Group 5 - Safeguards and Security

Occurrences in this group will require careful review for classified and Unclassified Controlled Nuclear Information, in addition to careful review for privacy considerations. Classified information will be transmitted only through approved communications channels and should be held to the absolute minimum. The lack of detail that may be required in such reports is recognized by DOE management. For the purpose of this group of reportable occurrences, the term "onsite" applies to all facilities, installations, and real property subject to the jurisdiction or administration of the DOE or in its custody and posted with notices of prohibitions and penalties.

A. Criminal Acts

Initial notification of events in this section shall follow normal occurrence reporting timelines. When reporting an occurrence that is the subject of an ongoing investigation under this subgroup, the report shall be tailored to prevent jeopardizing the investigation. Full reporting may be delayed until completion of criminal investigations, if the reports would jeopardize the investigation.

Unusual Occurrence

  1. At DOE reactor or nonreactor nuclear facilities: (a) bomb-related incidents, including location of a suspicious device or a noncredible bomb threat; (b) a noncredible terrorist threat; or (c) a noncredible sabotage threat or breach/attempted breach of a secure/classified facility.
  2. Violent assault/battery, murder, or unjustified use of deadly force while on DOE property.
  3. Theft/diversion/intentional destruction of Government property valued greater than $1,000,000.
  4. Racketeering or other organized criminal activity onsite.

Off-Normal

  1. At DOE facilities other than reactors and nonreactor nuclear facilities: (a) location of a suspicious device or noncredible bomb threat; (b) noncredible terrorist threat; or (c) noncredible sabotage threat.
  2. Theft/diversion/intentional destruction of government property valued between $10,000 and $1,000,000.
  3. Onsite felony conspiracies (i.e., blackmail, fraud, embezzlement, extortion and forgery) not involving classified information.

B. Unaccounted for Classified Matter or Compromised Information

Unusual Occurrence

The loss, potential compromise, or unauthorized disclosure (determined in accordance with DOE M 471.2-1), in any manner, of information classified as, or which should have properly been classified as, Top Secret (all categories) and Secret (all categories), and/or all documents regardless of classification level and category containing Sensitive Compartmented Information, Special Access Program information, and/or classified information of another government agency or foreign government.

Off-Normal

The loss, potential compromise, or unauthorized disclosure (determined in accordance with DOE M 471.2-1), in any manner, of information classified as, or which should have properly been classified as, Confidential (all categories), but not including Confidential documents containing Sensitive Compartmented Information, Special Access Program information, and/or classified information of another government agency or foreign government.

C. Substance Abuse

Off-Normal

Discovery of the prohibited use, possession or involvement of alcohol or illegal drugs by personnel within a facility that may affect facility operations.

  1. Any reportable occurrence under this Manual at least partially attributable to the use of alcohol or illegal drugs.
  2. A detection of personnel not fit for duty attributable to the use of alcohol or illegal drugs.

D. Intelligence Activities

Unusual Occurrence

  1. Extortion/blackmail directed at DOE or DOE contractor personnel with intent of obtaining classified information/systems, detailed information concerning plant processes/configurations, or aiding in sabotage or terrorist acts.
  2. Espionage, intelligence activities, treason, or subversive activities by or directed at DOE or DOE contractor personnel.

Off-Normal

  1. When illegal or unauthorized access is sought to classified or sensitive information, technology, or special nuclear materials.
  2. When DOE or DOE contractor personnel believe that they may be the target of an attempted exploitation by an inimical interest, foreign or domestic.

E. Physical Security System Computer

Unusual Occurrence

  1. Actual/attempted unauthorized access to classified or sensitive unclassified information.
  2. Discovery of a computer incident (virus, hacker, sniffer, abuse, fraud, etc.) involving a physical security system that causes an alteration to a security feature, disruption of service, or loss of the confidentiality, integrity or availability of information, and results in an estimated $1,000,000 or more in damages or the cost of restoring services.

Off-Normal

Discovery of a computer incident (virus, hacker, sniffer, abuse, fraud, etc.) involving a physical security system that causes an alteration to a security feature, disruption of service, or loss of the confidentiality, integrity or availability of information, and results in an estimated $10,000 or more in damages or the cost of restoring services.

