INDEX
CHAPTER IV
SECURITY SURVEYS
1. PURPOSE. To assure that facilities maintain effective safeguards and
security programs by requiring surveys which provide monitoring and
evaluation.
2. EXEMPTIONS. Each field element and SA-10 shall conduct surveys of the
facilities within its assigned geographic area, except in cases when a
responsible field element say elect to perform this function itself. In
the latter case, the responsible field element shall coordinate its
decision with the field element having geographic responsibility.
(Attachment IV-1 outlines geographic responsibilities for security
surveys.)
a. The Pittsburgh Naval Reactors Office, Schenectady Naval Reactors
Office, and the Strategic Petroleum Reserve Project Office are
exempt from conducting security surveys for other field elements
within their immediate geographic areas. However, this exemption
is not all inclusive since travel restrictions based on budget
restraints may dictate that field elements request these
organizations to conduct the surveys for them. In such cases,
mutually acceptable agreements are encouraged.
b. When the volume of survey work assigned by geographical areas
exceeds the ability of the surveying organization to absorb the
work, and the problem cannot be resolved between affected DOE
Field Offices, SA-10 shall be notified. The affected surveying
organization shall provide SA-10 with a current list of
facilities/interests within its assigned geographical area, survey
delay times, survey schedules, staffing status, and other
pertinent information. If the proposed delays are not
satisfactory, SA-10 will coordinate a resolution with the affected
DOE Field Office and Secretarial Officer(s), recommending
temporary reassignment of surveys, personnel, or resources to the
Heads of Departmental Elements.
3. FREQUENCY. Security surveys are conducted with the following schedule:
a. Class "A" and "B" facilities shall be surveyed at least once every
12 months.
b. Class "C" and Class "AP" facilities shall be surveyed at least
once every 18 months, except for those facilities containing
security interests listed in paragraph 3c, below.
c. Secure communication centers, classified automatic data processing
centers, remote interrogation points, sensitive compartmented
information facilities, and selected security shipments shall be.
surveyed at least once every 12 months.
d. Property Protection (Class "PP") facilities shall be surveyed at
least once every 24 months, except those facilities containing
security interests listed in paragraph 3c, above.
e. Those safeguards and security interests documented in a facility
Master Safeguards and Security Agreement as requiring protection
against industrial or radiological sabotage shall be surveyed at
least once every 12 months.
4. SURVEY REPORT CONTENT. Initial and periodic security survey reports
consist of a narrative section reflecting both the compliance and
performance segments of the survey and a completed survey report form
as supplied by SA-10. A copy of on approved survey report form is
shown in Attachment III-1. Locally developed survey forms may be used
to supplement the approved survey report form.
a. A report on the results of a survey of a security interest should
include such items as:
(1) A statement of the survey scope and period of coverage;
(2) A statement regarding the facility's function and scope of
operations related to security interests;
(3) An assessment of management (if appropriate) relative to
security, program planning and review, and security control
exercised by the facility;
(4) Corrective actions on findings, including status of prior,
unresolved findings; and
(5) Discussion of major points which had, or might have, a
significant effect on security controls at the facility.
b. A periodic survey report need not contain a complete narrative
description of each component and element of the security program
unless significant changes have occurred or 5 years have elapsed
since the last description. The phrases "no change" or "as
previously reported" may be used. However, the new report shall
identify the survey report which provides the latest description
of the unchanged item. When a complete report is warranted,
paragraph 4a, above, applies.
c. Special and termination survey reports say be written in memoranda
form.
d. Within 60 working days after completion of the survey, the
surveying organization shall forward one copy of each survey
report to the responsible organization, one copy to SA-10, copies
to the Secretarial Officer(s) as directed, and one copy to the
surveyed organization as determined locally. When the special
survey is the basis for granting facility approval for a new or
expanded S&S activity or for continuing facility approval for an
existing activity, and time is of the essence, the surveying
organization shall:
(1) Advise the responsible organization by telephone or teletype
of the results of the survey;
(2) Confirm this action by memorandum; and/or
(3) Submit a formal survey report, as appropriate.
e. The surveying organization is not required to send a copy of a
survey report to a responsible organization when the only security
activity at the facility involves an individual S&S activity
(e.g., consultant, responsible reviewer, or a person with a
personal service contract). In this case, the surveying
organization should advise the responsible organization by
memorandum that the S&S activity has been included in the survey
report, the date of survey, composite survey rating, and findings,
if applicable.
f. The surveying organization shall forward copies of each
termination survey report, including the certificate of
nonpossession/possession, to the responsible organization, SA-10,
and the cognizant Secretarial Officer, as appropriate.
g. The surveying organization shall forward one copy of the portions
of the survey report regarding secure communications centers or
crypto facilities to the Director of Information Technology
Services and Operations (AD-25).
5. TRAINING AND QUALIFICATIONS. Team personnel for security surveys shall
possess qualifications and training sufficient to accomplish effective
and thorough surveys.
6. COMPLIANCE SEGMENT. The compliance segment of the security survey
shall address how well the facility meets requirements contained in DOE
directives and the applicable facility Security Plan and/or Master
Safeguards and Security Agreement. The results shall be entered on an
approved security survey report form.
7. PERFORMANCE SEGMENT. Surveys of facilities shall include a performance
evaluation to assess the capability of the safeguards and security
system to meet performance objectives. The performance evaluation
shall determine system performance against scenarios for applicable
threats/targets.