Identification and Protection of Unclassified Controlled Nuclear Information <ORG> NN <SUMMARY> The draft revision of DOE O 471.1X, Identification and Protection of Unclassified Controlled Nuclear Information provides requirements and responsibilities for identifying and protecting the unauthorized dissemination of Unclassified Controlled Nuclear Information (UCNI). <DATE_ISSUE> 9/9/1999 <DATE_CLOSE> <TEXT> U.S. Department of Energy ORDER Washington, D.C. DOE O 471.1X Approved: XX-XX-99 Sunset Review: XX-XX-01 Expires: XX-XX-03 SUBJECT: IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION 1. OBJECTIVE. To prevent the unauthorized dissemination of Unclassified Controlled Nuclear Information (UCNI). 2. CANCELLATION. DOE O 471.1, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION, dated 9-25-95. Cancellation of a directive does not, by itself, modify or otherwise affect any contractual obligation to comply with such a directive. Canceled directives that are incorporated by reference in a contract will remain in effect until the contract is modified to delete the reference to the requirements in the canceled directives. 3. APPLICABILITY. a. DOE Elements. This Order applies to all DOE elements that may generate, possess, or have access to information or matter containing UCNI. b. Contractors. The Contractor Requirements Document (CRD), Attachment 1, sets forth requirements to be applied to DOE contractors and subcontractors that may generate, possess, or have access to information or matter containing UCNI. Contractor compliance with the CRD is required to the extent set forth in a contract. 4. REQUIREMENTS. Detailed requirements for identifying and protecting UCNI are contained in DOE M 471.1-1, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION MANUAL. a. Any person who originates or possesses unclassified matter that may contain UCNI must send the unclassified matter to a Reviewing Official. b. A Reviewing Official (see DOE M 471.1-1, Chapter I, Part B) determines whether matter contains UCNI and authorizes it to be marked as required in DOE M 471.1-1, Chapter I, Part C. c. A Denying Official (see DOE M 471.1-1, Chapter I, Part B) determines whether matter requested under statute or Executive order is exempt from release based on a Reviewing Official's recommendation and applicable UCNI guidelines. d. Any matter widely disseminated in the public domain (e.g., a document that is available in a public or university library or over the Internet) is exempt from control under this Order regardless of its content. A Reviewing Official determines whether matter is considered to be widely disseminated. e. Access to UCNI must be provided to only those individuals authorized for routine or special access (see DOE M 471.1-1, Chapter II). f. Physical protection requirements for UCNI are contained in DOE M 471.1-1, Chapter II. 5. RESPONSIBILITIES. Except as specifically prohibited by DOE M 471.1-1, any authority assigned to an individual herein may be redelegated to subordinate officials within the individual's organization. The Director of Nuclear and National Security Information or the Director of Safeguards and Security must concur in any such redelegation, as appropriate. a. Director of Security and Emergency Operations. Oversees the program to identify and protect UCNI. b. Director of Security Affairs. (1) Establishes policy for the program to identify and protect UCNI. (2) Determines whether a material is a "nuclear material" under 10 Code of Federal Regulations (CFR) 1017.10. (3) Determines whether any portion of a document requested under statute or Executive order that was initially denied because it contained UCNI still contains UCNI and must still be denied. c. Director of Nuclear and National Security Information. (1) Administers the program to identify UCNI (see DOE M 471.1-1, Chapter I). (2) Determines whether specific Government information is UCNI as the Controlling Official under 10 CFR 1017.7. (3) Develops and issues the UCNI General Guideline and all Topical Guidelines; approves all UCNI guidelines. (4) Appoints Reviewing Officials for Headquarters elements and their contractors and for any organization not under a Classification Officer. (5) Appoints Reviewing Officials who may review matter for UCNI that is not under their own programmatic or organizational cognizance. (6) Resolves disagreements between Reviewing and/or Denying Officials about whether matter contains UCNI. (7) Issues, and makes available upon request to any interested person, a quarterly report describing and justifying Government information determined to be UCNI during the previous quarter. (8) Manages the UCNI oversight program to ensure that DOE and DOE contractors that generate information or matter containing UCNI effectively carry out those portions of this Order under the cognizance of the Director of Nuclear and National Security Information. d. Director of Safeguards and Security. Administers the program to protect UCNI (except for information being processed, stored, or transmitted in unclassified automated information systems, which is the