**SAFEGUARDS AND SECURITY AWARENESS QUALITY PANEL**

**MINUTES**

**April 3, 2003**

**Introduction**

The Safeguards and Security Awareness Quality Panel (SSAQP) met on
Thursday,

April 3, 2003, in Atlanta, Georgia. The meeting followed a two-day
Security Education Special Interest Group (SE SIG) Workshop, sponsored
by SO-112. SE SIG Steering Committee members make up the core of the
SSAQP.

**Executive Summary**

The SSAQP reviewed the SSAQP Charter. No significant changes were
proposed. The charter was adopted with updates to the references to
predecessors of the Safeguards and Security Quality Panel Executive
Committee (QPEC).

DOE O 470.1 and DOE M 470.1-1 were discussed re: consistency of
requirements. Opportunities to comment on these directives are
forthcoming. The Order revision will be out on REVCOM about May 2003 and
the Manual will be available on REVCOM as part of a streamlined
directives package to be issued about August 2003. The SSAQP addressed
two identified issues: 1) Scope of Audience for Initial Briefing, and 2)
Retention of Records on Briefing Content. A discussion of the Initial
Briefing scope resulted in a recommendation to continue discussion
during conference calls. A discussion of the retention of records
resulted in a resolution for a provision to be added in the Manual to
retain Safeguards and Security Awareness Program briefing content
records. The SSAQP also discussed the delayed access authorizations that
prevent people from beginning employment, and the use of awards for the
S&S Awareness Program, with no resolutions to change existing policies.

The 2002 Safeguards and Security Awareness Coordinators Training at the
Central Training Academy (CTA) was monitored by the SSAQP Chairperson
who was assisted by a SSAQP member serving as guest lecturer. The course
is a requirement for S&S Awareness Coordinators. The SSAQP had
previously tasked the SE SIG to review and update the course materials;
the review is on-going and will be completed before the course is given
in 2003. The SSAQP will task the SE SIG to develop a post-course survey
to determine if the course meets the needs of new Coordinators. The
panel discussed whether a refresher training course should be developed,
but made no recommendation. The SSAQP will continue to monitor the
training.

The SSAQP discussed further taskings for the SE SIG. Two additional
immediate tasks were identified: revision of the Safeguards and Security
Awareness Handbook, and a review of the Personnel Security Inspectors
Guide, Section 4, "Safeguards and Security Awareness Program."

In selecting a location for the 2004 SSAQP meeting, three sites were
nominated: Idaho Falls, ID; New Orleans, LA; and Albuquerque, NM. Panel
members voted in favor of New Orleans, with the Strategic Petroleum
Reserve (SPRO) serving as host. The SSAQP meeting will be scheduled in
the March/April time frame. The SSAQP, along with the SE SIG Steering
Committee meeting, will be held in conjunction with the 2004 SE SIG
Workshop.

At a meeting of the SE SIG Steering Committee following the SSAQP, new
members were nominated and elected. Steering Committee members make up
the core of the SSAQP. New members elected for a three-year term are:
Ann Marie Griego, Sandia National Laboratories/AL; Laurel Hautala, NNSA
Kansas City Site Operations; and Dan Valdez, Jr., Los Alamos National
Laboratory. Six current members submitted "recommitment nominations" and
all were elected for a follow-on three-year term. These members are:
Kaye Hall, Kirtland Operations (NM); Christina Holbrook, Boeing Company,
Seattle (SC membership only); Sylvia Lovelett, Pantex; Kelvin May,
Kansas City Plant; and Virginia Reams, NNSA Oakland. The following
retired from the SSAQP: Nolan Fryatt, Kansas City Plant; Marvin
Thompson, Pantex; and Cathy Tullis, NNSA NV Site Office.

