Identification and Protection of Unclassified Controlled Nuclear Information Manual <ORG> NN <SUMMARY> The draft Manual, DOE M 471.1-1, Identification and Protection of Unclassified Controlled Nuclear Information provides detail requirements to supplement the draft DOE O 471.1X. <DATE_ISSUE> 9/9/1999 <DATE_CLOSE> <TEXT> DOE M 471.1-1 Approved: XX-XX-99 Sunset Review: XX-XX-01 Expiration: XX-XX-03 DRAFT IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION MANUAL U.S. DEPARTMENT OF ENERGY Office of Security and Emergency Operations Office of Security Affairs Office of Nuclear and National Security Information Office of Safeguards and Security DISTRIBUTION: INITIATED BY: All Departmental Elements Office of Security Affairs IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION MANUAL 1. PURPOSE. This Manual provides detailed requirements to supplement DOE O 471.1X, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION. 2. SUMMARY. This Manual is composed of three chapters that provide the requirements for identifying and protecting Unclassified Controlled Nuclear Information (UCNI). Chapter I describes how UCNI is identified in matter, including the authority needed to review matter, the guidelines that are used, and the markings that are placed on the matter. Chapter II describes the access and physical protection requirements. Chapter III describes how violations and infractions of requirements in this Manual are handled. 3. REFERENCES. a. DOE O 470.1, SAFEGUARDS AND SECURITY PROGRAM, dated 9-28-95. b. DOE O 471.1X, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION, dated XX-XX-99. c. DOE M 475.1-1, IDENTIFYING CLASSIFIED INFORMATION, dated 5-8-98. d. DOE 3750.1, WORK FORCE DISCIPLINE, dated 3-23-83. e. 10 Code of Federal Regulations (CFR) Part 725, "Permits for Access to Restricted Data." f. 10 CFR Part 1004, "Freedom of Information." g. 10 CFR Part 1017, "Identification and Protection of Unclassified Controlled Nuclear Information." h. 48 CFR 952.204-70, "Classification/Declassification." i. Atomic Energy Act of 1954, as amended, section 123, "Cooperation with Other Nations" [42 United States Code (U.S.C.) 2164], and section 148, "Dissemination of Unclassified Information" (42 U.S.C. 2168). 4. CONTACT. Questions concerning this Manual should be addressed as follows: a. Questions on Chapter I should be directed to the Office of Nuclear and National Security Information at 301-903-5454. b. Questions on Chapters II and III should be directed to the Office of Safeguards and Security at 301-903-4805. BY ORDER OF THE SECRETARY OF ENERGY: DAVID M. KLAUS Director of Management and Administration CONTENTS CHAPTER I: IDENTIFICATION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION Part A Guidelines. . . . . . . . . . . . . . . . . . . . . . .I-1 1. UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION GUIDELINES. .I-1 2. GENERAL GUIDELINE . . . . . . . . . . . . . . . . . . . .I-1 a. Purpose. . . . . . . . . . . . . . . . . . . . . . .I-1 b. Originator/Approval Authority. . . . . . . . . . . .I-1 c. Basis. . . . . . . . . . . . . . . . . . . . . . . .I-1 d. Users. . . . . . . . . . . . . . . . . . . . . . . .I-1 (1) Review of Matter. . . . . . . . . . . . . . . .I-1 (2) Denial of Matter. . . . . . . . . . . . . . . .I-1 e. Identification Number. . . . . . . . . . . . . . . .I-1 3. TOPICAL GUIDELINES. . . . . . . . . . . . . . . . . . . .I-1 a. Purpose. . . . . . . . . . . . . . . . . . . . . . .I-1 b. Originator/Approval Authority. . . . . . . . . . . .I-2 c. Basis. . . . . . . . . . . . . . . . . . . . . . . .I-2 d. Users. . . . . . . . . . . . . . . . . . . . . . . .I-2 (1) Review of Matter. . . . . . . . . . . . . . . .I-2 (2) Denial of Matter. . . . . . . . . . . . . . . .I-2 e. Basis Citation . . . . . . . . . . . . . . . . . . .I-2 4. INTERNAL GUIDELINES . . . . . . . . . . . . . . . . . . .I-2 a. Purpose. . . . . . . . . . . . . . . . . . . . . . .I-2 b. Originator/Approval Authority. . . . . . . . . . . .I-2 c. Basis. . . . . . . . . . . . . . . . . . . . . . . .I-2 d. Users. . . . . . . . . . . . . . . . . . . . . . . .I-3 (1) Review of Matter. . . . . . . . . . . . . . . .I-3 (2) Denial of Matter. . . . . . . . . . . . . . . .I-3 e. Basis Citation . . . . . . . . . . . . . . . . . . .I-3 f. Submission of Guideline for Approval . . . . . . . .I-3 g. Copies of the Guideline. . . . . . . . . . . . . . .I-3 Part B Review of Matter. . . . . . . . . . . . . . . . . . . .I-4 1. OVERVIEW. . . . . . . . . . . . . . . . . . . . . . . . .I-4 2. REVIEWING OFFICIALS . . . . . . . . . . . . . . . . . . .I-4 CONTENTS (continued) a. Authority. . . . . . . . . . . . . . . . . . . . . .I-4 b. Appointment of Reviewing Officials . . . . . . . . .I-4 (1) Field . . . . . . . . . . . . . . . . . . . . .I-4 (2) Headquarters. . . . . . . . . . . . . . . . . .I-4 c. List of Current Reviewing Officials. . . . . . . . .I-5 d. Cancellation of Authority. . . . . . . . . . . . . .I-5 (1) By the Reviewing Official's Office Director . .I-5 (2) By the Designating Official . . . . . . . . . .I-5 (3) By the Field Element Classification Officer . .I-5 (4) By the Director of Nuclear and National Security InformationI-5 3. REVIEW RESPONSIBILITIES . . . . . . . . . . . . . . . . .I-6 a. Responsibilities of Originator or Possessor of MatterI-6 (1) Review Requirement. . . . . . . . . . . . . . .I-6 (2) Review Requirement Exception. . . . . . . . . .I-6 b. Responsibilities of the Reviewing Official . . . . .I-6 (1) When Applicable Topical or Internal Guidelines ExistI-6 (2) When No Applicable Topical or Internal Guidelines ExistI-6 c. Review Responsibilities of Classification Officers .I-6 (1) When General Guideline Topics Exist . . . . . .I-6 (2) When No Applicable General Guideline Topics ExistI-7 d. Notification of Determination. . . . . . . . . . . .I-7 e. Scientific and Technical Reports . . . . . . . . . .I-7 4. DENYING OFFICIALS . . . . . . . . . . . . . . . . . . . .I-7 a. Authority. . . . . . . . . . . . . . . . . . . . . .I-7 b. Appointment. . . . . . . . . . . . . . . . . . . . .I-7 5. DENIAL OF MATTER BY A DENYING OFFICIAL. . . . . . . . . .I-7 a. Denial Determination . . . . . . . . . . . . . . . .I-7 b. Denial Notification Requirements . . . . . . . . . .I-8 (1) Originator. . . . . . . . . . . . . . . . . . .I-8 (2) Office of Nuclear and National Security InformationI-8 (3) Office of Scientific and Technical Information.I-8 6. APPEAL OF THE DENIAL OF MATTER BY A DENYING OFFICIAL. . .I-8 a. Authority. . . . . . . . . . . . . . . . . . . . . .I-8 b. Analytical Support . . . . . . . . . . . . . . . . .I-8 c. Scientific and Technical Reports . . . . . . . . . .I-8 7. JOINT MATTER. . . . . . . . . . . . . . . . . . . . . . .I-9 8. MATTER SENT TO FILES. . . . . . . . . . . . . . . . . . .I-9 CONTENTS (continued) Part C Marking of Matter . . . . . . . . . . . . . . . . . . I-10 1. RELATIONSHIP TO OTHER TYPES OF CONTROL MARKINGS . . . . I-10 a. Unclassified Matter. . . . . . . . . . . . . . . . I-10 b. Classified Matter. . . . . . . . . . . . . . . . . I-10 2. UNCLASSIFIED MATTER THAT CONTAINS UCNI. . . . . . . . . I-10 a. Front Marking. . . . . . . . . . . . . . . . . . . I-10 b. Page Marking . . . . . . . . . . . . . . . . . . . I-10 c. Removal of Markings. . . . . . . . . . . . . . . . I-10 3. CAVEAT. . . . . . . . . . . . . . . . . . . . . . . . . I-11 4. SPECIAL FORMAT MATTER . . . . . . . . . . . . . . . . . I-11 5. TRANSMITTAL DOCUMENTS . . . . . . . . . . . . . . . . . I-11 6. UNCLASSIFIED MATTER THAT NO LONGER CONTAINS UCNI. . . . I-11 7. UNCLASSIFIED MATTER THAT DOES NOT CONTAIN UCNI. . . . . I-12 8. UPGRADING . . . . . . . . . . . . . . . . . . . . . . . I-12 CHAPTER II: PROTECTION OF UCNI 1. ACCESS TO UCNI. . . . . . . . . . . . . . . . . . . . . II-1 a. Routine Access . . . . . . . . . . . . . . . . . . II-1 (1) Authorized Individual . . . . . . . . . . . . II-1 (2) Eligibility for Routine Access. . . . . . . . II-1 (a) U.S. Citizen . . . . . . . . . . . . . . II-1 (b) Other Than a U.S. Citizen. . . . . . . . II-2 (c) Other Than a U.S. Citizen and Otherwise Not Eligible for Routine Access . . . . . . . . . . . II-2 (3) Dissemination Limitations . . . . . . . . . . II-3 (4) Access to UCNI Matter by Prospective Contractors in Bid RoomsII-3 (5) Deviation from Requirements . . . . . . . . . II-3 b. Special Access . . . . . . . . . . . . . . . . . . II-3 (1) Submission of a Request . . . . . . . . . . . II-3 (2) Granting a Request. . . . . . . . . . . . . . II-3 (3) Notification to the Office of Safeguards and SecurityII-4 (4) Notification of Requester . . . . . . . . . . II-4 CONTENTS (continued) (5) Special Access Limitations. . . . . . . . . . II-4 (6) Categorical Special Access Approval . . . . . II-4 (7) Notification of Responsibilities by Use of Cover SheetII-4 2. PHYSICAL PROTECTION REQUIREMENTS. . . . . . . . . . . . II-5 a. Protection in Use. . . . . . . . . . . . . . . . . II-5 b. Protection in Storage. . . . . . . . . . . . . . . II-5 c. Reproduction . . . . . . . . . . . . . . . . . . . II-5 d. Destruction. . . . . . . . . . . . . . . . . . . . II-5 e. Transmission . . . . . . . . . . . . . . . . . . . II-5 (1) Outside a Facility. . . . . . . . . . . . . . II-5 (2) Within a Facility . . . . . . . . . . . . . . II-6 (3) Over Telecommunications Circuits. . . . . . . II-6 f. Automated Information Systems (AIS). . . . . . . . II-6 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 (UCNI) GUIDELINES. Reviewing and Denying Officials must use UCNI guidelines as their basis for determining whether matter contains UCNI. Such guidelines may be separate documents or integrated in classification guides. These guidelines are of three types: the General Guideline, Topical Guidelines, and Internal Guidelines. 2. GENERAL GUIDELINE. a. Purpose. The General Guideline contains general policies and identifies whether broad areas of information are UCNI. In addition, the General Guideline is the basis for Topical and Internal Guidelines. b. Originator/Approval Authority. The General Guideline is approved and issued by the Office of Nuclear and National Security Information. c. Basis. The General Guideline is based on determinations by the Director of Nuclear and National Security Information. d. Users. (1) Review of Matter. The Office of Nuclear and National Security Information, DOE field element, or contractor Classification Officer may use the General Guideline to determine whether information is UCNI in any subject area for which Topical or Internal Guidelines do not exist. (2) Denial of Matter. A Denying Official may use the General Guideline to determine whether information is UCNI in any subject area for which Topical or Internal Guidelines do not exist. e. Identification Number. Each topic in the General Guideline which states that information is UCNI must include a unique and permanent identification number (e.g., GG #10). 3. TOPICAL GUIDELINES. a. Purpose. A Topical Guideline identifies whether information in a specific technical or program area is UCNI. b. Originator/Approval Authority. The Office of Nuclear and National Security Information approves and issues Topical Guidelines. c. Basis. A Topical Guideline is based on the General Guideline or another Topical Guideline. d. Users. (1) Review of Matter. Any Reviewing Official may use a Topical Guideline to determine whether information is UCNI. (2) Denial of Matter. A Denying Official may use a Topical Guideline to determine whether information is UCNI. e. Basis Citation. Each topic in a Topical Guideline that designates information as UCNI must cite the identification number of either the General or Topical Guideline on which it is based. In addition, each topic in a Topical Guideline that indicates information is UCNI must 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 whether information of interest to the issuing organization is UCNI. b. Originator/Approval Authority. DOE elements and DOE contractor organizations may issue Internal Guidelines. (1) The Office of Nuclear and National Security Information must approve each Internal Guideline before it is issued or reissued. The Director of Nuclear and National Security Information may delegate this authority in writing to field element Classification Officers. (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. c. Basis. An Internal Guideline is based on a Topical Guideline; however, if no applicable Topical Guideline exists, the Internal Guideline may be based directly on the General Guideline. d. Users. The issuing organization should specify in the Internal Guideline which organizations are authorized to use the Internal Guideline to determine whether information is UCNI. (1) Review of Matter. Only the Office of Nuclear and National Security Information, 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 determine whether information is UCNI. (2) Denial of Matter. Any Denying Official may use an Internal Guideline generated by an organization under his/her cognizance to determine that information is UCNI. e. Basis Citation. Each topic in an Internal Guideline that states that information is UCNI must 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 Nuclear and National Security Information for review and approval must include the following: (1) the full text of the guideline; (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 or Denying Officials not authorized to use the Internal Guideline; and (4) a contact point for requesting copies of the guideline. g. Copies of the Guideline. Any organization that issues an Internal Guideline must send the Office of Nuclear and National Security Information one floppy diskette in either ASCII or WordPerfect 5.1 or higher format and five copies of the issued guideline. Part B - Review of Matter 1. OVERVIEW. Any matter that may contain UCNI must be sent to a Reviewing Official prior to release. A Reviewing Official determines whether the matter contains UCNI. A Reviewing Official bases his/her determination on Topical Guidelines and Internal Guidelines. If matter containing UCNI is requested under a statute or Executive order, the Reviewing Official must 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 Nuclear and National Security Information) must determine whether the matter contains UCNI. A Reviewing Official authorizes UCNI markings to be applied to or removed 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 appoint additional Reviewing Officials as necessary within their organizations, subordinate organizations, and contractors. Any individual in a position that requires Reviewing Official authority must submit a request to the local Classification Officer following local procedures. (2) Headquarters. The Office of Nuclear and National Security Information 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 must submit a request signed by the office director or higher-level official to the Office of Nuclear and National Security Information. 