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U.S. Department of Energy ORDER
Washington, D.C. DOE O 457.1
Approved: 2-7-06
Review: 2-7-08
Expires: 2-7-10
SUBJECT: NUCLEAR COUNTERTERRORISM
1. OBJECTIVES.
a. To support Department of Energy (DOE) activities for public
health, safety, and common defense by reducing the
threat of inadvertent or unauthorized disclosure of sensitive
improvised nuclear device (IND) information.
b. To support the implementation of high-level policy guidance
for protecting the homeland against nuclear terrorism as
outlined in the National Strategy for Combating Terrorism
and the National Strategy for Homeland Security.
c. To establish DOE responsibilities for identifying and
protecting sensitive IND information.
d. To establish controls on the dissemination of sensitive IND
information.
e. To define appropriate means for providing IND-related
information at an appropriate level of classification to other
Federal agencies to assist in meeting national security
objectives.
2. CANCELLATION. None.
3. APPLICABILITY.
a. All Departmental Elements. Except for the exclusions in
paragraph 3c, this Order applies to all departmental
elements. Attachment 1 is a complete listing of DOE
organizations to which this Order is applicable and
organizations that are prohibited from accessing
sensitive IND information without specific approval from
the Assistant Deputy Administrator for Military Application
and Stockpile Operations.
The Administrator of the National Nuclear Security
Administration will assure that NNSA employees and
contractors comply with their respective
responsibilities under this Order.
b. DOE Contractors. Except for the exclusions in paragraph 3c,
the Contractor Requirements Document (CRD), Attachment 2,
sets forth requirements of this Order that will apply to DOE
contracts that include the CRD.
c. Exclusions. This Order does not apply to activities conducted
under the authority of the Director, Naval Nuclear
Propulsion Program, as assigned by Executive Order
12344.
4. REQUIREMENTS.
a. Identify sensitive IND information and implement appropriate
measures to preclude terrorists/unauthorized persons from
obtaining and exploiting it.
b. Establish Sigma 20 as a nuclear weapon data (NWD) control
category to restrict the dissemination of sensitive IND
information in the interest of national security.
c. Provide the basis for implementing procedures regulating
strict control of and access to Sigma 20 NWD.
d. Prohibit the performance of IND design-related work from
being conducted at any location in the DOE complex unless
authorized by the Assistant Deputy Administrator for Military
Application and Stockpile Operations.
e. Develop agreements with Federal agencies and implement
security procedures as required for handling Sigma 20 NWD.
5. RESPONSIBILITIES.
a. Deputy Under Secretary for Counterterrorism. Provides
guidance on Department activities related to nuclear
counterterrorism, including IND information control policy
within DOE/NNSA and other Federal agencies.
b. Deputy Administrator for Defense Programs.
(1) Oversees all IND design-related work.
(2) Manages DOE/NNSA oversight of IND information.
(3) Establishes a new NWD category called Sigma 20 to
control access to and dissemination of IND information.
(4) Directs nuclear design-related research and
development activities so that the full range of weapons
physics knowledge, engineering, analysis, information,
and nuclear weapons technologies are applied adequately
and correctly to provide the best possible technical
solutions to IND-related issues.
c. Assistant Deputy Administrator for Military Application and
Stockpile Operations.
(1) Implements all aspects of IND information control
as defined in this Order, including administration of
the Sigma 20 category.
(2) Designates locations within the DOE complex where
IND design- related work may be performed.
(3) Notifies contracting officers when DOE contractors
are affected by this Order.
(4) Performs annual program reviews to evaluate ongoing
activities; future plans and projects; resource
requirements, including the resources necessary to
implement and administer this Order; and major concerns
and issues.
(5) Recommends to the Deputy Administrator for Defense
Programs revisions to Sigma 20 implementation, as
necessary.
d. Deputy Administrator for Defense Nuclear Nonproliferation.
Coordinates all IND-related work with the Deputy Administrator
for Defense Programs to fulfill the requirements for
Sigma 20 NWD.
e. Associate Administrator for Emergency Operations.
(1) Responsible, during a radiological asset response
operation, for the security and control of Sigma 20
NWD of any form.
