Identification and Protection of Unclassified Controlled Nuclear Information, 32637-32648 [E8-12978]

Agencies

• DEPARTMENT OF ENERGY

[Federal Register Volume 73, Number 112 (Tuesday, June 10, 2008)]
[Rules and Regulations]
[Pages 32637-32648]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-1]


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DEPARTMENT OF ENERGY

10 CFR Part 1017

RIN 1992-AA35


Identification and Protection of Unclassified Controlled Nuclear 
Information

AGENCY: Office of Health, Safety and Security, Department of Energy.

ACTION: Final rule.

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SUMMARY: The Department of Energy (DOE) is today publishing a final 
rule to amend regulations that prohibit the unauthorized dissemination 
of certain unclassified but sensitive information identified as 
Unclassified Controlled Nuclear Information (UCNI). DOE is amending 
these regulations to clarify the types of information that may be 
identified as UCNI; to prevent overly-broad application of UCNI 
controls; and to streamline the UCNI program by simplifying the process 
for identifying information as UCNI.

DATES: Effective Date: This final rule is effective December 8, 2008.

FOR FURTHER INFORMATION CONTACT: Nicholas G. Prospero, Office of 
Classification, U.S. Department of Energy, 1000 Independence Ave., SW., 
Washington, DC 20585-1290, (301) 903-9967; Jo Ann Williams, Office of 
the General Counsel, U.S. Department of Energy, 1000 Independence Ave., 
SW., Washington, DC 20585, (202) 586-6899.

SUPPLEMENTARY INFORMATION: 

I. Background
II. DOE's Response to Comments
III. Procedural Requirements
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act
    D. Review Under the National Environmental Policy Act
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under the Treasury and General Government 
Appropriations Act, 2001
    J. Review Under Executive Order 13211
    K. Congressional Notification

I. Background

    Under the Atomic Energy Act of 1954 (42 U.S.C. 2011 et seq.), DOE 
is charged with the operation of programs for research, development, 
testing, and production of nuclear weapons; for nuclear material 
production for defense activities; and for certain defense-related 
nuclear reactors. In 1981, Congress and DOE became increasingly 
concerned about the possibility of terrorist or other criminal acts 
directed against a Government nuclear defense activity. This concern 
was based, in part, on the increased incidence of acts of terrorist-
inspired violence, the increased sophistication of these acts, and the 
increased availability of the technological resources, including 
information in the public domain, necessary to commit these acts.
    In response to this threat, Congress, in 1982, amended the Atomic 
Energy Act of 1954 (hereafter ``the Act'') by adding section 148 
(``Prohibition Against the Dissemination of Certain Unclassified 
Information''), which directed DOE to adopt regulations to safeguard 
certain types of unclassified but sensitive information from 
unauthorized dissemination in the interest of protecting both the 
health and safety of

[[Page 32638]]

the public and the common defense and security of the Nation. Congress 
recognized that while much information concerning atomic energy defense 
programs was classified, a new statutory provision was necessary to 
protect certain sensitive information that could not be classified 
under statute or executive order for operational or legal reasons.
    Section 148 was not without precedent. In 1980, the Congress 
amended the Act to add section 147. Section 147 of the Act requires the 
Nuclear Regulatory Commission to prohibit the unauthorized disclosure 
of Safeguards Information, which includes a licensee's or applicant's 
procedures and security measures for the protection of special nuclear 
material, source material, or byproduct material. Under section 147, 
Safeguards Information also includes security measures for the 
protection of and location of certain plant equipment vital to the 
safety of production or utilization facilities. The major purpose of 
section 148 is to require DOE to control similar sensitive information 
about its atomic energy defense programs as section 147 protects with 
respect to commercial and other non-DOE nuclear facilities.
    Section 148 directs the Secretary of Energy (the Secretary) to 
prescribe regulations, after notice and opportunity for public comment, 
or issue orders as may be necessary to prohibit the unauthorized 
dissemination of certain unclassified information concerning atomic 
energy defense programs. This information must pertain to the 
following:
    1. The design of production or utilization facilities;
    2. Security measures (including security plans, procedures, and 
equipment) for the physical protection of (a) production or utilization 
facilities or (b) nuclear material, regardless of its physical state or 
form, contained in these facilities or in transit; or,
    3. The design, manufacture, or utilization of nuclear weapons or 
components that were once classified as Restricted Data, as defined in 
section 11y. of the Act.
    In order for the information in the above categories to be 
controlled under section 148, the Secretary must determine that the 
unauthorized dissemination of such information could reasonably be 
expected to have a significant adverse effect on the health and safety 
of the public or the common defense and security by significantly 
increasing the likelihood of: (1) The illegal production of nuclear 
weapons, or (2) the theft, diversion, or sabotage of nuclear materials, 
equipment, or facilities. UCNI only includes Government information 
that: (1) is not classified; (2) concerns atomic energy defense 
programs; (3) falls within at least one of the three categories 
described above; (4) meets the adverse effect test described above; and 
(5) is not exempt from being UCNI under these regulations.
    On September 14, 2007, DOE published a notice of proposed 
rulemaking (NOPR) for the purpose of clarifying and updating its UCNI 
regulations at 10 CFR part 1017. 72 FR 52506. Part 1017 provides for 
the review of information prior to its designation as UCNI; describes 
how information is determined to be UCNI; establishes minimum physical 
protection standards for documents and material containing UCNI; 
specifies who may have access to UCNI; and establishes a procedure for 
the imposition of penalties on persons who violate section 148 of the 
AEA, DOE regulations or any order of the Secretary issued under section 
148. As explained in the NOPR, DOE proposed certain changes to simplify 
and streamline the UCNI program based on experience gained in the 
program. 72 FR 52507-09.

