Unclassified Controlled Nuclear Information (UCNI)
Welcome to the Office of Classification Unclassified
Controlled Nuclear Information (UCNI) webpage. This
page is designed to provide information, answer questions,
and provide a point of contact for UCNI inquiries.
UCNI is certain unclassified information about nuclear
facilities and nuclear weapons that must be controlled
because its unauthorized release could have a significant
adverse effect on the national security or public
health and safety. The Director, Office of Classification
(OC), decides what specific information is UCNI. For
information under the cognizance of the National Nuclear
Security Administration (NNSA), the decisions are
made in coordination with the Associate Administrator
for Defense Nuclear Security. UCNI Reviewing Officials
use guidance based on these determinations to decide
if documents contain UCNI. Any document that may contain
UCNI must be reviewed by an UCNI Reviewing Official
to determine if it contains UCNI.
Policy Questions and Answers
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Basis for UCNI
What documents contain the legal and policy foundations for the UCNI program?
Section 148 of the Atomic Energy Act
of 1954, as amended (42 U.S.C. 2011 et seq.), is the
statutory basis for the UCNI program.
10 CFR Part 1017, Identification
and Protection of Unclassified Controlled Nuclear
Information
specifies many detailed policies and requirements
concerning the UCNI program.
DOE O 471.1B, Identification
and Protection of Unclassified Controlled Nuclear
Information, specifies additional policies
and requirements concerning the Department of Energy
(DOE) UCNI program.
UCNI General
Guideline, GG-5, is a record of decisions
made by the Director, OC, as to what general subject
areas are UCNI. Note: GG-5 may only be used by the
Director, OC, to make determinations
as to whether information is UCNI. All other UCNI
Reviewing Officials must use UCNI guidance.
Review Requirement
What are the requirements for reviewing a document that may contain UCNI?
§ 1017.15(a) requires you to have a document
that may contain UCNI reviewed by an UCNI Reviewing Offical.
If you do not have an UCNI Reviewing Official
in your organization, you must send the document
outside your organization for review. When a
document is transmitted outside of your organization
prior to review, it must be marked "Protect as UCNI Pending Review" in accordance
with §
1017.15(a) and transmitted in accordance with
§ 1017.27.
Detailed requirements for the review of documents
that may contain UCNI are found in § 1017.15(a)
and DOE O 471.1B,4d.
Access to UCNI
An authorized person [see § 1017.20(a)]
may grant routine access to UCNI to eligible individuals.
In order to be eligible for routine access, the person
must have a need to know the UCNI in order to perform
official duties or other Government-authorized activities
and meet the criteria in § 1017.20(b).
If a person does not meet the criteria for routine
access, a special request for limited access must
be submitted in accordance with § 1017.21(a).
Protection of UCNI
What are the rules for protecting an UCNI document or material when a person is using it?
Any person with routine access to a document or material containing UCNI must maintain physical control over the document or material to prevent access by someone who does not have authorized access to the UCNI. See
§ 1017.23.
Is a cover sheet required for an UCNI document?
No. For more information, refer to DOE O 471.1B,
4j(1).
Does a document or material marked as containing UCNI have to be stored in any special way?
Yes. For more, information refer to §
1017.24.
Are
there any restrictions on reproducing a document that contains UCNI?
Yes. For more information, refer to §
1017.25.
Where can I find the approved methods for destroying a document or material containing UCNI?
The requirements for the destruction of UCNI are detailed in § 1017.26, and DOE O 471.1B, 4j(2).
How may hard copies of a document marked as containing UCNI be transmitted?
Requirements for sending a document or material marked as containing UCNI to another person are described in § 1017.27(a).
Hand carrying an UCNI document or material is discussed in § 1017.27(a)(1)(iii).
If a person has limited access, they may not further disseminate the UCNI to anyone. See § 1017.21(d)
Can UCNI be discussed or faxed over a regular telephone?
No. For more information, refer to the encryption requirements in
§ 1017.27(b).
For additional information on what encryption algorithms meet these requirements, contact
Peter Leach at
(301) 903-3957.
Questions for UCNI Reviewing Officials
What guidance can a Reviewing Official use, and
how does a Reviewing Official get copies of guidance?
A Reviewing Official can use the UCNI guidance that
falls within the subject areas of their authority.
