SD 473.3, Enterprise Mission Essential Task List-Based Protective Force Training Program

SUPPLEMENTAL DIRECTIVE NNSA SD 473.3 Approved: 9-10-14 Certification Due: 8-24-25 ENTERPRISE MISSION ESSENTIAL TASK LIST-BASED PROTECTIVE FORCE TRAINING PROGRAM J, A ..J .. �&?/.\ National Nuclear Security Administration NATIONAL NUCLEAR SECURITY ADMINISTRATION Office of Defense Nuclear Security CONTROLLED DOCUMENT AVAILABLE ON-LINE AT: http://www.nnsa.energy.gov OFFICE OF PRIMARY INTEREST (OPI): Office of Defense Nuclear Security printed copies are uncontrolled NNSA SD 473.3 9-10-14 Mission Essential Task List-based Protective Force Training Program 1 1. • PURPOSE. To establish the roles, responsibilities, and programmatic elements and processes required to ensure a standardized approach toward implementing, managing, executing and effectively sustaining the Mission Essential Task List (METL) - based Protective Force (PF) training program (hereafter referred to as "METL program") within the Nuclear Security Enterprise (NSE) in accordance with applicable U.S. Department of Energy (DOE) and National Nuclear Security Administration (NNSA) policies, Federal regulations, and applicable provisions. This SD supplements DOE Order 473.3, Protection Program Operations, and is consistent with applicable DOE Directives and e­ Gov initiatives. 2. CANCELLATION. None 3. APPLICABILITY. a. NNSA Applicability. This Supplemental Directive applies only to sites with a Protective Force and NNSA Elements with oversight for a Protective Force. b. NNSA Contractors. Except for the equivalencies/exemptions in paragraph 3.c., the Contractor Requirements Document (CRD - Attaclunent 1) sets forth requirements of this Supplemental Directive that will apply to contracts that include the CRD. The CRD must be included in contracts that have Protective Force organizations and suppo1i the following NSE PF Mission Statement: "Protective Forces perform routine and emergency duties at NNSA facilities to protect critical national security assets, DOE property, classified matter, and employees and visitors from theft, sabotage, terrorism, or other malevolent acts." c. Equivalency. In accordance with the responsibilities and authorities assigned by Executive Order 12344, codified at 50 USC sections 2406 and 2511 and to ensure consistency tluough the joint Navy/DOE Naval Nuclear Propulsion Program, the Deputy Administrator for Naval Reactors (Director) will implement and oversee requirements and practices pertaining to this Directive for activities under the Director's cognizance, as deemed appropriate. 4. BACKGROUND. Pursuant to the review of multiple external audit reports spanning the last two decades in which PF training program deficiencies were addressed, the Office of Defense Nuclear Security (NA-70) worked closely with DOE's National Training Center (NTC) and PF training subject-matter-experts from all DOE and NNSA sites to initiate a comprehensive analysis of the program's construct and effectiveness. The consortium's objective was to define a desired end-state for a "corporately-developed" configuration that would optimally support the NSE's ability to improve the focus, effectiveness, and efficiency of the PF sustainment-training program. Exhaustive analyses revealed that clear, nuclear security-focused training objectives and performance expectation parameters common to all NNSA PF mission areas had not been sufficiently established to assist PF training managers in defining sustainment training content, appropriate annual training hours, or methods of instructional delivery. Overall, the analysis sho_wed

2 NNSA SD 473.3 9-10-14 PF training programs to be decentralized and with little apparent continuity in program planning, management, and execution between the eight sites. The METL-based program is the result of a collaborative effo1t to refo1m PF sustainment training and was intelligently designed to enable the following: a. Enhanced corporate understanding of reasonable, necessary, and appropriate training deliverables and resources required to support sustainment of individual and unit Protective Force mission readiness across the NSE. b. Significantly enhanced safeguards and security stakeholder integration tluough the use of "conunon language" and performance criteria. c. Cooperatively developed, comprehensive core curriculum that affords Protective Force members the opportunity to sustain and improve on mission-essential knowledge, skills, and abilities. d. Systematic approach to sustaimnent training consistency across the NSE. e. Periodic review and continuous improvement process for the NSE's training program. f. Development and implementation of METL-based handbooks/field manuals as a reference for planning, conducting, assessing, and evaluating training in Individual, Leader, and Collective tasks. g. Establishment of a highly defensible, equitable, and systematic approach toward annual NSE-wide Protective Force training program resource requirements that will withstand scrutiny upon budgetary planning, approval, and execution processes and pay dividends in performance/mission success. 