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) anticipated frequency of use of the authority (e.g., daily, weekly); (f) UCNI guideline(s) to be used (a list of guidelines is available from the Office of Nuclear and National Security Information); and (g) qualifications of the individual (include educational background and experience). c. List of Current Reviewing Officials. Each appointing official must maintain a current list of all Reviewing Officials under his/her cognizance. This list must include the following information: (1) name, title, and organization of each Reviewing Official; (2) effective date of each appointment; and (3) any special instructions or limitations that apply to each appointment. d. Cancellation of Authority. The Reviewing Official's office director, the designating official, the field element Classification Officer for contractors under his/her cognizance, or the Director of Nuclear and National Security Information may cancel Reviewing Official authority when the employee's position no longer requires such authority or the employee cannot or does not exercise that authority reliably. (1) By the Reviewing Official's Office Director. The office director who cancels the Reviewing Official authority for an employee must notify the employee and inform the designating official of the employee's name and position, the reason for cancellation, and the date the authority will end. (2) By the Designating Official. The designating official who cancels the Reviewing Official authority for an employee must notify the employee and inform the employee's office director of the employee's name and position, the reason for cancellation, and the date the authority will end. (3) By the Field Element Classification Officer. The field element Classification Officer who cancels the Reviewing Official authority for a contractor employee under his/her cognizance must notify the employee and inform the employee's office director and the designating official of the employee's name and position, the reason for cancellation, and the date the authority will end. (4) By the Director of Nuclear and National Security Information. Upon canceling the Reviewing Official authority for an employee, the Director of Nuclear and National Security Information must notify the employee and inform the employee's office director and the designating official of the employee's name and position, the reason for cancellation, and the date the authority will end. 3. REVIEW RESPONSIBILITIES. a. Responsibilities of Originator or Possessor of Matter. (1) Review Requirement. Any person who thinks unclassified matter he/she originates or possesses may contain UCNI must send it to a Reviewing Official before it is finalized, sent outside of the 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.) (2) Review Requirement Exception. Review 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 must be destroyed in accordance with procedures in Chapter II, paragraph 2d. b. Responsibilities of the Reviewing Official. A Reviewing Official determines whether matter contains UCNI based on applicable UCNI guidelines authorized for use by the Reviewing Official. (1) When Applicable Topical or Internal Guidelines Exist. A Reviewing Official must determine whether the matter contains UCNI. The Reviewing Official authorizes UCNI markings to be applied to the matter and notifies the originator. (2) When No Applicable Topical or Internal Guidelines Exist. A Reviewing Official must send the matter and recommendations on information that should be designated as UCNI to the local Classification Officer, or for Headquarters, to the Office of Nuclear and National Security Information. The local Classification Officer or the Office of Nuclear and National Security Information must then determine whether the matter contains UCNI. c. Review Responsibilities of Classification Officers. (1) When General Guideline Topics Exist. A Classification Officer may determine whether matter contains UCNI. The Classification Officer authorizes UCNI markings to be applied to the matter and notifies the Reviewing Official who referred the matter. A Classification Officer may delegate this authority to Reviewing Officials on his/her immediate staff; otherwise, this authority must not be delegated. (2) When No Applicable General Guideline Topics Exist. The Classification Officer must send the matter to the Office of Nuclear and National Security Information with written recommendations for a determination. d. Notification of Determination. A Reviewing Official must notify the originator of any unclassified matter determined to contain or no longer contain UCNI. To the extent practical, the originator should notify all holders of the matter of the determination. e. Scientific and Technical Reports. The originator must report to the Office of Scientific and Technical Information the title, number, date, originating organization, author, and UCNI status of any unclassified scientific and technical report that he/she determines contains UCNI. 4. DENYING OFFICIALS. a. Authority. A Denying Official with cognizance over the information contained in the matter must 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 contains UCNI. The Denying Official ensures that the Reviewing Official who determined that the matter contains UCNI correctly interpreted and applied UCNI guidelines. b. Appointment. A Denying Official for UCNI requested under a statute or Executive order is the same as a Denying Official for other unclassified information, regardless of whether the request was made under the Freedom of Information Act. Such Denying Official is appointed under 10 Code of Federal Regulations (CFR) Part 1004, and redelegation of this authority is subject to requirements contained in 10 CFR Part 1004. 5. DENIAL OF MATTER BY A DENYING OFFICIAL. a. Denial Determination. Since UCNI is exempt from public release, a Reviewing Official must 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 must bracket each portion of the matter that contains UCNI that can reasonably be segregated. The Denying Official must then review the requested matter and applicable UCNI guidelines prior to making a denial determination. The Denying Official must 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. Denial Notification Requirements. (1) Originator. To the extent practical, the Denying Official should notify the originator of any 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 it no longer contains UCNI. To the extent practical, the originator should notify all holders of the matter of the determination. (2) Office of Nuclear and National Security Information. The Denying Official must notify the Office of Nuclear and National Security Information (ATTN: NN-521) of each denial determination and must provide that office with a copy of the request letter, the denial letter, and any analysis supporting the denial determination. The Denying Official must not provide copies of the matter that was the subject of the request unless specifically requested by the Office of Nuclear and National Security Information. (3) Office of Scientific and Technical Information. A Denying Official must notify the Office of Scientific and Technical Information of the title, number, date, originating organization, and author when an unclassified scientific or technical 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 for 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 DOE. b. Analytical Support. The Office of Nuclear and National Security Information provides analytical support and recommendations to assist the Director of Security Affairs in exercising his/her UCNI appeal authority. c. Scientific and Technical Reports. The Office of Nuclear and National Security Information must report to the Office of Scientific and Technical Information and the originator the title, number, date, originating organization, and author of any unclassified scientific or technical report that is determined on appeal to no longer contain UCNI. 7. JOINT MATTER. Prior to determining that matter under the cognizance of another DOE element no longer contains UCNI, the Reviewing Official must either send the matter to that organization for review or obtain the concurrence of that organization that the matter no longer contains UCNI. 8. MATTER SENT TO FILES. Any matter that has been filed is not required to be reviewed for UCNI while in the files or when retrieved from the files for reference, inventory, or similar purposes as long as it will be returned to the files. However, any such unclassified matter that is