INDEX
U.S. Department of Energy ORDER
Washington, D.C. DOE 5630.8A
7-31-90
SUBJECT: SAFEGUARDING OF NAVAL NUCLEAR PROPULSION INFORMATION
1. PURPOSE. To promulgate the official definition of naval nuclear
propulsion information (NNPI), to outline disclosure policies and
general safeguarding requirements for such information, and to
establish requirements for disposal of material which contains NNPI.
2. CANCELLATION. DOE 5630.8, SAFEGUARDING OF NAVAL NUCLEAR PROPULSION
INFORMATION, of 12-27-82.
3. SCOPE. The provisions of this Order apply to all Departmental
Elements, and to contractors, subcontractors, and consultants who
originate, receive, process, handle, store, transmit, dispose of, or
are otherwise entrusted with the custody of, or have access to, naval
nuclear propulsion information, and whose contracts contain provisions
that require conformance with the provisions of this Order.
4. REFERENCES.
a. CG-RN-1, Revision 1, ERDA-DOD Classification Guide for the Naval
Nuclear Propulsion Program, and Interpretive Guidance Bulletins
(classified documents under the control of the Office of Naval
Reactors), which provide classification guidance for all
information dealing with naval nuclear propulsion.
b. DOE 1360.2A, UNCLASSIFIED COMPUTER SECURITY PROGRAM, of 5-20-88,
which establishes requirements for processing sensitive
unclassified information on DOE computer systems.
c. DOE 5635.1A, CONTROL OF CLASSIFIED DOCUMENTS AND INFORMATION, of
2-12-88, which establishes standards and procedures for
safeguarding classified documents and information to ensure that
only authorized personnel with a need-to-know are permitted access
to such documents and information, and to prevent loss or
compromise of classified documents and information.
d. DOE 5635.4, PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR
INFORMATION, of 2-3-88, which establishes policy and procedures
for the protection of Unclassified Controlled Nuclear Information
(UCNI).
e. DOE 5637.1, CLASSIFIED COMPUTER SECURITY PROGRAM, of 1-29-88,
which establishes requirements for processing classified material
in automatic data processing (ADP) systems.
f. DOE 5650.2A, CLASSIFICATION OF INFORMATION, of 5-8-85, which
establishes responsibilities, authorities, policy, and procedures
for managing the DOE classification system.
g. DOE 5650.3, IDENTIFICATION OF UNCLASSIFIED CONTROLLED NUCLEAR
INFORMATION, of 2-29-88, which establishes the requirements for
the identification, handling, and control of unclassified
controlled nuclear information (UCNI).
h. National Policies and Procedures for the Disclosure of Classified
Military Information to Foreign Governments and International
Organizations, NDP-1/8 (a classified document under the control of
the Department of Defense), which provides guidance for
dissemination of classified information to foreign governments.
i. Title 32 CFR 250, Withholding of Unclassified Technical Data From
Public Disclosure, which implemented 10 U.S.C. 130 requirements to
protect sensitive unclassified information belonging to the
Department of Defense and having a space or military application.
5. DEFINITIONS.
a. Naval Nuclear Propulsion Information, is defined as that
information, classified or unclassified, concerning the design,
arrangement, development, manufacture, testing, operation,
administration, training, maintenance, and repair of the
propulsion plants of naval nuclear-powered ships and prototypes,
including the associated nuclear support facilities. Information
concerning equipment, components, or technology which are
applicable to both Naval nuclear and conventional propulsion
plants is not considered to be NNPI when used in reference to
conventional applications only, provided no association with naval
nuclear propulsion can be directly identified from the information
in question. In cases where an association with naval nuclear
propulsion can be directly identified from the information in
question, designation of the information as NNPI is mandatory.
More specific guidance on what constitutes NNPI will be provided
on a case basis by the Deputy Assistant Secretary for Naval
Reactors, or delegate, upon request by those Departmental Elements
requiring it to properly and effectively implement the provisions
of this Order.
b. Foreign National, for the purpose of this Order, includes any
person not a U.S. citizen or U.S. national, and any U.S. citizen
and U.S. national representing foreign governments, foreign
private interests, or other foreign nationals. Note that this
definition of foreign nationals includes immigrant aliens.