(2) Coordinates all IND-related work with the Deputy
Administrator for Defense Programs to fulfill the
requirements for Sigma 20 NWD.
f. Director, Office of Intelligence.
(1) Serves as the lead proponent for IND information
control within the Intelligence Community on behalf
of DOE/NNSA.
(2) Provides intelligence-related information concerning
nuclear terrorism to the Deputy Under Secretary for
Counterterrorism.
g. Chief, Office of Defense Nuclear Counterintelligence.
Conducts counterintelligence (CI) activities to protect
DOE/NNSA information, personnel, and assets from
international terrorist activities and from intelligence
collection by or on behalf of foreign powers or entities.
h. Associate Administrator for Defense Nuclear Security.
Responsible for the overall direction and management of
physical, personnel, technical, materials control and
accounting, and classified and sensitive information
security programs at NNSA facilities.
i. Director, Office of Independent Oversight. Through the
Director, Office of Security Evaluations, provides
independent inspections and evaluations to assess
physical security, and classified matter protection and
control effectiveness.
j. Heads of Field Organizations. Verify that their field
locations and facilities are operated in compliance with
security procedures established for IND information control.
k. Contracting Officers. After being notified, incorporate the
DOE O 457.1 CRD into affected contracts via the laws,
regulations, and DOE directives clause of the contracts.
6. DEFINITIONS. See Attachment 3.
7. REFERENCES.
a. Public Law (P.L.) 83-703, the Atomic Energy Act of 1954,
as amended (42 U.S.C. 2011), which governs civilian and
military uses of nuclear materials and facilities.
b. Title XXXII of P.L. 106-65, National Nuclear Security
Administration Act, as amended, which established a
separately organized agency within the Department of
Energy.
c. National Strategy for Combating Terrorism, dated February
2003, in which the President of the United States describes
the nature of the terrorist threat, details U.S. strategic
intent, and provides goals and objectives for the campaign
against terrorism.
d. The National Strategy for Homeland Security, dated July
2002, Office of Homeland Security, provides policy
guidance for securing the U.S. homeland from terrorist
attacks.
e. National Security Presidential Directive 28, United States
Nuclear Weapons Command and Control, Safety, and
Security (U), dated 6-20-03 (Secret), which provides
the basis for the maintenance of a nuclear command
and control system under the authority and direction of
the Commander in Chief, and establishes nuclear surety
policy.
f. DOE O 200.1, Information Management Program, dated
9-30-96, and National Archives and Record
Administration-approved DOE records schedules, which
describe requirements for managing records related to this
program.
g. DOE O 470.3, Design Basis Threat Policy (U), dated
10-10-04 (Secret), which describes DOE security objectives,
policies, and prescribes the "threat-based" security metrics
for the protection of nuclear weapons, nuclear weapons
components, special nuclear material, national laboratories,
plants, and other critical Departmental assets.
h. DOE O 470.4, Safeguards and Security Awareness Program,
dated 8-26-05, which establishes the roles and responsibilities
for the U.S. Department of Energy Safeguards and Security
Program.
i. DOE M 470.4-1, Safeguards and Security Program Planning
and Management, dated 8-26-05, which establishes program
planning and management requirements for the Department’s
Safeguards and Security Program.
j. DOE M 470.4-2, Physical Protection, dated 8-26-05, which
establishes requirements for the physical protection of
safeguards and security interests.
k. DOE M 470.4-4, Information Security, dated 8-26-05, which
establishes security requirements for the protection and
control of information and matter required to be classified
or controlled by statutes, regulations, or Department of
Energy directives.
l. DOE M 470.4-5, Personnel Security, dated 8-26-05, which
establishes the overall objectives and requirements for the
Department of Energy Personnel Security Program.
m. DOE O 475.1, Counterintelligence Program, dated 12-10-04,
which establishes CI Program requirements and responsibilities
for the Department of Energy, including the National Nuclear
Security Administration.
n. DOE O 5530.1A, Accident Response Group, dated 9-20-91,
which establishes DOE policy for response to accidents and
significant incidents involving nuclear weapons and/or
components.
o. DOE O 5530.2, Nuclear Emergency Search Team, dated
9-20-91, which establishes DOE policy for Nuclear
Emergency Search Team operations in response to malevolent
radiological incidents.