II. DOE's Response to Comments

    The following discussion describes the major issues raised in 
comments received and provides DOE's response to these comments, and 
describes any resulting changes in the final regulations. DOE has also 
made a few editorial, stylistic, and format changes for clarity and 
consistency.
    One commenter suggested that the intent of adding the definition of 
``utilization facility'' as described in the NOPR (Section II, 
Description of Proposed Changes, A.1), did not appear to be consistent 
with the definition for ``utilization facility'' in proposed Sec.  
1017.4. DOE disagrees. The intent of adding the definition of 
``utilization facility'' is to more precisely define the types of 
information that can be UCNI. DOE has done this by (1) linking the 
definition of ``utilization facility'' to the presence of special 
nuclear material and (2) including within the definition of 
``utilization facility'' specific categories of equipment and devices 
that can be UCNI. The proposed definition of ``utilization facility'' 
in Sec.  1017.4 is based on the definition from the Act, which defines 
``utilization facility'' as ``any equipment or device, except an atomic 
weapon, determined by rule of the Commission to be capable of making 
use of special nuclear material in such quantity as to be of 
significance to the common defense and security.'' Therefore, the first 
condition that must be met in order to determine whether a facility is 
a ``utilization facility'' is that it must use or be capable of using 
special nuclear material. The proposed definition of ``utilization 
facility'' also contains specific lists of equipment, devices, or 
component parts. If the equipment, device, or component part is not on 
one of the lists provided in the definition, then it does not meet the 
second condition and therefore cannot be determined to be a 
``utilization facility.'' Our intent as described in the NOPR is to 
more precisely define what information may be identified as UCNI. Since 
our proposed definition of ``utilization facility'' provides this more 
precise definition, DOE finds them to be consistent.
    This commenter was also concerned that the definitions of 
``utilization facility'' and ``production facility'' in Sec.  1017.4 do 
not provide adequate information for the contractor to determine 
whether any of its sites is an ``UCNI sensitive facility'' for purposes 
of a DOE internal directive, UCNI General Guideline (GG-5). Because 
this comment applies to provisions set forth in that directive, not in 
these regulations, DOE will consider the comment in revising that 
directive.
    This commenter questioned why the language in the NOPR (Section II, 
A.1.) stating that storage facilities are not considered to be 
production or utilization facilities was not included in the regulatory 
text. The definitions for ``production facility'' and ``utilization 
facility'' in Sec.  1017.4 include lists of specific categories of 
equipment and devices and provide the necessary information for a site 
to determine whether any of its facilities meet the definition of 
``production facility'' or ``utilization facility'' and whether any 
should be subject to UCNI controls. DOE included in the NOPR preamble 
several examples of facilities, like storage facilities, that do not 
meet the definition of either ``production facility'' or ``utilization 
facility'' to further clarify the coverage of the definitions. However, 
DOE sees no need to include examples of what is not covered in the 
definitions.
    The commenter suggested that the definitions of ``production 
facility'' and ``utilization facility'' were phrased incorrectly 
because they describe ``any equipment or device.'' DOE disagrees. The 
terms ``production facility'' and ``utilization facility'' are defined 
in the Act, and both definitions begin with the language ``any 
equipment or device.'' These terms have specific meanings in relation 
to special nuclear material. The plain language definition and usage of 
the word ``facility'' should not be

[[Page 32639]]

confused with the definitions of ``production facility'' and 
``utilization facility'' as used in these regulations.
    The commenter also suggested that our clarification of the concept 
of ``widely disseminated in the public domain'' did not consider the 
highly motivated malefactor who might use the professional staff at a 
research or public library to locate a report that was once widely 
disseminated in the public domain. DOE's position is that if the report 
can be found by anyone at the library, with or without help, then it is 
considered ``widely disseminated in the public domain'' and it cannot 
be protected as UCNI.
    A second commenter pointed out that our proposed criteria for 
determining whether a document is widely disseminated in the public 
domain in proposed Sec.  1017.15(a) was too narrow because it did not 
include documents housed in Government technical information services 
or depository library systems. We agree with the commenter and have 
modified the language in Sec.  1017.15(a) to read, ``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.''
    One commenter noted that the language in proposed Sec.  1017.10 
discussing the ``adverse effect test'' described information that could 
be classified under DOE classification guidance and suggested that the 
word ``significant'' before ``adverse effect'' be deleted. The 
``significant adverse effect'' standard in Sec.  1017.10 is the 
standard set by paragraph a.(2) of section 148 of the Act, which 
provides the criteria for DOE to use in determining that information is 
UCNI.
    This commenter also suggested a change to the language in proposed 
Sec.  1017.17(b) concerning marking a document or material that does 
not contain UCNI. The commenter points out that while no UCNI markings 
are required if the document or material does not contain UCNI, other 
unclassified control markings may be. DOE agrees and has modified the 
language to read, ``No UCNI markings are required in this case.''
    The commenter also observed that use of the terms ``special nuclear 
material'' and ``nuclear material'' was blurred throughout the 
regulations. These terms are used throughout the regulations in the 
appropriate context. ``Nuclear material'' is defined in Sec.  1017.4. 
For convenience, DOE has added a definition of ``special nuclear 
material'' to Sec.  1017.4.
    DOE received two comments regarding the civil penalty enforcement 
provisions in the proposed rule. The first comment relates to proposed 
Sec.  1017.29(l)(5), renumbered as Sec.  1017.29(m)(5), which states 
that DOE has the burden of going forward with and of proving by a 
preponderance of the evidence that the violation occurred as set forth 
in the final notice of violation and that the proposed civil penalty is 
appropriate. The commenter suggested that the standard of ``clear and 
convincing evidence'' was more appropriate than ``preponderance of 
evidence.'' DOE rejects this comment because ``the preponderance of 
evidence'' is the standard in most civil cases in the United States and 
it is the standard in ``Procedural Rules for the Assessment of Civil 
Penalties for Classified Information Security Violations'' (10 CFR part 
824).
    This commenter also stated that the proposed civil penalty 
provisions do not provide for enforcement conferences or provide the 
opportunity for DOE to mitigate the fines. We have accepted this 
comment in part and added a new Sec.  1017.29(e) ``Enforcement 
conference'' that is modeled after Sec.  820.22 ``Informal conference'' 
of ``Procedural Rules for DOE Nuclear Activities'' (10 CFR part 820). 
The Director may convene this conference to obtain and discuss 
information including mitigating circumstances. DOE notes, however, 
that mitigation was already provided for in DOE's proposed regulations. 
Proposed section 1017.29(m)(1), renumbered in the final rule as Sec.  
1017.29(n)(1), sets out the mitigating factors that the hearing officer 
will consider in determining the amount of the civil penalty. The 
mitigating factors listed are identical to those set forth in 10 CFR 
824.13 related to classified information. Section 1017.29(n)(2) in the 
final rule also provides that the Secretary reviewing an initial 
decision may modify the amount of any civil penalty proposed.