requested for release under a statute or Executive order that is likely to contain UCNI must be reviewed by a Reviewing Official; if determined to contain UCNI, it must be marked by the document custodian in accordance with this chapter upon notification that the matter contains UCNI. Part C - Marking of Matter 1. RELATIONSHIP TO OTHER TYPES OF CONTROL MARKINGS. a. Unclassified Matter. UCNI markings must be applied to any unclassified matter that contains or reveals UCNI regardless of any other unclassified control marking (e.g., Official Use Only, company "proprietary") that is also on the matter. b. Classified Matter. UCNI markings must not be applied to classified matter that contains UCNI, unless such matter has been portion marked to indicate the classification level. In such cases, the acronym "UCNI" must be used to indicate those unclassified portions containing UCNI. 2. UNCLASSIFIED MATTER THAT CONTAINS UCNI. a. Front Marking. When a Reviewing Official determines that unclassified matter contains UCNI, the Reviewing Official authorizes the front of the matter to be 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: ______________________________ Guideline/Guide Used: ________________ b. Page Marking. The marking "UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION" or "UCNI" must 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 Nuclear and National Security Information; or (3) a Denying Official. 3. CAVEAT. UCNI matter may be marked with the caveat "DISSEMINATION CONTROLLED BY ORIGINATOR" when programmatic requirements place special dissemination or reproduction limitations on UCNI information. This marking indicates that reproduction, extraction of information, or redistribution of such matter requires the permission of the originator. If this caveat is applied, the originator must ensure that the marking is placed immediately above the matter's front marking as follows: DISSEMINATION CONTROLLED BY ORIGINATOR 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: _______________________________ Guideline/Guide Used: _________________ 4. SPECIAL FORMAT MATTER. Special formats of unclassified matter (e.g., photographs, viewgraphs, films, magnetic tapes, floppy diskettes, audio or videotapes, slides) must 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 must 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 "UCNI" marking will suffice. 5. TRANSMITTAL DOCUMENTS. A document that (a) transmits matter marked as containing UCNI and (b) does not itself contain classified information or UCNI must be marked on its front as follows: Matter transmitted contains Unclassified Controlled Nuclear Information. When separated from enclosures, this document does not contain UCNI. 6. UNCLASSIFIED MATTER THAT NO LONGER CONTAINS UCNI. 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 must 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: ____________________________ 7. UNCLASSIFIED MATTER THAT DOES NOT CONTAIN UCNI. 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 6 above. 8. UPGRADING. A Reviewing or Denying Official may determine that existing, unmarked matter contains UCNI. The Reviewing or Denying Official making the determination must notify the originator or document custodian, providing sufficient information for the originator or document custodian to identify the specific matter being upgraded. This notification must itself be marked UCNI. CHAPTER II PROTECTION OF UCNI 1. ACCESS TO UCNI. Access to UCNI must be provided only to those authorized for 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. An Authorized Individual, who may be the originator or possessor of UCNI, may grant routine access to UCNI to another person eligible for routine access to UCNI (see paragraph 1a(2) below) simply by giving that person UCNI. No explicit designation or security clearance is required. The recipient of the UCNI becomes an Authorized Individual for that specific UCNI. A Reviewing Official is an Authorized Individual for matter that the Reviewing Official determines to contain UCNI. (2) Eligibility for Routine Access. To be granted routine access to UCNI, a person must need to know the specific UCNI in the performance of official duties or 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 for the reasons listed in this paragraph must coordinate such release with the Secretarial Officer with cognizance over the information. (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 Bid Rooms. To have access to matter that contains UCNI in bid rooms, a prospective contractor desiring access must 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 1017. This self-certification must 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 must 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 for routine access to UCNI. Examples of when special access might be granted include an attorney representing an employee in litigation with 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 for 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; and (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 must 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 for public benefit to fulfill statutory or regulatory responsibilities); (c) the likelihood of unauthorized dissemination by the requester; and (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 must 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, and (d) justification for granting the request. (4) Notification of Requester. Within 30 days of receipt of the request, the Secretarial Officer must 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 must not further disseminate the UCNI. (6) Categorical Special Access Approval. A related group of individuals may be eligible for approval of special access to UCNI. In such a case, the relationship of the individuals must be described, but the individuals themselves need not be identified. (Example: All attorneys and paralegals of a law firm who are representing a client in a lawsuit against a DOE site.) Requests for such categorical special access approval are submitted to the Director of Safeguards and Security. (7) Notification of Responsibilities by Use of Cover Sheet. Each person granted special access to UCNI must be notified of applicable regulations concerning UCNI prior to dissemination of the UCNI. Attaching DOE F 5639.1 (special access cover sheet for UCNI) 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. a. Protection in Use. An Authorized Individual must maintain physical control over any matter marked as containing UCNI to prevent unauthorized access to the information. b. Protection in Storage. UCNI matter must 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 must 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 and all paper paths checked for UCNI material. Excess paper containing UCNI must 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 �-inch wide strips. Other methods that provide 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 must be by means that preclude unauthorized disclosure or dissemination. (1) Outside a Facility. (a) Matter marked as containing UCNI must 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 (Optional 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 secure method readily available for the transmission of UCNI. 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 for access to UCNI can access that information. For instance, networks interconnected with a public-switched broadcast network (e.g., Internet) must provide methods (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 of 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 a violation, as appropriate. The Director of Safeguards and Security must 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 Manual 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.