responsibility of the Office of Information Management). See DOE M 471.1-1, Chapters II and III. e. Heads of Headquarters and Field Elements. (1) Ensure that the necessary staff are designated to fulfill the requirements contained in this Order. (2) Appoint an individual to be responsible for notifying the contracting officer of each procurement falling within the scope of this Order. If such an individual is not appointed, this responsibility is that of the procurement request originator (the individual responsible for initiating a requirement on DOE F 4200.33, "Procurement Request Authorization"). f. Field Element Classification Officers (see DOE M 475.1-1, IDENTIFYING CLASSIFIED INFORMATION). (1) Administer the UCNI identification program for their field elements. (2) Are Reviewing Officials and may appoint other Reviewing Officials from their organizations, subordinate organizations, and contractors under their cognizance. (3) May overrule UCNI determinations made by Reviewing Officials under their cognizance. g. Director of Information Management. Administers the program to protect UCNI being processed, stored, or transmitted in unclassified automated information systems. h. Director, Naval Nuclear Propulsion Program. Implements and oversees all policy and practices pertaining to this Order for activities under the Director's cognizance. i. Procurement Request Originators (or such other individuals appointed by the cognizant head of the DOE element). (1) Bring to the attention of the cognizant contracting officer the following: (a) each procurement requiring the application of this Order (reference 48 CFR 952.204-70), (b) requirements to apply the provisions of this Order to any subcontract or subaward, and (c) portion(s) of this Order with which the awardee or subawardee is to comply. (2) Identify the UCNI guidelines that apply to a proposed contract. j. Contracting Officers. Based on advice received from the procurement request originator or other appointed individual, apply requirements contained in this Order to DOE contractors that may generate, possess, or have access to information or matter containing UCNI. 6. REFERENCES. a. DOE M 471.1-1, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION MANUAL, dated XX-XX-99. b. DOE M 475.1-1, IDENTIFYING CLASSIFIED INFORMATION, dated 5-8-98. c. 10 CFR 1017, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION. d. 48 CFR 952.204-70, "Classification/Declassification." 7. CONTACT. Direct any questions regarding this Order to the Office of Nuclear and National Security Information, 301-903-5454, or to the Office of Safeguards and Security, 301-903- 4805, as appropriate. BY ORDER OF THE SECRETARY OF ENERGY: DAVID M. KLAUS DIRECTOR OF MANAGEMENT AND ADMINISTRATION ATTACHMENT 1 CONTRACTOR REQUIREMENTS DOCUMENT DOE O 471.1X, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION, dated XX-XX-99 In the performance of this contract, a contractor must do the following. 1. If the contractor has a formally appointed Classification Officer, he/she (a) serves as a Reviewing Official for information under his/her cognizance; (b) appoints other Reviewing Officials in his/her organization, subordinate organizations, and subcontractors; informs these Reviewing Officials of their responsibilities/authorities; determines whether additional training is necessary and, if so, provides such training; and maintains a current list of all Reviewing Officials; and (c) may overrule UCNI determinations made by Reviewing Officials under his/her cognizance. 2. Use the three levels of UCNI guidelines (i.e., General Guideline, Topical Guidelines, Internal Guidelines; see DOE M 471.1-1, Chapter I, Part A) to review matter and identify what specific Government information is UCNI, in accordance with the instructions contained in DOE M 471.1-1, Chapter I, Part B. 3. Develop and issue UCNI internal guidelines, as necessary and with the approval of the Director of Nuclear and National Security Information, in accordance with the instructions contained in DOE M 471.1-1, Chapter I, Part A. 4. Apply UCNI markings to any unclassified matter that contains UCNI in accordance with the instructions contained in DOE M 471.1-1, Chapter I, Part C. 5. Provide access to UCNI to only those individuals authorized for routine or special access (see DOE M 471.1-1, Chapter II). 6. Protect unclassified matter identified as UCNI in accordance with the instructions contained in DOE M 471.1-1, Chapter II. 7. Recommend to the local security office the imposition of a civil or criminal penalty for any alleged knowing, willful, or negligent action that could reasonably be expected to result in an unauthorized disclosure of UCNI or for any knowing, willful, or negligent action to control information as UCNI for prohibited reasons (see 10 CFR 1017.5). 8. Impose a penalty, as deemed appropriate, on any contractor employee who commits a knowing, willful, or negligent action that would not require the imposition of a civil or criminal penalty, but which is still contrary to the requirements of this Contractor Requirements Document.

