INDEX
CHAPTER II
FACILITY IMPORTANCE RATINGS, APPROVALS AND RECORDS
1. FACILITY IMPORTANCE RATINGS.
a. Purpose. Importance ratings assigned to security interests
provide a means of identifying the relative importance of such
facilities and activities on facility registers and the Master
Facility Register. The responsible organization shall assure that
all facilities eligible to receive, process, reproduce, store,
transmit, destroy, or use SNM or classified matter (including SNM
owned by DOE) have been granted facility approval prior to
permitting classified matter or SNM on the premises.
b. Criteria. Facility importance ratings are assigned using the
following criteria:
(1) Class "A" facility importance ratings are assigned those
facilities which are:
(a) Judged by Heads of Field Elements to be engaged in
administrative activities considered to be essential to
the direction and continuity of the overall DOE nuclear
weapons program;
(b) Engaged in research and development, manufacture,
production, assembly, or storage of nuclear weapons or
weapon assemblies;
(c) Engaged in research and development, manufacture,
production, assembly, or operation of military reactors;
(d) Engaged in major research and development in uranium
enrichment or operation of major uranium enrichment
facilities;
(e) Involved in research and development, manufacture or
production, and assembly of non-nuclear weapon
components, assemblies, and parts essential to the
weapons or military reactors programs;
(f) Receiving, handling, and storing Top Secret documents
(exclusive of keying material for secure communications)
over an extended period; or
(g) Possessors of Category I quantities of SNM owned by DOE.
(2) Class "B" facility importance ratings are assigned to the
following facilities:
(a) Possessing security interests other than the type
categorized for Class "A" facilities and which handle
and store Secret weapon data documents or Secret
research and development reports;
(b) Other than the type categorized for Class "A"
facilities, in the uranium enrichment program;
(c) Possessing Category II quantities of SNM owned by DOE;
(d) DOE national laboratories with security interests other
than the type categorized for Class "A" facilities; or
(e) Emergency operations centers (except those unmanned,
which are Class "C" facilities).
(3) Class "C" facility importance ratings are assigned to
facilities which are:
(a) Engaged in manufacturing, research and development,
administrative or consultant activities, including
machine and specialty shops, automatic data processing,
printing and photographic work, and design engineering
where the security interests are limited in scope;
(b) Possessors of Categories III and IV quantities of SNM;
(c) Established for classified bid negotiations or
quotations;
(d) Authorized to retain classified matter (except SNM)
other than that noted under paragraphs 1b(2)(a) and (b),
above, after completion or other agreement; or
(e) Federal records centers holding DOE security interests.
(4) Class "AP" (Access Permit) facility importance ratings are
assigned to those facilities at which restricted data is
received, originated, or stored under an access permit.
(5) Class "PP" (Property Protection) facility importance ratings
are assigned to those facilities at which a special standard
of protection must be applied when significant monetary
value, DOE program continuity, national security
considerations, or protection of the public health and safety
constitutes an important DOE responsibility. Basic
considerations include physical protection to prevent or
deter acts of arson, civil disorders, riots, sabotage,
terrorism, vandalism, and theft or destruction of DOE
property and facilities.
c. Facility Register. The responsible field element and the
surveying organization, if not the same, shall maintain a facility
register on those facilities as follows for which it has
responsibility:
(1) The facility register:
(a) Accurately reflects facilities with Class A, B, or C
property protection, and access permit facility
importance ratings;
(b) At a minimum, reflects the facility's name, its
importance rating, location and classified mailing
address, security officer's name, and identifies the
responsible and surveying organizations; and
(c) Is controlled appropriate to its contents.
(2) Changes shall be timely and properly coordinated with the
responsible organization, or surveying organization if
different.
(3) Responsible and surveying organizations shall confirm the
accuracy of the Master Facility Register maintained at
Headquarters and that it reflects established facilities and
security interests under their jurisdiction, via prompt
submission of accurate facility data and approval records
(DOE F 5600.2, "Facility Data and Approval Record" (see
Attachment II-1)).
