INDEX
U.S. DEPARTMENT OF ENERGY DOE O 471.1
WASHINGTON D.C. 9-25-95
SUBJECT: UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION
1. OBJECTIVES.
a. To prevent unauthorized dissemination of Unclassified
Controlled Nuclear Information (UCNI).
b. To ensure that the maximum amount of Government
information is publicly available.
2. CANCELLATIONS. The Orders listed below are canceled.
Cancellation of an Order does not, by itself, modify or
otherwise affect any contractual obligation to comply with
such an Order. Canceled Orders that are incorporated by
reference in a contract shall remain in effect until the
contract is modified to delete the reference to the
requirements in the canceled Orders.
a. DOE 5635.4, PROTECTION OF UNCLASSIFIED CONTROLLED
NUCLEAR INFORMATION, of 2-3-88.
b. DOE 5650.3A, IDENTIFICATION OF UNCLASSIFIED CONTROLLED
NUCLEAR INFORMATION, of 6-8-92.
3. APPLICABILITY.
a. Departmental Elements. Except for the exclusion in
paragraph 3c, all Departmental Elements that generate,
possess, or have access to UCNI shall follow the
provisions of this Order.
b. Contractors. Except for the exclusion in paragraph 3c,
any DOE contractor who generates, possesses, or has
access to UCNI in the performance of the contract shall
follow the provisions set forth in the Contractor
Requirements Document (see Attachment 1) to the extent
that these provisions are incorporated into the
contract. Contractors shall be directed to continue to
comply with the requirements of Orders canceled by this
Order until their contracts are modified to delete the
reference to the requirements of the canceled Orders.
c. Exclusion. Requirements in this Order that overlap or
duplicate requirements of the Nuclear Regulatory
Commission (NRC) related to radiation protection,
nuclear safety (including quality assurance), and
safeguards and security of nuclear material do not apply
to the design, construction, operation, and
decommissioning of Office of Civilian Radioactive Waste
Management (RW) facilities.
4. REQUIREMENTS. Specific requirements for UCNI are delineated
in Chapters I to III. Deviations (i.e., variances, waivers,
and exceptions) from these requirements shall be processed
according to DOE O 470.1, SAFEGUARDS AND SECURITY PROGRAM,
with the following caveats:
a. For any deviations from the requirements in Chapter I
notifications of variances and waivers shall be made to
the Director of Declassification rather than the
Director of Safeguards and Security.
b. For any deviations from the requirements for routine
access to UCNI in Chapter II, paragraph 1a(5), the
Director of Safeguards and Security is the approval
authority.
5. RESPONSIBILITIES. Any authority assigned to an individual
by this Order is redelegable to subordinate officials within
the individual's organization unless specifically prohibited
by this Order. The Director of Declassification or the
Director of Safeguards and Security shall concur in any such
redelegation, as appropriate.
a. Director of Nonproliferation and National Security shall
oversee the program to identify and protect UCNI.
b. Director of Security Affairs.
(1) Establish policy for the program to identify and
protect UCNI.
(2) Determine whether a material is a "nuclear
material" under 10 CFR 1017.10.
(3) Make the final determination in all appeals
involving the denial of a request for UCNI made
under statute or Executive order. To avoid a
conflict of interest, the Director of Security
Affairs is not a Denying Official for UCNI.
c. Director of Declassification.
(1) Administer the program to identify UCNI by
developing and interpreting policy and procedures
(see Chapter I).
(2) Determine that specific Government information is
or is not UCNI under 10 CFR 1017.7 to 1017.9.
(3) Develop and issue the UCNI General Guideline and
all topical guidelines; approve all UCNI
guidelines.
(4) Appoint Reviewing Officials for Headquarters
Elements and their contractors and any organization
not under a Classification Officer.
(5) Appoint Reviewing Officials who may review matter
for UCNI that is not under their own programmatic
or organizational cognizance.
(6) Issue, and make available upon request to any
interested person, a quarterly report as specified
in 10 CFR 1017.11.
(7) Develop and conduct education programs on the
identification of UCNI for Headquarters Elements.
(8) Conduct appraisals of Departmental Elements to
ensure implementation of and adherence to those
portions of this Order under the cognizance of the
Director of Declassification.
(9) Provide analytical support and recommendations to
assist the Director of Security Affairs in
exercising his/her appeal authority concerning the
denial of requests for UCNI in all appeals made
under statute or Executive order.
(10) Notify the Director of Scientific and Technical
Information and the originator of any unclassified
scientific and technical report (as defined in
DOE 1430.1D, SCIENTIFIC AND TECHNICAL INFORMATION
MANAGEMENT) that is determined by the Director of
Security Affairs on appeal to no longer contain
UCNI.
d. Director of Safeguards and Security.
(1) Administer the DOE program to protect UCNI by
developing and interpreting policy and procedures
(with the exception of policy and procedures for
protection of information being processed, stored,
or transmitted in unclassified automated
information systems, which is the responsibility of
the Office of Information Management). See
Chapters II and III.
(2) Approve categorical requests for special access to
UCNI. (See Chapter II, 1b(6)).
e. Heads of Headquarters Elements.
(1) Grant special access to UCNI under their cognizance
to persons who are not authorized routine access.
(See Chapter II, paragraph 1b(2)).
(2) Appoint an individual to be responsible for
bringing to the attention of the contracting
officer each procurement falling within the scope
of this Order. If such an individual is not
appointed, this responsibility is that of the
procurement request originator (the individual
responsible for initiating a requirement on DOE F
4200.33, "Procurement Request Authorization").
f. Heads of Field Elements.
(1) Develop and conduct education and awareness
programs on the identification and protection of
UCNI for DOE and contractor employees under their
cognizance.
(2) Conduct appraisals of contractors and
subcontractors under their jurisdiction to
determine their implementation of and adherence to
those portions of this Order under the cognizance
of the Director of Declassification.
