S&S-PLN-120, NON-POSSESSING CONTRACTOR

SECURITY REQUIREMENTS PLAN

This plan summarizes the security responsibilities for (insert company name and address):

SNL Use OnlyFacility Code:The provisions of the contract(s) with Sandia Corporation dba Sandia National Laboratories (SNL) do not authorize this company to receive, store, transmit, or originate classified information within the contractor’s facility (ies) or place of business. However, performance of work under SNL contract(s) will require personnel to hold DOE personnel security clearances for access to classified information and/or special nuclear material (SNM) at SNL and/or other approved DOE facilities. I understand that the above named company is responsible for ensuring that all personnel involved in SNL contracts, including company managers, employees, and direct consultants, as well as any lower-tier subcontractors whose employees require DOE personnel security clearances, comply with all applicable DOE security requirements.

Certification:As the designated Facility Security Officer, I accept responsibility for ensuring compliance with applicable DOE security policy, including the specific requirements included in this plan.

Facility Security Officer Name

Telephone Number

Signature

Date

Certification:The undersigned Key Management Personnel representative certifies that the Facility Security Officer has been given the authority, resources, and other management support needed to ensure company compliance with all applicable DOE security requirements. When a new Facility Security Officer is appointed, the company also agrees to immediately notify SNL and to execute a new Non-Possessing Security Requirements Plan.

Key Management Personnel Representative

Telephone Number

Signature

Date

S&S-PLN-120, NON-POSSESSING CONTRACTOR FACILITY

SECURITY REQUIREMENTS PLAN

Responsible Program Representative: Jessica Pacheco (4249-2)Issue Date: 08 April 2013Revision Date: New Document

CONTENTS

1.0 Introduction........................................................................................................................11.1 Purpose...........................................................................................................................11.2 Ownership and Oversight................................................................................................21.3 Records...........................................................................................................................2

2.0 Program Management and Support...................................................................................22.1 Protection Program Management...................................................................................22.2 Management Control.......................................................................................................22.3 Program-wide Support....................................................................................................4

3.0 Physical Security..............................................................................................................103.1 Security Areas...............................................................................................................103.2 Controlled Articles.........................................................................................................103.3 Prohibited Articles.........................................................................................................11

4.0 Information Protection......................................................................................................114.1 Operation Security........................................................................................................114.2 Classification Guidance.................................................................................................124.3 Classified Matter Protection and Control.......................................................................12

5.0 Personnel Security Program*...........................................................................................125.1 General Requirements for Security Clearances............................................................12

6.0 Unclassified Visits and Assignments by Foreign Nationals.............................................216.1 Foreign National Visits and Assignments......................................................................21

7.0 Security Planning and Education.....................................................................................227.1 Security Awareness.......................................................................................................22

8.0 References.......................................................................................................................238.1 External Source (Requirements) Documents................................................................238.2 Related Documents.......................................................................................................23

9.0 Certifications....................................................................................................................24Attachment A — Acronyms, Initialisms, and Abbreviations.......................................................A-1Attachment B — Related Tools, Websites, Etc..........................................................................B-1Change History........................................................................................................................CH-1

S&S-PLN-120

S&S-PLN-120

1.0 INTRODUCTION

1.1 PURPOSE

Sandia Corporation (Sandia), a Lockheed Martin Company, operates Sandia National Laboratories (SNL) for the U.S. Department of Energy/National Nuclear Security Administration/Sandia Field Office (DOE/NNSA/SFO) under U.S. Government Contract DE-AC04-94AL85000. Sandia is the sole maintenance and operating (M&O) contractor for SNL. This plan reflects the security requirements that are being flowed down to all tier non-possessing contractor companies (hereinafter referred to as “company” or “facility”) performing work under contract to SNL.

The purpose of this plan is to define requirements and procedures the contractor must follow or abide by for all U.S. Government support service contracts to obtain access authorizations (hereinafter referred to as “personnel security clearances”). Under the subject contract, the terms require that performance of work under subject contract will require employees to hold personnel security clearance for access to classified information and/or special nuclear material (SNM) at approved DOE facilities and must comply with the requirements of the DOE facility (e.g., SNL) at which they are performing the work.

It is each employee’s responsibility to be aware of and comply with all requirements of the DOE facility; however, the company is responsible for ensuring that all employees involved in the subject contract, including company managers, employees, direct consultants, and any lower-tier subcontractors whose employees require personnel security clearances, comply with all applicable security requirements of the SNL facility, to include requirements within this plan.

The facility is not approved to possess, discuss, or computer process classified information at its physical location. In accordance with the DOE Acquisition Regulation (DEAR) Clause, Section 952.204-73(e), a contractor that will not possess or handle classified matter or nuclear material at the contractor’s place of business, but will require personnel security clearances for the contractor’s employees to perform work at other cleared facilities, must be processed for a Facility Clearance (FCL) and be designated as a “non-possessing” facility. Per DOE requirement, this security requirement plan must be executed to cover the non-possessing contractor’s security responsibilities.

In addition to the requirements in this plan, any contractor who has entered into a contract or agreement with SNL, or subcontractor or sub-agreement involving security of or safeguarding of Restricted Data or other classified information, must also comply with DOE regulations in 10 CFR Part 824, Procedural Rules for the Assessment of Civil Penalties for Classified Information Security Violations, and any provisions that may be included in the special terms and conditions of an award. See the Code of Federal Regulations (CFR) site for more information.

No classified work or access to security areas where classified work may be performed shall begin until the facility clearance has been granted, in the form of an approved Contract Security Classification Specification (CSCS) and Notice of a Favorable Foreign Ownership, Control, or Influence (FOCI) determination and Security Requirements Plan (SRP). Until such time as these approvals are granted, all work and access under this contract must be unclassified.

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1.2 OWNERSHIP AND OVERSIGHT

This plan applies to all non-possessing contractor companies and any lower-tier subcontractor companies performing work under contract to SNL. The Contract Security Management Team (4249-2) owns this plan, and with assistance from the Security and Emergency Management (S&EM) Center (4200) subject matter experts (SMEs), maintains, reviews, and updates the plan as necessary. Upon signing this plan, it will be inferred that the contractor company Facility Security Officer (FSO), as the representative of the company, agrees with all requirements and procedures within this plan.

1.3 RECORDS

All records are maintained according to the Sandia Records Retention and Disposition Schedule.

2.0 PROGRAM MANAGEMENT AND SUPPORT

2.1 PROTECTION PROGRAM MANAGEMENT

2.1.1 Program Management and Administration

The overall day-to-day responsibility for S&EM at Sandia National Laboratories, New Mexico (SNL/NM) rests with the S&EM Center, under Infrastructure Operations (4000). The Center Director, as the SNL/NM FSO and overall SNL Cognizant Security Authority (CSA), has programmatic responsibility for the entire SNL S&EM Program.