5. PROGRAM ELEMENTS OVERVIEW. a. Mission Essential Task List (METL): A list of tasks required for mission accomplishment. The METL serves as the direct linkage between mission accomplishment and training. It is a mission-down analysis of requirements that is performance-focused and serves as a common operating language. As a METL analysis must be based on a valid and complete set of job tasks with identified levels of skills and knowledge needed to competently perform the tasks associated with assigned duties, it is synonymous with the term "Job Analysis" as defined and referred to in federal law and DOE policy. b. Enterprise Mission Essential Task List (EMETL): The EMETL is a list of Collective, Leader, and Individual tasks common to all Protective Forces within the NSE ("Recapture" and "Recovery" EMETs are not applicable at sites not possessing Category II or greater quantities of Special Nuclear Material or other specifically designated, national security critical assets). This list serves as the foundation for the complete mission essential task list. NNSA SD 473.3 9-10-14 3 c. Site Specific Supporting Tasks (SSST): Each site must identify site-specific tasks not included within the EMETL but directly tied to one of the Collective tasks (mission) or Mission Essential Task (MET). Typically these tasks are associated with specialized equipment or procedures unique to that site. Sites are required to identify conditions, standards, performance steps, references, and a narrative explanation for each SSST for inclusion in their Field Manual, which is described later in this document. Sites may also include site specific performance steps within current EMETL tasks. d. Required Supporting Training (RST): In addition to security mission-specific tasks are federal, state, local, and site training requirements that must be satisfied ( e.g. human relations, safety requirements, equal opportunity training, and general employee training). Also included within the RST are traditional ''job analyses" for protective force instructors and annorers, as well as any other identified training items that are important/required but not tied directly to Collective task accomplishment.

e. Stakeholder organizations: These are the organizations that have a vested interest in how the Protective Force perfonns its mission. They are generally identified as Protective Force Operations, Protective Force Training, Protective Force Performance Assurance/Testing, Risk/Vulnerability Assessment, and the Field Office. It is imperative these organizations collaborate on identifying, planning, and conducting performance assessments that are designed to achieve a common objective: improving mission performance. To this end, stakeholders are required to meet on a recurring basis to discuss METL Assessment results, provide comments and feedback on recent training/operations, and collaboratively determine fuhll'e actions. f. Field Manual: This document is a compilation of Collective, Leader, and Individual tasks with conditions, standards, performance steps, references, and supporting narrative descriptions. The information was aggregated from existing NTC/DOE and U.S. military doctrine. This manual serves as the common operating language among stakeholder organizations and must be used by each. However, it does NOT dictate how each task is to be specifically performed: if a site has a different tactic, teclmique, or procedure based upon site-specific methods required for effectively accomplishing a given task, then the site should use that approach and document it accordingly in the SSST. The Field Manual is a comprehensive guide to facilitate the development and execution of mission­ related training, assessment, and evaluation activities. It is reasonable that restrictions in time, personnel, and resources will limit the quantity of tasks that can be trained in a given year; therefore, there is no requirement - written or implied - that PF organizations either conduct or be assessed upon the totality of tasks or performance steps within the manual. 6. MISSION ESSENTIAL TASKS: All Collective tasks are derived from the following six METs. Individual, Leader, and Site-Specific Supporting Tasks are derived from the Collective tasks. 4 a. b. C. d. e. f. NNSA SD 473.3 9-10-14 DETER - Discourage and interrupt progress of threat through active and passive means using human and technological assets DETECT - Identify, locate, and assess threat through active and passive means using human and technological assets and programmatic processes DENY - Engage, interdict, and• neutralize threat through active means using human and technological assets RECAPTURE* - Repossess and secure asset on site tlu-ough active means using human and technological assets RECOVER* - Repossess and secure asset off site through active means using human and technological assets while in contact with threat RECONSTITUTE - Ensure continuity of protection and restore normal operations following an emergency situation * Recapture and Recover METs are not applicable to non-Category I sites 7. RESPONSIBILITIES: a. Office of Defense Nuclear Security (NA-70): (1) In collaboration with METL program subject matter experts, define and promulgate METL program policy requirements in support of PF mission objectives/ expectations. (2) Conduct formal assessments of METL program management and field execution/ performance with respect to established policy requirements. (3) Provide field assistance in support of METL program implementation, execution, and evaluation in accordance with this Supplemental Directive.