(3) Appoint an individual to be responsible for
bringing to the attention of the contracting
officer each procurement falling within the scope
of this Order. If such an individual is not
appointed, this responsibility is that of the
procurement request originator (the individual
responsible for initiating a requirement on DOE F
4200.33, "Procurement Request-Authorization").
g. Assistant Secretary for Environment, Safety and Health,
through the Deputy Assistant Secretary for Independent
Oversight and Appraisals, shall verify compliance with
requirements in Chapter II through independent
inspections and evaluations.
h. Director of Information Management, shall develop and
interpret policy and procedures for the overall
Departmental program to protect information being
processed, stored, or transmitted in unclassified
automated information systems.
i. Director, Naval Nuclear Propulsion Program, shall
implement and oversee all policy and practices
pertaining to this Order for activities under the
Director's cognizance.
j. Director, Scientific and Technical Information, shall
establish and maintain a system to notify addressees on
any special distribution list maintained by the Office
of Scientific and Technical Information of any changes
in the UCNI status of matter distributed by the Office
of Scientific and Technical Information. Any other
notification is a responsibility of the originator, as
specified in Chapter I, part B, paragraph 8.
k. Field Element and Contractor Classification Officers
appointed under DOE 5650.2B, IDENTIFICATION OF
CLASSIFIED INFORMATION, are Reviewing Officials and
shall appoint other Reviewing Officials from their
organizations, subordinate organizations, and
contractors.
l. Procurement Request Originators or such other
individual(s) as appointed by the cognizant Head of the
Departmental Element, shall bring to the attention of
the cognizant contracting officer the following:
(1) Each procurement requiring the application of this
Order.
(2) Requirements for flow-down provisions of this Order
to any subcontract or subaward.
(3) Identification of the portion(s) of this Order with
which the awardee or, if different, a subawardee is
to comply.
m. Contracting Officers, based on advice received from the
procurement request originator or other appointed
individual, shall apply this Order to contracts as
applicable. For awards other than management and
operating contracts, this shall be by incorporation or
reference using explicit language in a contractual
action.
6. CONTACT. Direct any questions or comments regarding this
Order to the Office of Declassification (301-903-5454).
Specific questions or comments on Chapters II and III should
be directed to the Office of Safeguards and Security (301-
903-4805).
BY ORDER OF THE SECRETARY OF ENERGY:
ARCHER L. DURHAM
Assistant Secretary for
Human Resources and
Admnistration
DOE O 471.1 i
9-25-95
TABLE OF CONTENTS
CHAPTER I - IDENTIFICATION OF UNCLASSIFIED CONTROLLED NUCLEAR
INFORMATION
PART A - CONTROL OF INFORMATION
1. Unclassified Controlled Nuclear Information Guidelines................I-1
2. General Guideline.....................................................I-1
3. Topical Guidelines....................................................I-2
4. Internal Guidelines...................................................I-2
5. Basis Citation Exception..............................................I-4
6. Guidelines and Classification Guides..................................I-4
PART B - REVIEW OF MATTER
1. Overview .............................................................I-5
2. Reviewing Officials...................................................I-5
3. Review of Matter......................................................I-6
4. Denying Officials.....................................................I-8
5. Denial of Matter by a Denying Official................................I-8
6. Appeal of the Denial of Matter by a Denying Official..................I-9
7. Joint Matter..........................................................I-9
8. Notification of Determination.........................................I-9
9. Matter Retired to a Repository.......................................I-10
10. Widely Disseminated Matter or Information............................I-10
PART C - MARKING OF MATTER
1. Relationship to Other Types of Control Markings......................I-11
2. Unclassified Matter That May Contain Unclassified
Controlled Nuclear Information.....................................I-11
3. Unclassified Matter That Contains Unclassified
Controlled Nuclear Information.....................................I-12
4. Special Format Matter................................................I-13
5. Transmittal Documents................................................I-13
6. Use of Alternate Markings............................................I-13
7. Unclassified Matter That No Longer Contains
Unclassified Controlled Nuclear Information........................I-14
8. Unclassified Matter That Does Not Contain
Unclassified Controlled Nuclear Information........................I-14
9. Existing Matter Containing Unclassified
Controlled Nuclear Information.....................................I-14
10. Upgrading............................................................I-14
ii DOE O 471.1
9-25-95
CHAPTER II - PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR
INFORMATION
1. Access to Unclassified Controlled Nuclear Information................II-1
2. Physical Protection Requirements.....................................II-5
CHAPTER III - VIOLATIONS AND INFRACTIONS
1. Violations..........................................................III-1
2. Infractions.........................................................III-1
CHAPTER I
IDENTIFICATION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION
Part A - Guidelines
1. UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION GUIDELINES.
Three levels of UCNI guidelines shall be used by certain
Reviewing Officials and all Denying Officials to review
matter: the General Guideline, Topical Guidelines, and
Internal Guidelines. The General Guideline contains topics
based on control determinations. A Topical Guideline is
usually based on the General Guideline and identifies what
specific Government information is UCNI in one or more
technical or programmatic areas. An Internal Guideline is
based on Topical Guidelines or, if necessary, the General
Guideline, and identifies what specific Government
information of interest to the issuing organization is UCNI.
2. GENERAL GUIDELINE.
a. Purpose. The General Guideline identifies broad areas
of information that are or are not UCNI. In addition,
the General Guideline shall be used as the basis for the
following:
(1) Topical Guidelines and Internal Guidelines.
(2) A Preliminary Review Determination by any Reviewing
Official in any subject area where no Topical or
Internal Guideline exists.
(3) A Final Review Determination by the Office of
Declassification or by DOE Field Element or
contractor Classification Officers or their
delegates in any subject area where no Topical or
Internal Guideline exists.
(4) A Denial Determination by any Denying Official in
any subject area where no Topical or Internal
Guideline exists.
b. Originator/Approval Authority. The General Guideline is
approved and issued by the Office of Declassification.
c. Basis. The General Guideline is based on control
determinations by the Director of Declassification that
information is or is not UCNI.
d. Uses.