The overall day-to-day security responsibility for the contractor facility rests with the designated contractor FSO. The contractor shall appoint an FSO in writing. The FSO must be a U.S. citizen and an employee of the company, and must obtain and maintain a personnel security clearance commensurate with the FCL.

The FSO will supervise and direct security measures necessary for implementing and administering the requirements of the S&EM Program within his or her facility. The FSO is instrumental in making sure that personnel are aware of good security procedures and practices, regardless of whether they have access to classified information or other DOE security interests.

The FSO ensures that the company’s employees know their responsibilities regarding the SNL prime contractor’s security procedures and ensures that they conform to the requirements outlined in this plan or to the standards set forth in the attached reference.

The FSO and others performing security duties must complete appropriate security training in accordance with applicable DOE requirements.

2.2 MANAGEMENT CONTROL

2.2.1 Self-assessment Program

The S&EM Center maintains a self-assessment program for SNL facilities, to maintain compliance with applicable S&EM requirements and to evaluate performance of security systems and procedures. The self-assessment program involves a plan of continuous assessment, performing in-depth reviews of topical and/or sub-topical areas.

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Self-assessments must be conducted annually by the contractor company to continuously monitor and evaluate organizational activities for continued compliance with security requirements carried out by the contractor company. The contractor company may be required to provide evidence of these activities as determined by SNL.

To ensure that the contractor is in compliance with security reporting requirements, SNL will conduct a Security Review to ensure company compliance with the SRP and other related requirements. An annual schedule will be developed based on risk. The review may include, but is not limited to, the company’s FOCI status, FSO training compliance, Key Management Personnel (KMP) security clearances, personnel security clearances, and associated security activities. The review is conducted to ensure that no changes have occurred to information previously submitted and may serve as the basis for the contractor self-assessment activity.

2.2.3 Issue Resolution

Contractors that are out of compliance with any conditions or requirements are given a short time frame to comply. Failure to comply within the required timeframe may result in termination of the company’s FCL, which may impact the company’s ability to meet the contract statement of work. All action taken to resolve matters will be coordinated with the Sandia Delegated Representative (SDR) and Sandia Contracting Representative (SCR).

The table below describes the issue and escalation process if the contractor is out of compliance with any conditions or requirements. This includes the company being non-responsive to requests for information. The purpose of this process is to ensure company compliance with requirements and to ensure that issues are tracked to resolution so that problems do not adversely impact the mission. Full compliance is expected within the maximum time specified and starts at the initial notice. The time specified in the request may vary based on the complexity of the request and the risk and severity associated with the compliance issue as determined by SNL. If the expected time for resolution is exceeded and a response is not received by the requested date, an escalation process will be initiated for each request. The escalation process below describes how SNL will raise each issue of concern to a higher level of management for resolution, particularly when resolution cannot be reached at the contractor level.

Notification Notification/ Distribution To:

Consequences

Initial Contact

FSO, Contractor Senior Management Official (CSMO)

Correspondence outlining requirements and importance of compliance; advised that if action is not taken within the maximum time allowed, the 2nd notice (as described below) will result in notification to SDR for action and will be reported in the Sandia Contractor Review and Evaluation (SCORE) system.

2nd FSO, CSMO, SDR, SCR

Correspondence outlining requirements and importance of compliance; request to SDR to address matter with FSO; reporting to SCORE system; advised that if action is not taken within the maximum time allowed, the 3rd notice (as described below) will result in additional reporting in the SCORE system and possible FCL suspension or termination.

3rd FSO, CSMO, SDR, SCR, SDR Manager

Correspondence outlining requirements and importance of compliance; request to SDR’s manager to address matter with FSO; reporting in SCORE system; advised that if action is not taken within the maximum time allowed, the 4th notice (as described below) will result in possible

S&S-PLN-120 3

FCL suspension or termination.4th FSO, CSMO,

SDR, SCR, SDR Manager

Notification, at the discretion of the SCR and/or S&EM, to suspend or terminate the FCL.

2.2.4 Reporting Security Incidents

Incidents of Security Concern (IOSC), sometimes referred to as security incidents, are events that are of concern to the DOE Safeguards and Security (S&S) Program, that warrant preliminary inquiry and subsequent reporting.

A security incident is defined as an action, inaction, or event that has occurred at a DOE site (e.g., SNL), that does one or more of the following:

Poses a threat to national security interests and/or critical DOE assets. Creates a potentially serious or dangerous security situation. Potentially endangers the health and safety of the workforce or public (excluding safety-

related items). Degrades the effectiveness of the S&S program. Adversely impacts the ability of organizations to protect DOE S&S interests.

Contractor employees and any lower-tier subcontractor employees will comply with the following requirement:

Immediately upon discovery of a potential IOSC that is in non-compliance with the SRP, a DOE directive, or SNL corporate policy, whether during regular business hours or during off hours, report such concern to the Security Incident Management Program (SIMP) by calling the Incident Reporting Pager at (505) 283-7467 at SNL/NM or (888) 932-9710 at SNL/CA. If an incident occurs at any of the Sandia Remote Sites (Kauai Test Facility, Tonopah Test Range, National Nuclear Security Site, Weapons Evaluation Test Lab, Minnesota, or Washington, D.C., Office), contact the SIMP office at SNL/NM and the Remote Site FSO to report. Do not discuss details of the incident via telephone, alphanumeric pager, email, or voice-mail. An inquiry official will contact you to perform an inquiry (if necessary) and to provide further instructions.

Contractors and any lower-tier subcontractors will strive to avoid or prevent security events, incidents, and adverse impacts to national security.

2.3 PROGRAM-WIDE SUPPORT

2.3.1 Facility Approval and Registration of Activities

The Contract Security Management (CSM) Program facilitates approval of a facility’s eligibility to access, receive, generate, reproduce, store, transmit, or destroy classified matter, SNM, and/or DOE property worth more than $5 million.

The CSM Program ensures that Sandia and all tiered contractors and tiered parent organizations have been granted and maintain the appropriate FCL, to include a favorable FOCI determination, prior to the commencement of work that requires personnel security clearances.

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The Facility Data and Approval Record (FDAR) is used to register and document the status and pertinent information for the facility’s clearance, and the CSCS form is used to register each security activity (i.e., contract requiring personnel security clearances).

Contracts include purchase orders, service agreements, and other types of agreements or procurement actions between contractors that require personnel security clearances to fulfill the performance requirements of the contract.

The FCL shall not be used for advertising or promotional purposes, and any personnel clearances and badges associated with the FCL shall be used for operational efficiency consistent with contractual obligations. Requests for personnel clearances shall not be made to establish “pools” of cleared employees.