A list of UCNI guidance can be found in the Index
of DOE Classification Guidance (Sections
B and C). The Index also contains information on how
to get copies of guidance. At Headquarters, you can
get a copy of the appropriate form to request guidance
from the Office of Classification's Technical
Guidance Administrator at (301) 903-3688. If you are
a Reviewing Official at Headquarters, you may also
contact your Headquarters Classification Representative
for assistance. If you are a Reviewing Official in
the field, consult your Classification Officer to find
out which UCNI guidance is available and how to get
copies.
How does a Reviewing Official use guidance?
The Reviewing Official evaluates the information
in a document or material and determines if it falls
within the scope of a topic in guidance that specifies that the
information is UCNI.
What do typical UCNI guidance topics look like?
| Topic Number |
Topic |
Determination |
| 314.2 |
Security plans for the XYZ Plutonium
Production Plant |
UCNI |
This is the simplest form of a topic. It states that
certain specifically identified information is UCNI.
| Topic Number |
Topic |
Determination |
| 602.23
|
Security plans for any UCNI sensitive
facility on the Rockville Site |
UCNI |
Some topics in UCNI guidance state that information
is UCNI if it concerns an "UCNI sensitive facility"
or an "UCNI facility." These terms are just
older terms for an UCNI production facility or an
UCNI utilization facility. Contact your Classification
Officer to find out which facilities at your site
are UCNI production or utilization facilities.
| Topic Number |
Topic |
Determination |
| 299.8 |
Security plans for any facility on the Rockville Site |
OUO/UCNI |
Guidance topics that identify that a specified fact
is either UCNI or Official Use Only (OUO) information usually concern
security at a facility. In such cases, the fact is UCNI
if the Classification Officer has determined that
the facility is an UCNI production or utilization
facility. Contact your Classification Officer to find
out which facilities at your site are UCNI production
facilities or UCNI utilization facilities. If the
facility is not either, the specified fact is OUO
information.
| Topic Number |
Topic |
Determination |
| 271.8 |
Security plans for the ABC Plutonium Fabrication Plant |
UCNI/CNSI |
NOTE: Classified if plans reveal a vulnerability. |
This topic states that information might be either
UCNI or classified depending on whether the plans
reveal a security vulnerability. Therefore, the document
under review should first be reviewed by a Derivative
Classifier, who will determine whether the document
is classified. If the document is unclassified, the
UCNI Reviewing Official can use this topic as the
basis for the determination that the document contains
UCNI. Obviously, if the Reviewing Official is also
a Derivative Classifier, this problem goes away!
How does a Reviewing Official review a newly
created document or material for UCNI?
In most cases, a Reviewing Official will only review
newly created documents or material for UCNI. Prior
to making an UCNI determination, the Reviewing Official
must ensure that the document or material is not
classified.
In general, any document or material that concerns
a classified subject area must first be reviewed for
classified information (DOE O 475.2A, Attachment 4, paragraph 1). A classified subject area is any subject
area for which classification guidance is issued (DOE O 475.2A, Attachment 9, 2e).
- If the document is classified, an UCNI review is
required
o if the document is to be portion marked since
each unclassified portion containing UCNI must be identified
(§1017.16(a)(3)) or
o if a redacted version of the document is being
created.
- If the document or material is unclassified, the
remaining steps in this section apply.
If the document is unclassified, the Reviewing Official
follows the standard process detailed in §1017.15(a). See DOE O 471.1B,4d for supplemental information.
How does a Reviewing Official review an existing,
unmarked document or material for UCNI?
|
In most cases, a Reviewing Official will review newly created documents or material for UCNI. However, on rare occasions, he or she may be asked to review an existing document or material. Certain special rules and limitations apply to such reviews.
Prior to making an UCNI determination, the Reviewing Official must ensure that the document or material is not classified. .
|
|
If the document is not classified, but contains information that falls under an UCNI topic, the Reviewing Official must determine if the document is widely disseminated. If it is widely disseminated, it cannot be UCNI.
Note: The determination concerning wide dissemination in the public domain is on a document level. Even if a document or material cannot be UCNI because it is currently publicly available, other documents or material containing the same information that is in the widely publicly disseminated document or material can still
be UCNI.
|
| CAUTION: The absence of UCNI in a document
or material does not mean that the document or
material can be publicly released. |
What is the process for becoming a Reviewing Official?