DOE M 471.1-1 Draft 471.1-1 Identification and Protection of Unclassified Controlled Nuclear Information Manual <ORG> NN <SUMMARY> The draft Manual, DOE M 471.1-1, Identification and Protection of Unclassified Controlled Nuclear Information provides detail requirements to supplement the draft DOE O 471.1X. <DATE_ISSUE> 9/9/1999 <DATE_CLOSE> <TEXT> DOE M 471.1-1 Approved: XX-XX-99 Sunset Review: XX-XX-01 Expiration: XX-XX-03 DRAFT IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION MANUAL U.S. DEPARTMENT OF ENERGY Office of Security and Emergency Operations Office of Security Affairs Office of Nuclear and National Security Information Office of Safeguards and Security DISTRIBUTION: INITIATED BY: All Departmental Elements Office of Security Affairs IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION MANUAL 1. PURPOSE. This Manual provides detailed requirements to supplement DOE O 471.1X, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION. 2. SUMMARY. This Manual is composed of three chapters that provide the requirements for identifying and protecting Unclassified Controlled Nuclear Information (UCNI). Chapter I describes how UCNI is identified in matter, including the authority needed to review matter, the guidelines that are used, and the markings that are placed on the matter. Chapter II describes the access and physical protection requirements. Chapter III describes how violations and infractions of requirements in this Manual are handled. 3. REFERENCES. a. DOE O 470.1, SAFEGUARDS AND SECURITY PROGRAM, dated 9-28-95. b. DOE O 471.1X, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION, dated XX-XX-99. c. DOE M 475.1-1, IDENTIFYING CLASSIFIED INFORMATION, dated 5-8-98. d. DOE 3750.1, WORK FORCE DISCIPLINE, dated 3-23-83. e. 10 Code of Federal Regulations (CFR) Part 725, "Permits for Access to Restricted Data." f. 10 CFR Part 1004, "Freedom of Information." g. 10 CFR Part 1017, "Identification and Protection of Unclassified Controlled Nuclear Information." h. 48 CFR 952.204-70, "Classification/Declassification." i. Atomic Energy Act of 1954, as amended, section 123, "Cooperation with Other Nations" [42 United States Code (U.S.C.) 2164], and section 148, "Dissemination of Unclassified Information" (42 U.S.C. 2168). 4. CONTACT. Questions concerning this Manual should be addressed as follows: a. Questions on Chapter I should be directed to the Office of Nuclear and National Security Information at 301-903-5454. b. Questions on Chapters II and III should be directed to the Office of Safeguards and Security at 301-903-4805. BY ORDER OF THE SECRETARY OF ENERGY: DAVID M. KLAUS Director of Management and Administration CONTENTS CHAPTER I: IDENTIFICATION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION Part A Guidelines. . . . . . . . . . . . . . . . . . . . . . .I-1 1. UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION GUIDELINES. .I-1 2. GENERAL GUIDELINE . . . . . . . . . . . . . . . . . . . .I-1 a. Purpose. . . . . . . . . . . . . . . . . . . . . . .I-1 b. Originator/Approval Authority. . . . . . . . . . . .I-1 c. Basis. . . . . . . . . . . . . . . . . . . . . . . .I-1 d. Users. . . . . . . . . . . . . . . . . . . . . . . .I-1 (1) Review of Matter. . . . . . . . . . . . . . . .I-1 (2) Denial of Matter. . . . . . . . . . . . . . . .I-1 e. Identification Number. . . . . . . . . . . . . . . .I-1 3. TOPICAL GUIDELINES. . . . . . . . . . . . . . . . . . . .I-1 a. Purpose. . . . . . . . . . . . . . . . . . . . . . .I-1 b. Originator/Approval Authority. . . . . . . . . . . .I-2 c. Basis. . . . . . . . . . . . . . . . . . . . . . . .I-2 d. Users. . . . . . . . . . . . . . . . . . . . . . . .I-2 (1) Review of Matter. . . . . . . . . . . . . . . .I-2 (2) Denial of Matter. . . . . . . . . . . . . . . .I-2 e. Basis Citation . . . . . . . . . . . . . . . . . . .I-2 4. INTERNAL GUIDELINES . . . . . . . . . . . . . . . . . . .I-2 a. Purpose. . . . . . . . . . . . . . . . . . . . . . .I-2 b. Originator/Approval Authority. . . . . . . . . . . .I-2 c. Basis. . . . . . . . . . . . . . . . . . . . . . . .I-2 d. Users. . . . . . . . . . . . . . . . . . . . . . . .I-3 (1) Review of Matter. . . . . . . . . . . . . . . .I-3 (2) Denial of Matter. . . . . . . . . . . . . . . .I-3 e. Basis Citation . . . . . . . . . . . . . . . . . . .I-3 f. Submission of Guideline for Approval . . . . . . . .I-3 g. Copies of the Guideline. . . . . . . . . . . . . . .I-3 Part B Review of Matter. . . . . . . . . . . . . . . . . . . .I-4 1. OVERVIEW. . . . . . . . . . . . . . . . . . . . . . . . .I-4 2. REVIEWING OFFICIALS . . . . . . . . . . . . . . . . . . .I-4 CONTENTS (continued) a. Authority. . . . . . . . . . . . . . . . . . . . . .I-4 b. Appointment of Reviewing Officials . . . . . . . . .I-4 (1) Field . . . . . . . . . . . . . . . . . . . . .I-4 (2) Headquarters. . . . . . . . . . . . . . . . . .I-4 c. List of Current Reviewing Officials. . . . . . . . .I-5 d. Cancellation of Authority. . . . . . . . . . . . . .I-5 (1) By the Reviewing Official's Office Director . .I-5 (2) By the Designating Official . . . . . . . . . .I-5 (3) By the Field Element Classification Officer . .I-5 (4) By the Director of Nuclear and National Security InformationI-5 3. REVIEW RESPONSIBILITIES . . . . . . . . . . . . . . . . .I-6 a. Responsibilities of Originator or Possessor of MatterI-6 (1) Review Requirement. . . . . . . . . . . . . . .I-6 (2) Review Requirement Exception. . . . . . . . . .I-6 b. Responsibilities of the Reviewing Official . . . . .I-6 (1) When Applicable Topical or Internal Guidelines ExistI-6 (2) When No Applicable Topical or Internal Guidelines ExistI-6 c. Review Responsibilities of Classification Officers .I-6 (1) When General Guideline Topics Exist . . . . . .I-6 (2) When No Applicable General Guideline Topics ExistI-7 d. Notification of Determination. . . . . . . . . . . .I-7 e. Scientific and Technical Reports . . . . . . . . . .I-7 4. DENYING OFFICIALS . . . . . . . . . . . . . . . . . . . .I-7 a. Authority. . . . . . . . . . . . . . . . . . . . . .I-7 b. Appointment. . . . . . . . . . . . . . . . . . . . .I-7 5. DENIAL OF MATTER BY A DENYING OFFICIAL. . . . . . . . . .I-7 a. Denial Determination . . . . . . . . . . . . . . . .I-7 b. Denial Notification Requirements . . . . . . . . . .I-8 (1) Originator. . . . . . . . . . . . . . . . . . .I-8 (2) Office of Nuclear and National Security InformationI-8 (3) Office of Scientific and Technical Information.I-8 6. APPEAL OF THE DENIAL OF MATTER BY A DENYING OFFICIAL. . .I-8 a. Authority. . . . . . . . . . . . . . . . . . . . . .I-8 b. Analytical Support . . . . . . . . . . . . . . . . .I-8 c. Scientific and Technical Reports . . . . . . . . . .I-8 7. JOINT MATTER. . . . . . . . . . . . . . . . . . . . . . .I-9 8. MATTER SENT TO FILES. . . . . . . . . . . . . . . . . . .I-9 CONTENTS (continued) Part C Marking of Matter . . . . . . . . . . . . . . . . . . I-10 1. RELATIONSHIP TO OTHER TYPES OF CONTROL MARKINGS . . . . I-10 a. Unclassified Matter. . . . . . . . . . . . . . . . I-10 b. Classified Matter. . . . . . . . . . . . . . . . . I-10 2. UNCLASSIFIED MATTER THAT CONTAINS UCNI. . . . . . . . . I-10 a. Front Marking. . . . . . . . . . . . . . . . . . . I-10 b. Page Marking . . . . . . . . . . . . . . . . . . . I-10 c. Removal of Markings. . . . . . . . . . . . . . . . I-10 3. CAVEAT. . . . . . . . . . . . . . . . . . . . . . . . . I-11 4. SPECIAL FORMAT MATTER . . . . . . . . . . . . . . . . . I-11 5. TRANSMITTAL DOCUMENTS . . . . . . . . . . . . . . . . . I-11 6. UNCLASSIFIED MATTER THAT NO LONGER CONTAINS UCNI. . . . I-11 7. UNCLASSIFIED MATTER THAT DOES NOT CONTAIN UCNI. . . . . I-12 8. UPGRADING . . . . . . . . . . . . . . . . . . . . . . . I-12 CHAPTER II: PROTECTION OF UCNI 1. ACCESS TO UCNI. . . . . . . . . . . . . . . . . . . . . II-1 a. Routine Access . . . . . . . . . . . . . . . . . . II-1 (1) Authorized