2.3.2 Reciprocity

An FCL may be considered valid and acceptable for use on a fully reciprocal basis by all federal departments and agencies, provided it meets or exceeds the level of clearance needed. Contractor facilities under Defense Security Services (DSS) cognizance are also required to execute this plan, recognizing requirements specific to the security activities with SNL.

2.3.3 Key Management Personnel

In order for a contractor company to be granted an FCL, specified KMP must be granted personnel security clearances. The KMP requiring clearances are determined on a case-by-case basis by the NNSA. KMPs must obtain and retain their personnel security clearance at the level of the FCL. KMPs determined to not require a personnel security clearance must be formally excluded from classified access.

Note: If a facility is under DSS cognizance, the DSS Industrial Security Representative will determine those KMPs that must be cleared. Those KMPs will obtain DoD clearances and are not required to obtain DOE clearances unless there is a DOE contractual need.

2.3.4 Exclusion Procedures

When formal exclusion action is required, the organization’s board of directors or similar executive body shall affirm that such officers, directors, partners, regents, or trustees (designated by name) shall not require, shall not have, and can be effectively excluded from access to all classified information disclosed to the organization. They also do not occupy positions that would enable them to adversely affect the organization’s policies or practices in the performance of classified contracts. This action shall be made a matter of record by the organization’s executive body.

Note: If a facility is under DSS cognizance, a DSS Industrial Security Representative will determine those positions that may be excluded.

2.3.5 Personnel Security Clearances

All contractor and subcontractor employees performing work under contract to SNL must be granted a DOE personnel security clearance. Contractor employees’ personnel security clearances must be requested and granted under their employer’s FCL. Tier subcontractors must possess a separate FCL under which employees’ personnel security clearances are requested and granted.

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2.3.6 Facility Data Approval Record

DOE F 470.2, Facility Data and Approval Record (FDAR), is used to record approvals, changes, and termination of each contractor’s FCL. SNL will provide the FDAR to the FSO when the facility is approved and throughout the lifecycle of the FCL to include any changes. It is the FSO’s responsibility to ensure that any changes or inaccuracies on the FDAR are reported to SNL for update/correction.

2.3.7 Contract Security Classification Specification

DOE F 470.1, Contract Security Classification Specification (CSCS), is used to register security-activities (i.e., contracts) while also disclosing security and classification guidance for the information to be disclosed. The CSCS form is, by reference (see Clause 610-FO, “Security”), part of the contract, and is binding. The contractor is required to adhere to the security specifications outlined in the CSCS. Contractors shall not commence work requiring personnel security clearances until an approved CSCS form has been received from SNL.

2.3.8 Suspensions

An FCL will be suspended if any of the situations below occur:

The contractor is out of compliance with any conditions or requirements of maintaining an FCL.

The contractor is determined to be under FOCI, and it has not been mitigated. Contract performance on activities involving proscribed information must not continue until all applicable FOCI requirements are met.

Any action occurs that negates the contractor’s favorable FOCI determination. The contractor is out of compliance with FOCI mitigation plans. The contractor fails to comply with personnel security requests. The contractor fails to flow down security requirements to subcontractors.

While the FCL is suspended, no new contracts may be awarded and no new personnel security clearances may be granted. When the conditions that resulted in the suspension have been resolved in a manner acceptable by SNL, the FCL may be reinstated. The reinstatement must be based on the necessity to complete or continue work associated with the original FCL. If the conditions cannot be resolved, the FCL must be terminated.

2.3.9 Contract Expiration

When each security activity (i.e., contract) expires, the associated CSCS form must be terminated. If the contract is extended, the CSCS will be extended and any associated personnel security clearances may also be extended. If the contract is terminated, the associated CSCS form and personnel security clearances must also be terminated. Personnel security clearances for contractor employees performing work on another contract must be transferred. The SDR, in coordination with the SCR, is responsible for initiating this action.

2.3.10 Terminations

When all security activities have been terminated, the FCL for the contractor company must be terminated or transferred to another DOE/NNSA office if the contractor has other security

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activities outside of SNL. All personnel security clearances associated with SNL must be terminated upon termination or transfer of the FCL.

2.3.11 Subcontracting

In accordance with the DEAR Clause, Section 952.204-2(1), FCLs are required for all tier subcontractors requiring personnel security clearances. A contractor is responsible for ensuring that the SDR is aware of the need for further subcontracting and that an FCL has been granted for the subcontractor prior to requesting personnel security clearances. The contractor must be granted an FCL at the same or higher level than its tier subcontractors.

SNL, in coordination with the contractor, must provide all tier subcontractors with the CSCS containing the security guidance needed in the preparation of the statement of work or performance of the contract. The CSCS and SRP shall be included in the contract awarded to the successful bidder. A revised CSCS shall be issued as necessary during the lifetime of the subcontract, when the security requirements change. It is the contractor’s responsibility, at any tier, to understand and apply all aspects of the security guidance.

2.3.12 Foreign Ownership, Control, or Influence

FOCI is a DOE program established to obtain information that indicates whether a company that SNL will enter into a contract with is owned, controlled, or influenced by a foreign person or entity and whether, as a result, the potential for an undue risk to the common defense and national security may exist.

A company is deemed to be operating under FOCI when a foreign interest has the power, direct or indirect, whether exercisable or not, and whether exercised or not, to direct or decide matters affecting the management or operations of the company in a manner that may result in unauthorized access to classified information or in a manner that may adversely affect the performance of classified contracts.

A FOCI determination is required for any company when employees of the business structure require personnel security clearances to perform the contract, specifically related to accessing classified matter or for unescorted access to security areas.

As part of the FCL process, SNL ensures that all contractors and subcontractors are rendered a favorable FOCI determination prior to the commencement of work requiring personnel security clearances. The FOCI information should be provided to NNSA through the Designated Responsible Office (DRO), SNL, unless otherwise directed. Failure to provide timely information may result in suspension or termination of the company’s facility clearance.

A separate FOCI package must be submitted for the applicant and each tier parent located in the United States, Puerto Rico, or a U.S. possession or territory. The parent must have an FCL at the same, or higher, level as the subsidiary. However, NNSA will determine the necessity for the parent to be cleared or excluded from access to classified information.

SNL will not sponsor contractors under foreign ownership, control, or influence to the extent mitigation is required. Exceptions may be made if the contractor company has a unique capability (e.g., equipment, facilities, patents, skills). Exceptions are determined by SNL, in coordination with NNSA. Mitigation under DSS is not always transferable.

The FOCI lifecycle is commensurate with the FCL lifecycle.

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Contractors will submit FOCI packages online through the FOCI website.

Note: If a facility is under DSS cognizance, the DSS Industrial Security Representative will facilitate the FOCI process. Companies who hold an active U.S. Department of Defense (DoD) facility clearance are not required to complete a separate FOCI package for DOE.