2. FACILITY APPROVAL.
a. Purpose. To ensure that all facilities eligible to receive,
process, reproduce, store, transmit, use, or destroy SNM or
classified matter have been granted facility approval based upon a
validated satisfactory safeguards and security system prior
to.permitting classified matter or classified and unclassified SNM
on the premises. The requirements for establishing facility
approvals are outlined below.
b. Accepting Existing DOE Facility Approval. The organization
seeking to establish an S&S activity shall check the Master
Facility Register to determine whether the location already has
DOE facility approval. If already approved, the responsible
organization may accept the existing DOE facility approval,
provided: (1) the existing safeguards and security program at the
facility accommodates the new DOE activity; and (2) the
responsible organization determines that, on the basis of the
latest survey report, the existing safeguards and security program
is compatible with the level of the new activity. Additional
requirements shall be established and completed prior to the
initiation of the S&S activity when the existing safeguards and
security program cannot meet the requirements of the added DOE
activity. These additional requirements may include the conduct
of vulnerability analyses and validation exercises and shall be
documented in approved security and/or Nuclear Material Control
and Accountability plans. As appropriate, the existing MSSA, and
security and material control and accountability plans shall be
revised to reflect the new or added activity.
c. Granting New Facility Approval.
(1) Approval of a New Facility or Activities at a DOE Facility,
Its Contractors, Subcontractors, Consultants, or Access
Permittees. The following conditions shall be in effect
prior to approval:
(a) When SNM is present, all facilities subject to facility
approval shall have DOE approved site-specific security
and material control and accountability plans and an
established Reporting Identification Symbol (RIS) for
Nuclear Materials Management and Safeguards System
reporting.
(b) For SNM, approval is based upon an initial security
survey and material control and accountability survey,
both with a satisfactory composite rating.
(c) For classified information, approval is based on an
initial survey report, conducted by geographical survey
office, with a satisfactory composite rating.
(d) For those security activities covered under facility
MSSAs which are to be protected in a graded fashion, the
facility shall have completed a vulnerability analyses
of the proposed security activity. The facility shall
have this analysis available for review during the
survey.
(e) The date of the nuclear materials and security survey
and site-specific security/material control and
accountability plan upon which the granting of facility
approval is based shall not be more than 12 months prior
to the granting of facility approval.
(f) When the level of classified information is raised from
Confidential to Secret or Top Secret, or the category of
SNM holdings is raised from Category III to Category II
or I, facility approval at the higher level shall be
based upon a survey with a satisfactory composite
rating.
(g) In addition to the above requirements, facility approval
for access permittees is based on a review of the access
permittee's written statement of its procedures for the
safeguarding of Restricted Data and for the security
education of its employees consistent with the
requirements of 10 CFR 1016, "Safeguarding of Restricted
Data."
(h) Access authorizations shall be in place at the
responsible organization for persons included in a new
activity.
(i) Adequate classification guidance pertaining to the new
security activity will be available to assure protection
of the interest.
(2) Accepting an Existing U.S. Government Agency Facility
Approval for Work at One of Its Contractors When a DOE
Facility Approval Does Not Exist.
(a) Work remains under the programmatic cognizance of DOE,
however, security survey and oversight is ceded to the
other U.S. Government agency. Whenever practicable, a
DOE security facility approval shall be established.
However, accepting another U.S. Government agency
facility approval for work under DOE cognizance may be
considered when:
1 The activity is short-term or of minor significance
to the Department;
2 A security facility approval by another agency
already exists;
3 It is not economically prudent for the responsible
or another field element to complete the facility
approval and survey requirements; and
4 The activity does not involve SNM or access to
Restricted Data.
(b) Facility approval is based upon an existing U.S.
Government agency facility clearance at the Confidential
or Secret classification level and provided that:
1 The U.S. Government agency facility clearance
encompasses the DOE classified activity and the
last survey or inspection report is noted as
satisfactory in those areas which could affect the
DOE interest.
2 The U.S. Government agency cognizant security
office furnishes to the responsible DOE security
office copies of its periodic inspection reports or
periodic memoranda covering the DOE classified
activity, citing that a satisfactory survey was
conducted.
3 The U.S. Government agency cognizant security
office agrees that it will not cancel the facility
clearance without prior notification to the DOE
security office requesting security support.
4 All employees granted access to DOE classified
information have, as a minimum, U.S. Government
security clearances based on a National Agency
check.
5 Requirements identified in paragraph 2c(2)(a)1
through 4, above, are documented in a letter or
memorandum of agreement between the DOE responsible
security office and the U.S. Government cognizant
security office prior to the establishment of a
security activity.