F. Unplanned/Unscheduled Outage of Site Security System

Unusual Occurrence

Unplanned/unscheduled outage of any site security system, or major component of a site security system, that is not redundant and/or results in a potential vulnerability which would allow unauthorized or undetected access to Protected Areas, Exclusion Areas, Material Access Areas, and Sensitive Compartmented Information Facilities.

Off-Normal

Unplanned/unscheduled outage of any site security system, or major component of a site security system, not encompassed by the Unusual Occurrence category, that is not redundant and not authorized by a facility shutdown plan or a special security plan approved by DOE, that requires the physical presence of the protective force as a compensatory measure to prevent unauthorized access. This does not include the stationing of protective forces as a backup security system identified in a DOE approved facility security plan.

G. Demonstrations/Protests

Unusual Occurrence

  1. Disruptive activities impeding vehicular or employees access/egress.
  2. Attempted or actual trespass.
  3. Malevolent activities causing property damage or bodily harm.

Off-Normal

Lawful activities warranting deployment of additional protective measures.

H. Firearms

Unusual Occurrence

Unauthorized firearms discharge resulting in personnel injury.

Off-Normal

  1. Unauthorized firearms discharge resulting in no personnel injury.
  2. Loss or theft of DOE firearms or munitions, as per DOE 5632.7A, PROTECTIVE FORCE PROGRAMS. Site specific procedures shall include current amounts identified in DOE 5632.7A.

I. Other Security Concerns

Unusual Occurrence

Unauthorized use, possession, or alteration of a security badge, credential, shield, or other form of official identification (to include blank badge stock/form) to gain access to a protected area or limited area.

Off-Normal

  1. Discovery of prohibited items within a Protected Area that: (a) are suspected of being positioned for the purpose of aiding and abetting a malevolent act; or (b) are, of themselves, illegal. Items discovered outside controlled areas that are legal under Federal, State, and local laws are not reportable, even if the discovery of such items would otherwise be reportable under this paragraph.
  2. Onsite death of cleared DOE or DOE contractor personnel by unnatural causes (e.g., suicide, drug overdose).
  3. Loss of security badges in excess of 5 percent in a calendar year.
  4. Onsite malicious mischief, disorderly conduct, or vandalism which disrupts plant activity or causes damage between $10,000 and $100,000.

J. Material Control and Accountability

Unusual Occurrence

  1. Loss or apparent loss of the following (including item losses due to shipper-receiver differences): (a) one or more items for which the items total a Category I, II, or III quantity of special nuclear materials, or (b) one or more items of tritium in a weapons or test component, or (c) one or more items which total 50 grams or more of tritium.
  2. An inventory difference (loss or gain) that exceeds alarm limits, does not involve the loss of an item, and is a Category I or II quantity of special nuclear materials.
  3. A shipper-receiver difference involving a gain in the number of items for which the items total to a Category I or II quantity of special nuclear materials.
  4. Evidence that special nuclear material balance or tritium material balance data has been manipulated or falsified to mask a diversion or theft or to alter loss detection sensitivity.
  5. Alarms or other indicators, excluding inventory differences or shipper-receiver differences, from loss detection elements for Category I and II material balance areas that cannot be proven to be false within 24 hours.
  6. Loss or apparent loss whenever a State, local government or other Federal agency must be notified.

Off-Normal

  1. Alarms or other indicators, excluding inventory differences or shipper-receiver differences, from loss detection elements for Category III and IV material balance areas that cannot be proven to be false within 24 hours.
  2. A special nuclear materials or tritium inventory difference (loss or gain) that exceeds the alarm limits, does not involve the loss of an item, and is a Category III or IV quantity of material.
  3. A shipper-receiver difference that exceeds 200 grams of fissile material and the combined limit of error for the shipment.
  4. A special nuclear materials or tritium shipper-receiver difference involving a gain in the number of items for which the items total a Category III or IV quantity of material.
  5. Any unexpected accumulation of fissile material within primary confinement boundaries.
  6. A statistically significant trend in total inventory difference for special nuclear materials or tritium inventories.
  7. Loss or apparent loss of one or more items for which the items total a Category IV quantity of special nuclear materials or any loss of one or more containers of tritium that does not meet the threshold for an Unusual Occurrence (includes item losses due to shipper-receiver differences).

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