III. Procedural Requirements

A. Review Under Executive Order 12866

    Today's regulatory action has been determined not to be a 
``significant regulatory action'' under Executive Order 12866, 
``Regulatory Planning and Review,'' 58 FR 51735 (October 4, 1993). 
Accordingly, this notice of final rulemaking was not subject to review 
by OMB under the Executive Order.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis for any rule 
that by law must be proposed for public comment, unless the agency 
certifies that the rule, if promulgated, will not have a significant 
economic impact on a substantial number of small entities. As required 
by Executive Order 13272, ``Proper Consideration of Small Entities in 
Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE published 
procedures and policies to ensure that the potential impacts of its 
draft rules on small entities are properly considered during the 
rulemaking process (68 FR 7990, February 19, 2003), and has made them 
available on the Office of the General Counsel's Web site: https://
www.gc.doe.gov. DOE has reviewed today's rule under the provisions of 
the Regulatory Flexibility Act and the procedures and policies 
published on February 19, 2003.
    Today's final rule amends DOE's policies and procedures regarding 
UCNI. The rule will apply to all agencies, persons, and entities that 
generate and maintain UCNI documents or material. DOE estimates that 
fewer than five Federal Government entities have access to UCNI 
documents or material. Each of these Government entities may, in turn, 
have contractors or consultants who have access to UCNI documents or 
material.
    Section 1017.14 imposes on Government and non-Government entities 
the requirement that persons who review documents for UCNI be properly 
trained and certified. The economic impact of the training requirement 
on non-Government entities would be limited to the labor hours required 
to familiarize those persons reviewing documents for UCNI with the 
training materials provided by DOE.
    Section 1017.16 requires that Government and non-Government 
Reviewing Officials clearly mark or authorize the marking of a new 
document or material to convey that it contains UCNI. The burden of the 
marking requirement would vary depending on the number of documents or 
amount of material the entity generates. DOE considers the proper 
marking of a controlled document to be an act integrated in the act of 
creating the document. As such, the marking of documents or material 
containing UCNI imposes minimal costs on the entity

[[Page 32640]]

generating new UCNI documents or material.
    DOE recognizes that in most cases non-Government entities that 
generate documents or material containing UCNI will do so pursuant to a 
Government contract. In such cases, any costs incurred in compliance 
with these regulations will be charged back to the Government. 
Infrequently, DOE may enter into an agreement (e.g., a Cooperative 
Research and Development Agreement) with a non-Government entity in 
which DOE provides UCNI to the entity without any vehicle for 
reimbursement by the Government for increased security costs. However, 
since UCNI is protected in a manner similar to how a company protects 
proprietary or employees' personal information, the incremental cost of 
protecting UCNI would be negligible. In these cases, this rule will 
have only a minor economic impact on very few small entities.
    On the basis of the foregoing, DOE certifies that the rule will not 
have a significant economic impact on a substantial number of small 
entities. No comments were received regarding this certification or the 
economic impact of this rule. Accordingly, DOE has not prepared a 
regulatory flexibility analysis for this rulemaking.

C. Review Under the Paperwork Reduction Act

    No new information or record keeping requirements are imposed by 
this rulemaking. Accordingly, no OMB clearance is required under the 
Paperwork Reduction Act (44 U.S.C. 3501 et seq.).