(1) Preliminary Review Determination. A Reviewing
Official may use the General Guideline only to
make a Preliminary Review Determination.
(2) Final Review Determination. The Office of
Declassification or the DOE Field Element or
contractor Classification Officers or their
delegates may use the General Guideline to make a
Final Review Determination in any subject area
where Topical or Internal Guidelines do not exist.
(3) Denial Determination. A Denying Official may use
the General Guideline to make a Denial
Determination in any subject area where Topical or
Internal Guidelines do not exist.
e. Identification Number. Each topic in the General
Guideline that states that information is UCNI shall
include an identification number (e.g., GG #10).
3. TOPICAL GUIDELINES.
a. Purpose. A Topical Guideline identifies what
information in a specific technical or program area is
or is not UCNI.
b. Originator/Approval Authority. The Office of
Declassification approves and issues Topical Guidelines.
c. Basis. A Topical Guideline is based on and is
consistent with the General Guideline or another Topical
Guideline.
d. Uses.
(1) Final Review Determination. Any Reviewing Official
may use a Topical Guideline to make a Final Review
Determination.
(2) Denial Determination. A Denying Official may use a
Topical Guideline to make a Denial Determination.
e. Basis Citation. Each topic in a Topical Guideline that
designates information as UCNI shall cite the General
Guideline identification number on which it is based. A
Topical Guideline UCNI topic may also be based on a
topic in another Topical Guideline; if so, it should
cite the other Topical Guideline topic and not a General
Guideline topic. Each topic in a Topical Guideline
designated as UCNI shall include a Topical Guideline
identification number (e.g., NV-TV #1) to be cited as
the basis for either Topical or Internal Guideline
topics.
4. INTERNAL GUIDELINES.
a. Purpose. An Internal Guideline identifies information
of interest to the issuing organization that is or is
not UCNI.
b. Originator/Approval Authority. DOE Elements and DOE
contractor organizations may issue Internal Guidelines.
(1) The Office of Declassification shall approve each
Internal Guideline before it is issued or reissued.
The Director of Declassification may delegate this
authority in writing to Field Element
Classification Officers on a case-by-case basis.
(2) Internal Guidelines are not required to be issued
by any organization if Topical Guidelines and the
General Guideline are adequate for the needs of the
organization.
(3) Where UCNI Internal Guidelines are contained in a
classification guide being revised or reissued, the
originator shall submit a copy of the joint
classification/UCNI guidance to the Office of
Declassification for approval, even if the UCNI
portion is not being revised, to ensure that the
UCNI portion conforms with current policy.
c. Basis. In general, an Internal Guideline is based on
Topical Guidelines; however, where no applicable Topical
Guideline exists, an Internal Guideline may be based
directly on the General Guideline.
d. Uses.
(1) Preliminary Review Determination. Any Reviewing
Official may use another organization's Internal
Guideline only to make a Preliminary Review
Determination.
(2) Final Review Determination. Only the Office of
Declassification, Reviewing Officials within the
issuing organization, and those Reviewing
Officials who have been authorized within the
Internal Guideline or otherwise in writing by the
issuing organization, may use an Internal Guideline
to make a Final Review Determination.
(3) Denial Determination. Any Denying Official may use
an Internal Guideline generated by an organization
under his/her cognizance to make a Denial
Determination.
e. Basis Citation. Each topic in an Internal Guideline
that states that information is UCNI shall cite the
General Guideline or Topical Guideline identification
number on which the topic is directly based.
f. Submission of Guideline for Approval. An organization
that submits an Internal Guideline to the Office of
Declassification for review and approval shall include
the following:
(1) The full text of the guideline (in joint
classification/UCNI guidance, this includes the
entire guidance document).
(2) A justification for any deviations to current
policy proposed in the draft guideline.
(3) A contact point for requesting approval for use of
the guideline by Reviewing Officials not within the
issuing organization or otherwise not authorized to
use the Internal Guideline.
(4) A contact point for requesting copies of the
guideline.
g. Copies of the Guideline. Any organization that issues
an Internal Guideline shall send the Office of
Declassification one floppy diskette in either ASCII or
WordPerfect 5.1 or higher format and five copies of the
issued guideline.
5. BASIS CITATION EXCEPTION. UCNI guidelines approved prior to
the issuance of this Order do not have to be revised merely
to incorporate basis citations as required. However, basis
citations must be added the next time these guidelines are
revised.
6. GUIDELINES AND CLASSIFICATION GUIDES. A Topical or Internal
Guideline and a classification guide may be issued together
in a single document. Such a document shall be titled to
clearly indicate that it contains both classification and
UCNI guidance (i.e., Classification and UCNI Guide for
Project XYZ). UCNI topics in a program or topical
classification guide are Topical Guideline topics. UCNI
topics in a local classification guide are Internal
Guideline topics. Approval and other requirements for joint
classification/UCNI guidance are the same as they would be
if the classification and UCNI guidance were issued
separately.
Part B - Review of Matter
1. OVERVIEW. Any matter that may contain UCNI should be sent
to a Reviewing Official prior to release. A Reviewing
Official makes a Preliminary or Final Review Determination
that the matter may contain, contains, or does not contain
UCNI. In general, Reviewing Officials base their reviews on
Topical Guidelines and Internal Guidelines. These
guidelines contain detailed descriptions of what is or is
not UCNI. If matter containing UCNI is requested under a
statute or Executive order, the Reviewing Official shall
send the matter to a Denying Official.
2. REVIEWING OFFICIALS.
a. Authority. A Reviewing Official with cognizance over
information contained in matter (or as appointed by the
Office of Declassification) is authorized to make a
Preliminary or Final Review Determination that the
matter may contain, contains, does not contain, or no
longer contains UCNI. A Preliminary Review
Determination that matter may contain UCNI is made only
when no applicable Topical or Internal Guidelines
(approved for use by the Reviewing Official) exist.
