The Unclassified Controlled Nuclear Information (UCNI) for Facility and Site Reviews (TG- FSR-1) is to be used by personnel who prepare documents concerning assessments related to certain crosscutting issues at the Department of Energy (DOE) sites and facilities. It is the basis for ensuring the releasibility of reports, regulatory compliance documents, technical papers, press releases, and other documents concerning environmental, safety, and health related activities at DOE facilities and sites. Total compliance of such documentation with this guideline is necessary to support the DOE policy of making available to state and local authorities, and to the general public, all information that may have an impact on the environment or public health and safety.
However, both internal and outside reviewers must be aware of the possibility of inadvertent disclosure of sensitive unclassified information concerning the weapons program in the documents they prepare or approve for public release. This guideline allows for a rapid and accurate review of such documents to eliminate the possibility of release of information of value to a potential nuclear proliferant or other potential malefactor (e.g., a terrorist).
Section 148 of the Atomic Energy Act defines a very narrow class of unclassified but sensitive information whose public release could have an adverse effect on public health and safety, called UCNI.
In this guideline we have gathered a number of specific topics from various previously approved DOE guidelines that apply directly to information that assessors will encounter on their inspection of DOE sites and which must be protected from public release, as stated in the law, in the interest of the "health and safety of the public or the common defense and security."
We urge everyone to become familiar with these topics as they prepare their reports to avoid including what may be gratuitous, but extremely damaging, statements. UCNI can be provided to anyone with an official interest in the information but cannot be released to the public. The public is entitled to full disclosure of facts concerning how DOE conducted its operations in the past, how it is conducting them now, and its plans for the future; but we must avoid the greater risk of divulging to malefactors or proliferants the means by which they can inflict severe damage to the environment or to the health and safety of our citizens.
Before basing a determination on this topical guideline or any other UCNI guideline that a document does or does not contain UCNI, the author or reviewer must first be assured by proper authority that the document does not contain classified information.
The topics in this guideline document are for use in identifying information in documents or material pertaining to certain crosscutting activities, analyses, and surveys conducted at or concerning DOE sites and facilities, that is UCNI as defined in section 148 of the Atomic Energy Act of 1954, as amended. These topics are based on approved UCNI general guidelines which specify what information has been determined to be UCNI by a Controlling Official. DOE Order 5650.3A, "Identification of Unclassified Controlled Nuclear Information," provides policy and procedures for identifying UCNI and for reviewing and marking documents containing UCNI.
Detailed reporting of these crosscutting activities can reveal safeguards and security measures and methods employed in and around DOE facilities, buildings, structures, areas, and combinations thereof, referred to as a site as well as reveal sensitive facility design information that could be used by a malefactor to select a target for attempted sabotage. TG-FSSS-1, "Unclassified Controlled Nuclear Information for Fixed-Site Safeguards and Security", is the basis for topics in this document covering those measures and methods.
These activity reports also may reveal information of assistance to proliferants.
However, documentation related to nuclear material in transit under the protection of the Transportation Safeguards Division of the DOE Albuquerque Operations Office is not covered in this document.
3. The emphasis of this guideline is on the "health and safety of the public" portion of the previous paragraph.
It is DOE policy to control the dissemination of certain unclassified information that may be encountered as a result of reviews of DOE facilities and sites but not to restrict the public's access to information to which it is lawfully entitled.
A person to be granted routine access to UCNI must have a need to know the specific UCNI in the performance of official duties or of DOE-authorized activities. The recipient of the document or material shall be notified of the physical protection and access requirements contained in DOE Order 5635.4. In addition to the need-to-know requirement, the person must meet at least one of the following requirements:
Provisions for routine access by non-U.S. citizens and for special access by persons not authorized routine access may be found in DOE Order 5635.4, "Protection of Unclassified Controlled Nuclear Information."
Many topics in this document relate to information that, under certain conditions, is classified. In such instances, the information is classified and not UCNI. Therefore, any information under consideration as UCNI must be reviewed to ensure it is and should be unclassified and eligible for control as UCNI. In particular, the Safeguards and Security Classification Guide (CG-SS-2), provides classification guidance in areas addressed by these UCNI guideline topics. If doubt exists that the information is unclassified, consult CG-SS-2, the pertinent topical or local classification guide, or an authorized classifier, as appropriate.