(c) If the foregoing provisions cannot be met or when SNM or
DOE Top Secret, or Secret, or Confidential Restricted
Data is involved, facility approval is based upon the
provisions of paragraph 2c(1), page II-4.
(d) When an existing U.S. Government agency cleared facility
also has a DOE facility approval, the latter is used,
when practicable, instead of the other U.S. Government
agency facility clearances.
d. Verification. Verification of capability of other U.S. Government
agencies and their contractors to protect classified information
for reference or use in work not under DOE cognizance is as
follows:
(1) Approval to transmit classified information shall be based
upon a written assurance from the Government agency that DOE
classified matter in its possession or in the possession of
its contractors, subcontractors, or consultants will be
afforded physical protection and safeguards in accordance
with ExecutIve Order 10865, "Safeguarding Classified
Information Within Industry," as amended, Executive Order
12356, "National Security Information," and its implementing
Information Security Oversight Office directive; and that the
mandatory personnel clearance requirements of the Atomic
Energy Act of 1954, as amended, pertaining to access to
Restricted Data, be met.
(2) When an agreement between DOE and another Government agency
specifically limits the dissemination of certain categories
of DOE classified information within that agency, e.g.,
Restricted Data, the responsible organization shall request
the agency, on execution of the agreement, to furnish a
statement of its procedures to ensure such limitation.
e. Terminating Facility Approval.
(1) When a facility has completed its activities involving SNM or
classified matter, the responsible organization assures
destruction or return of matter or material returned to DOE
custody through a termination survey or by correspondence
that includes the following:
(a) Security termination statements;
(b) Written certification of nonpossession of classified
matter or SNM;
(c) Cancellation of personnel clearances or access
authorizations which are no longer needed;
(d) Discontinuance of physical security and material control
and accountability measures; and
(e) Preparation of a DOE F 5600.2 (see Attachment II-1),
canceling facility approval.
(2) A certificate of possession and periodic surveys are required
if the facility is authorized to retain classified matter
after termination of a contract agreement. The responsible
organization shall:
(a) Maintain appropriate documentation to support receipts
of destruction or certificates of nonpossession.
(b) Establish guidelines for terminating facility approval
and coordinating termination activities with appropriate
contracting, program, security, and safeguards
organizations.
3. FACILITY DATA AND APPROVAL RECORD.
a. Purpose. To register pertinent facility information on the Master
Facility Register, which must be in agreement. Prompt submission
of Facility Data and Approval Records and accuracy of reported
information are essential to the continued integrity of the
system.
b. Submission of the Facility Data and Approval Record. A DOE F
5600.2, "Facility Data and Approval Record," is submitted to SA-10
by the responsible organization when:
(1) Granting initial facility approval;
(2) Accepting existing facility approval for an additional
activity(ies);
(3) There is a significant change in a registered facility or
activity within a facility (e.g., a change in name, address,
facility importance rating, responsible organization,
classified mailing address, contract or purchase order
number, classification, Restricted Data authorization, or
nature or scope of work);
(4) Facility approval for a registered facility or activity(ies)
is terminated;
(5) Activities are surveyed for DOE by DOD or other Government
agencies; or
(6) When SNM is to be placed in the facility.
c. Attachment to the Facility Data and Approval Record. When
submitting DOE F 5600.2, attach a copy of the following:
(1) Initial survey reports to the facility data and approval
record granting facility approval;
(2) Report of survey in memorandum form and pertinent
correspondence, when applicable, to the facility data and
approval record granting facility approval; and
(3) Termination survey report, if conducted, to the Facility Data
and Approval Record terminating facility approval.
d. Nonsubmission of a Facility Data and Approval Record.
Nonsubmission of a Facility Data and Approval Record increases the
risk that an activity will not be encompassed by the normal
safeguards and security administration expected at a cleared
facility and may be missed during the normal oversight provided by
a periodic or termination survey. However, after appropriate
consideration, a Facility Data and Approval Record need not be
submitted for the following:
(1) An organization holding a contract with a facility executes a
purchase order or contract amendment for additional work or
material similar to that registered under the contract,
unless such purchase order or amendment requires substantial
changes in existing security or nuclear material control and
accountability programs.
(2) An invitation to bid tendered by a field element is consonant
with the activity(ies) previously registered by that field
element.
e. Distribution. The organization preparing the Facility Data and
Approval Record shall forward the original and two copies to
SA-10, which will make appropriate distribution to other
Departmental Elements having safeguards and security activities.