2.3.13 FOCI Exceptions

A FOCI determination is not required for individuals who are not affiliated/associated (through employment, ownership, or other representation) with any company, university, or other form of business. An individual must be processed for an FCL if the individual is doing business as a company formally registered with an Employer Identification Number, and/or will have one or more employees requiring personnel security clearances. No other individuals require an FCL.

2.3.14 Reporting Requirements

All changes must be reported through e-FOCI or e-FCL, depending on whether the contractor is under DOE or DoD cognizance, respectively.

Contractors holding an FCL based on a favorable FOCI determination must submit written notifications of changed conditions and anticipated changes affecting the FCL. It is the contractor’s responsibility to ensure that they (and parent organizations, if applicable) immediately provide written notification and supporting documentation relevant to the changes to SNL (or the respective DRO) through e-FOCI.

Note: If a facility is under DSS cognizance, all changes must be reported through e-FCL; however, as a courtesy, SNL requests that all changes also be reported to SNL, to ensure conformity.

2.3.15 Significant Changes

When changes to the extent and nature of FOCI affect the information in a contractor’s most recent FOCI submission(s), the contractor must immediately provide written notification and supporting documentation relevant to the changes to SNL (or the respective DRO) through e-FOCI.

Significant changes that may warrant processing of the contractor/parent for a new FOCI determination include, but are not limited to, the following:

A new threshold or factor exists that did not exist when the previous determination was made (e.g., a “no” answer changes to “yes”), including any additional factors associated with the questions on the SF-328, Certificate Pertaining to Foreign Interest.

A previously reported threshold or factor that was favorably adjudicated has increased. A previously reported financial threshold or factor that was favorably adjudicated has

increased by 5 percent or more; or a shift has occurred of 5 percent or more by country location or end user (e.g., for revenue and/or net income) or lenders (e.g., indebtedness).

A previously reported foreign ownership threshold or factor that was favorably adjudicated has increased to the extent that a FOCI mitigation method or a different FOCI mitigation method is required.

Any changes are made to ownership or control. Notice of changes includes ownership or control events that are required to be reported to the Securities and Exchange

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Commission (SEC), the Federal Trade Commission, or the U.S. Department of Justice (DOJ).

Note: If a facility is under DSS cognizance, all changes must be reported through e-FCL; however, as a courtesy, SNL requests that all significant changes also be reported to SNL, to ensure conformity.

2.3.16 Anticipated Changes

Anticipated changes are events that arise when the contractor or any of its tier parents enters into negotiations toward agreement, and in any event when the parties enter into a written memorandum of understanding (MOU), or, in the case of financing agreements, when written application for financing is made. The contractor must immediately provide written notification of anticipated actions. Failure to do so may result in suspension or termination of the FCL. Anticipated actions include, but are not limited to, the following:

An action to terminate business or operations of the contractor or any of its parents for any reason (e.g., entering into any transaction of merger, consolidation, or amalgamation with another company; conveying, selling, leasing, transferring, or otherwise disposing of all or a substantial part of its business or assets; making any material change that could have an adverse effect on the contractor organization’s ability to perform its contractual obligations for SNL or other contractors of SNL).

Legal actions are taken to initiate bankruptcy proceedings involving the contractor organization or any of its tier parents.

Imminent adjudication or reorganization occurs, resulting from bankruptcy actions involving the contractor organization or any of its tier parents.

The contractor or its tier parents enter into negotiations with non-U.S. citizens that may reasonably be expected to require amendment of the SF-328, Certificate Pertaining to Foreign Interest, including but not limited to negotiations for the sale of securities to a non-U.S. citizen(s).

The operating name or address of the company or any of its cleared locations changes. Any information previously submitted for KMPs changes, including, as appropriate, the

names of the individuals they are replacing.

Note: If a facility is under DSS cognizance, all changes must be reported through e-FCL; however, as a courtesy, SNL requests that all anticipated changes also be reported to SNL, to ensure conformity.

2.3.17 Security Management in Contracting

SNL is responsible for incorporating appropriate security requirements clauses in the Request for Proposal (RFP), Request for Quote (RFQ), or other solicitation, and for providing the contractor with the security guidance needed during the performance of the contract. This guidance is provided to the contractor by the CSCS, as well as through this plan. Contractors who further subcontract are responsible for flowing down the security clauses and requirements in a contractually binding manner. In addition, the tier subcontractor must be issued a CSCS form specifically reflecting the subcontract. These CSCS forms are facilitated through SNL upon notification from the SDR.

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3.0 PHYSICAL SECURITY

3.1 SECURITY AREAS

At SNL and throughout the DOE complex, the term security area refers to a physically defined space (identified by posted signs and some form of access control) containing SNM, classified matter, and/or U.S. Government property. There are two main types of security areas at SNL:

Property Protection Area (PPA) – An area established for the protection of DOE property. It may be established to protect against damage, destruction, or theft of government-owned property.

Limited Area (LA) – A specific physically bounded area, individually certified by the cognizant security officer, that has been approved by DOE for generating, receiving, using, processing, storing, reproducing, transmitting, destroying, or handling SNM or classified matter.

Contractors will comply with all requirements for designated security areas. In addition, contractors will ensure that all contractor employees:

Have the appropriate clearance (i.e., personnel security clearance) for the security area or be properly escorted within the security area.

Adhere to the posted requirements for entering any security area (e.g., clearance status, badge access status, training, inspections).

Use a badge valid for entering a security area and display the valid badge at all times, photo side out, above the waist, and in front of the body while in that area.

Do not introduce prohibited articles into Sandia-controlled premises (see Section 3.3 below). Do not introduce controlled articles into limited areas without prior authorization (see Section 3.2 below).

Cooperate with Protective Force personnel during badge checks. Cooperate with Protective Force personnel during searches of vehicles, persons, and/or

hand-carried items being brought into or out of a security area. Adhere to all requirements for escorting individuals who are not authorized to be in a

security area unescorted. Do not park or position equipment, portable toilets, or any other obstruction within 10

feet of security fencing.

3.2 CONTROLLED ARTICLES

Contractors will ensure that personally-owned controlled articles are not brought onto Sandia-controlled premises.

Controlled articles are those articles that can be used to store and/or transmit data and include, but are not limited to:

GPS devices Cell phones Digital picture frames MP3 players

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Cameras Tape recorders Thumb drives

Contractors must comply with the physical security requirements of the facility at which they are performing classified work.

3.3 PROHIBITED ARTICLES

Prohibited articles are not allowed in any security area without permission and may be confiscated by SNL Protective Force or law enforcement personnel. Examples include, but are not limited to:

Explosives Guns Instruments or material likely to produce substantial injury to persons or damage to

property Controlled substances (e.g., illegal drugs and associated paraphernalia) Alcohol Hazardous radiological, chemical, or biological materials Any other items prohibited by law

4.0 INFORMATION PROTECTION

4.1 OPERATION SECURITY

Operations Security (OPSEC) is a systematic and proven process by which contractors can deny potential or real U.S. or DOE adversaries information about operational capabilities and intentions by identifying, controlling, and protecting generally unclassified sensitive information on SNL programs or activities, but can also include classified information.