DOE O 471.1X Draft 471.1X Identification and Protection of Unclassified Controlled Nuclear Information <ORG> NN <SUMMARY> The draft revision of DOE O 471.1X, Identification and Protection of Unclassified Controlled Nuclear Information provides requirements and responsibilities for identifying and protecting the unauthorized dissemination of Unclassified Controlled Nuclear Information (UCNI). <DATE_ISSUE> 9/9/1999 <DATE_CLOSE> <TEXT> U.S. Department of Energy ORDER Washington, D.C. DOE O 471.1X Approved: XX-XX-99 Sunset Review: XX-XX-01 Expires: XX-XX-03 SUBJECT: IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION 1. OBJECTIVE. To prevent the unauthorized dissemination of Unclassified Controlled Nuclear Information (UCNI). 2. CANCELLATION. DOE O 471.1, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION, dated 9-25-95. Cancellation of a directive does not, by itself, modify or otherwise affect any contractual obligation to comply with such a directive. Canceled directives that are incorporated by reference in a contract will remain in effect until the contract is modified to delete the reference to the requirements in the canceled directives. 3. APPLICABILITY. a. DOE Elements. This Order applies to all DOE elements that may generate, possess, or have access to information or matter containing UCNI. b. Contractors. The Contractor Requirements Document (CRD), Attachment 1, sets forth requirements to be applied to DOE contractors and subcontractors that may generate, possess, or have access to information or matter containing UCNI. Contractor compliance with the CRD is required to the extent set forth in a contract. 4. REQUIREMENTS. Detailed requirements for identifying and protecting UCNI are contained in DOE M 471.1-1, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION MANUAL. a. Any person who originates or possesses unclassified matter that may contain UCNI must send the unclassified matter to a Reviewing Official. b. A Reviewing Official (see DOE M 471.1-1, Chapter I, Part B) determines whether matter contains UCNI and authorizes it to be marked as required in DOE M 471.1-1, Chapter I, Part C. c. A Denying Official (see DOE M 471.1-1, Chapter I, Part B) determines whether matter requested under statute or Executive order is exempt from release based on a Reviewing Official's recommendation and applicable UCNI guidelines. d. Any matter widely disseminated in the public domain (e.g., a document that is available in a public or university library or over the Internet) is exempt from control under this Order regardless of its content. A Reviewing Official determines whether matter is considered to be widely disseminated. e. Access to UCNI must be provided to only those individuals authorized for routine or special access (see DOE M 471.1-1, Chapter II). f. Physical protection requirements for UCNI are contained in DOE M 471.1-1, Chapter II. 5. RESPONSIBILITIES. Except as specifically prohibited by DOE M 471.1-1, any authority assigned to an individual herein may be redelegated to subordinate officials within the individual's organization. The Director of Nuclear and National Security Information or the Director of Safeguards and Security must concur in any such redelegation, as appropriate. a. Director of Security and Emergency Operations. Oversees the program to identify and protect UCNI. b. Director of Security Affairs. (1) Establishes policy for the program to identify and protect UCNI. (2) Determines whether a material is a "nuclear material" under 10 Code of Federal Regulations (CFR) 1017.10. (3) Determines whether any portion of a document requested under statute or Executive order that was initially denied because it contained UCNI still contains UCNI and must still be denied. c. Director of Nuclear and National Security Information. (1) Administers the program to identify UCNI (see DOE M 471.1-1, Chapter I). (2) Determines whether specific Government information is UCNI as the Controlling Official under 10 CFR 1017.7. (3) Develops and issues the UCNI General Guideline and all Topical Guidelines; approves all UCNI guidelines. (4) Appoints Reviewing Officials for Headquarters elements and their contractors and for any organization not under a Classification Officer. (5) Appoints Reviewing Officials who may review matter for UCNI that is not under their own programmatic or organizational cognizance. (6) Resolves disagreements between Reviewing and/or Denying Officials about whether matter contains UCNI. (7) Issues, and makes available upon request to any interested person, a quarterly report describing and justifying Government information determined to be UCNI during the previous quarter. (8) Manages the UCNI oversight program to ensure that DOE and DOE contractors that generate information or matter containing UCNI effectively carry out those portions of this Order under the cognizance of the Director of Nuclear and National Security Information. d. Director of Safeguards and Security. Administers the program to protect UCNI (except for information being processed, stored, or transmitted in unclassified automated information