more
multiprogram field offices report directly.
e. Program Secretarial Officer is a senior outlay program official and
includes the Assistant Secretaries for Conservation and Renewable
Energy (CE), Defense Programs (DP), Fossil Energy (FE), Nuclear
Energy (NE), Environmental Restoration and Waste Management (EM)
and the Directors of Energy Research (ER), Civilian Radioactive
Waste Management (RW), and New Production Reactors (NP).
f. Protection Program includes all aspects of the DOE's activities
directed toward protection of national security interests and DOE
property. Any adverse impacts on the health and safety of the
public resulting from implementation or failure of elements of the
protection program are also included.
g. Protection Program Topic Areas are subject areas used by EH-4 to
logically address the many elements of a protection program. These
are generally organized about the protection program areas defined
in the Safeguards and Security Standards and Criteria. From time
to time modifications of the scope of certain topic areas may be
necessary to accommodate site-specific concerns and programs as
well as changes in threats, protection concepts and technologies.
h. System Performance Tests evaluate all or selected portions of
safeguards and/or security systems as they exist at the time of the
i. Validated Data are inspection or assessment data which have been
determined to be factually accurate. Typical validation procedures
include review of data with appropriate contractor and Federal
staff and management.
6. CONCEPT OF OPERATION.
a. EH-4 shall conduct an independent inspection and assessment
program, consisting of inspections, assessments, special studies
and other activities as appropriate, which will evaluate the
effectiveness of DOE safeguards and security policies and programs,
including their implementation across the Department.
b. The EH-4 program shall be independent of PSOs and other program
line management having responsibility for protection program
activities; however, the EH-4 activities will remain supplemental
and complimentary to the line management oversight responsibilities
including self-assessment activities. On all inspections and
assessments, EH-4 will coordinate with other programs to the
maximum extent consistent with its independent oversight role.
c. EH-4 shall determine whether safeguards and security policies,
programs, procedures, systems, personnel, and/or operations are
able to meet protection program objectives when challenged by the
spectrum of threats as defined in DOE threat statements, such as
the DOE generic threat statement for nuclear facilities, or as may
be otherwise Departmentally approved.
d. If no approved threat exists for an inspected site, the Deputy
Assistant Secretary, EH-4, in coordination with the Office of
Safeguards and Security, the Lead PSO and the cognizant field
office manager shall select an approved threat statement to be
employed as a basis for inspection and assessment activities.
e. Inspections shall use DOE Orders, the Safeguards and Security
Standards and Criteria, approved site safeguards and security
plans, approved exceptions, and other DOE policy guidance, such as
Implementation Bulletins published by the Director, Naval Nuclear
Propulsion Program, as the basis for program rating. Other
DOE-approved handbooks, procedural guides, and/or protocols may be
used to develop detailed, site-specific inspection and assessment
procedures and plans.
f. For DOE facilities licensed by other agencies (e.g., Nuclear
Regulatory Commission (NRC)), EH-4 activities will take into
account inspection and assessment activities of such agencies. For
NRC regulated activities, such as the Civilian Radioactive Waste
Management Program, EH-4 oversight activities will be based on NRC
safeguards and security regulations. EH-4 activities will be
structured to minimize or eliminate duplication of oversight
g. Inspections shall be conducted to review the effectiveness of the
implementation of DOE protection programs and to determine the
degree of compliance with applicable requirements in selected topic
areas at a specific location. Inspections include the conduct of
activities at the management level and incorporate the results of
system performance testing. The inspection and system performance
testing results are analyzed and documented. The factual accuracy
of observations and findings are verified with the staff or
management personnel deemed best able to confirm the accuracy of
(1) Inspections shall be Comprehensive Inspections, Safeguards and
Security Readiness Reviews, or Special Inspections.
(a) Comprehensive Inspections review all major aspects of the
site protection program and assign ratings as
appropriate. Notice of inspection dates is given at
least 30 calendar days in advance.