Contractors agree to participate in the U.S. DOE OPSEC program defined in NAP 70.4, Chg. 1, Information Security, Section B. In addition to requirements that may be contained elsewhere in the purchase orders (POs) or contract, OPSEC directs the contractor to conduct the following for information deemed potentially desirable for collection:

A. Protect sensitive and propriety information on SNL POs, contracts, and all performance thereunder, to preclude the dissemination of such information.

B. Ensure that all contractor employees given access to SNL POs, contracts, and information concerning the performance of work thereunder are made aware of the need to protect such documents and information.

C. Notify the SNL OPSEC representative for any questions or concerns regarding OPSEC.

Contractors must comply with OPSEC requirements for the facilities at which they perform work.

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4.2 CLASSIFICATION GUIDANCE

In addition to requirements that may be contained elsewhere in a PO or contract, the contractor is responsible for:

Ensuring that any company personnel authorized as Derivative Classifiers (DCs) for work at any cleared facilities receive the required DC training and formal appointment.

Ensuring that any company personnel generating classified matter are aware of the procedures for obtaining DC classification reviews.

Ensuring that employees authorized to access classified information who are working in a classified subject matter receive briefings that explain what information is potentially classified in their relevant areas. Such briefings may be conducted by a supervisor, a DC in the organization, or a Classification Officer.

Contractors must comply with classification requirements for the facilities at which they perform classified work

4.3 CLASSIFIED MATTER PROTECTION AND CONTROL

The purpose of the Classified Matter Protection and Control (CMPC) Program is to protect classified matter that is generated, received, transmitted, used, stored, reproduced, permanently buried, or to be destroyed.

Before accessing classified matter, contractor employees must complete required CMPC training and any supplemental training identified by the program or information owner and/or SNL manager, and must comply with the CMPC requirements for the facility at which they perform classified work.

5.0 PERSONNEL SECURITY PROGRAM**Visit the Contractor Toolcart for additional assistance and information.

5.1 GENERAL REQUIREMENTS FOR SECURITY CLEARANCES

A security clearance request may be issued only after an SNL manager determines that a clearance is necessary for the individual to perform tasks or services stipulated in the contract.

A security clearance must not be requested to:

Avoid the use of access controls or physical barriers to distinguish perimeters among security areas or between security and open areas, or to alleviate responsibilities for escorting persons without security clearances within a controlled area. In certain instances, contractor employees who do not otherwise require access to classified information or SNM may be organizationally and/or physically situated such that they may inadvertently be exposed to classified information or SNM in the course of their duties. Federal site managers may require such contract employees to have security clearances if, in their judgment, operational necessities or cost considerations require it and inadvertent access to classified information or SNM by these individuals cannot otherwise be reasonably prevented.

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Alleviate individual or management responsibilities for properly protecting classified information or SNM or controlling dissemination of classified information or SNM on a need-to-know basis.

Determine an individual’s fitness for employment. Establish a pool of employees with pre-existing security clearances. Accommodate an individual’s personal convenience, expedience, gain, or advantage. Anticipate unspecified classified work.

A security clearance must be requested only when required, so as to avoid the unnecessary expenditure of resources and the unwarranted invasion of an individual’s privacy.

Access to classified information or SNM must not be permitted until notification has been received from SNL that a security clearance has been granted.

Security clearances must be requested only for individuals who are U.S. citizens and are at least 18 years of age.

While only DOE/NNSA can render a formal security clearance determination, SNL and/or the FSO are authorized to take actions that affect an individual’s access, such as restricting access to classified information or SNM when a security clearance is terminated, suspended, or administratively withdrawn. However, this requirement does not preclude a contractor from having an employee execute a DOE F 5631.29, Security Termination Statement, prior to the individual’s departure.

DOE/NNSA retains authority in all matters related to DOE personnel security activities. Personnel security activities are not subject to collective bargaining between contractor management and labor.

An individual’s security clearance status must not be used as a determining factor for hiring, entering into a consultant agreement, or awarding a subcontract.

Personnel security requirements and procedures must not be used by anyone to coerce, restrain, threaten, intimidate, or retaliate against individuals for exercising their rights under the Constitution or under any statute, regulation, or DOE directive.

Security clearances must only be requested and maintained at the minimum number necessary to ensure operational efficiency.

5.1.1 Security Clearance Types and Access

Security clearances denote an individual’s eligibility for access to a particular level and category of classified information or material. The levels are designated as Top Secret (TS), Secret (S), and Confidential (C). Categories are designated as Restricted Data (RD), Formerly Restricted Data (FRD), and National Security Information (NSI).

DOE Q and L security clearances are used at SNL. Contractors who perform work on SNL contracts are required to be processed for a Q or L clearance. Exceptions are handled on a case-by-case basis.

The chart below shows the levels and categories of classified matter that can be accessed based on clearance level.

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5.1.2 Processing Requirements

Individuals selected for positions requiring a security clearance must provide evidence of U.S. citizenship. The FSO must verify such evidence to SNL when requesting that the individual be processed for a security clearance. Acceptable evidence of U.S. citizenship includes the following:

For an individual born in the United States, a current U.S. passport or a birth certificate are the primary and preferred means of citizenship verification. Acceptable birth certificates must show that the record was filed shortly after birth and must be certified with the registrar’s signature. The birth certificate must bear the raised, impressed, or multi-colored seal of the registrar’s office. The only exception is if a state or other jurisdiction does not issue such seals as a matter of policy. Uncertified copies of birth certificates are not acceptable. A delayed birth certificate (one created when a record was filed more than one year after the date of birth) is acceptable if it shows that the report of birth was supported by acceptable secondary evidence of birth. Secondary evidence may include baptismal certificates, hospital birth records, or affidavits of persons having personal knowledge about the facts of the birth. Other documentary evidence can be early

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census, school, or family records; newspaper files; or insurance papers. All documents submitted as evidence must be original or certified.

For an individual claiming citizenship by naturalization, a Certificate of Naturalization (Form N-550 or N-570) showing the individual’s name is required.

For an individual claiming citizenship acquired by birth abroad to a U.S. citizen, one of the following (showing the individual’s name) is required:

o Certificate of Citizenship (Form N-560 or N-561).o Report of Birth Abroad of a Citizen of the U.S. of America (State Department

Form FS 240).o Certificate of Birth (Form FS 545 or DS 1350).o Current U.S. passport.o Record of Military Processing-Armed Forces of the U.S. (DD Form 1966),

provided it reflects that the individual is a U.S. citizen.Note: A driver’s license is not an acceptable form of I.D. to verify citizenship.