Individual . . . . . . . . . . . . II-1 (2) Eligibility for Routine Access. . . . . . . . II-1 (a) U.S. Citizen . . . . . . . . . . . . . . II-1 (b) Other Than a U.S. Citizen. . . . . . . . II-2 (c) Other Than a U.S. Citizen and Otherwise Not Eligible for Routine Access . . . . . . . . . . . II-2 (3) Dissemination Limitations . . . . . . . . . . II-3 (4) Access to UCNI Matter by Prospective Contractors in Bid RoomsII-3 (5) Deviation from Requirements . . . . . . . . . II-3 b. Special Access . . . . . . . . . . . . . . . . . . II-3 (1) Submission of a Request . . . . . . . . . . . II-3 (2) Granting a Request. . . . . . . . . . . . . . II-3 (3) Notification to the Office of Safeguards and SecurityII-4 (4) Notification of Requester . . . . . . . . . . II-4 CONTENTS (continued) (5) Special Access Limitations. . . . . . . . . . II-4 (6) Categorical Special Access Approval . . . . . II-4 (7) Notification of Responsibilities by Use of Cover SheetII-4 2. PHYSICAL PROTECTION REQUIREMENTS. . . . . . . . . . . . II-5 a. Protection in Use. . . . . . . . . . . . . . . . . II-5 b. Protection in Storage. . . . . . . . . . . . . . . II-5 c. Reproduction . . . . . . . . . . . . . . . . . . . II-5 d. Destruction. . . . . . . . . . . . . . . . . . . . II-5 e. Transmission . . . . . . . . . . . . . . . . . . . II-5 (1) Outside a Facility. . . . . . . . . . . . . . II-5 (2) Within a Facility . . . . . . . . . . . . . . II-6 (3) Over Telecommunications Circuits. . . . . . . II-6 f. Automated Information Systems (AIS). . . . . . . . II-6 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 (UCNI) GUIDELINES. Reviewing and Denying Officials must use UCNI guidelines as their basis for determining whether matter contains UCNI. Such guidelines may be separate documents or integrated in classification guides. These guidelines are of three types: the General Guideline, Topical Guidelines, and Internal Guidelines. 2. GENERAL GUIDELINE. a. Purpose. The General Guideline contains general policies and identifies whether broad areas of information are UCNI. In addition, the General Guideline is the basis for Topical and Internal Guidelines. b. Originator/Approval Authority. The General Guideline is approved and issued by the Office of Nuclear and National Security Information. c. Basis. The General Guideline is based on determinations by the Director of Nuclear and National Security Information. d. Users. (1) Review of Matter. The Office of Nuclear and National Security Information, DOE field element, or contractor Classification Officer may use the General Guideline to determine whether information is UCNI in any subject area for which Topical or Internal Guidelines do not exist. (2) Denial of Matter. A Denying Official may use the General Guideline to determine whether information is UCNI in any subject area for which Topical or Internal Guidelines do not exist. e. Identification Number. Each topic in the General Guideline which states that information is UCNI must include a unique and permanent identification number (e.g., GG #10). 3. TOPICAL GUIDELINES. a. Purpose. A Topical Guideline identifies whether information in a specific technical or program area is UCNI. b. Originator/Approval Authority. The Office of Nuclear and National Security Information approves and issues Topical Guidelines. c. Basis. A Topical Guideline is based on the General Guideline or another Topical Guideline. d. Users. (1) Review of Matter. Any Reviewing Official may use a Topical Guideline to determine whether information is UCNI. (2) Denial of Matter. A Denying Official may use a Topical Guideline to determine whether information is UCNI. e. Basis Citation. Each topic in a Topical Guideline that designates information as UCNI must cite the identification number of either the General or Topical Guideline on which it is based. In addition, each topic in a Topical Guideline that indicates information is UCNI must 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 whether information of interest to the issuing organization is UCNI. b. Originator/Approval Authority. DOE elements and DOE contractor organizations may issue Internal Guidelines. (1) The Office of Nuclear and National Security Information must approve each Internal Guideline before it is issued or reissued. The Director of Nuclear and National Security Information may delegate this authority in writing to field element Classification Officers. (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. c. Basis. An Internal Guideline is based on a Topical Guideline; however, if no applicable Topical Guideline exists, the Internal Guideline may be based directly on the General Guideline. d. Users. The issuing organization should specify in the Internal Guideline which organizations are authorized to use the Internal Guideline to determine whether information is UCNI. (1) Review of Matter. Only the Office of Nuclear and National Security Information, 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 determine whether information is UCNI. (2) Denial of Matter. Any Denying Official may use an Internal Guideline generated by an organization under his/her cognizance to determine that information is UCNI. e. Basis Citation. Each topic in an Internal Guideline that states that information is UCNI must 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 Nuclear and National Security Information for review and approval must include the following: (1) the full text of the guideline; (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 or Denying Officials not authorized to use the Internal Guideline; and (4) a contact point for requesting copies of the guideline. g. Copies of the Guideline. Any organization that issues an Internal Guideline must send the Office of Nuclear and National Security Information one floppy diskette in either ASCII or WordPerfect 5.1 or higher format and five copies of the issued guideline. Part B - Review of Matter 1. OVERVIEW. Any matter that may contain UCNI must be sent to a Reviewing Official prior to release. A Reviewing Official determines whether the matter contains UCNI. A Reviewing Official bases his/her determination on Topical Guidelines and Internal Guidelines. If matter containing UCNI is requested under a statute or Executive order, the Reviewing Official must 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 Nuclear and National Security Information) must determine whether the matter contains UCNI. A Reviewing Official authorizes UCNI markings to be applied to or removed 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 appoint additional Reviewing Officials as necessary within their organizations, subordinate organizations, and contractors. Any individual in a position that requires Reviewing Official authority must submit a request to the local Classification Officer following local procedures. (2) Headquarters. The Office of Nuclear and National Security Information 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 must submit a request signed by the office director or higher-level official to the Office of Nuclear and National Security Information. 