(b) Safeguards and Security Readiness Reviews (SSRR) are
conducted to assess routine facility status, to address
special concerns, or to provide spot checks of the
implementation of specific policies and procedures.
SSRRs will follow up on problems previously identified at
the site, probe areas known to be widespread problems
across DOE, and investigate or sample features critical
to effective protection program performance. They have
limited scope and ratings may or may not be assigned.
Short-notice or no-notice of inspection dates shall be
(c) Special Inspections are conducted to meet nonrecurring
needs, such as followup of unsatisfactory ratings or as
otherwise directed by DOE management. Special
Inspections will vary in scope from coverage of one or
two topics or locations up to a scope similar to a
Comprehensive Inspection. Because of the unique nature
of each Special Inspection, the appropriateness of
assigning topic ratings will be determined on a
case-by-case basis. Notice of inspection dates will be
given at least 30 calendar days in advance whenever
(2) Inspections may result in the assignment of one of three
ratings: satisfactory, marginal, or unsatisfactory. These
ratings may be applied to protection program topic areas,
summary areas, or, in the case of special inspections and
safeguards and security readiness reviews, may be applied to a
single facility rating for the areas emphasized during that
inspection. The degree of risk for vital national security
interests may be considered when assigning ratings. The
ratings are defined below.
(a) A Satisfactory rating is achieved when the protection
afforded by program elements within a rated area meets
identified protection needs or provides reasonable
assurance that those protection needs will be met should
(b) A Marginal rating is achieved when protection afforded by
program elements within a rated area only partially meets
identified protection needs or provides questionable
assurance that those protection needs will be met should
(c) An Unsatisfactory rating is achieved when protection
afforded by program elements within a rated area does not
meet identified protection needs or does not provide
adequate assurance that those protection needs will be
met should they arise.
(3) In order to provide DOE management with a clearer depiction of
the overall status of the protection program at the inspected
site, these ratings may be reported for one or more of three
summary areas - Protection of Special Nuclear Material,
Protection of Classified Matter, and Safeguards and Security
Management and Oversight. Topical ratings, if reported, may
be combined with other integrating factors to determine
ratings for these summary areas.
(4) In addition to ratings, inspections produce findings.
Findings which reflect protection program shortcomings must be
addressed in corrective action plans and progress toward their
resolution will be monitored by EH-4, Office of Safeguards and
Security (SA-10), and others as directed by DOE policy.
(5) Normally, prior to departing an inspected site, EH-4 shall
provide the DOE Field Office Manager, or other appropriate
management representatives as identified by the DOE Field
Office Manager, with a closeout briefing summarizing the
inspection findings and ratings and a draft copy of the
(6) Immediately following the inspection, EH-4 shall provide the
Lead PSO, or other appropriate management representatives as
identified by the Lead PSO, with a draft copy of the
inspection report and shall schedule an inspection closeout
briefing summarizing the inspection findings and ratings and a
draft copy of the inspection report.
(7) The results of the inspections shall be provided to the
Secretary, the Under Secretary, the Lead PSO, other PSOs
having national security interests at the inspected site(s),
the DOE Field Office Manager, the Office of Security Affairs,
the Inspector General's Office, and, as appropriate, the
Administrators of the Power Marketing Administrations.
h. Assessments shall be conducted to address the effectiveness of
protection program elements as implemented across the DOE.
Assessments are characterized by analysis of complex-wide
protection issues and recommendations for improvement. Ratings are
not normally assigned. Assessments may also provide an analysis of
a specific item of policy as implemented across the DOE complex,
rather than an analysis of the broader issues of protection program
elements. EH-4 assessments, which address the entire complex, are
not to be confused with the self-assessments conducted within
specific programmatic areas.
t. Special studies shall be conducted as required. Special studies are
studies which do not fall within the scope of the normal EH-4
products such as inspection reports and assessments, but which are
required to address some area of the Department's safeguards and
j. The results of inspections and assessment program activities shall
be integrated and analyzed, together with other pertinent data, to
provide the Secretary with an annual independent assessment of the
status of safeguards and security across the Department.