(4) As necessary, provide METL program training and professional guidance on METL program oversight methodologies to Field Office oversight officials. (5) Create and maintain Quarterly METL Assessment Report formats . (6) Compile and analyze results of Quarterly METL Assessment Reports. (7) Identify site-specific METL program management and execution issues and NSE-wide METL program trends requiring focused support/assistance. NNSA SD 473.3 9-10-14 b. Field Office Manager and Assistant Managers for Safeguards and Security (AMSS): (1) Ensure the METL program is executed in accordance with this Supplemental Directive. (2) Review and approve the PF Annual Training Plan (ATP). 5 (3) Observe on- and off-post METL program training and performance testing in accordance with established Performance Assurance policies and local oversight activity requirements. (4) Review documented Quarterly METL Assessment results. (5) Attend Quarterly METL Assessment meetings (Field Office representation by AMSS-appointed designee is acceptable). 8. CONTACT. Office of Defense Nuclear Security at 202-586-5736. BY ORDER OF THE ADMINISTRATOR: Attachments 1. Contractor Requirement Document 2. METL Description Frank G. Klotz Administrator NNSA SD 473.3 9-10-14 Attachment 1 ATl-1 ATTACHMENT 1: CONTRACTOR REQUIREMENT DOCUMENT NNSA SD 473.3, ENTERPRISE MISSION ESSENTIAL TASK LIST-BASED PROTECTIVE FORCE TRAINING PROGRAM Regardless of the performer of the work, the contractor is responsible for complying with the requirements of this CRD. The contractor is responsible for flowing down the requirements of this CRD to subcontractors at any tier to the extent necessary to ensure the contractor's compliance with the requirements. 1. RESPONSIBILITIES: a. b. Protective Force Managers: (1) Ensure the METL program is conducted in accordance with the METL process description in Attachment 2 of this Supplemental Directive. (2) Ensure integrity is maintained regarding METL-based performance assessments. (3) Through the use of locally-developed and/or headquarters-provided data collection templates, report METL program status to the AMSS and higher headquarters, as required. ( 4) Ensure subordinate leaders strive for continuous improvement in the performance of applicable METs. (5) Approve the Training Needs Analysis (TNA) based on METL Assessment results collaboratively agreed upon by all requisite stakeholders. (6) Participate in quarterly stakeholder integration meetings held to establish site's overall METL assessment results. Protective Force Training Managers: (1) Carry out the METL program in accordance with Attachment 2 of this Supplemental Directive. (2) Conduct and document factually accurate/honest assessments of METL performance. (3) Ensure Protective Force Instructors conduct training based on the METL. ( 4) Develop the TNA based upon METL Assessments. (5) Participate in quarterly stakeholder integration meetings held to establish site's overall METL assessment results. Attachment 1 ATI-2 C. Protective Force Performance Testing Managers: (1) Conduct METL Evaluation/Assessments as required. NNSA SD 473 .3 9-10-14 (2) Provide METL Evaluation/Assessment results to managers of the Protective Force, PF Training Department, and Vulnerability Assessment entity. (3) Conduct METL Assessments after each force-on-force exercise. ( 4) Participate in quarterly stakeholder integration meetings held to establish site's overall METL assessment results.