D. Review Under the National Environmental Policy Act of 1969

    DOE has concluded that promulgation of this rule falls into a class 
of actions that would not individually or cumulatively have a 
significant impact on the human environment, as determined by DOE's 
regulations implementing the National Environmental Policy Act of 1969 
(42 U.S.C. 4321 et seq.). Specifically, this rule deals only with 
agency procedures and, therefore, is covered under the Categorical 
Exclusion in paragraph A6 to subpart D, 10 CFR part 1021. Accordingly, 
neither an environmental assessment nor an environmental impact 
statement is required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have federalism 
implications. Agencies are required to examine the constitutional and 
statutory authority supporting any action that would limit the 
policymaking discretion of the States and carefully assess the 
necessity for such actions. The Executive Order also requires agencies 
to have an accountable process to ensure meaningful and timely input by 
State and local officials in the development of regulatory policies 
that have federalism implications. On March 14, 2000, DOE published a 
statement of policy describing the intergovernmental consultation 
process it will follow in the development of such regulations (65 FR 
13735). DOE has examined today's final rule and has determined that it 
does not preempt State law and does not have a substantial direct 
effect on the States, on the relationship between the national 
government and the States, or on the distribution of power and 
responsibilities among the various levels of government. No further 
action is required by Executive Order 13132.

F. Review Under Executive Order 12988

    With respect to the review of existing regulations and the 
promulgation of new regulations, section 3(a) of Executive Order 12988, 
``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on 
Federal agencies the general duty to adhere to the following 
requirements: (1) Eliminate drafting errors and ambiguity; (2) write 
regulations to minimize litigation; and (3) provide a clear legal 
standard for affected conduct rather than a general standard and 
promote simplification and burden reduction. Section 3(b) of Executive 
Order 12988 specifically requires that Executive agencies make every 
reasonable effort to ensure that the regulation: (1) Clearly specifies 
the preemptive effect, if any; (2) clearly specifies any effect on 
existing Federal law or regulation; (3) provides a clear legal standard 
for affected conduct while promoting simplification and burden 
reduction; (4) specifies the retroactive effect, if any; (5) adequately 
defines key terms; and, (6) addresses other important issues affecting 
clarity and general draftsmanship under any guidelines issued by the 
Attorney General. Section 3(c) of Executive Order 12988 requires 
Executive agencies to review regulations in light of applicable 
standards in section 3(a) and section 3(b) to determine whether they 
are met or it is unreasonable to meet one or more of them. DOE has 
completed the required review and determined that, to the extent 
permitted by law, this final rule meets the relevant standards of 
Executive Order 12988.

G. Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-
4) requires a Federal agency to perform a written assessment of the 
anticipated costs and benefits of any rule that includes a Federal 
mandate which may result in costs to State, local, or tribal 
governments, in the aggregate, or to the private sector, of $100 
million or more in any one year (adjusted annually for inflation). 2 
U.S.C. 1532(a) and (b). Section 204 of that title requires each agency 
that proposes a rule containing a significant Federal intergovernmental 
mandate to develop an effective process for obtaining meaningful and 
timely input from elected officers of State, local, and tribal 
governments. 2. U.S.C. 1534.
    This final rule will not impose a Federal mandate on State, local 
and tribal governments or on the private sector. Accordingly, no 
assessment or analysis is required under the Unfunded Mandates Reform 
Act of 1995.

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This final rule will not have any impact on the autonomy or integrity 
of the family as an institution. Accordingly, DOE has concluded that it 
is not necessary to prepare a Family Policymaking Assessment.

I. Review Under the Treasury and General Government Appropriations Act, 
2001

    The Treasury and General Government Appropriations Act, 2001 (44 
U.S.C. 3516 note) provides for agencies to review most disseminations 
of information to the public under guidelines established by each 
agency pursuant to general guidelines issued by OMB. OMB's guidelines 
were published at 67 FR 8452 (February 22, 2002), and DOE's guidelines 
were published at 67 FR 62446 (October 7, 2002). DOE has reviewed 
today's notice under the OMB and DOE guidelines and has concluded that 
it is consistent with applicable policies in those guidelines.

J. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001) requires Federal agencies to

[[Page 32641]]

prepare and submit to the Office of Information and Regulatory Affairs 
(OIRA), Office of Management and Budget, a Statement of Energy Effects 
for any proposed significant energy action. A ``significant energy 
action'' is defined as any action by an agency that promulgated or is 
expected to lead to promulgation of a final rule, and that: (1) Is a 
significant regulatory action under Executive Order 12866, or any 
successor order; and (2) is likely to have a significant adverse effect 
on the supply, distribution, or use of energy, or (3) is designated by 
the Administrator of OIRA as a significant energy action. For any 
proposed significant energy action, the agency must give a detailed 
statement of any adverse effects on energy supply, distribution, or use 
should the proposal be implemented, and of reasonable alternatives to 
the action and their expected benefits on energy supply, distribution, 
and use. Today's regulatory action is not a significant energy action. 
Accordingly, DOE has not prepared a Statement of Energy Effects.

K. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress 
promulgation of this rule prior to its effective date. The report will 
state that it has been determined that the rule is not a ``major rule'' 
as defined by 5 U.S.C. 804.

List of Subjects in 10 CFR Part 1017

    Administrative practice and procedure, Government contracts, 
Nuclear energy, Penalties, Security measures.

    Issued in Washington, DC on June 4, 2008.
Glenn Podonsky,
Chief Health, Safety and Security Officer, Office of Health, Safety and 
Security.