7. RESPONSIBILITIES AND AUTHORITIES.
a. The Secretary has overall responsibility and authority for DOE
programs and, through the Under Secretary, takes necessary
management actions to ensure that the Department's safeguards and
security interests are effectively protected.
b. Assistant Secretary for Environment, Safety and Health, provides
management direction and coordination for the independent
inspection and assessment of the comprehensive Departmental
protection program. EH-1 shall:
(1) Establish procedures in coordination with PSOs for the
implementation of the safeguards and security inspection and
(2) Provide the Secretary an independent assessment of the status
of the effectiveness of the safeguards and security policies
and programs of the Department and their implementation in the
field through execution of the EH-4 inspection and assessment
(3) Provide resources to support the EH-4 safeguards and security
inspection and assessment program.
(4) Advise the Under Secretary of any unsatisfactory ratings:
(a) Immediately, if inspection results indicate a significant
vulnerability such as unacceptable risk in the areas of
special nuclear material theft or diversion, radiological
or industrial sabotage, or espionage; or
(b) Within 30 calendar days for all other unsatisfactory
c. Lead Program Secretarial Officers, in coordination with tenant and
landlord PSOs and Managers of DOE Field Offices, shall:
(1) Provide required support and access for EH-4 teams at all
Government and contractor facilities under the Lead PSO's
purview to ensure the effectiveness of the inspection and
(2) Provide to EH-4, for facilities under their jurisdiction,
protection program documentation requested, including
site-specific safeguards and security plans, policies, and
(3) Designate points of contact to provide information exchange
and logistical and scheduling support for EH-4 inspection and
assessment activities in the field.
(4) Provide formal comments on factual accuracy of the inspection
data to EH-4. Comments shall be provided within 15 calendar
days of receipt of the draft inspection report.
(5) Initiate corrective actions that effectively address the
inspection findings in a timely manner, with due regard to the
cost-effectiveness of the selected corrective actions.
(6) Take the following actions when a facility receives an
(a) If the rating indicates a significant vulnerability, such
as unacceptable risk in the areas of special nuclear
material theft or diversion, radiological or industrial
sabotage, or espionage, the Lead PSO, shall:
1 Within 24 hours of receipt of the draft inspection
report by the DOE Field Office, identify and implement
interim corrective actions to mitigate the identified
risk or vulnerability, and
2 Within 72 hours of receipt of the draft inspection
report by the DOE Field Office, provide a plan for
approval of the Under Secretary describing permanent
protective measures required to reduce the level of
risk to an acceptable level, including cost and
schedule for implementation.
(b) For all other unsatisfactory ratings, within 15 calendar
days of receipt of the draft inspection report by the
Lead PSO, notify the Under Secretary of interim
corrective actions taken, or to be taken, and any
permanent changes required including implementation
schedules to mitigate the identified risk(s) or
(c) Copies of all correspondence relating to (a) and (b)
above shall be provided to EH-4 and SA-10.
(7) Take the following actions when a facility receives a marginal
(a) Within 15 calendar days of receipt of the draft
inspection report by the Lead PSO, notify the Under
Secretary of interim corrective actions taken, or to be
taken, and any permanent changes required to mitigate the
identified risk(s) or vulnerability(s), including
implementation schedule and costs.
(b) Copies of all related correspondence shall be provided to
EH-4 and SA-10.
(8) Take the following actions when a facility is in noncompliance
with applicable requirements or has an identified performance
(a) Within 15 calendar days of receipt of the draft
inspection report by the Lead PSO, inform the Under
Secretary of the steps taken to correct, and prevent a
recurrence of, items of noncompliance and performance
(b) If not addressed in other written communications made
pursuant to paragraphs 7c(7) and (8), then additional
reporting to EH-4 and SA-10 is required.
d. Director, Naval Nuclear Propulsion Program (NE-60) shall:
(1) In accordance with the responsibilities and authorities
assigned by Executive Order 12344 (statutorily prescribed by
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
(2) Inform EH-4 of any modifications to DOE safeguards and
security orders and policies unique to the operations of the
Naval Nuclear Propulsion Program, such as Implementation
e. Director, Office of Security Affairs (SA-1) shall:
(1) Establish safeguards and security program policies, threat
statements, standards, requirements, and guidance.