An organization that has access to UCNI will probably
need to have an UCNI Reviewing Official if it intends to
generate UCNI documents. However, an organization
that does not intend to generate UCNI documents may
still need a Reviewing Official to review drafts to
ensure that the documents don't contain UCNI.
The qualifications and process for nominating an
individual as an UCNI Reviewing Official are detailed
in DOE O 471.1B, 4b (1) and (2).
How is a document containing UCNI marked?
Front page marking: If a document contains
UCNI (and no classified or OUO information), the front
page must have the front
marking. (§ 1017.16 (a)(1)).
Page marking: The marking "Unclassified Controlled
Nuclear Information" must be placed on the bottom
of the front of the document and on the bottom of
each interior page of the document that contains text
or if more convenient, on the bottom of only those
interior pages that contain UCNI. The page marking
must also be placed on the back of the last page.
If space limitations do not allow for use of the full
page marking, the acronym ''UCNI'' may be used as
the page marking. (§ 1017.16 (a)(2)).
Transmittals: A document that transmits documents
or material marked as containing UCNI and does not
itself contain classified information or UCNI must
be marked on its front with "Document(s) transmitted
contain(s) Unclassified Controlled Nuclear Information.
When separated from enclosures, this transmittal
document does not contain UCNI." (DOE O 471.1B,
4h(4)).
Marking Material: If possible, material containing
or revealing UCNI must be marked
as described in § 1017.16(a)(1). If space limitations
do not allow for use of the full marking in §
1017.16(a)(1), the acronym
"UCNI" may be used. (§ 1017.16 (a)(4)(b)).
Marking e-mail: An e-mail message that contains
UCNI must be marked as follows (DOE O 471.1B 4h(5)):
The first line of an e-mail message containing UCNI
must include the abbreviation "UCNI," the
Reviewing Official's name and organization, and the
guidance used to make the UCNI determination (e.g.,
UCNI; Jane Smith, HS-90; CG-SS-4). If there is an
attachment
that contains UCNI, it must have all required UCNI
markings.
If the message itself is not UCNI but an attachment
contains UCNI, the message must indicate that the
attachment is UCNI. The attachment
must have all required UCNI markings.
Additional Reference
Examples of the above markings and other examples
are provided in the UCNI Marking Reference.
.
Marking requirements are detailed in 10 CFR
1017.16 and DOE O 471.1B, 4h.
Who should I contact if I have additional questions?
If your questions are not answered here, in 10 CFR
Part 1017, Identification and Protection of
Unclassified Controlled Nuclear Information,
or DOE O 471.1B, Identification and Protection
of Unclassified Controlled Nuclear Information,
contact your Classification Representative, your classification
office or the Office of Classification's outreach
program at (301) 903-7567 or outreach@hq.doe.gov.
§ 1017.15 Review process.
(a)
Reviewing documents for UCNI.
Anyone who originates or possesses a document that
he or she thinks may contain UCNI must send the document
to a Reviewing Official for a determination before
it is finalized, sent outside of his or her organization,
or filed. If the originator or possessor must send
the document outside of his or her organization for
the review, he or she must mark the front of the document
with ''Protect as UCNI Pending Review'' and must transmit
the document in accordance with the requirements in
§ 1017.27.
The Reviewing Official must first determine whether
the document is widely disseminated in the public
domain, which means that the document under review
is publicly available from a Government technical
information service or depository library, for example,
or that it can be found in a public library or an
open literature source, or it can be accessed on the
Internet using readily available search methods.
(1) If the document is determined to be widely
disseminated in the public domain, it cannot be
controlled as UCNI. The Reviewing Official returns
the document to the person who sent it to the Reviewing
Official and informs him or her why the document
cannot be controlled as UCNI. This does not preclude
control of the same information as UCNI if it is
contained in another document that is not widely
disseminated.
(2) If the document is not determined to be widely
disseminated in the public domain, the Reviewing
Official evaluates the information in the document
using guidance to determine whether the document
contains UCNI. If the Reviewing Official determines
that the document does contain UCNI, the Reviewing
Official marks or authorizes the marking of the
document as specified in § 1017.16. If the
Reviewing Official determines that the document
does not contain UCNI, the Reviewing Official returns
the document to the person who sent it and informs
him or her that the document does not contain UCNI.
For documentation purposes, the Reviewing Official
may mark or authorize the marking of the document
as specified in § 1017.17(b).