**List of Attendees**

[SSAQP Members]{.underline}

Rob Ambrose, NNSI/CTA 505-845-5170 rambrose@nnsi.doe.gov

Valerie Anderson, ORISE 865-576-1020 andersov@orau.gov

Clarice Bruce, RFETS 303-966-5250 clarice.bruce@rfets.gov

Loren Evenson, SO-112 301-903-4803 <loren.evenson@hq.doe.gov>

Ann Marie Griego, SNL/AL 505-845-9207 agriego@sandia.gov

Kaye Hall, Kirtland Ops 505-844-0226 khall@kcp.com

Laurel Hautala, NNSA KCSO 816-997-5109 lhautala@kcp.com

Kristine Inskeep, INEEL 208-526-0715 inskk@inel.gov

Jeanette Lee, Kansas City Plant 816-997-2171 jlee@kcp.com

Sylvia Lovelett, Pantex 806-477-7205 slovelet@pantex.com

Kelvin May, Kansas City Plant 816-997-7294 kmay@kcp.com

Kent Oelrich, LLNL 925-423-3300 <oelrich1@llnl.gov>

Virginia Reams, NNSA Oakland 925-422-2271 <virginia.reams@oak.doe.gov>

Marvin Thompson, Pantex 806-477-3704 <mthompso2@pantex.com>

Daniel Valdez, Jr., LANL 505-667-9070 dvusa@lanl.gov

[At-large Participants]{.underline}

John Arnold, SRS 803-952-7597 <john.arnold@srs.gov>

Patrick Belland, NNSA Y-12 865-576-0914 bellandpj@yso.doe.gov

Ann Czebotar, PNNL 509-372-6327 <ann.czebotar@pnl.gov>

Mary Fallaw, SRS 803-725-7185 mary.fallaw@srs.gov

Sharon Fuller, ORO 865-276-9250 <fullersr@wsi-or.net>

Bonnie Harris, RL 509-376-3215 bonnie_k_harris@rl.gov

Christina Holbrook, Boeing-Seattle 253-657-9299 christina.m.holbrook
\@boeing.com

Selicia Leonard, DOE ORO 865-576-0522 leonardsm@oro.doe.gov

Dishecal (Tinker) Manley, SO-20 301-903-2912 dishecal.manley@hq.doe.gov

David Reading, SNL/CA 925-294-3238 dareadi@sandia.gov

Cecellia Rogers, SO-61 301-903-8873 cecellia.rogers@hq.doe.gov

Paul Thurmond, Brookhaven 301-869-4075 thurmond@erols.com

Tina Vaughen, SO-20 301-903-9986 <tina.vaughen@hq.doe.gov>

Tina Vialpando, NNSA Srv.Ctr/AL 505-845-4418 cvialpando@doeal.gov

**Meeting Agenda**

Welcome and Call to Order

Review of SSAQP Charter

Issues Relevant to the Safeguards and Security Awareness Program

Review of Safeguards and Security Awareness Coordinator Training

Recommendations to Safeguards and Security Policy re: Issues and
Training

Taskings for SE SIG

Location for 2004 SSAQP

Adjournment

**Discussion**

Valerie Anderson, SE SIG Coordinator, welcomed meeting attendees on
behalf of the SE SIG and SSAQP. Loren Evenson, Personnel Security
Policy, SO-112, and Chair of the SSAQP, called the business meeting to
order.

***Review of SSAQP Charter***

Copies of the current SSAQP Charter were distributed for review. This
charter was revised in 2002 to follow Office of Security guidelines
dated 4-4-00 and was approved by the Director of the Security Policy
Staff, Office of Security, on December 12, 2002. The organizational
designations for "Executive Committee" and "Executive Quality Panel
(EQP)" should be changed to "Safeguards and Security Quality Panel
Executive Committee (QPEC)" to conform to SO-1's Memorandum of 5-31-02.
A requirement to send the SSAQP minutes to the QPEC for review should be
deleted because it is no longer required. The SSAQP voted to adopt the
charter with the proposed change.

# **Issues Relevant to the Safeguards and Security Awareness Program** 

Revisions to DOE O 470.1 and DOE M 470.1-1 (supplement to Ch. IV of the
Order) will soon be up for review and the requirements in the directives
need consistency. Loren Evenson noted two opportunities to comment on
these revisions: The Order will be out on REVCOM about May 2003 and
anyone may comment; the Manual will be available on REVCOM as part of a
streamlined directives package to be issued about August 2003. There
will be limited opportunity for new requirements to be put into the
Manual. The SSAQP addressed two identified issues:

**[Issue 1: Scope of Audience for Initial Briefing]{.underline}**

A conflict exists between DOE O 470.1 and DOE M 471.1-1. The Order
states that all DOE employees requiring unescorted access to Security
Areas (SA), except Property Protection Areas, and all contractor
employees requiring unescorted access to SAs must receive an Initial
Briefing. The Manual states that all DOE employees must receive a
briefing before assuming duties and all uncleared contractors requiring
unescorted access to SAs must be briefed before assuming duties.