Security clearance requests must include completion of the following documents to be submitted to SNL for processing:

SF 2730-CIV , Contractor Pre-Processing Background Review Certification, certifying completion of required background review requirements.

SF 7643-CEC , Contractor/Consultant Badge/Clearance Request Form. AL F 470.1 , NNSA Personnel Security Clearance Action Request, requesting the security

clearance and providing justification for processing.

All security clearance justifications (for both initial and reinvestigation actions) must include:

Full name of the individual. Individual’s Social Security Number, and date and place of birth. Individual’s status as a contractor employee. Contractor/company name. Contract or subcontract number. Primary program code (e.g., EM, FE, IG, OE, SC). Facility code. Level of security clearance required (i.e., Q or L). Detailed description (without revealing classified information) of why the individual

requires access. The description must include a full explanation of the information to be accessed, how often the access is needed, and for what programs/projects the information is needed. The justification must describe in detail (without revealing classified information) the duties of the position and the levels and categories of classified information or SNM to be accessed. General statements such as “A security clearance is required to perform contractual duties” are unacceptable, as are statements that corporate policy requires all applicants or employees to be processed for security clearances. The following represents an acceptable justification:

“Mr./Ms._________ is a computer systems engineer with ABC, Inc., involved in systems analysis in support of XE-50. The duties of the position will require access to

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plans and operations concerning the Tritium Recovery Facility for the MHGTR, which are classified as Secret Restricted Data.”

Full name, title, and telephone number of the SNL Manager. Signature of the SNL Manager. Verification of the individual’s evidence of U.S. citizenship, as detailed above.

In addition to the above, all initial security clearance requests must include:

Negative results of a drug test taken within 60 calendar days of the individual’s SF 86 signature.

Completed e-QIP submission, which indicates no illegal use of controlled substances for at least 12 months preceding the date of the individual’s signature.

Fingerprints taken electronically via an approved capture method (e.g., at a GSA-provided HSPD-12 enrollment center).

DOE F 5631.18 , Security Acknowledgement. Completed Fair Credit Reporting Disclosure Authorization, compliant with the Fair

Credit Reporting Act.

The FSO must ensure and advise contractor employees and applicants for employment that they must properly complete any such security forms, and all related material may, as required, be reviewed for adequacy and completeness, and that such information will not be used for any other purpose within the company. The FSO should recommend to individuals that they maintain copies of their completed security forms for their personal records.

Deficient security clearance requests will be returned. The FSO must ensure that the request is corrected and resubmitted in a timely manner.

The FSO must assist in the timely processing of security clearance actions by:

Ensuring the availability of the applicants and employees for the performance of personal interviews by the investigative agency or DOE personnel security staff.

Ensuring that other employees are made available, as needed, to provide background information during the performance of all personnel security background investigations.

Ensuring compliance with procedures established by DOE/NNSA in providing its employee(s) with any forms directed by DOE/NNSA.

Ensuring that employee(s) cooperate with the officials responsible for granting access to DOE/NNSA owned or leased facilities, to include providing those officials with additional information in a timely fashion, upon request.

5.1.3 Drug Testing Designated Positions

All SNL contractors who are applying for or maintain a DOE Q or L clearance are considered to be in Testing Designated Positions and are subject to random and “for cause” drug testing. Contractors must report for testing as directed and fully cooperate with instructions given by Sandia clinical staff.

In the event of a positive test result, the individual’s badge will be deactivated within the SNL Access Control System, confiscated, and returned to SNL Personnel Security. If the contractor is offsite, the FSO may be contacted for assistance.

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Immediate action will be taken to either terminate the existing DOE security clearance or cease further applicant processing. Both the FSO and SCR will receive notification from SNL Personnel Security to remove the individual from all active SNL contracts for failure to meet clearance requirements.

5.1.4 Reporting Requirements

All applicants and holders of a DOE security clearance are required to report any information that they believe raises a potential security concern about themselves or another clearance applicant/holder. The FSO must ensure that all persons under their cognizance are aware of and fully comply with these reporting responsibilities, and must assist individuals as necessary. Specific conditions that must be reported are identified below.

Individual Reporting RequirementsThe following conditions must be verbally reported by the individual or the FSO to SNL within two (2) working days of the event, followed by written confirmation within the next three (3) working days:

Legal action effected for a name change. Change in citizenship. Any use of an illegal drug; or use of a legal drug in a manner that deviates from approved

medical direction. Any arrest, criminal charges (including charges that are dismissed), citations, tickets,

summons, or detentions by Federal, State, or other law enforcement authorities for violations of law within or outside of the U.S., excluding traffic citations for which a fine less than $300 was imposed, unless the violation was alcohol or drug-related.

Traffic citations/tickets/fines in excess of $300 (i.e., $300.01 dollars and up), only when the fine is assessed, except when drugs or alcohol were involved. Note: Assessed means the individual agrees to pay or go to court and the Court's ruling equals a fine above $300. Court fees or other administrative costs associated with the traffic citation/ticket/fine should not be added to the final assessed amount.

An immediate family member assuming residence in a sensitive country. Note: Immediate family member refers to the employee's spouse, children, parents, siblings, grandparents, grandchildren, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, step-children, foster children, step-parents, foster parents, or any relative who is a dependent of the employee.Note: A listing of sensitive countries is available on the Sandia Restricted Network (SRN) and through Sandia’s external website.

Treatment for drug or alcohol abuse. Hospitalization for mental health reasons. Employment by, representation of, or other business-related association with a foreign or

foreign-owned interest or non-U.S. citizen or other individual who is both a U.S. citizen and a citizen of a foreign country.

Personal or business-related filing for bankruptcy. Garnishment of wages.

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Marriage or Cohabitation A completed DOE F 5631.34, Data Report on Spouse/Cohabitant, must be submitted by the individual or the FSO to SNL within forty-five (45) working days of marriage or cohabitation.

Note: A cohabitant is a person who lives with the individual in a spouse-like relationship or with a similar bond of affection or obligation but is not the individual’s legal spouse, child, or other relative (in-laws, mother, father, brother, sister, etc.).

Other Reporting Requirements The following conditions must be verbally reported by the FSO to SNL within two (2) working days of the event, followed by written confirmation within the next three (3) working days:

When a clearance applicant declines an offer of employment or fails to report for duty. When made aware of any other information of a personnel security interest, as delineated

under the “Individual Reporting Requirements” section above, concerning a clearance applicant or cleared employee.

When clearance applicants or cleared employees effect any change in their citizenship status.

When a cleared employee’s access to classified information or SNM is restricted or withdrawn without DOE or SNL direction.

When made aware of the death of a clearance applicant or cleared employee. When a cleared employee terminates employment. When a cleared employee no longer requires access to classified information or SNM. When a clearance applicant or cleared employee is affected by any change that results in

no longer requiring sponsorship of their clearance by SNL.