(3) If no applicable guidance exists, but the Reviewing
Official thinks the information should be identified
as UCNI, then the Reviewing Official must send the
document to the appropriate official identified
in applicable DOE directives issued by the Secretary
or his or her designee. The Reviewing Official should
also include a written recommendation as to why
the information should be identified as UCNI.
(b) Review exemption for documents in files. Any
document that was permanently filed prior to May 22,
1985, 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 the document will be returned to the files and
is not accessible by individuals who are not Authorized
Individuals for the UCNI contained in the document.
However, when a document that is likely to contain
UCNI is removed from the files for dissemination within
or outside of the immediate organization, it must
be reviewed by a Reviewing Official with cognizance
over the information.
(c) Reviewing material for UCNI. Anyone who produces
or possesses material that he or she thinks may contain
or reveal UCNI must consult with a Reviewing Official
for a determination. If the Reviewing Official determines
that the material does contain or reveal UCNI, the
Reviewing Official marks or authorizes the marking
of the material as specified in § 1017.16(b).
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§ 1017.15 Review process.
(a)
Reviewing documents for UCNI.
Anyone who originates or possesses a document that
he or she thinks may contain UCNI must send the document
to a Reviewing Official for a determination before
it is finalized, sent outside of his or her organization,
or filed. If the originator or possessor must send
the document outside of his or her organization for
the review, he or she must mark the front of the document
with ''Protect as UCNI Pending Review'' and must transmit
the document in accordance with the requirements in
§ 1017.27.
The Reviewing Official must first determine whether
the document is widely disseminated in the public
domain, which means that the document under review
is publicly available from a Government technical
information service or depository library, for example,
or that it can be found in a public library or an
open literature source, or it can be accessed on the
Internet using readily available search methods.
(1) If the document is determined to be widely
disseminated in the public domain, it cannot be
controlled as UCNI. The Reviewing Official returns
the document to the person who sent it to the Reviewing
Official and informs him or her why the document
cannot be controlled as UCNI. This does not preclude
control of the same information as UCNI if it is
contained in another document that is not widely
disseminated.
(2) If the document is not determined to be widely
disseminated in the public domain, the Reviewing
Official evaluates the information in the document
using guidance to determine whether the document
contains UCNI. If the Reviewing Official determines
that the document does contain UCNI, the Reviewing
Official marks or authorizes the marking of the
document as specified in § 1017.16. If the
Reviewing Official determines that the document
does not contain UCNI, the Reviewing Official returns
the document to the person who sent it and informs
him or her that the document does not contain UCNI.
For documentation purposes, the Reviewing Official
may mark or authorize the marking of the document
as specified in § 1017.17(b).
(3) If no applicable guidance exists, but the Reviewing
Official thinks the information should be identified
as UCNI, then the Reviewing Official must send the
document to the appropriate official identified
in applicable DOE directives issued by the Secretary
or his or her designee. The Reviewing Official should
also include a written recommendation as to why
the information should be identified as UCNI.
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§ 1017.16 Unclassified Controlled Nuclear
Information markings on documents or material.
(a) Marking documents. If a Reviewing Official
determines that a document contains UCNI, the Reviewing
Official must mark or authorize the marking of the
document as described in this section.
(1) Front marking. The following marking must appear
on the front of the document:
Example: UCNI Front Marking
(2) Page marking. The marking ''Unclassified Controlled
Nuclear Information'' must be placed on the bottom
of the front of the document and on the bottom of
each interior page of the document that contains
text or if more convenient, on the bottom of only
those interior pages that contain UCNI. The page
marking must also be placed on the back of the last
page. If space limitations do not allow for use
of the full page marking, the acronym ''UCNI'' may
be used as the page marking.
(3) Classified documents.
UCNI front and page markings are not applied to
a classified document that also contains UCNI. If
a classified document is portion marked, the acronym
''UCNI'' is used to indicate those unclassified
portions that contain UCNI.
(4) Obsolete ''May Contain UCNI'' marking. The
''May Contain UCNI'' marking is no longer used.
Any document marked with the ''May Contain UCNI''
marking is considered to contain UCNI and must be
protected accordingly until a Reviewing Official
or Denying Official determines otherwise. The obsolete
''May Contain UCNI'' marking reads as follows: Not
for Public Dissemination May contain Unclassified
Controlled Nuclear Information subject to section
148 of the Atomic Energy Act of 1954 (42 U.S.C.