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) anticipated frequency of use of the authority (e.g., daily, weekly); (f) UCNI guideline(s) to be used (a list of guidelines is available from the Office of Nuclear and National Security Information); and (g) qualifications of the individual (include educational background and experience). c. List of Current Reviewing Officials. Each appointing official must maintain a current list of all Reviewing Officials under his/her cognizance. This list must include the following information: (1) name, title, and organization of each Reviewing Official; (2) effective date of each appointment; and (3) any special instructions or limitations that apply to each appointment. d. Cancellation of Authority. The Reviewing Official's office director, the designating official, the field element Classification Officer for contractors under his/her cognizance, or the Director of Nuclear and National Security Information may cancel Reviewing Official authority when the employee's position no longer requires such authority or the employee cannot or does not exercise that authority reliably. (1) By the Reviewing Official's Office Director. The office director who cancels the Reviewing Official authority for an employee must notify the employee and inform the designating official of the employee's name and position, the reason for cancellation, and the date the authority will end. (2) By the Designating Official. The designating official who cancels the Reviewing Official authority for an employee must notify the employee and inform the employee's office director of the employee's name and position, the reason for cancellation, and the date the authority will end. (3) By the Field Element Classification Officer. The field element Classification Officer who cancels the Reviewing Official authority for a contractor employee under his/her cognizance must notify the employee and inform the employee's office director and the designating official of the employee's name and position, the reason for cancellation, and the date the authority will end. (4) By the Director of Nuclear and National Security Information. Upon canceling the Reviewing Official authority for an employee, the Director of Nuclear and National Security Information must notify the employee and inform the employee's office director and the designating official of the employee's name and position, the reason for cancellation, and the date the authority will end. 3. REVIEW RESPONSIBILITIES. a. Responsibilities of Originator or Possessor of Matter. (1) Review Requirement. Any person who thinks unclassified matter he/she originates or possesses may contain UCNI must send it to a Reviewing Official before it is finalized, sent outside of the 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.) (2) Review Requirement Exception. Review 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 must be destroyed in accordance with procedures in Chapter II, paragraph 2d. b. Responsibilities of the Reviewing Official. A Reviewing Official determines whether matter contains UCNI based on applicable UCNI guidelines authorized for use by the Reviewing Official. (1) When Applicable Topical or Internal Guidelines Exist. A Reviewing Official must determine whether the matter contains UCNI. The Reviewing Official authorizes UCNI markings to be applied to the matter and notifies the originator. (2) When No Applicable Topical or Internal Guidelines Exist. A Reviewing Official must send the matter and recommendations on information that should be designated as UCNI to the local Classification Officer, or for Headquarters, to the Office of Nuclear and National Security Information. The local Classification Officer or the Office of Nuclear and National Security Information must then determine whether the matter contains UCNI. c. Review Responsibilities of Classification Officers. (1) When General Guideline Topics Exist. A Classification Officer may determine whether matter contains UCNI. The Classification Officer authorizes UCNI markings to be applied to the matter and notifies the Reviewing Official who referred the matter. A Classification Officer may delegate this authority to Reviewing Officials on his/her immediate staff; otherwise, this authority must not be delegated. (2) When No Applicable General Guideline Topics Exist. The Classification Officer must send the matter to the Office of Nuclear and National Security Information with written recommendations for a determination. d. Notification of Determination. A Reviewing Official must notify the originator of any unclassified matter determined to contain or no longer contain UCNI. To the extent practical, the originator should notify all holders of the matter of the determination. e. Scientific and Technical Reports. The originator must report to the Office of Scientific and Technical Information the title, number, date, originating organization, author, and UCNI status of any unclassified scientific and technical report that he/she determines contains UCNI. 4. DENYING OFFICIALS. a. Authority. A Denying Official with cognizance over the information contained in the matter must 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 contains UCNI. The Denying Official ensures that the Reviewing Official who determined that the matter contains UCNI correctly interpreted and applied UCNI guidelines. b. Appointment. A Denying Official for UCNI requested under a statute or Executive order is the same as a Denying Official for other unclassified information, regardless of whether the request was made under the Freedom of Information Act. Such Denying Official is appointed under 10 Code of Federal Regulations (CFR) Part 1004, and redelegation of this authority is subject to requirements contained in 10 CFR Part 1004. 5. DENIAL OF MATTER BY A DENYING OFFICIAL. a. Denial Determination. Since UCNI is exempt from public release, a Reviewing Official must 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 must bracket each portion of the matter that contains UCNI that can reasonably be segregated. The Denying Official must then review the requested matter and applicable UCNI guidelines prior to making a denial determination. The Denying Official must 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. Denial Notification Requirements. (1) Originator. To the extent practical, the Denying Official should notify the originator of any 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 it no longer contains UCNI. To the extent practical, the originator should notify all holders of the matter of the determination. (2) Office of Nuclear and National Security Information. The Denying Official must notify the Office of Nuclear and National Security Information (ATTN: NN-521) of each denial determination and must provide that office with a copy of the request letter, the denial letter, and any analysis supporting the denial determination. The Denying Official must not provide copies of the matter that was the subject of the request unless specifically requested by the Office of Nuclear and National Security Information. (3) Office of Scientific and Technical Information. A Denying Official must notify the Office of Scientific and Technical Information of the title, number, date, originating organization, and author when an unclassified scientific or technical 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 for 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 DOE. b. Analytical Support. The Office of Nuclear and National Security Information provides analytical support and recommendations to assist the Director of Security Affairs in exercising his/her UCNI appeal authority. c. Scientific and Technical Reports. The Office of Nuclear and National Security Information must report to the Office of Scientific and Technical Information and the originator the title, number, date, originating organization, and author of any unclassified scientific or technical report that is determined on appeal to no longer contain UCNI. 7. JOINT MATTER. Prior to determining that matter under the cognizance of another DOE element no longer contains UCNI, the Reviewing Official must either send the matter to that organization for review or obtain the concurrence of that organization that the matter no longer contains UCNI. 8. MATTER SENT TO FILES. Any matter that has been filed is not required to be reviewed for UCNI while in the files or when retrieved from the files for reference, inventory, or similar purposes as long as it will be returned to the files. However, any such unclassified