Office of ClassificationClassification Training Institute

Briefing for Persons with Access to Unclassified Controlled Nuclear

Information (UCNI)

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Periodic Briefing for Persons with Access to UCNI - August 2017

DOE Order 471.1B, Identification and Protection of Unclassified Controlled Nuclear Information, requires all persons with access to UCNI to have a periodic briefing on their responsibilities for identifying and protecting UCNI.

The content of this briefing meets the requirement for the periodic briefings.

This briefing does not grant a person the authority to determine if documents contain UCNI.

DOE O 471.1B, para 4l and Atch 1, para 92

For Your InformationControlled Unclassified Information (CUI) and UCNI

Executive Order (E.O.) 13556 and 32 CFR 2002, Controlled Unclassified Information, mandate Government-wide standards for all sensitive unclassified information.

UCNI is NOT impacted by the E.O. 13556 and 32 CFR 2002. UCNI is governed by the Atomic Energy Act and 10 CFR 1017, Identification and Protection of UCNI.

Because 10 CFR 1017 is a pre-existing regulation with specific access, identification, and safeguarding requirements, the requirements in 10 CFR 1017 takes precedence over 32 CFR 2002. [see §2002.14(a)(4) and (b)(2), §2002.16(b)(2)]

All persons with access to UCNI must continue to follow the requirements of 10 CFR 1017 and DOE Order 471.1B.

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What you need to know if you have access to UCNI

What is UCNI

When you must have a document (including email) reviewed to determine if it contains UCNI

Who can determine if a document does or does not contain UCNI

Who can have access to UCNI

How a document containing UCNI is marked

How to protect a document containing UCNI

The penalties for violating UCNI requirements

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What is UCNI?

Definition: Certain unclassified design and security information concerning nuclear facilities, material, and weapons that can be controlled under section 148 of the Atomic Energy Act

Why it is controlled: Because its release would significantly increase the likelihood of the illegal production of a nuclear weapon or the theft, diversion, or sabotage of nuclear material, equipment, or facilities

Atomic Energy Act, Section 148 a(1) and (2) and § 1017.45

What Information could be UCNI?

Unclassified Government information that concerns atomic energy defense programs

Three subject areas Design of production or utilization facilities Security measures for the physical protection of

production or utilization facilities or nuclear material contained in these facilities or in transit

Declassified RD

Atomic Energy Act, Section 148 a(1) and (2) § 1017.7 and .86

What is the authority for UCNI?

1. Atomic Energy Act of 1954, section 148Statute grants DOE authority for and defines UCNI

2. 10 Code of Federal Regulations Part 1017Regulation with Government-wide requirements for identifying and protecting UCNI

3. DOE Order 471.1BDOE-specific responsibilities and requirements

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Who has responsibilities for UCNI?

Director, AU-60 – decides what information is UCNI and approves UCNI guidance

Reviewing Officials – use UCNI guidance to review documents in their authorized subject area and jurisdiction to determine if the document contains UCNI

And…

§ 1017.6, .14, .15(c) 8

What are your responsibilities for UCNI?

DOE and contractor employees with access to UCNI Must refer documents that may contain UCNI to

an UCNI Reviewing Official with appropriate authority Must protect UCNI in accordance with

10 CFR 1017 and DOE directives

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How do I know if a document should be reviewed for UCNI?

If the document is in an UCNI subject area, it may contain UCNI.

§ 1017.15(c) 10

What are UCNI Subject Areas?

Safeguards & Security Arms Control &

Verification Intra-Site Secure

Transport Vehicle Transportation

Safeguards System Radiological Emergency

Response

High Explosives in Nuclear Weapons

Nuclear Nonproliferation

Uranium AVLIS Plutonium AVLIS Gaseous Diffusion Plutonium Processing

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What if I’m not sure if a document may contain UCNI?

If you aren’t sure if a document may contain UCNI, contact An UCNI Reviewing Official Your supervisor, or Your Program Classification Officer (PCO) or

Classification Representative (CR)

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How do I identify a document that contains UCNI?