0
For the reasons set out in the preamble, DOE revises part 1017 of 
Chapter X of Title 10 of the Code of Federal Regulations to read as 
follows:

PART 1017--IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED 
NUCLEAR INFORMATION

Subpart A--General Overview
Sec.
1017.1 Purpose and scope.
1017.2 Applicability.
1017.3 Policy.
1017.4 Definitions.
1017.5 Requesting a deviation.
Subpart B--Initially Determining What Information Is Unclassified 
Controlled Nuclear Information
1017.6 Authority.
1017.7 Criteria.
1017.8 Subject areas eligible to be Unclassified Controlled Nuclear 
Information.
1017.9 Nuclear material determinations.
1017.10 Adverse effect test.
1017.11 Information exempt from being Unclassified Controlled 
Nuclear Information.
1017.12 Prohibitions on identifying Unclassified Controlled Nuclear 
Information.
1017.13 Report concerning determinations.
Subpart C--Review of a Document or Material for Unclassified Controlled 
Nuclear Information
1017.14 Designated officials.
1017.15 Review process.
1017.16 Unclassified Controlled Nuclear Information markings on 
documents or material.
1017.17 Determining that a document or material no longer contains 
or does not contain Unclassified Controlled Nuclear Information.
1017.18 Joint documents or material.
Subpart D--Access to Unclassified Controlled Nuclear Information
1017.19 Access limitations.
1017.20 Routine access.
1017.21 Limited access.
Subpart E--Physical Protection Requirements
1017.22 Notification of protection requirements.
1017.23 Protection in use.
1017.24 Storage.
1017.25 Reproduction.
1017.26 Destruction.
1017.27 Transmission.
1017.28 Processing on Automated Information Systems (AIS).
Subpart F--Violations
1017.29 Civil penalty.
1017.30 Criminal penalty.

    Authority: 42 U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.; 42 
U.S.C. 2168; 28 U.S.C. 2461.

Subpart A--General Overview


Sec.  1017.1  Purpose and scope.

    (a) This part implements section 148 of the Atomic Energy Act (42 
U.S.C. 2168) which prohibits the unauthorized dissemination of certain 
unclassified Government information. This information identified by the 
term ``Unclassified Controlled Nuclear Information'' (UCNI) consists of 
certain design and security information concerning nuclear facilities, 
nuclear materials, and nuclear weapons.
    (b) This part:
    (1) Provides for the review of information prior to its designation 
as UCNI;
    (2) Describes how information is determined to be UCNI;
    (3) Establishes minimum physical protection standards for documents 
and material containing UCNI;
    (4) Specifies who may have access to UCNI; and,
    (5) Establishes a procedure for the imposition of penalties on 
persons who violate section 148 of the Atomic Energy Act or any 
regulation or order of the Secretary issued under section 148 of the 
Atomic Energy Act, including this part.
    (c) This part does not apply to information controlled under 10 
U.S.C. 128 by the Department of Defense.


Sec.  1017.2  Applicability.

    This part applies to any person who is or was authorized access to 
UCNI, requires authorized access to UCNI, or attempts to gain or gains 
unauthorized access to UCNI.


Sec.  1017.3  Policy.

    The Department of Energy (DOE) strives to make information publicly 
available to the fullest extent possible. Therefore, this part must be 
interpreted and implemented to apply the minimum restrictions needed to 
protect the health and safety of the public or the common defense and 
security consistent with the requirement in section 148 of the Atomic 
Energy Act to prohibit the unauthorized dissemination of UCNI.


Sec.  1017.4  Definitions.

    As used in this part:
    Atomic Energy Act means the Atomic Energy Act of 1954, as amended 
(42 U.S.C. 2011 et seq.).
    Atomic energy defense programs means Government activities, 
equipment, and facilities that are capable of:
    (1) Developing, producing, testing, sampling, maintaining, 
repairing, modifying, assembling or disassembling, using, transporting, 
or retiring nuclear weapons or components of nuclear weapons; or
    (2) Producing, using, or transporting nuclear material that could 
be used in nuclear weapons or military-related utilization facilities.
    Authorized Individual means a person who has routine access to UCNI 
under Sec.  1017.20.
    Component means any operational, experimental, or research-related 
part, subsection, design, or material used in the manufacture or 
utilization of a nuclear weapon, nuclear explosive device, or nuclear 
weapon test assembly.
    Denying Official means a DOE official designated under 10 CFR 
1004.2(b) who is authorized to deny a request for unclassified 
information that is exempt from release when requested under the 
Freedom of Information Act (FOIA).
    Director means the DOE Official, or his or her designee, to whom 
the

[[Page 32642]]