When such UCNI guidelines exist, the Reviewing Official
shall make a Final Review Determination. A Reviewing
Official authorizes the application or removal of UCNI
markings to or from matter. The Reviewing Official's
authority may not be redelegated to anyone or exercised
by a person acting for or in the absence of the
Reviewing Official.
b. Appointment of Reviewing Officials.
(1) Field. DOE Field Element and contractor
Classification Officers shall appoint additional
Reviewing Officials as necessary from their
organizations, subordinate organizations, and
contractors. Any individual in a position that
requires Reviewing Official authority should submit
a request to the local Classification Officer
following local procedures.
(2) Headquarters. The Office of Declassification
appoints Reviewing Officials for Headquarters
organizations and contractors and for any
organization not under a Classification Officer.
Any individual in a position that requires
Reviewing Official authority shall submit a request
signed by the office director or higher level
official to the Office of Declassification. This
request must contain the following information:
(a) Name of the individual requiring the
authority.
(b) Title, mailing address (including organization
code), and telephone number of the individual.
(c) Whether the individual is a Federal employee
or a contractor.
(d) Why the authority is required.
(e) The anticipated frequency of use of the
authority (e.g., daily, weekly).
(f) The UCNI guideline(s) to be used (a list of
guidelines is available from the Office of
Declassification).
(g) Qualifications of the individual (include
educational background and experience).
c. List of Current Reviewing Officials. Each appointing
official shall maintain a current list of all Reviewing
Officials under his/her cognizance. This list shall
include:
(1) name, title, and organization of each Reviewing
Official;
(2) the effective date of the appointment; and
(3) any special instructions or limitations that apply
to the appointment.
d. Termination of Appointment. Each Reviewing Official
shall notify his/her appointing official when vacating
the position for which the authority was granted or when
the position no longer requires such authority.
3. REVIEW OF MATTER.
a. Responsibilities of Originator or Possessor of Matter.
Existing matter in a person's possession is not required
to be reviewed for UCNI. However, any person who thinks
unclassified matter he/she originates or possesses may
contain UCNI, based on any knowledge or experience of
the UCNI program that the person may have, shall proceed
as follows:
(1) Mark the Matter. The originator or possessor shall
mark the matter as soon as possible as described in
Chapter I, part C, paragraph 2a.
(2) Obtain a Review Determination.
(a) Newly Generated Matter. The originator of the
matter shall send it to a Reviewing Official
when it is to be finalized, sent outside the
originator's organization, or filed.
(b) Existing Matter. The possessor of the matter
shall send it to a Reviewing Official when it
is to be sent outside the possessor's
organization or filed. (NOTE: Matter
retrieved from the files for reference,
inventory, or similar purposes does not have
to be reviewed for UCNI as long as it will be
returned to the files.)
(c) Exception to Obtaining a Review Determination.
A review determination is not required of
matter sent outside the originator's or
possessor's organization for destruction.
However, any matter being destroyed that is
not marked as containing UCNI but that the
originator or possessor believes may contain
UCNI shall be destroyed in accordance with
procedures in Chapter II, paragraph 2d.
b. Responsibilities of the Reviewing Official. A Reviewing
Official shall review matter potentially containing UCNI
and make a Preliminary or Final Review Determination
based on applicable UCNI guidelines authorized for use
by the Reviewing Official.
(1) When to Make a Preliminary Review Determination.
When no applicable Topical or Internal Guidelines
exist, a Reviewing Official shall make a
Preliminary Review Determination that matter may
contain UCNI. The Reviewing Official may base such
a determination on General Guideline topics or on
knowledge or experience in the subject area covered
by the matter. The Reviewing Official shall ensure
that the matter is marked as described in Chapter
I, part C, paragraph 2b.
(2) When to Make a Final Review Determination. When
applicable Topical and Internal Guidelines exist, a
Reviewing Official shall make a Final Review
Determination that matter contains, does not
contain, or no longer contains UCNI. The Reviewing
Official shall ensure that the matter is marked as
described in Chapter I, part C, paragraphs 3, 7, or
8.
(3) When a Final Review Determination is Needed and No
Applicable Topical or Internal Guidelines Exist.
If a Final Review Determination for matter is
needed for any reason and no applicable Topical or
Internal Guidelines exist, the Reviewing Official
shall send the matter and recommendations on
information that should be UCNI to the local
Classification Officer, or for Headquarters, to the
Office of Declassification. The local
Classification Officer or the Office of
Declassification shall then determine whether the
matter contains UCNI.
c. Review Responsibilities of Classification Officers.
(1) When General Guideline Topics Exist. A
Classification Officer may make a Final Review
Determination that matter contains, does not
contain, or no longer contains UCNI based on
applicable General Guideline topics. The
Classification Officer shall ensure that the matter
is marked as described in Chapter I, part C,
paragraphs 3, 7, or 8. A Classification Officer
may delegate this authority to Reviewing Officials
on his/her immediate staff; otherwise, this
authority shall not be delegated.
(2) When No Applicable General Guideline Topics Exist.
If there is a specific requirement for a Final
Review Determination for the matter and no
applicable General Guideline topics exist, the
Classification Officer shall send the matter to the
Office of Declassification with recommendations for
a determination.
d. Scientific and Technical Reports. A Reviewing Official
shall report to the Office of Scientific and Technical
Information and the originator the title, number, date,
originating organization, author, and UCNI status of any
unclassified scientific and technical report that he/she
determines may contain, does contain, or no longer
contains UCNI.
e. Requests for Matter. A Reviewing Official shall review
for UCNI any matter containing information under
his/her cognizance if the review is requested to fulfill
requirements based on a statute, Executive order,
regulation, or directive. A Reviewing Official may
review for UCNI any matter containing information under
his/her cognizance whenever appropriate.