If a determination is made that a document contains UCNI, it will have page markings and a UCNI front marking

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Page Markings

At the bottom of page and on the back cover

UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION

UCNI (only if space is limited)

§ 1017.16(a)(1) and (2) Markings are for example purposes only 14

Front Page Marking

§ 1017.16(a)(1) and (2) Markings are for example purposes only 15

Sample Document Containing UCNI

Markings are for example purposes only 16

Sample Unclassified Document Transmitting UCNI

Attachment instructions are placed on the transmittal

Calls attention to the presence of UCNI in the attachment and indicates how the transmittal is handled when separated from the attachment

DOE O 471.1B, 4h(4)

Markings are for example purposes only 17

Sample Email Containing UCNI

First line will have “UCNI” and Reviewing Official’s name and organization, and guidance used to make the determination

Markings are for example purposes only 18DOE O 471.1B, para 4h(5)

What markings does a document have to indicate it no longer contains UCNI?

A Reviewing Official may determine, based on guidance, that an unclassified document or material marked as containing UCNI no longer contains UCNI

In such a case, the Reviewing Official – Ensures that all UCNI markings are removed or crossed out, and

The front of the document or material is marked with:

§ 1017.17 19

Who can have access to UCNI?

Routine Access Authorized person

Clearance not required Must meet criteria in 10 CFR part 1017, Subpart D

Need to know

Limited Access – for persons not eligible for Routine Access

§ 1017.20(b) and § 1017.2120

Who can have routine access to UCNI?

U.S. Citizens Federal Government (military or civilian) employee; Employee of a Federal Government contractor or subcontractor; Employee of state, local, and tribal governments; Emergency responders; Government consultant

Non-U.S. Citizens Federal Government (military or civilian) employee; Employee of a Federal Government contractor or subcontractor; Employee of state, local, and tribal governments; Person who needs to know the UCNI in conjunction with activity approved by

the DOE Program Secretarial Officer or NNSA Deputy or Associate Administrator with cognizance over the UCNI

For others, check 10 CFR 1017, Subpart D§ 1017.20(b) and § 1017.21

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If they don’t meet the criteria for routine access can a person have access to UCNI?

Maybe Check all criteria in Subpart D of 10 CFR part 1017 to make sure they do

not meet the criteria for routine access

If they do not meet the criteria for routine access, they may be eligible for limited access.

For limited access

Must have a need to know the information

Must submit a request for limited access to appropriate approving authority in accordance with §1017.21

Further dissemination is not permitted

§ 1017.21 22

How is UCNI stored?

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.

§ 1017.24 23

How are documents containing UCNI transmitted?

A document or material marked as containing UCNI may be transmitted by U.S. First Class, Express, Certified, or Registered mail; Any means approved for transmission of classified

documents or material; An Authorized Individual or person granted limited

access as long as physical control of the package is maintained; or, Internal mail services.

§ 1017.27(a)(1) 24

How are documents containing UCNI transmitted? (continued)

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.’’

§ 1017.27(a)(2)25

How is UCNI transmitted?

Encryption is required over telecommunication circuits

(e.g., email, telephone, fax, Internet)

§ 1017.27(b)26

Are there limits to copying documents containing UCNI?

Minimum extent necessary

Originator permission NOT required

Ensure UCNI markings are on all copies

§ 1017.25 27

How is UCNI disposed of?

Plain brown burn bags Cross-cut shredder that produces particles no

larger than 1/4-inch wide and 2 inches long – may use strip cut shredder until replaced

Any classified method Other comparable destruction methods may be

used

Do NOT dispose of UCNI in recycle bins!§ 1017.26

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Are there penalties for infractions and violations?

Infraction Administrative penalty

Violation Civil penalty of up to $150,000

Criminal penalty of

2 years (without intent to harm the Nation)

20 years (with intent to harm the Nation)

§ 1017.29 29

If you have questions about UCNI, refer to:

10 CFR Part 1017, Identification and Protection of Unclassified Controlled Nuclear Information, revision effective 12/8/08

and

DOE Order 471.1B,Identification and Protection of UCNI

Information is also available on the

Office of Classification UCNI Webpage -http://energy.gov/ehss/services/classification/unclassified-controlled-nuclear-information-ucni

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Who should you contact if you have questions?

Your Program Classification Office, Your Classification Representative or DOE Office of Classification Outreach

301-903-7567outreach@hq.doe.gov

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