matter that is requested for release under a statute or Executive order that is likely to contain UCNI must be reviewed by a Reviewing Official; if determined to contain UCNI, it must be marked by the document custodian in accordance with this chapter upon notification that the matter contains UCNI. Part C - Marking of Matter 1. RELATIONSHIP TO OTHER TYPES OF CONTROL MARKINGS. a. Unclassified Matter. UCNI markings must be applied to any unclassified matter that contains or reveals UCNI regardless of any other unclassified control marking (e.g., Official Use Only, company "proprietary") that is also on the matter. b. Classified Matter. UCNI markings must not be applied to classified matter that contains UCNI, unless such matter has been portion marked to indicate the classification level. In such cases, the acronym "UCNI" must be used to indicate those unclassified portions containing UCNI. 2. UNCLASSIFIED MATTER THAT CONTAINS UCNI. a. Front Marking. When a Reviewing Official determines that unclassified matter contains UCNI, the Reviewing Official authorizes the front of the matter to be 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: ______________________________ Guideline/Guide Used: ________________ b. Page Marking. The marking "UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION" or "UCNI" must 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 Nuclear and National Security Information; or (3) a Denying Official. 3. CAVEAT. UCNI matter may be marked with the caveat "DISSEMINATION CONTROLLED BY ORIGINATOR" when programmatic requirements place special dissemination or reproduction limitations on UCNI information. This marking indicates that reproduction, extraction of information, or redistribution of such matter requires the permission of the originator. If this caveat is applied, the originator must ensure that the marking is placed immediately above the matter's front marking as follows: DISSEMINATION CONTROLLED BY ORIGINATOR 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: _______________________________ Guideline/Guide Used: _________________ 4. SPECIAL FORMAT MATTER. Special formats of unclassified matter (e.g., photographs, viewgraphs, films, magnetic tapes, floppy diskettes, audio or videotapes, slides) must 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 must 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 "UCNI" marking will suffice. 5. TRANSMITTAL DOCUMENTS. A document that (a) transmits matter marked as containing UCNI and (b) does not itself contain classified information or UCNI must be marked on its front as follows: Matter transmitted contains Unclassified Controlled Nuclear Information. When separated from enclosures, this document does not contain UCNI. 6. UNCLASSIFIED MATTER THAT NO LONGER CONTAINS UCNI. 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 must 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: ____________________________ 7. UNCLASSIFIED MATTER THAT DOES NOT CONTAIN UCNI. 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 6 above. 8. UPGRADING. A Reviewing or Denying Official may determine that existing, unmarked matter contains UCNI. The Reviewing or Denying Official making the determination must notify the originator or document custodian, providing sufficient information for the originator or document custodian to identify the specific matter being upgraded. This notification must itself be marked UCNI. CHAPTER II PROTECTION OF UCNI 1. ACCESS TO UCNI. Access to UCNI must be provided only to those authorized for 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. An Authorized Individual, who may be the originator or possessor of UCNI, may grant routine access to UCNI to another person eligible for routine access to UCNI (see paragraph 1a(2) below) simply by giving that person UCNI. No explicit designation or security clearance is required. The recipient of the UCNI becomes an Authorized Individual for that specific UCNI. A Reviewing Official is an Authorized Individual for matter that the Reviewing Official determines to contain UCNI. (2) Eligibility for Routine Access. To be granted routine access to UCNI, a person must need to know the specific UCNI in the performance of official duties or 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 for the reasons listed in this paragraph must coordinate such release with the Secretarial Officer with cognizance over the information. (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 Bid Rooms. To have access to matter that contains UCNI in bid rooms, a prospective contractor desiring access must 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 1017. This self-certification must 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 must 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 for routine access to UCNI. Examples of when special access might be granted include an attorney representing an employee in litigation with 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 for 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; and (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 must 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 for public benefit to fulfill statutory or regulatory responsibilities); (c) the likelihood of unauthorized dissemination by the requester; and (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 must 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, and (d) justification for granting the request. (4) Notification of Requester. Within 30 days of receipt of the request, the Secretarial Officer must 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 must not further disseminate the UCNI. (6) Categorical Special Access Approval. A related group of individuals may be eligible for approval of special access to UCNI. In such a case, the relationship of the individuals must be described, but the individuals themselves need not be identified. (Example: All attorneys and paralegals of a law firm who are representing a client in a lawsuit against a DOE site.) Requests for such categorical special access approval are submitted to the Director of Safeguards and Security. (7) Notification of Responsibilities by Use of Cover Sheet. Each person granted special access to UCNI must be notified of applicable regulations concerning UCNI prior to dissemination of the UCNI. Attaching DOE F 5639.1 (special access cover sheet for UCNI) 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. a. Protection in Use. An Authorized Individual must maintain physical control over any matter marked as containing UCNI to prevent unauthorized access to the information. b. Protection in Storage. UCNI matter must 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 must 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 and all paper paths checked for UCNI material. Excess paper containing UCNI must 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 �-inch wide strips. Other methods that provide 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 must be by means that preclude unauthorized disclosure or dissemination. (1) Outside a Facility. (a) Matter marked as containing UCNI must 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 (Optional 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 secure method readily available for the transmission of UCNI. 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 for access to UCNI can access that information. For instance, networks interconnected with a public-switched broadcast network (e.g., Internet) must provide methods (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 of 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 a violation, as appropriate. The Director of Safeguards and Security must 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 Manual 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.