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.