Any document or material or successor document which has been, is, or will be widely and irretrievably disseminated into the public domain, as determined by a Reviewing Official, and whose dissemination was not, is not, or will not be under control of the Government is exempt from UCNI control regardless of its content. However, the fact that information is in the public domain is not a sufficient basis for determining that similar or updated Government-owned and -controlled information contained in another document or material is not or is no longer UCNI. For information in Government-owned and -controlled documents or material which is the same as, essentially the same as, or an update of that in a widely disseminated document or material this guideline applies and the "No comment" policy applies to the information in the widely disseminated document or material (see GG #8 in the UCNI General Guideline, GG-3).
Information determined to be unclassified and not UCNI is not automatically approved for release to the public. Unclassified information may be subject to other limitations of release (e.g., proprietary information, patent review clearance, the Privacy Act, other exemptions under the FOIA, etc.). Review of all applicable regulations, as required by the specifics of each case, is the responsibility of the official authorizing the release.
a. UCNI internal guidelines specifying what information related to facility and site reviews and their relationship to health, safety and the environment, nuclear proliferation, acts of sabotage, and nuclear terrorism is considered UCNI or not UCNI by the issuing organization shall be based on applicable UCNI general guidelines and on this topical guideline. All UCNI internal guidelines must be approved by the Director, Office of Classification, Headquarters, DOE (SA-20).
b. DOE and DOE contractor organizations shall develop UCNI internal guidelines as may be required by topics in this document or as necessary to their specific operations. Internal guidelines shall be submitted through channels to SA-20.
c. In unusual circumstances local conditions may warrant internal guidelines that are in conflict with this guideline. In such cases organizations must submit for review and approval internal guideline topics that would be an exception to the specific guidance topic in this document.
d. Some of the terms and concepts currently used in classification and UCNI guidance documents differ from terms and concepts used in the Safeguards and Security Program. For example, safeguards and security measures are usually concerned with various types of "security areas," while classification and UCNI guidance documents frequently refer to "sites" or "facilities." Topics in this guideline apply equally to activities related to facility and site reviews regarding security areas, sites, or facilities. However, internal guidelines shall identify which specific sites, facilities, or security areas to which the internal guideline topics apply. If organizations use the concept of "sensitive facilities" in internal guideline topics, the organization shall submit to SA-20 a specific list of facilities to which the internal guidelines apply for inclusion in the UCNI General Guideline, currently GG-3.
This guideline is approved and issued by the Director, Office of Classification, Headquarters, DOE (SA-20).
2. This guideline does not apply to information concerning Transportation Safeguards Division activities (see CG-TSS-2). It does, however, apply to FSSS measures at facilities related to Transportation Safeguards Division activities.
3. This guideline does not apply to information pertaining solely to FSSS measures for facilities or sites that have no activities or functions concerning atomic energy defense programs (e.g., Strategic Petroleum Reserve facilities, Power Administration related facilities, etc.), unless the information also reveals FSSS information concerning facilities to which this guideline applies (e.g., comparisons of FSSS measures or deficiencies to those of a defense-related facility). However it does apply to non-FSSS information determined by other guidelines to be UCNI that is revealed as a result of facility and site review activities at the site or facility.
4. This guideline applies only to information concerning planned or existing facilities, including those temporarily not operating or those in standby condition. It does not apply to information concerning dismantled or decommissioned facilities, or those undergoing dismantlement and decommissioning, unless that information reveals information about planned or existing facilities or is UCNI in its own right (see Section E.1.c).
5. This guideline applies only to UCNI sensitive facilities or security areas related to sensitive facilities at a site, and to information that pertains to the protection of those facilities or security areas (directly or indirectly). It does not apply to information that only concerns facilities that are not sensitive facilities for UCNI purposes. Refer to internal and topical guidelines and lists of sensitive facilities in Chapters X and XI of GG-3.
a. To the extent practical, UCNI in a newly generated document or material intended to be publicly disseminated (e.g., documents prepared under Council on Environmental Quality regulations or DOE guidelines complying with the National Environmental Policy Act) should be segregated into an appendix or supplement so that the main body of the document or material can be publicly disseminated without deletion.
b. Some of the terms used in this guideline are used in the context of the terms as defined in the Safeguards and Security Definitions Guide (reference H18) which differ from their definitions in CG-SS-2. Examples are "facility" and "site" which are defined differently in CG- SS-2 than they are in the Safeguards and Security Definitions Guide. For that reason, Appendix A, Definitions, includes the source or basis for the definitions of terms as used in this guideline.