2168). Approval by the Department of Energy prior
to release is required.
(b) Marking material. If possible, material containing
or revealing UCNI must be marked as described in
§ 1017.16(a)(1). If space limitations do not
allow for use of the full marking in § 1017.16(a)(1),
the acronym
''UCNI'' may be used.
Example: UCNI Marked Container
Note: Container must be clearly marked when the material itself is unable to be marked.
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§ 1017.16 Unclassified Controlled Nuclear
Information markings on documents or material.
(a) Marking documents. If a Reviewing Official
determines that a document contains UCNI, the Reviewing
Official must mark or authorize the marking of the
document as described in this section.
(3) Classified documents.
UCNI front and page markings are not applied to
a classified document that also contains UCNI. If
a classified document is portion marked, the acronym
''UCNI'' is used to indicate those unclassified
portions that contain UCNI.
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§ 1017.17 Determining that a document or
material no longer contains or does not contain Unclassified
Controlled Nuclear Information.
(a) Document or material no longer contains UCNI.
A Reviewing Official with cognizance over the information
in a document or material marked as containing UCNI
may determine that the document or material no longer
contains UCNI. A Denying Official may also determine
that such a document or material no longer contains
UCNI. The official making this determination must
base it on applicable guidance and must ensure that
any UCNI markings are crossed out (for documents)
or removed (for material). The official marks or authorizes
the marking of the document (or the material, if space
allows) as follows:
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§ 1017.20 Routine access.
(a) Authorized Individual. The Reviewing Official
who determines that a document or material contains
UCNI is the initial Authorized Individual for that
document or material. An Authorized Individual, for
UCNI in his or her possession or control, may determine
that another person is an Authorized Individual who
may be granted access to the UCNI, subject to limitations
in paragraph (b) of this section, and who may further
disseminate the UCNI under the provisions of this
section.
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§ 1017.20 Routine access.
(b) Requirements for routine access.
To be eligible for routine access to UCNI, the person
must have a need to know the UCNI in order to perform
official duties or other Government authorized activities
and must be:
(1) A U.S. citizen who is:
(i) An employee of any branch of the Federal Government,
including the U.S. Armed Forces;
(ii) An employee or representative of a State, local,
or Indian tribal government;
(iii) A member of an emergency response organization;
(iv) An employee of a Government contractor or a
consultant, including those contractors or consultants
who need access to bid on a Government contract;
(v) A member of Congress or a staff member of a
congressional committee or of an individual member
of Congress;
(vi) A Governor of a State, his or her designated
representative, or a State government official;
(vii) A member of a DOE advisory committee; or,
(viii) A member of an entity that has entered into
a formal agreement with the Government, such as
a Cooperative Research and Development Agreement
or similar arrangement; or,
(2) A person who is not a U.S. citizen but who is:
(i) A Federal Government employee or a member of
the U.S. Armed Forces;
(ii) An employee of a Federal Government contractor
or subcontractor;
(iii) A Federal Government consultant;
(iv) A member of a DOE advisory committee;
(v) A member of an entity that has entered into
a formal agreement with the Government, such as
a Cooperative Research and Development Agreement
or similar arrangement;
(vi) An employee or representative of a State, local,
or Indian tribal government; or,
(vii) A member of an emergency response organization
when responding to an emergency; or,
(3) A person who is not a U.S. citizen but who needs
to know the UCNI in conjunction with an activity approved
by the DOE Program Secretarial Officer or NNSA Deputy
or Associate Administrator with cognizance over the
UCNI.
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§ 1017.21 Limited access.
(a) A person who is not eligible for routine access
to specific UCNI under § 1017.20 may request
limited access to such UCNI by sending a written request
to the DOE Program Secretarial Officer or NNSA Deputy
or Associate Administrator with cognizance over the
information. The written request must include the
following:
(1) The name, current residence or business address,
birthplace, birth date, and country of citizenship
of the person submitting the request;
(2) A description of the specific UCNI for which
limited access is being requested;
(3) A description of the purpose for which the
UCNI is needed; and,
(4) Certification by the requester that he or she:
(i) Understands and will follow these regulations;
and
(ii) Understands that he or she is subject to
the civil and criminal penalties under Subpart
F of this part.
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§ 1017.21 Limited access.
(d) A person granted limited access to specific UCNI
is not an Authorized Individual and may not further
disseminate the UCNI to anyone.