4. DENYING OFFICIALS.
a. Authority. A Denying Official with cognizance over the
information contained in the matter shall deny a request
made under a statute (e.g., the Freedom of Information
Act) or Executive order for any portion of matter that
he/she determines to contain UCNI. The Denying Official
ensures that the Reviewing Official who determined that
the matter contains UCNI correctly interpreted and
applied UCNI guidelines. The Denying Official may not
overrule or change UCNI guidelines.
b. Appointment. A Denying Official for UCNI for a request
made under a statute or Executive order is the same as a
Denying Official for any other unclassified information
as defined in DOE 1700.1, FREEDOM OF INFORMATION
PROGRAM, regardless of whether the request was made
under the Freedom of Information Act. There is no
additional requirement for the separate appointment of a
Denying Official for UCNI under this Order.
Redelegation of this authority is subject to
requirements contained in DOE 1700.1. To avoid a
conflict of interest, the Director of Security Affairs
is not a Denying Official for UCNI since the Director of
Security Affairs is the appeal authority for denials of
UCNI made by any Denying Official.
5. DENIAL OF MATTER BY A DENYING OFFICIAL.
a. Denial Determination. Since UCNI is exempt from public
release, a Reviewing Official shall transmit to the
appropriate Denying Official any matter determined by
the Reviewing Official to contain UCNI whose public
release has been requested under statute (e.g., the
Freedom of Information Act) or Executive order. Prior
to such transmittal, the Reviewing Official shall
bracket each reasonably segregable portion of the matter
that contains UCNI. The Denying Official shall then
review the requested matter and appropriate UCNI
guidelines prior to making a denial determination. The
Denying Official shall deny a request made under statute
or Executive order for any portion of the matter that
contains UCNI. This denial determination is based on
the Reviewing Official's recommendation and applicable
UCNI guidelines.
b. Reporting Requirements.
(1) Office of Declassification. The Denying Official
shall notify the Office of Declassification of each
denial determination and shall provide that office
with a copy of the request letter, the denial
letter, and any analysis supporting the denial
determination. The Denying Official shall not
provide copies of the matter that was the subject
of the request unless specifically requested by the
Office of Declassification.
(2) Office of Scientific and Technical Information. A
Denying Official shall notify the report originator
and the Office of Scientific and Technical
Information of the title, number, date, originating
organization, and author of any unclassified
scientific and technical report whenever a report
previously marked to indicate it may contain or
does contain UCNI is determined by the Denying
Official to no longer contain UCNI.
6. APPEAL OF THE DENIAL OF MATTER BY A DENYING OFFICIAL.
a. Authority. The Director of Security Affairs makes the
determination regarding the denial of UCNI in all
appeals involving requests for matter made under statute
or Executive order. The Director of Hearings and
Appeals issues the final appeal determination on behalf
of the DOE.
b. Analytical Support. The Office of Declassification
provides analytical support and recommendations to
assist the Director of Security Affairs in exercising
his/her UCNI appeal authority. When requested by the
Office of Declassification, a Denying Official
shall provide supporting or background material concerning the
denial determination that is the subject of the appeal. A
Denying Official shall provide the same material to the Office of
Hearings and Appeals when so requested by that office.
c. Scientific and Technical Reports. The Office of
Declassification shall report to the Office of
Scientific and Technical Information and the originator
the title, number, date, originating organization, and
author of any unclassified scientific and technical
report that is determined on appeal to no longer contain
UCNI.
7. JOINT MATTER. A Reviewing Official or a Denying Official
shall coordinate the review of matter for decontrol and
public release with (a) the DOE organization or Federal
agency originating the matter and (b) each DOE organization
or Federal agency having cognizance over any information
contained in the matter. The Director of Security Affairs
has the authority to resolve disagreements between Reviewing
Officials or Denying Officials as to whether or not the
matter contains UCNI.
8. NOTIFICATION OF DETERMINATION. A Reviewing Official shall
notify the originator of any unclassified matter determined
by the Reviewing Official to contain or to no longer contain
UCNI. To the extent practical, a Denying Official should
notify the originator of the matter that was previously
marked to indicate it may contain or does contain UCNI
whenever the matter is released by the Denying Official
because he/she has determined the report no longer contains
UCNI. To the extent practical, the originator of the matter
should notify all holders of the matter of the
determination.
9. MATTER RETIRED TO A REPOSITORY. Any matter retired to a
repository prior to the date of this Order is not required
to be reviewed for UCNI while in the repository or when
retrieved from the repository for reference, inventory, or
similar purposes as long as it will be returned to the
repository. However, any such unclassified matter that is
requested for release under a statute or Executive order
which is likely to contain UCNI shall be reviewed by a
Reviewing Official; if determined to contain UCNI, it must
be marked by the repository personnel in accordance with
this chapter upon notification that the matter contains
UCNI.
10. WIDELY DISSEMINATED MATTER OR INFORMATION.
a. Matter. Any matter widely disseminated in the public
domain (e.g., a document that is available in a public
or university library) is exempt from control under this
Order regardless of its content. The determination as
to whether matter has been widely disseminated is made
by a Reviewing Official.
b. Information. Widespread public dissemination of matter
containing information otherwise eligible for control as
UCNI precludes control of the information as UCNI.
Part C - Marking of Matter
1. RELATIONSHIP TO OTHER TYPES OF CONTROL MARKINGS.
a. Unclassified Matter. UCNI markings shall be applied to
any unclassified matter that may contain or contains
UCNI regardless of any other unclassified control
marking (e.g., Official Use Only, company
"confidential") that is also on the matter.
b. Classified Matter. UCNI markings shall not be applied
to classified matter that contains UCNI, unless such
matter has been portion-marked to indicate
classification level. In such cases, the acronym "UCNI"
shall be used to indicate those unclassified portions
containing UCNI.
2. UNCLASSIFIED MATTER THAT MAY CONTAIN UNCLASSIFIED CONTROLLED
NUCLEAR INFORMATION.
a. Matter Pending Review.