Counterintelligence InterestsClearance applicants and holders must report matters of potential counterintelligence interest (including foreign travel and approaches by individuals seeking unauthorized access to classified information or SNM). The FSO must ensure that any of the following are reported:

Official foreign travel to sensitive countries regardless of whether the traveler possesses a security clearance.

Travel to any country where the employee intends to have or has had discussions with sensitive country foreign nationals regarding sensitive subjects. This includes travel that will involve meetings with sensitive country foreign nationals (known in advance) or chance meetings where foreign nationals from sensitive countries are in attendance.

All travel to any country when areas determined to be sensitive subjects will be discussed.

Any substantive professional, personal, or enduring financial relationship (one that has existed, or is expected to exist, for a substantial period of time [months or years]) with foreign nationals affiliated with sensitive countries.

Any contact with foreign nationals who make requests that could be attempts at exploitation or elicitation. For example:

o Request for documents or information that is viewed by the traveler as unexpected or unrelated to the purpose of the interaction.

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o Request for the traveler to transport back to the U.S. any package(s) or letter(s) for mailing in the U.S.

o Request of any kind that causes the traveler to feel uncomfortable or call into question the purpose of the request.

o Professional contact or relationship with sensitive country foreign nationals, whether they occur at one’s worksite or abroad.

o Any foreign travel for which foreign monetary support is provided, whether to a sensitive or a non-sensitive country.

Request for unauthorized access to classified or otherwise sensitive information.

The FSO must inform clearance applicants and employees that they have a specific obligation to truthfully provide all information requested for personnel security purposes. Failure or refusal to cooperate with any of these activities may prevent DOE from granting or continuing a security clearance. In this event, any current security clearance may be terminated or, for contractor applicants, further processing of a security clearance request may be suspended. Clearance applicants and cleared employees must:

Provide full, frank, and truthful answers to relevant and material questions. Furnish, or authorize others to furnish if necessary, information that is deemed necessary

to the security clearance eligibility process. Notify SNL upon learning of the presence of any reporting requirement, situation, or

incident regarding anyone known to possess a DOE security clearance or to be in the process of obtaining a DOE security clearance, no later than two (2) working days after the event.

5.1.5 Administrative Withdrawal of Security Clearances

The FSO must request withdrawal of a cleared employee’s security clearance, and must provide SNL a DOE F 5631.29, Security Termination Statement, completed by the employee, within two (2) working days for any of the following:

Termination of the cleared employee. A determination that a security clearance is no longer required. The individual’s failure or refusal to cooperate with authorized and appropriate

personnel-security-related requests. An individual’s circumstances temporarily eliminate the need for access to classified

matter or SNM, or access to secure areas for 90 calendar days or more (e.g., temporary change of duties, maternity or other extended leave, detail to another agency, military deployment, etc.).

The purpose of the Security Termination Statement is to ensure that the individual is aware of the continuing responsibility to protect classified information and SNM after withdrawal of a security clearance. The FSO must administratively withdraw an employee’s clearance even in cases where a completed DOE F 5631.29 cannot be immediately provided. If it is not possible to obtain the individual’s signature, the completed but unsigned DOE F 5631.29 must still be submitted to SNL. In addition, the FSO must provide an explanation to SNL of the circumstances surrounding the withdrawal and why the employee’s signature could not be obtained.

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FSOs must ensure, on an ongoing basis, that all company employees holding a personnel security clearance have a contractual need for the clearance. Because of the necessity to promptly act upon an event or circumstance requiring an administrative withdrawal as described above, failure by the FSO to ensure that a Security Termination Statement is provided to SNL within two (2) working days will result in administrative action consisting of the following series of notifications to SNL management, and potential consequences based on the number of occurrences arising on a rolling 365-day basis:

Occurrence Notification/ Distribution To:

Consequences

1st FSO, CSMO Letter of first occurrence outlining requirements and importance of compliance; advisement that additional occurrences will result in notice to the SDR for action and reporting to the SNL SCORE system.

2nd FSO, CSMO, SDR

Letter of second occurrence outlining requirements and importance of compliance; request to the SDR to address the matter with the FSO; advisement that further occurrences will result in notice to the SDR’s manager for action, notification to the SCR; reporting to the SCORE system and possible FCL suspension or termination.

3rd FSO, CSMO, SDR, SCR, SDR Manager

Letter of third occurrence outlining requirements and importance of compliance; request to SDR’s manager to address the matter with the FSO; additional reporting to the SCORE system; notification to the SCR for consideration of FCL suspension or termination.

4th and subsequent

FSO, CSMO, SDR, SCR, SDR Manager

Notification to all previous parties; suspension or termination of the FCL, at the discretion of the SCR and/or S&EM.

5.1.6 Security Clearance Suspension, Revocation, and Denial

Upon receipt of notification of an employee’s security clearance suspension, the FSO must ensure that the employee is precluded from access to classified information and SNM. Suspension, denial, or revocation of an individual’s security clearance does not preclude the contractor from assigning or transferring the individual to duties that do not require a security clearance.

5.1.7 Badge Return

The FSO is responsible for ensuring that all DOE security badges (i.e., HSPD-12 federal credentials) that are no longer required (e.g., contract has ended and no extension has been granted, contractor has terminated) are promptly returned to the SNL Badge Office, regardless of expiration date. Similarly, it is the responsibility of the FSO to ensure that any unexpired SNL Local Site-specific Only (LSSO) badges no longer required (e.g., badge expiration date extends beyond last day of work on the contract), are promptly returned to the SNL Badge Office.

In cases where the FSO is unable to retrieve a badge, the FSO is responsible for completing and submitting an SF 2730-LSB, SNL Lost/Stolen/Forgotten Badge Report, to the SNL Badge Office. Note that DOE policy directs that any unrecovered HSPD-12 federal credential is to be considered stolen government property and reported as an incident of security concern. The FSO is ultimately responsible for ensuring that badges or other credentials provided by SNL or DOE/NNSA, granting physical access to DOE/NNSA-owned or leased facilities by the contractor’s employee(s) are returned upon:

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Termination of contract. Expiration of contract. Termination of employment of an individual performing work under contract or any

contractor employee performing work under contract. Demand by SNL or DOE/NNSA to return the badge.

5.1.8 Outgoing Classified Visits

Outgoing classified visits to non-DOE locations must be coordinated with and initiated by the appropriate SNL manager using the SNL Outgoing Classified Visits Application. For travel to DOE facilities, only the DOE security badge (i.e., HSPD-12 federal credential) is required.