6. GENERAL POLICY ON ALLOWING ACCESS TO NNPI. Since the naval nuclear
propulsion program and naval nuclear-powered ships are of critical
importance to the defense of the United States, the technology used to
design, build, and support these ships is an obvious target for hostile
intelligence organizations. Recognizing its special nature, this
information is protected pursuant to export control requirements and
statute (reference (i)). Thus, it is important that special care be
taken to avoid unauthorized access to NNPI which would facilitate the
success of hostile intelligence collections efforts.
a. Control of NNPI.
(1) Government Personnel. Access to NNPI, classified or
unclassified, shall be restricted, in accordance with
applicable law, to those individuals who are U.S. citizens
and have an established need to know such information in
order to complete their officially assigned duties involving
the naval nuclear propulsion program. Access to NNPI shall
not be granted to personnel in the executive branch of the
Government (except for those personnel assigned to or
performing work involving the naval nuclear propulsion
program) without advance approval of the Deputy Assistant
Secretary for Naval Reactors, or delegate. Access to NNPI
shall not be granted solely on the basis of Government
employment.
(2) Contractor Personnel. Access to NNPI, classified or
unclassified, shall not be granted to contractors or
subcontractors (including consultants) of the Department of
Energy without the advance approval of the Deputy Assistant
Secretary for Naval Reactors, or delegate, except when such
access is required in the performance of naval nuclear
propulsion program tasks. Access will be restricted to those
personnel who are U.S. citizens and have a need to know in
connection with a Government contract or subcontract. Field
organizations of the Office of Naval Reactors will establish
procedures approved by the Deputy Assistant Secretary for
Naval Reactors, or delegate, to restrict access of NNPI to
authorized contractor personnel, and will establish
appropriate security measures pertaining to such access.
These procedures shall also require that this Order be
invoked in any contract or subcontract involving NNPI.
b. Records and Documents Containing NNPI. Release of any document or
record containing NNPI, or the information therein, where such
release will result in the material no longer being subject to the
requirements of this Order or equivalent controls, shall not be
made without the advance approval of the Deputy Assistant
Secretary for Naval Reactors (NE-60), or delegate. NE-60, or
delegate, shall ensure any such proposed release is reviewed in
accordance with current Department of Energy, Department of the
Navy, and industrial security control requirements, and applicable
law. Any document or record prepared by or for the Department of
Energy for general and unlimited distribution and which involves
matters pertaining to naval nuclear propulsion shall not contain
any classified or unclassified NNPI, nor any specific reference to
any other document or records which contain NNPI. Records or
documents prepared by or for the Department of Energy not intended
for general and unlimited distribution, where necessary, may have
any NNPI segregated from other information presented so as to
facilitate control of access to NNPI as described in this Order.
7. REQUIREMENTS AND PROCEDURES. The provisions of this Order are
applicable to all information, classified or unclassified, falling
within the definition of naval nuclear propulsion information. If
there is uncertainty with respect to whether the information in
question is properly categorized as NNPI, the information shall be
considered as falling within the scope of the definition of NNPI until
clarification is obtained from the Office of Naval Reactors as
discussed in paragraph 5a.
a. General Procedural Guidance. Subparagraph d, below, delineates
specific requirements concerning visits to facilities containing
NNPI and access to NNPI. In general, these requirements stipulate
that the approval of the Deputy Assistant Secretary for Naval
Reactors, or delegate, is required unless otherwise indicated.
When such approval is required, the person or organization
requesting approval shall contact the Office of the Deputy
Director, Office of Naval Reactors, for guidance concerning
specific actions needed to allow the proposed visit to be made.
Such requests, as a rule, should be made well in advance of the
requester's need date.
b. General Security Classification Guidance and Handling
Requirements. General security classification guidance, which may
apply to certain NNPI, may be found in reference 4f, and
additional detailed guidance may be found in reference 4a.
General requirements on the handling of classified and sensitive
unclassified information may be found in references 4b, 4c, 4e,
and 4h.
c. Security Classification Markings and Special Handling
Requirements. Disclosure restrictions for controlling the
dissemination of NNPI shall be complied with even though documents
containing NNPI might not have been marked with warning notices.