(2) Coordinate the resolution of safeguards and security program
policy issues identified by EH-4.
(3) Provide the Under Secretary and the Deputy Assistant
Secretary, EH-4, through EH-1, with an evaluation of proposed
corrective actions within 30 calendar days of receipt of
correction action proposals from the Lead PSO.
f. Managers of DOE Field Offices shall:
(1) In coordination with the Lead PSO, initiate corrective actions
that effectively address EH-4 inspection findings.
(2) Support the Lead PSO in providing formal comments on the
status of findings identified in draft inspection reports.
(3) Cooperate in EH-4 inspections and assessments by providing
safeguards and security related documentation and information
concerning programs under their jurisdiction, participating in
special study groups, reviewing draft documents, and ensuring
necessary support and access of contractor facilities for
which the DOE Field Office provides contract oversight.
g. Deputy Assistant Secretary for Security Evaluations shall:
(1) Direct, manage, and conduct an independent inspection and
assessment program to determine the effectiveness of the
Department's safeguards and security policies and procedures,
including their implementation across the Department.
(2) Develop and provide policies, plans, procedures, and schedules
for the implementation of an independent safeguards and
security inspection and assessment program.
(3) Submit policy issues identified during inspection and
assessment activities to SA-10.
(4) Maintain awareness of the status of policy issues and
programmatic issues including findings and ratings identified
during EH-4 inspections and assessments.
(5) Review and approve the composition of EH-4 teams formed to
conduct inspections, assessments, or other activities.
(6) Evaluate the effectiveness of DOE policies and programs in
meeting requirements of Federal Statutes, Executive Orders, and
any interagency agreements which may be active pertaining to
the protection of national security interests from foreign
(7) Conduct system performance tests and other activities to assess
the effectiveness of management and oversight, protection of
special nuclear material, and protection of classified matter
at DOE Field Offices, facilities, and Headquarters.
(8) Prepare reports of inspections and assessments.
(a) A closeout briefing on the findings shall be provided to
the Manager of the cognizant DOE Field Office and the Lead
PSO, or their designated representatives, subsequent to
(b) A draft inspection report shall be made available to the
Manager of the cognizant DOE Field Office and the Lead PSO
for review and comment.
(c) For an inspection of Headquarters, the Under Secretary
shall be provided a closeout briefing and a draft
(d) Draft assessment reports shall be prepared as part of the
assessment process and presented for review and comment to
Managers of Headquarters and field organizations who were
involved in the study or who have a pertinent interest.
Upon receipt of comments, final assessment reports shall
be prepared and distributed.
(e) Final reports shall be published 60 days after receipts of
required comments or 60 days after comments are due,
whichever results in the earlier published date.
(f) Final reports shall be submitted to the Secretary of
Energy, the Under Secretary, EH-1, SA-1, and other Heads
of Headquarters and field elements who have a pertinent
interest. The final reports will normally be sent to the
Managers and the safeguards and security directors of all
DOE Field Offices.
(9) Coordinate with Managers of DOE Field Offices, SA-1, and PSOs
on timely communication of findings.
(10) Coordinate within EH on matters of environment, safety, and
health that may arise in the course of the EH-4 activities.
(11) Present and defend the results of EH-4 activities.
(12) Routinely advise the Director, Naval Nuclear Propulsion
Program, of EH-4 activities in accordance with and as related
to the director's responsibilities. Additionally, coordinate
topics to be inspected with NE-60 prior to the conduct of
inspections and/or assessments at activities under NE-60
purview in order to identify unique Naval Nuclear Propulsion
Program programmatic implementation of DOE requirements.
BY ORDER OF THE SECRETARY OF ENERGY:
DOLORES L. ROZZI
Director of Administration
and Human Resource Management