6.0 UNCLASSIFIED VISITS AND ASSIGNMENTS BY FOREIGN NATIONALS

6.1 FOREIGN NATIONAL VISITS AND ASSIGNMENTS

As a national security laboratory, SNL actively supports DOE’s role as a leader in science and technology. To maintain that leadership, DOE encourages international collaborations and, thus, allows access by foreign national visitors/assignees to its unclassified information, programs, and technologies. Consequently, foreign nationals are allowed access to SNL sites; however, SNL must ensure that such access does not pose a risk to national security. Along with other measures, SNL protects information, assets, etc., by monitoring and controlling interactions with foreign nationals.

6.1.1 On-site Work

All foreign national contractor employees are required to have an approved Foreign National Request Security Plan (FNR SP) from the SNL Foreign Interactions Office (FIO) prior to working on-site. They will be required to present valid lawful status documents before a badge is created and issued. The individual who is hosting a foreign national on-site must be a U.S. citizen and an employee of NNSA or SNL.

6.1.2 Off-site Work

Approval for a foreign national to work off-site on an SNL project is not required, if the following conditions are met: 1) All work is conducted entirely off-site, and 2) the research from this contract is considered fundamental research and will be published in open literature intended for public release. Any work or research being conducted on information that is not publicly available is considered to be “on-site” work and must have an approved FNR SP in place before the work can be performed.

7.0 SECURITY PLANNING AND EDUCATION

7.1 SECURITY AWARENESS

Contractor personnel assigned to perform work on a government site shall complete the security training courses identified in this section. Contractor personnel who fail to complete the required

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security training as schedule may have their access to the government worksite suspended, which can place the work contract in jeopardy of termination for default.

7.1.1 Initial Security Briefing (SEC050)

The Initial Security Briefing is provided to contractors through Sandia’s Contractor Toolcart. The FSO is responsible for ensuring that contractor employees view the briefing. Completion of SEC050 is recorded on Section 3 of the SF 7643-CEC, Contractor/Consultant Badge/Clearance Request Form.

7.1.2 Comprehensive Security Briefing (SEC150)

All newly cleared contractors must receive a live Comprehensive Security Briefing prior to receiving a cleared badge.

7.1.3 Annual Security Refresher Briefing (SEC100)

An Annual Security Refresher Briefing is required for all cleared contractors, and is available on the SRN and through Sandia’s Contractor Toolcart. Content includes site-specific issues and reinforces and expands on information provided in the Comprehensive Security Briefing. Contractors who become delinquent in completing SEC100 will have their badges deactivated, preventing access to limited or higher security areas. Badges are reactivated 24 hours after affected individuals have completed the briefing.

7.1.4 Special Security Briefings and Training

Special security education, training, and certification are provided in the following areas, among others (this is not a comprehensive list):

Foreign Travel: Contractors coordinate official and personal foreign travel with the FIO at SNL/NM. Training relating to export control awareness (EC100) and the Foreign Corrupt Practices Act (FCPA100) are required for all individuals, prior to official foreign travel. Additionally, a counterintelligence briefing is given to employees before travel to sensitive countries, and a personal debriefing is conducted upon their return.

Classified Users Training (SEC301): Designed for those responsible for generating, handling, using, storing, reproducing, transmitting, and/or destroying classified matter. Required for all Q-cleared personnel and for those L-cleared personnel working with classified.

Classified Marking Training (SEC303): Designed for those responsible for generating classified information.

Sigma 14/15 Awareness Training: Required for all contractors who are approved for access to Sigma 14/15.

7.1.5 Termination Briefings (SEC225)

Clearances are terminated for all contractors no longer requiring access to classified matter. The termination procedure includes a security briefing by the FSO, or viewing of a termination briefing video that is provided on the SRN and through Sandia’s Contractor Toolcart. The attention of the terminating individual is specifically directed to the provisions of DOE F 5631.29, Security Termination Statement. Both the terminating individual and the person

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conducting the briefing sign the form. The form is faxed to the SNL/NM Clearance Office to terminate the access.

8.0 REFERENCES

8.1 EXTERNAL SOURCE (REQUIREMENTS) DOCUMENTS

In addition to the list of applicable directives (or successor documents that may superseded these requirements) referenced below, the contractor shall also comply with referenced or supplementary directives, which are invoked by a Contractor Requirements Document (CRD). The contractor is responsible for flowing down requirements, when applicable, to ensure compliance with the terms and conditions of the contract.

DOE M 470.4-1, Chg. 2, Safeguards and Security Program Planning and Management DOE M 470.4-6, Chg. 1, Nuclear Material Control and AccountabilityDOE O 142.1, Classified Visits Involving Foreign NationalsDOE O 142.3A, Unclassified Foreign Visits and Assignments ProgramDOE O 472.2, Personnel SecurityDOE O 475.2A, Identifying Classified InformationNAP 70.2, Chg. 1, Physical ProtectionNAP 70.4, Chg. 1, Information Security

8.2 RELATED DOCUMENTS10 CFR 824, Procedural Rules for the Assessment of Civil Penalties for Classified Information Security ViolationsDEAR 952.204-2 , Security RequirementsDEAR 952.204-72 , Disclosure of Information

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9.0 CERTIFICATIONS

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ATTACHMENT A — ACRONYMS, INITIALISMS, AND ABBREVIATIONS

Acronym Definition

CFR U.S. Code of Federal RegulationsCI CounterintelligenceCMPC Classified Matter Protection and ControlCRD Contractor Requirements DocumentCSA Cognizant Security AuthorityCSCS Contract Security Classification SpecificationCSM Contract Security ManagementCSMO Contractor Senior Management OfficialDC Derivative ClassifierDEAR U.S. Department of Energy Acquisition RegulationDoD U.S. Department of DefenseDOE U.S. Department of EnergyDRO Designated Responsible OfficeDSS Defense Security ServicesFCL Facility ClearanceFDAR Facility Data and Approval RecordFIO Foreign Interactions OfficeFNR SP Foreign National Request Security PlanFOCI Foreign Ownership, Control, or InfluenceFSO Facility Security OfficerIOSC Incidents of Security ConcernKMP Key Management PersonnelNNSA National Nuclear Security AdministrationOPSEC Operations SecurityPO Purchase OrderS&EM Security and Emergency ManagementS&S Safeguards and SecuritySCORE Sandia Contractor Review and Evaluation SystemSCR Sandia Contracting RepresentativeSDR Sandia Delegated RepresentativeSFO NNSA Sandia Field OfficeSNL/NM Sandia National Laboratories, New MexicoSNM Special Nuclear MaterialSRN Sandia Restricted NetworkSRP Security Requirement Plan

S&S-PLN-120 A-1

ATTACHMENT B — RELATED TOOLS, WEBSITES, ETC. FARA entity email account (FARA-BC) FOCI entity email account (FOCI) FSO Toolcart Sensitive Countries List DOE Directives and Requirements

S&S-PLN-120 B-1

CHANGE HISTORY08 April 2013 — New Document

This is a new document.

S&S-PLN-120 CH-1