Special handling and disclosure restrictions for naval nuclear
propulsion information have been in effect since the inception of
the Naval Nuclear Propulsion Program, and have been applied to
both classified and unclassified documents containing naval
nuclear propulsion information. To assist in maintaining control
over this information, special warning markings were placed on
those documents which had the potential for distribution beyond
those organizations in the Naval Nuclear Propulsion Program which
were familiar with the naval nuclear propulsion information
controls. Within the Program, the large majority of documents
were not marked with special warning notices. However, with the
enactment of recent federal statutes mandating protective measures
for a range of sensitive military technology, including naval
nuclear propulsion information, use of such warning notices on
documents containing naval nuclear propulsion information produced
subsequent to the issuance of this instruction is required. This
change in marking policy is in consonance with Department of the
Navy requirements, and does not relieve any party possessing naval
nuclear propulsion information of the responsibility to comply
with the disclosure restrictions set forth in this instruction,
whether or not the documents containing naval nuclear propulsion
information are marked with a warning notice. Moreover, this
marking requirement is prospective, i.e., documents created
subsequent to the date of receipt of this instruction which
contain naval nuclear propulsion information shall be marked;
existing documents containing such information need only be marked
at the discretion of the holder to ensure their proper control.
(1) Security Classification Markings. General guidelines and
procedures for marking classified documents and information,
including classified NNPI, are contained in reference c.
(2) Special Handling Markings. One of the following special
warning notations shall be used on documents containing
classified or unclassified NNPI to assist activities in
controlling dissemination of this information. Further,
photographs and negatives containing NNPI shall be marked
with one of the notations below. Use of these notations on
documents marked as containing Restricted Data is not
required.
(a) "Special Handling Required - Not releasable to Foreign
Nationals."
(b) "NOFORN." (No foreign nationals.)
(c) "This document is subject to special export controls and
each transmittal to foreign governments or foreign
nationals may be made only with the prior approval of
the U.S. DOE."
d. Visits to Facilities Engaged in Naval Nuclear Propulsion Work.
(1) General. Visits to naval and commercial facilities
performing naval nuclear propulsion work present unique
security problems due to the need to protect both classified
and unclassified NNPI from unauthorized release. An example
of the type of facility where protection is difficult is in
shipyards engaged in repair, overhaul, and construction of
Navy nuclear-powered ships, since the overall scope and
complexity of this work is not always compatible with normal
security control measures. A principal method of control for
these shipyards is to identify and isolate from unauthorized
access those areas within the facility which reveal NNPI. It
is recognized that the security program implemented to
protect NNPI may differ between various facilities in order
to account for the differences in the physical plants, the
type of work being performed, and the kind of personnel
access control procedures in effect. In all cases, however,
facility management is responsible for establishing a
safeguards program which will assure compliance with the
disclosure policy of paragraph 6 for NNPI furnished to them
or originated by their organization.
(2) Visits by U.S. Citizens. The security provisions of
applicable Government contracts outline the required
conditions, procedures, and responsibilities for visit
approval.
(3) Visits by Foreign Nationals.
(a) The security provisions of applicable Government
contracts apply. In addition, visits by foreign
nationals to facilities which possess NNPI and where
such visits could result in disclosure of NNPI require
the specific approval of the Deputy Assistant Secretary
for Naval Reactors, or delegate. This approval shall be
obtained prior to the issuance of invitations or other
commitments in order to avoid embarrassing situations,
should denial be necessary. Requests for approval
should contain comments on the feasibility of satisfying
the following special conditions:
1 The visitor shall be kept under close continuous
surveillance at all times while he or she is within
the physical confines of the facility.
2 Visual, oral, and documentary disclosures of NNPI
shall be prevented or limited, as appropriate, by
the isolation of areas, materials, or personnel
that could divulge NNPI.
3 The visit shall be accomplished without adverse
effect on the facility's naval nuclear propulsion
workload, scheduling, or other critical management
factors.
(b) The special conditions provided in paragraph 7d (3)(a),
for foreign national visits are not required for those
foreign nationals who are approved, in accordance with
applicable regulations, to perform facility work on a
continuing basis. Further, it is recognized that in
some instances foreign nationals may be able to gain
access to or near facilities, specifically those which
in addition to naval nuclear work perform other diverse
functions, without being subject to formal access
approval. This may include employees of the facility
who are foreign nationals. In such cases, it is the
responsibility of local management to maintain adequate
controls, particularly concerning the isolation of areas
or material and the control of personnel employed at the
facility, to preclude unauthorized disclosure of NNPI.