cl. Vulnerability Assessment Managers: (I) Observe/participate in performance testing/performance assessment activities to validate performance of tactics, techniques, and procedures are aligned with current protection strategy assumptions. (2) Review and, where applicable, integrate METL Assessment results into the vulnerability assessment process to augment ongoing effmis to identify and correct weaknesses in PF performance ( e.g. probability of neutralization). (3) Pa1iicipate in quarterly stakeholder integration meetings held to establish site' s overall METL assessment results. NNSA SD 473.3 9-10-14 ATTACHMENT 2: METL DESCRIPTION Attachment 2 AT2-l 1. PROCESS OVERVIEW: Task Evaluations and Task Assessments are processes used to measure performance proficiency (knowledge, skills, and abilities) and to guide the training program in determining and adjusting training content and priority. Task Evaluation is essentially the "testing" of task performance. Task Assessment i~ a qualitative judgment-part of an ongoing, working process-to determine the current demonstrated level of proficiency as weJI as what specific, follow-on training is essential to reinforce and/or build upon current levels of demonstrated proficiency. All tasks are assessed and evaluated based upon task-specific conditions and standards. The EMETL program uses the Instructional Systems Design model for analysis, design, development, implementation, and evaluation as stated within each site's Ammal Training Plan (ATP). Since the METL at each site is assessed quarterly, it is crucial that each ATP contain the appropriate amount of flexibility to address emerging and changing needs throughout the training year. It is also not necessary to train or test every METL task each year. Training managers will determine task prioritization by considering the needs identified by stakeholders during quarterly assessments, training needs analyses, and available resources. a. METL Tasks, Conditions, and Standards: (1) Task Identification: Each of the METs and all subordinate supporting tasks were identified using a systematic process. Tasks are clearly defined, observable and measurable actions described by action verbs. A task usually has a specific begim1ing and end state, and may support - or be supported by - other tasks. A task should explicitly state what person, element, or organizational entity is responsible for task performance. By limiting METs to essential tasks only, the focus remains where it should: on those tasks that are absolutely necessary to ensure accomplishment of the tactical mission. (2) Conditions: Conditions are used in the METL development process to express varying circumstances that affect task performance. Conditions are applied to specific tasks and not overall missions because conditions may affect tasks differently within the overall context of a mission. If the condition does not affect how to train, organize, or equip to effectively perform a task, then it is not relevant and should not be used. It is important to take into account and document changing conditions and training context when conducting assessments, since the same task could be performed quite differently when conditions change. (3) Standards: Standards identify necessary performance criteria consistent with the concept of operations for the mission under a specified set of conditions. A standard consists of one .or more performance measures (derived from references, directives, etc.) and defines the minimum acceptable level of performance required to validate capability and

Attachment 2 AT2-2 NNSA SD 473.3 9-10-14 proficiency. All regular/contingency mission performance objectives must be considered when identifying and setting requisite performance standards, to include the assessment/grading/scoring criterion used (where applicable) to accurately and honestly capture and report results. The integrity of this data is absolutely imperative to improving the integrated, programmatic processes used to support an ongoing, systematic approach to continued improvement. The standards statements contained in the EMETL refer to site directives and techniques, tactics, and procedures (TTPs); so sites must ensure all personnel involved in assessment/evaluation are familiar with the relevant site doctrine. b. Levels of evaluation and assessment: (1) MET Evaluations/Assessments: MET evaluations/assessments are used to determine the status and predicted effectiveness of the Protective Force (PF) in response to an adversary action. The Training manager and PF manager conduct MET evaluations/assessments in order to assign a training priority to supporting tasks in each EMETL category. The evaluations/assessments should be conducted by a thorough review of Collective, Leader, and Individual Task assessments/evaluations, along with after-action reviews derived from exercise activities and Limited Scope Performance Tests (LSPTs) conducted by PF, Training, and Performance Testing (PT) perso1mel. MET review should be conducted quarterly to ultimately support the assignment of training priority during the annual training plan development process. (2) Collective Task Evaluations/ Assessments: Collective tasks directly support the accomplishment of the METs. Collective task assessments/evaluations are used to determine the proficiency of a team. Collective tasks are trained, assessed, and evaluated by PF Leaders and Instructors. Collective task assessments/evaluations feed directly into the METL evaluation matrix for determining overall Protective Force proficiency and for determining and establishing training priorities. (3) Leader Task Evaluations/Assessments: Leader tasks directly support the accomplishment of Collective tasks. Leader task assessments/evaluations are used to determine the proficiency of small unit leaders. Leader tasks are trained, assessed, and evaluated by PF shift Leaders and Instructors. Additionally, Leader task assessments/evaluations identify those leaders in need of remedial training, which ultimately supports the overall METL training effort. (4) Individual Task Evaluations/Assessments: Like Leader tasks, Individual tasks directly support the accomplislunent of Collective tasks. These tasks are trained, assessed, and evaluated by Leaders and Instrnctors, as appropriate. Individual task assessments/evaluations assist in identifying NNSA SD 473.3 9-10-14 Attachment 2 AT2-3 those officers in need ofremedial training as well as focusing the overall training effort in support of MET accomplislunent. (5) SSST Evaluations/ Assessments: SSSTs also directly support the accomplishment of Enterprise Mission Essential Tasks and/or Collective Tasks. They are trained, assessed, and evaluated by Leaders and Instructors, as appropriate. SSST assessments/evaluations assist in identifying training needs and focusing the overall training effort in support of mission accomplislunent.

c. Task Evaluation - Primarily PF Leaders, Instructors, and PT personnel conduct task evaluations. Task evaluation is a formal process that is accomplished by measuring the observed performance against the task standard- including any specific measure and criterion. Task evaluation relies upon an objective measure of a performed task and will culminate in the assigning of a "Go/No-go" for the evaluated Collective task. Sites will develop their testing/evaluation program according to local needs discerned by all involved stakeholders (PF, PT, Training, Vulnerability Assessment, and the Field Office). The results of all evaluations should be shared among the stakeholders and be used in the ongoing training needs analysis process. d. Task Assessment - Task assessment is a qualitative judgment by the Protective Force Manager and Training Manager that is accomplished by subject matter experts (SM Es) ( e.g. PF Leaders, PT personnel, VA personnel and Instructors) formally and informally measuring performance against the task standard - including any specific measure and criterion (all tasks) an_d performance steps (leader and individual tasks). It is crucial that task assessments are completely honest and unvarnished to provide a valid and reliable set of results. Task assessment should take place whenever possible - even after an evaluation, and should take into account context/conditions. (1) Task assessment relies upon the expertise of the SME conducting the assessment and culminates in assigning a specific value ("T," "P," or "U") for the assessed task. (a) Trained (T) means the unit has demonstrated proficiency in accomplishing the task to standard. (b) Practice (P) means the unit has demonstrated performance capable of completing the task but has some difficulty or has failed to perform some performance step(s) to standard and requires additional practice. This does NOT imply the unit cannot accomplish the mission. (c) Untrained (U) means the unit has not demonsh·ated an ability to achieve proficiency to standard. This could be a