**Safeguards and Security Reporting Requirements for and About
Individuals**

Lists DOE or higher requirements for or about all cleared and uncleared
individuals and all access authorization applicants; does not list DOE
requirements applicable only to individuals in certain positions or
programs. These must be supplemented by requirements found in local
directives/plans.

  ------------- -------------------- ----------- ------------------------ ----------------------------
  **WHO**       **WHAT**             **WHEN**    **WHERE**                **WHY**

  All           Lost, stolen, or     24 hours    Cognizant DOE/NNSA or    DOE M 470.4-2, XV.3.e.(1)
  individuals   misused DOE badge                Contractor Security      
                                                 Office                   

                Incidents of         Immediate   Facility Security        DOE M 470.4-1, K.4.a.(1)(h)
                safeguards and                   Officer                  & N.2.a. & b., & Atch. 2,
                security concern,                                         K.4.a.(1)(h) & N.2.a. & b.
                including those                                           
                involving classified                                      
                information/matter                                        
                or SNM                                                    

                Non-criminal         Immediate   Your supervisor or       DOE O 221.1, 4.b. & 5.d.(1),
                violations relating              Office of Inspector      & Atch. 1; DOE N 221.13,
                to DOE programs like             General or General       4.a.; DOE M 470.4-1, N.2.c.
                waste, abuse                     Counsel                  & Atch. 2, 2.c.

                Criminal violations  Immediate   Office of Inspector      DOE M 470.4-1, N.2.c. &
                relating to DOE                  General                  Atch. 2, 2.c.; DOE O 221.1,
                programs like fraud              Hotline:1-800-541-1625   4.b. & 5.d.(1), & Atch. 1;
                                                                          DOE N 221.13, 4.a.

                \*Deliberate         Immediate   Counterintelligence      DOE M 475.1, 5.o.(6)
                compromise or                                             
                foreign involvement                                       
                in suspected                                              
                compromise of                                             
                classified                                                
                information                                               

                \*Unauthorized       Immediate   Counterintelligence      DOE O 475.1, 5.o.(6) & Atch.
                access is sought to                                       2, 3.b.(17)(f)
                classified or                                             
                unclassified                                              
                controlled                                                
                information                                               

                \*Espionage          Immediate   Counterintelligence      DOE O 475.1, 5.o.(6) & Atch
                information; e.g.,                                        2.,
                belief you may be                                         3.b.(17)(e)[1]{.underline}
                target of an                                              to [4]{.underline}; DOE N
                attempted                                                 221.13, 4.b.
                exploitation by a                                         
                foreign entity                                            
  ------------- -------------------- ----------- ------------------------ ----------------------------

  ------------- ------------------ ------------- --------------------- ----------------------------
  **WHO**       **WHAT**           **WHEN**      **WHERE**             **WHY**

  All           \*All substantive  Immediate     Counterintelligence   DOE O 475.1, 5.o.(1) & Atch.
  individuals   contacts or                                            2, 3.b.(17)(d)
  (cont.)       relationships with                                     
                citizens of                                            
                sensitive                                              
                countries                                              

                \*Official travel  45+ days      Foreign Travel        DOE O 475.1, 5.o.(2) and
                to a sensitive     prior to      Management System     (3), & Atch. 2, 3.b.(17)(a)
                country, or to a   departure &                         to (c); DOE O 551.1C,
                non-sensitive      upon return                         4.b.(1) & 5.g.(1), & Atch.
                country if it                                          2, (2)(a)
                involves a                                             
                sensitive subject                                      

                \*Official travel  30+ days      Foreign Travel        DOE O 551.1C, 4.b.(1),
                to a non-sensitive prior to      Management System     5.g.(1), & Atch. 2, (2)(a)
                country            departure                           

  All           \*All foreign      Immediate     Counterintelligence   DOE O 475.1, Atch 2,
  Contractor    travel done with                                       3.b.(17)(e)[5]{.underline}
  employees     foreign monetary                                       
                support                                                

  All DOE       \* All foreign     Immediate     Counterintelligence   DOE O 475.1, 5.o.(4)
  employees     travel done with                                       
                substantive                                            
                foreign monetary                                       
                support                                                

                \*All unofficial   30+ days      Counterintelligence   DOE O 475.1, 5.o.(2) and (3)
                travel to a        prior to                            
                sensitive country  departure,                          
                                   and after                           
                                   return                              

  All           \*Unofficial       Prior to      Counterintelligence   50 U.S.C. 2658(b)(4)
  individuals   travel to a        departure, or                       
  at LANL,      sensitive country  soon as                             
  LLNL, SNL                        practicable                         
  ------------- ------------------ ------------- --------------------- ----------------------------