Secretary has assigned responsibility for enforcement of this part.
    Document means the physical medium on or in which information is 
recorded, regardless of its physical form or characteristics.
    DOE means the United States Department of Energy, including the 
National Nuclear Security Administration (NNSA).
    Essential technology-related information means technical 
information whose unauthorized dissemination could significantly 
increase the likelihood of the illegal production of a nuclear weapon.
    Exploitable security-related information means information whose 
unauthorized dissemination could significantly increase the likelihood 
of the theft, diversion, or sabotage of nuclear material, equipment, or 
facilities.
    Government means the Executive Branch of the United States 
Government.
    Government information means any fact or concept, regardless of its 
physical form or characteristics, that is owned by, produced by or for, 
or otherwise controlled by the United States Government, including such 
facts or concepts that are provided by the Government to any person, 
including persons who are not employees of the Government.
    Guidance means detailed written instructions that describe 
decisions made by the Secretary or his/her designee issued under 
Subpart B of these regulations concerning what specific information is 
UCNI.
    Illegal production means the production or manufacture of a nuclear 
weapon in violation of either domestic (e.g., the Atomic Energy Act) or 
international (e.g., the Treaty on the Non-Proliferation of Nuclear 
Weapons) law.
    In transit means the physical movement of a nuclear weapon, a 
component of a nuclear weapon containing nuclear material, or nuclear 
material from one part to another part of a facility or from one 
facility to another facility. An item is considered ``in transit'' 
until it has been relinquished to the custody of the authorized 
recipient and is in storage at its ultimate destination. An item in 
temporary storage pending shipment to its ultimate destination is ``in 
transit.''
    Limited access means access to specific UCNI granted by the 
cognizant DOE Program Secretarial Officer or a Deputy or Associate 
Administrator of the NNSA to an individual not eligible for routine 
access (see Sec.  1017.21).
    Material means a product (e.g., a part or a machine) or substance 
(e.g., a compound or an alloy), regardless of its physical form or 
characteristics.
    Need to know means a determination made by an Authorized Individual 
that a person requires access to specific UCNI to perform official 
duties or other Government-authorized activities.
    Nuclear material means special nuclear material, byproduct 
material, or source material as defined by sections 11.aa., 11.e., and 
11.z., respectively, of the Atomic Energy Act (42 U.S.C. 2014 aa., e., 
and z), or any other material used in the production, testing, 
utilization, or assembly of nuclear weapons or components of nuclear 
weapons that the Secretary determines to be nuclear material under 
Sec.  1017.9(a).
    Nuclear weapon means atomic weapon as defined in section 11.d. of 
the Atomic Energy Act (42 U.S.C. 2014 d).
    Person means any person as defined in section 11.s. of the Atomic 
Energy Act (42 U.S.C. 2014 s) or any affiliate or parent corporation 
thereof.
    Production facility means:
    (1) Any equipment or device capable of producing special nuclear 
material in such quantity as to be of significance to the common 
defense and security or in such manner as to affect the health and 
safety of the public; or
    (2) Any important component part especially designed for such 
equipment or device.
    (3) For the purposes of this part, equipment and devices described 
in paragraphs (1) and (2) of this definition include only:
    (i) Government uranium isotope enrichment equipment or devices and 
any other uranium isotope enrichment equipment or devices that use 
related technology provided by the Government; or
    (ii) Government plutonium production reactors, isotope enrichment 
equipment or devices, and separation and purification equipment or 
devices and other such equipment or devices that use related technology 
provided by the Government.
    Reviewing Official means an individual authorized under Sec.  
1017.14(a) to make a determination, based on guidance, that a document 
or material contains UCNI.
    Routine access means access to UCNI granted by an Authorized 
Individual to an individual eligible to receive UCNI under Sec.  
1017.20 in order to perform official duties or other Government-
authorized activities.
    Secretary means the Secretary of Energy.
    Special nuclear material means:
    (1) Plutonium, uranium enriched in the isotope 233 or in the 
isotope 235, and any other material which DOE or the Nuclear Regulatory 
Commission, pursuant to the provisions of section 51 of the Atomic 
Energy Act (42 U.S.C. 2071), determines to be special nuclear material, 
but does not include source material; or
    (2) Any material artificially enriched by any of the foregoing, but 
does not include source material.
    Unauthorized dissemination means the intentional or negligent 
transfer of UCNI to any person other than an Authorized Individual or a 
person granted limited access to UCNI under Sec.  1017.21.
    Unclassified Controlled Nuclear Information or UCNI means certain 
unclassified Government information concerning nuclear facilities, 
materials, weapons, and components whose dissemination is controlled 
under section 148 of the Atomic Energy Act and this part.
    Utilization facility means:
    (1) Any equipment or device, or any important component part 
especially designed for such equipment or device, except for a nuclear 
weapon, that is capable of making use of special nuclear material in 
such quantity as to be of significance to the common defense and 
security or in such manner as to affect the health and safety of the 
public. For the purposes of this part, such equipment or devices 
include only Government equipment or devices that use special nuclear 
material in the research, development, production, or testing of 
nuclear weapons, nuclear weapon components, or nuclear material capable 
of being used in nuclear weapons; or
    (2) Any equipment or device, or any important component part 
especially designed for such equipment or device, except for a nuclear 
weapon, that is peculiarly adapted for making use of nuclear energy in 
such quantity as to be of significance to the common defense and 
security or in such manner as to affect the health and safety of the 
public. For the purposes of this part, such equipment or devices 
include only:
    (i) Naval propulsion reactors;
    (ii) Military reactors and power sources that use special nuclear 
material;
    (iii) Tritium production reactors; and,
    (iv) Government research reactors.


Sec.  1017.5  Requesting a deviation.

    (a) Any person may request a deviation, or condition that diverges 
from the norm and that is categorized as:

[[Page 32643]]

    (1) A variance (i.e., an approved condition that technically varies 
from a requirement in these regulations);
    (2) A waiver (i.e., an approved nonstandard condition that deviates 
from a requirement in these regulations and which, if uncompensated, 
would create a potential or real vulnerability); or
    (3) An exception (i.e., an approved deviation from a requirement in 
these regulations for which DOE accepts the risk of a safeguards and 
security vulnerability) according to the degree of risk involved.
    (b) In writing, the person must:
    (1) Identify the specific requirement for which the deviation is 
being requested;
    (2) Explain why the deviation is needed; and,
    (3) If appropriate, describe the alternate or equivalent means for 
meeting the requirement.
    (c) DOE employees must submit such requests according to internal 
directives. DOE contractors must submit such requests according to 
directives incorporated into their contracts. Other individuals must 
submit such requests to the Office of Classification, Office of Health, 
Safety and Security, U.S. Department of Energy, 1000 Independence Ave., 
SW., Washington, DC 20585-1290. The Office of Classification's decision 
must be made within 30 days.