8. CONTACT. Office of Nuclear Weapon Surety and Quality, 202-586-4582.
BY ORDER OF THE SECRETARY OF ENERGY:
CLAY SELL
Deputy Secretary
ATTACHMENT 1
DOE ELEMENTS TO WHICH DOE O 457.1 IS APPLICABLE
Office of the Secretary
Departmental Representative to the Defense Nuclear Facilities Safety Board
Energy Information Administration
National Nuclear Security Administration
· Office of the Administrator
· Office of Counterterrorism
· Office of Congressional, Intergovernmental, and Public Affairs
· Office of Defense Nuclear Counterintelligence
· Office of Defense Nuclear Nonproliferation
· Office of Defense Nuclear Security
· Office of Defense Programs
· Office of Emergency Operations
Office of Environment, Safety and Health
Office of General Counsel
Office of Infrastructure and Environment
Office of Management and Administration
Office of the Chief Financial Officer
Office of the Chief Information Officer
Office of Civilian Radioactive Waste Management
Office of Congressional and Intergovernmental Affairs
Office of Counterintelligence
Office of Economic Impact and Diversity
Office of Electricity Delivery and Energy Reliability
Office of Energy Efficiency and Renewable Energy
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of General Counsel
Office of Hearings and Appeals
Office of Human Capital Management
Office of the Inspector General
Office of Intelligence
Office of Legacy Management
Office of Management
Office of Nuclear Energy, Science and Technology
Office of Policy and International Affairs
Office of Public Affairs
Office of Science
Office of Security and Safety Performance Assurance
Secretary of Energy Advisory Board
Bonneville Power Administration
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration
ATTACHMENT 2
CONTRACTOR REQUIREMENTS DOCUMENT
DOE O 457.1, NUCLEAR COUNTERTERRORISM
1. Regardless of the performer of the work, the contractor is
responsible for complying with the requirements of this
Contractor Requirements Document (CRD) and flowing down CRD
requirements to subcontractors at any tier to the extent
necessary to ensure contractor compliance.
2. This CRD establishes the requirements for Department of
Energy (DOE) contractors whose contracts involve or could
potentially involve accessing or generating nuclear weapon
design information.
3. Contractors are required to protect IND information. To
this end, contractors will implement a Sigma 20 nuclear
weapon data (NWD) control category to control the
dissemination of sensitive IND information in the interest
of U.S. national security. Procedures will be implemented
to provide for strict control of and access to Sigma 20 NWD.
IND design-related work is not to be conducted at any DOE
location unless authorized by the Assistant Deputy
Administrator for Military Application and Stockpile
Operations. In this context, IND design-related work
includes generating:
· any complete design of an IND, including speculative
exploration of novel design concepts;
· validation of comparative assessments of IND design
alternatives;
· descriptions of design and fabrication procedures likely to
be employed by terrorists, including modeling or design
methodologies, energetic or nuclear material specifications,
component specifications (e.g., arming and firing system
design), or other fabrication procedures; and
· realistic IND designs to assess the performance of radiation
detection systems, diagnostic equipment, security
standards, and/or render-safe tools and procedures.
4. Contractors must support annual program reviews, when and as
directed by the Assistant Deputy Administrator for Military
Application and Stockpile Operations, to evaluate relevant
ongoing activities; future plans and projects; resource
requirements, including the resources necessary to implement
and administer this Order; and major concerns and issues.
5. Contractors must maintain records according to National
Archives and Records Administration-approved DOE or site-
specific records retention schedules.
ATTACHMENT 3. DEFINITIONS
1. Improvised nuclear device— a device, incorporating fissile
materials, designed or constructed outside of an official
Government agency and which has, appears to have, or is claimed
to have the capability to produce a nuclear explosion. (See CG-
RER-1, DOE Classification and UCNI Guide for Radiological
Emergency Response (U) for details.)
2. Nuclear weapon data—Restricted Data or Formerly Restricted
Data concerning the design, manufacture, or utilization
(including theory, development, storage, characteristics,
performance, and effects) of nuclear weapons or nuclear weapon
components, including information related to improvised nuclear
Devices.
3. Sigma 20—a specific category of nuclear weapon data that
pertains to sensitive improvised nuclear device information.