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§ 1017.23 Protection
in use.
An Authorized Individual or a person granted limited
access to UCNI under § 1017.21 must maintain
physical control over any document or material marked
as containing UCNI that is in use to prevent unauthorized
access to it.
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§ 1017.24 Storage.
A document or material marked as containing UCNI
must be stored to preclude unauthorized disclosure.
When not in use, documents or material containing
UCNI must be stored in locked receptacles (e.g., file
cabinet, desk drawer), or if in secured areas or facilities,
in a manner that would prevent inadvertent access
by an unauthorized individual.
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§ 1017.25 Reproduction.
A document marked as containing UCNI may be reproduced
without the permission of the originator to the minimum
extent necessary consistent with the need to carry
out official duties, provided the reproduced document
is marked and protected in the same manner as the
original document.
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§ 1017.26 Destruction.
A document marked as containing UCNI must be destroyed,
at a minimum, by using a cross-cut shredder that produces
particles no larger than 1/4-inch wide and 2 inches
long. Other comparable destruction methods may be
used. Material containing or revealing
UCNI must be destroyed according to agency directives.
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§ 1017.27 Transmission.
(a) Physically transmitting UCNI documents or
material.
(1) A document or material marked as containing
UCNI may be transmitted by:
(i) U.S. First Class, Express, Certified, or
Registered mail;
(ii) Any means approved for transmission of classified
documents or material;
(iii) An Authorized Individual or person granted
limited access under § 1017.21 as long as
physical control of the package is maintained;
or,
(iv) Internal mail services.
(2) The document or material must be packaged to
conceal the presence of the UCNI from someone who
is not authorized access. A single, opaque envelope
or wrapping is sufficient for this purpose. The
address of the recipient and the sender must be
indicated on the outside of the envelope or wrapping
along with the words ''TO BE OPENED BY ADDRESSEE
ONLY.''
(b) Transmitting UCNI documents
over telecommunications circuits. Encryption algorithms
that comply with all applicable Federal laws, regulations,
and standards for the protection of unclassified controlled
information must be used when transmitting UCNI over
a telecommunications circuit (including the telephone,
facsimile, radio, e-mail, Internet).
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§ 1017.27 Transmission.
(a) Physically transmitting UCNI documents or
material.
(1) A document or material marked as containing
UCNI may be transmitted by:
(i) U.S. First Class, Express, Certified, or
Registered mail;
(ii) Any means approved for transmission of classified
documents or material;
(iii) An Authorized Individual or person granted
limited access under § 1017.21 as long as
physical control of the package is maintained;
or,
(iv) Internal mail services.
(2) The document or material must be packaged to
conceal the presence of the UCNI from someone who
is not authorized access. A single, opaque envelope
or wrapping is sufficient for this purpose. The
address of the recipient and the sender must be
indicated on the outside of the envelope or wrapping
along with the words ''TO BE OPENED BY ADDRESSEE
ONLY.''
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§ 1017.27 Transmission.
(a) Physically transmitting UCNI documents or
material.
(1) A document or material marked as containing
UCNI may be transmitted by:
(iii) An Authorized Individual or person granted
limited access under § 1017.21 as long as
physical control of the package is maintained;
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§ 1017.27 Transmission.
(b) Transmitting UCNI documents
over telecommunications circuits. Encryption algorithms
that comply with all applicable Federal laws, regulations,
and standards for the protection of unclassified controlled
information must be used when transmitting UCNI over
a telecommunications circuit (including the telephone,
facsimile, radio, e-mail, Internet).
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DOE O 471.1B,4b
b. Appointment of Reviewing Officials.
(1) Qualifications. An employee nominated
to be a Reviewing Official must be -
(a) competent in the subject areas in which
the authority will be used and
(b) familiar with DOE UCNI policy, procedures,
and guidance.
(2) Nomination.
(a) Submission of Nomination.
1 Headquarters. The immediate
supervisor of an employee being nominated for
Reviewing Official authority must submit the
information identified in paragraph 4.b.(2)(b)
below through the Headquarters Classification
Representative, who confirms that the Reviewing
Official authority is needed and who submits
the nomination to the appropriate appointing
official: for DOE elements, to the Director,
Office of Classification; for NNSA elements,
to the Associate Administrator for Defense Nuclear
Security.