c. A Reviewing Official shall base a review determination that a document or material contains, does not contain, or no longer contains UCNI pertaining to facility and site review activities on applicable general guideline topics, this topical guideline, or on internal guidelines authorized in writing for his or her use. A Reviewing Official may also confirm a preliminary review determination that a document may contain UCNI if no applicable guidelines exists concerning the information in the document.
d. A Denying Official shall make a determination to deny the public release of all or portions of a document or material containing UCNI pertaining to facility and site review activities on applicable general guideline topics, this topical guideline, or on internal guidelines that apply to facility and site review information.
f. Prior to any person basing a determination on this topical guideline or any other UCNI guidelines, the person shall ensure that the specific information under consideration for control as UCNI is not classified.
Information generally continues to be UCNI for an indefinite period unless guidance specifies when the information will be NO LONGER UCNI. Information determined to be UCNI by this guideline or approved internal guidelines which loses its sensitivity because a facility or site review has been concluded, an existing FSSS system has been replaced, a facility is determined to no longer be a sensitive facility, or a deficiency has been corrected may be determined by a Reviewing Official to be NO LONGER UCNI. However, Reviewing Officials must use caution in applying this guidance to FSSS equipment. Unclassified information concerning replaced equipment capabilities or limitations should not be determined to be NO LONGER UCNI without consideration of whether the equipment is still in use at other locations.
Most topics in this guideline specify what unclassified facility and site review activity information is UCNI and, in so far as possible, clarify the line between UCNI and NOT UCNI. It is not practical to list all possible unclassified information related to facility and site reviews that is NOT UCNI. No attempt has been made to do so in this document, although a number of "NOT UCNI" topics are included. The Safeguards and Security Classification Guide, CG-SS- 2, has a number of topics indicating certain specific safeguards and security information as "U," or unclassified and a number of those "U" topics are not explicitly addressed in this guideline. Except where topics in this UCNI guideline, other topical guidelines, or approved UCNI internal guidelines indicate information is UCNI, information determined to be unclassified by topics in CG-SS-2 (July 1990) is NOT UCNI.
A Reviewing Official may recommend to SA-20 new subject areas, new topics, or revisions to existing topics concerning facility and site reviews for inclusion in general or topical guidelines. A determination by the originator of a document or material, or a person having cognizance over information in a document or material, that the document or material may contain UCNI is one source for such recommendations. SA-20 will review these recommendations and, if appropriate, initiate the formal process to revise existing guidelines based on such recommendations.
1. The Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.), which is the statutory basis for UCNI.
2. Freedom of Information Act (FOIA) of 1974, Title 5 U.S.C. 552, as amended, which establishes policies and procedures concerning the release of information in Government documents and material to the public.
3. Title 10, Code of Federal Regulations, Part 1017 (10 CFR Part 1017), "Identification and Protection of Unclassified Controlled Nuclear Information," which implements section 148 (42 U.S.C. 2168) of the Atomic Energy Act of 1954.
4. DOE Order 1360.2B, UNCLASSIFIED COMPUTER SECURITY PROGRAM, of May 18, 1992, which establishes policy, responsibilities, and procedures for developing, implementing, and sustaining an unclassified computer security program.
5. DOE Order 1700.1, FREEDOM OF INFORMATION PROGRAM, of November 19, 1979, which establishes guidelines and procedures for processing requests made to the DOE under the FOIA.
6. DOE Order 1800.1A, PRIVACY ACT, of August 31, 1984, which establishes guidelines and procedure for implementing the Privacy Act of 1974 (Public Law 93-579, 5 U.S.C. 552a).
7. DOE Order 5000.3B, OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS INFORMATION, of February 22, 1993, which establishes a system for reporting of operations information related to DOE-owned or- operated facilities and processing of that information to provide for appropriate corrective action.
8. DOE Order 5633.3A, CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS, of February 12, 1993, which contains the basic principles and requirements for the control and accountability of nuclear materials.
9. DOE Order 5635.4, PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION, of February 3, 1988, which establishes policies and procedures for the protection of UCNI.
10. DOE Order 5650.3A, IDENTIFICATION OF UNCLASSIFIED CONTROLLEED NUCLEAR INFORMATION, of June 8, 1992, which establishes policies, procedures, and responsibilities for the identification of UCNI and for reviewing and marking documents and material containing UCNI.
11. GG-3, Unclassified Controlled Nuclear Information General Guideline, of January 1993, which contains the approved general guideline topics upon which all topics in this document are based.