The question is: What is the proper scope? The directives should
indicate all cleared and uncleared DOE employees and all cleared
contractors are to receive an Initial Briefing. The problem is how to
define the uncleared contractors who must be briefed; e.g., uncleared
contractors who never/rarely come to the site do not need to be briefed.

[Discussion]{.underline}:

The Initial Briefing must be given to all individuals who are not
visitors. If a person coming on-site is treated as a visitor, no
briefing is required. The discussion focused on what constitutes a
"visitor." The old Order on Physical Security offered a definition
(on-site 10 days or greater, cumulative), but this definition is not in
the recently issued replacement Order, DOE O 473.1. It was pointed out
that because the sites are different, a level of risk needs to be
determined for each site as to who should be treated as a visitor. An
OPSEC assessment could establish risk. If significant expense would be
associated with an increased number of briefings, a site should consider
using DOE's deviation process.

[Resolution: To Be Determined]{.underline}

Issue will be discussed on next SE SIG conference call.

**[Issue 2: Retention of Records on Briefing Content]{.underline}**

Current DOE requirements:

-   The General Records Schedule must be followed as supplemented by DOE
    requirements, but those are imprecise on what awareness records to
    retain.

-   The Safeguards and Security Awareness Program focuses only on
    retaining records of briefing completion.

Other requirements:

-   32 CFR 2001.40(d) calls for retention of "records about (Security
    Education and Training) programs offered and employee participation
    in them."

-   NISPOM Section 3-107 requires retention of "records about the
    programs offered" for contractor employee Security Awareness
    Refresher Briefings.

[Discussion]{.underline}:

Should DOE add a requirement to retain records on the contents of
Initial, Comprehensive, and Refresher Briefings? The training records
requirements do not apply because the briefings are not training;
however, we may want to include some provision for retention of briefing
content records. In addition to the CFR and NISPOM requirements,
consideration should be given to Administrative Review hearings that
concern failures to comply with security procedures. If the defense is
that the individual had never been told about the security procedures,
briefing content records are important. A question was also asked about
putting in a retention time frame.

[Resolution]{.underline}:

The panel resolved that a provision be included in the Manual that would
require the Safeguards and Security Awareness Program to retain all
briefing content records.

[Further Resolution TBD:]{.underline}

The SSAQP will research the retention period that can be designated for
briefing content records.

**Other Discussion**

**[Slow Access Authorizations]{.underline}**

The length of time required for an access authorization is a concern to
many sites because it causes discontent with security. The delay keeps
people from reporting for work in a timely manner. Particularly affected
are access authorizations associated with PAP and PSAP.

[Recommendation]{.underline}:

Encourage use of the AAAP and accelerated FBI and OPM investigation
requests.

**[Awards, as Addressed in DOE M 470.1-1]{.underline}**

The SSAQP discussed DOE policy on awards used by the Safeguards and
Security Awareness Program. Some sites purchase promotional items to get
a message out to employees about security awareness. The SSAQP
acknowledged that the use of awards is a well established practice in
DOE, and this has not been an issue.

[Recommendation]{.underline}:

Leave the provision in the Manual and apply "reasonableness" -- nothing
excessive.

***Review of Safeguards and Security Awareness Coordinator Training***

# 

Loren Evenson reported he had attended a training session at the CTA
last July and found this training to be well received by those
participating. Rob Ambrose was the instructor for this course and Kaye
Hall, a SSAQP member, was one of the guest lecturers. A Task Group from
the SE SIG is continuing to review the course materials and recommend
revision. The next S&S Awareness Coordinators Training will be given in
July 2003. Members of the Task Group may be called on to help with this
training. The SSAQP suggested that a survey be given to the S&S
Awareness Coordinators following their training to see what, if any,
areas need strengthening or if additional training might be needed. The
SSAQP agreed to task the SE SIG to develop a survey.