(c) Foreign nationals shall not be permitted access to the
propulsion plant spaces of Navy nuclear-powered warships
or prototypes without the specific approval of the
Deputy Assistant Secretary for Naval Reactors.
e. Disposals.
(1) Unclassified Documents Containing Naval Nuclear Propulsion
Information. Whenever feasible, unclassified documents or
other media containing NNPI shall be disposed of in the same
manner as classified documents. When disposal in this manner
is not feasible, the activity concerned is responsible for
devising an alternative method which will provide an adequate
degree of control during and after disposal. Specific
methods will depend on local conditions, and may include
commercial or public trash collection arrangements, provided
the method used affords reasonable protection against
unauthorized diversion or recovery of the documents
concerned. The cognizant field organization of the Office of
Naval Reactors shall be informed by the activity disposing of
NNPI of the method selected for disposal.
(2) Naval Nuclear Propulsion Plant Hardware Containing NNPI or
Indicating Applicability to Naval Nuclear Propulsion.
(a) Prior to disposal of naval nuclear propulsion plant
components, equipment, parts, or material, classified or
unclassified, which contain NNPI or indicate application
to naval nuclear propulsion, all markings (such as stock
number, nameplate data, special material identification
code (SMIC), tags, stickers, transfer documents, and
meter face markings) which relate the item to naval
nuclear propulsion must be removed or obliterated. If
after removal or obliteration of such markings, the
unclassified item still contains NNPI, the item shall be
disposed of in the same manner as classified material.
Classified items should be disposed of in accordance
with reference 4c or requirements specified in
applicable Government contracts. CG-RN-1 shall be used
for determining classification of naval nuclear
propulsion plant components.
(b) In view of stringent controls for the disposal of
radioactive waste, and in order to minimize radiological
work, unclassified nuclear propulsion plant material
being disposed of as radioactive waste need not have
those markings removed or obliterated if radiation
exposure would be required. Similarly, classified
radioactive components being disposed of in
Government-owned burial grounds need not have markings
removed if radiological work is required.
(c) Unused but no longer required reactor plant material
provided under contracts or subcontracts as Government
furnished equipment shall be handled in accordance with
this Order and specific instructions obtained from the
DOE field organization responsible for the applicable
prime contractor.
(d) Prior to any disposal of nuclear propulsion plant
material, a designated senior nuclear engineer at each
activity shall be required to formally verify that the
material is not required for future use by that activity
and is to be disposed of in accordance with the
requirements of this Order. Such verification must be
documented and retained locally for at least 3 years.
(e) Disposal of NNPI in the form of documents, as opposed to
components, equipment, parts, and material which are
covered in this Order, shall be in accordance with the
procedures provided in paragraph 7e(1).
(f) For naval reactor prototype plants, the following
guidelines apply in addition to other requirements of
this Order.
1 Unless specifically authorized by the Deputy
Assistant Secretary for Naval Reactors, or
delegate, prototype naval reactor plant components
assigned U.S. Navy 2S cognizant, SMIC X1 national
stock numbers shall not be disposed of unless first
sent to a designated naval shipyard for disposition
by the Office of Naval Reactors. When the Office
of Naval Reactors desires to dispose of such
components, a formal scrap directive will be
provided to the naval shipyard. Naval shipyard
disposal actions on such scrap directives are
governed by applicable Navy regulations.
2 U.S. Navy H Cognizance, Ships Parts Control Center
controlled SMIC X2, X3, or X4 material shall be
handled in accordance with instructions provided by
Ships Parts Control Center (code 870) and this
Order.
8. RELATIONSHIP TO UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION (UCNI). A
small subset of naval nuclear propulsion information also falls into
the Unclassified Controlled Nuclear Information (UCNI) category.
Specifically, unclassified naval nuclear propulsion information
pertaining to the reactor plants of naval nuclear propulsion plants is
UCNI. Documents containing such information shall be marked and
controlled as naval nuclear propulsion information as required by this
Order, but shall also be marked as UCNI on their first pages. The
Office of the Deputy Assistant Secretary for Naval Reactors shall be
consulted as needed by affected DOE offices for additional guidance
pertaining to the handling and protection of UCNI that is also naval
nuclear propulsion information.
JIM E. TARRO
Director of Administration and
Human Resource Management