+-------+-----------------+-----+-------------+-----------------------+
| **    | **WHAT**        | **  | **WHERE**   | **WHY**               |
| WHO** |                 | WHE |             |                       |
|       |                 | N** |             |                       |
+-------+-----------------+-----+-------------+-----------------------+
| A     | Events which    | Ve  | Processing  | DOE M 470.4-5, V.3.a. |
| ccess | may impact your | rba | Personnel   | & Atch. 2, 7.b.(2)    |
| aut   | access          | l - | Security    |                       |
| horiz | authorization:  | 2   | Office      |                       |
| ation |                 | d   |             |                       |
| appli | \- Arrest,      | ays |             |                       |
| cants | charge,         |     |             |                       |
| and   | detention (but  | AND |             |                       |
| ho    | not traffic     |     |             |                       |
| lders | offense fined   | Wri |             |                       |
|       | \$250 or less)  | tte |             |                       |
|       |                 | n - |             |                       |
|       | \- Filing for   | 3   |             |                       |
|       | bankruptcy      | d   |             |                       |
|       |                 | ays |             |                       |
|       | \- Garnishment  | af  |             |                       |
|       | of wages        | ter |             |                       |
|       |                 | ver |             |                       |
|       | \- Legal name   | bal |             |                       |
|       | change          |     |             |                       |
|       |                 |     |             |                       |
|       | \- Change in    |     |             |                       |
|       | citizenship     |     |             |                       |
|       |                 |     |             |                       |
|       | \- Employment   |     |             |                       |
|       | or association  |     |             |                       |
|       | with foreign or |     |             |                       |
|       | foreign-owned   |     |             |                       |
|       | business        |     |             |                       |
|       |                 |     |             |                       |
|       | \-              |     |             |                       |
|       | Hospitalization |     |             |                       |
|       | for mental      |     |             |                       |
|       | illness;        |     |             |                       |
|       | treatment for   |     |             |                       |
|       | drug/alcohol    |     |             |                       |
|       | abuse           |     |             |                       |
|       |                 |     |             |                       |
|       | > \- Marriage   |     |             |                       |
|       | > or            |     |             |                       |
|       | > cohabitation  |     |             |                       |
|       |                 |     |             |                       |
|       | [Not            |     |             |                       |
|       | e]{.underline}: |     |             |                       |
|       | Contractor      |     |             |                       |
|       | supervisors are |     |             |                       |
|       | required to     |     |             |                       |
|       | report when     |     |             |                       |
|       | aware of these  |     |             |                       |
|       | and other       |     |             |                       |
|       | events which    |     |             |                       |
|       | may impact a    |     |             |                       |
|       | subordinate's   |     |             |                       |
|       | access          |     |             |                       |
|       | authorization   |     |             |                       |
+-------+-----------------+-----+-------------+-----------------------+
|       |                 | Wit | Processing  | DOE M 470.4-5, V.3.b. |
|       |                 | hin | Personnel   | & Atch. 2, 7.b.(4)    |
|       |                 | 45  | Security    |                       |
|       |                 | d   | Office      |                       |
|       |                 | ays |             |                       |
|       |                 | af  |             |                       |
|       |                 | ter |             |                       |
|       |                 | un  |             |                       |
|       |                 | ion |             |                       |
|       |                 | be  |             |                       |
|       |                 | gan |             |                       |
+-------+-----------------+-----+-------------+-----------------------+
|       | Approaches or   | Imm | Cognizant   | DOE M 470.4-5, V.3.c. |
|       | contacts by     | edi | DOE/NNSA    | & Atch. 2, 7.b.(3)    |
|       | anyone          | ate | Office or   |                       |
|       | attempting to   |     | Facility    |                       |
|       | obtain          |     | Security    |                       |
|       | unauthorized    |     | Officer, or |                       |
|       | access to       |     | if outside  |                       |
|       | classified      |     | US, US      |                       |
|       | information or  |     | Embassy or  |                       |
|       | SNM             |     | Consulate   |                       |
+-------+-----------------+-----+-------------+-----------------------+