Subpart B--Initially Determining What Information Is Unclassified 
Controlled Nuclear Information


Sec.  1017.6  Authority.

    The Secretary, or his or her designee, determines whether 
information is UCNI. These determinations are incorporated into 
guidance that each Reviewing Official and Denying Official consults in 
his or her review of a document or material to decide whether the 
document or material contains UCNI.


Sec.  1017.7  Criteria.

    To be identified as UCNI, the information must meet each of the 
following criteria:
    (a) The information must be Government information as defined in 
Sec.  1017.4;
    (b) The information must concern atomic energy defense programs as 
defined in Sec.  1017.4;
    (c) The information must fall within the scope of at least one of 
the three subject areas eligible to be UCNI in Sec.  1017.8;
    (d) The information must meet the adverse effect test described in 
Sec.  1017.10; and
    (e) The information must not be exempt from being UCNI under Sec.  
1017.11.


Sec.  1017.8  Subject areas eligible to be Unclassified Controlled 
Nuclear Information.

    To be eligible for identification as UCNI, information must concern 
at least one of the following categories:
    (a) The design of production or utilization facilities as defined 
in this part;
    (b) Security measures (including security plans, procedures, and 
equipment) for the physical protection of production or utilization 
facilities or nuclear material, regardless of its physical state or 
form, contained in these facilities or in transit; or
    (c) The design, manufacture, or utilization of nuclear weapons or 
components that were once classified as Restricted Data, as defined in 
section 11y. of the Atomic Energy Act.


Sec.  1017.9  Nuclear material determinations.

    (a) The Secretary may determine that a material other than special 
nuclear material, byproduct material, or source material as defined by 
the Atomic Energy Act is included within the scope of the term 
``nuclear material'' if it meets the following criteria:
    (1) The material is used in the production, testing, utilization, 
or assembly of nuclear weapons or components of nuclear weapons; and
    (2) Unauthorized acquisition of the material could reasonably be 
expected to result in a significant adverse effect on the health and 
safety of the public or the common defense and security because the 
specific material:
    (i) Could be used as a hazardous radioactive environmental 
contaminant; or
    (ii) Could be of significant assistance in the illegal production 
of a nuclear weapon.
    (b) Designation of a material as a nuclear material under paragraph 
(a) of this section does not make all information about the material 
UCNI. Specific information about the material must still meet each of 
the criteria in Sec.  1017.7 prior to its being identified and 
controlled as UCNI.


Sec.  1017.10  Adverse effect test.

    In order for information to be identified as UCNI, it must be 
determined that the unauthorized dissemination of the information under 
review could reasonably be expected to result in a significant adverse 
effect on the health and safety of the public or the common defense and 
security by significantly increasing the likelihood of:
    (a) Illegal production of a nuclear weapon; or
    (b) Theft, diversion, or sabotage of nuclear material, equipment, 
or facilities.


Sec.  1017.11  Information exempt from being Unclassified Controlled 
Nuclear Information.

    Information exempt from this part includes:
    (a) Information protected from disclosure under section 147 of the 
Atomic Energy Act (42 U.S.C. 2167) that is identified as Safeguards 
Information and controlled by the United States Nuclear Regulatory 
Commission;
    (b) Basic scientific information (i.e., information resulting from 
research directed toward increasing fundamental scientific knowledge or 
understanding rather than any practical application of that knowledge);
    (c) Radiation exposure data and all other personal health 
information; and,
    (d) Information concerning the transportation of low level 
radioactive waste.


Sec.  1017.12  Prohibitions on identifying Unclassified Controlled 
Nuclear Information.

    Information, documents, and material must not be identified as 
being or containing UCNI in order to:
    (a) Conceal violations of law, inefficiency, or administrative 
error;
    (b) Prevent embarrassment to a person or organization;
    (c) Restrain competition; or,
    (d) Prevent or delay the release of any information that does not 
properly qualify as UCNI.


Sec.  1017.13  Report concerning determinations.

    The Office of Classification or successor office shall issue a 
report by the end of each quarter that identifies any new information 
that has been determined for the first time to be UCNI during the 
previous quarter, explains how each such determination meets the 
criteria in Sec.  1017.7, and explains why each such determination 
protects from disclosure only the minimum amount of information 
necessary to protect the health and safety of the public or the common 
defense and security. A copy of the report may be obtained by writing 
to the Office of Classification, Office of Health, Safety and Security, 
U.S. Department of Energy, 1000 Independence Ave., SW., Washington, DC 
20585-1290.

[[Page 32644]]

Subpart C--Review of a Document or Material for Unclassified 
Controlled Nuclear Information


Sec.  1017.14  Designated officials.