2 Field. The immediate supervisor
of an employee being nominated for Reviewing
Official authority must submit the information
identified in paragraph 4.b.(2)(b) below to
the Classification Officer or if there is no
Classification Officer, to the Director, Office
of Classification, for DOE elements or to the
Associate Administrator for Defense Nuclear
Security for NNSA elements, who confirms that
the Reviewing Official authority is needed prior
to considering the employee's appointment.
(b) Required Information. The nomination
must include the following information:
1 the employee's name, organization,
mailing address (including organization code),
telephone number, and e mail address;
2 subject areas in which the authority
will be used;
3 desired jurisdiction (e.g., documents
originated within a particular organization);
and
4 any special limitations on the authority
(e.g., time frame of the documents).
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DOE O 471.1B,4d
d. Review Process. See 10 CFR 1017.15
and 1017.17 for the standard review process. The
following supplemental requirements must also
be met:
(1) When Guidance Is Unclear or No Applicable
Guidance Exists. If an UCNI determination
is not possible due to unclear UCNI guidance
or a lack of guidance, the document or material
must be referred to the appropriate individuals
for resolution.
(a) Headquarters. At Headquarters,
Reviewing Officials must refer such documents
or material to their Headquarters Classification
Representative. If the Headquarters Classification
Representative is unable to resolve the issue,
such documents or material must be referred
to the Director, Office of Classification,
for resolution, in coordination with the Associate
Administrator for Defense Nuclear Security
for information under NNSA's cognizance.
(b) Field. In the field, Reviewing
Officials must refer such documents or material
to the Classification Officer. If the Classification
Officer is unable to resolve the issue (or
if there is no Classification Officer), such
documents or material must be referred to
the Director, Office of Classification, for
resolution, in coordination with the Associate
Administrator for Defense Nuclear Security
for information under NNSA's cognizance.
Pending the determination, the document or
material containing the information must be
protected as UCNI.
(2) Notification of UCNI Determination for
Existing Documents or Material. The following
individuals must be notified within 30 calendar
days of any existing unclassified document or
material that has been determined to contain
or to no longer contain UCNI:
(a) the originator or possessor of the document
or material, if identifiable, and
(b) if the document is a scientific or technical
report, the Office of Scientific and Technical
Information (OSTI) Classified Information
Program Manager.
The individuals identified in paragraphs
4.d.(2)(a) and 4.d.(2)(b) who receive such
notification must notify all known holders
of the document or material that it contains
or does not contain UCNI. Note: The individual
preparing a notification that a document or
material contains UCNI must ensure that it
is reviewed for UCNI before being issued.
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DOE O 471.1B,4d(2)
(2) Notification of UCNI Determination for
Existing Documents or Material. The following
individuals must be notified within 30 calendar
days of any existing unclassified document or
material that has been determined to contain
or to no longer contain UCNI:
(a) the originator or possessor of the document
or material, if identifiable, and
(b) if the document is a scientific or technical
report, the Office of Scientific and Technical
Information (OSTI) Classified Information
Program Manager.
The individuals identified in paragraphs
4.d.(2)(a) and 4.d.(2)(b) who receive such
notification must notify all known holders
of the document or material that it contains
or does not contain UCNI. Note: The individual
preparing a notification that a document or
material contains UCNI must ensure that it
is reviewed for UCNI before being issued.
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DOE O 471.1B, 4j(1)
(1) Cover Sheet. Use of a cover sheet
for documents containing UCNI is not required,
and there is no standardized UCNI cover sheet.
However, if a cover sheet is preferred, it must
be approved by the cognizant security authority.
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DOE O 471.1B, 4j(2)
(2) Destruction.
(a) Sites may continue to use existing strip-cut
shredders until such shredders are no longer
operable. Any new purchase of a shredder must
meet the requirements in 10 CFR 1017.26.
(b) Methods for destroying documents that
cannot be destroyed in approved shredders
(e.g., films, disks, and flash memory drives)
must be approved by the cognizant security
authority.
(c) Destruction of material containing UCNI
requires removal of the properties that make
the material UCNI. Methods for destruction
must be approved by the cognizant security
authority with the concurrence of the Classification
Officer. The material must be reviewed by
a Reviewing Official after destruction to
ensure that all UCNI has been removed prior
to disposing of the material.
(d) The disposal of documents containing
UCNI must be consistent with the requirements
for records disposition contained in DOE Order
243.1, Records Management Program.
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