12. CG-SS-2, Classification Guide for Safeguards and Security Information, of July 1990, which provides classification guidance for safeguards and security information concerning DOE and DOE contractor or subcontractor facilities and sites.
13. CG-TSS-2, Transportation Safeguards System Classification Guide, of September 30, 1991, which provides classification guidance for information concerning the DOE Transportation Safeguards System (TSS) or the transportation of material in the TSS.
14. CG-WN-4, Classification Guide for the Nuclear Emergency Search Team (NEST), of September 1984, which provides classification guidance for information concerning NEST planning and operations.
15. TCG-WM-1, Joint DOE/Department of Defense (DOD) Topical Classification Guide, Materials for the Nuclear Weapon Complex, of May 1992, which provides guidance for the classification of materials used in the DOE and DOD for research, development, testing, and production of nuclear weapons.
16. TG-FSSS-1, Unclassified Controlled Nuclear Information Topical Guideline for Fixed-Site Safeguards and Security, of September 1992, which provides UCNI guidance for unclassified safeguards and security information concerning DOE sensitive fixed sites.
17. TG-NEST-1, Unclassified Controlled Nuclear Information Topical Guidelines for the Nuclear Emergency Search Team, of November 1990, which provides UCNI guidance for unclassified information concerning the NEST.
18. Safeguards and Security Definitions Guide, of September 26, 1991, which contains definitions of terms commonly used in the Safeguards and Security Program and related Classification Program.
The following table lists the identification number to be cited in internal guideline topics based on topics in this topical guideline, along with the corresponding topic number contained in this guideline.
FSR Identification Topic FSR Identification Topic Number (ID No.) Number Number (ID No.) Number 1 111.1 26 423 2 111.2 27 430 3 112.2 28 450 4 113.1 29 510 5 121.1 30 550 6 121.2 31 910 7 131.1 32 920 8 131.2 33 930 9 131.2.1 34 940 10 132 35 950 11 141 36 961 12 142 37 962.1 13 152.1 38 971 14 152.2 39 15 152.3.1 40 16 152.3.2 41 17 153.3 42 18 210 43 19 221.4 44 20 222.1 45 21 231 46 22 232 47 23 310 48 24 411 49 25 422 50
Unclassified information about facility and site review and other crosscutting activities that is broad or general in nature regarding facilities, operations, capabilities, and equipment is usually not controlled as UCNI, primarily because such information is not likely to meet the "adverse effect test" required before information may be UCNI. Such general information may be released to the public unless other controls on release apply (e.g., the Privacy Act). This document identifies, by topic, information that is UCNI in accordance with the determinations contained in the approved General Guideline document (Reference H11). Each UCNI topic in this document includes a number (e.g., GG #15, 16, etc.) which is the general guideline determination under which the topic primarily falls. The general guideline number given is not necessarily the only determination covering the topic.
UCNI pertaining to these activities is not limited only to safeguards and security measures for the protection of a facility. Other information, for example, certain facility design information or design-related operational information concerning a facility can be of significant assistance, if not essential, to a malefactor in planning or executing an act of theft, diversion, or sabotage.
Therefore, these guidelines include topics related to facility design, in addition to topics traditionally associated with safeguards and security measures. This is because such information could be used to select a specific target (or targets) for attack, plan entry and egress routes, plan for activities that could impede or confuse response forces, evaluate risks, etc.
Production or utilization facility design information revealed as a consequence of these activities is UCNI if it leads to technology-related information that would assist a proliferant significantly in the illegal production of a nuclear weapon and is covered by topics in this guideline.
At some locations an organization may take exception to information determined to be UCNI by this guideline. In such cases, the affected organization should submit specific internal guidelines to SA-20 for its approval of a local exception to this guideline.
CG-SS-2 and other classification guides provide extensive rationale and guidance for the classification of information relating to physical security measures for the protection of facilities, equipment, and materials of significance to the national security.
The following UCNI guideline topics address unclassified information pertaining to physical security measures for sites, facilities, or security areas.
The reason for controlling information concerning physical protection of DOE assets as UCNI is to protect that unclassified information that would significantly assist a malefactor in committing an act of theft, diversion, or sabotage.
Except where information is determined to be UCNI by topics in TG-FSSS-1, other topical guidelines, or this guideline, information determined by topics in Chapter 2 of CG-SS-2 (July 1990) to be unclassified is NOT UCNI.