systems, which is the responsibility of the Office of Information Management). See DOE M 471.1-1, Chapters II and III. e. Heads of Headquarters and Field Elements. (1) Ensure that the necessary staff are designated to fulfill the requirements contained in this Order. (2) Appoint an individual to be responsible for notifying the contracting officer of each procurement falling within the scope of this Order. If such an individual is not appointed, this responsibility is that of the procurement request originator (the individual responsible for initiating a requirement on DOE F 4200.33, "Procurement Request Authorization"). f. Field Element Classification Officers (see DOE M 475.1-1, IDENTIFYING CLASSIFIED INFORMATION). (1) Administer the UCNI identification program for their field elements. (2) Are Reviewing Officials and may appoint other Reviewing Officials from their organizations, subordinate organizations, and contractors under their cognizance. (3) May overrule UCNI determinations made by Reviewing Officials under their cognizance. g. Director of Information Management. Administers the program to protect UCNI being processed, stored, or transmitted in unclassified automated information systems. h. Director, Naval Nuclear Propulsion Program. Implements and oversees all policy and practices pertaining to this Order for activities under the Director's cognizance. i. Procurement Request Originators (or such other individuals appointed by the cognizant head of the DOE element). (1) Bring to the attention of the cognizant contracting officer the following: (a) each procurement requiring the application of this Order (reference 48 CFR 952.204-70), (b) requirements to apply the provisions of this Order to any subcontract or subaward, and (c) portion(s) of this Order with which the awardee or subawardee is to comply. (2) Identify the UCNI guidelines that apply to a proposed contract. j. Contracting Officers. Based on advice received from the procurement request originator or other appointed individual, apply requirements contained in this Order to DOE contractors that may generate, possess, or have access to information or matter containing UCNI. 6. REFERENCES. a. DOE M 471.1-1, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION MANUAL, dated XX-XX-99. b. DOE M 475.1-1, IDENTIFYING CLASSIFIED INFORMATION, dated 5-8-98. c. 10 CFR 1017, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION. d. 48 CFR 952.204-70, "Classification/Declassification." 7. CONTACT. Direct any questions regarding this Order to the Office of Nuclear and National Security Information, 301-903-5454, or to the Office of Safeguards and Security, 301-903- 4805, as appropriate. BY ORDER OF THE SECRETARY OF ENERGY: DAVID M. KLAUS DIRECTOR OF MANAGEMENT AND ADMINISTRATION ATTACHMENT 1 CONTRACTOR REQUIREMENTS DOCUMENT DOE O 471.1X, IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION, dated XX-XX-99 In the performance of this contract, a contractor must do the following. 1. If the contractor has a formally appointed Classification Officer, he/she (a) serves as a Reviewing Official for information under his/her cognizance; (b) appoints other Reviewing Officials in his/her organization, subordinate organizations, and subcontractors; informs these Reviewing Officials of their responsibilities/authorities; determines whether additional training is necessary and, if so, provides such training; and maintains a current list of all Reviewing Officials; and (c) may overrule UCNI determinations made by Reviewing Officials under his/her cognizance. 2. Use the three levels of UCNI guidelines (i.e., General Guideline, Topical Guidelines, Internal Guidelines; see DOE M 471.1-1, Chapter I, Part A) to review matter and identify what specific Government information is UCNI, in accordance with the instructions contained in DOE M 471.1-1, Chapter I, Part B. 3. Develop and issue UCNI internal guidelines, as necessary and with the approval of the Director of Nuclear and National Security Information, in accordance with the instructions contained in DOE M 471.1-1, Chapter I, Part A. 4. Apply UCNI markings to any unclassified matter that contains UCNI in accordance with the instructions contained in DOE M 471.1-1, Chapter I, Part C. 5. Provide access to UCNI to only those individuals authorized for routine or special access (see DOE M 471.1-1, Chapter II). 6. Protect unclassified matter identified as UCNI in accordance with the instructions contained in DOE M 471.1-1, Chapter II. 7. Recommend to the local security office the imposition of a civil or criminal penalty for any alleged knowing, willful, or negligent action that could reasonably be expected to result in an unauthorized disclosure of UCNI or for any knowing, willful, or negligent action to control information as UCNI for prohibited reasons (see 10 CFR 1017.5). 8. Impose a penalty, as deemed appropriate, on any contractor employee who commits a knowing, willful, or negligent action that would not require the imposition of a civil or criminal penalty, but which is still contrary to the requirements of this Contractor Requirements Document.