***Recommendations to Safeguards and Security Policy re: Issues and
Training***

A suggestion was made to require refresher Safeguards and Security
Awareness Coordinators Training at some point. However, no
recommendation was voted on. The SSAQP discussed other NNSI
correspondence courses that might be useful to the S&S Awareness
Coordinators. Rob Ambrose will develop a list of complementary courses
available through the CTA. A DoD course, Security Awareness For
Educators (SAFE), was cited; however, the SAFE seminar should be
regarded as a supplement to required CTA training. Because SAFE seminars
are offered several times a year, this course might be useful for new
Coordinators to assist them in carrying out immediate duties.

***Taskings for SE SIG***

**[Task 1: Safeguards and Security Awareness Handbook
Revision]{.underline}**

This handbook, issued in February 2001, is designed as a reference for
Safeguards and Security Awareness Coordinators. With the issuance of DOE
M 470.1-1, a revision of the handbook will be initiated to reflect all
requirements. Appendix E, a listing of directives of interest, needs to
be updated. The handbook is posted at
[www.orau.gov/se](http://www.orau.gov/se).

[Recommendations for the SE SIG]{.underline}:

-   Appoint a Task Group for revision, whose work efforts should include
    adding guidance to each section in the main body.

-   Make Appendix E a stand-alone section of the Web site to be
    continually updated.

**[Task 2: Review Personnel Security Inspectors Guide]{.underline}**

A review of this Guide, issued July 2000 by OA-10, is needed because
Section 4, "S&S Awareness Program," is written as if the program
involved "training" and not "awareness." Also, the Guide cites only two
references: DOE O 470.1 and outdated NSDD-197. The OA has expressed that
user comments "are appreciated and will be considered." The guide is
available at [www.oa.doe.gov](http://www.oa.doe.gov/).

[Recommendation for the SE SIG:]{.underline}

Appoint a Task Group to review Section 4 of the Guide and submit an
appropriate recommendation to OA-10.

**[Task 3: Develop a survey for the S&S Awareness Coordinator
Training]{.underline}**

This survey would be given "post-course" to persons who have returned to
their jobs to see if any areas of the training might be strengthened or
if additional training is needed.

[Recommendation for the SE SIG]{.underline}:

Appoint a Task Group to develop this survey/evaluation.

**Location for 2004 SSAQP**

The group discussed a location for the 2004 SSAQP meeting. Three sites
were nominated: Idaho Falls, ID; New Orleans, LA; and Albuquerque, NM.
Following a discussion of the advantages vs. some disadvantages of each
city, the SSAQP voted in favor of New Orleans, with the Strategic
Petroleum Reserve (SPRO) serving as host. To keep costs down, we would
like to hold the sessions at the SPRO facility; however, if no
conference room is available to accommodate our needs (the workshop
features TRADEing POST exhibits), the SE SIG Coordinator will contact
area hotels. In any event, we may want to hold a classified discussion
at the SPRO facility. We will plan to schedule the meeting for
March/April 2004. The SSAQP will be held in conjunction with the 2004 SE
SIG Workshop for cost-effectiveness.

**Membership Changes**

At a meeting of the SE SIG Steering Committee following the SSAQP, new
members were nominated and elected. SC members make up the core of the
SSAQP. New members elected for a three-year term are:

-   Ann Marie Griego, Sandia National Laboratories/AL

-   Laurel Hautala, NNSA Kansas City Site Operations

-   Dan Valdez, Jr., Los Alamos National Laboratory

The following current members submitted "recommitment nominations" and
were elected for a follow-on three-year term:

-   Kaye Hall, Kirtland Operations (NM)

-   Christina Holbrook, Boeing Company, Seattle (SE SIG only)

-   Sylvia Lovelett, Pantex

-   Kelvin May, Kansas City Plant

-   Virginia Reams, NNSA Oakland

Members retiring, having served three-years or longer, are:

-   Nolan Fryatt, Kansas City Plant

-   Marvin Thompson, Pantex

-   Cathy Tullis, NNSA NV Site Office

**Minutes Approval**

These minutes have been reviewed by me (Loren Evenson) and are approved
for uploading onto the Nonproliferation and National Security Institute
Safeguards and Security Central Training Academy Web site.

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Chair Quality Panel Name Date