+-------+-----------------+-----+-------------+-----------------------+
| **    | **WHAT**        | **  | **WHERE**   | **WHY**               |
| WHO** |                 | WHE |             |                       |
|       |                 | N** |             |                       |
+-------+-----------------+-----+-------------+-----------------------+
| A     | Violations of   | Imm | Cognizant   | Executive Order       |
| ccess | security        | edi | DOE/NNSA or | 12968, 6.2.(3); DOE M |
| aut   | regulations     | ate | Contractor  |                       |
| horiz |                 |     | Security    | 470.4-4, A.I.6.e. &   |
| ation |                 |     | Office      | Atch. 2               |
| ho    |                 |     |             |                       |
| lders |                 |     |             |                       |
+-------+-----------------+-----+-------------+-----------------------+
|       | \*Any contact   | Imm | DOE/NNSA    | Presidential Decision |
|       | with a known or | edi | Counteri    | Directive 12          |
|       | suspected       | ate | ntelligence |                       |
|       | intelligence    |     |             |                       |
|       | officer from    |     |             |                       |
|       | another country |     |             |                       |
+-------+-----------------+-----+-------------+-----------------------+
| \*    | DOE or          | Ve  | Cognizant   | DOE M 470.4-5,        |
| \*All | contractor      | rba | DOE/NNSA    | III.8.a. & Atch. 2,   |
| s     | access          | l - | Office      | 7.a.(3)               |
| uperv | authorization   | 8   |             |                       |
| isors | holder          | ho  |             |                       |
|       | hospitalized    | urs |             |                       |
|       | for mental      |     |             |                       |
|       | illness or      | Wri |             |                       |
|       | treated for any | tte |             |                       |
|       | condition that  | n - |             |                       |
|       | may cause a     | 10  |             |                       |
|       | significant     | d   |             |                       |
|       | defect in       | ays |             |                       |
|       | judgment or     | la  |             |                       |
|       | reliability     | ter |             |                       |
+-------+-----------------+-----+-------------+-----------------------+
|       | An access       | Ve  | Cognizant   | DOE M 470.4-5,        |
|       | authorization   | rba | DOE/NNSA    | VII.2.b.(1) & Atch.   |
|       | is terminated   | l - | Office      | 2, 7.a.(2)            |
|       | or should be    | 2   |             |                       |
|       | terminated      | d   |             |                       |
|       |                 | ays |             |                       |
|       |                 |     |             |                       |
|       |                 | Wri |             |                       |
|       |                 | tte |             |                       |
|       |                 | n - |             |                       |
|       |                 | 10  |             |                       |
|       |                 | d   |             |                       |
|       |                 | ays |             |                       |
|       |                 | la  |             |                       |
|       |                 | ter |             |                       |
+-------+-----------------+-----+-------------+-----------------------+

+-------+-----------------+-----+-------------+-----------------------+
| **    | **WHAT**        | **  | **WHERE**   | **WHY**               |
| WHO** |                 | WHE |             |                       |
|       |                 | N** |             |                       |
+-------+-----------------+-----+-------------+-----------------------+
| \*\*  | Contractor      | Ve  | Cognizant   | DOE M 470.4-5, Atch.  |
| Contr | access          | rba | DOE/NNSA    | 2, 7.a.(1)            |
| actor | authorization   | l - | Office      |                       |
| s     | applicant       | 2   |             |                       |
| uperv | declines an     | d   |             |                       |
| isors | employment      | ays |             |                       |
|       | offer or fails  |     |             |                       |
|       | to report to    | Wri |             |                       |
|       | duty            | tte |             |                       |
|       |                 | n - |             |                       |
|       |                 | 10  |             |                       |
|       |                 | d   |             |                       |
|       |                 | ays |             |                       |
|       |                 | la  |             |                       |
|       |                 | ter |             |                       |
+-------+-----------------+-----+-------------+-----------------------+
|       | Any event for   | Ve  | Cognizant   | DOE M 470.4-5, Atch.  |
|       | which a         | rba | DOE/NNSA    | 2, 7.a.(2) and (6)    |
|       | contractor's    | l - | Office      |                       |
|       | access          | 2   |             |                       |
|       | authorization   | d   |             |                       |
|       | is terminated,  | ays |             |                       |
|       | or access to    |     |             |                       |
|       | classified      | Wri |             |                       |
|       | matter or SNM   | tte |             |                       |
|       | is restricted   | n - |             |                       |
|       | or withdrawn by | 10  |             |                       |
|       | the contractor  | d   |             |                       |
|       |                 | ays |             |                       |
|       |                 | la  |             |                       |
|       |                 | ter |             |                       |
+-------+-----------------+-----+-------------+-----------------------+
|       | Contractor      | Ve  | Cognizant   | DOE M 470.4-5, Atch.  |
|       | access          | rba | DOE/NNSA    | 2, 7.a.(4) and (5)    |
|       | authorization   | l - | Office      |                       |
|       | applicant or    | 2   |             |                       |
|       | holder is       | d   |             |                       |
|       | subject of      | ays |             |                       |
|       | information of  |     |             |                       |
|       | personnel       | Wri |             |                       |
|       | security        | tte |             |                       |
|       | interest        | n - |             |                       |
|       | (10CFR710.8)    | 10  |             |                       |
|       | or, if a        | d   |             |                       |
|       | foreign         | ays |             |                       |
|       | national,       | la  |             |                       |
|       | changes         | ter |             |                       |
|       | citizenship     |     |             |                       |
|       | status          |     |             |                       |
+-------+-----------------+-----+-------------+-----------------------+

\* These reporting requirements should be included in Safeguards and
Security Awareness Briefings only when there are not separate
Counterintelligence Briefings.

\*\* Supervisors are responsible for many other Safeguards and Security
reporting requirements. Only those supervisory Safeguards and Security
reporting requirements that directly relate to individuals who are
subordinate DOE and contractor employees are listed here.

(Revised 8/22/08)