    (a) Reviewing Official--(1) Authority. A Reviewing Official with 
cognizance over the information contained in a document or material is 
authorized to determine whether the document or material contains UCNI 
based on applicable guidance. A Reviewing Official marks or authorizes 
the marking of the document or material as specified in Sec.  1017.16.
    (2) Request for designation. Procedures for requesting that a DOE 
Federal or contractor employee be designated as a Reviewing Official 
are contained in Departmental directives issued by the Secretary. DOE 
may also designate other Government agency employees, contractors, or 
other individuals granted routine access under Sec.  1017.20 as 
Reviewing Officials.
    (3) Designation. Prior to being designated as a Reviewing Official, 
each employee must receive training approved by DOE that covers the 
requirements in these regulations and be tested on his or her 
proficiency in using applicable UCNI guidance. Upon successful 
completion of the training and test, he or she is designated as a 
Reviewing Official only while serving in his or her current position 
for a maximum of 3 years. The employee does not automatically retain 
the authority when he or she leaves his or her current position. The 
employee cannot delegate this authority to anyone else, and the 
authority may not be assumed by another employee acting in the 
employee's position. At the end of 3 years, if the position still 
requires the authority, the employee must be retested and redesignated 
by DOE as a Reviewing Official.
    (b) Individuals approved to use DOE or joint DOE classification 
guidance--(1) Authority. Other Government agency employees who are 
approved by DOE or another Government agency to use classification 
guidance developed by DOE or jointly by DOE and another Government 
agency may also be approved to review documents for UCNI and to make 
UCNI determinations. This authority is limited to the UCNI subject 
areas contained in the specific classification guidance that the 
individual has been approved to use.
    (2) Designation. Individuals must be designated this authority in 
writing by the appropriate DOE or other Government agency official with 
cognizance over the specific DOE or joint DOE classification guidance.
    (c) Denying Official--(1) Authority. A DOE Denying Official for 
unclassified information with cognizance over the information contained 
in a document is authorized to deny a request made under statute (e.g., 
the FOIA, the Privacy Act) or the mandatory review provisions of 
Executive Order 12958, as amended, ``Classified National Security 
Information,'' and its successor orders, for all or any portion of the 
document that contains UCNI. The Denying Official bases his or her 
denial on applicable guidance, ensuring that the Reviewing Official who 
determined that the document contains UCNI correctly interpreted and 
applied the guidance.
    (2) Designation. Information on the designation of DOE Denying 
Officials is contained in 10 CFR Part 1004, Freedom of Information (see 
definition of the term ``Authorizing or Denying Official'' in Sec.  
1004.2).


Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  1017.16(b).


Sec.  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:

[[Page 32645]]

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:------------------------------------------------------------------
Guidance Used:---------------------------------------------------------

    (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 Sec.  1017.16(a)(1). If space 
limitations do not allow for use of the full marking in Sec.  
1017.16(a)(1), the acronym ``UCNI'' may be used.


Sec.  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:
Does Not Contain Unclassified Controlled Nuclear Information
Reviewing/Denying Official:
-----------------------------------------------------------------------
(Name and organization)
Date:------------------------------------------------------------------

    (b) Document or material does not contain UCNI. A Reviewing 
Official with cognizance over the information in a document or material 
may confirm that an unmarked document or material does not contain UCNI 
based on applicable guidance. No UCNI markings are required in this 
case; however, for documentation purposes, the Reviewing Official may 
mark or may authorize the marking of the document or material with the 
same marking used in Sec.  1017.17(a).


Sec.  1017.18  Joint documents or material.

    If a document or material marked as containing UCNI is under 
consideration for decontrol and falls under the cognizance of another 
DOE organization or other Government agency, the Reviewing Official or 
Denying Official must coordinate the decontrol review with that DOE 
organization or other Government agency. Any disagreement concerning 
the control or decontrol of any document or material that contains UCNI 
that was originated by or for DOE or another Government agency is 
resolved by the Secretary or his or her designee.

Subpart D--Access to Unclassified Controlled Nuclear Information


Sec.  1017.19  Access limitations.

    A person may only have access to UCNI if he or she has been granted 
routine access by an Authorized Individual (see Sec.  1017.20) or 
limited access by the DOE Program Secretarial Officer or NNSA Deputy or 
Associate Administrator with cognizance over the UCNI (see Sec.  
1017.21). The Secretary, or his or her designee, may impose additional 
administrative controls concerning the granting of routine or limited 
access to UCNI to a person who is not a U.S. citizen.


Sec.  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.
    (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

[[Page 32646]]

or NNSA Deputy or Associate Administrator with cognizance over the 
UCNI.


Sec.  1017.21  Limited access.

    (a) A person who is not eligible for routine access to specific 
UCNI under Sec.  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.
    (b) The decision whether to grant the request for limited access is 
based on the following criteria:
    (1) The sensitivity of the UCNI for which limited access is being 
requested;
    (2) The approving official's evaluation of the likelihood that the 
requester will disseminate the UCNI to unauthorized individuals; and,
    (3) The approving official's evaluation of the likelihood that the 
requester will use the UCNI for illegal purposes.
    (c) Within 30 days of receipt of the request for limited access, 
the appropriate DOE Program Secretarial Officer or NNSA Deputy or 
Associate Administrator must notify the requester if limited access is 
granted or denied, or if the determination cannot be made within 30 
days, of the date when the determination will be made.
    (d) A person granted limited access to specific UCNI is not an 
Authorized Individual and may not further disseminate the UCNI to 
anyone.

Subpart E--Physical Protection Requirements


Sec.  1017.22  Notification of protection requirements.

    (a) An Authorized Individual who grants routine access to specific 
UCNI under Sec.  1017.20 to a person who is not an employee or 
contractor of the DOE must notify the person receiving the UCNI of 
protection requirements described in this subpart and any limitations 
on further dissemination.
    (b) A DOE Program Secretarial Officer or NNSA Deputy or Associate 
Administrator who grants limited access to specific UCNI under Sec.  
1017.21 must notify the person receiving the UCNI of protection 
requirements described in this subpart and any limitations on further 
dissemination.


Sec.  1017.23  Protection in use.

    An Authorized Individual or a person granted limited access to UCNI 
under Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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 Sec.  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.