(1) Front Marking. If a person thinks that
unclassified matter may contain UCNI, then prior to
transmittal to a Reviewing Official, the person
shall mark (a) a blank sheet of paper attached to
the front of the matter so as not to deface it or
(b) the front of the matter as follows:
NOT FOR PUBLIC
DISSEMINATION
May contain Unclassified Controlled
Nuclear Information subject to section
148 of the Atomic Energy Act of 1954, as
amended (42 U.S.C. 2168). Approval by
the Department of Energy prior to release
is required.
(2) Page Marking. No other front or internal page
markings are required.
(3) Removal of Marking. This marking may be removed by
(a) the person who applied it or (b) a Reviewing
Official who makes a Preliminary or Final Review
Determination.
b. Preliminary Review Determination.
(1) Front Marking. If a Reviewing Official determines
that unclassified matter may contain UCNI, the
Reviewing Official shall ensure that the front of
the matter is marked as follows:
NOT FOR PUBLIC
DISSEMINATION
May contain Unclassified Controlled
Nuclear Information subject to
section 148 of the Atomic Energy Act
of 1954, as amended (42 U.S.C. 2168).
Approval by the Department of Energy
prior to release is required.
Reviewing
Official: ____________________________
(Name/Organization)
Date: ______________________________
(2) Page Marking. The marking "MAY CONTAIN
UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION" shall
be placed on the bottom of the front of the matter
and (a) on the bottom of each interior page of the
matter or (b) if more convenient, on the bottom of
only those interior pages that may contain UCNI.
c. Removal of Preliminary Review Determination Markings.
The markings may be removed by the Reviewing Official
who applied them or a Reviewing Official who makes a
Final Review Determination.
3. UNCLASSIFIED MATTER THAT CONTAINS UNCLASSIFIED CONTROLLED
NUCLEAR INFORMATION.
a. Front Marking. When a Reviewing Official makes a Final
Review Determination that unclassified matter contains
UCNI, the Reviewing Official shall ensure that the front
of the matter is marked as follows:
UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION
NOT FOR PUBLIC DISSEMINATION
Unauthorized dissemination subject to
civil and criminal sanctions under
section 148 of the Atomic Energy Act
of 1954, as amended (42 U.S.C. 2168).
Reviewing
Official: ____________________________
(Name/Organization)
Date: ______________________________
b. Page Marking. The marking "UNCLASSIFIED CONTROLLED
NUCLEAR INFORMATION" or "UCNI" shall be placed on the
bottom of the front of the matter and (1) on the bottom
of each interior page of the matter or (2) if more
convenient, on the bottom of only those interior pages
that contain UCNI.
c. Removal of Markings. The removal of these markings may
be authorized by (1) the Reviewing Official who applied
them; (2) the local Classification Officer or his/her
delegate or, for Headquarters, the Office of
Declassification; or (3) a Denying Official.
4. SPECIAL FORMAT MATTER. Special formats of unclassified
matter (e.g., photographs, viewgraphs, films, magnetic
tapes, floppy diskettes, audio or videotapes, slides) shall
be marked to the extent practical as described in paragraphs
2 and 3, above. Regardless of the precise markings used in
such cases, any special-format, unclassified matter that
contains UCNI shall be marked so that both a person in
physical possession of the matter (e.g., markings on a
viewgraph frame, a film reel and its container) and a person
with access to the information in or on the matter (e.g.,
markings on the projected image of a slide, a warning on a
film leader) are made aware that it contains UCNI. When
space is limited, as on a 35 mm slide, the marking, "UCNI,"
will suffice.
5. TRANSMITTAL DOCUMENTS. A document that (a) transmits matter
marked as potentially containing UCNI or as containing UCNI
and (b) does not itself contain classified information or
UCNI shall be marked on its front as follows:
Matter transmitted may
contain/contains Unclassified
Controlled Nuclear Information. When
separated from enclosures, this
document is not UCNI.
6. USE OF ALTERNATE MARKINGS.
a. Conditions of Use. A Reviewing Official shall authorize
the application of alternate markings to unclassified
matter determined by the Reviewing Official to contain
UCNI only if both of the following conditions are true:
(1) The matter is related to an atomic energy defense
program, but does not contain any information
explicitly indicating this relationship.
(2) The fact of the relationship of the matter to an
atomic energy defense program is itself sensitive.
b. Alternate Markings. The following markings shall be
used only if a Reviewing Official determines that the
conditions of use described above are satisfied. All
other standard markings specified in this chapter shall
be used as appropriate:
(1) Alternate Determination Marking. The following
marking shall be placed on the front of the matter:
NOT FOR PUBLIC DISSEMINATION
Unauthorized dissemination
subject to civil and
criminal sanctions under 42
U.S.C. 2168.
(2) Alternate Page Marking. The following marking
shall be placed on the bottom of the front of the
matter and (a) on each interior page of the matter
or (b) on only those interior pages that contain
UCNI:
UNCLASSIFIED CONTROLLED INFORMATION
7. UNCLASSIFIED MATTER THAT NO LONGER CONTAINS UNCLASSIFIED
CONTROLLED NUCLEAR INFORMATION. A Reviewing Official or a
Denying Official may determine that unclassified matter
marked as containing UCNI no longer contains UCNI. In such
a case, the official shall ensure that all UCNI markings are
removed or crossed out and that the front of the matter is
marked as follows:
DOES NOT CONTAIN
UNCLASSIFIED CONTROLLED
NUCLEAR INFORMATION
Reviewing
Official: _________________________
(Name/Organization)
Date: ____________________________
8. UNCLASSIFIED MATTER THAT DOES NOT CONTAIN UNCLASSIFIED
CONTROLLED NUCLEAR INFORMATION. A Reviewing Official may
determine that unclassified, unmarked matter does not
contain UCNI. No markings are required in such a case;
however, for documentation purposes, the Reviewing Official
may mark the front of the matter with the same marking used
in paragraph 7 above.
9. EXISTING MATTER CONTAINING UNCLASSIFIED CONTROLLED NUCLEAR
INFORMATION. Matter originated prior to the date of this
Order that has not previously been reviewed for UCNI shall
be reviewed and appropriately marked when retrieved from the
files for active use or dissemination. Existing matter
containing UCNI need not be reviewed and marked when it is
retrieved from the files for reference, inventory, or
similar purposes as long as it will be returned to the
files.