reflection of Attachment 2 AT2-4 NNSA SD 473.3 9-10-14 substandard performance, or it could be that the individual or unit has never been trained on the given task. (2) "T/P/U" is used to identify overall proficiency in the conduct of a task, and does not necessarily directly reflect the results of "Go/No-go" ratings - e.g., a team can be assigned a rating of "Go" for a task and still receive a "P" assessment. High value, perishable skills/tasks must continually be trained, even though a unit has shown an acceptable level of proficiency. (3) Narrative after-action statements should be provided for all tasks assessed as "P" or "U." This is a critical component of the Training Needs Analysis (TNA) process for determining needs and priorities with regard to future training of the same task. The statements need not be lengthy, but should include context/conditions and should point to which area/performance step(s) kept the rating from being a "T." ( 4) Training Program Task Prioritization: This is the training needs analysis (TNA). Upon completion of an assessment of tasks (T, P, or U) training managers must then prioritize the training program based upon performance-based cormections to mission accomplishment and available resources, such as time, personnel, equipment, supplies, and funding. Prioritize training BASED ON ASSESSMENT:

(a) Priority 1 = "Will train." These tasks are usually trained by professional trainers to ensure quality and consistent training across the entire protective force. This is also the mandatory training necessary to meet order requirements and for Protective Force members to maintain certifications. (b) Priority 2 = "May train." These tasks are usually trained by on­ duty leaders in the field, as resources permit. Ideally, every applicable task should be trained and/or reviewed with subordinates, although it is not mandatory. The method of delivery is based on the resources available and operational requirements. ( c) Priority 3 = "May train or evaluate." These tasks are normally tasks that are assessed as "trained" and therefore should be performance tested. The testing may occur during regularly scheduled performance tests. However, every effort should be made by the performance testing department to evaluate all priority 3 tasks. Some priority 3 tasks may not be tested or evaluated at all based on available resources and needs. (d) It is important to state that the METL is not prioritized; however, the training program is prioritized and allows the training staff to follow the Systematic Approach to Training for design, NNSA SD 473.3 9-10-14 Attachment 2 AT2-5 2. development, implementation, and evaluation of cunicula and training. TRAINING I TESTING EXECUTION CYCLE: The training/testing cycle is a continuous loop that follows the Systematic Approach to Training (SAT) process (Analysis, Design, Development, Implementation, Evaluation): a. A thorough TNA is conducted and training priority is assigned. (Analysis) b. Context and conditions are added via scenario creation as training time approaches. NNSA EMETL Field Manual is used as guiding curriculum. (Design & Development) c. Training/testing is conducted. (Implementation) d. Evaluation and Assessment results are documented, including amplifying narrative. (Evaluation) e. Results are given to Training and Operations for remedial training, repo1iing, etc., before being fed back into the TNA in #1 above. f. Results are shared and discussed during recurring stakeholder meetings. 1. • PURPOSE. 2. CANCELLATION. 3. APPLICABILITY. a. NNSA Applicability. b. NNSA Contractors. c. Equivalency. 4. BACKGROUND. 5. PROGRAM ELEMENTS OVERVIEW. a. Mission Essential Task List (METL): b. Enterprise Mission Essential Task List (EMETL): c. Site Specific Supporting Tasks (SSST): d. Required Supporting Training (RST): e. Stakeholder organizations: f. Field Manual: 6. MISSION ESSENTIAL TASKS: 7. RESPONSIBILITIES: a. Office of Defense Nuclear Security (NA-70): b. Field Office Manager and Assistant Managers for Safeguards and Security(AMSS): 8. CONTACT. ATTACHMENT 1: CONTRACTOR REQUIREMENT DOCUMENT 1. RESPONSIBILITIES: a .Protective Force Managers: b. Protective Force Training Managers: C. Protective Force Performance Testing Managers: cl. Vulnerability Assessment Managers: ATTACHMENT 2: METL DESCRIPTION 1. PROCESS OVERVIEW: a. METL Tasks, Conditions, and Standards: b. Levels of evaluation and assessment: c. Task Evaluation d. Task Assessment 2. TRAINING I TESTING EXECUTION CYCLE: