INTRODUCTION

A. Purpose.

The topics in this guideline document are for use in identifying information in documents or material pertaining to Department of Energy (DOE) fixed-site safeguards and security (FSSS) measures for sensitive facilities that is Unclassified Controlled Nuclear Information (UCNI) as defined in section 148 of the Atomic Energy Act of 1954, as amended. These topics are based on approved UCNI general guidelines which specify what information has been determined to be UCNI by a Controlling Official. DOE Order 5650.3, "Identification of Unclassified Controlled Nuclear Information," provides policy and procedures for identifying UCNI and for reviewing and marking documents containing UCNI.

For the purpose of this document FSSS is defined as all safeguards and security measures and methods employed in and around all facilities buildings, structures, areas, and combinations thereof, referred to as a site. It does not, however, include security measures for nuclear material in transit under the protection of the Transportation Safeguards Division of the DOE Albuquerque Field Office.

This guideline is the basis for:

1. Internal guidelines which specify what information of interest to the issuing organization that concerns FSSS is UCNI.

2. Determinations made by a Reviewing Official that a document or material contains, does not contain, or no longer contains UCNI.

3. Determinations made by a Denying Official to deny the public release of all or portions of a document or material containing UCNI when the public release of the document or material has been requested under a statute (e.g., the Freedom of Information Act) or Executive order.

4. Preliminary review determinations made under DOE Order 5650.3 that certain unclassified documents or material may contain UCNI.

B. Background.

1. The DOE has been directed under section 148 of the Atomic Energy Act of 1954, as amended, to prohibit the unauthorized dissemination of certain unclassified information (termed UCNI) concerning atomic energy defense programs pertaining to:

a. the design of production or utilization facilities;

b. security measures for such facilities, nuclear materials in such facilities, or in transit; or

c. the design, manufacture, or utilization of any nuclear weapon or component if the information in question was once declassified or removed from the Restricted Data category pursuant to section 142 of the Atomic Energy Act.

2. In order for information related to the above categories to be controlled as UCNI under section 148, it must be determined that all the criteria for control as UCNI, specified in DOE Order 5650.3, are met, including an "adverse effect" test, i.e., a determination that unauthorized dissemination of the information could reasonably be expected to have a significant adverse effect on the health and safety of the public or the common defense and security by significantly increasing the likelihood of:

a. the illegal production of nuclear weapons; or

b. the theft, diversion, or sabotage of nuclear materials, equipment, or facilities.

C. Policy.

1. General.

The policy for controlling unclassified information associated with FSSS is to prevent the unauthorized dissemination of certain unclassified information while preserving the public's right to have as much information as lawfully possible.

2. Relationship to Classification.

Many topics in this document relate to information that, under certain conditions, is classified. In such instances, the information is classified and not UCNI. Therefore, any information under consideration as UCNI must be reviewed to insure it is and should be unclassified and eligible for control as UCNI. In particular, the Safeguards and Security Classification Guide, CG-SS-2, provides classification guidance in areas addressed by these UCNI guideline topics. When doubt exists whether the information is unclassified, consult CG-SS-2 or an authorized classifier as appropriate.

3. Widely Disseminated Documents or Material.

Any document or material or successor document which has been, is, or will be widely and irretrievably disseminated into the public domain, as determined by a Reviewing Official, and whose dissemination was not, is not, or will not be under control of the Government is exempt from UCNI control regardless of its content. However, the fact that information is in the public domain is not a sufficient basis for determining that similar or updated Government- owned and -controlled information contained in another document or material is not or is no longer UCNI. For information in Government-owned and -controlled documents or material which is the same as, essentially the same as, or an update of that in a widely disseminated document or material this guideline applies and the "No comment" policy applies to the information in the widely disseminated document or material (see GG #8 in the UCNI General Guideline, GG-2).

4. Release of Information.

Information determined to be unclassified and not UCNI is not automatically approved for release to the public. Unclassified information may be subject to other limitations of release (e.g., proprietary information, patent review clearance, the Privacy Act, other exemptions under the Freedom of Information Act, etc.). Review of all applicable regulations, as required by the specifics of each case, is the responsibility of the official authorizing the release.

5. Internal Guidelines.

a. UCNI internal guidelines concerning FSSS-related information specifying what information pertaining to the issuing organization is or is not UCNI shall be based on applicable UCNI general guidelines and on this topical guideline. All UCNI internal guidelines must be approved by the Director, Office of Classification, Headquarters, DOE (SA-20).

b. DOE and DOE contractor organizations shall develop UCNI internal guidelines as may be required by topics in this document or as necessary to their specific operations. Internal guidelines shall be submitted through channels to SA-20.

c. In unusual circumstances local conditions may warrant information determined to be UCNI or NOT UCNI by this guideline to be NOT UCNI or UCNI, respectively. In such cases organizations must submit for review and approval internal guideline topics that would be an exception to the specific guidance topic in this document.

d. Some of the terms and concepts currently used in classification and UCNI guidance documents differ from terms and concepts used in the Safeguards and Security Program. For example, safeguards and security measures are usually concerned with various types of "security areas," while classification and UCNI guidance documents frequently address "sites" or "facilities." Internal guidelines addressing the subject matter of this guideline may use either or both approaches. However, internal guidelines shall identify which specific sites, facilities, or security areas are addressed by the internal guideline topics. If organizations use the concept of "sensitive facilities" in internal guideline topics, the organization shall submit to SA-20 a specific list of facilities to which the internal guidelines apply for inclusion in the UCNI General Guideline, currently GG-2.

D. Approving and Issuing Organizations.

This guideline is approved and issued by the Director, Office of Classification, Headquarters, DOE (SA-20).

Comments concerning this guideline should be sent to SA-20. Requests to be added to or removed from the distribution list for this guideline should be sent to:

Director of Classification

SA-20, GTN

U.S. Department of Energy

Washington, D.C. 20585

E. Scope.

1. This guideline applies to unclassified atomic energy defense programs related Government information pertaining to the protection of production or utilization facilities and to the protection of nuclear materials to be used for military applications regardless of physical state or form contained in such facilities or in transit within such facilities. This includes, in addition to FSSS measures at the site or facility itself:

a. Certain design or design-related operational information concerning a facility.

b. Information about plans, procedures, equipment, etc., at off-site locations that have a direct relationship to the protection of production or utilization facilities at a site (e.g., plans, procedures, capabilities, or actions at off-site emergency operations centers (EOCs)) for responding to incidents concerning protection of a production or utilization facility.

2. This guideline does not apply to information concerning Transportation Safeguards Division activities (see CG-TSS-2). It does, however, apply to FSSS measures at facilities related to Transportation Safeguards Division activities.

3. This guideline does not apply to information pertaining solely to FSSS measures for facilities or sites that have no activities or functions concerning atomic energy defense programs (e.g., Strategic Petroleum Reserve facilities, Power Administration related facilities, etc.), unless the information also reveals FSSS information concerning facilities to which this guideline applies (e.g., comparisons of FSSS measures or deficiencies to those of a defense-related facility).

4. This guideline applies only to information concerning planned or existing facilities, including those temporarily not operating or those in standby condition. It does not apply to information concerning dismantled or decommissioned facilities unless that information reveals information about planned or existing facilities.

5. This guideline applies only to UCNI sensitive facilities or security areas related to sensitive facilities at a site, and to information that pertains to the protection of those facilities or security areas (directly or indirectly). It does not apply to information that only concerns facilities that are not sensitive facilities for UCNI purposes.

F. Procedures and Use.

1. Review and Denial of Documents and Material.

a. Some of the terms used in this guideline are used in the context of the terms as defined in the Safeguards and Security Definitions Guide (reference H17) which differ from their definitions in CG-SS-2. Examples are "facility" and "site" which are defined differently in CG-SS-2 than they are in the Safeguards and Security Definitions Guide. For that reason, Appendix A, Definitions, includes the source or basis for the definitions of terms as used in this guideline.

b. A Reviewing Official shall base a review determination that a document or material contains, does not contain, or no longer contains UCNI pertaining to FSSS on applicable general guideline topics, this topical guideline, or on internal guidelines authorized in writing for his or her use. A Reviewing Official may also confirm a preliminary review determination that a document may contain UCNI if no applicable guidelines exists concerning the information in the document.

c. A Denying Official shall make a determination to deny the public release of all or portions of a document or material containing UCNI pertaining to FSSS on applicable general guideline topics, this topical guideline, or on internal guidelines that apply to FSSS information.

d. A person other than a Reviewing Official may make a preliminary review determination that information may be UCNI or a document or material may contain UCNI if the person:

(1) is the originator of a newly generated document or material; or

(2) has in his or her possession an unclassified document containing information over which he or she has cognizance.

e. Prior to any person basing a determination on this topical guideline or any other UCNI guidelines, the person shall ensure that the specific information under consideration for control as UCNI is not classified.

2. Determining When Information is NO LONGER UCNI.

Information generally continues to be UCNI for an indefinite period unless guidance specifies when the information will be NO LONGER UCNI. Information determined to be UCNI by this guideline or approved internal guidelines which loses its sensitivity because an existing FSSS system has been replaced, a facility is determined to no longer be a sensitive facility, or a deficiency has been corrected may be determined by a Reviewing Official to be NO LONGER UCNI. However, Reviewing Officials must use caution in applying this guidance to FSSS equipment. Unclassified information concerning replaced equipment capabilities or limitations should not be determined to be NO LONGER UCNI without consideration of whether the equipment is still in use at other locations.

3. Determining What Information is NOT UCNI.

Most topics in this guideline specify what unclassified FSSS- related information is UCNI and, in so far as possible, clarify the line between UCNI and NOT UCNI. It is not practical to list all possible unclassified FSSS-related information which is NOT UCNI. No attempt has been made to do so in this document, although a number of "NOT UCNI" topics are included. The Safeguards and Security Classification Guide, CG-SS-2, has a number of topics indicating certain specific safeguards and security information as "U," or unclassified and a number of those "U" topics are not explicitly addressed in this guideline. Except where topics in this UCNI guideline or approved UCNI internal guidelines indicate information is UCNI, information determined to be unclassified by topics in CG-SS-2 (7/90) is NOT UCNI.

G. Information Not Covered by These or General Guidelines.

A Reviewing Official may recommend to SA-20 new subject areas, new topics, or revisions to existing topics concerning FSSS for inclusion in general or topical guidelines. A determination by the originator of a document or material, or a person having cognizance over information in a document or material, that the document or material may contain UCNI is one source for such recommendations. SA-20 will review these recommendations and, if appropriate, initiate the formal process to revise existing guidelines based on such recommendations.

H. References.

1. The Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.), which is the statutory basis for UCNI.

2. Title 10, Code of Federal Regulations, Part 1017 (10 CFR Part 1017), "Identification and Protection of Unclassified Controlled Nuclear Information," which implements section 148 (42 U.S.C. 2168) of the Atomic Energy Act of 1954.

3. DOE Order 1800.1A, Privacy Act, of 8/31/84, which establishes guidelines and procedure for implementing the Privacy Act of 1974 (Public Law 93-579, 5 U.S.C. 552a).

4. DOE Order 5000.3A, Occurrence Reporting and Processing of Operations Information, of 5/30/90, which establishes a system for reporting of operations information related to DOE-owned or-operated facilities and processing of that information to provide for appropriate corrective action.

5. DOE Order 5633.3, Control and Accountability of Nuclear Materials, of 2/3/88, which contains the basic principles and requirements for the control and accountability of nuclear materials.

6. DOE Order 5635.4, Protection of Unclassified Controlled Nuclear Information, of 2/3/88, which establishes policies and procedures for the protection of UCNI.

7. DOE Order 5650.3A, Identification of Unclassified Controlled Nuclear Information, of 6/8/92, which establishes policies, procedures, and responsibilities for the identification of UCNI and for reviewing and marking documents and material containing UCNI.

8. The Freedom of Information Act (FOIA) (5 U.S.C. 552), which establishes policies and procedures concerning the release of information in Government documents and material to the public.

9. DOE Order 1700.1, Freedom of Information Program, of 11/19/79, which establishes guidelines and procedures for processing requests made to the DOE under the FOIA.

10. DOE Order 1360.2A, Unclassified Computer Security Program, of 5/20/88, which establishes policy, responsibilities, and procedures for developing, implementing, and sustaining an unclassified computer security program.

11. GG-2, Unclassified Controlled Nuclear Information General Guidelines, of 8/89, which contains the approved general guideline topics upon which all topics in this document are based.

12. CG-SS-2, Classification Guide for Safeguards and Security Information, of 7/90, which provides classification guidance for safeguards and security information concerning DOE and DOE contractor or subcontractor facilities and sites.

13. CG-TSS-2, Transportation Safeguards System Classification Guide, which provides classification guidance for information concerning the DOE Transportation Safeguards System (TSS) or the transportation of material in the TSS.

14. CG-WN-4, Classification Guide for the Nuclear Emergency Search Team (NEST), of 9/84, which provides classification guidance for information concerning NEST planning and operations.

15. TG-NEST-1, Unclassified Controlled Nuclear Information Topical Guidelines for the Nuclear Emergency Search Team, of 11/90, which provides UCNI guidance for unclassified information concerning the NEST.

16. TCG-WM-1, Joint DOE/DOD Topical Classification Guide, Materials for the Nuclear Weapon Complex, of 5/92, which provides guidance for the classification of materials used in the DOE and DOD for research, development, testing, and production of nuclear weapons.

17. Safeguards and Security Definitions Guide, of 11/26/91, which contains definitions of terms commonly used in the Safeguards and Security Program and related Classification Program.

I. Topic Cross Reference List

Each UCNI topical guideline topic which indicates information is UCNI must have its basis identified. This is done by including at the end of a topic a citation to the appropriate general guideline topic (e.g., GG #5, 19, etc.) listed in the UCNI General Guideline document, currently GG-2. In addition, each UCNI topical guideline topic must also cite a unique identification number so that it may itself be cited as a basis for internal guideline topics. For example:

101.1 This is a simulated topical guideline topic followed by a citation to the general guideline topic upon which it is based and to its own identification number (Basis: GG #5; ID No.: FSSS #1) . . . UCNI

The following table lists the identification number to be cited in internal guideline topics based on topics in this topical guideline, along with the corresponding topic number contained in this guideline.

FSSS Identification    Topic    FSSS Identification    Topic 
  Number (ID No.)      Number     Number (ID No.)      Number

        1              111             32               264
        2              211             33               266
        3              212             34               271
        4              221.1           35               272
        5              221.2           36               282.1
        6              221.3           37               282.2
        7              221.4           38               282.3.1
        8              222.2           39               282.3.2
        9              223.1           40               282.3.3
       10              223.1.1         41               283.3
       11              223.1.2         42               310
       12              223.1.3         43               410
       13              223.2           44               421.4
       14              223.2.1         45               421.4.1
       15              224.1           46               421.5.2
       16              224.2.1         47               421.6
       17              225             48               422.1
       18              231.1           49               431
       19              231.2           50               432
       20              241.1           51               610
       21              241.2           52               711
       22              241.3           53               722
       23              241.3.1         54               723
       24              241.4           55               730
       25              242             56               750
       26              251             57               1010
       27              252             58               1050
       28              261             59               1310
       29              262             60               1320
       30              263             61               1410
       31              263.1

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