10. UPGRADING. Any notification that directs that existing,
unmarked matter be marked UCNI shall itself be UCNI. Such a
notification shall include:
(a) sufficient information to allow the holder of the matter
to identify it;
(b) the name and organization of the Reviewing Official
authorizing the upgrade; and
(c) the date of the upgrade determination.
For notification distribution requirements, refer to Chapter
I, part B, paragraph 8.
CHAPTER II
PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION
1. ACCESS TO UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION.
Access to UCNI shall be provided only to those authorized
routine or special access.
a. Routine Access. Routine access refers to the normal
exchange of UCNI during the conduct of official business
and allows for further dissemination of UCNI if the
requirements in paragraph (2) below are met.
(1) Authorized Individual. Routine access to UCNI is
granted by an Authorized Individual, who may be the
originator or any person in authorized possession
of the UCNI. A Reviewing Official is an Authorized
Individual for matter that the Reviewing Official
determines to contain UCNI. An Authorized
Individual may determine that another person is an
Authorized Individual who may be granted routine
access to UCNI, and who may further disseminate
UCNI under the procedures of paragraph (2) below.
The recipient of UCNI from an Authorized Individual
is also an Authorized Individual for the specific
UCNI to which routine access has been granted. An
Authorized Individual designates another person to
be an Authorized Individual by the act of giving
that person UCNI. No explicit designation or
security clearance is required. This second
Authorized Individual may further disseminate UCNI
under the procedures in the following paragraph.
Only those persons identified below may have
routine access to UCNI.
(2) Eligibility for Routine Access. A person to be
granted routine access to UCNI must have a need to
know the specific UCNI in the performance of
official duties or of DOE-authorized activities.
In addition to the need-to-know requirement, the
person must meet at least one of the following
requirements:
(a) U.S. Citizen. The person is a U.S. citizen
who is one of the following:
1 A Federal employee or member of the U.S.
Armed Forces.
2 An employee of a Federal contractor or
subcontractor or an employee of a
prospective Federal contractor or
subcontractor who will use the UCNI for
the purpose of bidding on a Federal
contract or subcontract.
3 A Federal consultant or DOE advisory
committee member.
4 A Member of Congress.
5 A staff member of a congressional
committee or of an individual Member of
Congress.
6 The Governor of a State, his/her
designated representative, or a State
government official.
7 A local government official or an Indian
tribal government official.
8 A member of a State, local, or Indian
tribal law enforcement or emergency
response organization.
9 A DOE access permittee authorized under
10 CFR Part 725 to have access to
Restricted Data and is applicable to
civil uses of atomic energy.
(b) Other Than a U.S. Citizen. The person is
other than a U.S. citizen and is one of the
following:
1 A Federal employee or a member of the
U.S. Armed Forces.
2 An employee of a Federal contractor or
subcontractor.
3 A Federal consultant or DOE advisory
committee member.
(c) Other Than a U.S. Citizen and Otherwise Not
Eligible for Routine Access. The person may
be other than a U.S. citizen who is not
otherwise eligible for routine access to UCNI
under the above paragraph, but who requires
routine access to specific UCNI in conjunction
with one of the following:
1 An international nuclear cooperative
activity approved by the U.S. Government.
2 U.S. diplomatic dealings with foreign
government officials.
3 An agreement for cooperation under
section 123 of the Atomic Energy Act.
4 Provisions of treaties, mutual defense
acts, or Federal contracts or
subcontracts.
The Authorized Individual who desires to
release UCNI to a person under this paragraph
shall coordinate such release with the
Secretarial Officer with cognizance over the
information. In addition, the individual must
acknowledge in writing prior to receiving the
UCNI that he/she agrees to afford the UCNI an
equivalent level of protection as required by
this Order.
(3) Dissemination Limitations. An Authorized
Individual may disseminate UCNI only to another
Authorized Individual or to a person granted
special access to that UCNI information (see
paragraph 1b below).
(4) Access to UCNI Matter by Prospective Contractors in
Bidrooms. To have access to matter that contains
UCNI in bidrooms, a prospective contractor desiring
access shall execute a self-certification that
he/she is a U.S. citizen and will use the UCNI only
in a manner consistent with the requirements in
10 CFR Part 1017. This self-certification shall be
sent to the local contracting office.
(5) Deviation from Requirements. The Office of
Safeguards and Security may approve a waiver or
recommend approval of an exception to any
requirement for routine access to specific UCNI.
However, the Office of Safeguards and Security
shall obtain the concurrence of the Secretarial
Officer having cognizance over the UCNI prior to
granting such a waiver for routine access to
specific UCNI.
b. Special Access. Special access may be granted to
individuals not authorized routine access to UCNI.
Examples of when special access might be granted include
an attorney representing an employee in litigation with
the DOE or a representative of a public interest group
concerned about environmental issues at a DOE site.
(1) Submission of a Request. A person not authorized
routine access to UCNI may submit a request for
special access to UCNI to the cognizant Secretarial
Officer. Such a request must include the
following:
(a) Requester's name, current residence or
business address, birthplace, birth date, and
country of citizenship.
(b) A description of the UCNI requested.
(c) A description of the purpose for which the
UCNI is needed.
(d) Certification by the requester of his/her
understanding of, and willingness to abide by,
the requirements in 10 CFR Part 1017.
(2) Granting a Request. The Secretarial Officer shall
base his/her decision to grant special access to
UCNI on an evaluation of the following criteria:
(a) The sensitivity of the UCNI for which special
access is being requested (i.e., the
worst-case, adverse effect on the health and
safety of the public or the common defense and
security that would result from unauthorized
use of the UCNI).
(b) The purpose for which the UCNI is needed
(e.g., will the UCNI be used for commercial or
other private purposes or used for public
benefit to fulfill statutory or regulatory
responsibilities).
(c) The likelihood of unauthorized dissemination
by the requester.
(d) The likelihood of the requester using the UCNI
for illegal purposes.
(3) Notification to the Office of Safeguards and
Security. When special access is approved by the
Secretarial Officer, he/she shall provide the
Office of Safeguards and Security with the
following information:
(a) Name of individual granted special access.
(b) Description of the UCNI.
(c) Date of approval.
(d) Justification for granting the request.
(4) Notification of Requester. Within 30 days of
receipt of the request, the Secretarial Officer
shall notify the requester of the determination or,
if a determination cannot be made within 30 days,
of the date when the determination will be made.
(5) Special Access Limitations. A person granted
special access to specific UCNI is not an
Authorized Individual and shall not further
disseminate the UCNI.
(6) Categorical Special Access Approval. Requests for
categorical special access approval shall be
submitted to the Director of Safeguards and
Security.
(7) Notification of Responsibilities by Use of Cover
Sheet. Each person granted special access to UCNI
shall be notified of applicable regulations
concerning UCNI prior to dissemination of the UCNI.
Attaching a DOE F 5639.1, "Special Access Cover
Sheet," to the front of the matter containing UCNI
prior to its transmittal to the person constitutes
notification.
2. PHYSICAL PROTECTION REQUIREMENTS. The following physical
protection requirements apply to matter containing UCNI and
that may contain UCNI.
a. Protection in Use. An Authorized Individual shall
maintain physical control over any matter marked as
containing UCNI so as to prevent unauthorized access to
the information.
b. Protection in Storage. UCNI matter shall be stored to
preclude disclosure. Storage of such matter with other
unclassified matter in unlocked receptacles, such as
file cabinets, desks, or bookcases, is adequate when
Government or Government-contractor internal building
security is provided during non-duty hours. When such
internal building security is not provided, locked rooms
or buildings provide adequate after-hours protection.
If rooms or buildings are not locked or otherwise
controlled, UCNI matter shall be stored in locked
receptacles, such as file cabinets, desks, or bookcases.
c. Reproduction. Matter marked as containing UCNI may be
reproduced without permission of the originator to the
minimum extent necessary consistent with the need to
carry out official duties. The reproduced matter must
be marked and protected in the same manner as the
original matter. Copy machine malfunctions must be
cleared with all paper paths checked for UCNI material.
Excess paper containing UCNI shall be destroyed as
described below.
d. Destruction. At a minimum, UCNI matter must be
destroyed by using strip cut shredders that result in
particles of no more than 1/4-inch wide strips. Other
ways providing sufficient destruction (e.g., an intact
document buried in an onsite, controlled access
landfill) may be approved by the local security office.
Note that the decision to dispose of any DOE matter,
whether or not it contains UCNI, must be consistent with
the policies and procedures for records disposition.
e. Transmission. Transmission shall be by means to
preclude unauthorized disclosure or dissemination.
(1) Outside a Facility.
(a) Matter marked as containing UCNI shall be
packaged in a single, opaque envelope or
wrapping.
(b) Any of the following U.S. mail methods may be
used: U.S. First Class, Express, Certified,
or Registered Mail may be used.
(c) Any commercial carrier using a signature
service may be used.
(d) An Authorized Individual or a person granted
special access may hand-carry the matter as
long as he/she can control access to the
matter being transmitted.
(2) Within a Facility.
(a) A standard distribution envelope, such as the
U.S. Government Messenger Envelope (Standard
Form No. 65-B) or equivalent, may be used.
(b) An Authorized Individual or a person granted
special access may hand-carry the matter as
long as he/she can control access to the
matter being transmitted.
(3) Over Telecommunications Circuits. The use of
telecommunications services, including voice
(telephonic, point-to-point), facsimile, narrative
message, communications facilities and radio
communications, must consider and use the most
security readily available for the transmission of
UCNI over this form of media. These considerations
include, but may not be limited to, physical,
personnel, administrative, and communications
protective features and any other supplemental
controls established to provide an acceptable level
of protection for UCNI. These protective features
must deter access to UCNI by unauthorized
individuals and restrict public releasability.
If UCNI is transmitted over public switched
broadcast communications paths (e.g., Internet)
then the information must be protected by
encryption. In emergency situations, facility
management may make a determination to waive
encryption requirements.
f. Automated Information Systems (AIS). The AIS or AIS
network must ensure that only personnel authorized
access to UCNI can access that information. For
instance, networks interconnected with a public switched
- broadcast network - like Internet, must provide
provisions (e.g., authentication, file access controls,
etc.) to ensure that UCNI is protected against
unauthorized access. UCNI being transmitted over
broadcast networks like the Internet, where unauthorized
access is possible, must provide protection (e.g.,
encryption) to ensure that the information is not
improperly accessed.
CHAPTER III
VIOLATIONS AND INFRACTIONS
1. VIOLATIONS. Violation means any knowing, willful, or
negligent action that could reasonably be expected to
result in an unauthorized disclosure or UCNI; or any
knowing willful, or negligent action to control
information as UCNI for prohibited reasons (see 10 CFR
1017.5). Violations are reported under DOE O 470.1,
SAFEGUARDS AND SECURITY PROGRAM. Heads of Departmental
Elements may recommend to the Office of Safeguards and
Security the imposition of a civil or criminal penalty
for an alleged violation, as appropriate. The Director
of Safeguards and Security shall advise the Director of
Security Affairs of each alleged violation. The
Director of Security Affairs may recommend the Secretary
impose a civil penalty or seek imposition of the
criminal penalty by referring the matter to the Attorney
General for investigation and prosecution.
2. INFRACTIONS. Infraction means any knowing, willful, or
negligent action contrary to the requirements of this
Order that does not comprise a violation. A DOE
employee who commits an infraction is subject to an
administrative penalty as outlined in DOE 3750.1, WORK
FORCE DISCIPLINE; a DOE contractor employee who commits
such an infraction is subject to such penalty as the
contractor may impose.